Time Series Trend: Line Chart 1

The first chart we will demonstrate is a line chart. Figure 4.1 “52 Week Data for the S&P 500 and Microsoft” shows part of the data that will be used to create two line charts. The first line chart will show the trend of the S&P 500An aggregate price index for five hundred of the largest publicly traded US companies. stock index. This is an aggregate price index of five hundred of the largest publicly traded companies. This chart will be used to communicate a simple message: to show how the index has performed over a fifty-two-week period. We can use this chart in a presentation to show whether stock prices have been increasing, decreasing, or remaining constant over the designated period of time.

Before we create the line chart, it is important to identify why it is an appropriate chart type given the message we wish to communicate and the data we have. When presenting the trend for any data over a designated period of time, the most commonly used chart types are the line chart and the column chart. With the column chart, you are limited to a certain number of bars or data points. As you increase the number of bars on a column chart, it becomes increasingly difficult to read. As you scroll through the data on the worksheet shown in Figure 4.1 “52 Week Data for the S&P 500 and Microsoft”, you will see that there are fifty-two points of data used to construct the chart. This is generally too many data points to put on a column chart, which is why we are using a line chart. Our line chart will show the closing price for the S&P 500 on the Y axisThe vertical axis of a chart. and the week number on the X axisThe horizontal axis of a chart.. The following steps explain how to construct this chart:

1. Highlight the range A3:B55 on the Stock Trend worksheet.
2. Click the Insert tab of the Ribbon.
3. Click the Line button in the Charts group of commands (see Figure 4.2 “Selecting the Basic Line Chart”).
4. Click the first option from the list, which is a basic line chart (see Figure 4.2 “Selecting the Basic Line Chart”). This adds, or embeds, the line chart to the worksheet, as shown in Figure 4.3 “Embedded Line Chart in the Stock Trend Worksheet”.

Figure 4.3 “Embedded Line Chart in the Stock Trend Worksheet” shows the embedded line chart in the Stock Trend worksheet. Notice that three additional tabs, or contextual tabsHidden tabs on the Ribbon that contain commands related to a specific object. Contextual tabs become visible when the related object is added or activated., are added to the Ribbon. We will demonstrate the commands in these tabs throughout this chapter. These tabs appear only when the chart is activated.

As shown in Figure 4.3 “Embedded Line Chart in the Stock Trend Worksheet”, the embedded chartAny chart that is created and placed within a worksheet. is not placed in an ideal location on the worksheet since it is covering several cell locations that contain data. The following steps demonstrate common adjustments that are made when working with embedded charts:

1. Moving a chart: Click and drag the upper left corner of the chart to the center of cell H2.
2. Resizing a chart: Place the mouse pointer over the left middle sizing handle, hold down the ALT key on your keyboard, and click and drag the chart so it “snaps” to the left side of Column H.
3. Repeat step 2 to resize the chart so the top “snaps” to the top of Row 2, the bottom “snaps” to the bottom of Row 17, and the right side “snaps” to the right side of Column P.
4. Adjusting the chart title: Click the chart title once. Then click in front of the letter S. You should see a blinking cursor in front of the letter S. This allows you to modify the title of the chart.
5. Type the following in front of the letter S in the chart title: 52 Week Trend for the.
6. Removing the legend: Click the legend once and press the DELETE key on your keyboard. This removes the legend from the chart. Since the chart contains only one data series, the legend is not necessary. Once you remove the legend, the plot area automatically expands.

Figure 4.4 “Line Chart Moved and Resized” shows the line chart after it is moved and resized. You can also see that the title of the chart has been edited to read 52 Week Trend for the S&P 500. Also notice that the sizing handles do not appear around the perimeter of the chart. This is because the chart has been deactivated. To activate the chart, click anywhere inside the chart perimeter.

Adjusting the Y Axis Scale

After creating an Excel chart, you may find it necessary to adjust the scale of the Y axis. Excel automatically sets the maximum value for the Y axis based on the data used to create the chart. However, the minimum value is usually set to zero. Depending on the data you are using to create the chart, setting the minimum value to zero can substantially minimize the graphical presentation of a trend. For example, the trend shown in Figure 4.4 “Line Chart Moved and Resized” appears to be increasing slightly. However, the S&P 500 increased by over 20% during this period, which is substantial. The presentation of this trend can be improved if the minimum value started at eight hundred. While it is certainly possible for the S&P 500 to fall below eight hundred, it is most likely remote. The following steps explain how to make this adjustment to the Y axis:

1. Click anywhere on the Y axis on the 52 Week Trend for the S&P 500 line chart (Stock Trend worksheet).
2. Click the Format tab in the Chart Tools section of the Ribbon.

3. Click the Format Selection button in the Current Selection group of commands (see Figure 4.5 “Format Axis Dialog Box”). This opens the Format Axis dialog box.

   Figure 4.5 Format Axis Dialog Box

   

4. Click the Fixed option next to the “Minimum” axis option in the Format Axis dialog box.
5. Click the input box for the “Minimum” axis option and delete the zero. Then type the number 800. As soon as you make this change, the Y axis on the chart adjusts.
6. Click the Close button at the bottom of the Format Axis dialog box.

Figure 4.6 “Adjusted Y Axis for the S&P 500 Chart” shows the change in the presentation of the trendline. Notice that with the Y axis starting at 800, the trend for the S&P 500 is more pronounced and reflects the substantial increase over the 52-week period. This adjustment makes it easier for the audience to see the magnitude of the trend.

Trend Comparisons: Line Chart 2

We will now create a second line chart using the data in the Stock Trend worksheet. The purpose of this chart is to compare two trends: the change in value for the S&P 500 and the Microsoft common stock. Chapter 3 “Logical and Lookup Functions” presented a personal investment portfolio where the investments were compared to a benchmark. The S&P 500 is a benchmark that is commonly used to judge the performance of individual stocks. The purpose and message of this chart is to show whether Microsoft is performing better or worse than the S&P 500 index. This type of analysis can be used to determine whether a stock should be sold, purchased, or held.

Before creating the chart to compare the S&P 500 and Microsoft, it is important to review the data in the range E4:F55 on the Stock Trend worksheet. We cannot use the price data for Microsoft and the S&P 500 because the values are not comparable. That is, the data for Microsoft is in a range of $22.00 to $28.00, but the data for the S&P 500 is in a range of 1,022 to 1,363. If we used these values to create a chart, we would not be able to see any substantial change in the trend for either the S&P 500 or Microsoft. Therefore, formulas were used to calculate the percent change in value for the S&P 500 and Microsoft for each week. For example, looking at cells E5 and F5 on the Stock Trend worksheet, you see that the S&P 500 increased 2.4% in week 2, whereas Microsoft increased 3.1%. The percent change calculations now provide an appropriate method of comparison. This is a very important step to consider when comparing trends.

The construction of this second line chart will be similar to the first line chart. The X axis will be the 52 weeks in the range A4:A55. However, the Y axis will be the percentages in the range E4:F55. This creates a problem because Columns B, C, and D will not be used in this chart. Therefore, we cannot simply highlight one contiguous range of cells to create the chart. In this chapter we will demonstrate two options for charting data that is not in a contiguous range. The following steps demonstrate the first option:

1. Highlight the range A3:A55 on the Stock Trend worksheet.
2. Hold down the CTRL key on your keyboard and highlight the range E3:F55.
3. Click the Insert tab of the Ribbon.
4. Click the Line button in the Charts group of commands.

5. Click the first option from the list, which is a basic line chart.

   Figure 4.7 “Trend Comparison Line Chart” shows the appearance of the line chart comparing the S&P 500 and Microsoft before it is moved and resized. Notice that Excel does not add a title to the chart.

   Figure 4.7 Trend Comparison Line Chart

   

6. Move the chart so the upper left corner is in the middle of cell H20.
7. Resize the chart so the left side is locked to the left side of Column H, the right side is locked to the right side of Column P, the top is locked to the top of Row 20, and the bottom is locked to the bottom of Row 35.
8. Click the Layout tab in the Chart Tools section of the Ribbon.
9. Click the Chart Title button in the Labels group of commands. Select the Above Chart option from the drop-down list (see Figure 4.8 “Adding a Title to a Chart”). This adds a generic title above the plot area of the chart.
10. Click in the text box containing the chart title. Delete the generic chart title and replace it with the following: 52 Week Trend Comparison.

Figure 4.9 “Final Trend Comparison Line Chart” shows that Microsoft has not performed as well as the S&P 500 benchmark. From week 31 to week 52, Microsoft is showing a significant decline compared to the S&P 500, which continues to grow. What makes this chart effective is that an audience can quickly see how Microsoft compares with the S&P 500 over the 52-week period.

Frequency Distribution: Column Chart 1

A column chart is commonly used to show trends over time so long as the data are limited to approximately twenty points or less. For example, in Chapter 1 “Fundamental Skills” we showed a sales trend over a twelve-month period. Another common use for column charts is frequency distributions. A frequency distributionThe number of occurrences for an established set of categories. shows the number of occurrences by established categories. For example, a common frequency distribution used in most academic institutions is a grade distribution. A grade distribution shows the number of students that achieve each level of a typical grading scale (A, A−, B+, B, etc.). The Grade Distribution worksheet contains final grades for a hypothetical academic class. To show the grade frequency distribution, the numbers of students appear on the Y axis and the grade categories appear on the X axis. The following steps explain how to create this chart:

1. Highlight the range A3:B8 on the Grade Distribution worksheet. Column B shows the number of students that achieved a grade within the grade category shown in Column A.
2. Click the Column button in the Charts group section on the Insert tab of the Ribbon. Select the first format from the drop-down list of options, which is the Clustered Column format.
3. Click and drag the chart so the upper left corner is in the middle of cell H2.
4. Resize the chart so the left side is locked to the left side of Column H, the right side is locked to the right side of Column P, the top is locked to the top of Row 2, and the bottom is locked to the bottom of Row 16.
5. Click the legend one time and press the DELETE key on your keyboard. Since the chart presents only one data series, the legend is not necessary.
6. Click the title of the chart twice so the cursor is placed in front of the word Class.
7. Type the following in front of the word Class: Final Grades for the.
8. Click any cell location on the Grade Distribution worksheet to deactivate the chart.

Figure 4.10 “Grade Frequency Distribution Chart” shows the completed grade frequency distribution chart. By looking at the chart, you can immediately see that the greatest number of students earned a final grade in the B+ to B− or the C+ to C− categories.

Creating a Chart Sheet

The charts we have created up to this point have been added to, or embedded in, an existing worksheet. Charts can also be placed in a dedicated worksheet called a chart sheetAn Excel worksheet that is designated for a chart.. It is called a chart sheet because it can contain only an Excel chart. Chart sheets are useful if you need to create several charts using the data in a single worksheet. If you embed several charts in one worksheet, it can be cumbersome to navigate and browse through the charts. It is easier to browse through charts when they are moved to a chart sheet because a separate sheet tab is added to the workbook for each chart. The following steps explain how to move the grade frequency distribution chart to a dedicated chart sheet:

1. Click anywhere on the Final Grades for the Class chart on the Grade Distribution worksheet.
2. Click the Move Chart button in the Design tab of the Chart Tools set of commands. This opens the Move Chart dialog box. You can use this dialog box to move the chart to a different worksheet or create a dedicated chart sheet.
3. Click the New sheet option on the Move Chart dialog box.
4. The entry in the input box for assigning a name to the chart sheet tab should automatically be highlighted once you click the New sheet option (see Figure 4.11 “Moving a Chart to a Chart Sheet”). Type Class Grades. This replaces the generic name in the input box.
5. Click the OK button at the bottom of the Move Chart dialog box. This adds a new chart sheet to the workbook with the name Class Grades.

Figure 4.12 “Chart Sheet Added to the Workbook” shows the Final Grades for the Class column chart in a separate chart sheet. Notice the new sheet tab added to the workbook matches the tab name entered into the Move Chart dialog box. Since the chart is moved to a separate chart sheet, it no longer is displayed in the Grade Distribution worksheet.

Frequency Comparison: Column Chart 2

We will create a second column chart to show a comparison between two frequency distributions. Column C on the Grade Distribution worksheet contains data showing the number of students who received grades within each category for the entire college. We will use a column chart to compare the grade distribution for the class (Column B) with the overall grade distribution for the college (Column C). However, since the number of students in the class is significantly different from the total number of students in the college, we must calculate percentages in order to make an effective comparison. The following steps explain how to calculate the percentages:

1. Highlight the range B9:C9 on the Grade Distribution worksheet.
2. Click the AutoSum button in the Editing group of commands on the Home tab of the Ribbon. This automatically adds SUM functions that sum the values in the range B4:B8 and C4:C8.
3. Activate cell E4 on the Grade Distribution worksheet.
4. Enter a formula that divides the value in cell B4 by the total in cell B9. Add an absolute reference to cell B9 in the formula =B4/$B$9.
5. Copy the formula in cell E4 and paste it into the range E5:E8 using the Paste Formulas command.
6. Activate cell F4 on the Grade Distribution worksheet.
7. Enter a formula that divides the value in cell C4 by the total in cell C9. Add an absolute reference to cell C9 in the formula =C4/$C$9.
8. Copy the formula in cell F4 and paste it into the range F5:F8 using the Paste Formulas command.

Figure 4.13 “Completed Grade Distribution Percentages” shows the completed percentages added to the Grade Distribution worksheet. The column chart uses the grade categories in the range A4:A8 on the X axis and the percentages in the range E4:F8 on the Y axis. Similar to the trend comparison line chart, this chart uses data that is not in a contiguous range. The following steps explain a second method for creating charts with data that is not in a contiguous range:

1. Activate cell H2 on the Grade Distribution worksheet. It is important to note that this is a blank cell that is not adjacent to any data on the worksheet.
2. Click the Insert tab of the Ribbon.
3. Click the Column button in the Charts group of commands. Select the first option from the drop-down list of chart formats, which is the Clustered Column. This adds a blank chart to the worksheet.
4. Click and drag the blank chart so the upper left corner is in the middle of cell H2.
5. Resize the blank chart so the left side is locked to the left side of Column H, the right side is locked to the right side of Column P, the top is locked to the top of Row 2, and the bottom is locked to the bottom of Row 16.
6. Click the Select Data button in the Design tab of the Chart Tools section of the Ribbon. This opens the Select Data Source dialog box.
7. Click the Add button on the Select Data Source dialog box. This opens the Edit Series dialog box.
8. In the Series name input box on the Edit Series dialog box, type the word Class.
9. Press the TAB key on your keyboard to advance to the Series values input box on the Edit Series dialog box.
10. Highlight the range E4:E8 on the Grade Distribution worksheet. This automatically adds the range to the Series values input box. You also see bars added to the column chart (see Figure 4.14 “Completed Data Series for the Class Grade Distribution”).

11. Click the OK button on the Edit Series dialog box.

    Figure 4.14 Completed Data Series for the Class Grade Distribution

    

12. Click the Add button on the Select Data Source dialog box.
13. In the Series name input box on the Edit Series dialog box, type the word College.
14. Press the TAB key on your keyboard to advance to the Series values input box on the Edit Series dialog box.
15. Highlight the range F4:F8 on the Grade Distribution worksheet. This automatically adds the range to the Series values input box. You also see bars added to the column chart.
16. Click the OK button on the Edit Series dialog box.
17. Click the Edit button on the right side of the Select Data Source dialog box under the Horizontal (Category) Axis Labels section. This is used to define the labels that will appear on the X axis of the chart and opens the Axis Labels dialog box.
18. Highlight the range A4:A8 on the Grade Distribution worksheet. This adds the range to the Axis Labels dialog box, and the labels appear on the X axis on the column chart (see Figure 4.15 “Final Settings for the Select Data Source Dialog Box”).
19. Click the OK button on the Axis Labels dialog box.

20. Click the OK button on the Select Data Source dialog box.

    Figure 4.15 Final Settings for the Select Data Source Dialog Box

    

21. Click the Chart Title button on the Layout tab of the Chart Tools section of the Ribbon. Select the Above Chart option from the drop-down list.
22. Click in the text box containing the chart title. Delete the generic chart title and replace it with the following: Grade Distribution Comparison.

Figure 4.16 “Completed Grade Distribution Column Chart” shows the final appearance of the column chart. The column chart is an appropriate type for this data because there are fewer than twenty data points and we can easily see the comparison for each category. An audience can quickly see that the class issued fewer As compared to the college. However, the class had more Bs and Cs compared with the college population.

Percent of Total: Pie Chart

The next chart we will demonstrate is a pie chart. A pie chartA chart used to show the percent of total for each component of a data set. is used to show a percent of total for a data set at a specific point in time. The data we will use to demonstrate a pie chart is related to the overall spending activity in the health-care industry. The Health Care worksheet contains data that shows total spending in the United States for the years 1969 and 2009. In 1969, the total amount spent in the United States for health-related expenses was over $66 billion. The pie chart shows how this $66 billion was funded. The following steps explain how to accomplish this:

1. Highlight the range A2:B7 on the Health Care worksheet.
2. Click the Insert tab of the Ribbon.
3. Click the Pie button in the Charts group of commands.
4. Select the “Exploded pie in 3-D” option from the drop-down list of options.
5. Click and drag the pie chart so the upper left corner is in the middle of cell E2.

6. Resize the pie chart so the left side is locked to the left side of Column E, the right side is locked to the right side of Column M, the top is locked to the top of Row 2, and the bottom is locked to the bottom of Row 17 (see Figure 4.18 “Pie Chart Moved and Resized”).

   Figure 4.18 Pie Chart Moved and Resized

   

7. Click the chart legend once and press the DELETE key on your keyboard. A pie chart typically shows labels next to each wedge. Therefore, the legend is not needed.
8. Click the Data Labels button in the Layout tab of the Chart Tools section of the Ribbon.
9. Select More Data Label Options from the drop-down list. This opens the Format Data Labels dialog box.
10. Click the box next to the Value option under the Label Options section in the Format Data Labels dialog box. This removes the check mark (see Figure 4.19 “Final Settings in the Format Data Labels Dialog Box”).
11. Click the Percentage option under the Label Options section in the Format Data Labels dialog box. A green check should appear in the box next to this option (see Figure 4.19 “Final Settings in the Format Data Labels Dialog Box”).
12. Click the Category Name option under the Label Options section in the Format Data Labels dialog box. A green check should appear in the box next to this option (see Figure 4.19 “Final Settings in the Format Data Labels Dialog Box”).
13. Click the Close button at the bottom of the Format Data Labels dialog box.

14. Click the Home tab of the Ribbon and then click the Bold button. This should bold the data labels on the pie chart.

    Figure 4.19 Final Settings in the Format Data Labels Dialog Box

    

15. Click the chart title twice.
16. Click in front of the year 1969 and type Health Care Spending by Source:.

Figure 4.20 “Final Health Care Pie Chart” shows the completed pie chart. You can quickly see that Health Insurance and Out of Pocket made up the majority of health-care spending in 1969. Similar to the column chart, the key to creating an effective pie chart is the number of categories presented on the chart. Although there are no specific limits for the number of categories you can use on a pie chart, a good rule of thumb is ten or less. As the number of categories exceeds ten, it becomes more difficult to identify key categories that make up the majority of the total. In this example, it is easy to see that two categories compose 75% of the total.

Percent of Total Trend: Stacked Column Chart

The last chart type we will demonstrate is the stacked column chartA chart used to show how a percent of total changes over time or between two or more entities.. We use a stacked column chart to show how a percent of total changes over time. For example, the data on the Health Care worksheet shows spending by source for 1969 and 2009. A stacked column chart can show whether there is any change in the percent of total for each source between the two years. The Y axis of the chart shows the percentage from 0% to 100%. The X axis shows the two years: 1969 and 2009. The following steps explain how to create this chart:

1. Highlight the range A2:C7 on the Health Care worksheet.
2. Click the Insert tab of the Ribbon.

3. Click the Column button in the Charts group of commands. Select the 100% Stacked Column format option from the drop-down list (see Figure 4.21 “Selecting the 100% Stacked Column Format”).

   Figure 4.21 Selecting the 100% Stacked Column Format

   

   Figure 4.22 “Initial Construction of the 100% Stacked Column Chart” shows the column chart that is created after selecting the 100% Stacked Column format option. As mentioned, the goal of this chart is to show the percentages on the Y axis and the years 1969 and 2009 on the X axis. However, notice that Excel places the spend sources on the X axis. The remaining steps explain how to correct this problem and complete the chart:

   Figure 4.22 Initial Construction of the 100% Stacked Column Chart

   

4. Click the Switch Row/Column button in the Design tab on the Chart Tools section of the Ribbon. This reverses the legend and current X axis categories (see Figure 4.22 “Initial Construction of the 100% Stacked Column Chart”).
5. Click and drag the chart so the upper left corner is in the middle of cell E19.
6. Resize the chart so the left side is locked to the left side of Column E, the right side is locked to the right side of Column N, the top is locked to the top of Row 19, and the bottom is locked to the bottom of Row 37.
7. Click the legend one time and press the DELETE key on your keyboard.
8. Click the Layout tab on the Chart Tools section of the Ribbon.
9. Click the Data Table button in the Labels group of commands and select the Show Data Table with Legend Keys option from the drop-down menu. This is another way of displaying a legend for a column chart along with the numerical values that make up each component.
10. Click the Chart Title button in the Layout tab of the Chart Tools section of the Ribbon.
11. Select the Above Chart option for the drop-down menu.
12. Click the chart title two times. Delete the generic chart title name and type Change in Health Care Spend Source.

Figure 4.23 “Final 100% Stacked Column Chart” shows the final stacked column chart. Notice that the Out of Pocket category, or the amount of cash people paid for health-care expenses, decreased significantly from 1969 to 2009. However, the Health Insurance category increased significantly from 1969 to 2009. Overall, the chart shows that the total out-of-pocket and health insurance expense increased significantly from 1969 to 2009. These two categories made up approximately 75% of total health-care spending in 1969. By 2009, these two categories increased to over 80% of total health-care spending.

X and Y Axis Formats

There are numerous formatting commands we can apply to the X and Y axes of the chart. Although adjusting the font size, style, and color are common, many more options are available through the Format Axis dialog box (see Figure 4.5 “Format Axis Dialog Box”). The following steps demonstrate a few of these formatting techniques on the Grade Distribution Comparison chart:

1. Click anywhere along the X axis (horizontal axis) of the Grade Distribution Comparison chart on the Grade Distribution worksheet.
2. Click the Home tab of the Ribbon.
3. Change the font style to Arial. Notice that as the mouse pointer hovers over a font style, you can preview the change on the chart before you make a selection.
4. Change the font size to 11 points and bold the font. The final appearance of the X axis is shown in Figure 4.24 “Formatted X Axis”.
5. Click anywhere along the Y axis to activate it.

6. Repeat steps 3 and 4.

   Figure 4.24 Formatted X Axis

   

7. Click the Format tab in the Chart Tools section of the Ribbon.
8. Click the Format Selection button in the Current Selection group of commands. This opens the Format Axis dialog box.
9. Click Number from the list of options on the left side of the Format Axis dialog box (see Figure 4.25 “Formatting Numbers on the Y Axis”). The commands in this section of the Format Axis dialog box are used to format numbers that appear on the X and Y axes of a chart.
10. Click in the Decimal places input box and change the value to 0 (see Figure 4.25 “Formatting Numbers on the Y Axis”).
11. Click the Close button at the bottom of the Format Axis dialog box. The formatting adjustments are shown in Figure 4.26 “Completed X and Y Axis Formats”.

Chart Legend and Title Formats

The next items we will format on the Grade Distribution Comparison chart are the chart legend and title. Similar to the how we formatted the X and Y axes, we can format these items by activating them and using the formatting commands in the Home tab or the Format tab of the Ribbon. The following steps explain how to add these formats:

1. Click the legend on the Grade Distribution Comparison chart in the Grade Distribution worksheet.

2. Click and drag the legend so the top of the legend aligns with the 35% line next to the plot area (see Figure 4.27 “Moving the Legend”).

   Figure 4.27 Moving the Legend

   

3. Change the font style in the Home tab of the Ribbon to Arial.
4. Change the font size to 12 points.
5. Click the bold and italics commands in the Home tab of the Ribbon.
6. Click and drag the left sizing handle so the legend is against the plot area (see Figure 4.28 “Legend Formatted and Resized”).

7. Click and drag the lower center sizing handle so the bottom of the legend is aligned with the 25% line of the plot area (see Figure 4.28 “Legend Formatted and Resized”).

   Figure 4.28 Legend Formatted and Resized

   

8. Click the chart title to activate it.
9. Click the Format tab in the Chart Tools section of the Ribbon.
10. Click the More down arrow in the Shape Styles group of commands to open the complete set of preset format styles (see Figure 4.28 “Legend Formatted and Resized”).
11. Click the Subtle Effect – Blue, Accent 1 option, which is in the fourth row, second style from the left. As the mouse hovers over a style, you can preview the appearance on the chart.
12. In the Home tab of the Ribbon, change the font style to Arial and reduce the font size to 14 points (see Figure 4.29 “Chart Legend and Title Formatted”).

X and Y Axis Titles

Titles for the X and Y axes are necessary for defining the numbers and categories presented on a chart. For example, by looking at the Grade Distribution Comparison chart, it is not clear what the percentages along the Y axis represent. The following steps explain how to add titles to the X and Y axes to define these numbers and categories:

1. Click anywhere on the Grade Distribution Comparison chart in the Grade Distribution worksheet to activate it.
2. Click the Layout tab in the Chart Tools section of the Ribbon.
3. Click the Axis Titles button in the Labels group of commands.

4. Place the mouse pointer over the Primary Vertical Axis TitleCommand used to add a title to the Y axis of a chart. option from the drop-down list. This opens a second drop-down list. Select the Rotated Title option from the second drop-down list. This adds a title next to the Y axis (see Figure 4.30 “Selecting a Title for the Y Axis”).

   Figure 4.30 Selecting a Title for the Y Axis

   

5. Click the Format tab in the Chart Tools section of the Ribbon.
6. Click the Colored Outline – Blue, Accent 1 preset style option in the Shape Styles group of commands.
7. Change the font style in the Home tab to Arial. Change the font size to 11 points.
8. Click in the beginning of the Y axis title and delete the generic title. Type Percent of Enrolled Students.

9. Click and drag the Y axis title so it is between 0% and 30% in the plot area (see Figure 4.31 “Adding and Formatting the Y Axis Title”).

   Figure 4.31 Adding and Formatting the Y Axis Title

   

10. Click the Layout tab in the Chart Tools section of the Ribbon.
11. Click the Axis Titles button in the Labels group of commands.
12. Place the mouse pointer over the Primary Horizontal Axis TitleCommand used to add a title to the X axis of a chart. option. Select Title Below Axis from the second drop-down list.
13. Click the Format tab in the Chart Tools section of the Ribbon.
14. Click the Colored Outline – Blue, Accent 1 preset style option in the Shape Styles group of commands.
15. Change the font style in the Home tab to Arial. Change the font size to 11 points.
16. Click in the beginning of the X axis title and delete the generic title. Type Final Course Grade.

Figure 4.32 “X and Y Axis Titles Added” shows the added titles for the X and Y axes. The titles provide definitions for the grade categories along the X axis as well as the percentages on the Y axis.

Data Series Labels and Formats

Adding labels to the data series of a chart is a key formatting feature. A data seriesA quantitative data set that is displayed graphically on a chart. Data sets are typically displayed in the form of columns or lines on a chart. is the item that is being displayed graphically on a chart. For example, the blue bars on the Grade Distribution Comparison chart represent one data series. We can add labels at the end of each bar to show the exact percentage the bar represents. In addition, we can add other formatting enhancements to the data series, such as changing the color of the bars or adding an effect. The following steps explain how to add these labels and formats to the chart:

1. Click any red bar representing the College data series on the Grade Distribution Comparison chart in the Grade Distribution worksheet. Clicking one bar automatically activates all bars in the data series. If you click a bar a second time, only that bar is activated.
2. Click the Format tab in the Chart Tools section of the Ribbon.
3. Click the down arrow on the Shape Fill button in the Shape Styles group of commands.

4. Click the orange color square from the drop-down color palette (see Figure 4.33 “Changing the Color of a Data Series”). As you move the mouse pointer over other colors on the palette, you can preview the change on the data bars.

   Figure 4.33 Changing the Color of a Data Series

   

5. Click the Layout tab in the Chart Tools section of the Ribbon.
6. Click the Data Labels button in the Labels group of commands. Select More Data Label Options at the bottom of the drop-down list to open the Format Data Labels dialog box.
7. Click the Number option from the list on the left side of the Format Data Labels dialog box.
8. Select Percentage on the right side of the Format Data Labels dialog box (see Figure 4.34 “Adding Labels to a Data Series”).
9. Click in the Decimal Places input box and change the number of decimal places to zero.
10. Click the Close button at the bottom of the Format Data Labels dialog box.
11. Click the Home tab of the Ribbon.
12. Change the font style to Arial, change the font size to 9 points, and select the Bold command.
13. Click any blue bar in the Class data series.
14. Repeat steps 5 through 12.

Figure 4.35 “Completed Formatting Adjustments for the Data Series” shows the Grade Distribution Comparison chart with the completed formatting adjustments and labels added to the data series. Note that we can move each individual data label. This might be necessary if two data labels overlap or if a data label falls in the middle of a grid line. To move an individual data label, click it twice, then click and drag.

Formatting the Plot and Chart Areas

The last items we will format on the Grade Distribution Comparison chart are the plot and chart areas. We format these areas primarily to enhance the visibility of the data series. The following steps explain how to add these formatting enhancements to the chart:

1. Click anywhere in the chart area of the Grade Distribution Comparison chart in the Grade Distribution worksheet.
2. Click the Format tab in the Chart Tools section of the Ribbon.
3. Click the down arrow on the Shape Fill button in the Shape Styles group of commands.
4. Select the Tan, Background 2, Darker 25% option from the color palette (see Figure 4.36 “Formatting the Chart Area”).
5. Click anywhere in the plot area to activate it. Be sure not to click a grid line or one of the data series.
6. Click the Format tab in the Chart Tools section of the Ribbon.
7. Click the Shape Effects button in the Shape Styles group of commands.
8. Place the mouse pointer over the Bevel option from the drop-down list. Then select the Circle bevel option from the second drop-down list (see Figure 4.37 “Putting a Bevel Effect on the Plot Area”).

Figure 4.38 “Grade Distribution Comparison Chart with Formats Applied” shows the completed Grade Distribution Comparison chart. The darker shade on the chart area along with the bevel effect on the plot area make the data series the main focal point of the chart.

Adding Series Lines and Annotations to a Chart

The last formatting features we will demonstrate are adding series lines and annotations to a chart. To demonstrate these skills, we will use the Change in Health Care Spend Source stacked column chart. Series linesLines that are typically used in a stacked column chart to connect the data series between two or more stacks. are commonly used in stacked column charts to show the change from one stack to the next. AnnotationsNotes or comments that explain the nature and source of the data presented on a chart. are useful for clarifying the data presented in a chart or for identifying data sources. In addition to demonstrating these skills, we will review several of the formatting skills that were covered in this section. The following steps include the skills review as well as the new formatting features:

1. Locate the Change in Health Care Spend Source chart on the Health Care worksheet. Activate the chart by clicking anywhere inside the chart perimeter.
2. Move the chart to a separate chart sheet by clicking the Move Chart button in the Design tab of the Ribbon. Type the following sheet tab label in the New sheet input box: Health Spending Chart. Click the OK button.
3. Click anywhere on the X axis to activate it. In the Home tab of the Ribbon, change the font style to Arial, change the font size to 12 points, and select the bold command.
4. Activate the Y axis and apply the same formatting adjustments as stated in step 3.
5. Add a Y axis title using the Rotated Title option. In the Format tab under the Chart Tools section of the Ribbon, select the first preset style option, Colored Outline – Black, Dark 1, in the Shape Styles group of commands. Then, in the Home tab of the Ribbon, change the font style to Arial and the font size to 14 points.
6. Change the wording of the Y axis title to read Percent of Total Annual Spend.
7. Activate the title of the chart by clicking it once. In the Format tab under the Chart Tools section of the Ribbon, select the first preset style option, Colored Outline – Black, Dark 1, in the Shape Styles group of commands. Then, in the Home tab of the Ribbon, change the font style to Arial.
8. Click anywhere in the chart area to activate it.
9. Click the Format tab in the Chart Tools section of the Ribbon and click the down arrow on the Shape Fill button. Select the Olive Green, Accent 3, Lighter 60% option on the color palette.
10. Click anywhere on the plot area to activate it. Be sure not to click on a grid line.
11. Click the Shape Effects button in the Format tab of the Ribbon. Place the mouse pointer over the Bevel option from the drop-down menu. Select the first option from the Bevel format list, which is the “Circle” bevel option.
12. Click and drag down the top center sizing handle of the plot area approximately one inch (see Figure 4.39 “Adjusting the Size of the Plot Area”).

13. Click and drag up the bottom center sizing handle approximately three-quarters of an inch (see Figure 4.39 “Adjusting the Size of the Plot Area”). This step and step 12 are necessary to create space at the top and bottom of the chart to add annotations.

    Figure 4.39 “Adjusting the Size of the Plot Area” shows the Change in Health Care Spend Source chart prior to adding the series lines and annotations. Notice that the Ribbon has been minimized to improve the visibility of the chart. The remaining steps will focus on adding lines and annotations:

    Figure 4.39 Adjusting the Size of the Plot Area

    

14. Click the Layout tab in the Chart Tools section of the Ribbon.
15. Click the Lines button in the Analysis group of commands.

16. Click the Series Lines option from the drop-down list. This adds lines to the chart, connecting each data series between the two stacks (see Figure 4.40 “Selecting the Series Lines Option”).

    Figure 4.40 Selecting the Series Lines Option

    

17. Click any of the series lines added to the chart. Clicking one line will activate all lines on the chart (see Figure 4.41 “Activating the Series Lines”).

    Figure 4.41 Activating the Series Lines

    

18. Click the Shape Outline button in the Format tab of the Ribbon. Place the mouse pointer over the Weight option and select the “2¼ line weight” option.

    Figure 4.42 “Series Lines Added to the Stacked Column Chart” shows the appearance of the chart with the series lines connecting the two stacks. This formatting enhancement is common for stacked column charts. The lines help focus the audience’s attention to changes in the percent of total trend. In this case, the audience can quickly see the decline in the Out of Pocket category (blue) and the increase in the Health Insurance category (red).

    Figure 4.42 Series Lines Added to the Stacked Column Chart

    

19. Click anywhere in the chart area of the Change in Health Care Spend Source chart.
20. Click the Text Box button in the Insert tab of the Ribbon (see Figure 4.43 “Lines Added to the Stacked Column Chart”).
21. Place the mouse pointer on the left edge of the chart area approximately one-quarter inch from the top. Click and drag a rectangle approximately one and a half inches wide and one-quarter inch high (see Figure 4.43 “Lines Added to the Stacked Column Chart”).
22. Click the Home tab of the Ribbon and change the font style to Arial, change the font size to 10 points, and select the bold and italics commands.

23. Type Dollars in Millions. This tells the audience that the numbers have been truncated and represent denominations in millions. This means you would add six zeros to the end of each number on the chart. Therefore, the Out of Pocket value for 1969 is shown as $22,617 but is actually $22,617,000,000, or $22.6 billion.

    Figure 4.43 Lines Added to the Stacked Column Chart

    

24. Repeat steps 19–22 to add a second text box to the chart. Begin drawing this text box below the first box approximately one inch in from the left edge of the chart (see Figure 4.43 “Lines Added to the Stacked Column Chart”). Complete the formatting changes in step 22 and select the Align Text Right command.
25. Type 100% = in the second text box.
26. Repeat steps 19–22 to add a third text box to the chart. Center this text box over the 1969 stack. In addition to the formatting commands in step 22, select the Center align command and the Underline command.
27. Type $66,172 in the third text box.
28. Repeat steps 19–22 to add a fourth text box to the chart. Center this text box over the 2009 stack. In addition to the formatting commands in step 22, select the Center align command and the Underline command.
29. Type $2,486,293 in the fourth text box.
30. Repeat steps 19–22 to add a fifth text box to the chart. Begin drawing this text box at the bottom left edge of the chart, just below the data table. The text box will need to be at least four inches wide.
31. Type Source: US Department of Health and Human Services in the fifth text box.

Figure 4.44 “Completed Stacked Column Chart with Annotations” shows the completed Change in Health Care Spend Source stacked column chart. The lines and annotations provide key information for understanding the data and interpreting the trends presented on the chart.

Supply and Demand: The Scatter Chart

A common use for a scatter chart is the study of supply and demand curves. This is because the data points for both the supply and demand lines require quantitative values on both the X and Y axes. The Y axis contains the price of a certain good or item; the X axis contains the quantity sold for that good or item. Fundamental economic laws state that as prices rise, sellers are willing to increase supply and sell more goods. However, the reverse is true for consumers. As prices rise, consumers purchase fewer goods. The Supply & Demand worksheet contains hypothetical data for the supply and demand of breakfast cereal. There are ten data points to show the change in supply and demand as the price changes in Column A. The values you see in Columns A through C are formula outputs that are driven by the percentage in cell C14. For example, if the percentage in cell C14 is changed to 10, each price listed in Column A will increase, as shown in Figure 4.45 “Hypothetical Supply and Demand Data”.

We will use the scatter chart to study the change in quantity supplied and demanded as the price increases over ten data points, as shown in Figure 4.45 “Hypothetical Supply and Demand Data”. For many of the charts demonstrated in this chapter, we were able to highlight a range of cells and insert the chart type we needed. This was especially the case when the data was in a contiguous range of cells. However, this method rarely works when creating a scatter chart, even if the data are in a contiguous range. As a result, the method we present here starts with a blank chart and demonstrates how each data series is added to the chart individually. The following steps explain how we create this chart:

1. Change the value in cell C14 on the Supply & Demand worksheet to zero.
2. Activate cell E1 on the Supply & Demand worksheet. It is important to note that this cell location is not adjacent to any data on the worksheet.
3. Click the Scatter button from the Charts group of commands on the Insert tab of the Ribbon.

4. Select the Scatter with Smooth Lines and Markers format from the drop-down list of options (see Figure 4.46 “Selecting a Scatter Chart Format”). This adds a blank chart to the worksheet.

   Figure 4.46 Selecting a Scatter Chart Format

   

5. Click and drag the chart so the upper left corner is in the center of cell E2.
6. Resize the chart so the left side is locked to the left side of Column E, the right side is locked to the right side of Column M, the top is locked to the top of Row 2, and the bottom is locked to the bottom of Row 17.
7. Click the Design tab in the Chart Tools section of the Ribbon. Then click the Select Data button in the Data group of commands. This opens the Select Data Source dialog box.
8. Click the Add button on the left side of the Select Data Source dialog box. This opens the Edit Series dialog box. Notice on this dialog box there are inputs for defining values for both the X and Y axes. Charts that we previously created using this method only had an input for putting values on the Y axis.
9. Type the series name Demand. This should appear in the Series name input box.
10. Press the TAB key on your keyboard to advance to the Series X values input box on the Edit Series dialog box.
11. Highlight the range B3:B12 on the Supply & Demand worksheet. You will see this range appear in the Series X values input box after it is highlighted.
12. Press the TAB key on your keyboard to advance to the Series Y values input box on the Edit Series dialog box.

13. Highlight the range A3:A12 on the Supply & Demand worksheet.

    Figure 4.47 “Defining the Demand Data Series” shows the final settings in the Edit Series dialog box for the Demand data series. You will see that as the X and Y axis values are defined in the dialog box, they appear on the chart. The chart in this figure shows the price along the Y axis and quantity along the X axis.

    Figure 4.47 Defining the Demand Data Series

    

14. Click the OK button at the bottom of the Edit Series dialog box.
15. Click the Add button on the left side of the Select Data Source dialog box.
16. Type the series name Supply. This should appear in the Series name input box.
17. Press the TAB key on your keyboard to advance to the Series X values input box on the Edit Series dialog box.
18. Highlight the range C3:C12 on the Supply & Demand worksheet. This range appears in the Series X values input box after it is highlighted.
19. Press the TAB key on your keyboard to advance to the Series Y values input box on the Edit Series dialog box.
20. Highlight the range A3:A12 on the Supply & Demand worksheet.
21. Click the OK button at the bottom of the Edit Series dialog box.
22. Click the OK button at the bottom of the Select Data Source dialog box.

Figure 4.48 “Scatter Chart Showing One Price” shows the appearance of the scatter chart before any formatting enhancements are applied. Notice only two plot points are located on the chart. This is because the price change value in cell C14 is still zero. Therefore, the data are not reflecting any change in price, quantity demanded, or quantity supplied. The chart shows that at the current price of $1.50, suppliers are willing to provide fewer units compared with the number of units consumers are willing to buy.

The following steps explain the formatting enhancements we will apply to the scatter chart shown in Figure 4.48 “Scatter Chart Showing One Price”:

1. Add a title to the chart by clicking the Chart Title button in the Layout tab of the Chart Tools section of the Ribbon. Use the Above Chart option from the drop-down list.
2. Select Subtle Effect – Orange, Accent 6 from the preset style list in the Shape Styles group of commands on the Format tab of the Ribbon.
3. Change the font style of the chart title to Arial and the font size to 14 points.
4. Change the wording of the chart title as follows: Supply and Demand for Breakfast Cereal.
5. Add a title to the Y axis. Use the Rotated Title option from the Primary Vertical Axis Title drop-down list after clicking the Axis Titles button in the Layout tab of the Ribbon.
6. Repeat steps 2 and 3 to format the Y axis title. However, change the font size to 12 points.
7. Change the wording of the Y axis title as follows: Price per Unit.
8. Add a title to the X axis.
9. Repeat steps 2 and 3 to format the X axis title. However, change the font size to 12 points.
10. Change the wording of the X axis title as follows: Quantity in Units.
11. Make the following format changes to the X and Y axis values: font style Arial, font size 11 points, and bold.

12. Change the color of the chart area to Aqua, Accent 5, Lighter 40% (see Figure 4.49 “Formatting Enhancements Added to the Scatter Chart”).

    Figure 4.49 Formatting Enhancements Added to the Scatter Chart

    

13. Apply a bevel effect to the plot area. Use the Circle format option from the Bevel drop-down list of options.
14. Change the font style of the legend to Arial and bold the font.
15. Change the value in cell C14 to 2. Then change it to 4 and then to 8. Change the value one more time to 14. As you change the values in cell C14, you will see the lines change on the chart.

Figure 4.50 “Scatter Chart with Price Change at 2%” shows the completed scatter chart when the Price Change is set to 2%, and Figure 4.51 “Scatter Chart with Price Change at 14%” shows the same chart when the Price Change is set to 14%. The point at which the demand and supply lines intersect on Figure 4.51 “Scatter Chart with Price Change at 14%” is known as the market equilibrium point. The market equilibriumA state in which the quantity demanded equals the quantity supplied at a specific price. is where the quantity demanded equals the quantity supplied at a specific price. The price where quantity demanded equals quantity supplied is referred to as the equilibrium priceThe price where quantity demanded equals quantity supplied..

Changing the Scale of the X and Y Axes

For all the charts demonstrated in this chapter, Excel has automatically established the scale for the Y axis. For scatter charts, Excel has also established the scale for the X axis. The axis scaleThe minimum and maximum value that appears on the X or Y axis of a chart. is the minimum and maximum value that appears on an axis. For example, in Figure 4.51 “Scatter Chart with Price Change at 14%”, the Y axis scale is set to a minimum value of zero and a maximum value of 6.00. Although this is a very convenient feature of Excel, you may want to change the scale in some instances. If you change the value in cell C14 on the Supply & Demand worksheet, the lines jump or shift on the plot area of the chart. This is because Excel keeps rearranging the scale of both the X and Y axes. When studying the shape of lines, it is best to set the scale so it does not change. The following steps explain how to accomplish this:

1. Change the value in cell C14 on the Supply & Demand worksheet to zero.
2. Click anywhere on the Y axis of the chart.
3. Click the Format Selection button in the Layout tab of the Chart Tools section of the Ribbon. This opens the Format Axis dialog box.
4. Click the Fixed option next to the Minimum setting under the Axis Options in the Format Axis dialog box. This ensures that the minimum value for the Y axis will always be zero.
5. Click the Fixed option next to the Maximum setting under the Axis Options in the Format Axis dialog box.
6. Click in the input box next to the Maximum setting. Remove the 1.6 and enter the number 5.0. We will not be studying the behavior of supply and demand beyond a $5.00 price point, so there is no need to extend the Y axis beyond this point.
7. Click the Fixed option next to the Major Unit setting under the Axis Options in the Format Axis dialog box.
8. Click in the input box next to the Major Unit setting and change the value from 0.2 to 0.5 (see Figure 4.52 “Setting the Y Axis Scale”). This allows us to measure the plot points in $0.50 intervals along the Y axis. When the axis extends to $5.00, $0.20 intervals may place too many values along the Y axis, making it difficult to read.

9. Click the Close button at the bottom of the Format Axis dialog box.

   Figure 4.52 Setting the Y Axis Scale

   

10. Click anywhere along the X axis of the chart.
11. Click the Format Selection button in the Layout tab of the Chart Tools section of the Ribbon. This opens the Format Axis dialog box for the X axis.
12. Click the Fixed option next to the Minimum setting under the Axis Options in the Format Axis dialog box. This ensures that the minimum value for the X axis will always be zero.
13. Click the Fixed option next to the Maximum setting under the Axis Options in the Format Axis dialog box.
14. Click in the input box next to the Maximum setting. Remove the 500.0 and enter the number 450.0. The number of units supplied or demanded will not exceed 450 based on the price points in our study. There is no need to extend the X axis to 500.
15. Click the Fixed option next to the Major Unit setting under the Axis Options in the Format Axis dialog box.
16. Click in the input box next to the Major Unit setting and change the value from 100.0 to 50.0. This allows us to measure the plot points in 50-unit intervals along the X axis.
17. Click the Close button at the bottom of the Format Axis dialog box.
18. Change the value in cell C14 to 2. Then change it to 4 and then to 8. Change the value one more time to 14. As you change the values in cell C14, the lines change but they no longer jump or shift since the scale of both axes is fixed.

Figure 4.53 “Final Appearance of the Scatter Chart” shows the final appearance of the scatter chart after the scale is set for both the X and Y axes. Notice that market equilibrium is achieved at a price of approximately $2.50.

Adding a Trendline and Equation

A trendline can be applied to a chart to estimate or predict where plot points may occur at various points along the X and Y axes. Excel enables you to add a trendline to a chart and also provides the equation you can use to plot additional points. The following steps explain how to accomplish this:

1. Set the value in cell C14 on the Supply & Demand worksheet to 14.
2. Click anywhere in the chart area of the scatter chart to activate it.
3. Click the Trendline button in the Layout tab of the Ribbon. Select the Linear Trendline option from the drop-down list.

4. Select the Demand option from the Add Trendline dialog box and click the OK button. This adds a new line to the plot area of the chart as well as the legend.

   Figure 4.54 “Adding a Linear Trendline” shows the scatter chart after adding a linear trendline. Notice that the line goes through only two points on the demand line. This indicates that this trendline may not be a good fit for the line that has been created on the chart.

   Figure 4.54 Adding a Linear Trendline

   

   Finding the right shape for a trendline may require trying a few different options. As shown in Figure 4.54 “Adding a Linear Trendline”, the linear trendline is not a good fit for the shape of the demand line. The remaining steps will demonstrate how to remove a trendline and access more trendline options:

5. Click the Trendline button in the Layout tab of the Ribbon. Select the None option from the drop-down list. This removes the trendline from the chart.
6. Click the Trendline button in the Layout tab of the Ribbon again. This time, select More Trendline Options from the drop-down list.
7. Select the Demand option from the Add Trendline dialog box and click OK. This opens the Format Trendline dialog box.
8. Select the Power option from the Format Trendline dialog box.
9. Click the “Display Equation on chart” option at the bottom of the Format Trendline dialog box (see Figure 4.55 “The Format Trendline Dialog Box”).
10. Click the Close button at the bottom of the Format Trendline dialog box.

Figure 4.56 “Scatter Chart with a Power Trendline” shows the scatter chart with the Power trendline added for the demand series. Notice that the line fits perfectly over the demand series in the plot area. In fact, it may be difficult to see the line in the figure. This indicates that the trendline is an excellent fit for the demand line. As a result, we can be confident in using this line to predict other demand values along the X and Y axes. You can also see that the equation for this trendline has been added to the plot area of the chart. We can use the equation to calculate the price for each quantity value substituted for X. For example, if the number 150 is substituted for X in the equation, the result is a price of $2.59. Based on the values used to create the chart, this result appears to be accurate.

Pasting a Chart Image into Word

Excel charts can be valuable tools for explaining quantitative data in a written report. Reports that address business plans, public policies, budgets, and so on all involve quantitative data. For this example, we will assume that the Change in Health Care Spend Source stacked column chart (see Figure 4.44 “Completed Stacked Column Chart with Annotations”) is being used in a written policy report. The following steps demonstrate how to paste an image, or picture, of this chart into a Word document:

1. Click below the figure heading in the Word document that reads: Figure 6: Health Care Spending in the U.S. The image of the stacked column chart will be placed below this heading.
2. Open the Excel Objective 4.16 follow-along file.
3. Activate the Change in Health Care Spend Source chart in the Health Spending Chart worksheet.
4. Click the Copy button in the Home tab of the Ribbon.
5. Go back to the Excel Objective 4.17 Word document by clicking the file in the taskbar.
6. Click the drop-down arrow below the Paste button in the Home tab of the Ribbon. Click the Picture option from the drop-down list, which is the last option on the far right (see Figure 4.57 “Paste Picture Option for Word”).
7. Click anywhere on the picture of the chart to activate it.

8. Click the Format tab under the Picture Tools section of the Ribbon (see Figure 4.58 “Changing the Size of a Picture in Word”).

   Figure 4.57 Paste Picture Option for Word

   

9. Click the down arrow on the Shape Width button in the Size group of commands (see Figure 4.58 “Changing the Size of a Picture in Word”). Continue to click the down arrow until the width of the picture is 5.5. As you reduce the width of the picture, the height is automatically reduced as well.

Figure 4.59 “Final Appearance of Pasting a Chart Image into Word” shows the final appearance of the Change in Health Care Spend Source chart pasted into a Word document. It is best to use either the Shape Width or Shape Height buttons to reduce the size of the chart. Using either button automatically reduces the height and width of the chart in proper proportion. If you choose to use the sizing handles to resize the chart, holding the SHIFT key while clicking and dragging on a corner sizing handle will also keep the chart in proper proportion.

Pasting a Linked Chart Image into PowerPoint

Microsoft PowerPoint is perhaps the most commonly used tool for delivering live presentations. The charts used in a live presentation are critical for efficiently delivering your ideas to an audience. Similar to written documents, a wide range of presentations may require the explanation of quantitative data. This demonstration includes a PowerPoint slide that could be used in a presentation for setting prices for a hypothetical breakfast cereal company. We will paste the scatter chart showing the supply and demand for breakfast cereal into this PowerPoint slide. However, instead of pasting an image, as demonstrated in the Word document, we will establish a linkA dynamic connection between two files, worksheets, or cell locations. Any change in the source file will be reflected in the file, worksheet, or cell that contains the link. to the Excel file. As a result, if we change the chart in the Excel file, the change will be reflected in the PowerPoint file. The following steps explain how to accomplish this:

1. Open the Excel Objective 4.16 follow-along file.
2. Activate the scatter chart in the Supply & Demand worksheet.
3. Click the Copy button in the Home tab of the Ribbon.
4. Go back to the Excel Objective 4.18 PowerPoint file by clicking the file in the taskbar.
5. Click the down arrow below the Paste button in the Home tab of the Ribbon in the PowerPoint file.

6. Select the Keep Source Formatting & Link Data option from the drop-down list (see Figure 4.60 “Creating a Link to an Excel Chart in PowerPoint”). This pastes an image of the Excel chart into the PowerPoint slide. In addition, a link is created so that any changes made to the chart appear on the PowerPoint slide.

   Figure 4.60 Creating a Link to an Excel Chart in PowerPoint

   

7. Click anywhere in the plot area of the scatter chart pasted into the PowerPoint slide. You will see the same Excel Chart Tools tabs added to the Ribbon (see Figure 4.61 “Modifying an Excel Chart Pasted into a PowerPoint Slide”).

   Figure 4.61 Modifying an Excel Chart Pasted into a PowerPoint Slide

   

8. Click the down arrow next to the Shape Fill button in the Format tab of the Ribbon. Select the white color block from the palette (see Figure 4.61 “Modifying an Excel Chart Pasted into a PowerPoint Slide”).
9. Go back to the Excel Objective 4.16 file by clicking it in the taskbar.
10. In the Supply & Demand worksheet, change the value in cell C14 to 6.
11. Go back to the Excel Objective 4.18 PowerPoint file by clicking it in the taskbar.
12. Click the Design tab in the Chart Tools section of the Ribbon. Click the Refresh Data button (see Figure 4.62 “Refreshing a Linked Excel Chart Pasted into a PowerPoint Slide”). The change made in the Excel workbook is now reflected on the PowerPoint slide.

Figure 4.62 “Refreshing a Linked Excel Chart Pasted into a PowerPoint Slide” shows the appearance of the scatter chart in the PowerPoint slide after the color of the plot area was changed back to white. Figure 4.63 “Final Chart Linked to a PowerPoint Slide” shows the appearance of the scatter plot after the change was made in the Supply & Demand worksheet in the Excel file. The change that was made in the Excel file will appear in the PowerPoint file after clicking the Refresh Data button.

Freeze Panes

The Investment Detail worksheet shown in Figure 3.2 “Investment Detail Worksheet” contains the majority of the information used to create the Portfolio Summary worksheet shown in Figure 3.1 “Completed Personal Investment Portfolio Workbook”. When you first open the worksheet, you will notice it is not possible to view all twenty-four columns on your computer screen. As you scroll to the right to view the rest of the columns, you will lose site of the row headings in Columns A and B. The headings in these columns show the investment that pertains to the data in Columns C through X. To solve this problem of viewing the row headings while scrolling through the remaining columns in the worksheet, we will use the Freeze Panes command.

The Freeze PanesAn Excel command that allows you to lock specific columns and rows in place while scrolling through a large worksheet. command allows you to scroll across the Investment Detail worksheet while keeping the row headings in Columns A and B locked in place. The following steps explain how to do this:

1. Click cell C4 on the Investment Detail worksheet. We select this cell because the Freeze Panes option locks the columns to the left of the activated cell as well as the rows above the activated cell.
2. Click the View tab on the Ribbon.
3. Click the Freeze Panes button (see Figure 3.3 “Freeze Panes Command”).
4. Click the Freeze Panes option from the drop-down list of options.

Once you click the Freeze Panes option shown in Figure 3.3 “Freeze Panes Command”, Columns A and B are locked in place as you scroll through the columns in the worksheet. Since this is a large worksheet, you may find it easier to navigate the columns by using the arrow keys on your keyboard. However, since rows 1 and 2 contain merged cells, make sure a cell location is activated below Row 2 before you begin using the arrow keys. Figure 3.4 “Freeze Panes Command Activated on the Investment Detail Worksheet” shows the appearance of the Investment Detail worksheet after the Freeze Panes command has been activated. To deactivate the Freeze Panes command, click the Freeze Panes button again and select the Unfreeze Panes option.

Formula and Functions Review

We will begin developing the personal investment portfolio workbook by adding several formulas and functions. The formulas and functions we will add were illustrated in detail in Chapter 2 “Mathematical Computations”. Therefore, the steps provided in this chapter will be brief. After the formulas and functions are added to the Investment Detail worksheet, we can add the logical and lookup functions. However, before proceeding, let???s review the investment type definitions in Table 3.1 “Investment Types in Column A of the Investment Detail Worksheet”. Table 3.1 “Investment Types in Column A of the Investment Detail Worksheet” provides a definition for each of the investment types listed in Column A of the Investment Detail worksheet. This project assumes that the personal investment portfolio comprises four types of investments. The reason we include a variety of investment types in any portfolio is to manage our total risk, or potential of losing money. When building an investment portfolio, it is important to keep in mind that investments of all types can dramatically increase or decrease in value over a short period of time. Managing risk requires that your money is not concentrated in one type of investment.

We will begin adding formulas and functions to the Investment Detail worksheet in sections. If you scroll across all the columns in the worksheet, you will notice the worksheet includes five distinct sections. Four of the five sections contain columns that need to be completed with formulas and functions before we can add the logical and lookup functions. Table 3.2 “Definitions for Columns A through G of the Investment Detail Worksheet” contains definitions for each of the columns in the Descriptive Information section (Columns A through D) and the Purchase section (Columns E through G). It will be helpful to understand the purpose of these columns as we complete this worksheet.

The Descriptive Information section of the Investment Detail worksheet (Columns A through D) contains only one blank column, which will be completed using a lookup function. Therefore, we will proceed to the Purchase section (Columns E through G) where the Cost of Purchase column is blank. The following steps explain how to enter the formula into this column:

1. Click cell G4 on the Investment Detail worksheet.
2. Type an equal sign (=).
3. Enter a formula that multiplies the Shares Purchased (cell E4) by the Purchase Price per Share (cell F4).
4. Copy the formula in cell G4.
5. Highlight the range G5:G18.
6. Click the down arrow on the Paste button in the Home tab of the Ribbon.
7. Click the Formulas button from the list of options. This is the Paste Formulas command, which pastes only the formula without any associated formats for the copied cell location.
8. Click cell E19 on the Investment Detail worksheet.
9. Press and hold the ALT key on your keyboard, then press the equal sign (=). This is the shortcut for the Auto Sum feature.
10. Press the ENTER key on your keyboard.
11. Click cell G19 on the Investment Detail worksheet.
12. Repeat step 9.
13. Press the ENTER key on your keyboard.

Figure 3.5 “Completed Formula in the Cost of Purchase Column” shows the formula that was entered into cell G4 in the Purchase section of the Investment Detail worksheet. You can also see the results of the formula after it is pasted into the range G5:G18. The Paste Formulas option was used to paste the formula into this range so the borders would not be altered.

Table 3.3 “Definitions for Columns H through K of the Investment Detail Worksheet” shows the definitions for the Current Value section (Columns H through K) of the Investment Detail worksheet.

We will add a basic formula to the Current Purchase Value and Current Investment Value columns. For the Estimated Dividend Payments column, we will use the FV (future value) function to estimate the dividend payments. The following explains how we add the FV function to the Estimated Dividend Payments column:

1. Click cell J4 and type an equal sign (=).
2. Type the function name FV followed by an open parenthesis (().
3. Click cell D4, type a forward slash (/) for division, and then type 12. This divides the rate in the Dividend/Yield column by 12. The length of ownership of an investment is expressed in terms of months in Column Q. Therefore, the rate for the FV function must be expressed in terms of months by dividing the annual rate by 12.
4. Type a comma.
5. Click cell Q4, which contains the number of months owned or the term of the future value calculation.
6. Type a comma followed by a zero (,0). We are not calculating an annuity or periodic investment in this example, so the PMT argument will be defined with a zero. Type a comma to advance the function to the Pv argument.
7. Type a minus sign (???) and click cell G4. This is the cost of the investment purchase previously calculated.
8. Type a closing parenthesis ()).
9. Type a minus sign (???) and click cell G4. By itself, the FV function is calculating the total value of the investment with dividends or interest earned. To show only the amount of dividends or interest earned, we subtract the cost of the investment purchase in G4 from the result of the FV function.
10. Press the ENTER key on your keyboard.
11. Adjust the decimal places for the output of the FV function to zero.
12. Copy the FV function in cell J4 and paste it into the range J5:J18 using the Paste Formulas command.

Figure 3.6 “Completed FV Function in the Estimated Dividend Payments Column” shows the completed FV function in cell J4 of the Estimated Dividend Payments column. It is important to reduce the decimal places to zero after you enter the function into cell J4. Excel does not display the result of the function until the decimal places are removed because of the column width.

The following steps explain how to add the formulas for the Current Purchase Value and Current Investment Value columns:

1. Click cell I4 on the Investment Detail worksheet.
2. Enter a formula that multiplies the Current Price in cell H4 by the Shares Purchased in cell E4.
3. Copy the formula in cell I4 and paste it into the range I5:I18 using the Paste Formulas command.
4. Click cell K4 on the Investment Detail worksheet.
5. Enter a formula that adds the Current Purchase Value in cell I4 to the Estimated Dividend Payments in cell J4.
6. Copy the formula in cell K4 and paste it into the range K5:K18 using the Paste Formulas command.
7. Click cell K19 on the Investment Detail worksheet.
8. Enter a SUM function that adds the values in the range K4:K18.

Figure 3.7 “Completed Current Value Section of the Investment Detail Worksheet” shows the completed columns of the Current Value section in the Investment Detail worksheet. The formula used to calculate the Current Investment Value illustrates why we used the FV function to calculate the estimated dividend or interest payments for an investment. Investments that earn interest or dividends can achieve growth in two ways. The first way is through interest or dividend payments. The second way is through changes in the price paid for the investment. The formula used to calculate the Current Purchase Value is taking the number of shares purchased for each investment and multiplying it by the current market price. Therefore, the Current Investment Value takes into account any changes in the investment price by adding the purchase value at the current market price to any dividends or interest payments earned.

Table 3.4 “Definitions for Columns L through R of the Investment Detail Worksheet” provides definitions for the Percent of Portfolio section of the Investment Detail worksheet (Columns L through R).

The Percent of Portfolio section of the Investment Detail worksheet (Columns L through R) requires two formulas and one function. The following steps explain how we add them to the worksheet:

1. Click cell L4 in the Investment Detail worksheet.
2. Enter a formula that divides the Current Investment Value in cell K4 by the total in cell K19.
3. Place an absolute reference on cell K19 in the formula by placing the cursor in front of the column letter and pressing the F4 key on your keyboard.
4. Copy the formula and paste it into the range L5:L18 using the Paste Formulas command.
5. Click cell N4 in the Investment Detail worksheet.
6. Enter a formula that subtracts the Target Percent of Portfolio (cell M4) from the Current Percent of Portfolio (cell L4): L4???M4.
7. Copy the formula and paste it into the range N5:N18 using the Paste Formulas command.
8. Click cell Q19 in the Investment Detail worksheet.
9. Enter an AVERAGE function that calculates the average of the values in the range Q4:Q18.

Figure 3.8 “Percent of Portfolio Section of the Investment Detail Worksheet” shows the results of adding two formulas and a function to the Percent of Portfolio section of the Investment Detail worksheet. Notice the absolute reference added to the cell reference for K19 in the formula in the Current Percent of Portfolio column.

Table 3.5 “Definitions for Columns S through X of the Investment Detail Worksheet” provides definitions for the columns in the Performance Analysis section of the Investment Detail worksheet.

Most of the columns in the Performance Analysis section of the Investment Detail worksheet will be completed with formulas and functions. The following steps explain how we add them to the worksheet:

1. Click cell S4 on the Investment Detail worksheet.
2. Enter a formula that subtracts the value in the Cost of Purchase column (cell G4) from the value in the Current Investment Value column (cell K4): K4???G4.
3. Copy the formula and paste it into the range S5:S19 using the Paste Formulas command. Note that this formula will be used to calculate the output for the Total row in this column. The results of the formula are showing how much money has been earned or lost for each investment. It is important to note that these gains or losses do not actually happen unless the investment is sold.
4. Click cell T4 on the Investment Detail worksheet.
5. Enter a formula that divides the Unrealized Gain/Loss (cell S4) by the Cost of Purchase (cell G4): S4/G4.
6. Copy the formula in cell T4 and paste it into the range T5:T19 using the Paste Formulas command.
7. Click cell V4 on the Investment Detail worksheet.
8. Enter a formula that divides the Percent Gain/Loss (cell T4) by the result of dividing the Months Owned (cell Q4) by 12: T4/(Q4/12). Dividing the Months Owned value by 12 expresses the amount of time an investment has been owned in terms of years. The benchmark growth rates for most investments are expressed in terms of annual return rates. Therefore, this formula must first express the amount of time an investment has been owned in terms of years. Then the total percentage gain or loss for each investment is divided by the length of ownership in years to calculate the actual annual rate of return.
9. Copy the formula in cell V4 and paste it into the range V5:V19 using the Paste Formulas command.
10. Click cell W4 on the Investment Detail worksheet.
11. Enter a formula that subtracts the Target Annual Growth Rate (cell U4) from the Actual Annual Growth Rate (cell V4): V4???U4.
12. Copy the formula in cell W4 and paste it into the range W5:W18 using the Paste Formulas command.

Figure 3.9 “Performance Analysis Section of the Investment Detail Worksheet” shows the results of the formulas added to the Performance Analysis section of the Investment Detail worksheet. This completes the required formulas and functions necessary to add before moving on to the logical and lookup functions of the chapter.

The Logical Test

A key component for the logical functions that will be demonstrated in this section is the logical testAn expression used to evaluate the contents of a cell location. The logical test typically contains comparison operators such as equal to (=), greater than (>), less than (<), and so on. The results of the logical test can be either true or false. An example of a logical test is B8 >= 25, which is read as ???if the value in cell B8 is greater than or equal to 25.???. A logical test is used in logical functions to evaluate the contents of a cell location. The results of the logical test can be either true or false. For example, the logical test C7 = 25 (read as ???if the value in cell C7 is equal to 25???) can be either true or false depending on the value that is entered into cell C7. A logical test can be constructed with a variety of comparison operators, as shown in Table 3.6 “Comparison Operator Symbols and Definitions”. These comparison operators will be used in the logical test arguments for the logical functions demonstrated in this chapter.

A logical test will be used to evaluate the contents of a cell location in the Investment Detail worksheet. We will first demonstrate how the logical test is used to evaluate the contents of a cell location. Then we will use this logical test in the IF function, which will be demonstrated next. The following steps explain how the logical test is constructed:

1. Click cell R4 on the Investment Detail worksheet.
2. Type an equal sign (=).
3. Click cell Q4.
4. Type the greater than sign (>) followed by an equal sign (=).

5. Type the number 12. This completes the logical test, which is shown in Figure 3.10 “Logical Test Entered into the Investment Detail Worksheet”. The logical test would be stated as: ???If the value in cell Q4 is greater than or equal to 12.???

   Figure 3.10 Logical Test Entered into the Investment Detail Worksheet

   

6. Press the ENTER key on your keyboard. Notice that the output of the logical test is the word TRUE. This is because the value in cell Q4 is 48, which is greater than 12 (see Figure 3.11 “Output of the Logical Test”).
7. Copy the logical test in cell R4 and paste it into the range R5:R18 using the Paste Formulas command.

Figure 3.11 “Output of the Logical Test” shows the results of the logical test after it is pasted into the range R5:R18. Notice that for any values that are less than 12 in the range Q4:Q18, the logical test produces an output of FALSE.

IF Function

The IF function is used to produce a custom output based on the results of a logical test. If the results of the logical test are TRUE, the IF function can display a specific number or text, or perform a calculation. If the results of the logical test are FALSE, the IF function can display a different number or text, or perform a different calculation. The arguments of the IF function are defined in Table 3.7 “Arguments for the IF Function”.

We will use the IF function in the Percent of Portfolio section of the Investment Detail worksheet. We will use the logical test that was previously demonstrated within the IF function to determine if an investment has been held for a short or long period of time. For tax purposes, an investment is considered short-term if it is held less than twelve months. This requires the investor to pay a higher tax percentage for any profit earned on the investment. An investment held twelve months or longer is considered a long-term investment. The following explains how the IF function is used to identify which investments are long term or short term:

1. Highlight the range R4:R18 on the Investment Detail worksheet and press the DELETE key on your keyboard. This will remove the logical test and allow us to replace it with an IF function.
2. Click cell R4 on the Investment Detail worksheet.
3. Click the Formulas tab on the Ribbon.
4. Click the Logical button in the Function Library group of commands.

5. Click the IF function from the list of functions (see Figure 3.12 “Selecting the IF Function from the Function Library”). This opens the Function Arguments dialog box.

   Figure 3.12 Selecting the IF Function from the Function Library

   

6. Click the Collapse Dialog button next to the Logical_test argument (see Figure 3.13 “Logical_Test Argument Defined”).
7. Click cell Q4 and press the ENTER key on your keyboard.
8. Type the greater than sign (>) followed by an equal sign (=).

9. Type the number 12.

   Figure 3.13 “Logical_Test Argument Defined” shows the appearance of the IF Function Arguments dialog box after defining the Logical_test argument. Notice that next to the Logical_test input box, Excel shows that the results of the test are true. This makes sense given that the value in cell Q4 is 48, which is greater than 12.

   Figure 3.13 Logical_Test Argument Defined

   

10. Press the TAB key on your keyboard to advance to the next argument, which is Value_if_true.
11. Type the word Long in quotation marks. If you forget to put words or text in quotation marks using the Function Arguments dialog box, Excel will insert the quotation marks for you.
12. Press the TAB key on your keyboard to advance to the next argument, which is Value_if_false.
13. Type the word Short in quotation marks.
14. Click the OK button on the Function Arguments dialog box to complete the function.
15. Copy the IF function in cell R4 and paste it into the range R5:R18 using the Paste Formulas command.

Figure 3.14 “Completed Function Arguments Dialog Box for the IF Function” shows the completed Function Arguments dialog box for the IF function. Notice that the results of the function are displayed in the dialog box. Since the value in cell Q4 is greater than 12, the word Long will be displayed in cell R4.

Figure 3.15 “IF Function Output” shows the completed Long/Short Indicator column on the Investment Detail worksheet. Notice the word Short is displayed for any investment held less than twelve months.

The OR Function

The OR function is similar to the IF function in that it uses a logical test to evaluate the contents of a cell location. However, the OR function allows you to define several logical tests as opposed to just one. If one of the logical tests is true, the output of the function will be the word TRUE. If all the logical tests are false, the output of the function will be the word FALSE. This differs from the IF function because the output of the function is only the word TRUE or the word FALSE. As a result, the OR function is commonly used within the IF function to enable specific outputs to be defined.

We will use the OR function in the Performance Indicator column on the Investment Detail worksheet. The purpose of this column is to identify any investment where either the Unrealized Gain/Loss is less than zero or the Target vs. Actual Growth Rate is less than ???1%. We will use the function in the logical test of an IF function so we can define a specific output based on the results of the OR function. However, we will first demonstrate how the OR function works by itself, which is outlined in the following steps:

1. Click cell X4 on the Investment Detail worksheet.
2. Type an equal sign (=).
3. Type the function name OR followed by an open parenthesis (().
4. Click cell S4 on the Investment Detail worksheet.
5. Type the less than symbol (<) followed by a zero. This completes the first logical test, which is evaluating if the value in cell S4 is less than zero.
6. Type a comma. This advances the function to a second logical test.
7. Click cell W4 on the Investment Detail worksheet.
8. Type the less than symbol (<) followed by ???1%. Be sure to include the minus sign and percent symbol. This completes the second logical test, which is evaluating if the value in cell W4 is less than ???1%.
9. Type a closing parenthesis ()) and press the ENTER key on your keyboard.
10. Copy the OR function in cell X4 and paste it into the range X5:X18 using the Paste Formulas command.

Figure 3.16 “Completed OR Function by Itself” shows the construction and result of the OR function by itself. Notice that the only output of the function is the word TRUE or the word FALSE. If either the Unrealized Gain/Loss is less than zero or the Target vs. Actual Growth Rate is less than ???1%, the function shows the word TRUE. However, these descriptions will not be helpful for the person using this worksheet. Displaying the words OK or Warning would be far more helpful in identifying investments that need to be evaluated. We can do this if we use the OR function in the logical test argument of the IF function. The following steps explain how to accomplish this:

1. Highlight the range X4:X18 on the Investment Detail worksheet and press the DELETE key on your keyboard. We are going to start over by creating an IF function.
2. Click cell X4 on the Investment Detail worksheet.
3. Type an equal sign (=).
4. Type the function name IF followed by an open parenthesis (().
5. Type the function name OR followed by an open parenthesis ((). The OR function is being placed into the logical_test argument of this IF function.
6. Click cell S4 on the Investment Detail worksheet.
7. Type the less than symbol (<) followed by a zero.
8. Type a comma. This advances the function to a second logical test.
9. Click cell W4 on the Investment Detail worksheet.
10. Type the less than symbol (<) followed by ???1%.
11. Type a closing parenthesis ()).
12. Type an equal sign (=).
13. Type the word TRUE. Do not put the word inside quotation marks.
14. Type a comma. This completes the logical_test argument of the IF function. We can now go on to define the value_if_true and the value_if_false arguments. This will allow us to specify what the output of the function should be instead, using the OR function outputs of either TRUE or FALSE.
15. Type the word Warning. Be sure to enclose the word in quotation marks.
16. Type a comma. This will advance the function to the value_if_false argument.
17. Type the word OK. Be sure to enclose the word in quotation marks.
18. Type a closing parenthesis ())and press the ENTER key on your keyboard.
19. Copy the IF function in cell X4 and paste it into the range X5:X18 using the Paste Formulas command.

Figure 3.17 “OR Function in the Logical Test of the IF Function” shows the OR function within the logical_test argument of the IF function. The logical test of the IF function is now evaluating if the results of the OR function are true.

The AND Function

The AND function is almost identical to the OR function in that it is composed of only logical tests and produces one of two possible outputs: TRUE or FALSE. However, all logical tests defined for the AND function must be true in order to produce a TRUE output. If one logical test is false, the function will produce a FALSE output. We will use the AND function to complete the Buy/Sell Indicator column on the Investment Detail worksheet. This column will show either the word Buy or the words Hold or Sell based on the results of the logical test argument of an IF function. We will use the AND function to define the logical test argument of the IF function. The following steps explain how to accomplish this:

1. Click cell P4 on the Investment Detail worksheet.
2. Type an equal sign (=).
3. Type the function name IF followed by an open parenthesis (().
4. Type the function name AND followed by an open parenthesis ((). The AND function is being placed into the logical_test argument of this IF function.
5. Click cell N4 and then type the less than symbol (<</b>).
6. Type a minus sign (???) followed by the number 1 and a percent symbol: (???1%).
7. Type a comma. This advances the AND function to the second logical test.
8. Click cell S4.
9. Type a greater than symbol (>) followed by an equal sign (=). These symbols are used to evaluate if the value in a cell location is greater than or equal to a target value.
10. Type a zero followed by a closing parenthesis ()).

11. Type an equal sign (=) followed by the word TRUE. Do not enclose the word in quotation marks.

    Figure 3.18 “AND Function Placed in the Logical Test of an IF Function” shows the appearance of the AND function that has been added to the logical test of the IF function. The AND function will produce a true output if the value in cell N4 is <???1% and the value in cell S4 is greater than or equal to 0.

    Figure 3.18 AND Function Placed in the Logical Test of an IF Function

    

12. Type a comma. This advances the IF function to the value_if_true argument.
13. Type the word Buy enclosed in quotation marks as shown in Figure 3.19 “Results of the AND Function in the Logical Test Argument of an IF Function”. If the Current vs. Target value is less than ???1% and the Unrealized Gain/Loss is greater than or equal to zero, the function will show the word Buy. In other words, if the investment is less than the desired percentage for the total portfolio and it is currently not losing money, we will buy more of that investment so it is in line with the target percentage of the portfolio.
14. Type a comma.
15. Type the words Hold or Sell enclosed in quotation marks as shown in Figure 3.19 “Results of the AND Function in the Logical Test Argument of an IF Function”. For all other investments that are not designated with a Buy indicator, the function will show the words Hold or Sell. This indicates that an investment could either be held or sold.
16. Type a closing parenthesis ()) and press the ENTER key on your keyboard.
17. Copy the IF function in cell P4 and paste it into the range P5:P18 using the Paste Formulas command.
18. Increase the width of Column P to 12 points.

Figure 3.19 “Results of the AND Function in the Logical Test Argument of an IF Function” shows the results of the completed AND function within an IF function after it is copied and pasted into the range P5:P18.

Nested IF Functions

When constructing the IF function, the logical test can produce only two potential outcomes when evaluating the data in a cell. In addition, the function can produce only two possible outputs, which are defined in the value_if_true and value_if_false arguments. However, there may be situations when you need to test for several possible outcomes, which may require more than two possible outputs. To accomplish this, you need to create a nested IF functionUsed when more than two tests and two outputs are required when using the IF function. A nested IF function is when the value_if_true or value_if_false arguments of an IF function are defined with another IF function.. A nested IF function is when either the value_if_true or value_if_false arguments are defined with another IF function.

For the Personal Investment workbook, a nested IF function is required to complete the Rebalance Indicator column (Column O) on the Investment Detail worksheet (see Figure 3.19 “Results of the AND Function in the Logical Test Argument of an IF Function”). The purpose of this column is to indicate where the portfolio needs to be rebalanced. Looking at the Current vs. Target column (Column N) shown in Figure 3.19 “Results of the AND Function in the Logical Test Argument of an IF Function”, you can see that several investments have a significant negative number where the investment value has fallen below the target percentage for the portfolio. Other investments have a significant positive number where the investment has exceeded the target percentage for the portfolio. For this portfolio, a number greater than 1% or less than ???1% will be considered significant. Therefore, we will need to assess three possible outcomes when creating a logical test that evaluates the values in Column N. The first test will be if the value is greater than 1%. The second test will be if the value is less than ???1%. The third test will be if both the first test and the second test are false. This is why we need to construct a nested IF function to produce the outputs in the Rebalance Indicator column. The following steps explain how to accomplish this:

1. Click cell O4 on the Investment Detail worksheet.
2. Type an equal sign (=).
3. Type the function name IF followed by an open parenthesis (().
4. Click cell N4.
5. Type the greater than symbol (>) followed by the number 1%. It is important to use the percent symbol (%) after the number 1. If you omit the percent symbol, Excel will test if the value in cell N4 is greater than 100%.
6. Type a comma.
7. Type the word Rebalance inside quotation marks. When using text data to define any of the arguments for the IF function, the text must be placed inside quotation marks.
8. Type a comma.
9. Start another IF function by typing the function name IF followed by an open parenthesis (().
10. Click cell N4.
11. Type the less than symbol (<) followed by ???1%.
12. Type a comma.
13. Type the word Rebalance inside quotation marks.
14. Type a comma.
15. Type the word OK inside quotation marks.
16. Type two closing parentheses ())). Since two IF functions were started, there are two open parentheses in the function. As a result, we need to add two closing parentheses; otherwise, Excel will produce an error message stating that a closing parenthesis is missing.
17. Press the ENTER key on your keyboard.
18. Copy the nested IF function in cell O4 and paste it into the range O5:O18 using the Paste Formulas command.

Figure 3.20 “Completed Nested IF Function” shows how the completed nested IF function should appear in cell O4 of the Investment Detail worksheet. In addition, we see the results of the function after it was pasted into the range O5:O18. Notice that for any investment where the Current vs. Target value is between plus or minus 1%, the word OK appears.

Basic Conditional Formats

A feature related to the skills used to create logical functions is conditional formatting. Conditional formatsAn Excel feature that applies formatting commands to cell locations based on the cell contents. A basic conditional formatting rule will utilize a logical test to evaluate the contents of a cell location. If the results of the logical test are true, Excel will apply the designated formatting commands to the cell location. allow you to apply a variety of formatting treatments based on the contents of a cell location. A logical test similar to the ones used in the IF, AND, and OR functions is used to evaluate the contents of a cell and apply a designated formatting treatment. For example, looking at Figure 3.20 “Completed Nested IF Function”, you will notice that the Unrealized Gain/Loss column is formatted using the accounting number format. Negative numbers are enclosed in parentheses. However, to make these numbers stand out, we can use conditional formatting to change the font color to red. We will do this for the Unrealized Gain/Loss and Percent Gain/Loss columns. The following steps explain how conditional formats are applied to the cell locations in these columns:

1. Highlight the range S4:T18 on the Investment Detail worksheet.
2. Click the Conditional Formatting button in the Styles group of commands on the Home tab of the Ribbon.

3. Click the New Rule command from the list of options (see Figure 3.21 “Conditional Formatting Options List”). This will open the New Formatting Rule dialog box.

   Figure 3.21 Conditional Formatting Options List

   

4. At the top of the New Formatting Rule dialog box, you will find a list of options under the Select a Rule Type heading. Click the second option that states ???Format only cells that contain.???
5. In the lower portions of the New Formatting Rule dialog box, you will see several drop-down boxes under the heading Edit the Rule Description. Make sure the first drop-down box is set to Cell Value.
6. Click the second drop-down box in the Edit the Rule Description section of the New Formatting Rule dialog box and select the ???less than??? option.
7. Click in the input box, which is next to the drop-down box that was set in the previous step, and type a zero. This completes the logical test of the conditional format, which is going to evaluate if the value in any of the cells in the range S4:T18 is less than zero.
8. Click the Format button, which is near the bottom of the New Formatting Rule dialog box. This will open the Format Cells dialog box.
9. Click the drop-down box in the Color section of the Format Cells dialog box and select the red square from the color palette (see Figure 3.22 “Format Cells Dialog Box”).
10. Click the OK button at the bottom of the Format Cells dialog box.
11. Click the OK button at the bottom of the New Formatting Rule dialog box. This completes the Conditional Formatting rule that will be applied to cells in the range S4:T18.

Figure 3.22 “Format Cells Dialog Box” shows the Format Cells dialog box. This opens when the Format button is clicked on the New Formatting Rule dialog box. Notice the tabs running across the top of the dialog box. All formatting features in Excel are grouped by category, which can be accessed by clicking the related tab on the Format Cells dialog box. You will see some of the formatting commands in light grey. This indicates that these commands cannot be used with the Conditional Formatting feature. You can use the Format Cells dialog box to apply any formatting features by clicking the Format Cells dialog button on the Home tab of the Ribbon (see Figure 3.21 “Conditional Formatting Options List”).

Figure 3.23 “New Formatting Rule Dialog Box” shows the final settings for the New Formatting Rule dialog box. It is important to note that the ???Format only cells that contain??? option was selected in the New Formatting Rule dialog box to set a basic logical test that can be used to apply formatting commands automatically based on the values in cell locations.

Figure 3.24 “Conditional Format Applied to the Range S4:T18” shows the results of the conditional formatting rule that was applied to the range S4:T18. Notice the font color is automatically changed to red for negative numbers.

The COUNTIF Function

The COUNTIF function differs from the regular COUNT function in two ways. First, the regular COUNT function counts only the number of cells in a range that contain numeric data. The COUNTIF function counts the number of cells in a range that contain numeric or text data. Second, the COUNTIF function allows you to selectively count the cells in a range based on specific criteria.

The COUNTIF function contains two arguments: range and criteria. The range argument is defined with the range of cells that will be counted. The criteria argument is defined with the criteria that will be used to decide if a cell in the range should be included in the output of the function. The following steps explain how we can use the COUNTIF function to calculate the number of investments by investment type on the Portfolio Summary worksheet:

1. Click cell B4 on the Portfolio Summary worksheet.
2. Click the Formulas tab of the Ribbon.
3. Click the More Functions button in the Function Library group of commands.
4. Place the mouse pointer over the Statistical option from the drop-down list.
5. Click the scroll down arrow on the second drop-down list to find the COUNTIF function (see Figure 3.25 “Selecting the COUNTIF Function from the Function Library”).

6. Click the COUNTIF function. This will open the Function Arguments dialog box.

   Figure 3.25 Selecting the COUNTIF Function from the Function Library

   

7. Click the Collapse Dialog button next to the Range argument on the Function Arguments dialog box (see Figure 3.26 “Completed Function Arguments Dialog Box for the COUNTIF Function”).
8. Click the Investment Detail worksheet tab.
9. Highlight the range A4:A18 on the Investment Detail worksheet and press the ENTER key on your keyboard.
10. Click in the Range argument input box and place an absolute reference on the range A4:A18. This is done by typing a dollar sign ($) in front of the column letter and row number for both cells in the range. Alternatively, place the insertion point after the 4 in cell reference A4 and press the F4 key on your keyboard. Then place the insertion point after the 8 in cell reference A18 and press the F4 key. This will add the $ to the appropriate positions automatically.
11. Press the TAB key on your keyboard to advance to the next argument, which is the Criteria argument. Then type the cell location A4. The criteria for the function will be the investment type entered into cell A4 on the Portfolio Summary worksheet.

12. Click the OK button at the bottom of the Function Arguments dialog box. Figure 3.26 “Completed Function Arguments Dialog Box for the COUNTIF Function” shows the completed Function Arguments dialog box for the COUNTIF function. Notice the absolute references that were placed on each cell location in the range that was used to define the Range argument. The Criteria argument is defined with the cell A4, which means the function will only count cell locations in the range A4:A18 where the contents in the cell match the contents in cell A4.

    Figure 3.26 Completed Function Arguments Dialog Box for the COUNTIF Function

    

13. Copy the function in cell B4 and paste it into the range B5:B7 using the Paste Formulas command.
14. Enter a SUM function in cell B8 that sums the values in the range B4:B7.

Figure 3.27 “COUNTIF Function Output in the Portfolio Summary Worksheet” shows the results of the COUNTIF function after it is pasted into the range B5:B7. Because of relative referencing, the cell location used in the criteria argument is changed after the function is pasted into the range B5:B7. For example, in cell B6, the function is counting the cell locations in the range A4:A18 where the contents match the contents of cell A6. This allows you to use the function to count the number of investments per investment type. As shown in the figure, the range B4:B7 now shows the number of investments in this portfolio by investment type.

The AVERAGEIF Function

The AVERAGEIF function performs the identical mathematical calculation as the regular AVERAGE function. However, similar to the COUNTIF function, it allows you to define criteria that will select cells in a range that will be used in the function output. The AVERAGEIF function differs from the COUNTIF function in that it allows you to define two cell ranges instead of one. The first range pertains to the criteria that will be used to select cells for the function output. The second range contains the values that will be used to calculate the arithmetic mean. Table 3.8 “Arguments for the AVERAGEIF and SUMIF Functions” provides definitions for the arguments contained in the AVERAGEIF and SUMIF functions.

The AVERAGEIF function will be used in the Portfolio Summary worksheet to calculate the average length of time that investments for each investment type are held. The following steps explain how to add this function to the worksheet:

1. Click cell C4 on the Portfolio Summary worksheet.
2. Click the Formulas tab on the Ribbon.
3. Click the More Functions button in the Function Library group of commands.
4. Place the mouse pointer over the Statistical option from the drop-down list (see Figure 3.25 “Selecting the COUNTIF Function from the Function Library”).
5. Click the AVERAGEIF function, which will be near the top of the list of functions. This opens the Function Arguments dialog box.
6. Click the Collapse Dialog button next to the Range argument on the Function Arguments dialog box (see Figure 3.28 “Defined Arguments for the AVERAGEIF Function”).
7. Click the Investment Detail worksheet tab.
8. Highlight the range A4:A18 on the Investment Detail worksheet and press the ENTER key on your keyboard.
9. Click in the Range argument input box and place an absolute reference on the range A4:A18. This is done by typing a dollar sign ($) in front of the column letter and row number for both cells in the range.
10. Press the TAB key on your keyboard to advance to the Criteria argument and type the cell location A4. The criteria for the function will be the investment type entered into cell A4 on the Portfolio Summary worksheet.
11. Click the Collapse Dialog button next to the Average_range argument on the Function Arguments dialog box (see Figure 3.28 “Defined Arguments for the AVERAGEIF Function”).
12. Click the Investment Detail worksheet tab.
13. Highlight the range Q4:Q18 on the Investment Detail worksheet and press the ENTER key on your keyboard.
14. Click in the Average_range argument input box and place an absolute reference on the range Q4:Q18. This is done by typing a dollar sign ($) in front of the column letter and row number for both cells in the range.

15. Click the OK button at the bottom of the Function Arguments dialog box.

    Figure 3.28 “Defined Arguments for the AVERAGEIF Function” shows the Function Arguments dialog box for the AVERAGEIF function that will be input into cell C4. Notice that absolute references are placed on the cell locations used to define the Range and Average_range arguments. The function will evaluate the cells in the range A4:A18 using the value that exists in cell A4 on the Portfolio Summary worksheet. When a cell in the range A4:A18 meets the criteria, the function will pull the cell location in the same row from the range Q4:Q18 and include it in the average calculation.

    Figure 3.28 Defined Arguments for the AVERAGEIF Function

    

16. Copy the function in cell C4 and paste it into the range C5:C7 using the Paste Formulas option.
17. Type an equal sign (=) in cell C8.
18. Click the Investment Detail worksheet tab. Then click cell Q19 and press the ENTER key on your keyboard.

Figure 3.29 “AVERAGEIF Function Output on the Portfolio Summary Worksheet” shows the output of the AVERAGEIF function in the Average Months Owned column on the Portfolio Summary worksheet. The function calculates the average months owned in Column Q on the Investment Detail worksheet where the investment type is equal to the description entered in the range A4:A7 on the Portfolio Summary worksheet.

The SUMIF Function

The SUMIF function performs the same mathematical calculation as the regular SUM function. However, similar to the AVERAGEIF function, this function allows you to select specific cells from a range that will be used in the output. The arguments for the SUMIF function are identical to the AVERAGEIF function (see Table 3.8 “Arguments for the AVERAGEIF and SUMIF Functions”). We will use the SUMIF function in two columns on the Portfolio Summary worksheet. The first column will show the total investment cost for each investment type. The second column will show the total current value for each investment type. This will allow us to calculate the total annual growth rate for each investment type. The following steps explain how we will use this function to complete the first column:

1. Click cell D4 on the Portfolio Summary worksheet.
2. Click the Formulas tab on the Ribbon.
3. Click the Math & Trig button in the Function Library group of commands (see Figure 3.25 “Selecting the COUNTIF Function from the Function Library”).
4. Select the SUMIF function from the drop-down list. Use the scroll bar to scroll down to find the SUMIF function.
5. Click the Collapse Dialog button next to the Range argument on the Function Arguments dialog box (see Figure 3.30 “Defined Arguments for the First SUMIF Function on the Portfolio Summary Worksheet”).
6. Click the Investment Detail worksheet tab.
7. Highlight the range A4:A18 on the Investment Detail worksheet and press the ENTER key on your keyboard.
8. Click in the Range argument input box and place an absolute reference on the range A4:A18. This is done by typing a dollar sign ($) in front of the column letter and row number for both cells in the range.
9. Press the TAB key on your keyboard to advance to the Criteria argument and type the cell location A4. The criteria for the function will be the investment type entered into cell A4 on the Portfolio Summary worksheet.

10. Click the Collapse Dialog button next to the Sum_range argument on the Function Arguments dialog box (see Figure 3.30 “Defined Arguments for the First SUMIF Function on the Portfolio Summary Worksheet”).

    Figure 3.30 Defined Arguments for the First SUMIF Function on the Portfolio Summary Worksheet

    

11. Click the Investment Detail worksheet tab.
12. Highlight the range G4:G18 on the Investment Detail worksheet and press the ENTER key on your keyboard.
13. Click in the Sum_range argument input box and place an absolute reference on the range G4:G18. This is done by typing a dollar sign ($) in front of the column letter and row number for both cells in the range.
14. Click the OK button at the bottom of the Function Arguments dialog box.
15. Copy the function in cell D4 and paste it into the range D5:D7 using the Paste Formulas option.
16. Enter a regular SUM function into cell D8 on the Portfolio Summary worksheet to calculate the sum of the values in the range D4:D7.

Figure 3.30 “Defined Arguments for the First SUMIF Function on the Portfolio Summary Worksheet” shows how the SUMIF arguments were defined for the Total Purchase Cost column on the Portfolio Summary worksheet. Notice that the row numbers are identical in the range used to define the Range argument and the Sum_range argument.

The following steps explain how to add the SUMIF function to the second column on the Portfolio Summary worksheet:

1. Click cell E4 on the Portfolio Summary worksheet.
2. Click the Formulas tab on the Ribbon.
3. Click the Math & Trig button in the Function Library group of commands (see Figure 3.25 “Selecting the COUNTIF Function from the Function Library”).
4. Select the SUMIF function from the drop-down list. Use the scroll bar to scroll down to find the SUMIF function.
5. Click the Collapse Dialog button next to the Range argument on the Function Arguments dialog box (see Figure 3.30 “Defined Arguments for the First SUMIF Function on the Portfolio Summary Worksheet”).
6. Click the Investment Detail worksheet tab.
7. Highlight the range A4:A18 on the Investment Detail worksheet and press the ENTER key on your keyboard.
8. Click in the Range argument input box and place an absolute reference on the range A4:A18. This is done by typing a dollar sign ($) in front of the column letter and row number for both cells in the range.
9. Press the TAB key on your keyboard to advance to the Criteria argument and type the cell location A4.
10. Click the Collapse Dialog button next to the Sum_range argument on the Function Arguments dialog box (see Figure 3.30 “Defined Arguments for the First SUMIF Function on the Portfolio Summary Worksheet”).
11. Click the Investment Detail worksheet tab.
12. Highlight the range K4:K18 on the Investment Detail worksheet and press the ENTER key on your keyboard.
13. Click in the Sum_range argument input box and place an absolute reference on the range K4:K18. This is done by typing a dollar sign ($) in front of the column letter and row number for both cells in the range.
14. Click the OK button at the bottom of the Function Arguments dialog box.
15. Copy the function in cell E4 and paste it into the range E5:E7 using the Paste Formulas option.
16. Enter a regular SUM function into cell E8 on the Portfolio Summary worksheet to calculate the sum of the values in the range E4:E7.

Figure 3.31 “SUMIF Function Outputs in the Portfolio Summary Worksheet” shows the results of the SUMIF function in the Total Purchase Cost and Current Value columns in the Portfolio Summary worksheet.

A formula can now be added to show the annual growth for each investment category. The following steps explain how to add this formula to the Portfolio Summary worksheet:

1. Click cell F4 on the Portfolio Summary worksheet.
2. Type an equal sign (=) followed by two open parenthesis ((().
3. Click cell E4 and type a minus sign (???).
4. Click cell D4 and type a closing parenthesis ()).
5. Type a slash (/) for division and click cell D4.
6. Type a closing parenthesis ()). This completes the first part of the formula, which is calculating the growth rate between the Total Purchase Cost (cell D4) and the Current Value (cell E4).
7. Type a slash (/) for division followed by an open parenthesis (().
8. Click cell C4, which is the Average Months Owned.
9. Type a slash (/) for division and the number 12. This part of the formula converts the number of months owned to years by dividing it by 12. This result is being divided into the growth rate, which will then show the average growth per year.
10. Type a closing parenthesis ()) and press the ENTER key on your keyboard.
11. Copy the formula in cell F4 and paste it into the range F5:F8 using the Paste Formulas command.

Figure 3.32 “Completed Annual Growth Column in the Portfolio Summary Worksheet” shows the results of the statistical IF functions that were added to the Total Summary section of the Portfolio Summary worksheet. The statistical IF functions used on this worksheet allowed us to group the details in the Investment Detail worksheet by investment type. Once this was accomplished, we added a formula to show the annual growth rate by investment type.

The COUNTIFS Function

Up to this point, the statistical IF functions that were demonstrated provided the ability to define one criteria or logical test used to select cells from a targeted range. The next set of statistical functions that will be demonstrated provides the ability to define multiple sets of criteria for selecting cells from a targeted range. We will begin with the COUNTIFS function.

It is easy to distinguish the difference between a statistical IF function that allows one criteria argument to be defined and one that allows multiple criteria arguments. If the IF at the end of the function name is plural, you can define multiple sets of criteria arguments. Therefore, the COUNTIFS function provides the option of defining multiple sets of criteria for selecting cells from a targeted range that will be used in the function output. The arguments for the COUNTIFS function are established in pairs. For example, the first arguments for the function are Criteria_range1 and Criteria1. The function will use the Criteria1 argument to select cells in the Criteria_range1 argument. A second pair of arguments, Criteria_range2 and Criteria2, can be defined to select a subset of cell locations that were selected in the Criteria_range1 and Criteria1 arguments. This process can be repeated for several pairs of criteria arguments. We will continue to work on the Portfolio Summary worksheet by adding the COUNTIFS function to count the number of poor performing investments by investment type. The following steps explain how to add this function to the worksheet:

1. Click cell B11 on the Portfolio Summary worksheet.
2. Click the Formulas tab of the Ribbon.
3. Click the More Functions button in the Function Library group of commands.
4. Place the mouse pointer over the Statistical option from the drop-down list.
5. Click the scroll down arrow on the second drop-down list to find the COUNTIFS function (see Figure 3.25 “Selecting the COUNTIF Function from the Function Library”).
6. Click the COUNTIFS function. This will open the Function Arguments dialog box.
7. Click the Collapse Dialog button next to the Criteria_range1 argument on the Function Arguments dialog box (see Figure 3.33 “Defined Arguments for the COUNTIFS Function”).
8. Click the Investment Detail worksheet tab.
9. Highlight the range A4:A18 on the Investment Detail worksheet and press the ENTER key on your keyboard.
10. Click in the Criteria_range1 argument input box and place an absolute reference on the range A4:A18. This is done by typing a dollar sign ($) in front of the column letter and row number for both cells in the range.
11. Press the TAB key on your keyboard to advance to the Criteria1 argument and type the cell location A11. The criteria for the function will be the investment type that is entered into cell A11 on the Portfolio Summary worksheet. You will notice that when you define this argument, the Criteria_range2 argument will appear on the Function Arguments dialog box.
12. Click the Collapse Dialog button next to the Criteria_range2 argument on the Function Arguments dialog box (see Figure 3.33 “Defined Arguments for the COUNTIFS Function”).
13. Click the Investment Detail worksheet tab.
14. Highlight the range W4:W18 on the Investment Detail worksheet and press the ENTER key on your keyboard.
15. Click in the Criteria_range2 argument input box and place an absolute reference on the range W4:W18. This is done by typing a dollar sign ($) in front of the column letter and row number for both cells in the range.
16. Press the TAB key on your keyboard to advance to the Criteria2 argument.
17. Type an open quotation mark followed by the logical test <???1% and then type a closing quotation mark (???<???1%???). The second criterion for this function is a logical test that will identify cell locations where the value is less than ???1%. For the purposes of this exercise, a poor performing investment is one that is below the target growth rate by more than 1%.
18. Click the OK button at the bottom of the Function Arguments dialog box.
19. Copy the function in cell B11 and paste it into the range B12:B14 using the Paste Formulas command.
20. Enter a SUM function in cell B15 on the Portfolio Summary worksheet that sums the values in the range B11:B14.

Figure 3.33 “Defined Arguments for the COUNTIFS Function” shows the completed arguments for the COUNTIFS function in the Function Arguments dialog box. Notice the scroll bar that appears on the right side of the Function Arguments dialog box. This allows you to scroll through and define multiple pairs of criteria arguments for the function.

Figure 3.34 “Outputs for the COUNTIFS Functions” shows the output of the COUNTIFS function on the Portfolio Summary worksheet. The criteria established for the COUNTIFS function shows that there are a total of seven investments that are underperforming in the portfolio.

The AVERAGEIFS Function

The AVERAGEIFS function is similar to the COUNTIFS function in that multiple sets of criteria can be defined instead of one. However, the arguments for the AVERAGEIFS function are slightly different from those for the COUNTIFS function. Table 3.9 “Arguments for the AVERAGEIFS and SUMIFS Functions” provides definitions for the arguments of the AVERAGEIFS and the SUMIFS functions.

Table 3.9 Arguments for the AVERAGEIFS and SUMIFS Functions

Argument

Definition

Average_range or Sum_range

Range of cells that contain values to be averaged when using the AVERAGEIFS function or summed when using the SUMIFS function. Note that the AVERAGEIFS or SUMIFS functions will only select values from the range used to define th Chapter 2: Mathematical Computations Perhaps the most valuable feature of Excel is its ability to produce mathematical outputs using the data in a workbook. This chapter reviews several mathematical outputs that you can produce in Excel through the construction of formulas and functions. The chapter begins with the construction of formulas for basic and complex mathematical computations. The second section reviews statistical functions, such as SUM, AVERAGE, MIN, and MAX, which can be applied to a range of cells. The last section of the chapter addresses functions used to calculate mortgage and lease payments as well as the valuation of investments. This chapter also shows how you can use data from multiple worksheets to construct formulas and functions. These skills will be demonstrated in the context of a personal cash budget, which is a vital tool for managing your money for long-term financial security. The personal budget objective will also provide you with several opportunities to demonstrate Excel’s what-if scenario capabilities, which highlight how formulas and functions automatically produce new outputs when one or more inputs are changed. 2.1 Formulas Learning Objectives Learn how to create basic formulas. Understand relative referencing when copying and pasting formulas. Work with complex formulas by controlling the order of mathematical operations. Understand formula auditing tools. This section reviews the fundamental skills for entering formulas into an Excel worksheet. The objective used for this chapter is the construction of a personal cash budget. Most financial advisors recommend that all households construct and maintain a personal budget to achieve and maintain strong financial health. Organizing and maintaining a personal budget is a skill you can practice at any point in your life. Whether you are managing your expenses during college or maintaining the finances of a family of four, a personal budget can be a vital tool when making financial decisions. Excel can make managing your money a fun and rewarding exercise. Figure 2.1 “Completed Personal Cash Budget Workbook” shows the completed workbook that will be demonstrated in this chapter. Notice that this workbook contains four worksheets. The first worksheet, Budget Summary, contains formulas that utilize or reference the data in the other three worksheets. As a result, the Budget Summary worksheet serves as an overview of the data that was entered and calculated in the other three worksheets of the workbook. Figure 2.1 Completed Personal Cash Budget Workbook Creating a Basic Formula Follow-along file: Excel Objective 2.00 Lesson Video: Basic Formulas (click to see video) FormulasUsed to calculate a variety of mathematical outputs in Excel and can be used to create virtually any custom calculation required for your objective. are used to calculate a variety of mathematical outputs in Excel and can be used to create virtually any custom calculation required for your objective. Furthermore, when constructing a formula in Excel, you use cell locations that, when added to a formula, become cell referencesCell addresses used in formulas. Excel references the values entered into the cell locations used in formulas to produce outputs. When the values are changed in a cell referenced by a formula, Excel automatically produces new outputs. When a cell reference is used by itself in a cell location (cell address preceded by an equal sign [=]), Excel displays the value entered into that cell location.. This means that Excel uses, or references, the number entered into the cell location when calculating a mathematical output. As a result, when the numbers in the cell references are changed, Excel automatically produces a new output. This is what gives Excel the ability to create a variety of what-if scenarios, which will be explained later in the chapter. To demonstrate the construction of a basic formula, we will begin working on the Budget Detail worksheet in the Personal Budget workbook, which is shown in Figure 2.2 “Budget Detail Worksheet”. To complete this worksheet, we will add several formulas and functions. Table 2.1 “Spend Category Definitions” provides definitions for each of the spend categories listed in the range A3:A11. When you develop a personal budget, these categories are defined on the basis of how you spend your money. It is likely that every person could have different categories or define the same categories differently. Therefore, it is important to review the definitions in Table 2.1 “Spend Category Definitions” to understand how we are defining these categories before proceeding. Figure 2.2 Budget Detail Worksheet Table 2.1 Spend Category Definitions Category Definition Household Utilities Money spent on electricity, heat, and water and on cable, phone, and Internet access Food Money spent on groceries, toiletries, and related items Gasoline Money spent on fuel for automobiles Clothes Money spent on clothes, shoes, and accessories Insurance Money spent on homeowner’s or automobile insurance Taxes Money spent on school and property taxes (this example of the personal budget assumes that we own property). Entertainment Money spent on entertainment, including dining out, movie and theater tickets, parties, and so on Vacation Money spent on vacations Miscellaneous Includes any other spending categories, such as textbooks, software, journals, school or work supplies, and so on The first formula that we will add to the Budget Detail worksheet will calculate the Monthly Spend values. The formula will be constructed so that it takes the values in the Annual Spend column and divides them by 12. This will show how much money will be spent per month for each of the categories listed in Column A. The following explains how this formula is created: Click the Budget Detail worksheet tab to open the worksheet. Click cell C3. Type an equal sign (=). When the first character entered into a cell location is an equal sign, it signals Excel to perform a calculation or produce a logical output. Type D3. This adds D3 to the formula, which is now a cell reference. Excel will use whatever value is entered into cell D3 to produce an output. Type the slash symbol (/). This is the symbol for division in Excel. As shown in Table 2.2 “Excel Mathematical Operators”, the mathematical operators in Excel are slightly different from those found on a typical calculator. Type the number 12. This divides the value in cell D3 by 12. In this formula, a number, or constantNumerical value used in the construction of formulas. Constants should have some universal quality that does not change, such as days in a week or minutes in an hour., is used instead of a cell reference because it will not change. In other words, there will always be 12 months in a year. Press the ENTER key. Table 2.2 Excel Mathematical Operators Symbol Operation + Addition − Subtraction / Division * Multiplication ^ Power/Exponent Why? Use Cell References Cell references enable Excel to dynamically produce new outputs when one or more inputs in the referenced cells are changed. Cell references also allow you to trace how outputs are being calculated in a formula. As a result, you should never use a calculator to determine a mathematical output and type it into the cell location of a worksheet. Doing so eliminates Excel’s cell-referencing benefits as well as your ability to trace a formula to determine how outputs are being produced. Figure 2.3 “Adding a Formula to a Worksheet” shows how the formula appears in cell C3 before you press the ENTER key. Figure 2.4 “Formula Output for Monthly Spend” shows the output of the formula after you press the ENTER key. The monthly spend for Household Utilities is $250 because the formula is taking the Annual Spend in cell D3 and dividing it by 12. If the value in cell D3 is changed, the formula automatically produces a new output. We are calculating the spend per month for each category because people often get paid and are billed for these items on a monthly basis. This formula allows you to compare your monthly income to your monthly bills to determine whether you have enough income to pay these expenses. Figure 2.3 Adding a Formula to a Worksheet Figure 2.4 Formula Output for Monthly Spend Why? Use Universal Constants If you are using constants, or numerical values, in an Excel formula, they should be universal constants that do not change, such as the number of days in a week, weeks in a year, and so on. Do not type the values that exist in cell locations into an Excel formula. This will eliminate Excel’s cell-referencing benefits, which means if the value in the cell location you are using in a formula is changed, Excel will not be able to produce a new output. Relative References (Copying and Pasting Formulas) Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.01 if starting here.) Lesson Video: Relative References (click to see video) Once a formula is typed into a worksheet, it can be copied and pasted to other cell locations. For example, Figure 2.4 “Formula Output for Monthly Spend” shows the output of the formula that was entered into cell C3. However, this calculation needs to be performed for the rest of the cell locations in Column C. Since we used the D3 cell reference in the formula, Excel automatically adjusts that cell reference when the formula is copied and pasted into the rest of the cell locations in the column. This is called relative referencingExcel automatically adjusts a cell reference used in a formula or function relative to its original location when it is pasted into new cell locations. and is demonstrated as follows: Click cell C3. Click the Copy button in the Home tab of the Ribbon. Highlight the range C4:C11. Click the Paste button in the Home tab of the Ribbon. Double click cell C6. Notice that the cell reference in the formula is automatically changed to D6. Press the ENTER key. Figure 2.5 “Relative Reference Example” shows the outputs added to the rest of the cell locations in the Monthly Spend column. For each row, the formula takes the value in the Annual Spend column and divides it by 12. You will also see that cell D6 has been double clicked to show the formula. Notice that Excel automatically changed the original cell reference of D3 to D6. This is the result of relative referencing, which means Excel automatically adjusts a cell reference relative to its original location when it is pasted into new cell locations. In this example, the formula was pasted into eight cell locations below the original cell location. As a result, Excel increased the row number of the original cell reference by a value of one for each row it was pasted into. Figure 2.5 Relative Reference Example Why? Use Relative Referencing Relative referencing is a convenient feature in Excel. When you use cell references in a formula, Excel automatically adjusts the cell references when the formula is pasted into new cell locations. If this feature were not available, you would have to manually retype the formula when you want the same calculation applied to other cell locations in a column or row. Creating Complex Formulas (Controlling the Order of Operations) Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.02 if starting here.) Lesson Video: Complex Formulas (click to see video) The next formula to be added to the Personal Budget workbook is the percent change over last year. This formula determines the difference between the values in the LY (Last Year) Spend column and shows the difference in terms of a percentage. This requires that the order of mathematical operations be controlled to get an accurate result. Table 2.3 “Standard Order of Mathematical Operations” shows the standard order of operations for a typical formula. To change the order of operations shown in the table, we use parentheses to process certain mathematical calculations first. This formula is added to the worksheet as follows: Click cell F3 in the Budget Detail worksheet. Type an equal sign (=). Type an open parenthesis ((). Click cell D3. This will add a cell reference to cell D3 to the formula. When building formulas, you can click cell locations instead of typing them. Type a minus sign (−). Click cell E3 to add this cell reference to the formula. Type a closing parenthesis ()). Type the slash (/) symbol for division. Click cell E3. This completes the formula that will calculate the percent change of last year’s actual spent dollars vs. this year’s budgeted spend dollars (see Figure 2.6 “Adding the Percent Change Formula”). Press the ENTER key. Click cell F3 to activate it. Place the mouse pointer over the Auto Fill Handle. When the mouse pointer turns from a white block plus sign to a black plus sign, click and drag down to cell F11. This pastes the formula into the range F4:F11. Table 2.3 Standard Order of Mathematical Operations Symbol Order ^ First: Excel executes any exponential computations first. * or / Second: Excel performs any multiplication or division computations second. When there are multiple instances of these computations in a formula, they are executed in order from left to right. + or − Third: Excel performs any addition or subtraction computations third. When there are multiple instances of these computations in a formula, they are executed in order from left to right. ( ) Override Standard Order: Any mathematical computations placed in parentheses are performed first and override the standard order of operations. If there are layers of parentheses used in a formula, Excel computes the innermost parentheses first and the outermost parentheses last. Figure 2.6 “Adding the Percent Change Formula” shows the formula that was added to the Budget Detail worksheet to calculate the percent change in spending. The parentheses were added to this formula to control the order of operations. Any mathematical computations placed in parentheses are executed first before the standard order of mathematical operations (see Table 2.3 “Standard Order of Mathematical Operations”). In this case, if parentheses were not used, Excel would produce an erroneous result for this worksheet. Figure 2.6 Adding the Percent Change Formula Figure 2.7 “Removing the Parentheses from the Percent Change Formula” shows the result of the percent change formula if the parentheses are removed. The formula produces a result of a 299900% increase. Since there is no change between the LY spend and the budget Annual Spend, the result should be 0%. However, without the parentheses, Excel is following the standard order of operations. This means the value in cell E3 will be divided by E3 first (3,000/3,000), which is 1. Then, the value of 1 will be subtracted from the value in cell D3 (3,000−1), which is 2,999. Since cell F3 is formatted as a percentage, Excel expresses the output as an increase of 299900%. Figure 2.7 Removing the Parentheses from the Percent Change Formula Integrity Check Does the Output of Your Formula Make Sense? It is important to note that the accuracy of the output produced by a formula depends on how it is constructed. Therefore, always check the result of your formula to see whether it makes sense with data in your worksheet. As shown in Figure 2.7 “Removing the Parentheses from the Percent Change Formula”, a poorly constructed formula can give you an inaccurate result. In other words, you can see that there is no change between the Annual Spend and LY Spend for Household Utilities. Therefore, the result of the formula should be 0%. However, since the parentheses were removed in this case, the formula is clearly producing an erroneous result. Skill Refresher: Formulas (click to see video) Type an equal sign (=). Click or type a cell location. If using constants, type a number. Type a mathematical operator. Click or type a cell location. If using constants, type a number. Use parentheses where necessary to control the order of operations. Press the ENTER key. Auditing Formulas Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.03 if starting here.) Lesson Video: Auditing Formulas (click to see video) Excel provides a few tools that you can use to review the formulas entered into a worksheet. For example, instead of showing the outputs for the formulas used in a worksheet, you can have Excel show the formula as it was entered in the cell locations. This is demonstrated as follows: With the Budget Detail worksheet open, click the Formulas tab of the Ribbon. Click the Show Formulas button in the Formula Auditing group of commands. This displays the formulas in the worksheet instead of showing the mathematical outputs. Click the Show Formulas button again. The worksheet returns to showing the output of the formulas. Figure 2.8 “Show Formulas Command” shows the Budget Detail worksheet after activating the Show Values command in the Formulas tab of the Ribbon. As shown in the figure, this command allows you to view and check all the formulas in a worksheet without having to click each cell individually. After activating this command, the column widths in your worksheet increase significantly. The column widths were adjusted for the worksheet shown in Figure 2.8 “Show Formulas Command” so all columns can be seen. The column widths return to their previous width when the Show Formulas command is deactivated. Figure 2.8 Show Formulas Command Skill Refresher: Show Formulas (click to see video) Click the Formulas tab on the Ribbon. Click the Show Formulas button in the Formula Auditing group of commands. Click the Show Formulas button again to show formula outputs. Mouseless Commands Show Formulas Hold down the CTRL key while pressing the accent symbol (`). Two other tools in the Formula Auditing group of commands are the Trace Precedents and Trace Dependents commands. These commands are used to trace the cell references used in a formula. The Trace Dependents command shows where any given cell is referenced in a formula. The Trace Precedents command shows what cells have been referenced in a formula that exists in an activated cell. The following is a demonstration of these commands: Click cell D3 in the Budget Detail worksheet. Click the Trace Dependents button in the Formula Auditing group of commands in the Formulas tab of the Ribbon. A double blue arrow appears, pointing to cell locations C3 and F3 (see Figure 2.9 “Trace Dependents Example”). This indicates that cell D3 is referenced in formulas that are entered in cells C3 and F3. Click the Remove Arrows command in the Formula Auditing group of commands in the Formulas tab of the Ribbon. This removes the Trace Dependents arrow. Click cell F3 in the Budget Detail worksheet. Click the Trace Precedents button in the Formula Auditing group of commands in the Formulas tab of the Ribbon. A blue arrow running through cells D3 and E3 and pointing to cell F3 appears (see Figure 2.10 “Trace Precedents Example”). This indicates that cells D3 and E3 are references in a formula entered in cell F3. Click the Remove Arrows command in the Formula Auditing group of commands in the Formulas tab of the Ribbon. This removes the Trace Precedents arrow. Figure 2.9 “Trace Dependents Example” shows the Trace Dependents arrow on the Budget Detail worksheet. The blue dot represents the activated cell. The arrows indicate where the cell is referenced in formulas. Figure 2.9 Trace Dependents Example Figure 2.10 “Trace Precedents Example” shows the Trace Precedents arrow on the Budget Detail worksheet. The blue dots on this arrow indicate the cells that are referenced in the formula contained in the activated cell. The arrow is pointing to the activated cell location that contains the formula. Figure 2.10 Trace Precedents Example Skill Refresher: Trace Dependents (click to see video) Click a cell location that contains a number or formula. Click the Formulas tab on the Ribbon. Click the Trace Dependents button in the Formula Auditing group of commands. Use the arrow(s) to determine where the cell is referenced in formulas and functions. Click the Remove Arrows button to remove the arrows from the worksheet. Skill Refresher: Trace Precedents (click to see video) Click a cell location that contains a formula or function. Click the Formulas tab on the Ribbon. Click the Trace Precedents button in the Formula Auditing group of commands. Use the dot(s) along the line to determine what cells are referenced in the formula or function. Click the Remove Arrows button to remove the line with the dots. Key Takeaways Mathematical computations are conducted through formulas and functions. An equal sign (=) precedes all formulas and functions. Formulas and functions must be created with cell references to conduct what-if scenarios where mathematical outputs are recalculated when one or more inputs are changed. Mathematical operators on a typical calculator are different from those used in Excel. Table 2.2 “Excel Mathematical Operators” lists Excel mathematical operators. When using numerical values in formulas and functions, only use universal constants that do not change, such as days in a week, months in a year, and so on. Relative referencing automatically adjusts the cell references in formulas and functions when they are pasted into new locations on a worksheet. This eliminates the need to retype formulas and functions when they are needed in multiple rows or columns on a worksheet. Parentheses must be used to control the order of operations when necessary for complex formulas. Formula auditing tools such as Trace Dependents, Trace Precedents, and Show Formulas should be used to check the integrity of formulas that have been entered into a worksheet. Exercises Which of the following terms best describes how Excel is able to change the outputs of formulas and functions when one or more inputs are changed? absolute references cell references relative references dynamic output referencing Which of the following best describes the proper use of numbers when constructing formulas in Excel? Numbers cannot be used in the construction of formulas. You can use only cell locations. You cannot combine numbers and cell locations in a formula. This will produce an error. Numbers should always be used when creating formulas in Excel. Numbers should be used when constructing formulas with constants that do not change, such as the days in a week, months in a year, and so on. Which of the following will be calculated first in the formula =((C10−D2)*A9)+B5*C5? D2*A9 B5*C5 C10−D2 A9 * the result of (C10−D2) Which of the following formula auditing features would you use if you wanted to see where a specific cell location was referenced in formulas entered into a worksheet? Show Formulas Trace Precedents Trace Dependents Show Cell Reference Mapping 2.2 Statistical Functions Learning Objectives Use the SUM function to calculate totals. Use absolute references to calculate percent of totals. Use the COUNT function to count cell locations with numerical values. Use the AVERAGE function to calculate the arithmetic mean. Use the MAX and MIN functions to find the highest and lowest values in a range of cells. Learn how to copy and paste formulas without formats applied to a cell location. Learn how to set a multiple level sort sequence for data sets that have duplicate values or outputs. In addition to formulas, another way to conduct mathematical computations in Excel is through functions. Statistical functions apply a mathematical process to a group of cells in a worksheet. For example, the SUM function is used to add the values contained in a range of cells. A list of commonly used statistical functions is shown in Table 2.4 “Commonly Used Statistical Functions”. Functions are more efficient than formulas when you are applying a mathematical process to a group of cells. If you use a formula to add the values in a range of cells, you would have to add each cell location to the formula one at a time. This can be very time-consuming if you have to add the values in a few hundred cell locations. However, when you use a function, you can highlight all the cells that contain values you wish to sum in just one step. This section demonstrates a variety of statistical functions that we will add to the Personal Budget workbook. In addition to demonstrating functions, this section also reviews percent of total calculations and the use of absolute references. Table 2.4 Commonly Used Statistical Functions Function Output ABS The absolute value of a number AVERAGE The average or arithmetic mean for a group of numbers COUNT The number of cell locations in a range that contain a numeric character COUNTA The number of cell locations in a range that contain a text or numeric character MAX The highest numeric value in a group of numbers MEDIAN The middle number in a group of numbers (half the numbers in the group are higher than the median and half the numbers in the group are lower than the median) MIN The lowest numeric value in a group of numbers MODE The number that appears most frequently in a group of numbers PRODUCT The result of multiplying all the values in a range of cell locations SQRT The positive square root of a number STDEV.S The standard deviation for a group of numbers based on a sample SUM The total of all numeric values in a group The SUM Function Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.03 if starting here.) Lesson Video: SUM Function (click to see video) The SUM function is used when you need to calculate totals for a range of cells or a group of selected cells on a worksheet. With regard to the Budget Detail worksheet, we will use the SUM function to calculate the totals in row 12. It is important to note that there are several methods for adding a function to a worksheet, which will be demonstrated throughout the remainder of this chapter. The following illustrates how a function can be added to a worksheet by typing it into a cell location: Click the Budget Detail worksheet tab to open the worksheet. Click cell C12. Type an equal sign (=). Type the function name SUM. Type an open parenthesis ((). Click cell C3 and drag down to cell C11. This places the range C3:C11 into the function. Type a closing parenthesis ()). Press the ENTER key. The function calculates the total for the Monthly Spend column, which is $1,496. Figure 2.11 “Adding the SUM Function to the Budget Detail Worksheet” shows the appearance of the SUM function added to the Budget Detail worksheet before pressing the ENTER key. Figure 2.11 Adding the SUM Function to the Budget Detail Worksheet As shown in Figure 2.11 “Adding the SUM Function to the Budget Detail Worksheet”, the SUM function was added to cell C12. However, this function is also needed to calculate the totals in the Annual Spend and LY Spend columns. The function can be copied and pasted into these cell locations because of relative referencing. Relative referencing serves the same purpose for functions as it does for formulas. The following demonstrates how the total row is completed: Click cell C12 in the Budget Detail worksheet. Click the Copy button in the Home tab of the Ribbon. Highlight cells D12 and E12. Click the Paste button in the Home tab of the Ribbon. This pastes the SUM function into cells D12 and E12 and calculates the totals for these columns. Click cell F11. Click the Copy button in the Home tab of the Ribbon. Click cell F12, then click the Paste button in the Home tab of the Ribbon. Since we now have totals in row 12, we can paste the percent change formula into this row. Figure 2.12 “Results of the SUM Function in the Budget Detail Worksheet” shows the output of the SUM function that was added to cells C12, D12, and E12. In addition, the percent change formula was copied and pasted into cell F12. Notice that this version of the budget is planning a 1.7% decrease in spending compared to last year. Figure 2.12 Results of the SUM Function in the Budget Detail Worksheet Integrity Check Cell Ranges in Statistical Functions When you intend to use a statistical function on a range of cells in a worksheet, make sure there are two cell locations separated by a colon and not a comma. If you enter two cell locations separated by a comma, the function will produce an output but it will be applied to only two cell locations instead of a range of cells. For example, the SUM function shown in Figure 2.13 “SUM Function Adding Two Cell Locations” will add only the values in cells C3 and C11, not the range C3:C11. Figure 2.13 SUM Function Adding Two Cell Locations Absolute References (Calculating Percent of Totals) Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.04 if starting here.) Lesson Video: Absolute References (click to see video) Since totals were added to row 12 of the Budget Detail worksheet, a percent of total calculation can be added to Column B beginning in cell B3. The percent of total calculation shows the percentage for each value in the Annual Spend column with respect to the total in cell D12. However, after the formula is created, it will be necessary to turn off Excel’s relative referencing feature before copying and pasting the formula to the rest of the cell locations in the column. Turning off Excel’s relative referencing feature is accomplished through an absolute reference. The following steps explain how this is done: Click cell B3 in the Budget Detail worksheet. Type an equal sign (=). Click cell D3. Type a forward slash (/). Click cell D12. Press the ENTER key. You will see that Household Utilities represents 16.7% of the Annual Spend budget (see Figure 2.14 “Adding a Formula to Calculate the Percent of Total”). Figure 2.14 Adding a Formula to Calculate the Percent of Total Figure 2.14 “Adding a Formula to Calculate the Percent of Total” shows the completed formula that is calculating the percentage that Household Utilities Annual Spend represents to the total Annual Spend for the budget (see cell B3). Normally, we would copy this formula and paste it into the range B4:B11. However, because of relative referencing, both cell references will increase by one row as the formula is pasted into the cells below B3. This is fine for the first cell reference in the formula (D3) but not for the second cell reference (D12). Figure 2.15 “#DIV/0 Error from Relative Referencing” illustrates what happens if we paste the formula into the range B4:B12 in its current state. Notice that Excel produces the #DIV/0Error code displayed in a cell containing a formula or function that is trying to divide by zero. error code. This means that Excel is trying to divide a number by zero, which is impossible. Looking at the formula in cell B4, you see that the first cell reference was changed from D3 to D4. This is fine because we now want to divide the Annual Spend for Insurance by the total Annual Spend in cell D12. However, Excel has also changed the D12 cell reference to D13. Because cell location D13 is blank, the formula produces the #DIV/0 error code. Figure 2.15 #DIV/0 Error from Relative Referencing To eliminate the divide-by-zero error shown in Figure 2.15 “#DIV/0 Error from Relative Referencing”, we must add an absolute reference to cell D12 in the formula. An absolute referencePrevents Excel from using relative referencing to change a cell reference used in a formula or function; an absolute reference is applied to a cell reference by typing a dollar sign ($) in front of the column letter and row number. prevents relative referencing from changing a cell reference in a formula. This is also referred to as locking a cell. The following explains how this is accomplished: Double click cell B3. Place the mouse pointer in front of D12 and click. The blinking cursor should be in front of the D in the cell reference D12. Press the F4 key. You will see a dollar sign ($) added in front of the column letter D and the row number 12. You can also type the dollar signs in front of the column letter and row number. Press the ENTER key. Click cell B3. Click the Copy button in the Home tab of the Ribbon. Highlight the range B4:B11. Click the Paste button in the Home tab of the Ribbon. Figure 2.16 “Adding an Absolute Reference to a Cell Reference in a Formula” shows the percent of total formula with an absolute reference added to D12. Notice that in cell B4, the cell reference remains D12 instead of changing to D13 as shown in Figure 2.15 “#DIV/0 Error from Relative Referencing”. Also, you will see that the percentages are being calculated in the rest of the cells in the column, and the divide-by-zero error is now eliminated. Figure 2.16 Adding an Absolute Reference to a Cell Reference in a Formula Skill Refresher: Absolute References (click to see video) Click in front of the column letter of a cell reference in a formula or function that you do not want altered when the formula or function is pasted into a new cell location. Press the F4 key or type a dollar sign ($) in front of the column letter and row number of the cell reference. The COUNT Function Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.05 if starting here.) Lesson Video: COUNT Function (click to see video) The next function that we will add to the Budget Detail worksheet is the COUNT function. The COUNT function is used to determine how many cells in a range contain a numeric entry. For the Budget Detail worksheet, we will use the COUNT function to count the number of items that are planned in the Annual Spend column (Column D). The following explains how the COUNT function is added to the worksheet by using the function list: Click cell D13 in the Budget Detail worksheet. Type an equal sign (=). Type the letter C. Click the down arrow on the scroll bar of the function list (see Figure 2.17 “Using the Function List to Add the COUNT Function”) and find the word COUNT. Double click the word COUNT from the function list. Highlight the range D3:D11. Type a closing parenthesis ()). Press the ENTER key. The function produces an output of 9 since there are 9 items planned on the worksheet. Figure 2.17 “Using the Function List to Add the COUNT Function” shows the function list box that appears after completing steps 2 and 3 for the COUNT function. The function list provides an alternative method for adding a function to a worksheet. Figure 2.17 Using the Function List to Add the COUNT Function Figure 2.18 “Completed COUNT Function in the Budget Detail Worksheet” shows the output of the COUNT function after pressing the ENTER key. The function counts the number of cells in the range D3:D11 that contain a numeric value. The result of 9 indicates that there are 9 categories planned for this budget. Figure 2.18 Completed COUNT Function in the Budget Detail Worksheet The AVERAGE Function Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.06 if starting here.) Lesson Video: AVERAGE Function (click to see video) The next function we will add to the Budget Detail worksheet is the AVERAGE function. This function is used to calculate the arithmetic mean for a group of numbers. For the Budget Detail worksheet, we will use the function to calculate the average of the values in the Annual Spend column. We will add this to the worksheet by using the Function Library. The following steps explain how this is accomplished: Click cell D14 in the Budget Detail worksheet. Click the Formulas tab on the Ribbon. Click the More Functions button in the Function Library group of commands. Place the mouse pointer over the Statistical option from the drop-down list of options. Click the AVERAGE function name from the list of functions that appear in the menu (see Figure 2.19 “Selecting the AVERAGE Function from the Function Library”). This opens the Function Arguments dialog box. Click the Collapse Dialog button in the Function Arguments dialog box (see Figure 2.20 “Function Arguments Dialog Box”). Highlight the range D3:D11. Click the Expand Dialog button in the Function Arguments dialog box (see Figure 2.21 “Selecting a Range from the Function Arguments Dialog Box”). You can also press the ENTER key to get the same result. Click the OK button on the Function Arguments dialog box. This adds the AVERAGE function to the worksheet. Figure 2.19 “Selecting the AVERAGE Function from the Function Library” illustrates how a function is selected from the Function Library in the Formulas tab of the Ribbon. Figure 2.19 Selecting the AVERAGE Function from the Function Library Figure 2.20 “Function Arguments Dialog Box” shows the Function Arguments dialog box. This appears after a function is selected from the Function Library. The Collapse Dialog button is used to hide the dialog box so a range of cells can be highlighted on the worksheet and then added to the function. Figure 2.20 Function Arguments Dialog Box Figure 2.21 “Selecting a Range from the Function Arguments Dialog Box” shows how a range of cells can be selected from the Function Arguments dialog box once it has been collapsed. Figure 2.21 Selecting a Range from the Function Arguments Dialog Box Figure 2.22 “Function Arguments Dialog Box after a Cell Range Is Defined for a Function” shows the Function Arguments dialog box after the cell range is defined for the AVERAGE function. The dialog box shows the result of the function before it is added to the cell location. This allows you to assess the function output to determine whether it makes sense before adding it to the worksheet. Figure 2.22 Function Arguments Dialog Box after a Cell Range Is Defined for a Function Figure 2.23 “Completed AVERAGE Function” shows the completed AVERAGE function in the Budget Detail worksheet. The output of the function shows that on average we expect to spend $1,994 for each of the categories listed in Column A of the budget. This average spend calculation per category can be used as an indicator to determine which categories are costing more or less than the average budgeted spend dollars. Figure 2.23 Completed AVERAGE Function The MAX and MIN Functions Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.07 if starting here.) Lesson Video: MAX and MIN Functions (click to see video) The final two statistical functions that we will add to the Budget Detail worksheet are the MAX and MIN functions. These functions identify the highest and lowest values in a range of cells. The following steps explain how to add these functions to the Budget Detail worksheet: Click cell D15 in the Budget Detail worksheet. Type an equal sign (=). Type the word MIN. Type an open parenthesis ((). Highlight the range D3:D11. Type a closing parenthesis ()). Press the ENTER key. The MIN function produces an output of $1,200, which is the lowest value in the Annual Spend column (see Figure 2.24 “MIN Function Added to the Budget Detail Worksheet”). Click cell D16. Type an equal sign (=). Type the word MAX. Type an open parenthesis ((). Highlight the range D3:D11. Type a closing parenthesis ()). Press the ENTER key. The MAX function produces an output of $3,500. This is the highest value in the Annual Spend column (see Figure 2.25 “MAX Function Added to the Budget Detail Worksheet”). Figure 2.24 MIN Function Added to the Budget Detail Worksheet Figure 2.25 MAX Function Added to the Budget Detail Worksheet Skill Refresher: Statistical Functions (click to see video) Type an equal sign (=). Type the function name followed by an open parenthesis (() or double click the function name from the function list. Highlight a range on a worksheet or click individual cell locations followed by commas. Type a closing parenthesis ()). Press the ENTER key. Copy and Paste Formulas (Pasting without Formats) Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.08 if starting here.) Lesson Video: Paste Special (Paste without Formats) (click to see video) As shown in Figure 2.25 “MAX Function Added to the Budget Detail Worksheet”, the COUNT, AVERAGE, MIN, and MAX functions are summarizing the data in the Annual Spend column. You will also notice that there is space to copy and paste these functions under the LY Spend column. This allows us to compare what we spent last year and what we are planning to spend this year. Normally, we would simply copy and paste these functions into the range E13:E16. However, you may have noticed the double-line style border that was used around the perimeter of the range B13:E16. If we used the regular Paste command, the double line on the right side of the range E13:E16 would be replaced with a single line. Therefore, we are going to use one of the Paste Special commands to paste only the functions without any of the formatting treatments. This is accomplished through the following steps: Highlight the range D13:D16 in the Budget Detail worksheet. Click the Copy button in the Home tab of the Ribbon. Click cell E13. Click the down arrow below the Paste button in the Home tab of the Ribbon. Click the Formulas option from the drop-down list of buttons (see Figure 2.26 “Paste Formulas Option”). Figure 2.26 “Paste Formulas Option” shows the list of buttons that appear when you click the down arrow below the Paste button in the Home tab of the Ribbon. One thing to note about these options is that you can preview them before you make a selection by dragging the mouse pointer over the options. As shown in the figure, when the mouse pointer is placed over the Formulas button, you can see how the functions will appear before making a selection. Notice that the double-line border does not change when this option is previewed. That is why this selection is made instead of the regular Paste option. Figure 2.26 Paste Formulas Option Skill Refresher: Paste Formulas (click to see video) Click a cell location containing a formula or function. Click the Copy button in the Home tab of the Ribbon. Click the cell location or cell range where the formula or function will be pasted. Click the down arrow below the Paste button in the Home tab of the Ribbon. Click the Formulas button under the Paste group of buttons. Sorting Data (Multiple Levels) Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.09 if starting here.) Lesson Video: Sorting Data (Multiple Levels) (click to see video) The Budget Detail worksheet shown in Figure 2.26 “Paste Formulas Option” is now producing several mathematical outputs through formulas and functions. The outputs allow you to analyze the details and identify trends as to how money is being budgeted and spent. Before we draw some conclusions from this worksheet, we will sort the data based on the Percent of Total column. As mentioned in Chapter 1 “Fundamental Skills”, sorting is a powerful tool that enables you to analyze key trends in any data set. We demonstrated the process of executing a single-level sort in Chapter 1 “Fundamental Skills”. For the purposes of the Budget Detail worksheet, we need to set multiple levels for the sort order. This is accomplished through the following steps: Highlight the range A2:F11 in the Budget Detail worksheet. Click the Data tab in the Ribbon. Click the Sort button in the Sort & Filter group of commands. This opens the Sort dialog box, as shown in Figure 2.27 “Sort Dialog Box”. Figure 2.27 Sort Dialog Box Click the down arrow next to the “Sort by” box. Click the Percent of Total option from the drop-down list. Click the down arrow next to the sort Order box. Click the Largest to Smallest option. Click the Add Level button. This allows you to set a second level for any duplicate values in the Percent of Total column. Click the down arrow next to the “Then by” box. Select the LY Spend option. Click the OK button at the bottom of the Sort dialog box. Figure 2.28 “Budget Detail Worksheet after Sorting” shows the Budget Detail worksheet after it has been sorted. Notice that there are three identical values in the Percent of Total column. This is why a second sort level had to be created for this worksheet. The second sort level arranges the values of 8.4% based on the values in the LY Spend column in ascending order. Excel gives you the option to set as many sort levels as necessary for the data contained in a worksheet. Figure 2.28 Budget Detail Worksheet after Sorting Skill Refresher: Sorting Data (Multiple Levels) (click to see video) Highlight a range of cells to be sorted. Click the Data tab of the Ribbon. Click the Sort button in the Sort & Filter group. Select a column from the “Sort by” drop-down list in the Sort dialog box. Select a sort order from the Order drop-down list in the Sort dialog box. Click the Add button in the Sort dialog box. Repeat Steps 4 and 5. Click the OK button on the Sort dialog box. Now that the Budget Detail worksheet is sorted, a few key trends can be easily identified. The worksheet clearly shows that the top three categories as a percentage of total budgeted spending for the year are Taxes, Household Utilities, and Food. All three categories are necessities (or realities) of life and typically require a significant amount of income for most households. Looking at the Percent Change column, we can see how our planned spending is expected to change from last year. This is perhaps the most import column on the worksheet because it allows you to assess whether your plan is realistic. You will see that there are no changes planned for Taxes and Household Utilities. While Taxes can change from year to year, it is not too difficult to predict what they will be. In this case, we are assuming that there are no changes to the tax costs for our budget. We are also planning no change in Household Utilities. These costs can fluctuate from year to year as well. However, you can take measures to reduce costs, such as using less electricity, turning off heat when no one is in the house, keeping track of your wireless minutes so you do not go over the maximum allowed in your plan, and so on. As a result, there is no change in planned spending for Household Utilities because we will assume that any rate increases will be offset with a decrease in usage. The third item that is planned not to change is Insurance. Insurance policies for cars and homes can change, but as is true for taxes, the changes are predictable. Therefore, we are assuming no changes in our insurance policy. The first big change that is noticeable in the worksheet is the Food and Entertainment categories in rows 5 and 6 (see definitions in Table 2.1 “Spend Category Definitions”). The Percent Change column indicates that there is an 11.1% decrease in Entertainment spending and an 11.1% increase in Food spending. This is logical because if you plan to eat in restaurants less frequently, you will be eating at home more frequently. Although this makes sense in theory, it may be hard to do in practice. Dinners and parties with friends may be tough to turn down. However, the entire process of maintaining a budget is based on discipline, and it certainly takes a significant amount of discipline to plan targets for yourself and stick to them. A few other points to note are the changes in the Gasoline and Vacation categories. If you commute to school or work, the price of gas can have a significant impact on your budget. It is important to be realistic if gas prices are increasing, and you should reflect these increases in your budget. To compensate for the increased spending for gas, the spending plan for vacations has been reduced by 25%. Budgeting often requires a certain degree of creativity. Although the Vacation budget has been reduced, there is still money you can set aside to make plans for spring break or winter break. Finally, the budget shows a decrease in Miscellaneous spending of 19.8%. This was defined as a group containing several expenses, such as textbooks, school supplies, software updates, and so on (see Table 2.1 “Spend Category Definitions”). You may be able to reduce your spending in this category if you can use items such as online textbooks. This reduction in spending can free up funds for Clothes, a spend category that has increased by 20%. We will continue to develop the Personal Budget workbook further in Section 2.3 “Functions for Personal Finance”. Key Takeaways Statistical functions are used when a mathematical process is required for a range of cells, such as summing the values in several cell locations. For these computations, functions are preferable to formulas because adding many cell locations one at a time to a formula can be very time-consuming. Statistical functions can be created using cell ranges or selected cell locations separated by commas. Make sure you use a cell range (two cell locations separated by a colon) when applying a statistical function to a contiguous range of cells. To prevent Excel from changing the cell references in a formula or function when they are pasted to a new cell location, you must use an absolute reference. You can do this by placing a dollar sign ($) in front of the column letter and row number of a cell reference. The #DIV/0 error appears if you create a formula that attempts to divide a constant or the value in a cell reference by zero. The Paste Formulas option is used when you need to paste formulas without any formatting treatments into cell locations that have already been formatted. You need to set multiple levels, or columns, in the Sort dialog box when sorting data that contains several duplicate values. Exercises In the formula =C2/$C$24, the dollar signs used in the C24 cell reference indicate: Relative referencing has been turned off for this cell reference. Any value entered into cell C24 will be formatted with US currency. The output of the formula will be formatted with US currency. The value currently in C24 cannot be changed. Which statement best explains how the following function will produce a result =AVERAGE(B1,B10)? The function will calculate the average for the values in B1 and B10. The function will calculate the average for the values in all cell locations in the range B1 through and including B10. Commas cannot be used in statistical functions. The function cannot produce an output and will display the #DIV/0 error code. The function will take the average of cell B1 based on the value that is entered into cell B10. Which of the following best explains the purpose of the Paste Formulas command? You cannot use the regular Paste command for formulas and functions. You need to use the Paste Formulas command when you copy and paste a formula or function to additional cell locations on a worksheet. You would use the Paste Formulas command when you want to show the formula or function in a cell location and not the calculated output. You would use the Paste Formulas command when you want to paste only the formula or function to a new cell location without the formatting treatments that were applied to the copied cell location. The Paste Formulas command is required if you want to paste a formula into multiple cell locations on a worksheet. Which of the following explains how data in a worksheet can be sorted if the primary column of data contains several duplicate values? You can only sort data based on the values in one column. Excel will take the duplicate values and sort them in the order in which they were entered into the worksheet. Excel will sort any duplicate values in the primary column based on the values one column to the right in ascending order. You can click the Add button in the Sort dialog box and designate which column Excel should use to sort any duplicate values in the primary column. You would sort each column in the worksheet one at a time. 2.3 Functions for Personal Finance Learning Objectives Understand the fundamentals of loans and leases. Use the PMT function to calculate monthly mortgage payments on a house. Use the PMT function to calculate monthly lease payments for an automobile. Learn how to summarize data in a workbook by using worksheet links to create a summary worksheet. Understand the concept of the time value of money. Use the FV function to calculate the future value of personal investments. Use Goal Seek to conduct what-if scenarios. In this section, we continue to develop the Personal Budget workbook. Notable items that are missing from the Budget Detail worksheet are the payments you might make for a car or a home. In addition, you may want to set and track a savings goal. This section demonstrates Excel functions used to calculate lease payments for a car, to calculate mortgage payments for a house, and to project future savings based on regular contributions and an average rate of return. This section also discusses the scenario capabilities of Excel once the Personal Budget workbook is complete. The Fundamentals of Loans and Leases Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.10 if starting here.) Lesson Video: Loan and Lease Fundamentals (click to see video) One of the functions we will add to the Personal Budget workbook is the PMT function. This function calculates the payments required for a loan or a lease. However, before demonstrating this function, it is important to cover a few fundamental concepts on loans and leases. A loanA contractual agreement in which money is borrowed from a lender and paid back over a specific period of time. is a contractual agreement in which money is borrowed from a lender and paid back over a specific period of time. The amount of money that is borrowed from the lender is called the principalThe amount of money borrowed from a lender. of the loan. The borrower is usually required to pay the principal of the loan plus interest. When you borrow money to buy a house, the loan is referred to as a mortgageA loan used to purchase a home or property.. This is because the house being purchased also serves as collateral to ensure payment. In other words, the bank can take possession of your house if you fail to make loan payments. As shown in Table 2.5 “Key Terms for Loans and Leases”, there are several key terms related to loans and leases. Table 2.5 Key Terms for Loans and Leases Term Definition Collateral Any item of value that is used to secure a loan to ensure payments to the lender Down Payment The amount of cash paid toward the purchase of a house. If you are paying 20% down, you are paying 20% of the cost of the house in cash and are borrowing the rest from a lender. Interest Rate The interest that is charged to the borrower as a cost for borrowing money Mortgage A loan where property is put up for collateral Principal The amount of money that has been borrowed Residual Value The estimated selling price of a vehicle at a future point in time Terms The amount of time you have to repay a loan Figure 2.29 “Example of an Amortization Table” shows an example of an amortization tableA schedule of payments broken down by interest and principal for a loan. By law, a lender is required to provide an amortization table to a borrower. for a loan. A lender is required by law to provide borrowers with an amortization table when a loan contract is offered. The table in the figure shows how the payments of a loan would work if you borrowed $100,000 from a lender and agreed to pay it back over 10 years at an interest rate of 5%. You will notice that each time you make a payment, you are paying the bank an interest fee plus some of the loan principal. Each year the amount of interest paid to the bank decreases and the amount of money used to pay off the principal increases. This is because the bank is charging you interest on the amount of principal that has not been paid. As you pay off the principal, the interest rate is applied to a lower number, which reduces your interest charges. Finally, the figure shows that the sum of the values in the Interest Payment column is $29,505. This is how much it costs you to borrow this money over 10 years. Indeed, borrowing money is not free. It is important to note that to simplify this example, the payments were calculated on an annual basis. However, most loan payments are made on a monthly basis. Figure 2.29 Example of an Amortization Table A leaseA contract in which the lessee uses an asset such as a car or a piece of equipment and agrees to make regular payments to the owner or the lessor. The lessee is often required to return the leased asset to the lessor at the conclusion of the lease contract. is a contract in which you, the lessee, use an asset such as a car or a piece of equipment and you agree to make regular payments to the owner or the lessor. When you lease a car, the manufacturer or a leasing company retains ownership of the vehicle and you agree to make regular payments for a specific period of time. The amount of money you pay depends on the price of the car, the terms of the lease contract, and the car’s expected residual value at the end of the lease. The calculation of lease payments is similar to the calculation of loan payments. However, when you lease a car, you pay only the value of the car that is used. For example, suppose you are leasing a car that is priced at $25,000. The lease contract is for 4 years at an interest rate of 5%. The residual value of the car is $10,000. This means the car will lose $15,000 of its value over 4 years. Another way to state this is that the car will depreciate $15,000. A lease will be structured so that you pay this $15,000 in depreciation. However, the interest charges will be based on the purchase price of $25,000. We will look at a demonstration of leasing a car as well as buying a home in the next section. The PMT (Payment) Function for Loans Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.10 if starting here.) Lesson Video: PMT Function for Loans (click to see video) If you own a home, your mortgage payments are a major component of your household budget. If you are planning to buy a home, having a clear understanding of your monthly payments is critical for maintaining strong financial health. In Excel, mortgage payments are conveniently calculated through the PMT (payment) function. This function is more complex than the statistical functions covered in Section 2.2 “Statistical Functions”. With statistical functions, you are required to add only a range of cells or selected cells within the parentheses of the function. With the PMT function, you must accurately define a series of arguments in order for the function to produce a reliable output. Table 2.6 “Arguments for the PMT Function” lists the arguments for the PMT function. It is helpful to review the key loan and lease terms in Table 2.5 “Key Terms for Loans and Leases” before reviewing the PMT function arguments. Table 2.6 Arguments for the PMT Function Argument Definition Rate This is the interest rate the lender is charging the borrower. The interest rate is usually quoted in annual terms, so you have to divide this rate by 12 if you are calculating monthly payments. Nper The argument letters stand for number of periods. This is the term of the loan, which is the amount of time you have to repay the bank. This is usually quoted in years, so you have to multiply the years by 12 if you are calculating monthly payments. Pv The argument letters stand for present value. This is the principal of the loan or the amount of money that is borrowed. When defining this argument, a minus sign must precede the cell location or value. For leases, this argument is used for the price of the item being leased. [Fv] The argument letters stand for future value. The brackets around the argument indicate that it is not always necessary to define it. It is used if there is a lump-sum payment that will be made at the end of the loan terms. This is also used for the residual value of a lease. If it is not defined, Excel will assume that it is zero. [Type] This argument can be defined with either a 1 or a 0. The number 1 is used if payments are made at the beginning of each period. A 0 is used if payments are made at the end of each period. The argument is in brackets because it does not have to be defined if payments are made at the end of each period. Excel assumes that this argument is 0 if it is not defined. We will use the PMT function in the Personal Budget workbook to calculate the monthly mortgage payments for a house. These calculations will be made in the Mortgage Payments worksheet and then displayed in the Budget Summary worksheet through a cell reference link. So far we have demonstrated several methods for adding functions to a worksheet. The following steps explain a new method using the Insert Function command for adding the PMT function: Click the Mortgage Payments worksheet tab. Click cell B5. Click the Formulas tab on the Ribbon. Click the Insert Function button (see Figure 2.30 “Mortgage Payments Worksheet”). This opens the Insert Function dialog box, which can be used for searching all functions in Excel. Figure 2.30 Mortgage Payments Worksheet In the “Search for a function:” input box at the top of the Insert Function dialog box, type mortgage payments (see Figure 2.31 “Insert Function Dialog Box”). Note that the current description in the “Search for a function:” input box will already be highlighted. You can begin typing and the description will be replaced with your entry. Click the Go button in the upper right side of the Insert Function dialog box. This adds all the Excel functions that match your description in the “Select a function:” box in the lower half of the Insert Function dialog box (see Figure 2.31 “Insert Function Dialog Box”). Click the PMT option in the “Select a function:” box in the lower half of the Insert Function dialog box. Click the OK button at the lower right side of the Insert Function dialog box. This will open the Function Arguments dialog box. Figure 2.31 Insert Function Dialog Box Mouseless Commands Insert Function Hold the SHIFT key while pressing the F3 key. Click the Collapse Dialog button next to the Rate argument in the Function Arguments dialog box. This will be the first argument defined for the function. Click cell B3 on the worksheet. This is the rate being charged on the loan. Type a forward slash (/) for division. Type the number 12. Since our goal is to calculate the monthly payments for the loan, we need to divide the rate, which is stated in annual terms, by 12. This converts the annual rate to a monthly rate. Press the ENTER key on your keyboard. This returns the Function Arguments dialog box to its expanded form. You will also see that the Rate argument is now defined. Click the Collapse Dialog button next to the Nper argument in the Function Arguments dialog box. This is the second argument we define in the function. Click cell B4 on the worksheet. This is the term or the amount of time we have to repay the loan. Type an asterisk (*) for multiplication. Type the number 12. Since our goal is to calculate the monthly payments for the loan, we need to multiply the terms of the loan by 12. This converts the terms of the loan from years to months. Press the ENTER key on your keyboard. This returns the Function Arguments dialog box to its expanded form. You will also see that the Nper argument is now defined. Click the Collapse Dialog button next to the Pv argument in the Function Arguments dialog box. This is the third argument we will define in the function. Type a minus sign (−). When defining the Pv argument of the PMT function, any cell location or value must be preceded with a minus sign. Click cell B2 on the worksheet. This is the principal of the loan. Press the ENTER key on your keyboard. You will now see the Rate, Nper, and Pv arguments defined for the function. Click the OK button at the bottom of the Function Arguments dialog box. The function will now be placed into the worksheet. Since we are not paying any lump sums of money at the end of the loan, there is no need to define the Fv argument. Also, we will assume that the monthly mortgage payments will be made at the end of each month. Therefore, there is no need to define the Type argument. Mouseless Commands Function Arguments Dialog Box After the equal sign (=) and function name are typed into cell a location, hold down the CTRL key and press the letter A on your keyboard. Figure 2.32 “Function Arguments Dialog Box for the PMT Function” shows the completed Function Arguments dialog box for the PMT function. Notice that the dialog box shows the values for the Rate and Nper arguments. The Rate is divided by 12 to convert the annual interest rate to a monthly interest rate. The Nper argument is multiplied by 12 to convert the terms of the loan from years to months. Finally, the dialog box provides you with a definition for each argument. The definition appears when you click in the input box for the argument. Figure 2.32 Function Arguments Dialog Box for the PMT Function Integrity Check Comparable Arguments for PMT and FV Functions When using functions such as PMT or FV, make sure the arguments are defined in comparable terms. For example, if you are calculating the monthly payments of a loan, make sure both the Rate and Nper argument are expressed in terms of months. The function will produce an erroneous result if one argument is expressed in years while the other is expressed in months. Figure 2.33 “Mortgage Payments Worksheet with the PMT Function” shows the final appearance of the Mortgage Payments worksheet after the PMT function is added. The result of the function in cell B5 will be displayed in the Budget Summary worksheet. Figure 2.33 Mortgage Payments Worksheet with the PMT Function The PMT (Payment) Function for Leases Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.11 if starting here.) Lesson Video: PMT Function for Leases (click to see video) In addition to calculating the mortgage payments for a home, the PMT function will be used in the Personal Budget workbook to calculate the lease payments for a car. The details for the lease payments are found in the Car Lease Payments worksheet. Similar to the statistical functions, we can type the PMT function directly into a cell. However, you must know the definitions for each argument of the function and understand how these arguments need to be defined based on your objective. The terms for loans and leases are in Table 2.5 “Key Terms for Loans and Leases”, and the definitions for the arguments of the PMT function are in Table 2.6 “Arguments for the PMT Function”. The following steps explain how the PMT function is added to the Personal Budget workbook to calculate the lease payments for a car: Click cell B6 in the Car Lease Payments worksheet. Type an equal sign (=). Type the letters PMT. Type an open parenthesis (().Excel then provides a tip box showing the arguments of the function. Click cell B4. This is the interest rate being charged for the lease. Type the forward slash (/) for division. Type the number 12. Since our goal is to calculate the monthly lease payments, we divide the interest rate by 12 to convert the annual rate to a monthly rate. Type a comma. When you type a function containing arguments, you must separate each argument with a comma. This signals to Excel that one argument has been defined and you are ready to define the next argument in the function. Click cell B5. This is the term or the length of time for the lease contract. Since the term is already expressed in months, we can just reference cell B5 and move to the next argument. Type a comma. This advances the function to the Pv argument. Type a minus sign (−). Remember that cell locations or values used to define the Pv argument must be preceded with a minus sign. Click cell B2 on the worksheet, which is the price of the car. Type a comma. This advances the function to the [Fv] argument. Click cell B3 on the worksheet. This is the residual value of the car. Note that cell location and values used to define the [Fv] argument are NOT preceded by a minus sign. Type a comma. This advances the function to the [Type] argument. Type the number 1. We will assume that the lease payments will be due at the beginning of each month. Type a closing parenthesis ()). Press the ENTER key. Figure 2.34 “PMT Function Constructed to Calculate Lease Payments” shows how the PMT function should appear before pressing the ENTER key. Notice the commas that separate each argument of the function. Also, the tip box will show the current argument being defined in bold font. Figure 2.34 PMT Function Constructed to Calculate Lease Payments Figure 2.35 “Results of the PMT Function in the Car Lease Payments Worksheet” shows the result of the PMT function. The monthly payments for this lease are $206.56. This monthly payment will be displayed in the Budget Summary worksheet. Figure 2.35 Results of the PMT Function in the Car Lease Payments Worksheet Skill Refresher: PMT Function (click to see video) Type an equal sign (=). Type the letters PMT followed by an open parenthesis, or double click the function name from the function list. Define the Rate argument with a cell location that contains the rate being charged by the lender for the loan or lease. Define the Nper argument with a cell location that contains the amount of time to repay the loan or lease. Define the Pv argument with a cell location that contains the principal of the loan or the price of the item being leased. Cell locations or values used for this argument must be preceded by a minus sign. Define the [Fv] argument with a cell location that contains the residual value of the item being leased or the lump sum payment for a loan. Define the [Type] argument with a 1 if payments are made at the beginning of each period or 0 if payments are made at the end of each period. Type a closing parenthesis ()). Press the ENTER key. Linking Worksheets (Creating a Summary Worksheet) Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.12 if starting here.) Lesson Video: Linking Worksheets (click to see video) So far we have used cell references in formulas and functions, which allow Excel to produce new outputs when the values in the cell references are changed. Cell references can also be used to display values or the outputs of formulas and functions in cell locations on other worksheets. This is how data will be displayed on the Budget Summary worksheet in the Personal Budget workbook. Outputs from the formulas and functions that were entered into the Budget Detail, Mortgage Payments, and Car Lease Payments worksheets will be displayed on the Budget Summary worksheet through the use of cell references. The following steps explain how this is accomplished: Click cell C3 in the Budget Summary worksheet. Type an equal sign (=). Click the Budget Detail worksheet tab. Click cell D12 on the Budget Detail worksheet. Press the ENTER key on your keyboard. The output of the SUM function in cell D12 on the Budget Detail worksheet will be displayed in cell C3 on the Budget Summary worksheet. Figure 2.36 “Cell Reference Showing the Total Expenses in the Budget Summary Worksheet” shows how the cell reference appears in the Budget Summary worksheet. Notice that the cell reference D12 is preceded by the Budget Detail worksheet name enclosed in apostrophes followed by an exclamation point (‘Budget Detail’!) This indicates that the value displayed in the cell is referencing a cell location in the Budget Detail worksheet. Figure 2.36 Cell Reference Showing the Total Expenses in the Budget Summary Worksheet As shown in Figure 2.36 “Cell Reference Showing the Total Expenses in the Budget Summary Worksheet”, the Budget Summary worksheet is designed to show the expense budget for the mortgage payments and the auto lease payments. However, you will recall that we used the PMT function to calculate the monthly payments. In the Budget Summary worksheet, we need to show the total annual payments. As a result, we will create a formula that references cell locations in the Mortgage Payments and Car Lease Payments worksheets. The following steps explain how this is accomplished: Click cell C4 in the Budget Summary worksheet. Type an equal sign (=). Click the Mortgage Payments worksheet tab. Click cell B5 in the Mortgage Payments worksheet. Type an asterisk (*) for multiplication. Type the number 12. This multiplies the monthly payments by 12 to calculate the total payments required for the year. Press the ENTER key on your keyboard. The value of multiplying the monthly mortgage payments by 12 is now displayed on the Budget Summary worksheet. Click cell C5 on the Budget Summary worksheet. Type an equal sign (=). Click the Car Lease Payments worksheet tab. Click cell B6 in the Car Lease Payments worksheet. Type an asterisk (*) for multiplication. Type the number 12. This multiplies the monthly lease payments by 12 to calculate the total payments required for the year. Press the ENTER key on your keyboard. The value of multiplying the monthly lease payments by 12 is now displayed on the Budget Summary worksheet. Figure 2.37 “Formulas Referencing Cells in Mortgage Payments and Car Lease Payments Worksheets” shows the results of creating formulas that reference cell locations in the Mortgage Payments and Car Lease Payments worksheets. Figure 2.37 Formulas Referencing Cells in Mortgage Payments and Car Lease Payments Worksheets We can now add other formulas and functions to the Budget Summary worksheet that can calculate the difference between the total spend dollars vs. the total net income in cell D2. The following steps explain how this is accomplished: Click cell D6 in the Budget Summary worksheet. Type an equal sign (=). Type the function name SUM followed by an open parenthesis ((). Highlight the range C3:C5. Type a closing parenthesis ()) and press the ENTER key on your keyboard. The total for all annual expenses now appears on the worksheet. Click cell D7 on the Budget Summary worksheet. Type an equal sign (=). Click cell D2. Type a minus sign (−) and then click cell D6. Press the ENTER key on your keyboard. This formula produces an output of $1,942, indicating our income is greater than our total expenses. Figure 2.38 “Formulas Added to Show Income Is Greater Than Expenses” shows the results of the formulas that were added to the Budget Summary worksheet. The output for the formula in cell D7 shows that the net income exceeds total planned expenses by $1,942. Overall, having your income exceed your total expenses is a good thing because it allows you to save money for future spending needs or unexpected events. Figure 2.38 Formulas Added to Show Income Is Greater Than Expenses We can now add a few formulas that calculate both the spending rate and the savings rate as a percentage of net income. These formulas require the use of absolute references, which we covered earlier in this chapter. The following steps explain how to add these formulas: Click cell E6 in the Budget Summary worksheet. Type an equal sign (=). Click cell D6. Type a forward slash (/) for division and then click D2. Press the F4 key on your keyboard. This adds an absolute reference to cell D2. Press the ENTER key. The result of the formula shows that total expenses consume 94.1% of our net income. Click cell E6. Place the mouse pointer over the Auto Fill Handle. When the mouse pointer turns to a black plus sign, left click and drag down to cell E7. This copies and pastes the formula into cell E7. Figure 2.39 “Calculating the Savings Rate” shows the output of the formulas calculating the spending rate and savings rate as a percentage of net income. The absolute reference shown for cell D2 prevents the cell from changing when the formula is copied from cell E6 and pasted into cell E7. The results of the formula show that our current budget allows for a savings rate of 5.9%. This is a fairly good savings rate. In the next section we will discuss how these savings can grow over time by exploring the time value of money concepts. Figure 2.39 Calculating the Savings Rate Time Value of Money Concepts Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.13 if starting here.) Lesson Video: Time Value of Money Concepts (click to see video) In reviewing the Budget Summary worksheet in Figure 2.39 “Calculating the Savings Rate”, you will notice that the range B9:D14 contains data that can be used to assess a savings plan. We can project how much money can be saved over a specific period of time given set contributions and a rate of return. This calculation is accomplished through the future value, or FV, function. We will use the FV function in cell D10 of the Budget Summary worksheet to calculate our savings plan projection. However, before we use the FV function, it is important to review a few basic concepts regarding the time value of money, as shown in Table 2.7 “Key Terms for Time Value of Money Concepts”. Table 2.7 Key Terms for Time Value of Money Concepts Argument Definition Annuity An investment that is made in regular payments over a period of time. For example, depositing $100 a month into an interest-bearing bank account or mutual fund is considered an annuity. Bonds An investment in which you lend money to a company or government entity. The borrower agrees to pay you interest over a specific period time. At the end of the bond agreement, the amount of money that was borrowed, or your initial investment, is returned to you. Most bonds are considered a lower risk investment but offer a lower rate of return than stocks offer. Mutual Funds A collection of similar investments managed by a financial professional called a fund manager. Mutual funds allow you to invest in several stocks or bonds without having to make many individual investments. They also allow you to reduce your risk and take advantage of the investment expertise of a professional. Rate of Return The percentage gained or lost on an investment. Investments that offer a high predicted rate of return often carry a higher risk of losing money. Investments that offer a lower predicted rate of return often carry a lower risk of losing money. Stocks An investment in which you own a portion of a company. The value of this investment increases as the company produces higher profits. Most stocks are expected to generate a higher rate of return than bonds generate. However, the risk of losing money on a stock investment is much greater than the risk for bonds. Table 2.7 “Key Terms for Time Value of Money Concepts” provides definitions for several terms used when addressing the time value of money concepts. The time value of moneyThe opportunity to increase the value of money over time through investments that provide a constant or average positive rate of return. is the opportunity to grow your money over time given a constant or average rate of return. For example, consider the data shown in Figure 2.40 “Time Value of Money Example for a One-Time Investment”. This data assumes that a person makes a one-time investment of $100 in a bond mutual fund that returns 5% interest per year. Notice that the interest paid in Column E increases every year. This is because the interest is reinvested in the mutual fund, which increases the total value of the investment. For example, the interest earned in year 1 is based on a $100 investment. Therefore, the interest paid is $5.00, or 5% of $100. However, in year 2, when the $5.00 interest payment is reinvested, the total investment increases to $105. Therefore, in year 2 the interest paid increases to $5.25, or 5% of $105. The value of the investment at the end of 5 years is $127.63. This is the value that can be calculated using the FV function. Figure 2.40 Time Value of Money Example for a One-Time Investment Figure 2.41 “Time Value of Money Example for an Annuity Investment” shows another example demonstrating the time value of money concept. Instead of making a one-time investment, we will assume that a person invests $100 at the beginning of every year in the same bond mutual fund. This is referred to as an annuityAn investment made in regular payments over a period of time. because the person is making reoccurring investments over a specific period of time. Notice that the value of this investment after 5 years is $580.19. Also, the total interest earned on this investment is $80.19 as opposed to the $27.63 earned on the one-time investment in Figure 2.40 “Time Value of Money Example for a One-Time Investment”. Figure 2.41 Time Value of Money Example for an Annuity Investment The FV (Future Value) Function Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.13 if starting here.) Lesson Video: FV Function (click to see video) Establishing a personal savings plan is one of the most important financial exercises you can do. For example, a savings plan is critical for establishing financial security for your retirement years. Many people mistakenly believe that saving for retirement is something you do when you get older. However, the greatest financial gains for your retirement can be achieved if you start saving in the earliest years of your career. Now that you have an understanding of the time value of money, you can see that the more years you can earn interest on your investments and reinvest those earnings, the more money you will have when you retire. Savings plans are also important for other key life events, such as going to college or buying a home. The FV function is a convenient tool that can help you establish savings goals and project the value of your investments over time. Similar to the PMT function, the FV function requires you to accurately define specific arguments in order to produce a reliable result. Table 2.8 “Arguments for the FV Function” provides definitions for each of the arguments in the FV function. It is helpful to review the time value of money terms in Table 2.7 “Key Terms for Time Value of Money Concepts” before using the FV function. Table 2.8 Arguments for the FV Function Argument Definition Rate This is the rate of return you expect to earn on an investment over time. This rate is usually quoted in annual terms, so you have to divide by 12 if you are calculating the value of an annuity making investments on a monthly basis. Nper The argument letters stand for number of periods. This is the amount of time you are using to measure the value of an investment. The amount of time used to define this argument must be comparable to the Rate argument. For example, if the rate is stated in terms of months, the amount of time used to define this argument must be in months. Pmt The argument letters stand for payment. This argument is used if you are measuring the value of an annuity investment. The argument is defined with the value of the investment that is made for each measure of time used to define the Nper argument. For example, if the Nper argument is expressed in terms of months, you must define this argument with the investment value that is made every month. [Pv] The argument letters stand for present value. The brackets around the argument indicate that it is not always necessary to define it. Excel assumes zero if the argument is not defined. The argument is used when measuring the value of a one-time investment. Both this argument and the Pmt argument will be defined if an annuity investment has a beginning balance or includes a beginning one-time lump-sum investment. [Type] This argument can be defined with either a 1 or a 0. The number 1 is used if investments are made at the beginning of each period used to define the Nper argument. A 0 is used if the investments are made at the end of each period. The argument is in brackets because it does not have to be defined if your investments are made at the end of each period. Excel assumes that this argument is 0 if it is not defined. With respect to the Personal Budget workbook, we will use the FV function to project the value of the savings plan in 10 years. We will type the function directly into the Personal Budget worksheet for this demonstration. However, you can use any of the methods demonstrated in this chapter for future use. The following steps explain how this function is added to the worksheet: Click cell D10 in the Budget Summary worksheet. Type an equal sign (=). Type the letters FV followed by an open parenthesis ((). Click cell D13. This is the expected rate of return for the investments. Type a comma. Click cell D12. This is the amount of time the investments are expected to grow. Type a comma. Type a minus sign (−). All values or cell locations used to define the Pmt argument must be preceded by a minus sign. Click cell D7. This is the change in cash that was calculated by subtracting the total expenses from the net income. We are expecting to save this amount of money for the 10-year period this investment is being measured. Type a comma. Type a minus sign (−). All values and cell locations used to define the Pv argument must be preceded by a minus sign. Click cell D14. Since the savings plan has a current balance, we use this to define the Pv argument of the function. This is equivalent to starting with a lump-sum investment. Type a closing parenthesis ()). There is no need to define the last argument of the function because we will assume that the savings in cash achieved in our budget will be invested at the end of each year of the savings plan. Press the ENTER key. Check that cell D11 is activated. Type an equal sign (=). Click cell D10. Type a minus sign (−) and then click cell D9. This subtracts the savings plan from the current savings plan projection. Press the ENTER key. Integrity Check PMT and FV Functions Produce Negative Results If the results of the PMT function or FV function are negative, check the Pv or Pmt arguments. Remember that these arguments must be preceded by a minus sign. If the minus sign is omitted, the functions produce a negative output. Figure 2.42 “Results of the Savings Plan Projections” shows the results of the FV function. Notice that the current savings plan projection is $25,606. This is $606 higher than the target of $25,000 entered into cell D9, which shows that the current budget is working to achieve the goals of this savings plan. In other words, given the current net income, we are saving enough money to achieve our savings plan goals. There are two important factors to notice with regard to this plan. The first factor is that our spending plan allows us to save enough money so that it can be invested to achieve our target of $25,000. The second factor is that the expected rate of return is 3.5%. This is a relatively low expected rate of return and could be achieved by investing in relatively low-risk investments such as bonds as opposed to stocks. This rate can be considered good because we can achieve our savings goals without having to make high-risk investments that could result in a significant loss of our savings. Figure 2.42 Results of the Savings Plan Projections Skill Refresher: FV Function (click to see video) Type an equal sign (=). Type the letters FV followed by an open parenthesis, or double click the function name from the function list. Define the Rate argument with a cell location that contains the expected rate of return for your investment. Define the Nper argument with a cell location that contains the amount of time you are measuring the growth of your investment. Define the Pmt argument with a cell location that contains the value of regular investments for an annuity. Cell locations or values used for this argument must be preceded by a minus sign. Define the [Pv] argument with a cell location that contains the value of a one-time lump-sum investment. Cell locations or values used for this argument must be preceded by a minus sign. Define the [Type] argument with a 1 if annuity investments are made at the beginning of each period or a 0 if investments are made at the end of each period. Type a closing parenthesis ()). Press the ENTER key. Goal Seek (What-If Scenarios) Follow-along file: Continue with Excel Objective 2.00. (Use file Excel Objective 2.14 if starting here.) Lesson Video: Goal Seek (click to see video) We used several formulas and functions to complete the Personal Budget workbook shown in Figure 2.42 “Results of the Savings Plan Projections”. All the formulas and functions entered contain cell references that allow for a variety of what-if scenarios. Goal Seek is a tool that can be used in the process of conducting these what-if scenarios. Goal Seek maximizes the benefits of Excel’s cell-referencing capabilities by changing inputs to precise values to achieve specific outputs produced by formulas or functions. We will begin by changing one of the inputs in the Personal Budget workbook through the following steps: Click the Budget Detail worksheet tab. Click cell D9. Type the number 2000. Instead of planning a decrease in our vacation spending, we will see what happens to our budget if we spend the same amount as last year, which was $2,000. Press the ENTER key. Figure 2.43 “Budget Detail Worksheet “ and Figure 2.44 “Budget Detail Worksheet “ show the Budget Detail worksheet before and after the change in the annual vacation budget. By comparing these two figures you can see that by changing just one input, many of the outputs produced by the formulas and functions in the worksheet changed. The following is a list of the changes that occurred in the worksheet: The formula output in cell F12 now shows that we are planning a 1.1% increase in our total spending as opposed to a −1.7% decrease. The formula output in cell F9 changes from −25% to 0%. The SUM function in cell D12 changes from $17,950 to $18,450. The SUM function in cell C12 changes from $1,496 to $1,538. The AVERAGE function in cell D14 changes from $1,994 to $2,050. Figure 2.43 Budget Detail Worksheet before Changing the Annual Vacation Budget Figure 2.44 Budget Detail Worksheet after Changing the Annual Vacation Budget In addition to the changes in the Budget Detail worksheet, outputs of formulas and functions on the Budget Summary worksheet also change when the Annual Spend for the Vacation category was increased. To see the changes, compare Figure 2.42 “Results of the Savings Plan Projections” to Figure 2.45 “Budget Summary Worksheet “. There were a total of fourteen changes in the outputs of formulas and functions on the Budget Summary worksheet. In total, there were twenty-one outputs that changed in the Personal Budget workbook as a result of changing just one input. Figure 2.45 Budget Summary Worksheet after Changing the Annual Vacation Budget One of the most notable changes on the Budget Summary worksheet is the Savings Projection in cell D10. By spending an additional $500 a year on vacation plans, the projected savings value in 10 years decreases by $5,865. However, what if the rate of return were to increase? An increase in the rate of return could recover the decrease in the future value of our savings plan. We can use a tool such as Goal Seek to determine exactly how much the rate of return would have to increase to achieve our savings plan target of $25,000. The following steps explain how to use Goal Seek to accomplish this goal: Click the Budget Summary worksheet tab. Click the Data tab of the Ribbon. Click the What-If Analysis button in the Data Tools group of commands. Click Goal Seek from the list options (see Figure 2.46 “Selecting Goal Seek from the What-If Analysis Options”). This opens the Goal Seek dialog box. Mouseless Commands Goal Seek Press the Alt key on your keyboard and then the letters A, W, and G one at a time. Figure 2.46 Selecting Goal Seek from the What-If Analysis Options Click the Collapse Dialog button next to the “Set cell:” input box on the Goal Seek dialog box. Click cell D10 on the Budget Summary worksheet. Press the ENTER key on your keyboard. Place the mouse pointer over the “To value” input box in the Goal Seek dialog box and click. Type the number 25000 in the “To value” input box in the Goal Seek dialog box. Click the Collapse Dialog button next to the “By changing cell” input box in the Goal Seek dialog box. Click cell D13 on the Budget Summary worksheet. Press the ENTER key on your keyboard. Click the OK button on the Goal Seek dialog box. Click the OK button on the Goal Seek Status dialog box (see Figure 2.48 “Solution Calculated by Goal Seek”). The status box is telling you that Excel found a value for cell D13 that produces an output of $25,000 for the FV function in cell D10. Figure 2.47 “Final Settings for the Goal Seek Dialog Box” shows the final settings for the Goal Seek dialog box before clicking the OK button. Figure 2.47 Final Settings for the Goal Seek Dialog Box Figure 2.48 “Solution Calculated by Goal Seek” shows the solution Goal Seek calculated for the rate of return. Notice that in order to achieve the target savings plan of $25,000, the rate of return must increase to 7.8%. Initially, it appears that we can spend the additional $500 a year on vacations and still achieve our savings goal of $25,000. However, achieving a 7.8% annual rate of return will require us to make riskier investments with our savings. Thus, there is a greater possibility that we could lose a substantial amount of our savings. This is the downside of decreasing your overall savings rate. If you save less money, it forces you to take higher risks with the money you have in order to achieve higher rates of return. Unfortunately, many people end up on the losing end of these risks, which severely compromises their ability to reach their savings goals. Figure 2.48 Solution Calculated by Goal Seek Skill Refresher: Goal Seek (click to see video) Click the What-If Analysis button in the Data tab of the Ribbon. Click the Goal Seek option. Define the “Set cell” input box in the Goal Seek dialog box with a cell location that contains a formula or function. Type a number in the “To value” input box in the Goal Seek dialog box. This is the number you want the formula or function to produce, which you defined for the “Set cell” input box. Define the “By changing cell” input box in the Goal Seek dialog box with a cell location that is referenced in the formula or function used to define the “Set cell” input box. Click the OK button on the Goal Seek dialog box. Click the OK button on the Goal Seek Status dialog box. Key Takeaways The PMT function can be used to calculate the monthly mortgage payments for a house or the monthly lease payments for a car. When using the PMT or FV functions, each argument must be separated by a comma. When using the PMT or FV functions, the arguments must be defined in comparable terms. For example, when using the FV function, if the Pmt argument is defined using monthly payments, the Rate and Nper arguments must be defined in terms of months. The FV function is used to calculate the value an investment at a future point in time given a constant rate of return. The PMT and FV functions produce a negative output if the Pmt or Pv arguments are not preceded by a minus sign. Goal Seek is a valuable tool for creating what-if scenarios by changing the value in a cell location referenced in either a formula or a function. Exercises Which statement best explains the setup of the following payment function: =PMT(.06,30,−200000,50000,0)? Note that the 6% annual interest rate is expressed in decimal terms as .06. The function is calculating the monthly payments of a $200,000 loan, 6% interest rate, over 30 years, with a lump-sum payment of $50,000 at the end of the loan. Payments are due at the end of every month. The function is calculating the annual payments of a $200,000 loan, 6% interest rate, over 30 years, with a lump-sum payment of $50,000 at the end of the loan. Payments are due at the end of every year. The function is calculating the monthly payments of a $200,000 loan, 6% interest rate, over 30 years, with a lump-sum payment of $50,000 at the end of the loan. Payments are due at the beginning of every month. The function is calculating the annual payments of a $200,000 loan, 6% interest rate, over 30 years, with a lump-sum payment of $50,000 at the end of the loan. Payments are due at the beginning of every year. When leasing a car, the residual value will be used to define which of the following? the Pv argument in the FV function the Pv argument in the PMT function the Pmt argument in the FV function the Fv argument in the PMT function The recurring investments in an annuity investment would be used to define which of the following? the Pmt argument in the FV function the Pv argument in the FV function the Fv argument in the PMT function the Pv argument in the PMT function Which of the following PMT functions will accurately calculate the monthly payments on a mortgage if the price of the house is $300,000, a down payment of $60,000 is made, the interest rate is 5%, the term of the loan is 30 years, and payments are due at the end of every month? =PMT(.05/12,30*12,−300000,60000,0) =PMT(.05,30*12,−300000,60000,0) =PMT(.05/12,30*12,−240000) =PMT(.05/12,30,−240000,0) 2.4 Chapter Assignments and Tests To assess your understanding of the material covered in the chapter, please complete the following assignments. Careers in Practice (Skills Review) Financial Plan for a Lawn Care Business (Comprehensive Review) Starter File: Chapter 2 CiP Exercise 1 Difficulty: Level 1 Easy Running your own lawn care business can be an excellent way to make money over the summer while on break from college. It can also be a way to supplement your existing income for the purpose of saving money for retirement or for a college fund. However, managing the costs of the business will be critical in order for it to be a profitable venture. In this exercise you will create a simple financial plan for a lawn care business by using the skills covered in this chapter. Begin this exercise by opening the file named Chapter 2 CiP Exercise 1. Click cell C5 in the Annual Plan worksheet. Enter a formula that calculates the average price per lawn cut. Type an equal sign (=), then click cell B3. Type the asterisk symbol (*) for multiplication, then click cell B4. Press the ENTER key. Click cell C8 in the Annual Plan worksheet. Enter a formula that calculates the total number of lawns that will be cut during the year. Type an equal sign (=), then click cell B6. Type the asterisk symbol (*) for multiplication, then click cell B7. Press the ENTER key. Click cell D9 in the Annual Plan worksheet. Enter a formula that calculates the total sales for the plan. Type an equal sign (=), then click cell C5. Type the asterisk symbol (*) for multiplication, then click cell C8. Press the ENTER key. Click cell F3 in the Leases worksheet. The PMT function will be used to calculate the monthly lease payment for the first item. For many businesses, leasing (or renting) equipment is a more favorable option than purchasing equipment because it requires far less cash. This enables you to begin a business such as a lawn care business without having to put up a lot of money to buy equipment. Type an equal sign (=) followed by the function name PMT and an open parenthesis ((). Define the arguments of the function as follows: Rate: Click cell B3, type a forward slash (/) for division, type the number 12, and type a comma. Since we are calculating monthly payments, the annual interest rate must be converted to a monthly interest rate. Nper: Click cell C3, type an asterisk (*) for multiplication, type the number 12, and type a comma. Similar to the Rate argument, the terms of the lease must be converted to months since we are calculating monthly payments. Pv: Type a minus sign (−), click cell D3, and type a comma. Remember that this argument must always be preceded by a minus sign. Fv: Click cell E3 and type a comma. Type: Type the number 1, type a closing parenthesis ()), and press the ENTER key. We will assume the lease payments will be made at the beginning of each month, which requires that this argument be defined with a value of 1. Copy the PMT function in cell F3 and paste it into the range F4:F6. Click cell F10 in the Leases worksheet. A SUM function will be added to calculate the total for the monthly lease payments. Type an equal sign (=) followed by the word SUM and an open parenthesis ((). Highlight the range F3:F9, type a closing parenthesis ()), and press the ENTER key. You will notice that blank rows were included in this range for the SUM function. If other items are added to the worksheet, they will be included in the output of the SUM function. Highlight the range A2:F6 on the Leases worksheet. The data in this range will be sorted. Click the Sort button in the Data tab of the Ribbon. In the Sort dialog box, select the Interest Rate option in the “Sort by” drop-down box. Select Largest to Smallest for the sort order. Then, click the Add Level button on the Sort dialog box. Select the Price option in the “Then by” drop-down box. Select Largest to Smallest for the sort order. Click the OK button in the Sort dialog box. Click cell B11 on the Annual Plan worksheet. The monthly lease payments that are calculated in the Lease worksheet will be displayed in this cell. Type an equal sign (=). Click the Leases worksheet tab, click cell F10, and press the ENTER key. Click cell C12 on the Annual Plan worksheet. Type an equal sign (=) and click cell B11. Type an asterisk (*), type the number 12, and press the ENTER key. This formula calculates the annual lease payments. Format the output of the formula in cell C12 so the decimal places are reduced to zero. Click cell C14 on the Annual Plan worksheet. Type an equal sign (=) and click cell B13. Type an asterisk (*), click cell C8, and press the ENTER key. Click cell D16 on the Annual Plan worksheet. Type an equal sign (=) followed by the word SUM and an open parenthesis ((). Highlight the range C11:C15, type a closing parenthesis ()), and press the ENTER key. This SUM function adds the total expenses for the business. Click cell D17 on the Annual Plan worksheet. Type an equal sign (=). Click cell D9, type a minus sign (–), click cell D16, and press the ENTER key. This formula calculates the annual profit for the business. Click cell B10 on the Investments worksheet. Type an equal sign (=) followed by the word COUNT and an open parenthesis ((). Highlight the range B3:B8, type a closing parenthesis ()), and press the ENTER key. This function counts the number of investments that currently have a balance. Notice that additional blank rows were included in the range for this function. The function output will automatically change if any new investments are added to the worksheet. Click cell D3 on the Investments worksheet. Type an equal sign (=). Click the Annual Plan worksheet tab. Click cell D17 and type a forward slash (/) for division. Click the Investments worksheet tab. Click cell B10 and press the ENTER key. This formula divides the profit calculated on the Annual Plan worksheet by the number of investments in the Investments worksheet. We will assume that the profits from this business will be invested evenly among the funds listed in Column A of the Investments worksheet. Before copying and pasting the formula created in step 28, absolute references must be added to the cell locations in the formula. Double click cell D3 on the Investments worksheet. Place the mouse pointer in front of D17 in the formula and click. Press the F4 key on your keyboard. Place the mouse pointer in front of cell B10 in the formula and click. Press the F4 key on your keyboard. Press the ENTER key. Copy cell D3 and paste it into cells D4 and D5. Click cell E3 on the Investments worksheet. The future value function will be added to project the total growth of the investments listed in Column A. We will assume that the business will be able to consistently generate the profit, which will be invested evenly in the funds every year. Type an equal sign (=) followed by the function name FV and an open parenthesis ((). Define the arguments of the function as follows: Rate: Click cell C3 and type a comma. This is the expected growth rate of the first fund. Nper: Type the number 10 and then type a comma. We will project the growth of these investments in 10 years. Pmt: Type a minus sign (−), click cell D3, and type a comma. Remember that this argument must always be preceded by a minus sign. We are assuming that the business will consistently generate the profits calculated in the Annual Plan worksheet and that these profits will be invested evenly into each fund. Pv: Type a minus sign (–) and click cell B3. Since each fund currently has a balance, we need to add this to the Pv argument of the function. Similar to the Pmt argument, remember that this argument must also be preceded by a minus sign. Type: Type a closing parenthesis ()) and press the ENTER key. We will assume the investments will be made at the end of each year. Therefore, it is not necessary to define this argument since Excel will assume zero, or end of the period, if it is not defined. Copy the FV function in cell E3 and paste it into cells E4 and E5. Click cell B9 on the Investments worksheet. Type an equal sign (=) followed by the word SUM and an open parenthesis ((). Highlight the range B3:B8, type a closing parenthesis ()), and press the ENTER key. This SUM function adds the current balance for all investments. Blank rows are added to the range for the function so additional investments will automatically be included in the function output. Copy the SUM function in cell B9 and paste it into cells D9 and E9. We will use Goal Seek to determine how many customers we need to service in order to reach a savings goal of $250,000. Click cell E9 on the Investments worksheet. Click the What-If Analysis button in the Data tab of the Ribbon and select Goal Seek. Click in the “To value” input box on the Goal Seek dialog box. Type the number 250000. Click the Collapse Dialog button next to the “By changing cell” input box on the Goal Seek dialog box. Click the Annual Plan worksheet tab and click cell B6. Press the ENTER key, and click the OK button on the Goal Seek dialog box. Click the OK button on the Goal Seek Status dialog box. View the number of customers showing in cell B6 in the Annual Plan worksheet. Save the workbook by adding your name in front of the current workbook name (i.e., “your name Chapter 2 CiP Exercise 1”). Close the workbook and Excel. Figure 2.49 Completed CiP Exercise 1 Annual Plan Worksheet Figure 2.50 Completed CiP Exercise 1 Investments Worksheet Figure 2.51 Completed CiP Exercise 1 Leases Worksheet Hotel Management Cost Analysis Starter File: Chapter 2 CiP Exercise 2 Difficulty: Level 2 Moderate The hotel management industry presents a wide variety of career opportunities. These range from running your own bed and breakfast to a management position at a large hotel corporation. No matter what hotel management career you choose to pursue, understanding the costs for any hotel operation is critical to running a successful operation. This exercise examines the relationship between cleaning expenses and the occupancy rate of a small hotel. Cleaning expenses are obviously influenced by the occupancy rate of the hotel. As more rooms need to be cleaned, the amount of overall cleaning expenses increases. However, to accurately estimate these expenses, you need to know whether there is a baseline, or fixed portion, of these expenses that does not change no matter how many rooms need to be cleaned. In other words, if you pay a cleaning staff a fixed salary, it does not matter if they clean 1 room or 100 rooms; their salary will remain the same. However, you may need more cleaning supplies as the number of rooms that need to be cleaned increases. In addition, the replacement of guest necessities such as soap, shampoo, lotions, and so on will also increase as the number of rooms to be cleaned increases. This exercise will demonstrate how these costs can be estimated through a technique called the high-low method. Begin this exercise by opening the file named Chapter 2 CiP Exercise 2. Enter a formula in cell C5 on the Historical Costs worksheet to calculate the January capacity for the hotel. The capacity is calculated by multiplying the occupants per room (cell C3) by the number of rooms in the hotel (cell C2). This result is then multiplied by the number of days in the month (cell C5). Construct this formula so that relative referencing does not change cells C3 and C2 when the formula is pasted into other cell locations in Column C. Copy the formula in cell C5 and paste it into the range C6:C16. Use a paste method that does not remove the border at the bottom of cell C16. Enter a formula in cell E5 on the Historical Costs worksheet to calculate the occupancy capacity of the hotel. Your formula should divide the Hotel Capacity into the Actual Capacity. Format your result to a percentage with two decimal places. Then copy and paste the formula into the range E6:E16. Use a paste method that does not remove the border at the bottom of cell E16. Enter a function in cell C17 on the Historical Costs worksheet that sums the values in the range C5:C16. Copy the function and paste it into cells D17 and F17. Use a paste method that does not change the border on the right side of cell F17. Copy the formula in cell E16 and paste it into cell E17. Use a paste method that does not change the border at the bottom of cell E17. Sort the data in the Historical Costs worksheet based on the values in the Actual Occupancy column in descending order (largest to smallest). For any duplicate values in the Actual Occupancy column, sort using the values in the Cleaning Expenses column in descending order. On the Cost Analysis worksheet, enter a function into cell B3 that shows the highest value in the range D5:D16 in the Actual Occupancy column on the Historical Costs worksheet. On the Cost Analysis worksheet, enter a function into cell B4 that shows the lowest value in the range D5:D16 in the Actual Occupancy column on the Historical Costs worksheet. On the Cost Analysis worksheet, enter a function into cell C3 that shows the highest value in the range F5:F16 in the Actual Occupancy column on the Historical Costs worksheet. On the Cost Analysis worksheet, enter a function into cell C4 that shows the lowest value in the range F5:F16 in the Actual Occupancy column on the Historical Costs worksheet. On the Cost Analysis worksheet, format cells B3 and B4 with a comma and zero decimal places. Format cells C3 and C4 with US dollars with zero decimal places. On the Cost Analysis worksheet, enter a formula in cell B5 that subtracts the lowest actual occupancy value from the highest actual occupancy value. Copy this formula and paste it into cell C5. Enter a formula in cell C6 on the Cost Analysis worksheet that calculates that variable cost portion for the cleaning expenses per month. As mentioned in the introduction to this exercise, the cleaning expense contains costs that increase with each room that is cleaned. This is known as a variable expense and can be estimated by dividing the Actual Occupancy High Low Difference (cell B5) into the Cleaning Expenses High Low Difference (cell C5). Format the output of this formula to US dollars with two decimal places. Enter a formula in cell C7 on the Cost Analysis worksheet that calculates the fixed cost portion for the cleaning expenses per month. This is the amount of money that will be spent on cleaning expenses no matter how many rooms are cleaned. Since we have calculated the variable cost portion of the cleaning expense, we can now use it to calculate the fixed expense. To do this, subtract from the High Cleaning Expense (cell C3) the result of multiplying the variable expense (cell C6) by the High Actual Occupancy (cell B3). Format the result of the formula to US dollars with zero decimal places. Enter the number 3500 in cell C2 on the Cleaning Cost Estimates worksheet. Format the number with commas and zero decimal places. Apply a yellow fill color to cell C2 on the Cleaning Cost Estimates worksheet. This is being formatted to indicate to the user of this worksheet that a number is to be entered into the cell. On the Cleaning Cost Estimates worksheet, enter a formula in cell C3 that calculates the estimated cleaning expenses given the number that was entered into cell C2. Now that we have calculated the variable and fixed expenses on the Cost Analysis worksheet, we can use the results to estimate the cleaning expenses. The formula is a + bX, where a is the fixed cost, b is the variable cost, and X is the activity level that is typed into cell C2. The fixed cost is added to the result of multiplying the variable cost by the activity level in cell C2. Format the output of the formula to US dollars with zero decimal places. Save the workbook by adding your name in front of the current workbook name (i.e., “your name Chapter 2 CiP Exercise 2”). Close the workbook and Excel. Figure 2.52 Completed CiP Exercise 2 Historical Costs Worksheet Figure 2.53 Completed CiP Exercise 2 Cost Analysis Worksheet Integrity Check Starter File: Chapter 2 IC Exercise 3 Difficulty: Level 3 Difficult The purpose of this exercise is to analyze a worksheet to determine whether there are any integrity flaws. Read the scenario below, then open the Excel workbook related to this exercise. You will find a worksheet in the workbook named AnswerSheet. This worksheet is to be used for any written responses required for this exercise. Scenario You are the manager of a large do-it-yourself hardware store that is part of a national retail chain. Your assistant manager has constructed a sales and profit budget for the upcoming year. The Budget worksheet contains several formulas used to calculate the expected sales and profit dollars for the store by product category. The following is a list of key elements and calculations used on this worksheet: Cells shaded in yellow are intended for data entry values. For example, last year sales results in Column B are typed into the cells. Also, the expected growth rates in Column D and profit percentages in Column E are also typed into the cells. These values fluctuate from year to year, and the assistant manager intends to create a few scenarios for the budget by changing the growth rates and expected profit percentages for each product category. Table 2.9 “Formulas Used on the Budget Worksheet” contains a list of the formulas that are used to produce the outputs on the Budget worksheet. Table 2.9 Formulas Used on the Budget Worksheet Purpose Formula Location Budgeted Profit Dollars Budgeted Sales × Profit Percent F4:F7 Budgeted Sales Sales Last Year × (1 + Sales Growth) C4:C7 Total Profit Growth (Total Budgeted Profit Dollars ÷ Total Budgeted Sales) E8 Total Sales Growth (Total Budgeted Sales − Total Sales Last Year) ÷ Total Sales Last Year D8 Assignment As noted in Table 2.9 “Formulas Used on the Budget Worksheet”, the Sales Last Year is used in the formula calculating the Budgeted Sales dollars. Use the Trace Dependents command to locate the formula referencing any value in the Sales Last Year column on the Budget worksheet. Document your observation in the AnswerSheet worksheet. The assistant manager intends to use the Budget worksheet to create a few scenarios for the budgeted sales and profit dollars. Change a few values in the Profit Percent column and document your observations in the AnswerSheet worksheet. Look at each value in the Totals row (row 8) on the Budget worksheet. Are there any values that do not make sense? Type your answer on the AnswerSheet worksheet. Using Table 2.9 “Formulas Used on the Budget Worksheet” as a guide, evaluate all formulas that were entered into the Budget worksheet. Make any necessary corrections to the worksheet so when any value is changed in Columns B, D, and E, new outputs are created. Save the workbook by adding your name in front of the current workbook name. Starter File: Chapter 2 IC Exercise 4 Difficulty: Level 3 Difficult The purpose of this exercise is to analyze a worksheet to determine whether there are any integrity flaws. Read the scenario below, then open the Excel workbook related to this exercise. You will find a worksheet in the workbook named AnswerSheet. This worksheet is to be used for any written responses required for this exercise. Scenario Your friend is working on a few financial calculations in Excel and is asking for your assistance. The workbook that was given to you contains calculations for estimating the future value of investments and monthly mortgage calculations for purchasing a home. Your friend explained the following in an e-mail that was sent with the workbook: You will see in the Investment Plan worksheet that I have estimated the value of my investments in 5 years. My company is taking money out of my paycheck at the end of every month and investing it in the funds I have listed in Column A. I am pretty sure I did this right, but all my results in Column E are negative. I am not sure why this is happening. In the Mortgage Payments worksheet, I am trying to calculate the monthly payments for a house I am thinking about buying. However, the output of the function in cell B6 seems really high. There is no way I would be paying over $9,000 a month in mortgage payments. Something must be wrong. I don’t want to spend more than $775 a month for a mortgage. I thought I would be able to use Excel to determine what my target price for the house should be. My agent said that the current owners were probably willing to negotiate on the asking price for the house. Assignment Look at the FV function that was entered into cell E3 on the Investment Plan worksheet. Why is the output for this function negative? Assume that the output of the FV function in cell E3 was a positive $17,385 instead of negative. Does it make sense that given a 4.5% annual rate of return, starting balance of $10,000, and an ongoing investment of $900 per month that the value of the investment would be $17,385 after 5 years? Look at the PMT function in cell B6 on the Mortgage Payments worksheet. Is the function set up to calculate monthly payments? You friend states that the target monthly mortgage payment is $775. What Excel tool could you use to change the price in cell B2 on the Mortgage Payments worksheet so the mortgage payment is equal to $775? Based on your friend’s comments, make any necessary corrections to all the functions in the Investment Plan and Mortgage Payments worksheets. Set the price of the home in cell B2 on the Mortgage Payments worksheet so the monthly payment equals $775. Save the workbook by adding your name in front of the current workbook name. Applying Excel Skills Lease vs. Buy Starter File: None Difficulty: Level 2 Moderate You are in the process of getting a new car but are not sure if you should buy or lease. The price of the car you want is $18,000, but you do not want to spend more than $250 a month on car payments. If you lease the car, the terms of the lease will be 48 months at an annual interest rate of 5%. The residual value of the car will be set at $9,000. If you buy the car, your bank will offer you a 7-year loan at an annual interest rate of 6%. You are not required to make a down payment with either the lease or loan options, and payments are made at the end of the month for both options. Should you lease or buy the car given your budget limit of $250 a month? Create a new workbook and design a worksheet that shows the difference between leasing and buying the car in terms of monthly payments. Use proper formatting so your worksheet is easy to read. Remember to use column and row headings, add a title to your worksheet, and rename the worksheet tab with an appropriate label. Include your name in the file name of the workbook. Amortization Table for a Home Loan Starter File: None Difficulty: Level 3 Difficult You are considering the purchase of a new home offered at a price of $225,000. Create an amortization table in a new workbook that shows how much interest and principal you will pay each month for the duration of the loan. The following is a list of assumptions and requirements you need to consider for this assignment: You will be making a down payment of 20% on the home (refer to Table 2.5 “Key Terms for Loans and Leases” for loan and lease terms). The bank will offer you a loan at an annual interest rate of 5.5% for 30 years. Your mortgage payments will be made at the end of each month. You must construct the amortization table so that any change in the loan variables, down payment percent, length of loan, interest rate, and so on will automatically produce new outputs for each month of the amortization table. The amortization table must show the interest payment, principal payment, and balance remaining to be paid on the loan for every month of the loan duration. The beginning balance for the last month of the loan should be equal to the principal payment in the last month. Refer to Figure 2.29 “Example of an Amortization Table” for establishing the format for the table. Remember to use column and/or row headings, add a title to your worksheet, and rename the worksheet tab with an appropriate label. Include your name in the file name of the workbook. Chapter Skills Test Starter File: Chapter 2 Skills Test Difficulty: Level 2 Moderate Answer the following questions by executing the skills on the starter file required for this test. Answer each question in the order in which it appears. If you do not know the answer, skip to the next question. Open the starter file listed above before you begin this test. Enter a function in cell B9 on the Investments worksheet that calculates the total of the values in the range B3:B8. Copy the function in cell B9 and paste it into cells C9 and G9. Enter a formula in cell E3 on the Investments worksheet that calculates the growth rate for the investments. Your formula should first subtract the value in the Invested Principal column from the value in the Current Balance column. Then, divide this result by the value in the Invested Principal column. Copy the formula in cell E3 and paste it into the range E4:E8. Copy the formula in cell E3 and paste it into cell E9 using the Paste Formulas option. Enter a formula in cell D3 on the Investments worksheet that divides the Current Balance by the total in cell C9. Add an absolute reference to C9 in this formula. Copy the formula in cell D3 and paste it into the range D4:D8. In cell G3 on the Investments worksheet, use the Future Value function to calculate the future value of the investment in 2 years. Use the Target Growth Rate to define the Rate argument. This is not an annuity so there are no periodic investments. Use the Current Balance to define the Pv argument. Assume that the investment is made at the beginning of the period. Copy the function in cell G3 and paste it into the range G4:G8. Enter a function in cell B10 on the Investments worksheet that calculates the average of the values in the range B3:B8. Copy the function in cell B10 and paste it into cells C10 and G10. On the Mortgage worksheet, use the data provided to enter a formula in cell B6 to calculate the principal of the loan that will be required to purchase the house. On the Mortgage worksheet, use the PMT function in cell B7 to calculate the monthly payments of the mortgage. Use cell locations from this worksheet to define each argument of the function. Assume that payments are made at the end of each month. On the Auto Lease worksheet, use the PMT function in cell B6 to calculate the monthly lease payments. Use cell locations from this worksheet to define each argument of the function. Assume that the lease payments are due at the beginning of each month. On the Auto Lease worksheet, use Goal Seek to change the Annual Interest rate in cell B2 so the monthly payments are exactly $200. In cell E2 on the Summary worksheet, use a cell reference to display the value in cell B9 in the Investments worksheet. In cell E3 on the Summary worksheet, use a cell reference to display the value in cell G9 in the Investments worksheet. Enter a formula in cell F4 on the Summary worksheet that subtracts the Principal of Investments from the 2 Year Future Value of Investments. Enter a formula in cell F5 on the Summary worksheet that calculates the amount of mortgage payments that will be made over 2 years. Your formula should multiply the value in B7 on the Mortgage worksheet by 24. Enter a formula in cell F6 on the Summary worksheet that calculates the amount of lease payments that will be made over 2 years. Your formula should multiply the value in B6 on the Auto Lease worksheet by 24. Enter a formula in cell F7 on the Summary worksheet that subtracts the sum of the values in the range F5:F6 from the value in cell F4. Sort the data in the range A2:G8 on the Investments worksheet. Sort the data based on the values in the Invested Principal column in ascending order (smallest to largest). For duplicate values in this column, sort using the values in the Target Growth Rate column in descending order (largest to smallest). Save the workbook by adding your name in front of the current workbook name (i.e., “your name Chapter 2 Skills Test”). Close the workbook and Excel. Chapter 15: Readings: Examples of Essays 15.1 Introduction to Sample Essays Learning Objectives Identify the role of reading in the writing process. Read examples of the rhetorical modes. This chapter contains quality samples of the rhetorical modes described in Chapter 10 “Rhetorical Modes”. While you read these essays, remember the purpose of the writing and pay attention to the following: Thesis statement. What is the author’s main point of the essay? Identify the sentence and see how well it is supported throughout the essay. Topic sentence. How well does each topic sentence support the thesis, and how well does it describe the main idea of the following paragraph? Supporting evidence. Identify the evidence that the author uses to support the essay’s main ideas, and gauge their credibility. The best way to become a better writer is to become a closer reader. As you read each essay carefully take note of the content and the structure as well as the thesis statement, topic sentences, and supporting evidence. These should shape your response to the essay and should also shape your writing. 15.2 Narrative Essay Learning Objective Read an example of the narrative rhetorical mode. My College Education The first class I went to in college was philosophy, and it changed my life forever. Our first assignment was to write a short response paper to the Albert Camus essay “The Myth of Sisyphus.” I was extremely nervous about the assignment as well as college. However, through all the confusion in philosophy class, many of my questions about life were answered. I entered college intending to earn a degree in engineering. I always liked the way mathematics had right and wrong answers. I understood the logic and was very good at it. So when I received my first philosophy assignment that asked me to write my interpretation of the Camus essay, I was instantly confused. What is the right way to do this assignment, I wondered? I was nervous about writing an incorrect interpretation and did not want to get my first assignment wrong. Even more troubling was that the professor refused to give us any guidelines on what he was looking for; he gave us total freedom. He simply said, “I want to see what you come up with.” Full of anxiety, I first set out to read Camus’s essay several times to make sure I really knew what was it was about. I did my best to take careful notes. Yet even after I took all these notes and knew the essay inside and out, I still did not know the right answer. What was my interpretation? I could think of a million different ways to interpret the essay, but which one was my professor looking for? In math class, I was used to examples and explanations of solutions. This assignment gave me nothing; I was completely on my own to come up with my individual interpretation. Next, when I sat down to write, the words just did not come to me. My notes and ideas were all present, but the words were lost. I decided to try every prewriting strategy I could find. I brainstormed, made idea maps, and even wrote an outline. Eventually, after a lot of stress, my ideas became more organized and the words fell on the page. I had my interpretation of “The Myth of Sisyphus,” and I had my main reasons for interpreting the essay. I remember being unsure of myself, wondering if what I was saying made sense, or if I was even on the right track. Through all the uncertainty, I continued writing the best I could. I finished the conclusion paragraph, had my spouse proofread it for errors, and turned it in the next day simply hoping for the best. Then, a week or two later, came judgment day. The professor gave our papers back to us with grades and comments. I remember feeling simultaneously afraid and eager to get the paper back in my hands. It turned out, however, that I had nothing to worry about. The professor gave me an A on the paper, and his notes suggested that I wrote an effective essay overall. He wrote that my reading of the essay was very original and that my thoughts were well organized. My relief and newfound confidence upon reading his comments could not be overstated. What I learned through this process extended well beyond how to write a college paper. I learned to be open to new challenges. I never expected to enjoy a philosophy class and always expected to be a math and science person. This class and assignment, however, gave me the self-confidence, critical-thinking skills, and courage to try a new career path. I left engineering and went on to study law and eventually became a lawyer. More important, that class and paper helped me understand education differently. Instead of seeing college as a direct stepping stone to a career, I learned to see college as a place to first learn and then seek a career or enhance an existing career. By giving me the space to express my own interpretation and to argue for my own values, my philosophy class taught me the importance of education for education’s sake. That realization continues to pay dividends every day. Online Narrative Essay Alternatives Sandra Cisneros offers an example of a narrative essay in Only Daughter that captures her sense of her Chicana-Mexican heritage as the only daughter in a family of seven children. Her complete essay is available on several websites, including the following: http://distelrath.wikispaces.com/file/view/Only+Daughter.doc http://www.cabrillo.edu/academics/english/100resources/’Only%20Daughter’.pdf http://www.tbaisd.k12.mi.us/departments/docs_gen/pacing/ela12-6/9thGrade/9-4/Only_Daughter.pdf Gary Shteyngart came to the United States when he was seven years old. The son of Russian Jewish parents who struggled to provide a better life for their son, he reflects on his struggles, including becoming “American,” in Sixty-Nine Cents: http://www.newyorker.com/reporting/2007/09/03/070903fa_fact_shteyngart?printable=true#ixzz0pihck7DS http://www.america.gov/st/peopleplace-english/2009/February/20090213084900mlenuhret0.8106806.html Sherman Alexie grew up on the Spokane Reservation in Washington State. He chronicles his challenges in school, starting in first grade, in Indian Education: http://comosr.spps.org/Alexie.html http://www.forsyth.k12.ga.us/132320728102659810/lib/132320728102659810/_files/Alexie,_Sherman_-_Indian_Education_TEXT.rtf http://www.pfeonyx.com/alliance/IndianCollection/Alexie2.pdf 15.3 Illustration Essay Learning Objective Read an example of the illustration rhetorical mode. Letter to the City To: Lakeview Department of Transportation From: A Concerned Citizen The intersection of Central Avenue and Lake Street is dangerous and demands immediate consideration for the installation of a controlling mechanism. I have lived in Lakeview my entire life, and during that time I have witnessed too many accidents and close calls at that intersection. I would like the Department of Transportation to answer this question: how many lives have to be lost on the corner of Central Avenue and Lake Street before a street light or stop sign is placed there? Over the past twenty years, the population of Lakeview has increased dramatically. This population growth has put tremendous pressure on the city’s roadways, especially Central Avenue and its intersecting streets. At the intersection of Central Avenue and Lake Street it is easy to see how serious this problem is. For example, when I try to cross Central Avenue as a pedestrian, I frequently wait over ten minutes for the cars to clear, and even then I must rush to the median. I will then have to continue to wait until I can finally run to the other side of the street. On one hand, even as a physically fit adult, I can run only with significant effort and care. Expecting a senior citizen or a child to cross this street, on the other hand, is extremely dangerous and irresponsible. Does the city have any plans to do anything about this? Recent data show that the intersection of Central Avenue and Lake Street has been especially dangerous. According to the city’s own statistics, three fatalities occurred at that intersection in the past year alone. Over the past five years, the intersection witnessed fourteen car accidents, five of which were fatal. These numbers officially qualify the intersection as the most fatal and dangerous in the entire state. It should go without saying that fatalities and accidents are not the clearest way of measuring the severity of this situation because for each accident that happens, countless other close calls never contribute to city data. I hope you will agree that these numbers alone are sufficient evidence that the intersection at Central Avenue and Lake Street is hazardous and demands immediate attention. Nearly all accidents mentioned are caused by vehicles trying to cross Central Avenue while driving on Lake Street. I think the City of Lakeview should consider placing a traffic light there to control the traffic going both ways. While I do not have access to any resources or data that can show precisely how much a traffic light can improve the intersection, I think you will agree that a controlled busy intersection is much safer than an uncontrolled one. Therefore, at a minimum, the city must consider making the intersection a four-way stop. Each day that goes by without attention to this issue is a lost opportunity to save lives and make the community a safer, more enjoyable place to live. Because the safety of citizens is the priority of every government, I can only expect that the Department of Transportation and the City of Lakeview will act on this matter immediately. For the safety and well-being of Lakeview citizens, please do not let bureaucracy or money impede this urgent project. Sincerely, A Concerned Citizen Online Illustration Essay Alternatives Lewis Thomas provides several illustrative examples in On Natural Death: http://thefloatinglibrary.com/2009/03/05/on-natural-death-lewis-thomas Jessica Bennett, a senior writer for Newsweek, offers an example of an illustration essay when she presents The Flip Side of Internet Fame: http://www.newsweek.com/2008/02/21/the-flip-side-of-internet-fame.html 15.4 Descriptive Essay Learning Objective Read an example of the descriptive rhetorical mode. America’s Pastime As the sun hits my face and I breathe in the fresh air, I temporarily forget that I am at a sporting event. But when I open my eyes and look around, I am reminded of all things American. From the national anthem to the international players on the field, all the sights and sounds of a baseball game come together like a slice of Americana pie. First, the entrance turnstiles click and clank, and then a hallway of noise bombards me. All the fans voices coalesce in a chorus of sound, rising to a humming clamor. The occasional, “Programs, get your programs, here!” jumps out through the hum to get my attention. I navigate my way through the crowded walkways of the stadium, moving to the right of some people, to the left of others, and I eventually find the section number where my seat is located. As I approach my seat I hear the announcer’s voice echo around the ball park, “Attention fans. In honor of our country, please remove your caps for the singing of the national anthem.” His deep voice echoes around each angle of the park, and every word is heard again and again. The crowd sings and hums “The Star-Spangled Banner,” and I feel a surprising amount of national pride through the voices. I take my seat as the umpire shouts, “Play ball!” and the game begins. In the fifth inning of the game, I decide to find a concessions stand. Few tastes are as American as hot dogs and soda pop, and they cannot be missed at a ball game. The smell of hot dogs carries through the park, down every aisle, and inside every concourse. They are always as unhealthy as possible, dripping in grease, while the buns are soft and always too small for the dog. The best way to wash down the Ball Park Frank is with a large soda pop, so I order both. Doing my best to balance the cold pop in one hand and the wrapped-up dog in the other, I find the nearest condiments stand to load up my hot dog. A dollop of bright green relish and chopped onions, along with two squirts of the ketchup and mustard complete the dog. As I continue the balancing act between the loaded hot dog and pop back to my seat, a cheering fan bumps into my pop hand. The pop splashes out of the cup and all over my shirt, leaving me drenched. I make direct eye contact with the man who bumped into me and he looks me in the eye, looks at my shirt, tells me how sorry he is, and then I just shake my head and keep walking. “It’s all just part of the experience,” I tell myself. Before I am able to get back to my seat, I hear the crack of a bat, followed by an uproar from the crowd. Everyone is standing, clapping, and cheering. I missed a home run. I find my aisle and ask everyone to excuse me as I slip past them to my seat. “Excuse me. Excuse me. Thank you. Thank you. Sorry,” is all I can say as I inch past each fan. Halfway to my seat I can hear discarded peanut shells crunch beneath my feet, and each step is marked with a pronounced crunch. When I finally get to my seat I realize it is the start of the seventh inning stretch. I quickly eat my hot dog and wash it down with what is left of my soda pop. The organ starts playing and everyone begins to sing “Take Me Out to the Ball Game.” While singing the song, putting my arms around friends and family with me, I watch all the players taking the field. It is wonderful to see the overwhelming amount of players on one team from around the world: Japan, the Dominican Republic, the United States, Canada, and Venezuela. I cannot help but feel a bit of national pride at this realization. Seeing the international representation on the field reminds me of the ways that Americans, though from many different backgrounds and places, still come together under common ideals. For these reasons and for the whole experience in general, going to a Major League Baseball game is the perfect way to glimpse a slice of Americana. Online Descriptive Essay Alternatives Susan Berne visits New York and describes her impressions in Where Nothing Says Everything, also called Ground Zero: http://thepurpleenglishteacher.files.wordpress.com/2010/10/groundzero.pdf http://www.nytimes.com/2002/04/21/travel/where-nothing-says-everything.html Heather Rogers provides a detailed description (book excerpt) of a landfill that challenges the reader to consider his or her own consumption and waste in The Hidden Life of Garbage: http://www.alternet.org/story/27116 http://books.google.com/books?id=efUymAhM_tAC&pg=PA12&lpg=PA12&dq= the+hidden+life+of+garbage+by+heather+rogers+%22in+the+dark+chill+of+early+ morning%22&source=bl&ots=7c4hoFLhTp&sig=ngecGSS27blb9zoy8wLaJX8la_o&hl= en&ei=Vi7xTKDKG4zSsAP2hdGtCw&sa=X&oi=book_result&ct=result&resnum= 1&ved=0CBgQ6AEwAA#v=onepage&q&f=false 15.5 Classification Essay Learning Objective Read an example of the classification rhetorical mode. Types of Higher Education Programs Today’s students have many choices when it comes to pursuing a degree: four-year programs, two-year programs, large or small classroom settings, and even daytime or evening classes. With all the different options to consider, potential students should learn about the different types of colleges so they can find a school that best fits their personality, budget, and educational goals. One type of higher education program for students to consider is a liberal arts college. These schools tend to be small in size and offer a range of undergraduate degrees in subjects like English, history, psychology, and education. Students may choose a liberal arts college if they want a more intimate classroom setting rather than large lecture-style classes. Students may also consider a liberal arts college if they want to gain knowledge from a variety of disciplines, rather than focus on a single area of study. Many liberal arts schools are privately owned, and some have religious affiliations. Liberal arts schools can come with a hefty price tag, and their high cost presents an obstacle for students on a tight budget; moreover, while some students might appreciate a liberal arts school’s intimate atmosphere, others might encounter a lack of diversity in the student body. Still, students seeking a well-rounded education in the humanities will find liberal arts colleges to be one option. Universities, another type of higher education program, offer both undergraduate and graduate degrees. Usually universities are larger than colleges and can accommodate tens of thousands of students in many different majors and areas of study. A large student body means that class sizes are often larger, and some classes may be taught by graduate students rather than professors. Students will feel at home at a university if they want a focused academic program and state-of-the-art research facilities. While some universities are private, many are public, which means they receive funding from the government, so tuition is more affordable and some even offer discounted in-state tuition for state residents. Also, universities attract many international students, so those looking for a variety of campus cultural groups and clubs will appreciate a greater sense of diversity among the student body. Universities can be overwhelming for some, but they are the right fit for students who seek research opportunities and academic studies, especially in the fields of mathematics and science. Community college is a type of higher education program popular with students on a limited budget who want to take college courses but may not know what they want to major in. Most schools offer degrees after two years of study, usually an associate’s degree that prepares students to enter the work force; many students choose to study at a community college for two years and then transfer to a four-year college to complete their undergraduate degree. Like liberal arts schools, classes are small and allow instructors to pay more attention to their students. Community college allows students to live at home rather than in a dormitory, which also keeps costs down. While some young people might not like the idea of living at home for school, many adults choose to attend community college so they can advance their education while working and living with their families. Online universities are another type of higher education program that are gaining popularity as technology improves. These schools offer many of the same degree programs as traditional liberal arts colleges and universities. Unlike traditional programs, which require students to attend classes and lectures, online universities offer greater academic flexibility and are a great option for students wishing to pursue a degree while still working full time. At online universities, students access course materials, such as video lectures and assessments, remotely using a personal computer and are able to speed up or slow down their progress to complete their degree at their own pace. Students may attend classes in the comfort of their own home or a local library, but students hoping for the social community of higher education might not enjoy this aspect of higher education. With so many colleges and universities to choose from, it may be difficult for a student to narrow down his or her selection, but once a student knows what he or she is looking for, the process may become much easier. It is very important for students to learn about the different types of higher education programs available before making their selections. Online Classification Essay Alternatives Amy Tan describes relationship with her heritage, her mother, and her languages in Mother Tongue: http://www.scribd.com/doc/13297165/Mother-Tongue-By-Amy-Tan-I-Am-Not-A http://learning.swc.hccs.edu/members/donna.gordon/sum-2010-engl-1301-5-wk-crn-33454/1301-reading-block-crn-33454/Tan_Mother%20Tongue.pdf http://teachers.sduhsd.k12.ca.us/mcunningham/grapes/mother%20tounge.pdf Jonathan Koppell discusses anonymity, your name, and how the Internet has changed in On the Internet, There’s No Place to Hide: http://www.newamerica.net/publications/articles/2000/on_the_internet_theres_no_place_to_hide 15.6 Process Analysis Essay Learning Objective Read an example of the process analysis rhetorical mode. How to Grow Tomatoes from a Seedling Growing tomatoes is a simple and rewarding task, and more people should be growing them. This paper walks readers through the main steps for growing and maintaining patio tomatoes from a seedling. The first step in growing tomatoes is determining if you have the appropriate available space and sunlight to grow them. All tomato varieties require full sunlight, which means at least six hours of direct sun every day. If you have south-facing windows or a patio or backyard that receives direct sunlight, you should be able to grow tomatoes. Choose the location that receives the most sun. Next, you need to find the right seedling. Growing tomatoes and other vegetables from seeds can be more complicated (though it is not difficult), so I am only discussing how to grow tomatoes from a seedling. A seedling, for those who do not know, is typically understood as a young plant that has only recently started growing from the seed. It can be anything from a newly germinated plant to a fully flowering plant. You can usually find tomato seedlings at your local nursery for an affordable price. Less than five dollars per plant is a common price. When choosing the best seedling, look for a plant that is short with healthy, full leaves and no flowers. This last point tends to be counterintuitive, but it is extremely important. You do not want a vegetable plant that has already started flowering in the nursery because it will have a more difficult time adapting to its new environment when you replant it. Additionally, choose a plant with one strong main stem. This is important because the fewer stems that a tomato plant has, the more easily it can transport nutrients to the fruit. Multiple stems tend to divide nutrients in less efficient ways, often resulting in either lower yields or smaller fruit. Once you have found the right seedlings to plant back home, you need to find the best way of planting them. I recommend that you plant your tomatoes in containers. If you have the space and sunlight, then you can certainly plant them in the ground, but a container has several advantages and is usually most manageable for the majority of gardeners. The containers can be used in the house, on a patio, or anywhere in the backyard, and they are portable. Containers also tend to better regulate moisture and drain excess water. Choose a container that is at least 10 inches in diameter and at least 1 foot deep. This will provide sufficient room for root development. In addition to the container, you also need the appropriate soil mixture and draining mechanisms. For the best drainage, fill the bottom of your container with 2 or 3 inches of gravel. On top of the gravel, fill ¾ of the container with soil. Choose a well-balanced organic soil. The three main ingredients you will find described on soil bags are N-P-K—that is, nitrogen, phosphorus, and potassium. Without going into too much detail about the role of each element in plant growth, I will tell you that an average vegetable will grow fine in a 10-5-5 mixture. This ratio, too, will be easy to find at your local nursery. Once you have the gravel in the bottom of the container and the soil on top, you are ready to transplant the tomato. Pick up the tomato in the plastic container it comes in from the nursery. Turn it upside down, and holding the stem between your fingers, pat the bottom lightly several times, and the plant should fall into your hand. Next, you should gently break up the root ball that formed in the nursery container with your hands. Be gentle, but be sure to rip them up a bit; this helps generate new root growth in the new container. Be careful not to damage the roots too much, as this could stunt the growth or even destroy the plant altogether. Next, carve out a hole in the soil to make space for the plant. Make it deep enough to go about an inch higher than it was previously buried and wide enough so all the roots can comfortably fit within and beneath it. Place the seedling in the hole and push the removed soil back on top to cover the base of the plant. After that, the final step in planting your tomato is mulch. Mulch is not necessary for growing plants, but it can be very helpful in maintaining moisture, keeping out weeds, and regulating soil temperature. Place 2–3 inches of mulch above the soil and spread it out evenly. Once the mulch is laid, you are mostly done. The rest is all watering, waiting, and maintenance. After you lay the mulch, pour the plant a heavy amount of water. Water the plant at its base until you see water coming through the bottom of the container. Wait ten minutes, and repeat. This initial watering is very important for establishing new roots. You should continue to keep the soil moist, but never soaking wet. One healthy watering each morning should be sufficient for days without rain. You can often forego watering on days with moderate rainfall. Watering in the morning is preferable to the evening because it lessens mold and bacteria growth. Choosing to grow the patio variety of tomatoes is easiest because patio tomatoes do not require staking or training around cages. They grow in smaller spaces and have a determinate harvest time. As you continue to water and monitor your plant, prune unhealthy looking leaves to the main stem, and cut your tomatoes down at the stem when they ripen to your liking. As you can see, growing tomatoes can be very easy and manageable for even novice gardeners. The satisfaction of picking and eating fresh food, and doing it yourself, outweighs all the effort you put in over the growing season. Online Process Analysis Essay Alternatives: Stanley Fish, a professor of humanities and law at Florida International University, tells us why Getting Coffee Is Hard to Do: http://www.nytimes.com/2007/08/06/opinion/06iht-edfish.1.7000425.html http://opinionator.blogs.nytimes.com/2007/08/04/getting-coffee-is-hard-to-do Arthur Miller takes a humorous look at a gruesome process in Get It Right: Privatize Executions: http://www.davidglensmith.com/lonestar/1301/PDFs/miller.pdf http://www.nytimes.com/1992/05/08/opinion/get-it-right-privatize-executions.html http://api.ning.com/files/-3HiJ651xE-rSj4Q4WeH-*f0NQJGyoXgI8AR*3Rat-AyxVuVAgEE bfbuyGbTu9gpi7z3gT4jqd52W3fBsDRfFGgEgLxB5wO4/GetItRight.PrivatizeExecutionsArthurMiller.pdf 15.7 Definition Essay Learning Objective Read an example of the definition rhetorical mode. Defining Good Students Means More Than Just Grades Many people define good students as those who receive the best grades. While it is true that good students often earn high grades, I contend that grades are just one aspect of how we define a good student. In fact, even poor students can earn high grades sometimes, so grades are not the best indicator of a student’s quality. Rather, a good student pursues scholarship, actively participates in class, and maintains a positive, professional relationship with instructors and peers. Good students have a passion for learning that drives them to fully understand class material rather than just worry about what grades they receive in the course. Good students are actively engaged in scholarship, which means they enjoy reading and learning about their subject matter not just because readings and assignments are required. Of course, good students will complete their homework and all assignments, and they may even continue to perform research and learn more on the subject after the course ends. In some cases, good students will pursue a subject that interests them but might not be one of their strongest academic areas, so they will not earn the highest grades. Pushing oneself to learn and try new things can be difficult, but good students will challenge themselves rather than remain at their educational comfort level for the sake of a high grade. The pursuit of scholarship and education rather than concern over grades is the hallmark of a good student. Class participation and behavior are another aspect of the definition of a good student. Simply attending class is not enough; good students arrive punctually because they understand that tardiness disrupts the class and disrespects the professors. They might occasionally arrive a few minutes early to ask the professor questions about class materials or mentally prepare for the day’s work. Good students consistently pay attention during class discussions and take notes in lectures rather than engage in off-task behaviors, such as checking their cell phones or daydreaming. Excellent class participation requires a balance between speaking and listening, so good students will share their views when appropriate but also respect their classmates’ views when they differ from their own. It is easy to mistake quantity of class discussion comments with quality, but good students know the difference and do not try to dominate the conversation. Sometimes class participation is counted toward a student’s grade, but even without such clear rewards, good students understand how to perform and excel among their peers in the classroom. Finally, good students maintain a positive and professional relationship with their professors. They respect their instructor’s authority in the classroom as well as the instructor’s privacy outside of the classroom. Prying into a professor’s personal life is inappropriate, but attending office hours to discuss course material is an appropriate, effective way for students to demonstrate their dedication and interest in learning. Good students go to their professor’s office during posted office hours or make an appointment if necessary. While instructors can be very busy, they are usually happy to offer guidance to students during office hours; after all, availability outside the classroom is a part of their job. Attending office hours can also help good students become memorable and stand out from the rest, particularly in lectures with hundreds enrolled. Maintaining positive, professional relationships with professors is especially important for those students who hope to attend graduate school and will need letters of recommendation in the future. Although good grades often accompany good students, grades are not the only way to indicate what it means to be a good student. The definition of a good student means demonstrating such traits as engaging with course material, participating in class, and creating a professional relationship with professors. While every professor will have different criteria for earning an A in their course, most would agree on these characteristics for defining good students. Online Definition Essay Alternatives Judy Brady provides a humorous look at responsibilities and relationships in I Want a Wife: http://www.columbia.edu/~sss31/rainbow/wife.html http://bcs.bedfordstmartins.com/everythingsanargument4e/content/cat_020/Brady_I_Want_a_Wife.pdf Gayle Rosenwald Smith shares her dislike of the name for a sleeveless T-shirt, The Wife-Beater: http://www.usd305.com/212720101692451310/lib/212720101692451310/20100429123836146.pdf Philip Levine defines What Work Is: http://www.ibiblio.org/ipa/poems/levine/what_work_is.php http://www.poemhunter.com/poem/what-work-is 15.8 Compare-and-Contrast Essay Learning Objective Read an example of the compare-and-contrast rhetorical mode. Comparing and Contrasting London and Washington, DC Both Washington, DC, and London are capital cities of English-speaking countries, and yet they offer vastly different experiences to their residents and visitors. Comparing and contrasting the two cities based on their history, their culture, and their residents show how different and similar the two are. Both cities are rich in world and national history, though they developed on very different time lines. London, for example, has a history that dates back over two thousand years. It was part of the Roman Empire and known by the similar name, Londinium. It was not only one of the northernmost points of the Roman Empire but also the epicenter of the British Empire where it held significant global influence from the early sixteenth century on through the early twentieth century. Washington, DC, on the other hand, has only formally existed since the late eighteenth century. Though Native Americans inhabited the land several thousand years earlier, and settlers inhabited the land as early as the sixteenth century, the city did not become the capital of the United States until the 1790s. From that point onward to today, however, Washington, DC, has increasingly maintained significant global influence. Even though both cities have different histories, they have both held, and continue to hold, significant social influence in the economic and cultural global spheres. Both Washington, DC, and London offer a wide array of museums that harbor many of the world’s most prized treasures. While Washington, DC, has the National Gallery of Art and several other Smithsonian galleries, London’s art scene and galleries have a definite edge in this category. From the Tate Modern to the British National Gallery, London’s art ranks among the world’s best. This difference and advantage has much to do with London and Britain’s historical depth compared to that of the United States. London has a much richer past than Washington, DC, and consequently has a lot more material to pull from when arranging its collections. Both cities have thriving theater districts, but again, London wins this comparison, too, both in quantity and quality of theater choices. With regard to other cultural places like restaurants, pubs, and bars, both cities are very comparable. Both have a wide selection of expensive, elegant restaurants as well as a similar amount of global and national chains. While London may be better known for its pubs and taste in beer, DC offers a different bar-going experience. With clubs and pubs that tend to stay open later than their British counterparts, the DC night life tend to be less reserved overall. Both cities also share and differ in cultural diversity and cost of living. Both cities share a very expensive cost of living—both in terms of housing and shopping. A downtown one-bedroom apartment in DC can easily cost $1,800 per month, and a similar “flat” in London may double that amount. These high costs create socioeconomic disparity among the residents. Although both cities’ residents are predominantly wealthy, both have a significantly large population of poor and homeless. Perhaps the most significant difference between the resident demographics is the racial makeup. Washington, DC, is a “minority majority” city, which means the majority of its citizens are races other than white. In 2009, according to the US Census, 55 percent of DC residents were classified as “Black or African American” and 35 percent of its residents were classified as “white.” London, by contrast, has very few minorities—in 2006, 70 percent of its population was “white,” while only 10 percent was “black.” The racial demographic differences between the cities is drastic. Even though Washington, DC, and London are major capital cities of English-speaking countries in the Western world, they have many differences along with their similarities. They have vastly different histories, art cultures, and racial demographics, but they remain similar in their cost of living and socioeconomic disparity. Online Compare-and-Contrast Essay Alternatives Ellen Laird compares and contrasts traditional and distance education in I’m Your Teacher, Not Your Internet-Service Provider: http://eec.edc.org/cwis_docs/NEWS_ARTICLES_JOURNALS/Laird_Ellen.pdf http://celt.cui.edu/celt/webct_for_instructors/Laird_Article.htm http://depedia.com/mediawiki/index.php?title=I%27m_your_teacher%2C_not_your_Internet-Service_Provider Deborah Tannen compares and contrasts conversation styles in Sex, Lies and Conversation: Why Is It So Hard for Men and Women to Talk to Each Other? http://www9.georgetown.edu/faculty/tannend/sexlies.htm Alex Wright examines communication patterns, old and new, in Friending, Ancient or Otherwise: http://www.nytimes.com/2007/12/02/weekinreview/02wright.html 15.9 Cause-and-Effect Essay Learning Objective Read an example of the cause-and-effect rhetorical mode. Effects of Video Game Addiction Video game addition is a serious problem in many parts of the world today and deserves more attention. It is no secret that children and adults in many countries throughout the world, including Japan, China, and the United States, play video games every day. Most players are able to limit their usage in ways that do not interfere with their daily lives, but many others have developed an addiction to playing video games and suffer detrimental effects. An addiction can be described in several ways, but generally speaking, addictions involve unhealthy attractions to substances or activities that ultimately disrupt the ability of a person to keep up with regular daily responsibilities. Video game addiction typically involves playing games uncontrollably for many hours at a time—some people will play only four hours at a time while others cannot stop for over twenty-four hours. Regardless of the severity of the addiction, many of the same effects will be experienced by all. One common effect of video game addiction is isolation and withdrawal from social experiences. Video game players often hide in their homes or in Internet cafés for days at a time—only reemerging for the most pressing tasks and necessities. The effect of this isolation can lead to a breakdown of communication skills and often a loss in socialization. While it is true that many games, especially massive multiplayer online games, involve a very real form of e-based communication and coordination with others, and these virtual interactions often result in real communities that can be healthy for the players, these communities and forms of communication rarely translate to the types of valuable social interaction that humans need to maintain typical social functioning. As a result, the social networking in these online games often gives the users the impression that they are interacting socially, while their true social lives and personal relations may suffer. Another unfortunate product of the isolation that often accompanies video game addiction is the disruption of the user’s career. While many players manage to enjoy video games and still hold their jobs without problems, others experience challenges at their workplace. Some may only experience warnings or demerits as a result of poorer performance, or others may end up losing their jobs altogether. Playing video games for extended periods of time often involves sleep deprivation, and this tends to carry over to the workplace, reducing production and causing habitual tardiness. Video game addiction may result in a decline in overall health and hygiene. Players who interact with video games for such significant amounts of time can go an entire day without eating and even longer without basic hygiene tasks, such as using the restroom or bathing. The effects of this behavior pose significant danger to their overall health. The causes of video game addiction are complex and can vary greatly, but the effects have the potential to be severe. Playing video games can and should be a fun activity for all to enjoy. But just like everything else, the amount of time one spends playing video games needs to be balanced with personal and social responsibilities. Online Cause-and-Effective Essay Alternatives Norman Cousins examines cause and effect in boxing in Who Killed Benny Paret? http://ecmd.nju.edu.cn/UploadFile/6/2552/wb2427.doc Lawrence Otis Graham examines racism, and whether it has changed since the 1970s, in The “Black Table” Is Still There: http://scremeens.googlepages.com/TheBlackTableessay.rtf Robin Tolmach Lakoff discusses the power of language to dehumanize in From Ancient Greece to Iraq: The Power of Words in Wartime: http://www.nytimes.com/2004/05/18/science/essay-from-ancient-greece-to-iraq-the-power-of-words-in-wartime.html Alan Weisman examines the human impact on the planet and its effects in Earth without People: http://discovermagazine.com/2005/feb/earth-without-people 15.10 Persuasive Essay Learning Objective Read an example of the persuasive rhetorical mode. Universal Health Care Coverage for the United States The United States is the only modernized Western nation that does not offer publicly funded health care to all its citizens; the costs of health care for the uninsured in the United States are prohibitive, and the practices of insurance companies are often more interested in profit margins than providing health care. These conditions are incompatible with US ideals and standards, and it is time for the US government to provide universal health care coverage for all its citizens. Like education, health care should be considered a fundamental right of all US citizens, not simply a privilege for the upper and middle classes. One of the most common arguments against providing universal health care coverage (UHC) is that it will cost too much money. In other words, UHC would raise taxes too much. While providing health care for all US citizens would cost a lot of money for every tax-paying citizen, citizens need to examine exactly how much money it would cost, and more important, how much money is “too much” when it comes to opening up health care for all. Those who have health insurance already pay too much money, and those without coverage are charged unfathomable amounts. The cost of publicly funded health care versus the cost of current insurance premiums is unclear. In fact, some Americans, especially those in lower income brackets, could stand to pay less than their current premiums. However, even if UHC would cost Americans a bit more money each year, we ought to reflect on what type of country we would like to live in, and what types of morals we represent if we are more willing to deny health care to others on the basis of saving a couple hundred dollars per year. In a system that privileges capitalism and rugged individualism, little room remains for compassion and love. It is time that Americans realize the amorality of US hospitals forced to turn away the sick and poor. UHC is a health care system that aligns more closely with the core values that so many Americans espouse and respect, and it is time to realize its potential. Another common argument against UHC in the United States is that other comparable national health care systems, like that of England, France, or Canada, are bankrupt or rife with problems. UHC opponents claim that sick patients in these countries often wait in long lines or long wait lists for basic health care. Opponents also commonly accuse these systems of being unable to pay for themselves, racking up huge deficits year after year. A fair amount of truth lies in these claims, but Americans must remember to put those problems in context with the problems of the current US system as well. It is true that people often wait to see a doctor in countries with UHC, but we in the United States wait as well, and we often schedule appointments weeks in advance, only to have onerous waits in the doctor’s “waiting rooms.” Critical and urgent care abroad is always treated urgently, much the same as it is treated in the United States. The main difference there, however, is cost. Even health insurance policy holders are not safe from the costs of health care in the United States. Each day an American acquires a form of cancer, and the only effective treatment might be considered “experimental” by an insurance company and thus is not covered. Without medical coverage, the patient must pay for the treatment out of pocket. But these costs may be so prohibitive that the patient will either opt for a less effective, but covered, treatment; opt for no treatment at all; or attempt to pay the costs of treatment and experience unimaginable financial consequences. Medical bills in these cases can easily rise into the hundreds of thousands of dollars, which is enough to force even wealthy families out of their homes and into perpetual debt. Even though each American could someday face this unfortunate situation, many still choose to take the financial risk. Instead of gambling with health and financial welfare, US citizens should press their representatives to set up UHC, where their coverage will be guaranteed and affordable. Despite the opponents’ claims against UHC, a universal system will save lives and encourage the health of all Americans. Why has public education been so easily accepted, but not public health care? It is time for Americans to start thinking socially about health in the same ways they think about education and police services: as rights of US citizens. Online Persuasive Essay Alternatives Martin Luther King Jr. writes persuasively about civil disobedience in Letter from Birmingham Jail: http://www.stanford.edu/group/King/frequentdocs/birmingham.pdf http://web.cn.edu/kwheeler/documents/Letter_Birmingham_Jail.pdf http://www.oak-tree.us/stuff/King-Birmingham.pdf Michael Levin argues The Case for Torture: http://people.brandeis.edu/~teuber/torture.html http://www.canyons.edu/departments/philosophy/levin.html Alan Dershowitz argues The Case for Torture Warrants: http://www.alandershowitz.com/publications/docs/torturewarrants.html Alisa Solomon argues The Case against Torture: http://www.villagevoice.com/2001-11-27/news/the-case-against-torture/1 Chapter 14: Creating Presentations: Sharing Your Ideas 14.1 Organizing a Visual Presentation Learning Objectives Identify key ideas and details to create a concise, engaging presentation. Identify the steps involved in planning a comprehensive presentation. Until now, you have interacted with your audience of readers indirectly, on the page. You have tried to anticipate their reactions and questions as all good writers do. Anticipating the audience’s needs can be tough, especially when you are sitting alone in front of your computer. When you give a presentation, you connect directly with your audience. For most people, making a presentation is both exciting and stressful. The excitement comes from engaging in a two-way interaction about your ideas. The stress comes from the pressure of presenting your ideas without having a delete button to undo mistakes. Outside the classroom, you may be asked to give a presentation, often at the last minute, and the show must go on. Presentations can be stressful, but planning and preparation, when the time and opportunity are available, can make all the difference. This chapter covers how to plan and deliver an effective, engaging presentation. By planning carefully, applying some time-honored presentation strategies, and practicing, you can make sure that your presentation comes across as confident, knowledgeable, and interesting—and that your audience actually learns from it. The specific tasks involved in creating a presentation may vary slightly depending on your purpose and your assignment. However, these are the general steps. Follow these steps to create a presentation based on your ideas: Determine your purpose and identify the key ideas to present. Organize your ideas in an outline. Identify opportunities to incorporate visual or audio media, and create or locate these media aids. Rehearse your presentation in advance. Deliver your presentation to your audience. Getting Started: Identifying and Organizing Key Ideas To deliver a successful presentation, you need to develop content suitable for an effective presentation. Your ideas make up your presentation, but to deliver them effectively, you will need to identify key ideas and organize them carefully. Read the following considerations, which will help you first identify and then organize key ideas: Be concise. You will include the most important ideas and leave out others. Some concepts may need to be simplified. Employ more than one medium of expression. You should incorporate other media, such as charts, graphs, photographs, video or audio recordings, or websites. Prepare for a face-to-face presentation. If you must deliver a face-to-face presentation, it is important to project yourself as a serious and well-informed speaker. You will often speak extemporaneously, or in a rehearsed but not memorized manner, which allows for flexibility given the context or audience. You will need to know your points and keep your audience engaged. Determine Your Purpose As with a writing assignment, determining the purpose of your presentation early on is crucial. You want to inform your readers about the topic, but think about what else you hope to achieve. Are you presenting information intended to move your audience to adopt certain beliefs or take action on a particular issue? If so, you are speaking not only to inform but also to persuade your listeners. Do you want your audience to come away from your presentation knowing how to do something they that they did not know before? In that case, you are not only informing them but also explaining or teaching a process. Writing at Work Schoolteachers are trained to structure lessons around one or more lesson objectives. Usually the objective, the mission or purpose, states what students should know or be able to do after they complete the lesson. For example, an objective might state, “Students will understand the specific freedoms guaranteed by the First Amendment” or “Students will be able to add two three-digit numbers correctly.” As a manager, mentor, or supervisor, you may sometimes be required to teach or train other employees as part of your job. Determining the desired outcome of a training session will help you plan effectively. Identify your teaching objectives. What, specifically, do you want your audience to know (for instance, details of a new workplace policy) or be able to do (for instance, use a new software program)? Plan your teaching or training session to meet your objectives. Identify Key Ideas To plan your presentation, think in terms of three or four key points you want to get across. In a paper, you have the space to develop ideas at length and delve into complex details. In a presentation, however, you must convey your ideas more concisely. One strategy you might try is to create an outline. What is your main idea? Would your main idea work well as key points for a brief presentation? How would you condense topics that might be too lengthy, or should you eliminate topics that may be too complicated to address in your presentation? Exercise 1 Revisit your presentation assignment, or think of a topic for your presentation. On your own sheet of notebook paper, write a list of at least three to five key ideas. Keep the following questions in mind when listing your key ideas: What is your purpose? Who is your audience? How will you engage your audience? On the same paper, identify the steps you must complete before you begin creating your presentation. Use an Outline to Organize Ideas After you determine which ideas are most appropriate for your presentation, you will create an outline of those ideas. Your presentation, like a written assignment, should include an introduction, body, and conclusion. These components serve much the same purpose as they do in a written assignment. The introduction engages the audience’s attention, introduces the topic, and sets the tone for what is to come. The body develops your point of view with supporting ideas, details, and examples presented in a logical order. The conclusion restates your point of view, sums up your main points, and leaves your audience with something to think about. Jorge, who wrote the research paper featured in Chapter 11 “Writing from Research: What Will I Learn?”, developed the following outline. Jorge relied heavily on this outline to plan his presentation, but he adjusted it to suit the new format. Planning Your Introduction In Chapter 12 “Writing a Research Paper”, you learned techniques for writing an interesting introduction, such as beginning with a surprising fact or statistic, a thought-provoking question or quotation, a brief anecdote that illustrates a larger concept or connects your topic to your audience’s experiences. You can use these techniques effectively in presentations as well. You might also consider actively engaging your audience by having members respond to questions or complete a brief activity related to your topic. For example, you may have your audience respond to a survey or tell about an experience related to your topic. Incorporating media can also be an effective way to get your audience’s attention. Visual images such as a photograph or a cartoon can invoke an immediate emotional response. A graph or chart can highlight startling findings in research data or statistical information. Brief video or audio clips that clearly reinforce your message and do not distract or overwhelm your audience can provide a sense of immediacy when you plan to discuss an event or a current issue. A PowerPoint presentation allows you to integrate many of these different media sources into one presentation. Tip With the accessibility provided by the Internet, you can find interesting and appropriate audio and video with little difficulty. However, the clip alone will not sustain the presentation. To keep the audience interested and engaged, you must frame the beginning and end of the clip with your own words. Jorge completed the introduction part of his outline by listing the key points he would use to open his presentation. He also planned to show various web links early on to illustrate the popularity of the low-carbohydrate diet trend. Planning the Body of Your Presentation The next step is to work with the key ideas you identified earlier. Determine the order in which you want to present these ideas, and flesh them out with important details. Chapter 10 “Rhetorical Modes” discusses several organizational structures you might work with, such as chronological order, comparison-and-contrast structure, or cause-and-effect structure. How much detail you include will depend on the time allotted for your presentation. Your instructor will most likely give you a specific time limit or a specific slide limit, such as eight to ten slides. If the time limit is very brief (two to three minutes, for instance), you will need to focus on communicating your point of view, main supporting points, and only the most relevant details. Three minutes can feel like an eternity if you are speaking before a group, but the time will pass very quickly. It is important to use it well. If you have more time to work with—ten minutes or half an hour—you will be able to discuss your topic in greater detail. More time also means you must devote more thought into how you will hold your audience’s interest. If your presentation is longer than five minutes, introduce some variety so the audience is not bored. Incorporate multimedia, invite the audience to complete an activity, or set aside time for a question-and-answer session. Jorge was required to limit his presentation to five to seven minutes. In his outline, he made a note about where he would need to condense some complicated material to stay within his time limit. He also decided to focus only on cholesterol and heart disease in his discussion of long-term health outcomes. The research on other issues was inconclusive, so Jorge decided to omit this material. Jorge’s notes on his outline show the revisions he has made to his presentation. Tip You are responsible for using your presentation time effectively to inform your audience. You show respect for your audience by following the expected time limit. However, that does not mean you must fill all of that time with talk if you are giving a face-to-face presentation. Involving your audience can take some of the pressure off you while also keeping them engaged. Have them respond to a few brief questions to get them thinking. Display a relevant photograph, document, or object and ask your classmates to comment. In some presentations, if time allows, you may choose to have your classmates complete an individual or group activity. Planning Your Conclusion The conclusion should briefly sum up your main idea and leave your audience with something to think about. As in a written paper, you are essentially revisiting your thesis. Depending on your topic, you may also ask the audience to reconsider their thinking about an issue, to take action, or to think about a related issue. If you presented an attention-getting fact or anecdote in your introduction, consider revisiting it in your conclusion. Just as you have learned about an essay’s conclusion, do not add new content to the presentation’s conclusion. No matter how you choose to structure your conclusion, make sure it is well planned so that you are not tempted to wrap up your presentation too quickly. Inexperienced speakers, in a face-to-face presentation, sometimes rush through the end of a presentation to avoid exceeding the allotted time or to end the stressful experience of presenting in public. Unfortunately, a hurried conclusion makes the presentation as a whole less memorable. Tip Time management is the key to delivering an effective presentation whether it is face-to-face or in PowerPoint. As you develop your outline, think about the amount of time you will devote to each section. For instance, in a five-minute face-to-face presentation, you might plan to spend one minute on the introduction, three minutes on the body, and one minute on the conclusion. Later, when you rehearse, you can time yourself to determine whether you need to adjust your content or delivery. In a PowerPoint presentation, it is important that your presentation is visually stimulating, avoids information overload by limiting the text per slide, uses speaker notes effectively, and uses a font that is visible on the background (e.g., avoid white letters on a light background or black letters on a dark background). Exercise 2 Work with the list you created in Note 14.4 “Exercise 1” to develop a more complete outline for your presentation. Make sure your outline includes the following: An introduction that uses strategies to capture your audience’s attention A body section that summarizes your main points and supporting details A conclusion that will help you end on a memorable note Brief notes about how much time you plan to spend on each part of the presentation (you may adjust the timing later as needed) Identifying Opportunities to Incorporate Visual and Audio Media You may already have some ideas for how to incorporate visual and audio media in your presentation. If not, review your outline and begin thinking about where to include media. Presenting information in a variety of formats will help you keep your audience’s interest. Use Presentation Software Delivering your presentation as a slideshow is one way to use media to your advantage. As you speak, you use a computer and an attached projector to display a slideshow of text and graphics that complement the speech. Your audience will follow your ideas more easily, because you are communicating with them through more than one sense. The audience hears your words and also sees the corresponding visuals. A listener who momentarily loses track of what you are saying can rely on the slide to cue his or her memory. To set up your presentation, you will need to work with the content of your outline to develop individual slides. Each slide should focus on just a few bullet points (or a similar amount of content presented in a graphic). Remember that your audience must be able to read the slides easily, whether the members sit in the front or the back of the room. Avoid overcrowding the slides with too much text. Using presentation software, such as PowerPoint, allows you to incorporate graphics, sounds, and even web links directly into your slides. You can also work with available styles, color schemes, and fonts to give your presentation a polished, consistent appearance. Different slide templates make it easy to organize information to suit your purpose. Be sure your font is visible to you audience. Avoid using small font or colored font that is not visible against your background. Use PowerPoint as a Visual Aid PowerPoint and similar visual representation programs can be effective tools to help audiences remember your message, but they can also be an annoying distraction to your speech. How you prepare your slides and use the tool will determine your effectiveness. PowerPoint is a slideware program that you have no doubt seen used in class, seen in a presentation at work, or perhaps used yourself to support a presentation. PowerPoint and similar slideware programs provide templates for creating electronic slides to present visual information to the audience, reinforcing the verbal message. You will be able to import or cut and paste words from text files, images, or video clips to create slides to represent your ideas. You can even incorporate web links. When using any software program, it is always a good idea to experiment with it long before you intend to use it; explore its many options and functions, and see how it can be an effective tool for you. At first, you might be overwhelmed by the possibilities, and you might be tempted to use all the bells, whistles, and sound effects, not to mention the tumbling, flying, and animated graphics. If used wisely, a dissolve or key transition can be like a well-executed scene from a major motion picture and lead your audience to the next point. But if used indiscriminately, it can annoy the audience to the point where they cringe in anticipation of the sound effect at the start of each slide. This danger is inherent in the tool, but you are in charge of it and can make wise choices that enhance the understanding and retention of your information. The first point to consider is which visual aid is the most important. The answer is you, the speaker. You will facilitate the discussion, give life to the information, and help the audience correlate the content to your goal or purpose. You do not want to be in a position where the PowerPoint presentation is the focus and you are on the side of the stage simply helping the audience follow along. Slides should support you in your presentation, rather than the other way around. Just as there is a number one rule for handouts (do not pass them out at the start of your presentation), there is also one for PowerPoint presentations: do not use PowerPoint slides as a read-aloud script for your speech. The PowerPoint slides should amplify and illustrate your main points, not reproduce everything you are going to say. Your pictures are the second area of emphasis you will want to consider. The tool will allow you to show graphs, charts and illustrate relationships that words may only approach in terms of communication, but your verbal support of the visual images will make all the difference. Dense pictures or complicated graphics will confuse more than they clarify. Choose clear images that have an immediate connection to both your content and the audience, tailored to their specific needs. After the images, consider using only key words that can be easily read to accompany your pictures. The fewer words the better. Try to keep each slide to a total word count of less than ten words. Do not use full sentences. Using key words provides support for your verbal discussion, guiding you as well as your audience. The key words can serve as signposts or signal words related to key ideas. A natural question at this point is, How do I communicate complex information simply? The answer comes with several options. The visual representation on the screen is for support and illustration. Should you need to communicate more technical, complex, or in-depth information in a visual way, consider preparing a handout to distribute at the conclusion of your speech. You may also consider using a printout of your slide show with a section for taking notes, but if you distribute it at the beginning of your speech, you run the risk of turning your presentation into a guided reading exercise and possibly distracting or losing members of the audience. Everyone reads at a different pace and takes notes in their own way. You do not want to be in the position of going back and forth between slides to help people follow along. Another point to consider is how you want to use the tool to support your speech and how your audience will interpret its presentation. Most audiences wouldn’t want to read a page of text—as you might see in this book—on the big screen. They will be far more likely to glance at the screen and assess the information you present in relation to your discussion. Therefore, it is key to consider one main idea, relationship, or point per slide. The use of the tool should be guided with the idea that its presentation is for the audience’s benefit, not yours. People often understand pictures and images more quickly and easily than text, and you can use this to your advantage, using the knowledge that a picture is worth a thousand words. Incorporate Visual Media Even if you do not use a slideshow to complement your presentation, you can include visual media to support and enhance your content. Visual media are divided into two major categories: images and informational graphics. Image-based media, such as photographs or videos, often have little or no accompanying text. Often these media are more powerful than words in getting a message across. Within the past decade, the images associated with major news stories, such as the Indian Ocean tsunami of 2004, the Abu Ghraib prison abuses from 2004 to 2006, and the 2010 earthquake in Haiti, have powerfully affected viewers’ emotions and drawn their attention to these news stories. Figure 14.1 Even if your presentation addresses a less dramatic subject, you can still use images to draw in your audience. Consider how photographs, an illustration, or a video might help your audience connect with a particular person or place or bring a historical event to life. Use visual images to support descriptions of natural or man-made phenomena. What ideas lend themselves to being explained primarily through images? In addition, consider how you might incorporate informational graphics in your presentation. Informational graphics include diagrams, tables, pie charts, bar and line graphs, and flow charts. Informational graphics usually include some text and often work well to present numerical information. Consider using them if you are presenting statistics, comparing facts or data about several different groups, describing changes over time, or presenting a process. Incorporate Audio Media Although audio media are not as versatile as visual media, you may wish to use them if they work well with your particular topic. If your presentation discusses trends in pop music or analyzes political speeches, playing an audio clip is an obvious and effective choice. Clips from historical speeches, radio talk shows, and interviews can also be used, but extended clips may be ineffective with modern audiences. Always assess your audience’s demographics and expectations before selecting and including audio media. Exercise 3 Review the outline you created in Note 14.11 “Exercise 2”. Complete the following steps: Identify at least two to three places in your presentation where you might incorporate visual or audio media. Brainstorm ideas for what media would be effective, and create a list of ideas. (In Chapter 14 “Creating Presentations: Sharing Your Ideas”, Section 14.2 “Incorporating Effective Visuals into a Presentation”, you will explore different media options in greater depth. For now, focus on coming up with a few general ideas.) Determine whether you will use presentation software to deliver your presentation as a slideshow. If you plan to do so, begin using your outline to draft your slides. Figure 14.2 Source: http://www.agenciabrasil.gov.br/media/imagens/2010/01/14/14.01.10RP5978.jpg/view Planning Ahead: Annotating Your Presentation When you make a presentation, you are giving a performance of sorts. It may not be as dramatic as a play or a movie, but it requires smooth coordination of several elements—your words, your gestures, and any media you include. One way to ensure that the performance goes smoothly is to annotateTo add comments or notes to a document. your presentation ahead of time. To annotate means to add comments or notes to a document. You can use this technique to plan how the different parts of your presentation will flow together. For instance, if you are working with slides, add notes to your outline indicating when you will show each slide. If you have other visual or audio media to include, make a note of that, too. Be as detailed as necessary. Jotting “Start video at 3:14” can spare you the awkwardness of searching for the right clip during your presentation. Writing at Work In the workplace, employees are often asked to deliver presentations or conduct a meeting using standard office presentation software. If you are using presentation software, you can annotate your presentation easily as you create your slides. Use the notes feature at the bottom of the page to add notes for each slide. As you deliver your presentation, your notes will be visible to you on the computer screen but not to your audience on the projector screen. In a face-to-face presentation, make sure your final annotated outline is easy to read. It will serve to cue you during your presentation, so it does not need to look polished, as long as it is clear to you. Double space the text. Use a larger-than-normal font size (14 or 16 points) if that will make it easier for you to read. Boldface or italics will set off text that should be emphasized or delivered with greater emotion. Write out main points, as well as your opening and closing remarks, in complete sentences, along with any material you want to quote verbatim. Use shorter phrases for supporting details. Using your speaker notes effectively will help you deliver an effective presentation. Highlighting, all capital letters, or different-colored font will help you easily distinguish notes from the text of your speech. Read Jorge’s annotated outline. Tip Some students prefer to write out the full text of their face-to-face presentation. This can be a useful strategy when you are practicing your delivery. However, keep in mind that reading your text aloud, word for word, will not help you capture and hold your audience’s attention. Write out and read your speech if that helps you rehearse. After a few practice sessions, when you are more comfortable with your material, switch to working from an outline. That will help you sound more natural when you speak to an audience. In a PowerPoint presentation, remember to have your slides in logical sequential order. Annotating your presentation before submitting it to your audience or your instructor will help you check for order and logical transitions. Too much text or data may confuse your audience; strive for clarity and avoid unnecessary details. Let the pictures or graphics tell the story but do not overload your slideshow with visuals. Be sure your font is visible. Look for consistency in the time limit of your presentation to gauge your level of preparedness. Exercise 4 Begin to annotate your outline. (You will probably add more notes as you proceed, but including some annotations now will help you begin pulling your ideas together.) Mark your outline with the following information: Write notes in brackets to any sections where you definitely plan to incorporate visual or audio media. If you are presenting a slideshow, add notes in brackets indicating which slides go with each section of your outline. Identify and set off any text that should be emphasized. Key Takeaways An effective presentation presents ideas more concisely than a written document and uses media to explain ideas and hold the audience’s interest. Like an essay, a presentation should have a clear beginning, middle, and end. Good writers structure their presentations on the thesis, or point of view; main ideas; and key supporting details and create a presentation outline to organize their ideas. Annotating a presentation outline is a useful way to coordinate different parts of the presentation and manage time effectively. 14.2 Incorporating Effective Visuals into a Presentation Learning Objectives Recognize the characteristics of effective visual aids. Analyze different types of visual aids and appropriate ways to use them. Determine how to create original visual aids and how to locate visual aids created by others. Good communication is a multisensory experience. Children first learning how to read often gravitate toward books with engaging pictures. As adults, we graduate to denser books without pictures, yet we still visualize ideas to help us understand the text. Advertisers favor visual media—television, magazines, and billboards—because they are the best way to hook an audience. Websites rely on color, graphics, icons, and a clear system of visual organization to engage Internet surfers. Bringing visuals into a presentation adds color, literally and figuratively. There is an art to doing it well. This section covers how to use different kinds of visual aids effectively. Using Visual Aids: The Basics Good writers make conscious choices. They understand their purpose and audience. Every decision they make on the page, from organizing an essay to choosing a word with just the right connotations, is made with their purpose and audience in mind. The same principle applies to visual communication. As a presenter, you choose the following: When to show images or video for maximum impact Which images will best produce the effect you want When to present information using a table, chart, or other graphic How much text to include in slides or informational graphics How to organize graphics so they present information clearly Your goal is to use visual media to support and enhance your presentation. At the same time, you must make sure these media do not distract your audience or interfere with getting your point across. Your ideas, not your visuals, should be the focus. As you develop the visual side of your presentation, you will follow a process much like the process you follow when you write. You will brainstorm ideas, form an organizational plan, develop drafts, and then refine and edit your work. The following sections provide guidelines to help you make good decisions throughout the process. What Makes Visual Aids Effective? To help you get a sense of what makes visual media work, think about what does not work. Try to recall occasions when you have witnessed the following visual media failures: Websites crammed with so many images, flashing phrases, and clashing colors that they are almost unreadable Assembly instructions with illustrations or diagrams that are impossible to follow Photographs that are obviously (and badly) altered with photo-editing software Distracting typos or other errors in signs, advertisements, or headlines Tables, charts, or graphs with tiny, dense text or missing labels In each case, the problem is that the media creator did not think carefully enough about the purpose and audience. The purpose of images, color, or flashing text on a website is to attract attention. Overusing these elements defeats the purpose because the viewer may become overwhelmed or distracted. Tables, charts, and graphs are intended to simplify complex information, but without clear labels and legible text, they will confuse the audience. In contrast, effective visual elements are chosen or created with the purpose and audience in mind. Although a photo shoot for a magazine article might result in dozens of images, editors choose those few that work best with the article. Web designers and video game creators have an audience test their products before they are released, to ensure that people will understand how to use them. Understanding the function of different visual aids will help you use them with purpose. Types of Visual Aids Visual aids fall into two main categories—images and informational graphics. Images include photographs, illustrations and clip art, and video footage. Informational graphics include tables, charts, bar graphs, and line graphs. These visual aids serve two purposes: to add emotional impact to your presentation and to organize information more clearly. With that in mind, read to find out how specific types of visual aids achieve those purposes. Photographs A striking photograph can capture your audience’s attention far more successfully than words can. Consider including photographs at the beginning or end of your presentation to emphasize your main ideas or to accompany a particularly important point in the body of your presentation. Remember that, as with other types of graphics, less is often more. Two or three well-chosen photographs are more effective than a dozen mediocre ones. When you choose photographs, ask yourself these questions: What purpose does this image serve? Will it surprise the audience? Will it provoke a strong emotional response? Does it support an important point? Will this photograph be more effective if shown with only a caption, or does it need additional text? Will the audience understand what is happening in the photograph? Is the meaning immediately evident, or does the photo need some context? Would editing the image make it more effective? Consider using image-editing software to crop the photo, change the brightness, or make other cosmetic changes. (Do not go overboard, though. A slightly imperfect but authentic image is preferable to one that has been obviously altered.) To illustrate the sense of helplessness people felt in the midst of tragedy, a student could use a photograph that shows fear, weariness, or defeat on the face of the photograph’s subject. Figure 14.3 Source: © Thinkstock Illustrations Illustrations, such as editorial or political cartoons, serve much the same purpose as photographs. Because an illustration does not capture a moment in time the way a photo does, it may have less impact. However, depending on your topic and the effect you want to achieve, illustrations can still be very useful. Use the same criteria for choosing photographs to help you choose illustrations. Figure 14.4 Source: © Thinkstock Tip The style of an illustration or photograph affects viewers just as the content does. Keep this in mind if you are working with the stock images available in office software programs. Many of these images have a comical tone. This may be fine for some topics—for instance, a presentation on television shows for children. However, if you need to project a more serious tone, make sure you choose images to suit that purpose. Many free (or reasonably priced) image banks are available online. Video Footage Even more than photographs, video footage can create a sense of immediacy, especially if your video includes sound. Showing a brief video clip can help your audience feel as if they are present at an important event, connect with a person being interviewed, or better understand a process. Again, ask yourself the following questions to ensure you are using the footage well: What purpose does this video serve? (Never rely on video clips just to fill time.) How much footage should be shown to achieve your purpose? What will need to be explained, before or after showing the video, to ensure that your audience understands its significance? Will it be necessary to edit the video to stay within time requirements or to focus on the most important parts? Tables Informational graphics, such as tables, charts, and graphs, do not provoke the same response that images do. Nevertheless, these graphics can have a powerful impact. Their primary purpose is to organize and simplify information. Tables are effective when you must classify information and organize it in categories. Tables are an especially good choice when you are presenting qualitative dataData or statistics that are not strictly numerical. that are not strictly numerical. Table 14.1 “Example of Qualitative Data Table” was created for a presentation discussing the subprime mortgage crisis. It presents information about people who have held powerful positions both in the government and at one of the investment banking firms involved in the subprime mortgage market. Table 14.1 Example of Qualitative Data Table Name Role(s) at Goldman Sachs Years Active Government Role(s) Years Active Henry Paulson Chief operating officer 1994–98 US secretary of the treasury 2006–9 Chief executive officer 1998–2006 Robert Rubin Vice chairman and co-chief operating officer 1987–90 Assistant to the president for economic policy and director, National Economic Council 1993–95 Co-chairman and co-senior partner 1990–92 US secretary of the treasury 1995–99 Stephen Friedman Co-chief operating officer 1987–90 Assistant to the president for economic policy and director, National Economic Council 2002–5 Co-chairman 1990–92 Chairman 1992–94 Sources: http://www.rollingstone.com/politics/news/%3Bkw=%5B3351,11459%5D; http://www.nytimes.com/2008/10/19/business/19gold.html; http://topics.nytimes.com/top/reference/timestopics/people/p/henry_m_jr_paulson/index.html?inline=nyt-per; http://topics.nytimes.com/top/reference/timestopics/people/r/robert_e_rubin/index.html?inline=nyt-per, http://www.nytimes.com/2002/12/13/us/man-in-the-news-economic-adviser-from-other-side-of-the-deficit-stephen-friedman.html; http://news.bbc.co.uk/2/hi/business/342086.stm. Tip If you are working with numerical information, consider whether a pie chart, bar graph, or line graph might be an effective way to present the content. A table can help you organize numerical information, but it is not the most effective way to emphasize contrasting data or to show changes over time. Pie Charts Pie charts are useful for showing numerical information in percentages. For example, you can use a pie chart to represent presidential election results by showing what percentage of voters voted for the Democratic presidential candidate, the Republican candidate, and candidates from other political parties. Figure 14.5 Source: http://www.fec.gov/pubrec/fe2008/2008presgeresults.pdf Bar Graphs Bar graphs work well when you want to show similarities and differences in numerical data. Horizontal or vertical bars help viewers compare data from different groups, different time periods, and so forth. For instance, the bar graph in Figure 14.6 allows the viewer to compare data on the five countries that have won the most Olympic medals since the modern games began in 1924: Norway, the United States, the former Soviet Union, Germany, and Austria. Bar graphs can effectively show trends or patterns in data as well. Figure 14.6 Source: http://www.nbcolympics.com/medals/all-time-standings/index.html Line Graphs Like bar graphs, line graphs show trends in data. Line graphs are usually used to show trends in data over time. For example, the line graph in Figure 14.7 shows changes in the Dow Jones Industrial Average—an economic index based on trading information about thirty large, US-based public companies. This graph shows where the Dow closed at the end of each business day over a period of five days. Figure 14.7 Source: http://www.google.com/finance/historical?cid=983582&startdate=May+17%2C+2010&enddate=May+21%2C+2010 Exercise 1 In this exercise, you will begin to refine your ideas for incorporating media into your presentation. Complete the following steps on your own sheet of paper. Revisit the list you brainstormed for Note 14.12 “Exercise 3” in Chapter 14 “Creating Presentations: Sharing Your Ideas”, Section 14.1 “Organizing a Visual Presentation” and the annotated outline you developed for Note 14.17 “Exercise 4”. Analyze the two different types of visual aids: images and informational graphics. Identify at least two places in your presentation where you might incorporate visual aids. Evaluate the purpose of the visual aid. Does it create emotional impact, or does it organize information? Is the visual effective? Determine whether you will be able to create the visual aid yourself or will need to find it. Creating Original Visual Aids You will include original visual aids in your presentation to add interest, present complex information or data more clearly, or appeal to your audience’s emotions. You may wish to create some visual aids by hand—for instance, by mounting photographs on poster board for display. More likely, however, you will use computer-generated graphics. Computer-generated visual aids are easy to create once you learn how to use certain office software. They also offer greater versatility. You can print hard copies and display them large or include them in a handout for your audience. Or, if you are working with presentation software, you can simply insert the graphics in your slides. Regardless of how you proceed, keep the following guidelines in mind: Create visual aids with purpose. Think carefully about how they will enhance your message, and choose a form that is appropriate for your content. Strive for quality. You do not need the skills of a professional photographer or designer, but do take time to make sure your visual aids are neat, attractive, and legible. Proofread for errors, too. Using Software to Create Visual Aids You can use standard office software to create simple graphics easily. The following guidelines describe how to work with word-processing software and presentation software. Working with Photographs Most personal computers come equipped with some basic image-editing software, and many people choose to purchase more advanced programs as well. You can upload photographs from a digital camera (or in some cases, a cell phone) or scan and upload printed photographs. The images can then be edited and incorporated into your presentation. Be sure to save all of your images in one folder for easy access. Creating Tables To create a table within a word-processing document consult your software program’s help feature or an online tutorial. Once you have created the table, you can edit and make any additional changes. Be sure that the table has no more than six to seven rows or columns because you do not want to compromise the size of the text or the readability. Aligning with precision will help your table look less crowded. Also, the row and column titles should spell out their contents. Creating Graphs Figure 14.8 Pie charts and bar and line graphs can also be created using standard office software. Although you can create these graphics within a document, you will need to work with both your word-processing application and your spreadsheet application to do so. The graph should visually explain the data using colors, titles, and labels. The use of color will help the audience distinguish information; however, avoid colors that are hard on the eyes, such as lime green or hot pink. The title should clearly state what the graph explains. Lastly, avoid using acronyms in the titles and other labels. Creating Graphics in an Electronic Presentation If you plan to work only with hard copy graphics during your presentation, you may choose to create them as word-processing documents. However, if you are using presentation software, you will need to choose one of the following options: Create your graphics using the presentation software program. Create your graphics within another program and import them. Standard office presentation software allows you to create informational graphics in much the same way you would create them within a word-processing application. Keep the formatting palette, a menu option that allows you to customize the graphic, open while you use the software. The formatting menu provides options for inserting other types of graphics, such as pictures and video. You may insert pictures from an image bank available within the program, or insert images or video from your own desktop files. Shape your use of multimedia in accordance with the message your presentation is trying to convey, the purpose, and your audience. Creating Visual Aids by Hand Most of the time, using computer-generated graphics is more efficient than creating them by hand. Using office software programs helps give your graphics a polished appearance while also teaching you skills that are useful in a variety of jobs. However, it may make sense to use hand-created visual aids in some cases—for instance, when showing a 3-D model would be effective. If you follow this route, be sure to devote extra time to making sure your visual aids are neat, legible, and professional. Flip charts are inexpensive and quick visual aids used during face-to-face presentations. The flip chart can be prepared before, as well as during, the presentation. Each sheet of paper should contain one theme, idea, or sketch and must be penned in large letters to be seen by audience members farthest away from the speaker. Writing Captions Any media you incorporate should include a caption or other explanatory text. A captionA brief (one to two sentences) description or explanation of a visual image. is a brief, one- to two-sentence description or explanation of a visual image. Make sure your captions are clear, accurate, and to the point. Use full sentences when you write them. Captions should always be used with photographs, and in some cases, they can be useful for clarifying informational graphics, which represent qualitative data visually. However, informational graphics may not require a caption if the title and labels are sufficiently clear. For other visual media, such as video footage, providing explanatory text before or after the footage will suffice. The important thing is to make sure you always include some explanation of the media. Exercise 2 In this exercise, you will begin to develop visual aids for your presentation. Complete the steps in this exercise—and enjoy the chance to be creative. Working with visuals can be a pleasant way to take a break from the demands of writing. Revisit the ideas you developed in Note 14.24 “Exercise 1”. Choose at least two ideas that you can create. (Note: If you are using software to develop a slideshow presentation, count this as one of your self-created visual aids. Include at least one other self-created visual aid, such as an original photograph, within your slideshow.) Get creative! Take your photographs, construct a 3-D model, create informational graphics, or work on your presentation slides. Develop good working drafts. After you have completed drafts of your visual aids, set them aside for a while. Then revisit them with a critical eye. First, check any text included with the graphic. Make sure your facts are correct, your words are clear and concise, and your language is free of errors. Next, evaluate how well your aids work visually. Are they large enough to be seen and read from a distance? Are captions and labels easy to find? Are photographs of reasonably high quality? Ask someone else for feedback, too. Begin making any needed changes. As you proceed through the rest of this section, continue to revisit your work to improve it as needed. Collaboration Please share the first version of your visual aids with a classmate. Examine what they have produced. On a separate piece of paper, note both the elements that catch your attention and those that would benefit from clarification. Return and compare notes. Testing and Evaluating Visual Aids Regardless of how you create your visual aids, be sure to test-drive them before you deliver your presentation. Edit and proofread them, and if possible, show them to someone who can give you objective feedback. Use the following checklist. Checklist 14.1 Visual Aid Evaluation Checklist Visual aids are clearly integrated with the content of the presentation Photographs and illustrations suit the overall tone of the presentation Images and text are large and clear enough for the viewer to see or read Images are shown with explanatory text or a caption Informational graphics include clear, easy-to-read labels and headings Text within informational graphics is easy to read (Watch out for wordiness and crowded text or a font that is too small and hard to read.) Formatting choices (color, different fonts, etc.) organize information effectively Any text within graphics is free of errors Hyperlinks within slides function properly Display text for hyperlinks is concise and informative (Never paste a link into a slide without modifying the display text.) Writing at Work Office software includes many options for personalizing a presentation. For instance, you can choose or create a theme and color scheme, modify how one slide transitions to the next, or even include sound effects. With so many options, students and employees sometimes get carried away. The result can seem amateurish and detract from, rather than enhance, your presentation. Remember, you are delivering a presentation, not producing a movie. Use the customization options to help give your presentations a consistent, polished, appearance. However, do not let these special effects detract from the substance of your slides. Using Existing Visual Media Depending on your topic, you may be able to find images and other graphics you can use instead of creating your own. For instance, you might use photographs from a reputable news source or informational graphics created by a government agency. If you plan to use visual aids created by others, keep the following guidelines in mind: Set a purpose before you begin your search. You will search more efficiently if you start with a general idea of what you are looking for—a line graph of unemployment rates for the past twelve months, for example, or a video clip of the most recent State of the Union address. Filter out visual aids that are not relevant. You may come across eye-catching graphics and be tempted to use them even if they are only loosely related to your topic, simply because they are attention getting. Resist the temptation. If the graphic is not clearly connected to your point, it does not belong in your presentation. Read carefully. In addition to reading labels, headings, and captions, read any text that accompanies the visual. Make sure you understand the visual in its original context. For informational graphics, make sure you understand exactly what information is being represented. (This may seem obvious, but it is easy to misread graphic information. Take the time to examine it carefully.) Evaluate sources carefully and record source information. When you look for visual media to complement your presentation, you are conducting research. Apply the same standards you used for your research paper. Choose reliable sources, such as reputable news organizations, government and nonprofit organizations, and educational institutions. Verify data in additional sources. Finally, be sure to document all source information as you proceed. Searching Efficiently for Visual Media You will probably find it most efficient to use the Internet to search for visual aids. Many students begin by typing keywords into a search engine to locate related images. However, this search technique is not necessarily efficient, for several reasons: It often pulls up hundreds or even thousands of images, which may be only loosely related to your search terms. It can sometimes be difficult to understand the image in its original context. It can be hard to find copyright information about how you may use the image. A more efficient strategy is to identify a few sources that are likely to have what you are looking for, and then search within those sites. For instance, if you need a table showing average life expectancy in different countries, you might begin with the website of the World Health Organization. If you hope to find images related to current events, news publications are an obvious choice. The Library of Congress website includes many media related to American history, culture, and politics. Searching this way has the following advantages: You will often find what you are looking for faster because you are not wasting time scrolling through many irrelevant results. If you have chosen your sources well, you can be reasonably certain that you are getting accurate, up-to-date information. Images and informational graphics produced by reputable sources are likely to be high quality—easy to read and well designed. If you do choose to use a search engine to help you locate visual media, make sure you use it wisely. Begin with a clear idea of what you are looking for. Use the advanced search settings to narrow your search. When you locate a relevant image, do not download it immediately. Read the page or site to make sure you understand the image in context. Finally, read the site’s copyright or terms of use policy—usually found at the bottom of the home page—to make sure you may use the material. If you are unable to find what you are looking for on the Internet consider using print sources of visual media. You may choose to mount these for display or scan them and incorporate the files into an electronic presentation. (Scanning printed pages may lower the quality of the image. However, if you are skilled at using photo-editing software, you may be able to improve the quality of the scanned image.) Inserting Hyperlinks in an Electronic Presentation If you are working with images, audio, or video footage available online, you may wish to insert a link within your presentation. Then, during your presentation, you can simply click the link to open the website in a separate window and toggle between windows to return to your presentation slides. To insert a hyperlink within your presentation, click on insert in the toolbar and then select hyperlink from the menu. Doing so will open a dialogue box where you can paste your link and modify the accompanying display text shown on your slide. Copyright and Fair Use Before you download (or scan) any visual media, make sure you have the right to use it. Most websites state their copyright and terms of use policy on their home page. In general, you may not use other people’s visual media for any commercial purpose without contacting the copyright holder to obtain permission and pay any specified fees. Copyright restrictions are somewhat more ambiguous when you wish to download visual media for educational uses. Some educational uses of copyrighted materials are generally considered fair useA legitimate use of brief quotations from source material to support and develop a writer’s ideas. This includes the use of other copyrighted media, even though the user has not formally requested the copyright holder’s permission to reproduce the media. Many educational uses of visual media are generally considered fair use as long as the user scrupulously follows certain guidelines.—meaning that it is legally and ethically acceptable to use the material in your work. However, do not assume that because you are using the media for an educational purpose, you are automatically in the clear. Make sure your work meets the guidelines in the following checklist. If it does, you can be reasonably confident that it would be considered fair use in a court of law and always give credit to the source. Checklist 14.2 Media Fair Use Checklist You are using the media for educational purposes only. You will make the work available only for a short period and to a limited audience. For instance, showing a copyrighted image in a classroom presentation is acceptable. Posting a presentation with copyrighted images online is problematic. In addition, avoid any uses that would allow other people to easily access and reproduce the work. You have used only as much of the work as needed for your purposes. For video and audio footage, limit your use to no more than 10 percent of the media—five minutes of an hour-long television show, for example. Image use is harder to quantify, but you should avoid using many images from the same source. You are using the media to support your own ideas, not replace them. Your use should include some commentary or place the media in context. It should be a supporting player in your presentation—not the star of the show. You have obtained the material legally. Purchase the media if necessary rather than using illegally pirated material. Your use of the media will not affect the copyright holder or benefit you financially. By following these guidelines, you are respecting the copyright holder’s right to control the distribution of the work and to profit from it. Writing at Work In some fields, such as teaching, job applicants often submit a professional portfolio to a prospective employer. Recent college graduates may include relevant course work in their portfolios or in applications to graduate school. What should you do if your course work uses copyrighted visual media? This use of media is acceptable according to fair use guidelines. Even though you are using the work for your personal professional advancement, it is not considered an infringement on copyright as long as you follow the additional guidelines listed in the previous checklist. Crediting Sources As you conduct your research, make sure you document sources as you proceed. Follow the guidelines when you download images, video, or other media from the Internet or capture media from other sources. Keep track of where you accessed the media and where you can find additional information about it. You may also provide a references page at the end of the presentation to cite not only media and images but also the information in the text of your presentation. See Chapter 13 “APA and MLA Documentation and Formatting” for more information on creating a reference page. Write captions or other explanatory text for visual media created by others, just as you would for media you created. Doing so helps keep your audience informed. It also helps ensure that you are following fair use guidelines by presenting the media with your commentary, interpretation, or analysis. In your caption or elsewhere in your presentation, note the source of any media you did not create yourself. You do not need to provide a full bibliographical citation, but do give credit where it is due. Exercise 3 In this exercise, you will locate visual aids created by others and continue developing the work you began earlier. Complete these steps. Revisit the ideas you developed in Note 14.24 “Exercise 1”. Choose at least two ideas for which it would make more sense to find the visual aid than to create it yourself. Use the search tips provided in this section to locate at least two visual aids from reputable sources that you can use. Prepare them for your presentation by adding clarifying text as needed. Be sure to credit your source. Incorporate the visual aids you created in Note 14.26 “Exercise 2” and Note 14.32 “Exercise 3” into your presentation. This may involve preparing physical copies for display or inserting graphic files into an electronic presentation. Take some time now to review how you will integrate the visual and verbal components of your presentation. If you are working with presentation software, refine your slides. Make sure the visual approach is consistent and suits your topic. Give your text a final proofread. If you are not using presentation software, review the annotated outline you created in Note 14.24 “Exercise 1”. Update it as needed to reflect your current plan. Also, determine how you will physically set up your visual aids. Key Takeaways Visual aids are most effective when they are chosen with the purpose and audience in mind. They serve to add emotional impact to a presentation and to organize information more clearly. Visual aids should always be clearly related to the presenter’s ideas. Captions, labels, and other explanatory text help make the connection clear for the audience. Like writing, developing the visual components of a presentation is a process. It involves generating ideas, working with them in a draft format, and then revising and editing one’s work. Visual aids can be divided into two broad categories—image-based media and informational graphics. Widely available software programs make it relatively easy to create visual aids electronically, such as photo images, charts, and graphs. When using visual aids created by others, it is important to apply good research skills, follow guidelines for fair use, and credit sources appropriately. 14.3 Giving a Presentation Learning Objectives Recognize characteristics of effective speakers. Identify the benefits of rehearsing a presentation in advance. Plan for parts of the presentation that cannot be fully rehearsed in advance, such as a question-and-answer session. Apply strategies for reducing anxiety about public speaking. By this time, you have already completed much of the preparation for your presentation. You have organized your ideas and planned both the textual and visual components of your presentation. Still, you may not feel quite ready to speak in front of a group. Public speaking is stressful. In fact, some researchers have found that a large percentage of people surveyed rate public speaking as their number one fear. Most people feel at least a little bit nervous at the prospect of public speaking. At the same time, it is an increasingly necessary skill in the workplace. A human resource manager presents company policies and benefits plans to large groups of employees. An entrepreneur presents the idea for a new business to potential investors. A nurse might chair a staff meeting to introduce new hospital procedures. A police officer might present crime-prevention tips at a community meeting. In some fields, such as training and teaching, speaking in public is a regular job requirement. In this section, you will learn strategies for becoming a confident, effective speaker. You have already taken the major steps toward making your presentation successful, as a result of the content planning you did in Chapter 14 “Creating Presentations: Sharing Your Ideas”, Section 14.1 “Organizing a Visual Presentation” and Section 14.2 “Incorporating Effective Visuals into a Presentation”. Now, it is time to plan and practice your delivery. What Makes a Speaker Effective? Think about times you have been part of the audience for a speech, lecture, or other presentation. You have probably noticed how certain traits and mannerisms work to engage you and make the experience enjoyable. Effective speakers project confidence and interest in both their audience and their subject matter. They present ideas clearly and come across as relaxed but in control. In contrast, less effective speakers may seem anxious or, worse, apathetic. They may be difficult to hear or understand, or their body language may distract from their message. They have trouble making a connection with their audience. This can happen even when the speaker knows his or her material and has prepared effective visual aids. In both cases, two factors contribute to your overall impression of the speaker: voice and body language. The following sections discuss specific points to focus on. Finding Your Voice Most people do not think much about how their voices come across in everyday conversations. Talking to other people feels natural. Unfortunately, speaking in public does not, and that can affect your voice. For instance, many people talk faster when they give presentations, because they are nervous and want to finish quickly. In addition, some traits that do not matter too much in ordinary conversation, such as a tendency to speak quietly, can be a problem when speaking to a group. Think about the characteristics discussed in the following section and how your own voice might come across. Resonance One quality of a good speaking voice is resonanceIn public speaking, the strength, depth, and force of someone’s voice., meaning strength, depth, and force. This word is related to the word resonate. Resonant speech begins at the speaker’s vocal cords and resonates throughout the upper body. The speaker does not simply use his or her mouth to form words, but instead projects from the lungs and chest. (That is why having a cold can make it hard to speak clearly.) Some people happen to have powerful, resonant voices. But even if your voice is naturally softer or higher pitched, you can improve it with practice. Take a few deep breaths before you begin rehearsing. Hum a few times, gradually lowering the pitch so that you feel the vibration not only in your throat but also in your chest and diaphragm. Try to be conscious of that vibration and of your breathing while you speak. You may not feel the vibration as intensely, but you should feel your speech resonate in your upper body, and you should feel as though you are breathing easily. Keep practicing until it feels natural. Enunciation EnunciationHow a speaker articulates words. Good speakers enunciate clearly. refers to how clearly you articulate words while speaking. Try to pronounce words as clearly and accurately as you can, enunciating each syllable. Avoid mumbling or slurring words. As you rehearse your presentation, practice speaking a little more slowly and deliberately. Ask someone you know to give you feedback. Volume Volume is simply how loudly or softly you speak. Shyness, nervousness, or overenthusiasm can cause people to speak too softly or too loudly, which may make the audience feel frustrated or put off. Here are some tips for managing volume effectively: Afraid of being too loud, many people speak too quietly. As a rule, aim to use a slightly louder volume for public speaking than you use in conversation. Consider whether you might be an exception to the rule. If you know you tend to be loud, you might be better off using your normal voice or dialing back a bit. Think about volume in relation to content. Main points should usually be delivered with more volume and force. However, lowering your voice at crucial points can also help draw in your audience or emphasize serious content. Pitch PitchHow high or low a speaker’s voice is. refers to how high or low a speaker’s voice is. The overall pitch of people’s voices varies among individuals. We also naturally vary our pitch when speaking. For instance, our pitch gets higher when we ask a question and often when we express excitement. It often gets lower when we give a command or want to convey seriousness. A voice that does not vary in pitch sounds monotonous, like a musician playing the same note repeatedly. Keep these tips in mind to manage pitch: Pitch, like volume, should vary with your content. Evaluate your voice to make sure you are not speaking at the same pitch throughout your presentation. It is fine to raise your pitch slightly at the end of a sentence when you ask a question. However, some speakers do this for every sentence, and as a result, they come across as tentative and unsure. Notice places where your pitch rises, and make sure the change is appropriate to the content. Lower your pitch when you want to convey authority. But do not overdo it. Questions should sound different from statements and commands. Chances are, your overall pitch falls within a typical range. However, if your voice is very high or low, consciously try to lower or raise it slightly. Pace PaceThe speed or rate at which you speak. is the speed or rate at which you speak. Speaking too fast makes it hard for an audience to follow the presentation. The audience may become impatient. Many less experienced speakers tend to talk faster when giving a presentation because they are nervous, want to get the presentation over with, or fear that they will run out of time. If you find yourself rushing during your rehearsals, try these strategies: Take a few deep breaths before you speak. Make sure you are not forgetting to breathe during your presentation. Identify places where a brief, strategic pause is appropriate—for instance, when transitioning from one main point to the next. Build these pauses into your presentation. If you still find yourself rushing, you may need to edit your presentation content to ensure that you stay within the allotted time. If, on the other hand, your pace seems sluggish, you will need to liven things up. A slow pace may stem from uncertainty about your content. If that is the case, additional practice should help you. It also helps to break down how much time you plan to spend on each part of the presentation and then make sure you are adhering to your plan. Tip Pace affects not only your physical presentation but also the point of view; slowing down the presentation may allow your audience to further comprehend and consider your topic. Pace may also refer to the rate at which PowerPoint slides appear. If either the slide or the animation on the slide automatically appears, make sure the audience has adequate time to read the information or view the animation before the presentation continues. Tone ToneIn writing, a writer’s attitude toward his or her subject and audience. In public speaking, this term refers to the emotion a speaker conveys. is the emotion you convey when speaking—excitement, annoyance, nervousness, lightheartedness, and so forth. Various factors, such as volume, pitch, and body language, affect how your tone comes across to your audience. Before you begin rehearsing your presentation, think about what tone is appropriate for the content. Should you sound forceful, concerned, or matter-of-fact? Are there places in your presentation where a more humorous or more serious tone is appropriate? Think about the tone you should project, and practice setting that tone. Exercise 1 In this exercise, you will work on refining the oral delivery of the annotated outline you developed in Note 14.17 “Exercise 4” of Section 14.1 “Organizing a Visual Presentation”. Set up a microphone to record yourself. (You may use a webcam if you wish.) For this exercise, assess yourself on your verbal delivery only, not your body language.) Rehearse and record your presentation. Replay the recording and assess yourself using the following criteria: resonance, enunciation, volume, pitch, pace, and tone. Rate yourself from one to five on each criterion, with five being the highest rating. Determine which areas are strengths and which areas you need to improve. If you wish, ask another person to evaluate your presentation. The Power of Body Language The nonverbal content of a presentation is just as important as the verbal delivery. A person’s body languageNonverbal cues, such as eye contact, facial expressions, posture, gestures, and movement, that convey a message to a speaker’s audience.—eye contact, facial expressions, posture, gestures, and movement—communicates a powerful message to an audience before any words are spoken. People interpret and respond to each other’s body language instinctively. When you talk to someone, you notice whether the other person is leaning forward or hanging back, nodding in agreement or disagreement, looking at you attentively or looking away. If your listener slouches, fidgets, or stares into space, you interpret these nonverbal cues as signs of discomfort or boredom. In everyday conversations, people often communicate through body language without giving it much conscious thought. Mastering this aspect of communication is a little more challenging, however, when you are giving a presentation. As a speaker, you are onstage. It is not easy to see yourself as your audience sees you. Think about times you have been part of a speaker’s audience. You have probably seen some presenters who seemed to own the room, projecting confidence and energy and easily connecting with the audience. Other presenters may have come across as nervous, gloomy, or disengaged. How did body language make a difference? Three factors work together powerfully to convey a nonverbal message: eye contact, posture, and movement. Eye Contact and Facial Expressions “Maintain eye contact” is a common piece of public-speaking advice—so common it may sound elementary and clichéd. Why is that simple piece of advice so hard to follow? Maintaining eye contact may not be as simple as it sounds. In everyday conversation, people establish eye contact but then look away from time to time, because staring into someone’s eyes continuously feels uncomfortably intense. Two or three people conversing can establish a comfortable pattern of eye contact. But how do you manage that when you are addressing a group? The trick is to focus on one person at a time. Zero in on one person, make eye contact, and maintain it just long enough to establish a connection. (A few seconds will suffice.) Then move on. This way, you connect with your audience, one person at a time. As you proceed, you may find that some people hold your gaze and others look away quickly. That is fine, as long as you connect with people in different parts of the room. Pay attention to your facial expressions as well. If you have thought about how you want to convey emotion during different parts of your presentation, you are probably already monitoring your facial expressions as you rehearse. Be aware that the pressure of presenting can make your expression serious or tense without your realizing it. Tip If you are speaking to a very large group, it may be difficult to make eye contact with each individual. Instead, focus on a smaller group of persons or one row of people at time. Look in their direction for a few seconds and then shift your gaze to another small group in the room. Posture While eye contact establishes a connection with your audience, your posture establishes your confidence. Stand straight and tall with your head held high to project confidence and authority. Slouching or drooping, on the other hand, conveys timidity, uncertainty, or lack of interest in your own presentation. It will not seem natural, but practice your posture in front of a mirror. Take a deep breath and let it out. Stand upright and imagine a straight line running from your shoulders to your hips to your feet. Rock back and forth slightly on the balls of your feet until your weight feels balanced. You should not be leaning forward, backward, or to either side. Let your arms and hands hang loosely at your sides, relaxed but not limp. Then lift your chin slightly and look into your own eyes. Do you feel more confident? You might not just yet. In fact, you may feel overly self-conscious or downright silly. In time, however, maintaining good posture will come more naturally, and it will improve your effectiveness as a speaker. Tip Nervousness affects posture. When feeling tense, people often hunch up their shoulders without realizing it. (Doing so just makes them feel even tenser and may inhibit breathing, which can affect your delivery.) As you rehearse, relax your shoulders so they are not hunched forward or pushed back unnaturally far. Stand straight but not rigid. Do not try to suck in your stomach or push out your chest unnaturally. You do not need to stand like a military officer, just a more confident version of yourself. Movement and Gestures The final piece of body language that helps tie your presentation together is your use of gestures and movement. A speaker who barely moves may come across as wooden or lacking energy and emotion. Excessive movement and gestures, on the other hand, are distracting. Strive for balance. A little movement can do a lot to help you connect with your audience and add energy to your presentation. Try stepping forward toward your audience at key moments where you really want to establish that personal connection. Consider where you might use gestures such as pointing, holding up your hand, or moving your hands for emphasis. Avoid putting your hands in your pockets or clasping them in front of or behind you. Writing at Work When you give a presentation at work, wearing the right outfit can help you feel more poised and confident. The right attire can also help you avoid making distracting gestures. While you talk, you do not want to be tugging on necktie tied too tight or wobbling on flimsy high-heeled shoes. Choose clothing that is appropriately professional and comfortable. Exercise 2 In this exercise, present the same oral presentation from Note 14.41 “Exercise 1”, but this time, evaluate your body language. Set up a video camera to record yourself, or ask someone else to evaluate you. Rehearse and, if applicable, record your presentation. Replay the recording and assess yourself (or have your companion assess you) on the following criteria: eye contact, facial expressions, posture, movement, and gestures. Rate yourself from one to five on each criterion, with five being the highest rating. Determine in which areas you have strength and in which areas you need to improve. Rehearsing Your Presentation and Making Final Preparations Practice is essential if you want your presentation to be effective. Speaking in front of a group is a complicated task because there are so many components to stay on top of—your words, your visual aids, your voice, and your body language. If you are new to public speaking, the task can feel like juggling eggs while riding a unicycle. With experience, it gets easier, but even experienced speakers benefit from practice. Take the time to rehearse your presentation more than once. Each time you go through it, pick another element to refine. For instance, once you are comfortable with the overall verbal content, work on integrating your visuals. Then focus on your vocal delivery and your body language. Multiple practice sessions will help you integrate all of these components into a smooth, effective presentation. Practice in front of another person (or a small group) at least once. Practicing with a test audience will help you grow accustomed to interacting with other people as you talk, and it will give you a chance to get feedback from someone else’s perspective. Your audience can help you identify areas to improve. Just as important as identifying areas for improvement, your audience can encourage you not to be too hard on yourself. When preparing for an oral presentation, many people are their own worst critics. They are hyperconscious of any flaws in their presentation, real or imagined. A test audience can provide honest feedback from a neutral observer who can provide support and constructive critique. Managing Your Environment Part of being a good presenter is managing your environment effectively. Your environment may be the space, the sound levels, and any tools or equipment you will use. Take these factors into account as you rehearse. Consider the following questions: Will you have enough space to move around in? Consider whether you might need to rearrange chairs or tables in the room in advance. Do you have enough space to display your visual aids? If you are using slides, where will you project the images? Will the lighting in the room need to be adjusted for your presentation? If so, where are the light switches located? How are window coverings opened or closed? Will your audience be able to hear you? Does the environment have any distracting noises, such as heating or cooling vents, outside traffic, or noisy equipment or machines? If so, how can you minimize the problem? Will you need a microphone? Do you have access to any technical equipment you need, such as a laptop computer, a projector, or a CD or DVD player? Are electrical outlets conveniently placed and functional? You may not be able to control every aspect of the environment to your liking. However, by thinking ahead, you can make the best of the space you have to work in. If you have a chance to rehearse in that environment, do so. Engaging Your Audience: Planning a Question-and-Answer Session Rehearsing your presentation will help you feel confident and in control. The most effective presenters do not simply rehearse the content they will deliver. They also think about how they will interact with their audience and respond effectively to audience input. An effective way to interact is to plan a brief question-and-answer (Q&A) session to follow your presentation. Set aside a few minutes of your allotted time to address audience questions. Plan ahead. Try to anticipate what questions your audience might have, so you can be prepared to answer them. You probably will not have enough time to cover everything you know about the topic in your presentation. A Q&A session can give you an opportunity to fill in any gaps for your audience. Finally, accept that interacting with your audience means going with the flow and giving up a little of your control. If someone asks a question you were not anticipating and cannot answer, simply admit you do not know and make a note to follow up. Writing at Work Increasingly, employees need to manage a virtual environment when giving presentations in the workplace. You might need to conduct a webinar, a live presentation, meeting, workshop, or lecture delivered over the web; run an online Q&A chat session; or coordinate a conference call involving multiple time zones. Preparation and rehearsal can help ensure that a virtual presentation goes smoothly. Complete a test run of any software you will use. Ask a coworker to assist you to ensure that both you and the audience have all the tools needed and that the tools are in working order. Make sure you have contact information for all the key meeting attendees. Finally, know whom to call if something goes wrong, and have a backup plan. Exercise 3 If you have not yet rehearsed in front of an audience, now is the time. Ask a peer (or a small group of people) to observe your presentation, provide a question-and-answer session, and have your audience provide feedback on the following: The overall quality of your content (clarity, organization, level of detail) The effectiveness of your visual aids Your vocal delivery (resonance, enunciation, volume, pitch, pace, and tone) The effectiveness of your body language (eye contact, facial expressions, posture, movement, and gestures) Your response to questions the audience posed during the question-and-answer session Use your audience’s feedback to make any final adjustments to your presentation. For example, could you clarify your presentation to reduce the number of questions—or enhance the quality of the questions—the audience asked during the question-and-answer session? Coping with Public-Speaking Anxiety The tips in this chapter should help you reduce any nervousness you may feel about public speaking. Although most people are a little anxious about talking to a group, the task usually becomes less intimidating with experience and practice. Preparation and practice are the best defenses against public-speaking anxiety. If you have made a serious effort to prepare and rehearse, you can be confident that your efforts will pay off. If you still feel shaky, try the following strategies: Take care of your health. In the days leading up to your presentation, make sure you get plenty of sleep and eat right. Exercise to help cope with tension. Avoid caffeine if it makes you jittery. Use relaxation techniques such as meditation, deep breathing, and stretching to help you feel calm and focused on the day of your presentation. Visualize yourself giving a successful presentation. Image yourself succeeding. It will make you feel more confident. Put things into perspective. What is the worst that could happen if anything went wrong? Many people have given less-than-perfect presentations and lived to tell about it! Of course, you should make your best effort, but if something does go wrong, you can use it as a learning experience. Understand that you may not be able to overcome your nervousness completely. Feeling a little anxious can help you stay alert and focused. If you do not feel confident, try to “fake it until you make it.” Exercise 4 To practice overcoming public-speaking anxiety, ask a family member, coworker, or peer to view a rehearsal of the presentation. Schedule the rehearsal at a time that works for you, and plan to get plenty of rest the night before. After the presentation, answer the following questions. When did you feel most nervous during the presentation? Make a note on your outline of the most nervous moments. Next to this note, add one strategy that may ease your anxiety. For example, you could add a reminder to relax, such as, “Take a deep breath here!” or a few words of encouragement, such as, “You are doing a great job!” Ask your rehearsal audience for feedback on which moments of the presentation seemed most nerve wrecking for you. What nonverbal or verbal clues indicated to your audience that you were nervous? Which were most distracting to the audience? Make a note of these clues and practice the presentation again; be aware of how you show your anxiety and try to lessen these distractions. Key Takeaways Delivering an effective speech requires paying attention to both verbal delivery and body language. Good speakers rehearse their presentation and, if necessary, get feedback from others to help them refine their presentation before they deliver it. Monitoring one’s vocal delivery involves paying attention to resonance, enunciation, volume, pitch, pace, and tone. Monitoring one’s body language involves paying attention to eye contact, facial expressions, posture, movement, and gestures. Good speakers plan ahead to help them manage the presentation effectively. 14.4 Creating Presentations: End-of-Chapter Exercises Exercises Identify a topic of personal interest to you that you would enjoy presenting. (It is best to choose a topic you already know something about.) Create a brief, informal presentation—about three minutes and no more than five to six slides. You may conduct some research if necessary, but this exercise does not need to be extensively researched. Instead, focus on summarizing your main points concisely and using visuals effectively. If possible, share your presentation with a partner and evaluate each other’s work. Conduct an Internet search to find examples of strong and weak slideshow presentations. Determine the reasons why each presentation is or is not successful. Consider the following elements: The number of slides and the amount of information presented overall The amount of information on each slide and how well it is organized The ratio of text to graphics The clarity and appropriateness of the graphics The use of special formatting, sounds, slide transitions, and so on It is sometimes difficult to evaluate one’s own speaking skills. It is very helpful to rehearse and record yourself. Use the questions from the following list that to determine if your presentation needs additional work. If possible, have a partner evaluate your presentation. Is the presentation clear, concise, and organized? Would your audience understand your main point and supporting points? Are your visual aids relevant, appropriate, and effective? What changes (if any) are needed? Is your vocal delivery effective? If possible, have a partner evaluate your presentation on the following criteria: resonance, enunciation, volume, pitch, pace, and tone. Are you using your body language effectively? If possible, have a partner evaluate your eye contact, facial expressions, posture, movement, and gestures. View one or more television infomercials. Evaluate the presentations using the following questions: Does the presenter deliver information clearly and engage the audience? Does the infomercial fulfill its purpose—to convince the audience to buy the product? Does the presenter use visual aids effectively? How? Is the presenter’s vocal delivery effective? Why or why not? Is the presenter’s body language effective? How does the presenter use body language to connect with the television audience and to emphasize the product’s value? Chapter 13: APA and MLA Documentation and Formatting 13.1 Formatting a Research Paper Learning Objectives Identify the major components of a research paper written using American Psychological Association (APA) style. Apply general APA style and formatting conventions in a research paper. In this chapter, you will learn how to use APA styleThe documentation and formatting style followed by the American Psychological Association, or APA. This style is commonly used in the sciences, including social sciences., the documentation and formatting style followed by the American Psychological Association, as well as MLA styleModern Language Association style, or MLA, is often used in the liberal arts and humanities. It provides a uniform framework for the manuscript and parenthetical citations, or in-text citations. It also provides the framework for the works cited area for listing references at the end of the essay., from the Modern Language Association. There are a few major formatting styles used in academic texts, including AMA, Chicago, and Turabian: AMA (American Medical Association) for medicine, health, and biological sciences APA (American Psychological Association) for education, psychology, and the social sciences Chicago—a common style used in everyday publications like magazines, newspapers, and books MLA (Modern Language Association) for English, literature, arts, and humanities Turabian—another common style designed for its universal application across all subjects and disciplines While all the formatting and citation styles have their own use and applications, in this chapter we focus our attention on the two styles you are most likely to use in your academic studies: APA and MLA. If you find that the rules of proper source documentation are difficult to keep straight, you are not alone. Writing a good research paper is, in and of itself, a major intellectual challenge. Having to follow detailed citation and formatting guidelines as well may seem like just one more task to add to an already-too-long list of requirements. Following these guidelines, however, serves several important purposes. First, it signals to your readers that your paper should be taken seriously as a student’s contribution to a given academic or professional field; it is the literary equivalent of wearing a tailored suit to a job interview. Second, it shows that you respect other people’s work enough to give them proper credit for it. Finally, it helps your reader find additional materials if he or she wishes to learn more about your topic. Furthermore, producing a letter-perfect APA-style paper need not be burdensome. Yes, it requires careful attention to detail. However, you can simplify the process if you keep these broad guidelines in mind: Work ahead whenever you can. Chapter 11 “Writing from Research: What Will I Learn?” includes tips for keeping track of your sources early in the research process, which will save time later on. Get it right the first time. Apply APA guidelines as you write, so you will not have much to correct during the editing stage. Again, putting in a little extra time early on can save time later. Use the resources available to you. In addition to the guidelines provided in this chapter, you may wish to consult the APA website at http://www.apa.org or the Purdue University Online Writing lab at http://owl.english.purdue.edu, which regularly updates its online style guidelines. General Formatting Guidelines This chapter provides detailed guidelines for using the citation and formatting conventions developed by the American Psychological Association, or APA. Writers in disciplines as diverse as astrophysics, biology, psychology, and education follow APA style. The major components of a paper written in APA style are listed in the following box. These are the major components of an APA-style paper: Title page Abstract Body, which includes the following: Headings and, if necessary, subheadings to organize the content In-text citations of research sources References page All these components must be saved in one document, not as separate documents. Title Page The title page of your paper includes the following information: Title of the paper Author’s name Name of the institution with which the author is affiliated Header at the top of the page with the paper title (in capital letters) and the page number (If the title is lengthy, you may use a shortened form of it in the header.) List the first three elements in the order given in the previous list, centered about one third of the way down from the top of the page. Use the headers and footers tool of your word-processing program to add the header, with the title text at the left and the page number in the upper-right corner. Your title page should look like the following example. Abstract The next page of your paper provides an abstractA concise (one hundred to one hundred fifty words) summary of research findings that appears at the beginning of an APA-style paper., or brief summary of your findings. An abstract does not need to be provided in every paper, but an abstract should be used in papers that include a hypothesis. A good abstract is concise—about one hundred to one hundred fifty words—and is written in an objective, impersonal style. Your writing voice will not be as apparent here as in the body of your paper. When writing the abstract, take a just-the-facts approach, and summarize your research question and your findings in a few sentences. In Chapter 12 “Writing a Research Paper”, you read a paper written by a student named Jorge, who researched the effectiveness of low-carbohydrate diets. Read Jorge’s abstract. Note how it sums up the major ideas in his paper without going into excessive detail. Exercise 1 Write an abstract summarizing your paper. Briefly introduce the topic, state your findings, and sum up what conclusions you can draw from your research. Use the word count feature of your word-processing program to make sure your abstract does not exceed one hundred fifty words. Tip Depending on your field of study, you may sometimes write research papers that present extensive primary research, such as your own experiment or survey. In your abstract, summarize your research question and your findings, and briefly indicate how your study relates to prior research in the field. Margins, Pagination, and Headings APA style requirements also address specific formatting concerns, such as margins, pagination, and heading styles, within the body of the paper. Review the following APA guidelines. Use these general guidelines to format the paper: Set the top, bottom, and side margins of your paper at 1 inch. Use double-spaced text throughout your paper. Use a standard font, such as Times New Roman or Arial, in a legible size (10- to 12-point). Use continuous pagination throughout the paper, including the title page and the references section. Page numbers appear flush right within your header. Section headings and subsection headings within the body of your paper use different types of formatting depending on the level of information you are presenting. Additional details from Jorge’s paper are provided. Exercise 2 Begin formatting the final draft of your paper according to APA guidelines. You may work with an existing document or set up a new document if you choose. Include the following: Your title page The abstract you created in Note 13.8 “Exercise 1” Correct headers and page numbers for your title page and abstract Headings APA style uses section headingsHeadings used to organize information within an APA-style paper. APA style provides formatting guidelines for five levels of section and subsection headings; however, most college research papers require only one or two heading levels. to organize information, making it easy for the reader to follow the writer’s train of thought and to know immediately what major topics are covered. Depending on the length and complexity of the paper, its major sections may also be divided into subsections, sub-subsections, and so on. These smaller sections, in turn, use different heading styles to indicate different levels of information. In essence, you are using headings to create a hierarchy of information. The following heading styles used in APA formatting are listed in order of greatest to least importance: Section headings use centered, boldface type. Headings use title case, with important words in the heading capitalized. Subsection headings use left-aligned, boldface type. Headings use title case. The third level uses left-aligned, indented, boldface type. Headings use a capital letter only for the first word, and they end in a period. The fourth level follows the same style used for the previous level, but the headings are boldfaced and italicized. The fifth level follows the same style used for the previous level, but the headings are italicized and not boldfaced. Visually, the hierarchy of information is organized as indicated in Table 13.1 “Section Headings”. Table 13.1 Section Headings Level of Information Text Example Level 1 Heart Disease Level 2 Lifestyle Factors That Reduce Heart Disease Risk Level 3     Exercising regularly. Level 4         Aerobic exercise. Level 5             Country line dancing. A college research paper may not use all the heading levels shown in Table 13.1 “Section Headings”, but you are likely to encounter them in academic journal articles that use APA style. For a brief paper, you may find that level 1 headings suffice. Longer or more complex papers may need level 2 headings or other lower-level headings to organize information clearly. Use your outline to craft your major section headings and determine whether any subtopics are substantial enough to require additional levels of headings. Exercise 3 Working with the document you developed in Note 13.11 “Exercise 2”, begin setting up the heading structure of the final draft of your research paper according to APA guidelines. Include your title and at least two to three major section headings, and follow the formatting guidelines provided above. If your major sections should be broken into subsections, add those headings as well. Use your outline to help you. Because Jorge used only level 1 headings, his Exercise 3 would look like the following: Level of Information Text Example Level 1 Purported Benefits of Low-Carbohydrate Diets Level 1 Research on Low-Carbohydrate Diets and Weight Loss Level 1 Other Long-Term Health Outcomes Level 1 Conclusion Citation Guidelines In-Text Citations Throughout the body of your paper, include a citation whenever you quote or paraphrase material from your research sources. As you learned in Chapter 11 “Writing from Research: What Will I Learn?”, the purpose of citations is twofold: to give credit to others for their ideas and to allow your reader to follow up and learn more about the topic if desired. Your in-text citations provide basic information about your source; each source you cite will have a longer entry in the references section that provides more detailed information. In-text citations must provide the name of the author or authors and the year the source was published. (When a given source does not list an individual author, you may provide the source title or the name of the organization that published the material instead.) When directly quoting a source, it is also required that you include the page number where the quote appears in your citation. This information may be included within the sentence or in a parenthetical reference at the end of the sentence, as in these examples. Epstein (2010) points out that “junk food cannot be considered addictive in the same way that we think of psychoactive drugs as addictive” (p. 137). Here, the writer names the source author when introducing the quote and provides the publication date in parentheses after the author’s name. The page number appears in parentheses after the closing quotation marks and before the period that ends the sentence. Addiction researchers caution that “junk food cannot be considered addictive in the same way that we think of psychoactive drugs as addictive” (Epstein, 2010, p. 137). Here, the writer provides a parenthetical citation at the end of the sentence that includes the author’s name, the year of publication, and the page number separated by commas. Again, the parenthetical citation is placed after the closing quotation marks and before the period at the end of the sentence. As noted in the book Junk Food, Junk Science (Epstein, 2010, p. 137), “junk food cannot be considered addictive in the same way that we think of psychoactive drugs as addictive.” Here, the writer chose to mention the source title in the sentence (an optional piece of information to include) and followed the title with a parenthetical citation. Note that the parenthetical citation is placed before the comma that signals the end of the introductory phrase. David Epstein’s book Junk Food, Junk Science (2010) pointed out that “junk food cannot be considered addictive in the same way that we think of psychoactive drugs as addictive” (p. 137). Another variation is to introduce the author and the source title in your sentence and include the publication date and page number in parentheses within the sentence or at the end of the sentence. As long as you have included the essential information, you can choose the option that works best for that particular sentence and source. Citing a book with a single author is usually a straightforward task. Of course, your research may require that you cite many other types of sources, such as books or articles with more than one author or sources with no individual author listed. You may also need to cite sources available in both print and online and nonprint sources, such as websites and personal interviews. Chapter 13 “APA and MLA Documentation and Formatting”, Section 13.2 “Citing and Referencing Techniques” and Section 13.3 “Creating a References Section” provide extensive guidelines for citing a variety of source types. Writing at Work APA is just one of several different styles with its own guidelines for documentation, formatting, and language usage. Depending on your field of interest, you may be exposed to additional styles, such as the following: MLA style. Determined by the Modern Languages Association and used for papers in literature, languages, and other disciplines in the humanities. Chicago style. Outlined in the Chicago Manual of Style and sometimes used for papers in the humanities and the sciences; many professional organizations use this style for publications as well. Associated Press (AP) style. Used by professional journalists. References List The brief citations included in the body of your paper correspond to the more detailed citations provided at the end of the paper in the references section. In-text citations provide basic information—the author’s name, the publication date, and the page number if necessary—while the references section provides more extensive bibliographical information. Again, this information allows your reader to follow up on the sources you cited and do additional reading about the topic if desired. The specific format of entries in the list of references varies slightly for different source types, but the entries generally include the following information: The name(s) of the author(s) or institution that wrote the source The year of publication and, where applicable, the exact date of publication The full title of the source For books, the city of publication For articles or essays, the name of the periodical or book in which the article or essay appears For magazine and journal articles, the volume number, issue number, and pages where the article appears For sources on the web, the URL where the source is located The references page is double spaced and lists entries in alphabetical order by the author’s last name. If an entry continues for more than one line, the second line and each subsequent line are indented five spaces. Review the following example. (Chapter 13 “APA and MLA Documentation and Formatting”, Section 13.3 “Creating a References Section” provides extensive guidelines for formatting reference entries for different types of sources.) Tip In APA style, book and article titles are formatted in sentence case, not title case. Sentence case means that only the first word is capitalized, along with any proper nouns. Key Takeaways Following proper citation and formatting guidelines helps writers ensure that their work will be taken seriously, give proper credit to other authors for their work, and provide valuable information to readers. Working ahead and taking care to cite sources correctly the first time are ways writers can save time during the editing stage of writing a research paper. APA papers usually include an abstract that concisely summarizes the paper. APA papers use a specific headings structure to provide a clear hierarchy of information. In APA papers, in-text citations usually include the name(s) of the author(s) and the year of publication. In-text citations correspond to entries in the references section, which provide detailed bibliographical information about a source. 13.2 Citing and Referencing Techniques Learning Objective Apply American Psychological Association (APA) style formatting guidelines for citations. This section covers the nitty-gritty details of in-text citations. You will learn how to format citations for different types of source materials, whether you are citing brief quotations, paraphrasing ideas, or quoting longer passages. You will also learn techniques you can use to introduce quoted and paraphrased material effectively. Keep this section handy as a reference to consult while writing the body of your paper. Formatting Cited Material: The Basics As noted in previous sections of this book, in-text citations usually provide the name of the author(s) and the year the source was published. For direct quotations, the page number must also be included. Use past-tense verbs when introducing a quote—“Smith found…” and not “Smith finds.…” Formatting Brief Quotations For brief quotations—fewer than forty words—use quotation marks to indicate where the quoted material begins and ends, and cite the name of the author(s), the year of publication, and the page number where the quotation appears in your source. Remember to include commas to separate elements within the parenthetical citation. Also, avoid redundancy. If you name the author(s) in your sentence, do not repeat the name(s) in your parenthetical citation. Review following the examples of different ways to cite direct quotations. Chang (2008) emphasized that “engaging in weight-bearing exercise consistently is one of the single best things women can do to maintain good health” (p. 49). The author’s name can be included in the body of the sentence or in the parenthetical citation. Note that when a parenthetical citation appears at the end of the sentence, it comes after the closing quotation marks and before the period. The elements within parentheses are separated by commas. Weight Training for Women (Chang, 2008) claimed that “engaging in weight-bearing exercise consistently is one of the single best things women can do to maintain good health” (p. 49). Weight Training for Women claimed that “engaging in weight-bearing exercise consistently is one of the single best things women can do to maintain good health” (Chang, 2008, p. 49). Including the title of a source is optional. In Chang’s 2008 text Weight Training for Women, she asserts, “Engaging in weight-bearing exercise is one of the single best things women can do to maintain good health” (p. 49). The author’s name, the date, and the title may appear in the body of the text. Include the page number in the parenthetical citation. Also, notice the use of the verb asserts to introduce the direct quotation. “Engaging in weight-bearing exercise,” Chang asserts, “is one of the single best things women can do to maintain good health” (2008, p. 49). You may begin a sentence with the direct quotation and add the author’s name and a strong verb before continuing the quotation. Formatting Paraphrased and Summarized Material When you paraphrase or summarize ideas from a source, you follow the same guidelines previously provided, except that you are not required to provide the page number where the ideas are located. If you are summing up the main findings of a research article, simply providing the author’s name and publication year may suffice, but if you are paraphrasing a more specific idea, consider including the page number. Read the following examples. Chang (2008) pointed out that weight-bearing exercise has many potential benefits for women. Here, the writer is summarizing a major idea that recurs throughout the source material. No page reference is needed. Chang (2008) found that weight-bearing exercise could help women maintain or even increase bone density through middle age and beyond, reducing the likelihood that they will develop osteoporosis in later life (p. 86). Although the writer is not directly quoting the source, this passage paraphrases a specific detail, so the writer chose to include the page number where the information is located. Tip Although APA style guidelines do not require writers to provide page numbers for material that is not directly quoted, your instructor may wish you to do so when possible. Check with your instructor about his or her preferences. Formatting Longer Quotations When you quote a longer passage from a source—forty words or more—use a different format to set off the quoted material. Instead of using quotation marks, create a block quotationA long quotation (forty words or more) that uses indentation, rather than quotation marks, to indicate that the material is quoted. Block quotations are indented five spaces from the left margin. The page reference is included in parentheses after the end punctuation for the quote. by starting the quotation on a new line and indented five spaces from the margin. Note that in this case, the parenthetical citation comes after the period that ends the sentence. Here is an example: In recent years, many writers within the fitness industry have emphasized the ways in which women can benefit from weight-bearing exercise, such as weightlifting, karate, dancing, stair climbing, hiking, and jogging. Chang (2008) found that engaging in weight-bearing exercise regularly significantly reduces women’s risk of developing osteoporosis. Additionally, these exercises help women maintain muscle mass and overall strength, and many common forms of weight-bearing exercise, such as brisk walking or stair climbing, also provide noticeable cardiovascular benefits. (p. 93) Exercise 1 Review the places in your paper where you cited, quoted, and paraphrased material from a source with a single author. Edit your citations to ensure that each citation includes the author’s name, the date of publication, and, where appropriate, a page reference; parenthetical citations are correctly formatted; longer quotations use the block-quotation format. If you are quoting a passage that continues into a second paragraph, indent five spaces again in the first line of the second paragraph. Here is an example: In recent years, many writers within the fitness industry have emphasized the ways in which women can benefit from weight-bearing exercise, such as weightlifting, karate, dancing, stair climbing, hiking, and jogging. Chang (2008) found that engaging in weight-bearing exercise regularly significantly reduces women’s risk of developing osteoporosis. Additionally, these exercises help women maintain muscle mass and overall strength, and many common forms of weight-bearing exercise, such as brisk walking or stair climbing, also provide noticeable cardiovascular benefits. It is important to note that swimming cannot be considered a weight-bearing exercise, since the water supports and cushions the swimmer. That doesn’t mean swimming isn’t great exercise, but it should be considered one part of an integrated fitness program. (p. 93) Tip Be wary of quoting from sources at length. Remember, your ideas should drive the paper, and quotations should be used to support and enhance your points. Make sure any lengthy quotations that you include serve a clear purpose. Generally, no more than 10–15 percent of a paper should consist of quoted material. Introducing Cited Material Effectively Including an introductory phrase in your text, such as “Jackson wrote” or “Copeland found,” often helps you integrate source material smoothly. This citation technique also helps convey that you are actively engaged with your source material. Unfortunately, during the process of writing your research paper, it is easy to fall into a rut and use the same few dull verbs repeatedly, such as “Jones said,” “Smith stated,” and so on. Punch up your writing by using strong verbs that help your reader understand how the source material presents ideas. There is a world of difference between an author who “suggests” and one who “claims,” one who “questions” and one who “criticizes.” You do not need to consult your thesaurus every time you cite a source, but do think about which verbs will accurately represent the ideas and make your writing more engaging. The following chart shows some possibilities. Strong Verbs for Introducing Cited Material ask suggest question explain assert claim recommend compare contrast propose hypothesize believe insist argue find determine measure assess evaluate conclude study warn point out sum up Exercise 2 Review the citations in your paper once again. This time, look for places where you introduced source material using a signal phrase in your sentence. Highlight the verbs used in your signal phrases, and make note of any that seem to be overused throughout the paper. Identify at least three places where a stronger verb could be used. Make the edits to your draft. Writing at Work It is important to accurately represent a colleague’s ideas or communications in the workplace. When writing professional or academic papers, be mindful of how the words you use to describe someone’s tone or ideas carry certain connotations. Do not say a source argues a particular point unless an argument is, in fact, presented. Use lively language, but avoid language that is emotionally charged. Doing so will ensure you have represented your colleague’s words in an authentic and accurate way. Formatting In-Text Citations for Other Source Types These sections discuss the correct format for various types of in-text citations. Read them through quickly to get a sense of what is covered, and then refer to them again as needed. Print Sources This section covers books, articles, and other print sources with one or more authors. A Work by One Author For a print work with one author, follow the guidelines provided in Chapter 13 “APA and MLA Documentation and Formatting”, Section 13.1 “Formatting a Research Paper”. Always include the author’s name and year of publication. Include a page reference whenever you quote a source directly. (See also the guidelines presented earlier in this chapter about when to include a page reference for paraphrased material.) Chang (2008) emphasized that “engaging in weight-bearing exercise consistently is one of the single best things women can do to maintain good health” (p. 49). Chang (2008) pointed out that weight-bearing exercise has many potential benefits for women. Two or More Works by the Same Author At times, your research may include multiple works by the same author. If the works were published in different years, a standard in-text citation will serve to distinguish them. If you are citing multiple works by the same author published in the same year, include a lowercase letter immediately after the year. Rank the sources in the order they appear in your references section. The source listed first includes an a after the year, the source listed second includes a b, and so on. Rodriguez (2009a) criticized the nutrition-supplement industry for making unsubstantiated and sometimes misleading claims about the benefits of taking supplements. Additionally, he warned that consumers frequently do not realize the potential harmful effects of some popular supplements (Rodriguez, 2009b). Tip If you have not yet created your references section, you may not be sure which source will appear first. See Chapter 13 “APA and MLA Documentation and Formatting”, Section 13.3 “Creating a References Section” for guidelines—or assign each source a temporary code and highlight the in-text citations so you remember to double-check them later on. Works by Authors with the Same Last Name If you are citing works by different authors with the same last name, include each author’s initials in your citation, whether you mention them in the text or in parentheses. Do so even if the publication years are different. J. S. Williams (2007) believes nutritional supplements can be a useful part of some diet and fitness regimens. C. D. Williams (2008), however, believes these supplements are overrated. According to two leading researchers, the rate of childhood obesity exceeds the rate of adult obesity (K. Connelley, 2010; O. Connelley, 2010). Studies from both A. Wright (2007) and C. A. Wright (2008) confirm the benefits of diet and exercise on weight loss. A Work by Two Authors When two authors are listed for a given work, include both authors’ names each time you cite the work. If you are citing their names in parentheses, use an ampersand (&) between them. (Use the word and, however, if the names appear in your sentence.) As Garrison and Gould (2010) pointed out, “It is never too late to quit smoking. The health risks associated with this habit begin to decrease soon after a smoker quits” (p. 101). As doctors continue to point out, “It is never too late to quit smoking. The health risks associated with this habit begin to decrease soon after a smoker quits” (Garrison & Gould, 2010, p. 101). A Work by Three to Five Authors If the work you are citing has three to five authors, list all the authors’ names the first time you cite the source. In subsequent citations, use the first author’s name followed by the abbreviation et al.An abbreviation for the Latin phrase et alia, meaning “and others.” This abbreviation frequently appears in citations for works with multiple authors. (Et al. is short for et alia, the Latin phrase for “and others.”) Henderson, Davidian, and Degler (2010) surveyed 350 smokers aged 18 to 30. One survey, conducted among 350 smokers aged 18 to 30, included a detailed questionnaire about participants’ motivations for smoking (Henderson, Davidian, & Degler, 2010). Note that these examples follow the same ampersand conventions as sources with two authors. Again, use the ampersand only when listing authors’ names in parentheses. As Henderson et al. (2010) found, some young people, particularly young women, use smoking as a means of appetite suppression. Disturbingly, some young women use smoking as a means of appetite suppression (Henderson et al., 2010). Note how the phrase et al. is punctuated. No period comes after et, but al. gets a period because it is an abbreviation for a longer Latin word. In parenthetical references, include a comma after et al. but not before. Remember this rule by mentally translating the citation to English: “Henderson and others, 2010.” A Work by Six or More Authors If the work you are citing has six or more authors, list only the first author’s name, followed by et al., in your in-text citations. The other authors’ names will be listed in your references section. Researchers have found that outreach work with young people has helped reduce tobacco use in some communities (Costello et al., 2007). A Work Authored by an Organization When citing a work that has no individual author(s) but is published by an organization, use the organization’s name in place of the author’s name. Lengthy organization names with well-known abbreviations can be abbreviated. In your first citation, use the full name, followed by the abbreviation in square brackets. Subsequent citations may use the abbreviation only. It is possible for a patient to have a small stroke without even realizing it (American Heart Association [AHA], 2010). Another cause for concern is that even if patients realize that they have had a stroke and need medical attention, they may not know which nearby facilities are best equipped to treat them (AHA, 2010). Exercise 3 Review the places in your paper where you cited material from a source with multiple authors or with an organization as the author. Edit your citations to ensure that each citation follows APA guidelines for the inclusion of the authors’ names, the use of ampersands and et al., the date of publication, and, where appropriate, a page reference. Mark any additional citations within your paper that you are not sure how to format based on the guidelines provided so far. You will revisit these citations after reading the next few sections. A Work with No Listed Author If no author is listed and the source cannot be attributed to an organization, use the title in place of the author’s name. You may use the full title in your sentence or use the first few words—enough to convey the key ideas—in a parenthetical reference. Follow standard conventions for using italics or quotations marks with titles: Use italics for titles of books or reports. Use quotation marks for titles of articles or chapters. “Living With Diabetes: Managing Your Health” (2009) recommends regular exercise for patients with diabetes. Regular exercise can benefit patients with diabetes (“Living with Diabetes,” 2009). Rosenhan (1973) had mentally healthy study participants claim to be experiencing hallucinations so they would be admitted to psychiatric hospitals. A Work Cited within Another Work To cite a source that is referred to within another secondary source, name the first source in your sentence. Then, in parentheses, use the phrase as cited in and the name of the second source author. Rosenhan’s study “On Being Sane in Insane Places” (as cited in Spitzer, 1975) found that psychiatrists diagnosed schizophrenia in people who claimed to be experiencing hallucinations and sought treatment—even though these patients were, in fact, imposters. Two or More Works Cited in One Reference At times, you may provide more than one citation in a parenthetical reference, such as when you are discussing related works or studies with similar results. List the citations in the same order they appear in your references section, and separate the citations with a semicolon. Some researchers have found serious flaws in the way Rosenhan’s study was conducted (Dawes, 2001; Spitzer, 1975). Both of these researchers authored works that support the point being made in this sentence, so it makes sense to include both in the same citation. A Famous Text Published in Multiple Editions In some cases, you may need to cite an extremely well-known work that has been repeatedly republished or translated. Many works of literature and sacred texts, as well as some classic nonfiction texts, fall into this category. For these works, the original date of publication may be unavailable. If so, include the year of publication or translation for your edition. Refer to specific parts or chapters if you need to cite a specific section. Discuss with your instructor whether he or she would like you to cite page numbers in this particular instance. In New Introductory Lectures on Psycho-Analysis, Freud explains that the “manifest content” of a dream—what literally takes place—is separate from its “latent content,” or hidden meaning (trans. 1965, lecture XXIX). Here, the student is citing a classic work of psychology, originally written in German and later translated to English. Since the book is a collection of Freud’s lectures, the student cites the lecture number rather than a page number. An Introduction, Foreword, Preface, or Afterword To cite an introduction, foreword, preface, or afterword, cite the author of the material and the year, following the same format used for other print materials. Electronic Sources Whenever possible, cite electronic sources as you would print sources, using the author, the date, and where appropriate, a page number. For some types of electronic sources—for instance, many online articles—this information is easily available. Other times, however, you will need to vary the format to reflect the differences in online media. Online Sources without Page Numbers If an online source has no page numbers but you want to refer to a specific portion of the source, try to locate other information you can use to direct your reader to the information cited. Some websites number paragraphs within published articles; if so, include the paragraph number in your citation. Precede the paragraph number with the abbreviation for the word paragraph and the number of the paragraph (e.g., para. 4). As researchers have explained, “Incorporating fresh fruits and vegetables into one’s diet can be a challenge for residents of areas where there are few or no easily accessible supermarkets” (Smith & Jones, 2006, para. 4). Even if a source does not have numbered paragraphs, it is likely to have headings that organize the content. In your citation, name the section where your cited information appears, followed by a paragraph number. The American Lung Association (2010) noted, “After smoking, radon exposure is the second most common cause of lung cancer” (What Causes Lung Cancer? section, para. 2). This student cited the appropriate section heading within the website and then counted to find the specific paragraph where the cited information was located. If an online source has no listed author and no date, use the source title and the abbreviation n.d. in your parenthetical reference. It has been suggested that electromagnetic radiation from cellular telephones may pose a risk for developing certain cancers (“Cell Phones and Cancer,” n.d.). Personal Communication For personal communications, such as interviews, letters, and e-mails, cite the name of the person involved, clarify that the material is from a personal communication, and provide the specific date the communication took place. Note that while in-text citations correspond to entries in the references section, personal communications are an exception to this rule. They are cited only in the body text of your paper. J. H. Yardley, M.D., believes that available information on the relationship between cell phone use and cancer is inconclusive (personal communication, May 1, 2009). Writing at Work At work, you may sometimes share information resources with your colleagues by photocopying an interesting article or forwarding the URL of a useful website. Your goal in these situations and in formal research citations is the same. The goal is to provide enough information to help your professional peers locate and follow up on potentially useful information. Provide as much specific information as possible to achieve that goal, and consult with your professor as to what specific style he or she may prefer. Exercise 4 Revisit the problem citations you identified in Note 13.55 “Exercise 3”—for instance, sources with no listed author or other oddities. Review the guidelines provided in this section and edit your citations for these kinds of sources according to APA guidelines. Key Takeaways In APA papers, in-text citations include the name of the author(s) and the year of publication whenever possible. Page numbers are always included when citing quotations. It is optional to include page numbers when citing paraphrased material; however, this should be done when citing a specific portion of a work. When citing online sources, provide the same information used for print sources if it is available. When a source does not provide information that usually appears in a citation, in-text citations should provide readers with alternative information that would help them locate the source material. This may include the title of the source, section headings and paragraph numbers for websites, and so forth. When writing a paper, discuss with your professor what particular standards he or she would like you to follow. 13.3 Creating a References Section Learning Objective Apply American Psychological Association (APA) style and formatting guidelines for a references section. This section provides detailed information about how to create the references section of your paper. You will review basic formatting guidelines and learn how to format bibliographical entries for various types of sources. This section of Chapter 13 “APA and MLA Documentation and Formatting”, like the previous section, is meant to be used as a reference tool while you write. Formatting the References Section: The Basics At this stage in the writing process, you may already have begun setting up your references section. This section may consist of a single page for a brief research paper or may extend for many pages in professional journal articles. As you create this section of your paper, follow the guidelines provided here. Formatting the References Section To set up your references section, use the insert page break feature of your word-processing program to begin a new page. Note that the header and margins will be the same as in the body of your paper, and pagination continues from the body of your paper. (In other words, if you set up the body of your paper correctly, the correct header and page number should appear automatically in your references section.) See additional guidelines below. Formatting Reference Entries Reference entries should include the following information: The name of the author(s) The year of publication and, where applicable, the exact date of publication The full title of the source For books, the city of publication For articles or essays, the name of the periodical or book in which the article or essay appears For magazine and journal articles, the volume number, issue number, and pages where the article appears For sources on the web, the URL where the source is located See the following examples for how to format a book or journal article with a single author. Sample Book Entry Sample Journal Article Entry The following box provides general guidelines for formatting the reference page. For the remainder of this chapter, you will learn about how to format bibliographical entries for different source types, including multiauthor and electronic sources. Formatting the References Section: APA General Guidelines Include the heading References, centered at the top of the page. The heading should not be boldfaced, italicized, or underlined. Use double-spaced type throughout the references section, as in the body of your paper. Use hanging indentation for each entry. The first line should be flush with the left margin, while any lines that follow should be indented five spaces. Note that hanging indentation is the opposite of normal indenting rules for paragraphs. List entries in alphabetical order by the author’s last name. For a work with multiple authors, use the last name of the first author listed. List authors’ names using this format: Smith, J. C. For a work with no individual author(s), use the name of the organization that published the work or, if this is unavailable, the title of the work in place of the author’s name. For works with multiple authors, follow these guidelines: For works with up to seven authors, list the last name and initials for each author. For works with more than seven authors, list the first six names, followed by ellipses, and then the name of the last author listed. Use an ampersand before the name of the last author listed. Use title case for journal titles. Capitalize all important words in the title. Use sentence case for all other titles—books, articles, web pages, and other source titles. Capitalize the first word of the title. Do not capitalize any other words in the title except for the following: Proper nouns First word of a subtitle First word after a colon or dash Use italics for book and journal titles. Do not use italics, underlining, or quotation marks for titles of shorter works, such as articles. Exercise 1 Set up the first page of your references section and begin adding entries, following the APA formatting guidelines provided in this section. If there are any simple entries that you can format completely using the general guidelines, do so at this time. For entries you are unsure of how to format, type in as much information as you can, and highlight the entries so you can return to them later. Formatting Reference Entries for Different Source Types As is the case for in-text citations, formatting reference entries becomes more complicated when you are citing a source with multiple authors, citing various types of online media, or citing sources for which you must provide additional information beyond the basics listed in the general guidelines. The following guidelines show how to format reference entries for these different situations. Print Sources: Books For book-length sources and shorter works that appear in a book, follow the guidelines that best describes your source. A Book by Two or More Authors List the authors’ names in the order they appear on the book’s title page. Use an ampersand before the last author’s name. Campbell, D. T., & Stanley, J. C. (1963). Experimental and quasi-experimental designs for research. Boston, MA: Houghton Mifflin. An Edited Book with No Author List the editor or editors’ names in place of the author’s name, followed by Ed. or Eds. in parentheses. Myers, C., & Reamer, D. (Eds.). (2009). 2009 nutrition index. San Francisco, CA: HealthSource, Inc. An Edited Book with an Author List the author’s name first, followed by the title and the editor or editors. Note that when the editor is listed after the title, you list the initials before the last name. Tip The previous example shows the format used for an edited book with one author—for instance, a collection of a famous person’s letters that has been edited. This type of source is different from an anthology, which is a collection of articles or essays by different authors. For citing works in anthologies, see the guidelines later in this section. A Translated Book Include the translator’s name after the title, and at the end of the citation, list the date the original work was published. Note that for the translator’s name, you list the initials before the last name. Freud, S. (1965). New introductory lectures on psycho-analysis (J. Strachey, Trans.). New York, NY: W. W. Norton. (Original work published 1933). A Book Published in Multiple Editions If you are using any edition other than the first edition, include the edition number in parentheses after the title. A Chapter in an Edited Book List the name of the author(s) who wrote the chapter, followed by the chapter title. Then list the names of the book editor(s) and the title of the book, followed by the page numbers for the chapter and the usual information about the book’s publisher. A Work That Appears in an Anthology Follow the same process you would use to cite a book chapter, substituting the article or essay title for the chapter title. An Article in a Reference Book List the author’s name if available; if no author is listed, provide the title of the entry where the author’s name would normally be listed. If the book lists the name of the editor(s), include it in your citation. Indicate the volume number (if applicable) and page numbers in parentheses after the article title. Two or More Books by the Same Author List the entries in order of their publication year, beginning with the work published first. Swedan, N. (2001). Women’s sports medicine and rehabilitation. Gaithersburg, MD: Aspen Publishers. Swedan, N. (2003). The active woman’s health and fitness handbook. New York, NY: Perigee. If two books have multiple authors, and the first author is the same but the others are different, alphabetize by the second author’s last name (or the third or fourth, if necessary). Carroll, D., & Aaronson, F. (2008). Managing type II diabetes. Chicago, IL: Southwick Press. Carroll, D., & Zuckerman, N. (2008). Gestational diabetes. Chicago, IL: Southwick Press. Books by Different Authors with the Same Last Name Alphabetize entries by the authors’ first initial. A Book Authored by an Organization Treat the organization name as you would an author’s name. For the purposes of alphabetizing, ignore words like The in the organization’s name. (That is, a book published by the American Heart Association would be listed with other entries whose authors’ names begin with A.) American Psychiatric Association. (1994). Diagnostic and statistical manual of mental disorders DSM-IV (4th ed.). Arlington, VA: American Psychiatric Publishing. A Book-Length Report Format technical and research reports as you would format other book-length sources. If the organization that issued the report assigned it a number, include the number in parentheses after the title. (See also the guidelines provided for citing works produced by government agencies.) Jameson, R., & Dewey, J. (2009). Preliminary findings from an evaluation of the president’s physical fitness program in Pleasantville school district. Pleasantville, WA: Pleasantville Board of Education. A Book Authored by a Government Agency Treat these as you would a book published by a nongovernment organization, but be aware that these works may have an identification number listed. If so, include it in parentheses after the publication year. U.S. Census Bureau. (2002). The decennial censuses from 1790 to 2000 (Publication No. POL/02-MA). Washington, DC: US Government Printing Offices. Exercise 2 Revisit the references section you began to compile in Note 13.73 “Exercise 1”. Use the guidelines provided to format any entries for book-length print sources that you were unable to finish earlier. Review how Jorge formatted these book-length print sources: Atkins, R. C. (2002). Dr. Atkins’ diet revolution. New York, NY: M. Evans and Company. Agatson, A. (2003). The South Beach diet. New York, NY: St. Martin’s Griffin. Print Sources: Periodicals An Article in a Scholarly Journal Include the following information: Author or authors’ names Publication year Article title (in sentence case, without quotation marks or italics) Journal title (in title case and in italics) Volume number (in italics) Issue number (in parentheses) Page number(s) where the article appears DeMarco, R. F. (2010). Palliative care and African American women living with HIV. Journal of Nursing Education, 49(5), 1–4. An Article in a Journal Paginated by Volume In these types of journals, page numbers for one volume continue across all the issues in that volume. For instance, the winter issue may begin with page 1, and in the spring issue that follows, the page numbers pick up where the previous issue left off. (If you have ever wondered why a print journal did not begin on page 1, or wondered why the page numbers of a journal extend into four digits, this is why.) Omit the issue number from your reference entry. Wagner, J. (2009). Rethinking school lunches: A review of recent literature. American School Nurses’ Journal, 47, 1123–1127. An Abstract of a Scholarly Article At times you may need to cite an abstract—the summary that appears at the beginning—of a published article. If you are citing the abstract only, and it was published separately from the article, provide the following information: Publication information for the article Information about where the abstract was published (for instance, another journal or a collection of abstracts) A Journal Article with Two to Seven Authors List all the authors’ names in the order they appear in the article. Use an ampersand before the last name listed. Barker, E. T., & Bornstein, M. H. (2010). Global self-esteem, appearance satisfaction, and self-reported dieting in early adolescence. Journal of Early Adolescence, 30(2), 205–224. Tremblay, M. S., Shields, M., Laviolette, M., Craig, C. L., Janssen, I., & Gorber, S. C. (2010). Fitness of Canadian children and youth: Results from the 2007–2009 Canadian Health Measures Survey. Health Reports, 21(1), 7–20. A Journal Article with More Than Seven Authors List the first six authors’ names, followed by a comma, an ellipsis, and the name of the last author listed. The article in the following example has sixteen listed authors; the reference entry lists the first six authors and the sixteenth, omitting the seventh through the fifteenth. Writing at Work The idea of an eight-page article with sixteen authors may seem strange to you—especially if you are in the midst of writing a ten-page research paper on your own. More often than not, articles in scholarly journals list multiple authors. Sometimes, the authors actually did collaborate on writing and editing the published article. In other instances, some of the authors listed may have contributed to the research in some way while being only minimally involved in the process of writing the article. Whenever you collaborate with colleagues to produce a written product, follow your profession’s conventions for giving everyone proper credit for their contribution. A Magazine Article After the publication year, list the issue date. Otherwise, treat these as you would journal articles. List the volume and issue number if both are available. A Newspaper Article Treat these as you would magazine and journal articles, with one important difference: precede the page number(s) with the abbreviation p. (for a single-page article) or pp. (for a multipage article). For articles whose pagination is not continuous, list all the pages included in the article. For example, an article that begins on page A1 and continues on pages A4 would have the page reference A1, A4. An article that begins on page A1 and continues on pages A4 and A5 would have the page reference A1, A4–A5. A Letter to the Editor After the title, indicate in brackets that the work is a letter to the editor. Jones, J. (2009, January 31). Food police in our schools [Letter to the editor]. Rockwood Gazette, p. A8. A Review After the title, indicate in brackets that the work is a review and state the name of the work being reviewed. (Note that even if the title of the review is the same as the title of the book being reviewed, as in the following example, you should treat it as an article title. Do not italicize it.) Exercise 3 Revisit the references section you began to compile in Note 13.73 “Exercise 1”. Use the guidelines provided above to format any entries for periodicals and other shorter print sources that you were unable to finish earlier. Electronic Sources Citing Articles from Online Periodicals: URLs and Digital Object Identifiers (DOIs) Whenever you cite online sources, it is important to provide the most up-to-date information available to help readers locate the source. In some cases, this means providing an article’s URLA uniform resource locator, or web address. Writers may provide URLs to help readers locate information that was accessed online. Guidelines for whether to provide a deep link within a site or a general link to the homepage or index vary depending on the type of online source., or web address. (The letters URL stand for uniform resource locator.) Always provide the most complete URL possible. Provide a link to the specific article used, rather than a link to the publication’s homepage. As you know, web addresses are not always stable. If a website is updated or reorganized, the article you accessed in April may move to a different location in May. The URL you provided may become a dead link. For this reason, many online periodicals, especially scholarly publications, now rely on DOIs rather than URLs to keep track of articles. A DOIDigital Object Identifier, an identification code provided for some online documents, typically articles in scholarly journals. DOIs are more stable than URLs, so they should be included in reference entries when available. is a Digital Object Identifier—an identification code provided for some online documents, typically articles in scholarly journals. Like a URL, its purpose is to help readers locate an article. However, a DOI is more stable than a URL, so it makes sense to include it in your reference entry when possible. Follow these guidelines: If you are citing an online article with a DOI, list the DOI at the end of the reference entry. If the article appears in print as well as online, you do not need to provide the URL. However, include the words Electronic version after the title in brackets. In other respects, treat the article as you would a print article. Include the volume number and issue number if available. (Note, however, that these may not be available for some online periodicals). An Article from an Online Periodical with a DOI List the DOI if one is provided. There is no need to include the URL if you have listed the DOI. Bell, J. R. (2006). Low-carb beats low-fat diet for early losses but not long term. OBGYN News, 41(12), 32. doi:10.1016/S0029-7437(06)71905-X An Article from an Online Periodical with No DOI List the URL. Include the volume and issue number for the periodical if this information is available. (For some online periodicals, it may not be.) Note that if the article appears in a print version of the publication, you do not need to list the URL, but do indicate that you accessed the electronic version. Robbins, K. (2010, March/April). Nature’s bounty: A heady feast [Electronic version]. Psychology Today, 43(2), 58. A Newspaper Article Provide the URL of the article. McNeil, D. G. (2010, May 3). Maternal health: A new study challenges benefits of vitamin A for women and babies. The New York Times. Retrieved from http://www.nytimes.com/2010/05/04/health/04glob.html?ref=health An Article Accessed through a Database Cite these articles as you would normally cite a print article. Provide database information only if the article is difficult to locate. Tip APA style does not require writers to provide the item number or accession number for articles retrieved from databases. You may choose to do so if the article is difficult to locate or the database is an obscure one. Check with your professor to see if this is something he or she would like you to include. An Abstract of an Article Format these as you would an article citation, but add the word Abstract in brackets after the title. Bradley, U., Spence, M., Courtney, C. H., McKinley, M. C., Ennis, C. N., McCance, D. R.…Hunter, S. J. (2009). Low-fat versus low-carbohydrate weight reduction diets: Effects on weight loss, insulin resistance, and cardiovascular risk: A randomized control trial [Abstract]. Diabetes, 58(12), 2741–2748. http://diabetes.diabetesjournals.org/content/early/2009/08/23/db00098.abstract A Nonperiodical Web Document The ways you cite different nonperiodical web documents may vary slightly from source to source, depending on the information that is available. In your citation, include as much of the following information as you can: Name of the author(s), whether an individual or organization Date of publication (Use n.d. if no date is available.) Title of the document Address where you retrieved the document If the document consists of more than one web page within the site, link to the homepage or the entry page for the document. American Heart Association. (2010). Heart attack, stroke, and cardiac arrest warning signs. Retrieved from http://www.americanheart.org/presenter.jhtml?identifier=3053 An Entry from an Online Encyclopedia or Dictionary Because these sources often do not include authors’ names, you may list the title of the entry at the beginning of the citation. Provide the URL for the specific entry. Addiction. (n.d.) In Merriam-Webster’s online dictionary. Retrieved from http://www.merriam-webster.com/dictionary/addiction Data Sets If you cite raw data compiled by an organization, such as statistical data, provide the URL where you retrieved the information. Provide the name of the organization that sponsors the site. US Food and Drug Administration. (2009). Nationwide evaluation of X-ray trends: NEXT surveys performed [Data file]. Retrieved from http://www.fda.gov/Radiation-EmittingProducts/RadiationSafety/NationwideEvaluationofX- RayTrendsNEXT/ucm116508.htm Graphic Data When citing graphic data—such as maps, pie charts, bar graphs, and so on—include the name of the organization that compiled the information, along with the publication date. Briefly describe the contents in brackets. Provide the URL where you retrieved the information. (If the graphic is associated with a specific project or document, list it after your bracketed description of the contents.) US Food and Drug Administration. (2009). [Pie charts showing the percentage breakdown of the FDA’s budget for fiscal year 2005]. 2005 FDA budget summary. Retrieved from mhttp://www.fda.gov/AboutFDA/ReportsManualsForms/Reports/BudgetReports/2005FDABudgetSummary/ucm117231.htm An Online Interview (Audio File or Transcript) List the interviewer, interviewee, and date. After the title, include bracketed text describing the interview as an “Interview transcript” or “Interview audio file,” depending on the format of the interview you accessed. List the name of the website and the URL where you retrieved the information. Use the following format. Davies, D. (Interviewer), & Pollan, M. (Interviewee). (2008). Michael Pollan offers president food for thought [Interview transcript]. Retrieved from National Public Radio website: http://www.npr.org/templates/transcript/transcript.php?storyId=100755362 An Electronic Book Electronic books may include books available as text files online or audiobooks. If an electronic book is easily available in print, cite it as you would a print source. If it is unavailable in print (or extremely difficult to find), use the format in the example. (Use the words Available from in your citation if the book must be purchased or is not available directly.) Chisholm, L. (n.d.). Celtic tales. Retrieved from http://www.childrenslibrary.org/icdl/BookReader?bookid= chicelt_00150014&twoPage=false&route=text&size=0&fullscreen=false&pnum1=1&lang= English&ilang=English A Chapter from an Online Book or a Chapter or Section of a Web Document These are treated similarly to their print counterparts with the addition of retrieval information. Include the chapter or section number in parentheses after the book title. Hart, A. M. (1895). Restoratives—Coffee, cocoa, chocolate. In Diet in sickness and in health (VI). Retrieved from http://www.archive.org/details/dietinsicknessin00hartrich A Dissertation or Thesis from a Database Provide the author, date of publication, title, and retrieval information. If the work is numbered within the database, include the number in parentheses at the end of the citation. Computer Software For commonly used office software and programming languages, it is not necessary to provide a citation. Cite software only when you are using a specialized program, such as the nutrition tracking software in the following example. If you download software from a website, provide the version and the year if available. Internet Brands, Inc. (2009). FitDay PC (Version 2) [Software]. Available from http://www.fitday.com/Pc/PcHome.html?gcid=14 A Post on a Blog or Video Blog Citation guidelines for these sources are similar to those used for discussion forum postings. Briefly describe the type of source in brackets after the title. Writing at Work Because the content may not be carefully reviewed for accuracy, discussion forums and blogs should not be relied upon as a major source of information. However, it may be appropriate to cite these sources for some types of research. You may also participate in discussion forums or comment on blogs that address topics of personal or professional interest. Always keep in mind that when you post, you are making your thoughts public—and in many cases, available through search engines. Make sure any posts that can easily be associated with your name are appropriately professional, because a potential employer could view them. A Television or Radio Broadcast Include the name of the producer or executive producer; the date, title, and type of broadcast; and the associated company and location. West, Ty. (Executive producer). (2009, September 24). PBS special report: Health care reform [Television broadcast]. New York, NY, and Washington, DC: Public Broadcasting Service. A Television or Radio Series or Episode Include the producer and the type of series if you are citing an entire television or radio series. Couture, D., Nabors, S., Pinkard, S., Robertson, N., & Smith, J. (Producers). (1979). The Diane Rehm show [Radio series]. Washington, DC: National Public Radio. To cite a specific episode of a radio or television series, list the name of the writer or writers (if available), the date the episode aired, its title, and the type of series, along with general information about the series. Bernanke, J., & Wade, C. (2010, January 10). Hummingbirds: Magic in the air [Television series episode]. In F. Kaufman (Executive producer), Nature. New York, NY: WNET. A Motion Picture Name the director or producer (or both), year of release, title, country of origin, and studio. Spurlock, M. (Director/producer), Morley, J. (Executive producer), & Winters. H. M. (Executive producer). (2004). Super size me. United States: Kathbur Pictures in association with Studio on Hudson. A Recording Name the primary contributors and list their role. Include the recording medium in brackets after the title. Then list the location and the label. Smith, L. W. (Speaker). (1999). Meditation and relaxation [CD]. New York, NY: Earth, Wind, & Sky Productions. Székely, I. (Pianist), Budapest Symphony Orchestra (Performers), & Németh, G. (Conductor). (1988). Chopin piano concertos no. 1 and 2 [CD]. Hong Kong: Naxos. A Podcast Provide as much information as possible about the writer, director, and producer; the date the podcast aired; its title; any organization or series with which it is associated; and where you retrieved the podcast. Kelsey, A. R. (Writer), Garcia, J. (Director), & Kim, S. C. (Producer). (2010, May 7). Lies food labels tell us. Savvy consumer podcasts [Audio podcast]. Retrieved from http://www.savvyconsumer.org/podcasts/050710 Exercise 4 Revisit the references section you began to compile in Note 13.73 “Exercise 1”. Use the APA guidelines provided in this section to format any entries for electronic sources that you were unable to finish earlier. If your sources include a form of media not covered in the APA guidelines here, consult with a writing tutor or review a print or online reference book. You may wish to visit the website of the American Psychological Association at http://www.apa.org or the Purdue University Online Writing lab at http://owl.english.purdue.edu, which regularly updates its online style guidelines. Give your paper a final edit to check the references section. Key Takeaways In APA papers, entries in the references section include as much of the following information as possible: Print sources. Author(s), date of publication, title, publisher, page numbers (for shorter works), editors (if applicable), and periodical title (if applicable). Online sources (text-based). Author(s), date of publication, title, publisher or sponsoring organization, and DOI or URL (if applicable). Electronic sources (non-text-based). Provide details about the creator(s) of the work, title, associated company or series, and date the work was produced or broadcast. The specific details provided will vary depending on the medium and the information that is available. Electronic sources (text-based). If an electronic source is also widely available in print form, it is sometimes unnecessary to provide details about how to access the electronic version. Check the guidelines for the specific source type. 13.4 Using Modern Language Association (MLA) Style Learning Objectives Identify the major components of a research paper written using MLA style. Apply general Modern Language Association (MLA) style and formatting conventions in a research paper. We have addressed American Psychological Association (APA) style, as well as the importance of giving credit where credit is due, so now let’s turn our attention to the formatting and citation style of the Modern Language Association, known as MLA style. MLA styleModern Language Association style, or MLA, is often used in the liberal arts and humanities. It provides a uniform framework for the manuscript and parenthetical, or in-text, citations. It also provides the framework for the works cited area for listing references at the end of the essay. is often used in the liberal arts and humanities. Like APA style, it provides a uniform framework for consistency across a document in several areas. MLA style provides a format for the manuscript text and parenthetical citations, or in-text citations. It also provides the framework for the works cited area for references at the end of the essay. MLA style emphasizes brevity and clarity. As a student writer, it is to your advantage to be familiar with both major styles, and this section will outline the main points of MLA as well as offer specific examples of commonly used references. Remember that your writing represents you in your absence. The correct use of a citation style demonstrates your attention to detail and ability to produce a scholarly work in an acceptable style, and it can help prevent the appearance or accusations of plagiarism. If you are taking an English, art history, or music appreciation class, chances are that you will be asked to write an essay in MLA format. One common question goes something like “What’s the difference?” referring to APA and MLA style, and it deserves our consideration. The liberal arts and humanities often reflect works of creativity that come from individual and group effort, but they may adapt, change, or build on previous creative works. The inspiration to create something new, from a song to a music video, may contain elements of previous works. Drawing on your fellow artists and authors is part of the creative process, and so is giving credit where credit is due. A reader interested in your subject wants not only to read what you wrote but also to be aware of the works that you used to create it. Readers want to examine your sources to see if you know your subject, to see if you missed anything, or if you offer anything new and interesting. Your new or up-to-date sources may offer the reader additional insight on the subject being considered. It also demonstrates that you, as the author, are up-to-date on what is happening in the field or on the subject. Giving credit where it is due enhances your credibility, and the MLA style offers a clear format to use. Uncredited work that is incorporated into your own writing is considered plagiarism. In the professional world, plagiarism results in loss of credibility and often compensation, including future opportunities. In a classroom setting, plagiarism results in a range of sanctions, from loss of a grade to expulsion from a school or university. In both professional and academic settings, the penalties are severe. MLA offers artists and authors a systematic style of reference, again giving credit where credit is due, to protect MLA users from accusations of plagiarism. MLA style uses a citation in the body of the essay that links to the works cited page at the end. The in-text citation is offset with parentheses, clearly calling attention to itself for the reader. The reference to the author or title is like a signal to the reader that information was incorporated from a separate source. It also provides the reader with information to then turn to the works cited section of your essay (at the end) where they can find the complete reference. If you follow the MLA style, and indicate your source both in your essay and in the works cited section, you will prevent the possibility of plagiarism. If you follow the MLA guidelines, pay attention to detail, and clearly indicate your sources, then this approach to formatting and citation offers a proven way to demonstrate your respect for other authors and artists. Five Reasons to Use MLA Style To demonstrate your ability to present a professional, academic essay in the correct style To gain credibility and authenticity for your work To enhance the ability of the reader to locate information discussed in your essay To give credit where credit is due and prevent plagiarism To get a good grade or demonstrate excellence in your writing Before we transition to specifics, please consider one word of caution: consistency. If you are instructed to use the MLA style and need to indicate a date, you have options. For example, you could use an international or a US style: International style: 18 May 1980 (day/month/year) US style: May 18, 1980 (month/day/year) If you are going to the US style, be consistent in its use. You’ll find you have the option on page 83 of the MLA Handbook for Writers of Research Papers, 7th edition. You have many options when writing in English as the language itself has several conventions, or acceptable ways of writing particular parts of speech or information. For example, on the next page our MLA Handbook addresses the question: Which convention is preferred in MLA style: twentieth century Twentieth Century 20th century 20th Century You are welcome to look in the MLA Handbook and see there is one preferred style or convention (you will also find the answer at end of this section marked by an asterisk [*]). Now you may say to yourself that you won’t write that term and it may be true, but you will come to a term or word that has more than one way it can be written. In that case, what convention is acceptable in MLA style? This is where the MLA Handbook serves as an invaluable resource. Again, your attention to detail and the professional presentation of your work are aspects of learning to write in an academic setting. Now let’s transition from a general discussion on the advantages of MLA style to what we are required to do to write a standard academic essay. We will first examine a general “to do” list, then review a few “do not” suggestions, and finally take a tour through a sample of MLA features. Links to sample MLA papers are located at the end of this section. General MLA List Use standard white paper (8.5 × 11 inches). Double space the essay and quotes. Use Times New Roman 12-point font. Use one-inch margins on all sides Indent paragraphs (five spaces or 1.5 inches). Include consecutive page numbers in the upper-right corner. Use italics to indicate a title, as in Writing for Success. On the first page, place your name, course, date, and instructor’s name in the upper-left corner. On the first page, place the title centered on the page, with no bold or italics and all words capitalized. On all pages, place the header, student’s name + one space + page number, 1.5 inches from the top, aligned on the right. Tip Depending on your field of study, you may sometimes write research papers in either APA or MLA style. Recognize that each has its advantages and preferred use in fields and disciplines. Learn to write and reference in both styles with proficiency. Title Block Format You never get a second chance to make a first impression, and your title block (not a separate title page; just a section at the top of the first page) makes an impression on the reader. If correctly formatted with each element of information in its proper place, form, and format, it says to the reader that you mean business, that you are a professional, and that you take your work seriously, so it should, in turn, be seriously considered. Your title block in MLA style contributes to your credibility. Remember that your writing represents you in your absence, and the title block is the tailored suit or outfit that represents you best. That said, sometimes a separate title page is necessary, but it is best both to know how to properly format a title block or page in MLA style and to ask your instructor if it is included as part of the assignment. Your name Instructor Course number Date                                                                         Title of Paper Paragraphs and Indentation Make sure you indent five spaces (from the left margin). You’ll see that the indent offsets the beginning of a new paragraph. We use paragraphs to express single ideas or topics that reinforce our central purpose or thesis statement. Paragraphs include topic sentences, supporting sentences, and conclusion or transitional sentences that link paragraphs together to support the main focus of the essay. Tables and Illustrations Place tables and illustrations as close as possible to the text they reinforce or complement. Here’s an example of a table in MLA. Table 13.2 Sales Figures by Year Sales Amount ($) 2007 100,000 2008 125,000 2009 185,000 2010 215,000 As we can see in Table 13.2, we have experienced significant growth since 2008. This example demonstrates that the words that you write and the tables, figures, illustrations, or images that you include should be next to each other in your paper. Parenthetical Citations You must cite your sources as you use them. In the same way that a table or figure should be located right next to the sentence that discusses it (see the previous example), parenthetical citations, or citations enclosed in parenthesis that appear in the text, are required. You need to cite all your information. If someone else wrote it, said it, drew it, demonstrated it, or otherwise expressed it, you need to cite it. The exception to this statement is common, widespread knowledge. For example, if you search online for MLA resources, and specifically MLA sample papers, you will find many similar discussions on MLA style. MLA is a style and cannot be copyrighted because it is a style, but the seventh edition of the MLA Handbook can be copyright protected. If you reference a specific page in that handbook, you need to indicate it. If you write about a general MLA style issue that is commonly covered or addressed in multiple sources, you do not. When in doubt, reference the specific resource you used to write your essay. Your in-text, or parenthetical, citations should do the following: Clearly indicate the specific sources also referenced in the works cited Specifically identify the location of the information that you used Keep the citation clear and concise, always confirming its accuracy Works Cited Page After the body of your paper comes the works cited page. It features the reference sources used in your essay. List the sources alphabetically by last name, or list them by title if the author is not known as is often the case of web-based articles. You will find links to examples of the works cited page in several of the sample MLA essays at the end of this section. As a point of reference and comparison to our APA examples, let’s examine the following three citations and the order of the information needed. Citation Type MLA Style APA Style Website Author’s Last Name, First Name. Title of the website. Publication Date. Name of Organization (if applicable). Date you accessed the website. <URL>. Author’s Last Name, First Initial. (Date of publication). Title of document. Retrieved from URL Online article Author’s Last Name, First Name. “Title of Article.” Title of the website. Date of publication. Organization that provides the website. Date you accessed the website. Author’s Last name, First Initial. (Date of publication). Title of article. Title of Journal, Volume(Issue). Retrieved from URL Book Author’s Last Name, First Name. Title of the Book. Place of Publication: Publishing Company, Date of publication. Author’s Last Name, First Initial. (Date of publication). Title of the book. Place of Publication: Publishing Company. Note: The items listed include proper punctuation and capitalization according to the style’s guidelines. Exercise 1 In Chapter 13 “APA and MLA Documentation and Formatting”, Section 13.1 “Formatting a Research Paper”, you created a sample essay in APA style. After reviewing this section and exploring the resources linked at the end of the section (including California State University–Sacramento’s clear example of a paper in MLA format), please convert your paper to MLA style using the formatting and citation guidelines. You may find it helpful to use online applications that quickly, easily, and at no cost convert your citations to MLA format. Exercise 2 Please convert the APA-style citations to MLA style. You may find that online applications can quickly, easily, and at no cost convert your citations to MLA format. There are several websites and applications available free (or as a free trial) that will allow you to input the information and will produce a correct citation in the style of your choice. Consider these two sites: http://www.noodletools.com http://citationmachine.net Hint: You may need access to the Internet to find any missing information required to correctly cite in MLA style. This demonstrates an important difference between APA and MLA style—the information provided to the reader. Sample Student Reference List in APA Style 1 Brent, D. A., Poling, K. D., & Goldstein, T. R. (2010). Treating depressed and suicidal adolescents: A clinician’s guide. New York, NY: Guilford Press. MLA 2 Dewan, S. (2007, September 17). Using crayons to exorcise Katrina. The New York Times. Retrieved from http://www.nytimes.com/2007/09/17/arts/design/17ther.html MLA 3 Freud, S. (1955). Beyond the pleasure principle. In The Complete Works of Sigmund Freud. (Vol. XVII, pp. 3–66). London, England: Hogarth. MLA 4 Henley, D. (2007). Naming the enemy: An art therapy intervention for children with bipolar and comorbid disorders. Art Therapy: Journal of the American Art Therapy Association, 24(3), 104–110. MLA 5 Hutson, M. (2008). Art therapy: The healing arts. Psychology Today. Retrieved from http://www.psychologytoday.com/articles/200705/art-therapy-the-healing-arts MLA 6 Isis, P. D., Bus, J., Siegel, C. A., & Ventura, Y. (2010). Empowering students through creativity: Art therapy in Miami-Dade County Public Schools. Art Therapy: Journal of the American Art Therapy Association, 27(2), 56–61. MLA 7 Johnson, D. (1987). The role of the creative arts therapies in the diagnosis and treatment of psychological trauma. The Arts in Psychotherapy, 14, 7–13. MLA 8 Malchiodi, C. (2006). Art therapy sourcebook. New York, NY: McGraw-Hill. MLA 9 Markel, R. (Producer). (2010). I’m an artist [Motion picture]. United States: Red Pepper Films. MLA 10 Kelley, S. J. (1984). The use of art therapy with sexually abused children. Journal of Psychosocial Nursing and Mental Health, 22(12), 12–28. MLA 11 Pifalo, T. (2008). Why art therapy? Darkness to light: Confronting child abuse with courage. Retrieved from http://www.darkness2light.org/KnowAbout/articles_art_therapy.asp MLA 12 Rubin, J. A. (2005). Child art therapy (25th ed.). New York, NY: Wiley. MLA 13 Schimek, J. (1975). A critical re-examination of Freud’s concept of unconscious mental representation. International Review of Psychoanalysis, 2, 171–187. MLA 14 Strauss, M. B. (1999). No talk therapy for children and adolescents. New York, NY: Norton. MLA 15 Thompson, T. (2008). Freedom from meltdowns: Dr. Thompson’s solutions for children with autism. Baltimore, MD: Paul H. Brookes. MLA Useful Sources of Examples of MLA Style Arizona State University Libraries offers an excellent resource with clear examples. http://libguides.asu.edu/content.php?pid=122697&sid=1132964 Purdue Online Writing Lab includes sample pages and works cited. http://owl.english.purdue.edu/owl/resource/747/01 California State University–Sacramento’s Online Writing Lab has an excellent visual description and example of an MLA paper. http://www.csus.edu/owl/index/mla/mla_format.htm SUNY offers an excellent, brief, side-by-side comparison of MLA and APA citations. http://www.sunywcc.edu/LIBRARY/research/MLA_APA_08.03.10.pdf Cornell University Library provides comprehensive MLA information on its Citation Management website. http://www.library.cornell.edu/resrch/citmanage/mla The University of Kansas Writing Center is an excellent resource. http://www.writing.ku.edu/guides * (a) is the correct answer to the question at the beginning of this section. The MLA Handbook prefers “twentieth century.” Key Takeaways MLA style is often used in the liberal arts and humanities. MLA style emphasizes brevity and clarity. A reader interested in your subject wants not only to read what you wrote but also to be informed of the works you used to create it. MLA style uses a citation in the body of the essay that refers to the works cited section at the end. If you follow MLA style, and indicate your source both in your essay and in the works cited section, you will prevent the possibility of plagiarism. 13.5 APA and MLA Documentation and Formatting: End-of-Chapter Exercises Exercises In this chapter, you learned strategies for using APA and MLA style documentation and formatting in a research paper. Locate a source that uses APA or MLA style, such as an article in a professional journal in the sciences or social sciences. Identify these key components of an APA or MLA paper in your example: the abstract, section heads, in-text citations, and references list. Check one of your assignments for correct APA or MLA formatting and citations. (You may wish to conduct this activity in two sessions—one to edit the body of the paper and one to edit the references section.) Check for the following: All components of an APA or MLA paper are included. The title page (or title block) and body of the paper are correctly formatted. In-text, or parenthetical, citations are complete and correctly formatted. Sources cited within the paper match the sources listed in the references or works cited section. The references or works cited section uses correct formatting and lists entries in alphabetical order. As electronic media continually change, guidelines for citing electronic sources are continually updated. Identify three new or emerging forms of electronic media not listed in this text—for instance, virtual communities, such as Second Life, or social networking sites, such as LinkedIn, Facebook, and MySpace. Answer the following questions: Under what circumstances would this media be a useful source of information for a research paper? How might students use these sources to conduct research five or ten years from now? What information would a student need to provide if citing this source? Why? Develop brief guidelines for how to cite the emerging media source types you identified. Chapter 12: Writing a Research Paper 12.1 Creating a Rough Draft for a Research Paper Learning Objectives Apply strategies for drafting an effective introduction and conclusion. Identify when and how to summarize, paraphrase, and directly quote information from research sources. Apply guidelines for citing sources within the body of the paper and the bibliography. Use primary and secondary research to support ideas. Identify the purposes for which writers use each type of research. At last, you are ready to begin writing the rough draft of your research paper. Putting your thinking and research into words is exciting. It can also be challenging. In this section, you will learn strategies for handling the more challenging aspects of writing a research paper, such as integrating material from your sources, citing information correctly, and avoiding any misuse of your sources. The Structure of a Research Paper Research papers generally follow the same basic structure: an introduction that presents the writer’s thesis, a body section that develops the thesis with supporting points and evidence, and a conclusion that revisits the thesis and provides additional insights or suggestions for further research. Your writing voice will come across most strongly in your introduction and conclusion, as you work to attract your readers’ interest and establish your thesis. These sections usually do not cite sources at length. They focus on the big picture, not specific details. In contrast, the body of your paper will cite sources extensively. As you present your ideas, you will support your points with details from your research. Writing Your Introduction There are several approaches to writing an introduction, each of which fulfills the same goals. The introduction should get readers’ attention, provide background information, and present the writer’s thesis. Many writers like to begin with one of the following catchy openers: A surprising fact A thought-provoking question An attention-getting quote A brief anecdote that illustrates a larger concept A connection between your topic and your readers’ experiences The next few sentences place the opening in context by presenting background information. From there, the writer builds toward a thesis, which is traditionally placed at the end of the introduction. Think of your thesis as a signpost that lets readers know in what direction the paper is headed. Jorge decided to begin his research paper by connecting his topic to readers’ daily experiences. Read the first draft of his introduction. The thesis is underlined. Note how Jorge progresses from the opening sentences to background information to his thesis. Beyond the Hype: Evaluating Low-Carb Diets I. Introduction Over the past decade, increasing numbers of Americans have jumped on the low-carb bandwagon. Some studies estimate that approximately 40 million Americans, or about 20 percent of the population, are attempting to restrict their intake of food high in carbohydrates (Sanders and Katz, 2004; Hirsch, 2004). Proponents of low-carb diets say they are not only the most effective way to lose weight, but they also yield health benefits such as lower blood pressure and improved cholesterol levels. Meanwhile, some doctors claim that low-carb diets are overrated and caution that their long-term effects are unknown. Although following a low-carbohydrate diet can benefit some people, these diets are not necessarily the best option for everyone who wants to lose weight or improve their health. Exercise 1 Write the introductory paragraph of your research paper. Try using one of the techniques listed in this section to write an engaging introduction. Be sure to include background information about the topic that leads to your thesis. Tip Writers often work out of sequence when writing a research paper. If you find yourself struggling to write an engaging introduction, you may wish to write the body of your paper first. Writing the body sections first will help you clarify your main points. Writing the introduction should then be easier. You may have a better sense of how to introduce the paper after you have drafted some or all of the body. Writing Your Conclusion In your introduction, you tell readers where they are headed. In your conclusion, you recap where they have been. For this reason, some writers prefer to write their conclusions soon after they have written their introduction. However, this method may not work for all writers. Other writers prefer to write their conclusion at the end of the paper, after writing the body paragraphs. No process is absolutely right or absolutely wrong; find the one that best suits you. No matter when you compose the conclusion, it should sum up your main ideas and revisit your thesis. The conclusion should not simply echo the introduction or rely on bland summary statements, such as “In this paper, I have demonstrated that.…” In fact, avoid repeating your thesis verbatim from the introduction. Restate it in different words that reflect the new perspective gained through your research. That helps keep your ideas fresh for your readers. An effective writer might conclude a paper by asking a new question the research inspired, revisiting an anecdote presented earlier, or reminding readers of how the topic relates to their lives. Writing at Work If your job involves writing or reading scientific papers, it helps to understand how professional researchers use the structure described in this section. A scientific paper begins with an abstract that briefly summarizes the entire paper. The introduction explains the purpose of the research, briefly summarizes previous research, and presents the researchers’ hypothesis. The body provides details about the study, such as who participated in it, what the researchers measured, and what results they recorded. The conclusion presents the researchers’ interpretation of the data, or what they learned. Using Source Material in Your Paper One of the challenges of writing a research paper is successfully integrating your ideas with material from your sources. Your paper must explain what you think, or it will read like a disconnected string of facts and quotations. However, you also need to support your ideas with research, or they will seem insubstantial. How do you strike the right balance? You have already taken a step in the right direction by writing your introduction. The introduction and conclusion function like the frame around a picture. They define and limit your topic and place your research in context. In the body paragraphs of your paper, you will need to integrate ideas carefully at the paragraph level and at the sentence level. You will use topic sentences in your paragraphs to make sure readers understand the significance of any facts, details, or quotations you cite. You will also include sentences that transition between ideas from your research, either within a paragraph or between paragraphs. At the sentence level, you will need to think carefully about how you introduce paraphrased and quoted material. Earlier you learned about summarizing, paraphrasing, and quoting when taking notes. In the next few sections, you will learn how to use these techniques in the body of your paper to weave in source material to support your ideas. Summarizing Sources When you summarizeTo concisely restate in one’s own words the main ideas from a source. material from a source, you zero in on the main points and restate them concisely in your own words. This technique is appropriate when only the major ideas are relevant to your paper or when you need to simplify complex information into a few key points for your readers. Be sure to review the source material as you summarize it. Identify the main idea and restate it as concisely as you can—preferably in one sentence. Depending on your purpose, you may also add another sentence or two condensing any important details or examples. Check your summary to make sure it is accurate and complete. In his draft, Jorge summarized research materials that presented scientists’ findings about low-carbohydrate diets. Read the following passage from a trade magazine article and Jorge’s summary of the article. Assessing the Efficacy of Low-Carbohydrate Diets Adrienne Howell, Ph.D. Over the past few years, a number of clinical studies have explored whether high-protein, low-carbohydrate diets are more effective for weight loss than other frequently recommended diet plans, such as diets that drastically curtail fat intake (Pritikin) or that emphasize consuming lean meats, grains, vegetables, and a moderate amount of unsaturated fats (the Mediterranean diet). A 2009 study found that obese teenagers who followed a low-carbohydrate diet lost an average of 15.6 kilograms over a six-month period, whereas teenagers following a low-fat diet or a Mediterranean diet lost an average of 11.1 kilograms and 9.3 kilograms respectively. Two 2010 studies that measured weight loss for obese adults following these same three diet plans found similar results. Over three months, subjects on the low-carbohydrate diet plan lost anywhere from four to six kilograms more than subjects who followed other diet plans. Summary In three recent studies, researchers compared outcomes for obese subjects who followed either a low-carbohydrate diet, a low-fat diet, or a Mediterranean diet and found that subjects following a low-carbohydrate diet lost more weight in the same time (Howell, 2010). Tip A summary restates ideas in your own words—but for specialized or clinical terms, you may need to use terms that appear in the original source. For instance, Jorge used the term obese in his summary because related words such as heavy or overweight have a different clinical meaning. Exercise 2 On a separate sheet of paper, practice summarizing by writing a one-sentence summary of the same passage that Jorge already summarized. Paraphrasing Sources When you paraphraseTo restate ideas or information from sources using one’s own words and sentence structures. material from a source, restate the information from an entire sentence or passage in your own words, using your own original sentence structure. A paraphrased source differs from a summarized source in that you focus on restating the ideas, not condensing them. Again, it is important to check your paraphrase against the source material to make sure it is both accurate and original. Inexperienced writers sometimes use the thesaurus method of paraphrasing—that is, they simply rewrite the source material, replacing most of the words with synonyms. This constitutes a misuse of sources. A true paraphrase restates ideas using the writer’s own language and style. In his draft, Jorge frequently paraphrased details from sources. At times, he needed to rewrite a sentence more than once to ensure he was paraphrasing ideas correctly. Read the passage from a website. Then read Jorge’s initial attempt at paraphrasing it, followed by the final version of his paraphrase. Source Dieters nearly always get great results soon after they begin following a low-carbohydrate diet, but these results tend to taper off after the first few months, particularly because many dieters find it difficult to follow a low-carbohydrate diet plan consistently. Summary People usually see encouraging outcomes shortly after they go on a low-carbohydrate diet, but their progress slows down after a short while, especially because most discover that it is a challenge to adhere to the diet strictly (Heinz, 2009). After reviewing the paraphrased sentence, Jorge realized he was following the original source too closely. He did not want to quote the full passage verbatim, so he again attempted to restate the idea in his own style. Summary Because it is hard for dieters to stick to a low-carbohydrate eating plan, the initial success of these diets is short-lived (Heinz, 2009). Exercise 3 On a separate sheet of paper, follow these steps to practice paraphrasing. Choose an important idea or detail from your notes. Without looking at the original source, restate the idea in your own words. Check your paraphrase against the original text in the source. Make sure both your language and your sentence structure are original. Revise your paraphrase if necessary. Quoting Sources Directly Most of the time, you will summarize or paraphrase source material instead of quoting directly. Doing so shows that you understand your research well enough to write about it confidently in your own words. However, direct quotes can be powerful when used sparingly and with purpose. Quoting directly can sometimes help you make a point in a colorful way. If an author’s words are especially vivid, memorable, or well phrased, quoting them may help hold your reader’s interest. Direct quotations from an interviewee or an eyewitness may help you personalize an issue for readers. And when you analyze primary sources, such as a historical speech or a work of literature, quoting extensively is often necessary to illustrate your points. These are valid reasons to use quotations. Less experienced writers, however, sometimes overuse direct quotations in a research paper because it seems easier than paraphrasing. At best, this reduces the effectiveness of the quotations. At worst, it results in a paper that seems haphazardly pasted together from outside sources. Use quotations sparingly for greater impact. When you do choose to quote directly from a source, follow these guidelines: Make sure you have transcribed the original statement accurately. Represent the author’s ideas honestly. Quote enough of the original text to reflect the author’s point accurately. Never use a stand-alone quotation. Always integrate the quoted material into your own sentence. Use ellipses (…) if you need to omit a word or phrase. Use brackets [ ] if you need to replace a word or phrase. Make sure any omissions or changed words do not alter the meaning of the original text. Omit or replace words only when absolutely necessary to shorten the text or to make it grammatically correct within your sentence. Remember to include correctly formatted citations that follow the assigned style guide. Jorge interviewed a dietician as part of his research, and he decided to quote her words in his paper. Read an excerpt from the interview and Jorge’s use of it, which follows. Source Personally, I don’t really buy into all of the hype about low-carbohydrate miracle diets like Atkins and so on. Sure, for some people, they are great, but for most, any sensible eating and exercise plan would work just as well. Summary Registered dietician Dana Kwon (2010) admits, “Personally, I don’t really buy into all of the hype.…Sure, for some people, [low-carbohydrate diets] are great, but for most, any sensible eating and exercise plan would work just as well.” Notice how Jorge smoothly integrated the quoted material by starting the sentence with an introductory phrase. His use of ellipses and brackets did not change the source’s meaning. Documenting Source Material Throughout the writing process, be scrupulous about documenting information taken from sources. The purpose of doing so is twofold: To give credit to other writers or researchers for their ideas To allow your reader to follow up and learn more about the topic if desired You will cite sources within the body of your paper and at the end of the paper in your bibliography. For this assignment, you will use the citation format used by the American Psychological Association (also known as APA style). For information on the format used by the Modern Language Association (MLA style), see Chapter 13 “APA and MLA Documentation and Formatting”. Citing Sources in the Body of Your Paper In-text citationsInstances in which use of source material is documented in the body text of the research paper. In-text citations must have corresponding sources listed in the references section. document your sources within the body of your paper. These include two vital pieces of information: the author’s name and the year the source material was published. When quoting a print source, also include in the citation the page number where the quoted material originally appears. The page number will follow the year in the in-text citation. Page numbers are necessary only when content has been directly quoted, not when it has been summarized or paraphrased. Within a paragraph, this information may appear as part of your introduction to the material or as a parenthetical citation at the end of a sentence. Read the examples that follow. For more information about in-text citations for other source types, see Chapter 13 “APA and MLA Documentation and Formatting”. Summary Leibowitz (2008) found that low-carbohydrate diets often helped subjects with Type II diabetes maintain a healthy weight and control blood-sugar levels. The introduction to the source material includes the author’s name followed by the year of publication in parentheses. Summary Low-carbohydrate diets often help subjects with Type II diabetes maintain a healthy weight and control blood-sugar levels (Leibowitz, 2008). The parenthetical citation at the end of the sentence includes the author’s name, a comma, and the year the source was published. The period at the end of the sentence comes after the parentheses. Creating a List of References Each of the sources you cite in the body text will appear in a references listA list of sources used in a research paper that provides detailed bibliographical information. at the end of your paper. While in-text citations provide the most basic information about the source, your references section will include additional publication details. In general, you will include the following information: The author’s last name followed by his or her first (and sometimes middle) initial The year the source was published The source title For articles in periodicals, the full name of the periodical, along with the volume and issue number and the pages where the article appeared Additional information may be included for different types of sources, such as online sources. For a detailed guide to APA or MLA citations, see Chapter 13 “APA and MLA Documentation and Formatting”. A sample reference list is provided with the final draft of Jorge’s paper later in this chapter. Using Primary and Secondary Research As you write your draft, be mindful of how you are using primary and secondary source material to support your points. Recall that primary sources present firsthand information. Secondary sources are one step removed from primary sources. They present a writer’s analysis or interpretation of primary source materials. How you balance primary and secondary source material in your paper will depend on the topic and assignment. Using Primary Sources Effectively Some types of research papers must use primary sources extensively to achieve their purpose. Any paper that analyzes a primary text or presents the writer’s own experimental research falls in this category. Here are a few examples: A paper for a literature course analyzing several poems by Emily Dickinson A paper for a political science course comparing televised speeches delivered by two presidential candidates A paper for a communications course discussing gender biases in television commercials A paper for a business administration course that discusses the results of a survey the writer conducted with local businesses to gather information about their work-from-home and flextime policies A paper for an elementary education course that discusses the results of an experiment the writer conducted to compare the effectiveness of two different methods of mathematics instruction For these types of papers, primary research is the main focus. If you are writing about a work (including nonprint works, such as a movie or a painting), it is crucial to gather information and ideas from the original work, rather than relying solely on others’ interpretations. And, of course, if you take the time to design and conduct your own field research, such as a survey, a series of interviews, or an experiment, you will want to discuss it in detail. For example, the interviews may provide interesting responses that you want to share with your reader. Using Secondary Sources Effectively For some assignments, it makes sense to rely more on secondary sources than primary sources. If you are not analyzing a text or conducting your own field research, you will need to use secondary sources extensively. As much as possible, use secondary sources that are closely linked to primary research, such as a journal article presenting the results of the authors’ scientific study or a book that cites interviews and case studies. These sources are more reliable and add more value to your paper than sources that are further removed from primary research. For instance, a popular magazine article on junk-food addiction might be several steps removed from the original scientific study on which it is loosely based. As a result, the article may distort, sensationalize, or misinterpret the scientists’ findings. Even if your paper is largely based on primary sources, you may use secondary sources to develop your ideas. For instance, an analysis of Alfred Hitchcock’s films would focus on the films themselves as a primary source, but might also cite commentary from critics. A paper that presents an original experiment would include some discussion of similar prior research in the field. Jorge knew he did not have the time, resources, or experience needed to conduct original experimental research for his paper. Because he was relying on secondary sources to support his ideas, he made a point of citing sources that were not far removed from primary research. Tip Some sources could be considered primary or secondary sources, depending on the writer’s purpose for using them. For instance, if a writer’s purpose is to inform readers about how the No Child Left Behind legislation has affected elementary education, a Time magazine article on the subject would be a secondary source. However, suppose the writer’s purpose is to analyze how the news media has portrayed the effects of the No Child Left Behind legislation. In that case, articles about the legislation in news magazines like Time, Newsweek, and US News & World Report would be primary sources. They provide firsthand examples of the media coverage the writer is analyzing. Avoiding Plagiarism Your research paper presents your thinking about a topic, supported and developed by other people’s ideas and information. It is crucial to always distinguish between the two—as you conduct research, as you plan your paper, and as you write. Failure to do so can lead to plagiarism. Intentional and Accidental Plagiarism PlagiarismThe practice of using someone’s words or ideas without acknowledging the source. Plagiarism may be deliberate or may occur unintentionally through careless use of source material. is the act of misrepresenting someone else’s work as your own. Sometimes a writer plagiarizes work on purpose—for instance, by purchasing an essay from a website and submitting it as original course work. In other cases, a writer may commit accidental plagiarism due to carelessness, haste, or misunderstanding. To avoid unintentional plagiarism, follow these guidelines: Understand what types of information must be cited. Understand what constitutes fair use of a source. Keep source materials and notes carefully organized. Follow guidelines for summarizing, paraphrasing, and quoting sources. When to Cite Any idea or fact taken from an outside source must be cited, in both the body of your paper and the references list. The only exceptions are facts or general statements that are common knowledge. Common-knowledge facts or general statements are commonly supported by and found in multiple sources. For example, a writer would not need to cite the statement that most breads, pastas, and cereals are high in carbohydrates; this is well known and well documented. However, if a writer explained in detail the differences among the chemical structures of carbohydrates, proteins, and fats, a citation would be necessary. When in doubt, cite. Fair Use In recent years, issues related to the fair use of sources have been prevalent in popular culture. Recording artists, for example, may disagree about the extent to which one has the right to sample another’s music. For academic purposes, however, the guidelines for fair use are reasonably straightforward. Writers may quote from or paraphrase material from previously published works without formally obtaining the copyright holder’s permission. Fair useA legitimate use of brief quotations from source material to support and develop a writer’s ideas. means that the writer legitimately uses brief excerpts from source material to support and develop his or her own ideas. For instance, a columnist may excerpt a few sentences from a novel when writing a book review. However, quoting or paraphrasing another’s work at excessive length, to the extent that large sections of the writing are unoriginal, is not fair use. As he worked on his draft, Jorge was careful to cite his sources correctly and not to rely excessively on any one source. Occasionally, however, he caught himself quoting a source at great length. In those instances, he highlighted the paragraph in question so that he could go back to it later and revise. Read the example, along with Jorge’s revision. Summary Heinz (2009) found that “subjects in the low-carbohydrate group (30% carbohydrates; 40% protein, 30% fat) had a mean weight loss of 10 kg (22 lbs) over a 4-month period.” These results were “noticeably better than results for subjects on a low-fat diet (45% carbohydrates, 35% protein, 20% fat)” whose average weight loss was only “7 kg (15.4 lbs) in the same period.” From this, it can be concluded that “low-carbohydrate diets obtain more rapid results.” Other researchers agree that “at least in the short term, patients following low-carbohydrate diets enjoy greater success” than those who follow alternative plans (Johnson & Crowe, 2010). After reviewing the paragraph, Jorge realized that he had drifted into unoriginal writing. Most of the paragraph was taken verbatim from a single article. Although Jorge had enclosed the material in quotation marks, he knew it was not an appropriate way to use the research in his paper. Summary Low-carbohydrate diets may indeed be superior to other diet plans for short-term weight loss. In a study comparing low-carbohydrate diets and low-fat diets, Heinz (2009) found that subjects who followed a low-carbohydrate plan (30% of total calories) for 4 months lost, on average, about 3 kilograms more than subjects who followed a low-fat diet for the same time. Heinz concluded that these plans yield quick results, an idea supported by a similar study conducted by Johnson and Crowe (2010). What remains to be seen, however, is whether this initial success can be sustained for longer periods. As Jorge revised the paragraph, he realized he did not need to quote these sources directly. Instead, he paraphrased their most important findings. He also made sure to include a topic sentence stating the main idea of the paragraph and a concluding sentence that transitioned to the next major topic in his essay. Working with Sources Carefully Disorganization and carelessness sometimes lead to plagiarism. For instance, a writer may be unable to provide a complete, accurate citation if he didn’t record bibliographical information. A writer may cut and paste a passage from a website into her paper and later forget where the material came from. A writer who procrastinates may rush through a draft, which easily leads to sloppy paraphrasing and inaccurate quotations. Any of these actions can create the appearance of plagiarism and lead to negative consequences. Carefully organizing your time and notes is the best guard against these forms of plagiarism. Maintain a detailed working bibliography and thorough notes throughout the research process. Check original sources again to clear up any uncertainties. Allow plenty of time for writing your draft so there is no temptation to cut corners. Writing at Work Citing other people’s work appropriately is just as important in the workplace as it is in school. If you need to consult outside sources to research a document you are creating, follow the general guidelines already discussed, as well as any industry-specific citation guidelines. For more extensive use of others’ work—for instance, requesting permission to link to another company’s website on your own corporate website—always follow your employer’s established procedures. Academic Integrity The concepts and strategies discussed in this section of Chapter 12 “Writing a Research Paper” connect to a larger issue—academic integrity. You maintain your integrity as a member of an academic community by representing your work and others’ work honestly and by using other people’s work only in legitimately accepted ways. It is a point of honor taken seriously in every academic discipline and career field. Academic integrity violations have serious educational and professional consequences. Even when cheating and plagiarism go undetected, they still result in a student’s failure to learn necessary research and writing skills. Students who are found guilty of academic integrity violations face consequences ranging from a failing grade to expulsion from the university. Employees may be fired for plagiarism and do irreparable damage to their professional reputation. In short, it is never worth the risk. Key Takeaways An effective research paper focuses on the writer’s ideas. The introduction and conclusion present and revisit the writer’s thesis. The body of the paper develops the thesis and related points with information from research. Ideas and information taken from outside sources must be cited in the body of the paper and in the references section. Material taken from sources should be used to develop the writer’s ideas. Summarizing and paraphrasing are usually most effective for this purpose. A summary concisely restates the main ideas of a source in the writer’s own words. A paraphrase restates ideas from a source using the writer’s own words and sentence structures. Direct quotations should be used sparingly. Ellipses and brackets must be used to indicate words that were omitted or changed for conciseness or grammatical correctness. Always represent material from outside sources accurately. Plagiarism has serious academic and professional consequences. To avoid accidental plagiarism, keep research materials organized, understand guidelines for fair use and appropriate citation of sources, and review the paper to make sure these guidelines are followed. 12.2 Developing a Final Draft of a Research Paper Learning Objectives Revise your paper to improve organization and cohesion. Determine an appropriate style and tone for your paper. Revise to ensure that your tone is consistent. Edit your paper to ensure that language, citations, and formatting are correct. Given all the time and effort you have put into your research project, you will want to make sure that your final draft represents your best work. This requires taking the time to revise and edit your paper carefully. You may feel like you need a break from your paper before you revise and edit it. That is understandable—but leave yourself with enough time to complete this important stage of the writing process. In this section, you will learn the following specific strategies that are useful for revising and editing a research paper: How to evaluate and improve the overall organization and cohesion How to maintain an appropriate style and tone How to use checklists to identify and correct any errors in language, citations, and formatting Revising Your Paper: Organization and Cohesion When writing a research paper, it is easy to become overly focused on editorial details, such as the proper format for bibliographical entries. These details do matter. However, before you begin to address them, it is important to spend time reviewing and revising the content of the paper. A good research paper is both organized and cohesive. OrganizationIn writing, a quality that describes the paper proceeding logically from the introduction to the body paragraphs to the conclusion. means that your argument flows logically from one point to the next. CohesionIn writing, a quality that describes the elements of a paper working together smoothly and naturally. means that the elements of your paper work together smoothly and naturally. In a cohesive research paper, information from research is seamlessly integrated with the writer’s ideas. Revise to Improve Organization When you revise to improve organization, you look at the flow of ideas throughout the essay as a whole and within individual paragraphs. You check to see that your essay moves logically from the introduction to the body paragraphs to the conclusion, and that each section reinforces your thesis. Use Checklist 12.1 to help you. Checklist 12.1 Revision: Organization At the essay level Does my introduction proceed clearly from the opening to the thesis? Does each body paragraph have a clear main idea that relates to the thesis? Do the main ideas in the body paragraphs flow in a logical order? Is each paragraph connected to the one before it? Do I need to add or revise topic sentences or transitions to make the overall flow of ideas clearer? Does my conclusion summarize my main ideas and revisit my thesis? At the paragraph level Does the topic sentence clearly state the main idea? Do the details in the paragraph relate to the main idea? Do I need to recast any sentences or add transitions to improve the flow of sentences? Jorge reread his draft paragraph by paragraph. As he read, he highlighted the main idea of each paragraph so he could see whether his ideas proceeded in a logical order. For the most part, the flow of ideas was clear. However, he did notice that one paragraph did not have a clear main idea. It interrupted the flow of the writing. During revision, Jorge added a topic sentence that clearly connected the paragraph to the one that had preceded it. He also added transitions to improve the flow of ideas from sentence to sentence. Read the following paragraphs twice, the first time without Jorge’s changes, and the second time with them. Exercise 1 Follow these steps to begin revising your paper’s overall organization. Print out a hard copy of your paper. Read your paper paragraph by paragraph. Highlight your thesis and the topic sentence of each paragraph. Using the thesis and topic sentences as starting points, outline the ideas you presented—just as you would do if you were outlining a chapter in a textbook. Do not look at the outline you created during prewriting. You may write in the margins of your draft or create a formal outline on a separate sheet of paper. Next, reread your paper more slowly, looking for how ideas flow from sentence to sentence. Identify places where adding a transition or recasting a sentence would make the ideas flow more logically. Review the topics on your outline. Is there a logical flow of ideas? Identify any places where you may need to reorganize ideas. Begin to revise your paper to improve organization. Start with any major issues, such as needing to move an entire paragraph. Then proceed to minor revisions, such as adding a transitional phrase or tweaking a topic sentence so it connects ideas more clearly. Collaboration Please share your paper with a classmate. Repeat the six steps and take notes on a separate piece of paper. Share and compare notes. Tip Writers choose transitions carefully to show the relationships between ideas—for instance, to make a comparison or elaborate on a point with examples. Make sure your transitions suit your purpose and avoid overusing the same ones. For an extensive list of transitions, see Chapter 8 “The Writing Process: How Do I Begin?”, Section 8.4 “Revising and Editing”. Revise to Improve Cohesion When you revise to improve cohesion, you analyze how the parts of your paper work together. You look for anything that seems awkward or out of place. Revision may involve deleting unnecessary material or rewriting parts of the paper so that the out-of-place material fits in smoothly. In a research paper, problems with cohesion usually occur when a writer has trouble integrating source material. If facts or quotations have been awkwardly dropped into a paragraph, they distract or confuse the reader instead of working to support the writer’s point. Overusing paraphrased and quoted material has the same effect. Use Checklist 12.2 to review your essay for cohesion. Checklist 12.2 Revision: Cohesion Does the opening of the paper clearly connect to the broader topic and thesis? Make sure entertaining quotes or anecdotes serve a purpose. Have I included support from research for each main point in the body of my paper? Have I included introductory material before any quotations? Quotations should never stand alone in a paragraph. Does paraphrased and quoted material clearly serve to develop my own points? Do I need to add to or revise parts of the paper to help the reader understand how certain information from a source is relevant? Are there any places where I have overused material from sources? Does my conclusion make sense based on the rest of the paper? Make sure any new questions or suggestions in the conclusion are clearly linked to earlier material. As Jorge reread his draft, he looked to see how the different pieces fit together to prove his thesis. He realized that some of his supporting information needed to be integrated more carefully and decided to omit some details entirely. Read the following paragraph, first without Jorge’s revisions and then with them. Jorge decided that his comment about pizza and birthday cake came across as subjective and was not necessary to make his point, so he deleted it. He also realized that the quotation at the end of the paragraph was awkward and ineffective. How would his readers know who Kwon was or why her opinion should be taken seriously? Adding an introductory phrase helped Jorge integrate this quotation smoothly and establish the credibility of his source. Exercise 2 Follow these steps to begin revising your paper to improve cohesion. Print out a hard copy of your paper, or work with your printout from Note 12.33 “Exercise 1”. Read the body paragraphs of your paper first. Each time you come to a place that cites information from sources, ask yourself what purpose this information serves. Check that it helps support a point and that it is clearly related to the other sentences in the paragraph. Identify unnecessary information from sources that you can delete. Identify places where you need to revise your writing so that readers understand the significance of the details cited from sources. Skim the body paragraphs once more, looking for any paragraphs that seem packed with citations. Review these paragraphs carefully for cohesion. Review your introduction and conclusion. Make sure the information presented works with ideas in the body of the paper. Revise the places you identified in your paper to improve cohesion. Collaboration Please exchange papers with a classmate. Complete step four. On a separate piece of paper, note any areas that would benefit from clarification. Return and compare notes. Writing at Work Understanding cohesion can also benefit you in the workplace, especially when you have to write and deliver a presentation. Speakers sometimes rely on cute graphics or funny quotations to hold their audience’s attention. If you choose to use these elements, make sure they work well with the substantive content of your presentation. For example, if you are asked to give a financial presentation, and the financial report shows that the company lost money, funny illustrations would not be relevant or appropriate for the presentation. Using a Consistent Style and Tone Once you are certain that the content of your paper fulfills your purpose, you can begin revising to improve styleThe unique way a writer uses language, which encompasses choices about sentence structure and word selection. and toneIn writing, the attitude a writer conveys toward the subject and the audience.. Together, your style and tone create the voice of your paper, or how you come across to readers. Style refers to the way you use language as a writer—the sentence structures you use and the word choices you make. Tone is the attitude toward your subject and audience that you convey through your word choice. Determining an Appropriate Style and Tone Although accepted writing styles will vary within different disciplines, the underlying goal is the same—to come across to your readers as a knowledgeable, authoritative guide. Writing about research is like being a tour guide who walks readers through a topic. A stuffy, overly formal tour guide can make readers feel put off or intimidated. Too much informality or humor can make readers wonder whether the tour guide really knows what he or she is talking about. Extreme or emotionally charged language comes across as unbalanced. To help prevent being overly formal or informal, determine an appropriate style and tone at the beginning of the research process. Consider your topic and audience because these can help dictate style and tone. For example, a paper on new breakthroughs in cancer research should be more formal than a paper on ways to get a good night’s sleep. A strong research paper comes across as straightforward, appropriately academic, and serious. It is generally best to avoid writing in the first person, as this can make your paper seem overly subjective and opinion based. Use Checklist 12.3 on style to review your paper for other issues that affect style and tone. You can check for consistency at the end of the writing process. Checking for consistency is discussed later in this section. Checklist 12.3 Style My paper avoids excessive wordiness. My sentences are varied in length and structure. I have avoided using first-person pronouns such as I and we. I have used the active voice whenever possible. I have defined specialized terms that might be unfamiliar to readers. I have used clear, straightforward language whenever possible and avoided unnecessary jargon. My paper states my point of view using a balanced tone—neither too indecisive nor too forceful. Word Choice Note that word choice is an especially important aspect of style. In addition to checking the points noted on Checklist 12.3, review your paper to make sure your language is precise, conveys no unintended connotations, and is free of biases. Here are some of the points to check for: Vague or imprecise terms Slang Repetition of the same phrases (“Smith states…, Jones states…”) to introduce quoted and paraphrased material (For a full list of strong verbs to use with in-text citations, see Chapter 13 “APA and MLA Documentation and Formatting”.) Exclusive use of masculine pronouns or awkward use of he or she Use of language with negative connotations, such as haughty or ridiculous Use of outdated or offensive terms to refer to specific ethnic, racial, or religious groups Tip Using plural nouns and pronouns or recasting a sentence can help you keep your language gender neutral while avoiding awkwardness. Consider the following examples. Gender-biased: When a writer cites a source in the body of his paper, he must list it on his references page. Awkward: When a writer cites a source in the body of his or her paper, he or she must list it on his or her references page. Improved: Writers must list any sources cited in the body of a paper on the references page. Keeping Your Style Consistent As you revise your paper, make sure your style is consistent throughout. Look for instances where a word, phrase, or sentence just does not seem to fit with the rest of the writing. It is best to reread for style after you have completed the other revisions so that you are not distracted by any larger content issues. Revising strategies you can use include the following: Read your paper aloud. Sometimes your ears catch inconsistencies that your eyes miss. Share your paper with another reader whom you trust to give you honest feedback. It is often difficult to evaluate one’s own style objectively—especially in the final phase of a challenging writing project. Another reader may be more likely to notice instances of wordiness, confusing language, or other issues that affect style and tone. Line-edit your paper slowly, sentence by sentence. You may even wish to use a sheet of paper to cover everything on the page except the paragraph you are editing—that forces you to read slowly and carefully. Mark any areas where you notice problems in style or tone, and then take time to rework those sections. On reviewing his paper, Jorge found that he had generally used an appropriately academic style and tone. However, he noticed one glaring exception—his first paragraph. He realized there were places where his overly informal writing could come across as unserious or, worse, disparaging. Revising his word choice and omitting a humorous aside helped Jorge maintain a consistent tone. Read his revisions. Exercise 3 Using Checklist 12.3, line-edit your paper. You may use either of these techniques: Print out a hard copy of your paper, or work with your printout from Note 12.33 “Exercise 1”. Read it line by line. Check for the issues noted on Checklist 12.3, as well as any other aspects of your writing style you have previously identified as areas for improvement. Mark any areas where you notice problems in style or tone, and then take time to rework those sections. If you prefer to work with an electronic document, use the menu options in your word-processing program to enlarge the text to 150 or 200 percent of the original size. Make sure the type is large enough that you can focus on only one paragraph at a time. Read the paper line by line as described in step 1. Highlight any areas where you notice problems in style or tone, and then take time to rework those sections. Collaboration Please exchange papers with a classmate. On a separate piece of paper, note places where the essay does not seem to flow or you have questions about what was written. Return the essay and compare notes. Editing Your Paper After revising your paper to address problems in content or style, you will complete one final editorial review. Perhaps you already have caught and corrected minor mistakes during previous revisions. Nevertheless, give your draft a final edit to make sure it is error-free. Your final edit should focus on two broad areas: Errors in grammar, mechanics, usage, and spelling Errors in citing and formatting sources For in-depth information on these two topics, see Chapter 2 “Writing Basics: What Makes a Good Sentence?” and Chapter 13 “APA and MLA Documentation and Formatting”. Correcting Errors Given how much work you have put into your research paper, you will want to check for any errors that could distract or confuse your readers. Using the spell-checking feature in your word-processing program can be helpful—but this should not replace a full, careful review of your document. Be sure to check for any errors that may have come up frequently for you in the past. Use Checklist 12.4 to help you as you edit: Checklist 12.4 Grammar, Mechanics, Punctuation, Usage, and Spelling My paper is free of grammatical errors, such as errors in subject-verb agreement and sentence fragments. (For additional guidance on grammar, see Chapter 2 “Writing Basics: What Makes a Good Sentence?”.) My paper is free of errors in punctuation and mechanics, such as misplaced commas or incorrectly formatted source titles. (For additional guidance on punctuation and mechanics, see Chapter 3 “Punctuation”.) My paper is free of common usage errors, such as alot and alright. (For additional guidance on correct usage, see Chapter 4 “Working with Words: Which Word Is Right?”.) My paper is free of spelling errors. I have proofread my paper for spelling in addition to using the spell-checking feature in my word-processing program. I have checked my paper for any editing errors that I know I tend to make frequently. Checking Citations and Formatting When editing a research paper, it is also important to check that you have cited sources properly and formatted your document according to the specified guidelines. There are two reasons for this. First and foremost, citing sources correctly ensures that you have given proper credit to other people for ideas and information that helped you in your work. Second, using correct formatting establishes your paper as one student’s contribution to the work developed by and for a larger academic community. Increasingly, American Psychological Association (APA) style guidelines are the standard for many academic fields. Modern Language Association (MLA) is also a standard style in many fields. Use Checklist 12.5 to help you check citations and formatting. Checklist 12.5 Citations and Formatting Within the body of my paper, each fact or idea taken from a source is credited to the correct source. Each in-text citation includes the source author’s name (or, where applicable, the organization name or source title) and year of publication. I have used the correct format of in-text and parenthetical citations. Each source cited in the body of my paper has a corresponding entry in the references section of my paper. My references section includes a heading and double-spaced, alphabetized entries. Each entry in my references section is indented on the second line and all subsequent lines. Each entry in my references section includes all the necessary information for that source type, in the correct sequence and format. My paper includes a title page. My paper includes a running head. The margins of my paper are set at one inch. Text is double spaced and set in a standard 12-point font. For detailed guidelines on APA and MLA citation and formatting, see Chapter 13 “APA and MLA Documentation and Formatting”. Writing at Work Following APA or MLA citation and formatting guidelines may require time and effort. However, it is good practice for learning how to follow accepted conventions in any professional field. Many large corporations create a style manual with guidelines for editing and formatting documents produced by that corporation. Employees follow the style manual when creating internal documents and documents for publication. During the process of revising and editing, Jorge made changes in the content and style of his paper. He also gave the paper a final review to check for overall correctness and, particularly, correct APA or MLA citations and formatting. Read the final draft of his paper. Key Takeaways Organization in a research paper means that the argument proceeds logically from the introduction to the body to the conclusion. It flows logically from one point to the next. When revising a research paper, evaluate the organization of the paper as a whole and the organization of individual paragraphs. In a cohesive research paper, the elements of the paper work together smoothly and naturally. When revising a research paper, evaluate its cohesion. In particular, check that information from research is smoothly integrated with your ideas. An effective research paper uses a style and tone that are appropriately academic and serious. When revising a research paper, check that the style and tone are consistent throughout. Editing a research paper involves checking for errors in grammar, mechanics, punctuation, usage, spelling, citations, and formatting. 12.3 Writing a Research Paper: End-of-Chapter Exercises Exercises In this chapter, you learned strategies for generating and narrowing a topic for a research paper. Brainstorm to create a list of five general topics of personal or professional interest to you that you would like to research. Then use freewriting and preliminary research to narrow three of these topics to manageable size for a five- to seven-page research paper. Save your list of topics in a print or electronic file and add to it periodically as you identify additional areas of interest. Use your topic list as a starting point the next time a research paper is assigned. Working with one of the topics you just identified, use the research skills you learned in this chapter to locate three to five potentially useful print or electronic sources of information about the topic. Create a list that includes the following: One subject-specific periodicals database likely to include relevant articles on your topic Two articles about your topic written for an educated general audience At least one article about your topic written for an audience with specialized knowledge In real-life and work-related contexts, people consult a wide range of different information sources every day, without always making conscious judgments about whether the source is reliable and why. Identify one media source of information you use at least once a week—for instance, a website you visit regularly, or a newspaper or magazine to which you subscribe. Write two paragraphs explaining the following: What topics you learn about by reading or viewing this source Whether you consider this source reliable and why In addressing the latter point, be sure to consider details that help you evaluate the source’s credibility and reputability, as well as the presence or absence of bias. Different professional communities develop their own standards about the writing style people in that community use when creating documents to share with others. In some cases, these standards may apply to a very broad group of professionals—for example, researchers in many different social sciences use APA style in academic writing. MLA style is commonly used in the humanities, including English classes. In other cases, style guidelines are specific to a particular company or organization. Find a document, such as a newsletter or brochure, that was produced by an organization to which you belong. (Make sure it is a document you have permission to share.) Review the document and answer the following questions: What are the purpose, intended audience, and message of this document? How does the writing style function to fulfill the purpose, appeal to a particular audience, and convey a message? Consider elements of style, such as word choice, the use of active or passive voice, sentence length, and sentence structure. If your document includes graphics, consider their effectiveness as well. Are there any places where the style is inconsistent? Is the writing style of this document effective for achieving the document’s purpose? Why or why not? If it is not effective, explain why. Chapter 11: Writing from Research: What Will I Learn? 11.1 The Purpose of Research Writing Learning Objectives Identify reasons to research writing projects. Outline the steps of the research writing process. Why was the Great Wall of China built? What have scientists learned about the possibility of life on Mars? What roles did women play in the American Revolution? How does the human brain create, store, and retrieve memories? Who invented the game of football, and how has it changed over the years? You may know the answers to these questions off the top of your head. If you are like most people, however, you find answers to tough questions like these by searching the Internet, visiting the library, or asking others for information. To put it simply, you perform research. Whether you are a scientist, an artist, a paralegal, or a parent, you probably perform research in your everyday life. When your boss, your instructor, or a family member asks you a question that you do not know the answer to, you locate relevant information, analyze your findings, and share your results. Locating, analyzing, and sharing information are key steps in the research process, and in this chapter, you will learn more about each step. By developing your research writing skills, you will prepare yourself to answer any question no matter how challenging. Reasons for Research When you perform research, you are essentially trying to solve a mystery—you want to know how something works or why something happened. In other words, you want to answer a question that you (and other people) have about the world. This is one of the most basic reasons for performing research. But the research process does not end when you have solved your mystery. Imagine what would happen if a detective collected enough evidence to solve a criminal case, but she never shared her solution with the authorities. Presenting what you have learned from research can be just as important as performing the research. Research results can be presented in a variety of ways, but one of the most popular—and effective—presentation forms is the research paperA composition that presents an original thesis about a topic and develops that thesis with information gathered from a variety of sources.. A research paper presents an original thesis, or purpose statement, about a topic and develops that thesis with information gathered from a variety of sources. If you are curious about the possibility of life on Mars, for example, you might choose to research the topic. What will you do, though, when your research is complete? You will need a way to put your thoughts together in a logical, coherent manner. You may want to use the facts you have learned to create a narrative or to support an argument. And you may want to show the results of your research to your friends, your teachers, or even the editors of magazines and journals. Writing a research paper is an ideal way to organize thoughts, craft narratives or make arguments based on research, and share your newfound knowledge with the world. Exercise 1 Write a paragraph about a time when you used research in your everyday life. Did you look for the cheapest way to travel from Houston to Denver? Did you search for a way to remove gum from the bottom of your shoe? In your paragraph, explain what you wanted to research, how you performed the research, and what you learned as a result. Research Writing and the Academic Paper No matter what field of study you are interested in, you will most likely be asked to write a research paper during your academic career. For example, a student in an art history course might write a research paper about an artist’s work. Similarly, a student in a psychology course might write a research paper about current findings in childhood development. Having to write a research paper may feel intimidating at first. After all, researching and writing a long paper requires a lot of time, effort, and organization. However, writing a research paper can also be a great opportunity to explore a topic that is particularly interesting to you. The research process allows you to gain expertise on a topic of your choice, and the writing process helps you remember what you have learned and understand it on a deeper level. Research Writing at Work Knowing how to write a good research paper is a valuable skill that will serve you well throughout your career. Whether you are developing a new product, studying the best way to perform a procedure, or learning about challenges and opportunities in your field of employment, you will use research techniques to guide your exploration. You may even need to create a written report of your findings. And because effective communication is essential to any company, employers seek to hire people who can write clearly and professionally. Writing at Work Take a few minutes to think about each of the following careers. How might each of these professionals use researching and research writing skills on the job? Medical laboratory technician Small business owner Information technology professional Freelance magazine writer A medical laboratory technician or information technology professional might do research to learn about the latest technological developments in either of these fields. A small business owner might conduct research to learn about the latest trends in his or her industry. A freelance magazine writer may need to research a given topic to write an informed, up-to-date article. Exercise 2 Think about the job of your dreams. How might you use research writing skills to perform that job? Create a list of ways in which strong researching, organizing, writing, and critical thinking skills could help you succeed at your dream job. How might these skills help you obtain that job? Steps of the Research Writing Process How does a research paper grow from a folder of brainstormed notes to a polished final draft? No two projects are identical, but most projects follow a series of six basic steps. These are the steps in the research writing process: Choose a topic. Plan and schedule time to research and write. Conduct research. Organize research and ideas. Draft your paper. Revise and edit your paper. Each of these steps will be discussed in more detail later in this chapter. For now, though, we will take a brief look at what each step involves. Step 1: Choosing a Topic As you may recall from Chapter 8 “The Writing Process: How Do I Begin?”, to narrow the focus of your topic, you may try freewriting exercises, such as brainstorming. You may also need to ask a specific research questionA broad, open-ended question that a writer uses to guide the research process. In the research paper, the writer attempts to answer the question thoughtfully.—a broad, open-ended question that will guide your research—as well as propose a possible answer, or a working thesisThe first thesis statement a writer uses while outlining an assignment. A working thesis statement may change during the writing process.. You may use your research question and your working thesis to create a research proposalA brief document that includes a writer’s main research question, related subquestions, working thesis, and plan for gathering information.. In a research proposal, you present your main research question, any related subquestions you plan to explore, and your working thesis. Step 2: Planning and Scheduling Before you start researching your topic, take time to plan your researching and writing schedule. Research projects can take days, weeks, or even months to complete. Creating a schedule is a good way to ensure that you do not end up being overwhelmed by all the work you have to do as the deadline approaches. During this step of the process, it is also a good idea to plan the resources and organizational tools you will use to keep yourself on track throughout the project. Flowcharts, calendars, and checklists can all help you stick to your schedule. See Chapter 11 “Writing from Research: What Will I Learn?”, Section 11.2 “Steps in Developing a Research Proposal” for an example of a research schedule. Step 3: Conducting Research When going about your research, you will likely use a variety of sources—anything from books and periodicals to video presentations and in-person interviews. Your sources will include both primary sourcesResearch sources that provide raw information or data without commentary or interpretation, such as surveys, interviews, and historical documents. and secondary sourcesResearch sources that provide information and include some analysis or interpretation of the information. Scholarly journals and magazine articles are usually considered secondary sources.. Primary sources provide firsthand information or raw data. For example, surveys, in-person interviews, and historical documents are primary sources. Secondary sources, such as biographies, literary reviews, or magazine articles, include some analysis or interpretation of the information presented. As you conduct research, you will take detailed, careful notes about your discoveries. You will also evaluate the reliability of each source you find. Step 4: Organizing Research and the Writer’s Ideas When your research is complete, you will organize your findings and decide which sources to cite in your paper. You will also have an opportunity to evaluate the evidence you have collected and determine whether it supports your thesis, or the focus of your paper. You may decide to adjust your thesis or conduct additional research to ensure that your thesis is well supported. Tip Remember, your working thesis is not set in stone. You can and should change your working thesis throughout the research writing process if the evidence you find does not support your original thesis. Never try to force evidence to fit your argument. For example, your working thesis is “Mars cannot support life-forms.” Yet, a week into researching your topic, you find an article in the New York Times detailing new findings of bacteria under the Martian surface. Instead of trying to argue that bacteria are not life forms, you might instead alter your thesis to “Mars cannot support complex life-forms.” Step 5: Drafting Your Paper Now you are ready to combine your research findings with your critical analysis of the results in a rough draft. You will incorporate source materials into your paper and discuss each source thoughtfully in relation to your thesis or purpose statement. When you cite your reference sources, it is important to pay close attention to standard conventions for citing sources in order to avoid plagiarismThe practice of using someone else’s words or ideas without acknowledging the source., or the practice of using someone else’s words without acknowledging the source. Later in this chapter, you will learn how to incorporate sources in your paper and avoid some of the most common pitfalls of attributing information. Step 6: Revising and Editing Your Paper In the final step of the research writing process, you will revise and polish your paper. You might reorganize your paper’s structure or revise for unity and cohesion, ensuring that each element in your paper flows into the next logically and naturally. You will also make sure that your paper uses an appropriate and consistent tone. Once you feel confident in the strength of your writing, you will edit your paper for proper spelling, grammar, punctuation, mechanics, and formatting. When you complete this final step, you will have transformed a simple idea or question into a thoroughly researched and well-written paper you can be proud of! Exercise 3 Review the steps of the research writing process. Then answer the questions on your own sheet of paper. In which steps of the research writing process are you allowed to change your thesis? In step 2, which types of information should you include in your project schedule? What might happen if you eliminated step 4 from the research writing process? Key Takeaways People undertake research projects throughout their academic and professional careers in order to answer specific questions, share their findings with others, increase their understanding of challenging topics, and strengthen their researching, writing, and analytical skills. The research writing process generally comprises six steps: choosing a topic, scheduling and planning time for research and writing, conducting research, organizing research and ideas, drafting a paper, and revising and editing the paper. 11.2 Steps in Developing a Research Proposal Learning Objectives Identify the steps in developing a research proposal. Choose a topic and formulate a research question and working thesis. Develop a research proposal. Writing a good research paper takes time, thought, and effort. Although this assignment is challenging, it is manageable. Focusing on one step at a time will help you develop a thoughtful, informative, well-supported research paper. Your first step is to choose a topic and then to develop research questions, a working thesis, and a written research proposal. Set aside adequate time for this part of the process. Fully exploring ideas will help you build a solid foundation for your paper. Choosing a Topic When you choose a topic for a research paper, you are making a major commitment. Your choice will help determine whether you enjoy the lengthy process of research and writing—and whether your final paper fulfills the assignment requirements. If you choose your topic hastily, you may later find it difficult to work with your topic. By taking your time and choosing carefully, you can ensure that this assignment is not only challenging but also rewarding. Writers understand the importance of choosing a topic that fulfills the assignment requirements and fits the assignment’s purpose and audience. (For more information about purpose and audience, see Chapter 6 “Writing Paragraphs: Separating Ideas and Shaping Content”.) Choosing a topic that interests you is also crucial. You instructor may provide a list of suggested topics or ask that you develop a topic on your own. In either case, try to identify topics that genuinely interest you. After identifying potential topic ideas, you will need to evaluate your ideas and choose one topic to pursue. Will you be able to find enough information about the topic? Can you develop a paper about this topic that presents and supports your original ideas? Is the topic too broad or too narrow for the scope of the assignment? If so, can you modify it so it is more manageable? You will ask these questions during this preliminary phase of the research process. Identifying Potential Topics Sometimes, your instructor may provide a list of suggested topics. If so, you may benefit from identifying several possibilities before committing to one idea. It is important to know how to narrow down your ideas into a concise, manageable thesis. You may also use the list as a starting point to help you identify additional, related topics. Discussing your ideas with your instructor will help ensure that you choose a manageable topic that fits the requirements of the assignment. In this chapter, you will follow a writer named Jorge, who is studying health care administration, as he prepares a research paper. You will also plan, research, and draft your own research paper. Jorge was assigned to write a research paper on health and the media for an introductory course in health care. Although a general topic was selected for the students, Jorge had to decide which specific issues interested him. He brainstormed a list of possibilities. Tip If you are writing a research paper for a specialized course, look back through your notes and course activities. Identify reading assignments and class discussions that especially engaged you. Doing so can help you identify topics to pursue. Exercise 1 Set a timer for five minutes. Use brainstorming or idea mapping to create a list of topics you would be interested in researching for a paper about the influence of the Internet on social networking. Do you closely follow the media coverage of a particular website, such as Twitter? Would you like to learn more about a certain industry, such as online dating? Which social networking sites do you and your friends use? List as many ideas related to this topic as you can. Narrowing Your Topic Once you have a list of potential topics, you will need to choose one as the focus of your essay. You will also need to narrow your topic. Most writers find that the topics they listed during brainstorming or idea mapping are broad—too broad for the scope of the assignment. Working with an overly broad topic, such as sexual education programs or popularized diets, can be frustrating and overwhelming. Each topic has so many facets that it would be impossible to cover them all in a college research paper. However, more specific choices, such as the pros and cons of sexual education in kids’ television programs or the physical effects of the South Beach diet, are specific enough to write about without being too narrow to sustain an entire research paper. A good research paper provides focused, in-depth information and analysis. If your topic is too broad, you will find it difficult to do more than skim the surface when you research it and write about it. Narrowing your focusThe process of identifying a specific angle from which to approach a broad topic in order to limit it and make it more manageable. is essential to making your topic manageable. To narrow your focus, explore your topic in writing, conduct preliminary research, and discuss both the topic and the research with others. Exploring Your Topic in Writing “How am I supposed to narrow my topic when I haven’t even begun researching yet?” In fact, you may already know more than you realize. Review your list and identify your top two or three topics. Set aside some time to explore each one through freewriting. (For more information about freewriting, see Chapter 8 “The Writing Process: How Do I Begin?”.) Simply taking the time to focus on your topic may yield fresh angles. Jorge knew that he was especially interested in the topic of diet fads, but he also knew that it was much too broad for his assignment. He used freewriting to explore his thoughts so he could narrow his topic. Read Jorge’s ideas. Conducting Preliminary Research Another way writers may focus a topic is to conduct preliminary researchResearch conducted early in the writing process for the purpose of exploring a topic and narrowing the focus.. Like freewriting, exploratory reading can help you identify interesting angles. Surfing the web and browsing through newspaper and magazine articles are good ways to start. Find out what people are saying about your topic on blogs and online discussion groups. Discussing your topic with others can also inspire you. Talk about your ideas with your classmates, your friends, or your instructor. Jorge’s freewriting exercise helped him realize that the assigned topic of health and the media intersected with a few of his interests—diet, nutrition, and obesity. Preliminary online research and discussions with his classmates strengthened his impression that many people are confused or misled by media coverage of these subjects. Jorge decided to focus his paper on a topic that had garnered a great deal of media attention—low-carbohydrate diets. He wanted to find out whether low-carbohydrate diets were as effective as their proponents claimed. Writing at Work At work, you may need to research a topic quickly to find general information. This information can be useful in understanding trends in a given industry or generating competition. For example, a company may research a competitor’s prices and use the information when pricing their own product. You may find it useful to skim a variety of reliable sources and take notes on your findings. Tip The reliability of online sources varies greatly. In this exploratory phase of your research, you do not need to evaluate sources as closely as you will later. However, use common sense as you refine your paper topic. If you read a fascinating blog comment that gives you a new idea for your paper, be sure to check out other, more reliable sources as well to make sure the idea is worth pursuing. Exercise 2 Review the list of topics you created in Note 11.18 “Exercise 1” and identify two or three topics you would like to explore further. For each of these topics, spend five to ten minutes writing about the topic without stopping. Then review your writing to identify possible areas of focus. Set aside time to conduct preliminary research about your potential topics. Then choose a topic to pursue for your research paper. Collaboration Please share your topic list with a classmate. Select one or two topics on his or her list that you would like to learn more about and return it to him or her. Discuss why you found the topics interesting, and learn which of your topics your classmate selected and why. A Plan for Research Your freewriting and preliminary research have helped you choose a focused, manageable topic for your research paper. To work with your topic successfully, you will need to determine what exactly you want to learn about it—and later, what you want to say about it. Before you begin conducting in-depth research, you will further define your focus by developing a research questionA broad, open-ended question that a writer uses to guide the research process. In the research paper, the writer attempts to answer the question thoughtfully., a working thesis, and a research proposal. Formulating a Research Question In forming a research question, you are setting a goal for your research. Your main research question should be substantial enough to form the guiding principle of your paper—but focused enough to guide your research. A strong research question requires you not only to find information but also to put together different pieces of information, interpret and analyze them, and figure out what you think. As you consider potential research questions, ask yourself whether they would be too hard or too easy to answer. To determine your research question, review the freewriting you completed earlier. Skim through books, articles, and websites and list the questions you have. (You may wish to use the 5WH strategy to help you formulate questions. See Chapter 8 “The Writing Process: How Do I Begin?” for more information about 5WH questions.) Include simple, factual questions and more complex questions that would require analysis and interpretation. Determine your main question—the primary focus of your paper—and several subquestions that you will need to research to answer your main question. Here are the research questions Jorge will use to focus his research. Notice that his main research question has no obvious, straightforward answer. Jorge will need to research his subquestions, which address narrower topics, to answer his main question. Exercise 3 Using the topic you selected in Note 11.24 “Exercise 2”, write your main research question and at least four to five subquestions. Check that your main research question is appropriately complex for your assignment. Constructing a Working ThesIs A working thesis concisely states a writer’s initial answer to the main research question. It does not merely state a fact or present a subjective opinion. Instead, it expresses a debatable idea or claim that you hope to prove through additional research. Your working thesis is called a working thesisThe first, preliminary thesis statement that a writer uses while outlining an essay. A working thesis statement may change during the writing process. for a reason—it is subject to change. As you learn more about your topic, you may change your thinking in light of your research findings. Let your working thesis serve as a guide to your research, but do not be afraid to modify it based on what you learn. Jorge began his research with a strong point of view based on his preliminary writing and research. Read his working thesis statement, which presents the point he will argue. Notice how it states Jorge’s tentative answer to his research question. Tip One way to determine your working thesis is to consider how you would complete sentences such as I believe or My opinion is. However, keep in mind that academic writing generally does not use first-person pronouns. These statements are useful starting points, but formal research papers use an objective voice. Exercise 4 Write a working thesis statement that presents your preliminary answer to the research question you wrote in Note 11.27 “Exercise 3”. Check that your working thesis statement presents an idea or claim that could be supported or refuted by evidence from research. Creating a Research Proposal A research proposalA brief document that includes a writer’s main research question, related subquestions, working thesis, and plan for gathering information. is a brief document—no more than one typed page—that summarizes the preliminary work you have completed. Your purpose in writing it is to formalize your plan for research and present it to your instructor for feedback. In your research proposal, you will present your main research question, related subquestions, and working thesis. You will also briefly discuss the value of researching this topic and indicate how you plan to gather information. When Jorge began drafting his research proposal, he realized that he had already created most of the pieces he needed. However, he knew he also had to explain how his research would be relevant to other future health care professionals. In addition, he wanted to form a general plan for doing the research and identifying potentially useful sources. Read Jorge’s research proposal. Writing at Work Before you begin a new project at work, you may have to develop a project summary document that states the purpose of the project, explains why it would be a wise use of company resources, and briefly outlines the steps involved in completing the project. This type of document is similar to a research proposal. Both documents define and limit a project, explain its value, discuss how to proceed, and identify what resources you will use. Writing Your Own Research Proposal Now you may write your own research proposal, if you have not done so already. Follow the guidelines provided in this lesson. Key Takeaways Developing a research proposal involves the following preliminary steps: identifying potential ideas, choosing ideas to explore further, choosing and narrowing a topic, formulating a research question, and developing a working thesis. A good topic for a research paper interests the writer and fulfills the requirements of the assignment. Defining and narrowing a topic helps writers conduct focused, in-depth research. Writers conduct preliminary research to identify possible topics and research questions and to develop a working thesis. A good research question interests readers, is neither too broad nor too narrow, and has no obvious answer. A good working thesis expresses a debatable idea or claim that can be supported with evidence from research. Writers create a research proposal to present their topic, main research question, subquestions, and working thesis to an instructor for approval or feedback. 11.3 Managing Your Research Project Learning Objectives Identify reasons for outlining the scope and sequence of a research project. Recognize the steps of the research writing process. Develop a plan for managing time and resources to complete the research project on time. Identify organizational tools and strategies to use in managing the project. The prewriting you have completed so far has helped you begin to plan the content of your research paper—your topic, research questions, and preliminary thesis. It is equally important to plan out the process of researching and writing the paper. Although some types of writing assignments can be completed relatively quickly, developing a good research paper is a complex process that takes time. Breaking it into manageable steps is crucial. Review the steps outlined at the beginning of this chapter. Steps to Writing a Research Paper Choose a topic. Schedule and plan time for research and writing. Conduct research. Organize research Draft your paper. Revise and edit your paper. You have already completed step 1. In this section, you will complete step 2. The remaining steps fall under two broad categories—the research phaseThe first phase of a research project in which the writer gathers and organizes information. A good rule of thumb is to allot half the available time for research. of the project (steps 3 and 4) and the writing phaseThe second phase of a research project in which the writer drafts, revises, and edits the paper. Plan to spend half the time available on this phase. (You may spend additional time if your instructor reviews your rough draft and provides feedback.) (steps 5 and 6). Both phases present challenges. Understanding the tasks involved and allowing enough time to complete each task will help you complete your research paper on time with a minimal amount of stress. Planning Your Project Each step of a research project requires time and attention. Careful planning helps ensure that you will keep your project running smoothly and produce your best work. Set up a project scheduleA document outlining the tasks involved in each step of the research project with a target date for completing each step. that shows when you will complete each step. Think about how you will complete each step and what project resourcesThe documents, tools, or people that a writer relies on to complete a research project. Examples of project resources include library databases, personal computers, style guides, and tutors. you will use. Resources may include anything from library databases and word-processing software to interview subjects and writing tutors. To develop your schedule, use a calendar and work backward from the date your final draft is due. Generally, it is wise to divide half of the available time on the research phase of the project and half on the writing phase. For example, if you have a month to work, plan for two weeks for each phase. If you have a full semester, plan to begin research early and to start writing by the middle of the term. You might think that no one really works that far ahead, but try it. You will probably be pleased with the quality of your work and with the reduction in your stress level. As you plan, break down major steps into smaller tasks if necessary. For example, step 3, conducting research, involves locating potential sources, evaluating their usefulness and reliability, reading, and taking notes. Defining these smaller tasks makes the project more manageable by giving you concrete goals to achieve. Jorge had six weeks to complete his research project. Working backward from a due date of May 2, he mapped out a schedule for completing his research by early April so that he would have ample time to write. Jorge chose to write his schedule in his weekly planner to help keep himself on track. Review Jorge’s schedule. Key target dates are shaded. Note that Jorge planned times to use available resources by visiting the library and writing center and by meeting with his instructor. Exercise 1 Working backward from the date your final draft is due, create a project schedule. You may choose to write a sequential list of tasks or record tasks on a calendar. Check your schedule to be sure that you have broken each step into smaller tasks and assigned a target completion date to each key task. Review your target dates to make sure they are realistic. Always allow a little more time than you think you will actually need. Tip Plan your schedule realistically, and consider other commitments that may sometimes take precedence. A business trip or family visit may mean that you are unable to work on the research project for a few days. Make the most of the time you have available. Plan for unexpected interruptions, but keep in mind that a short time away from the project may help you come back to it with renewed enthusiasm. Another strategy many writers find helpful is to finish each day’s work at a point when the next task is an easy one. That makes it easier to start again. Writing at Work When you create a project schedule at work, you set target dates for completing certain tasks and identify the resources you plan to use on the project. It is important to build in some flexibility. Materials may not be received on time because of a shipping delay. An employee on your team may be called away to work on a higher-priority project. Essential equipment may malfunction. You should always plan for the unexpected. Staying Organized Although setting up a schedule is easy, sticking to one is challenging. Even if you are the rare person who never procrastinates, unforeseen events may interfere with your ability to complete tasks on time. A self-imposed deadline may slip your mind despite your best intentions. Organizational tools—calendars, checklists, note cards, software, and so forth—can help you stay on track. Throughout your project, organize both your time and your resources systematically. Review your schedule frequently and check your progress. It helps to post your schedule in a place where you will see it every day. Both personal and workplace e-mail systems usually include a calendar feature where you can record tasks, arrange to receive daily reminders, and check off completed tasks. Electronic devices such as smartphones have similar features. Organize project documents in a binder or electronic folder, and label project documents and folders clearly. Use note cards or an electronic document to record bibliographical information for each source you plan to use in your paper. Tracking this information throughout the research process can save you hours of time when you create your references page. Exercise 2 Revisit the schedule you created in Note 11.42 “Exercise 1”. Transfer it into a format that will help you stay on track from day to day. You may wish to input it into your smartphone, write it in a weekly planner, post it by your desk, or have your e-mail account send you daily reminders. Consider setting up a buddy system with a classmate that will help you both stay on track. Tip Some people enjoy using the most up-to-date technology to help them stay organized. Other people prefer simple methods, such as crossing off items on a checklist. The key to staying organized is finding a system you like enough to use daily. The particulars of the method are not important as long as you are consistent. Anticipating Challenges Do any of these scenarios sound familiar? You have identified a book that would be a great resource for your project, but it is currently checked out of the library. You planned to interview a subject matter expert on your topic, but she calls to reschedule your meeting. You have begun writing your draft, but now you realize that you will need to modify your thesis and conduct additional research. Or you have finally completed your draft when your computer crashes, and days of hard work disappear in an instant. These troubling situations are all too common. No matter how carefully you plan your schedule, you may encounter a glitch or setback. Managing your project effectively means anticipating potential problems, taking steps to minimize them where possible, and allowing time in your schedule to handle any setbacks. Many times a situation becomes a problem due only to lack of planning. For example, if a book is checked out of your local library, it might be available through interlibrary loan, which usually takes a few days for the library staff to process. Alternatively, you might locate another, equally useful source. If you have allowed enough time for research, a brief delay will not become a major setback. You can manage other potential problems by staying organized and maintaining a take-charge attitude. Take a minute each day to save a backup copy of your work on a portable hard drive. Maintain detailed note cards and source cards as you conduct research—doing so will make citing sources in your draft infinitely easier. If you run into difficulties with your research or your writing, ask your instructor for help, or make an appointment with a writing tutor. Exercise 3 Identify five potential problems you might encounter in the process of researching and writing your paper. Write them on a separate sheet of paper. For each problem, write at least one strategy for solving the problem or minimizing its effect on your project. Writing at Work In the workplace, documents prepared at the beginning of a project often include a detailed plan for risk management. When you manage a project, it makes sense to anticipate and prepare for potential setbacks. For example, to roll out a new product line, a software development company must strive to complete tasks on a schedule in order to meet the new product release date. The project manager may need to adjust the project plan if one or more tasks fall behind schedule. Key Takeaways To complete a research project successfully, a writer must carefully manage each phase of the process and break major steps into smaller tasks. Writers can plan a research project by setting up a schedule based on the deadline and by identifying useful project resources. Writers stay focused by using organizational tools that suit their needs. Anticipating and planning for potential setbacks can help writers avoid those setbacks or minimize their effect on the project schedule. 11.4 Strategies for Gathering Reliable Information Learning Objectives Distinguish between primary and secondary sources. Identify strategies for locating relevant print and electronic resources efficiently. Identify instances when it is appropriate to use human sources, such as interviews or eyewitness testimony. Identify criteria for evaluating research resources. Understand why many electronic resources are not reliable. Now that you have planned your research project, you are ready to begin the research. This phase can be both exciting and challenging. As you read this section, you will learn ways to locate sources efficiently, so you have enough time to read the sources, take notes, and think about how to use the information. Of course, the technological advances of the past few decades—particularly the rise of online media—mean that, as a twenty-first-century student, you have countless sources of information available at your fingertips. But how can you tell whether a source is reliable? This section will discuss strategies for evaluating sources critically so that you can be a media-savvy researcher. In this section, you will locate and evaluate resources for your paper and begin taking notes. As you read, begin gathering print and electronic resources, identify at least eight to ten sources by the time you finish the chapter, and begin taking notes on your research findings. Locating Useful Resources When you chose a paper topic and determined your research questions, you conducted preliminary research to stimulate your thinking. Your research proposal included some general ideas for how to go about your research—for instance, interviewing an expert in the field or analyzing the content of popular magazines. You may even have identified a few potential sources. Now it is time to conduct a more focused, systematic search for informative primary and secondary sources. Using Primary and Secondary Sources Writers classify research resources in two categories: primary sources and secondary sources. Primary sources are direct, firsthand sources of information or data. For example, if you were writing a paper about the First Amendment right to freedom of speech, the text of the First Amendment in the Bill of Rights would be a primary source. Other primary sources include the following: Research articles Literary texts Historical documents such as diaries or letters Autobiographies or other personal accounts Secondary sources discuss, interpret, analyze, consolidate, or otherwise rework information from primary sources. In researching a paper about the First Amendment, you might read articles about legal cases that involved First Amendment rights, or editorials expressing commentary on the First Amendment. These sources would be considered secondary sources because they are one step removed from the primary source of information. The following are examples of secondary sources: Magazine articles Biographical books Literary and scientific reviews Television documentaries Your topic and purpose determine whether you must cite both primary and secondary sources in your paper. Ask yourself which sources are most likely to provide the information that will answer your research questions. If you are writing a research paper about reality television shows, you will need to use some reality shows as a primary source, but secondary sources, such as a reviewer’s critique, are also important. If you are writing about the health effects of nicotine, you will probably want to read the published results of scientific studies, but secondary sources, such as magazine articles discussing the outcome of a recent study, may also be helpful. Once you have thought about what kinds of sources are most likely to help you answer your research questions, you may begin your search for print and electronic resources. The challenge here is to conduct your search efficiently. Writers use strategies to help them find the sources that are most relevant and reliable while steering clear of sources that will not be useful. Finding Print Resources Print resources include a vast array of documents and publications. Regardless of your topic, you will consult some print resources as part of your research. (You will use electronic sources as well, but it is not wise to limit yourself to electronic sources only, because some potentially useful sources may be available only in print form.) Table 11.1 “Library Print Resources” lists different types of print resources available at public and university libraries. Table 11.1 Library Print Resources Resource Type Description Example(s) Reference works Reference works provide a summary of information about a particular topic. Almanacs, encyclopedias, atlases, medical reference books, and scientific abstracts are examples of reference works. In some cases, reference books may not be checked out of a library. Note that reference works are many steps removed from original primary sources and are often brief, so these should be used only as a starting point when you gather information. The World Almanac and Book of Facts 2010 Diagnostic and Statistical Manual published by the American Psychiatric Association Nonfiction books Nonfiction books provide in-depth coverage of a topic. Trade books, biographies, and how-to guides are usually written for a general audience. Scholarly books and scientific studies are usually written for an audience that has specialized knowledge of a topic. The Low-Carb Solution: A Slimmer You in 30 Days Carbohydrates, Fats and Proteins: Exploring the Relationship Between Macronutrient Ratios and Health Outcomes Periodicals and news sources These sources are published at regular intervals—daily, weekly, monthly, or quarterly. Newspapers, magazines, and academic journals are examples. Some periodicals provide articles on subjects of general interest, while others are more specialized. New York Times PC Magazine JAMA, The Journal of the American Medical Association Government publications Federal, state, and local government agencies publish information on a variety of topics. Government publications include reports, legislation, court documents, public records, statistics, studies, guides, programs, and forms. The Census 2000 Profile The Business Relocation Package published by the Philadelphia Chamber of Commerce Business and nonprofit publications Businesses and nonprofit organizations produce publications designed to market a product, provide background about the organization, provide information on topics connected to the organization, or promote a cause. These publications include reports, newsletters, advertisements, manuals, brochures, and other print documents. A company’s instruction manual explaining how to use a specific software program A news release published by the Sierra Club Some of these resources are also widely available in electronic format. In addition to the resources noted in the table, library holdings may include primary texts such as historical documents, letters, and diaries. Writing at Work Businesses, government organizations, and nonprofit organizations produce published materials that range from brief advertisements and brochures to lengthy, detailed reports. In many cases, producing these publications requires research. A corporation’s annual report may include research about economic or industry trends. A charitable organization may use information from research in materials sent to potential donors. Regardless of the industry you work in, you may be asked to assist in developing materials for publication. Often, incorporating research in these documents can make them more effective in informing or persuading readers. Tip As you gather information, strive for a balance of accessible, easy-to-read sources and more specialized, challenging sources. Relying solely on lightweight books and articles written for a general audience will drastically limit the range of useful, substantial information. On the other hand, restricting oneself to dense, scholarly works could make the process of researching extremely time-consuming and frustrating. Exercise 1 Make a list of five types of print resources you could use to find information about your research topic. Include at least one primary source. Be as specific as possible—if you have a particular resource or type of resource in mind, describe it. To find print resources efficiently, first identify the major concepts and terms you will use to conduct your search—that is, your keywords. These, along with the research questions you identified in Chapter 11 “Writing from Research: What Will I Learn?”, Section 11.2 “Steps in Developing a Research Proposal”, will help you find sources using any of the following methods: Using the library’s online catalog or card catalog Using periodicals indexes and databases Consulting a reference librarian You probably already have some keywords in mind based on your preliminary research and writing. Another way to identify useful keywords is to visit the Library of Congress’s website at http://id.loc.gov/authorities. This site allows you to search for a topic and see the related subject headings used by the Library of Congress, including broader terms, narrower terms, and related terms. Other libraries use these terms to classify materials. Knowing the most-used terms will help you speed up your keyword search. Jorge used the Library of Congress site to identify general terms he could use to find resources about low-carb dieting. His search helped him identify potentially useful keywords and related topics, such as carbohydrates in human nutrition, glycemic index, and carbohydrates—metabolism. These terms helped Jorge refine his search. Tip Knowing the right keywords can sometimes make all the difference in conducting a successful search. If you have trouble finding sources on a topic, consult a librarian to see whether you need to modify your search terms. Exercise 2 Visit the Library of Congress’s website at http://id.loc.gov/authorities and conduct searches on a few terms related to your topic. Review your search results and identify six to eight additional terms you might use when you conduct your research. Print out the search results or save the results to your research folder on your computer or portable storage device. Using Periodicals, Indexes, and Databases Library catalogs can help you locate book-length sources, as well as some types of nonprint holdings, such as CDs, DVDs, and audio books. To locate shorter sources, such as magazine and journal articles, you will need to use a periodical indexA regularly updated print publication that indexes the articles published in selected newspapers, magazines, and journals and provides publication information. or an online periodical databaseA regularly updated online database that indexes the articles published in selected newspapers, magazines, and journals and provides publication information. Databases may focus on general news publications or on specific subject areas. Usually databases provide summary information about an article; often they allow users to access the full text of an article.. These tools index the articles that appear in newspapers, magazines, and journals. Like catalogs, they provide publication information about an article and often allow users to access a summary or even the full text of the article. Print indexes may be available in the periodicals section of your library. Increasingly, libraries use online databases that users can access through the library website. A single library may provide access to multiple periodical databases. These can range from general news databases to specialized databases. Table 11.2 “Commonly Used Indexes and Databases” describes some commonly used indexes and databases. Table 11.2 Commonly Used Indexes and Databases Resource Format Contents New York Times Index Print Guide to articles published in the New York Times ProQuest Online Database that archives content from newspapers, magazines, and dissertations Psychlit, PsycINFO Online Databases that archive content from journals in psychology and psychiatry Business Source Complete Online Database that archives business-related content from magazines and journals MEDLINE, PubMed Online Databases that archive articles in medicine and health EBSCOhost Online General database that provides access to articles on a wide variety of topics Reading Popular and Scholarly Periodicals When you search for periodicals, be sure to distinguish among different types. Mass-market publications, such as newspapers and popular magazines, differ from scholarly publications in their accessibility, audience, and purpose. Newspapers and magazines are written for a broader audience than scholarly journals. Their content is usually quite accessible and easy to read. Trade magazinesMagazines that address topics relevant to a particular industry. that target readers within a particular industry may presume the reader has background knowledge, but these publications are still reader-friendly for a broader audience. Their purpose is to inform and, often, to entertain or persuade readers as well. Scholarly or academic journalsPeriodicals that address topics in a specialized field and are geared toward an audience with prior expertise in the field. are written for a much smaller and more expert audience. The creators of these publications assume that most of their readers are already familiar with the main topic of the journal. The target audience is also highly educated. Informing is the primary purpose of a scholarly journal. While a journal article may advance an agenda or advocate a position, the content will still be presented in an objective style and formal tone. Entertaining readers with breezy comments and splashy graphics is not a priority. Because of these differences, scholarly journals are more challenging to read. That doesn’t mean you should avoid them. On the contrary, they can provide in-depth information unavailable elsewhere. Because knowledgeable professionals carefully review the content before publication, scholarly journals are far more reliable than much of the information available in popular media. Seek out academic journals along with other resources. Just be prepared to spend a little more time processing the information. Writing at Work Periodicals databases are not just for students writing research papers. They also provide a valuable service to workers in various fields. The owner of a small business might use a database such as Business Source Premiere to find articles on management, finance, or trends within a particular industry. Health care professionals might consult databases such as MedLine to research a particular disease or medication. Regardless of what career path you plan to pursue, periodicals databases can be a useful tool for researching specific topics and identifying periodicals that will help you keep up with the latest news in your industry. Consulting a Reference Librarian Sifting through library stacks and database search results to find the information you need can be like trying to find a needle in a haystack. If you are not sure how you should begin your search, or if it is yielding too many or too few results, you are not alone. Many students find this process challenging, although it does get easier with experience. One way to learn better search strategies is to consult a reference librarian. Reference librarians are intimately familiar with the systems libraries use to organize and classify information. They can help you locate a particular book in the library stacks, steer you toward useful reference works, and provide tips on how to use databases and other electronic research tools. Take the time to see what resources you can find on your own, but if you encounter difficulties, ask for help. Many university librarians hold virtual office hours and are available for online chatting. Exercise 3 Visit your library’s website or consult with a reference librarian to determine what periodicals indexes or databases would be useful for your research. Depending on your topic, you may rely on a general news index, a specialized index for a particular subject area, or both. Search the catalog for your topic and related keywords. Print out or bookmark your search results. Identify at least one to two relevant periodicals, indexes, or databases. Conduct a keyword search to find potentially relevant articles on your topic. Save your search results. If the index you are using provides article summaries, read these to determine how useful the articles are likely to be. Identify at least three to five articles to review more closely. If the full article is available online, set aside time to read it. If not, plan to visit our library within the next few days to locate the articles you need. Tip One way to refine your keyword search is to use Boolean operators. These operators allow you to combine keywords, find variations on a word, and otherwise expand or limit your results. Here are some of the ways you can use Boolean operators: Combine keywords with and or + to limit results to citations that include both keywords—for example, diet + nutrition. Combine keywords with not or – to search for the first word without the second. This can help you eliminate irrelevant results based on words that are similar to your search term. For example, searching for obesity not childhood locates materials on obesity but excludes materials on childhood obesity. Enclose a phrase in quotation marks to search for an exact phrase, such as “morbid obesity.” Use parentheses to direct the order of operations in a search string. For example, since Type II diabetes is also known as adult-onset diabetes, you could search (Type II or adult-onset) and diabetes to limit your search results to articles on this form of the disease. Use a wildcard symbol such as #, ?, or $ after a word to search for variations on a term. For instance, you might type diabet# to search for information on diabetes and diabetics. The specific symbol used varies with different databases. Finding and Using Electronic Resources With the expansion of technology and media over the past few decades, a wealth of information is available to you in electronic format. Some types of resources, such as a television documentary, may only be available electronically. Other resources—for instance, many newspapers and magazines—may be available in both print and electronic form. The following are some of the electronic sources you might consult: Online databases CD-ROMs Popular web search engines Websites maintained by businesses, universities, nonprofit organizations, or government agencies Newspapers, magazines, and journals published on the web E-books Audio books Industry blogs Radio and television programs and other audio and video recordings Online discussion groups The techniques you use to locate print resources can also help you find electronic resources efficiently. Libraries usually include CD-ROMs, audio books, and audio and video recordings among their holdings. You can locate these materials in the catalog using a keyword search. The same Boolean operators used to refine database searches can help you filter your results in popular search engines. Using Internet Search Engines Efficiently When faced with the challenge of writing a research paper, some students rely on popular search engines as their first source of information. Typing a keyword or phrase into a search engine instantly pulls up links to dozens, hundreds, or even thousands of related websites—what could be easier? Unfortunately, despite its apparent convenience, this research strategy has the following drawbacks to consider: Results do not always appear in order of reliability. The first few hits that appear in search results may include sites whose content is not always reliable, such as online encyclopedias that can be edited by any user. Because websites are created by third parties, the search engine cannot tell you which sites have accurate information. Results may be too numerous for you to use. The amount of information available on the web is far greater than the amount of information housed within a particular library or database. Realistically, if your web search pulls up thousands of hits, you will not be able to visit every site—and the most useful sites may be buried deep within your search results. Search engines are not connected to the results of the search. Search engines find websites that people visit often and list the results in order of popularity. The search engine, then, is not connected to any of the results. When you cite a source found through a search engine, you do not need to cite the search engine. Only cite the source. A general web search can provide a helpful overview of a topic and may pull up genuinely useful resources. To get the most out of a search engine, however, use strategies to make your search more efficient. Use multiple keywords and Boolean operators to limit your results. Click on the Advanced Search link on the homepage to find additional options for streamlining your search. Depending on the specific search engine you use, the following options may be available: Limit results to websites that have been updated within a particular time frame. Limit results by language or country. Limit results to scholarly works available online. Limit results by file type. Limit results to a particular domain type, such as .edu (school and university sites) or .gov (government sites). This is a quick way to filter out commercial sites, which can often lead to more objective results. Use the Bookmarks or Favorites feature of your web browser to save and organize sites that look promising. Using Other Information Sources: Interviews With so many print and electronic media readily available, it is easy to overlook another valuable information resource: other people. Consider whether you could use a person or group as a primary source. For instance, you might interview a professor who has expertise in a particular subject, a worker within a particular industry, or a representative from a political organization. Interviews can be a great way to get firsthand information. To get the most out of an interview, you will need to plan ahead. Contact your subject early in the research process and explain your purpose for requesting an interview. Prepare detailed questions. Open-ended questions, rather than questions with simple yes-or-no answers, are more likely to lead to an in-depth discussion. Schedule a time to meet, and be sure to obtain your subject’s permission to record the interview. Take careful notes and be ready to ask follow-up questions based on what you learn. Tip If scheduling an in-person meeting is difficult, consider arranging a telephone interview or asking your subject to respond to your questions via e-mail. Recognize that any of these formats takes time and effort. Be prompt and courteous, avoid going over the allotted interview time, and be flexible if your subject needs to reschedule. Evaluating Research Resources As you gather sources, you will need to examine them with a critical eye. Smart researchers continually ask themselves two questions: “Is this source relevant to my purpose?” and “Is this source reliable?” The first question will help you avoid wasting valuable time reading sources that stray too far from your specific topic and research questions. The second question will help you find accurate, trustworthy sources. Determining Whether a Source Is Relevant At this point in your research process, you may have identified dozens of potential sources. It is easy for writers to get so caught up in checking out books and printing out articles that they forget to ask themselves how they will use these resources in their research. Now is a good time to get a little ruthless. Reading and taking notes takes time and energy, so you will want to focus on the most relevant sources. To weed through your stack of books and articles, skim their contents. Read quickly with your research questions and subtopics in mind. Table 11.3 “Tips for Skimming Books and Articles” explains how to skim to get a quick sense of what topics are covered. If a book or article is not especially relevant, put it aside. You can always come back to it later if you need to. Table 11.3 Tips for Skimming Books and Articles Tips for Skimming Books Tips for Skimming Articles Read the dust jacket and table of contents for a broad overview of the topics covered. Use the index to locate more specific topics and see how thoroughly they are covered. Flip through the book and look for subtitles or key terms that correspond to your research. Skim the introduction and conclusion for summary material. Skim through subheadings and text features such as sidebars. Look for keywords related to your topic. Journal articles often begin with an abstract or summary of the contents. Read it to determine the article’s relevance to your research. Determining Whether a Source Is Reliable All information sources are not created equal. Sources can vary greatly in terms of how carefully they are researched, written, edited, and reviewed for accuracy. Common sense will help you identify obviously questionable sources, such as tabloids that feature tales of alien abductions, or personal websites with glaring typos. Sometimes, however, a source’s reliability—or lack of it—is not so obvious. For more information about source reliability, see Chapter 12 “Writing a Research Paper”. To evaluate your research sources, you will use critical thinking skills consciously and deliberately. You will consider criteria such as the type of source, its intended purpose and audience, the author’s (or authors’) qualifications, the publication’s reputation, any indications of bias or hidden agendas, how current the source is, and the overall quality of the writing, thinking, and design. Evaluating Types of Sources The different types of sources you will consult are written for distinct purposes and with different audiences in mind. This accounts for other differences, such as the following: How thoroughly the writers cover a given topic How carefully the writers research and document facts How editors review the work What biases or agendas affect the content A journal article written for an academic audience for the purpose of expanding scholarship in a given field will take an approach quite different from a magazine feature written to inform a general audience. Textbooks, hard news articles, and websites approach a subject from different angles as well. To some extent, the type of source provides clues about its overall depth and reliability. Table 11.4 “Source Rankings” ranks different source types. Table 11.4 Source Rankings High-Quality Sources These sources provide the most in-depth information. They are researched and written by subject matter experts and are carefully reviewed. Scholarly books and articles in scholarly journals Trade books and magazines geared toward an educated general audience, such as Smithsonian Magazine or Nature Government documents, such as books, reports, and web pages Documents posted online by reputable organizations, such as universities and research institutes Textbooks and reference books, which are usually reliable but may not cover a topic in great depth Varied-Quality Sources These sources are often useful. However, they do not cover subjects in as much depth as high-quality sources, and they are not always rigorously researched and reviewed. Some, such as popular magazine articles or company brochures, may be written to market a product or a cause. Use them with caution. News stories and feature articles (print or online) from reputable newspapers, magazines, or organizations, such as Newsweek or the Public Broadcasting Service Popular magazine articles, which may or may not be carefully researched and fact checked Documents published by businesses and nonprofit organizations Questionable Sources These sources should be avoided. They are often written primarily to attract a large readership or present the author’s opinions and are not subject to careful review. Loosely regulated or unregulated media content, such as Internet discussion boards, blogs, free online encyclopedias, talk radio shows, television news shows with obvious political biases, personal websites, and chat rooms Tip Free online encyclopedias and wikis may seem like a great source of information. They usually appear among the first few results of a web search. They cover thousands of topics, and many articles use an informal, straightforward writing style. Unfortunately, these sites have no control system for researching, writing, and reviewing articles. Instead, they rely on a community of users to police themselves. At best, these sites can be a starting point for finding other, more trustworthy sources. Never use them as final sources. Evaluating Credibility and Reputability Even when you are using a type of source that is generally reliable, you will still need to evaluate the author’s credibility and the publication itself on an individual basis. To examine the author’s credibilityThe extent to which an author’s writing about a topic is believable or trustworthy. Writers evaluate credibility by considering the author’s professional expertise or academic qualifications on the topic.—that is, how much you can believe of what the author has to say—examine his or her credentials. What career experience or academic study shows that the author has the expertise to write about this topic? Keep in mind that expertise in one field is no guarantee of expertise in another, unrelated area. For instance, an author may have an advanced degree in physiology, but this credential is not a valid qualification for writing about psychology. Check credentials carefully. Just as important as the author’s credibility is the publication’s overall reputability. ReputabilityA publication’s established reputation as a respectable, reliable source of information. refers to a source’s standing and reputation as a respectable, reliable source of information. An established and well-known newspaper, such as the New York Times or the Wall Street Journal, is more reputable than a college newspaper put out by comparatively inexperienced students. A website that is maintained by a well-known, respected organization and regularly updated is more reputable than one created by an unknown author or group. If you are using articles from scholarly journals, you can check databases that keep count of how many times each article has been cited in other articles. This can be a rough indication of the article’s quality or, at the very least, of its influence and reputation among other scholars. Checking for Biases and Hidden Agendas Whenever you consult a source, always think carefully about the author’s or authors’ purpose in presenting the information. Few sources present facts completely objectively. In some cases, the source’s content and tone are significantly influenced by biases or hidden agendas. BiasFavoritism or prejudice toward a particular person or group. Writers critically examine research sources for biases. refers to favoritism or prejudice toward a particular person or group. For instance, an author may be biased against a certain political party and present information in a way that subtly—or not so subtly—makes that organization look bad. Bias can lead an author to present facts selectively, edit quotations to misrepresent someone’s words, and distort information. Hidden agendasGoals that are not immediately obvious but that influence the way an author presents the facts in a piece of writing. are goals that are not immediately obvious but influence how an author presents the facts. For instance, an article about the role of beef in a healthy diet would be questionable if it were written by a representative of the beef industry—or by the president of an animal-rights organization. In both cases, the author would likely have a hidden agenda. As Jorge conducted his research, he read several research studies in which scientists found significant benefits to following a low-carbohydrate diet. He also noticed that many studies were sponsored by a foundation associated with the author of a popular series of low-carbohydrate diet books. Jorge read these studies with a critical eye, knowing that a hidden agenda might be shaping the researchers’ conclusions. Using Current Sources Be sure to seek out sources that are current, or up to date. Depending on the topic, sources may become outdated relatively soon after publication, or they may remain useful for years. For instance, online social networking sites have evolved rapidly over the past few years. An article published in 2002 about this topic will not provide current information. On the other hand, a research paper on elementary education practices might refer to studies published decades ago by influential child psychologists. When using websites for research, check to see when the site was last updated. Many sites publish this information on the homepage, and some, such as news sites, are updated daily or weekly. Many nonfunctioning links are a sign that a website is not regularly updated. Do not be afraid to ask your professor for suggestions if you find that many of your most relevant sources are not especially reliable—or that the most reliable sources are not relevant. Evaluating Overall Quality by Asking Questions When you evaluate a source, you will consider the criteria previously discussed as well as your overall impressions of its quality. Read carefully, and notice how well the author presents and supports his or her statements. Stay actively engaged—do not simply accept an author’s words as truth. Ask questions to determine each source’s value. Checklist 11.1 lists ten questions to ask yourself as a critical reader. Checklist 11.1 Source Evaluation Is the type of source appropriate for my purpose? Is it a high-quality source or one that needs to be looked at more critically? Can I establish that the author is credible and the publication is reputable? Does the author support ideas with specific facts and details that are carefully documented? Is the source of the author’s information clear? (When you use secondary sources, look for sources that are not too removed from primary research.) Does the source include any factual errors or instances of faulty logic? Does the author leave out any information that I would expect to see in a discussion of this topic? Do the author’s conclusions logically follow from the evidence that is presented? Can I see how the author got from one point to another? Is the writing clear and organized, and is it free from errors, clichés, and empty buzzwords? Is the tone objective, balanced, and reasonable? (Be on the lookout for extreme, emotionally charged language.) Are there any obvious biases or agendas? Based on what I know about the author, are there likely to be any hidden agendas? Are graphics informative, useful, and easy to understand? Are websites organized, easy to navigate, and free of clutter like flashing ads and unnecessary sound effects? Is the source contradicted by information found in other sources? (If so, it is possible that your sources are presenting similar information but taking different perspectives, which requires you to think carefully about which sources you find more convincing and why. Be suspicious, however, of any source that presents facts that you cannot confirm elsewhere.) Writing at Work The critical thinking skills you use to evaluate research sources as a student are equally valuable when you conduct research on the job. If you follow certain periodicals or websites, you have probably identified publications that consistently provide reliable information. Reading blogs and online discussion groups is a great way to identify new trends and hot topics in a particular field, but these sources should not be used for substantial research. Exercise 4 Use a search engine to conduct a web search on your topic. Refer to the tips provided earlier to help you streamline your search. Evaluate your search results critically based on the criteria you have learned. Identify and bookmark one or more websites that are reliable, reputable, and likely to be useful in your research. Managing Source Information As you determine which sources you will rely on most, it is important to establish a system for keeping track of your sources and taking notes. There are several ways to go about it, and no one system is necessarily superior. What matters is that you keep materials in order; record bibliographical information you will need later; and take detailed, organized notes. Keeping Track of Your Sources Think ahead to a moment a few weeks from now, when you’ve written your research paper and are almost ready to submit it for a grade. There is just one task left—writing your list of sources. As you begin typing your list, you realize you need to include the publication information for a book you cited frequently. Unfortunately, you already returned it to the library several days ago. You do not remember the URLs for some of the websites you used or the dates you accessed them—information that also must be included in your bibliography. With a sinking feeling, you realize that finding this information and preparing your bibliography will require hours of work. This stressful scenario can be avoided. Taking time to organize source information now will ensure that you are not scrambling to find it at the last minute. Throughout your research, record bibliographical information for each source as soon as you begin using it. You may use pen-and-paper methods, such as a notebook or note cards, or maintain an electronic list. (If you prefer the latter option, many office software packages include separate programs for recording bibliographic information.) Table 11.5 “Details for Commonly Used Source Types” shows the specific details you should record for commonly used source types. Use these details to develop a working bibliographyA preliminary list of sources that a writer maintains during the research process and later uses to develop the references section in the research paper.—a preliminary list of sources that you will later use to develop the references section of your paper. You may wish to record information using the formatting system of the American Psychological Association (APA) or the Modern Language Association (MLA), which will save a step later on. (For more information on APA and MLA formatting, see Chapter 13 “APA and MLA Documentation and Formatting”.) Table 11.5 Details for Commonly Used Source Types Source Type Necessary Information Book Author(s), title and subtitle, publisher, city of publication, year of publication Essay or article published in a book Include all the information you would for any other book. Additionally, record the essay’s or article’s title, author(s), the pages on which it appears, and the name of the book’s editor(s). Periodical Author(s), article title, publication title, date of publication, volume and issue number, and page numbers Online source Author(s) (if available), article or document title, organization that sponsors the site, database name (if applicable), date of publication, date you accessed the site, and URL Interview Name of person interviewed, method of communication, date of interview Your research may involve less common types of sources not listed in Table 11.5 “Details for Commonly Used Source Types”. For additional information on citing different sources, see Chapter 13 “APA and MLA Documentation and Formatting”. Exercise 5 Create a working bibliography using the format that is most convenient for you. List at least five sources you plan to use. Continue to add sources to your working bibliography throughout the research process. Tip To make your working bibliography even more complete, you may wish to record additional details, such as a book’s call number or contact information for a person you interviewed. That way, if you need to locate a source again, you have all the information you need right at your fingertips. You may also wish to assign each source a code number to use when taking notes (1, 2, 3, or a similar system). Taking Notes Efficiently Good researchers stay focused and organized as they gather information from sources. Before you begin taking notes, take a moment to step back and think about your goal as a researcher—to find information that will help you answer your research question. When you write your paper, you will present your conclusions about the topic supported by research. That goal will determine what information you record and how you organize it. Writers sometimes get caught up in taking extensive notes, so much so that they lose sight of how their notes relate to the questions and ideas they started out with. Remember that you do not need to write down every detail from your reading. Focus on finding and recording details that will help you answer your research questions. The following strategies will help you take notes efficiently. Use Headings to Organize Ideas Whether you use old-fashioned index cards or organize your notes using word-processing software, record just one major point from each source at a time, and use a heading to summarize the information covered. Keep all your notes in one file, digital or otherwise. Doing so will help you identify connections among different pieces of information. It will also help you make connections between your notes and the research questions and subtopics you identified earlier. Know When to Summarize, Paraphrase, or Directly Quote a Source Your notes will fall under three categories—summary notes, paraphrased information, and direct quotations from your sources. Effective researchers make choices about which type of notes is most appropriate for their purpose. Summary notesNotes that condense the main ideas in a source to a few sentences or a short paragraph. A summary is considerably shorter than the original text. sum up the main ideas in a source in a few sentences or a short paragraph. A summary is considerably shorter than the original text and captures only the major ideas. Use summary notes when you do not need to record specific details but you intend to refer to broad concepts the author discusses. Paraphrased notesNotes from a source that restate a fact or idea in the writer’s own words. restate a fact or idea from a source using your own words and sentence structure. Direct quotationsIn notes, direct quotations use the exact wording found in the original source and enclose the quoted material in quotation marks. use the exact wording used by the original source and enclose the quoted material in quotation marks. It is a good strategy to copy direct quotations when an author expresses an idea in an especially lively or memorable way. However, do not rely exclusively on direct quotations in your note taking. Most of your notes should be paraphrased from the original source. Paraphrasing as you take notes is usually a better strategy than copying direct quotations, because it forces you to think through the information in your source and understand it well enough to restate it. In short, it helps you stay engaged with the material instead of simply copying and pasting. Synthesizing will help you later when you begin planning and drafting your paper. (For detailed guidelines on summarizing, paraphrasing, and quoting, see Chapter 11 “Writing from Research: What Will I Learn?”, Section 11.6 “Writing from Research: End-of-Chapter Exercises”.) Maintain Complete, Accurate Notes Regardless of the format used, any notes you take should include enough information to help you organize ideas and locate them instantly in the original text if you need to review them. Make sure your notes include the following elements: Heading summing up the main topic covered Author’s name, a source code, or an abbreviated source title Page number Full URL of any pages buried deep in a website Throughout the process of taking notes, be scrupulous about making sure you have correctly attributed each idea to its source. Always include source information so you know exactly which ideas came from which sources. Use quotation marks to set off any words for phrases taken directly from the original text. If you add your own responses and ideas, make sure they are distinct from ideas you quoted or paraphrased. Finally, make sure your notes accurately reflect the content of the original text. Make sure quoted material is copied verbatim. If you omit words from a quotation, use ellipses to show the omission and make sure the omission does not change the author’s meaning. Paraphrase ideas carefully, and check your paraphrased notes against the original text to make sure that you have restated the author’s ideas accurately in your own words. Use a System That Works for You There are several formats you can use to take notes. No technique is necessarily better than the others—it is more important to choose a format you are comfortable using. Choosing the format that works best for you will ensure your notes are organized, complete, and accurate. Consider implementing one of these formats when you begin taking notes: Use index cards. This traditional format involves writing each note on a separate index card. It takes more time than copying and pasting into an electronic document, which encourages you to be selective in choosing which ideas to record. Recording notes on separate cards makes it easy to later organize your notes according to major topics. Some writers color-code their cards to make them still more organized. Use note-taking software. Word-processing and office software packages often include different types of note-taking software. Although you may need to set aside some time to learn the software, this method combines the speed of typing with the same degree of organization associated with handwritten note cards. Maintain a research notebook. Instead of using index cards or electronic note cards, you may wish to keep a notebook or electronic folder, allotting a few pages (or one file) for each of your sources. This method makes it easy to create a separate column or section of the document where you add your responses to the information you encounter in your research. Annotate your sources. This method involves making handwritten notes in the margins of sources that you have printed or photocopied. If using electronic sources, you can make comments within the source document. For example, you might add comment boxes to a PDF version of an article. This method works best for experienced researchers who have already thought a great deal about the topic because it can be difficult to organize your notes later when starting your draft. Choose one of the methods from the list to use for taking notes. Continue gathering sources and taking notes. In the next section, you will learn strategies for organizing and synthesizing the information you have found. Key Takeaways A writer’s use of primary and secondary sources is determined by the topic and purpose of the research. Sources used may include print sources, such as books and journals; electronic sources, such as websites and articles retrieved from databases; and human sources of information, such as interviews. Strategies that help writers locate sources efficiently include conducting effective keyword searches, understanding how to use online catalogs and databases, using strategies to narrow web search results, and consulting reference librarians. Writers evaluate sources based on how relevant they are to the research question and how reliable their content is. Skimming sources can help writers determine their relevance efficiently. Writers evaluate a source’s reliability by asking questions about the type of source (including its audience and purpose); the author’s credibility, the publication’s reputability, the source’s currency, and the overall quality of the writing, research, logic, and design in the source. In their notes, effective writers record organized, complete, accurate information. This includes bibliographic information about each source as well as summarized, paraphrased, or quoted information from the source. 11.5 Critical Thinking and Research Applications Learning Objectives Analyze source materials to determine how they support or refute the working thesis. Identify connections between source materials and eliminate redundant or irrelevant source materials. Identify instances when it is appropriate to use human sources, such as interviews or eyewitness testimony. Select information from sources to begin answering the research questions. Determine an appropriate organizational structure for the research paper that uses critical analysis to connect the writer’s ideas and information taken from sources. At this point in your project, you are preparing to move from the research phase to the writing phase. You have gathered much of the information you will use, and soon you will be ready to begin writing your draft. This section helps you transition smoothly from one phase to the next. Beginning writers sometimes attempt to transform a pile of note cards into a formal research paper without any intermediary step. This approach presents problems. The writer’s original question and thesis may be buried in a flood of disconnected details taken from research sources. The first draft may present redundant or contradictory information. Worst of all, the writer’s ideas and voice may be lost. An effective research paper focuses on the writer’s ideas—from the question that sparked the research process to how the writer answers that question based on the research findings. Before beginning a draft, or even an outline, good writers pause and reflect. They ask themselves questions such as the following: How has my thinking changed based on my research? What have I learned? Was my working thesis on target? Do I need to rework my thesis based on what I have learned? How does the information in my sources mesh with my research questions and help me answer those questions? Have any additional important questions or subtopics come up that I will need to address in my paper? How do my sources complement each other? What ideas or facts recur in multiple sources? Where do my sources disagree with each other, and why? In this section, you will reflect on your research and review the information you have gathered. You will determine what you now think about your topic. You will synthesizeTo combine different elements in order to create something new. When writing a research paper, writers synthesize information to arrive at new ideas or conclusions., or put together, different pieces of information that help you answer your research questions. Finally, you will determine the organizational structure that works best for your paper and begin planning your outline. Exercise 1 Review the research questions and working thesis you developed in Chapter 11 “Writing from Research: What Will I Learn?”, Section 11.2 “Steps in Developing a Research Proposal”. Set a timer for ten minutes and write about your topic, using your questions and thesis to guide your writing. Complete this exercise without looking over your notes or sources. Base your writing on the overall impressions and concepts you have absorbed while conducting research. If additional, related questions come to mind, jot them down. Selecting Useful Information At this point in the research process, you have gathered information from a wide variety of sources. Now it is time to think about how you will use this information as a writer. When you conduct research, you keep an open mind and seek out many promising sources. You take notes on any information that looks like it might help you answer your research questions. Often, new ideas and terms come up in your reading, and these, too, find their way into your notes. You may record facts or quotations that catch your attention even if they did not seem immediately relevant to your research question. By now, you have probably amassed an impressively detailed collection of notes. You will not use all of your notes in your paper. Good researchers are thorough. They look at multiple perspectives, facts, and ideas related to their topic, and they gather a great deal of information. Effective writers, however, are selective. They determine which information is most relevant and appropriate for their purpose. They include details that develop or explain their ideas—and they leave out details that do not. The writer, not the pile of notes, is the controlling force. The writer shapes the content of the research paper. While working through Chapter 11 “Writing from Research: What Will I Learn?”, Section 11.4 “Strategies for Gathering Reliable Information”, you used strategies to filter out unreliable or irrelevant sources and details. Now you will apply your critical-thinking skills to the information you recorded—analyzing how it is relevant, determining how it meshes with your ideas, and finding how it forms connections and patterns. Writing at Work When you create workplace documents based on research, selectivity remains important. A project team may spend months conducting market surveys to prepare for rolling out a new product, but few managers have time to read the research in its entirety. Most employees want the research distilled into a few well-supported points. Focused, concise writing is highly valued in the workplace. Identify Information That Supports Your Thesis In Note 11.81 “Exercise 1”, you revisited your research questions and working thesis. The process of writing informally helped you see how you might begin to pull together what you have learned from your research. Do not feel anxious, however, if you still have trouble seeing the big picture. Systematically looking through your notes will help you. Begin by identifying the notes that clearly support your thesis. Mark or group these, either physically or using the cut-and-paste function in your word-processing program. As you identify the crucial details that support your thesis, make sure you analyze them critically. Ask the following questions to focus your thinking: Is this detail from a reliable, high-quality source? Is it appropriate for me to cite this source in an academic paper? The bulk of the support for your thesis should come from reliable, reputable sources. If most of the details that support your thesis are from less-reliable sources, you may need to do additional research or modify your thesis. Is the link between this information and my thesis obvious—or will I need to explain it to my readers? Remember, you have spent more time thinking and reading about this topic than your audience. Some connections might be obvious to both you and your readers. More often, however, you will need to provide the analysis or explanation that shows how the information supports your thesis. As you read through your notes, jot down ideas you have for making those connections clear. What personal biases or experiences might affect the way I interpret this information? No researcher is 100 percent objective. We all have personal opinions and experiences that influence our reactions to what we read and learn. Good researchers are aware of this human tendency. They keep an open mind when they read opinions or facts that contradict their beliefs. Tip It can be tempting to ignore information that does not support your thesis or that contradicts it outright. However, such information is important. At the very least, it gives you a sense of what has been written about the issue. More importantly, it can help you question and refine your own thinking so that writing your research paper is a true learning process. Find Connections between Your Sources As you find connections between your ideas and information in your sources, also look for information that connects your sources. Do most sources seem to agree on a particular idea? Are some facts mentioned repeatedly in many different sources? What key terms or major concepts come up in most of your sources regardless of whether the sources agree on the finer points? Identifying these connections will help you identify important ideas to discuss in your paper. Look for subtler ways your sources complement one another, too. Does one author refer to another’s book or article? How do sources that are more recent build upon the ideas developed in earlier sources? Be aware of any redundancies in your sources. If you have amassed solid support from a reputable source, such as a scholarly journal, there is no need to cite the same facts from an online encyclopedia article that is many steps removed from any primary research. If a given source adds nothing new to your discussion and you can cite a stronger source for the same information, use the stronger source. Determine how you will address any contradictions found among different sources. For instance, if one source cites a startling fact that you cannot confirm anywhere else, it is safe to dismiss the information as unreliable. However, if you find significant disagreements among reliable sources, you will need to review them and evaluate each source. Which source presents a sounder argument or more solid evidence? It is up to you to determine which source is the most credible and why. Finally, do not ignore any information simply because it does not support your thesis. Carefully consider how that information fits into the big picture of your research. You may decide that the source is unreliable or the information is not relevant, or you may decide that it is an important point you need to bring up. What matters is that you give it careful consideration. As Jorge reviewed his research, he realized that some of the information was not especially useful for his purpose. His notes included several statements about the relationship between soft drinks that are high in sugar and childhood obesity—a subtopic that was too far outside of the main focus of the paper. Jorge decided to cut this material. Reevaluate Your Working Thesis A careful analysis of your notes will help you reevaluate your working thesis and determine whether you need to revise it. Remember that your working thesis was the starting point—not necessarily the end point—of your research. You should revise your working thesis if your ideas changed based on what you read. Even if your sources generally confirmed your preliminary thinking on the topic, it is still a good idea to tweak the wording of your thesis to incorporate the specific details you learned from research. Jorge realized that his working thesis oversimplified the issues. He still believed that the media was exaggerating the benefits of low-carb diets. However, his research led him to conclude that these diets did have some advantages. Read Jorge’s revised thesis. Synthesizing and Organizing Information By now your thinking on your topic is taking shape. You have a sense of what major ideas to address in your paper, what points you can easily support, and what questions or subtopics might need a little more thought. In short, you have begun the process of synthesizing information—that is, of putting the pieces together into a coherent whole. It is normal to find this part of the process a little difficult. Some questions or concepts may still be unclear to you. You may not yet know how you will tie all of your research together. Synthesizing information is a complex, demanding mental task, and even experienced researchers struggle with it at times. A little uncertainty is often a good sign! It means you are challenging yourself to work thoughtfully with your topic instead of simply restating the same information. Use Your Research Questions to Synthesize Information You have already considered how your notes fit with your working thesis. Now, take your synthesis a step further. Analyze how your notes relate to your major research question and the subquestions you identified in Chapter 11 “Writing from Research: What Will I Learn?”, Section 11.2 “Steps in Developing a Research Proposal”. Organize your notes with headings that correspond to those questions. As you proceed, you might identify some important subtopics that were not part of your original plan, or you might decide that some questions are not relevant to your paper. Categorize information carefully and continue to think critically about the material. Ask yourself whether the sources are reliable and whether the connections between ideas are clear. Remember, your ideas and conclusions will shape the paper. They are the glue that holds the rest of the content together. As you work, begin jotting down the big ideas you will use to connect the dots for your reader. (If you are not sure where to begin, try answering your major research question and subquestions. Add and answer new questions as appropriate.) You might record these big ideas on sticky notes or type and highlight them within an electronic document. Jorge looked back on the list of research questions that he had written down earlier. He changed a few to match his new thesis, and he began a rough outline for his paper. Exercise 2 Review your research questions and working thesis again. This time, keep them nearby as you review your research notes. Identify information that supports your working thesis. Identify details that call your thesis into question. Determine whether you need to modify your thesis. Use your research questions to identify key ideas in your paper. Begin categorizing your notes according to which topics are addressed. (You may find yourself adding important topics or deleting unimportant ones as you proceed.) Write out your revised thesis and at least two or three big ideas. You may be wondering how your ideas are supposed to shape the paper, especially since you are writing a research paper based on your research. Integrating your ideas and your information from research is a complex process, and sometimes it can be difficult to separate the two. Some paragraphs in your paper will consist mostly of details from your research. That is fine, as long as you explain what those details mean or how they are linked. You should also include sentences and transitions that show the relationship between different facts from your research by grouping related ideas or pointing out connections or contrasts. The result is that you are not simply presenting information; you are synthesizing, analyzing, and interpreting it. Plan How to Organize Your Paper The final step to complete before beginning your draft is to choose an organizational structure. For some assignments, this may be determined by the instructor’s requirements. For instance, if you are asked to explore the impact of a new communications device, a cause-and-effect structure is obviously appropriate. In other cases, you will need to determine the structure based on what suits your topic and purpose. For more information about the structures used in writing, see Chapter 10 “Rhetorical Modes”. The purpose of Jorge’s paper was primarily to persuade. With that in mind, he planned the following outline. Exercise 3 Review the organizational structures discussed in this section and Chapter 10 “Rhetorical Modes”. Working with the notes you organized earlier, follow these steps to begin planning how to organize your paper. Create an outline that includes your thesis, major subtopics, and supporting points. The major headings in your outline will become sections or paragraphs in your paper. Remember that your ideas should form the backbone of the paper. For each major section of your outline, write out a topic sentence stating the main point you will make in that section. As you complete step 2, you may find that some points are too complex to explain in a sentence. Consider whether any major sections of your outline need to be broken up and jot down additional topic sentences as needed. Review your notes and determine how the different pieces of information fit into your outline as supporting points. Collaboration Please share the outline you created with a classmate. Examine your classmate’s outline and see if any questions come to mind or if you see any area that would benefit from an additional point or clarification. Return the outlines to each other and compare observations. Writing at Work The structures described in this section and Chapter 10 “Rhetorical Modes” can also help you organize information in different types of workplace documents. For instance, medical incident reports and police reports follow a chronological structure. If the company must choose between two vendors to provide a service, you might write an e-mail to your supervisor comparing and contrasting the choices. Understanding when and how to use each organizational structure can help you write workplace documents efficiently and effectively. Key Takeaways An effective research paper focuses on presenting the writer’s ideas using information from research as support. Effective writers spend time reviewing, synthesizing, and organizing their research notes before they begin drafting a research paper. It is important for writers to revisit their research questions and working thesis as they transition from the research phase to the writing phrase of a project. Usually, the working thesis will need at least minor adjustments. To organize a research paper, writers choose a structure that is appropriate for the topic and purpose. Longer papers may make use of more than one structure. 11.6 Writing from Research: End-of-Chapter Exercises Exercises In this chapter, you learned strategies for generating and narrowing a topic for a research paper. Review the following list of five general topics. Use freewriting and preliminary research to narrow three of these topics to manageable size for a five- to seven-page research paper. Save your list of topics in a print or electronic file, and add to it periodically as you identify additional areas of interest. Illegal immigration in the United States Bias in the media The role of religion in educational systems The possibility of life in outer space Modern-day slavery around the world Working with one of the topics you have identified, use the research skills you learned in this chapter to locate three to five potentially useful print or electronic sources of information about the topic. Create a list that includes the following: One subject-specific periodicals database likely to include relevant articles on your topic Two articles about your topic written for an educated general audience At least one article about your topic written for an audience with specialized knowledge Organize your list of resources into primary and secondary sources. What makes them such? Pick one primary source and one secondary source and write a sentence or two summarizing the information that they provide. Then answer these questions: What type of primary source did you choose? Who wrote it, and why? Do you think this source provides accurate information, or is it biased in some way? Where did the information in the secondary source come from? Was the author citing an initial study, piece of literature, or work of art? Where could you find the primary source? Chapter 10: Rhetorical Modes 10.1 Narration Learning Objectives Determine the purpose and structure of narrative writing. Understand how to write a narrative essay. Rhetorical modesThe ways in which we can effectively communicate through language. simply mean the ways in which we can effectively communicate through language. This chapter covers nine common rhetorical modes. As you read about these nine modes, keep in mind that the rhetorical mode a writer chooses depends on his or her purpose for writing. Sometimes writers incorporate a variety of modes in any one essay. In covering the nine modes, this chapter also emphasizes the rhetorical modes as a set of tools that will allow you greater flexibility and effectiveness in communicating with your audience and expressing your ideas. The Purpose of Narrative Writing Narration means the art of storytelling, and the purpose of narrative writingThe art of telling stories. is to tell stories. Any time you tell a story to a friend or family member about an event or incident in your day, you engage in a form of narration. In addition, a narrative can be factual or fictional. A factual storyA story based on—and faithful to—actual events as they happened in real life. is one that is based on, and tries to be faithful to, actual events as they unfolded in real life. A fictional storyA made-up, or imagined, story. is a made-up, or imagined, story; the writer of a fictional story can create characters and events as he or she sees fit. The big distinction between factual and fictional narratives is based on a writer’s purpose. The writers of factual stories try to recount events as they actually happened, but writers of fictional stories can depart from real people and events because the writers’ intents are not to retell a real-life event. Biographies and memoirs are examples of factual stories, whereas novels and short stories are examples of fictional stories. Tip Because the line between fact and fiction can often blur, it is helpful to understand what your purpose is from the beginning. Is it important that you recount history, either your own or someone else’s? Or does your interest lie in reshaping the world in your own image—either how you would like to see it or how you imagine it could be? Your answers will go a long way in shaping the stories you tell. Ultimately, whether the story is fact or fiction, narrative writing tries to relay a series of events in an emotionally engaging way. You want your audience to be moved by your story, which could mean through laughter, sympathy, fear, anger, and so on. The more clearly you tell your story, the more emotionally engaged your audience is likely to be. Exercise 1 On a separate sheet of paper, start brainstorming ideas for a narrative. First, decide whether you want to write a factual or fictional story. Then, freewrite for five minutes. Be sure to use all five minutes, and keep writing the entire time. Do not stop and think about what to write. The following are some topics to consider as you get going: Childhood School Adventure Work Love Family Friends Vacation Nature Space The Structure of a Narrative Essay Major narrative events are most often conveyed in chronological orderA method of organization that arranges ideas according to time., the order in which events unfold from first to last. Stories typically have a beginning, a middle, and an end, and these events are typically organized by time. Certain transitional words and phrases aid in keeping the reader oriented in the sequencing of a story. Some of these phrases are listed in Table 10.1 “Transition Words and Phrases for Expressing Time”. For more information about chronological order, see Chapter 8 “The Writing Process: How Do I Begin?” and Chapter 9 “Writing Essays: From Start to Finish”. Table 10.1 Transition Words and Phrases for Expressing Time after/afterward as soon as at last before currently during eventually meanwhile next now since soon finally later still then until when/whenever while first, second, third The following are the other basic components of a narrative: PlotThe events as they unfold in sequence.. The events as they unfold in sequence. CharactersThe people who inhabit the story and move it forward.. The people who inhabit the story and move it forward. Typically, there are minor characters and main characters. The minor characters generally play supporting roles to the main character, or the protagonistThe main character of a narrative.. ConflictThe primary problem or obstacle that unfolds in the plot that the protagonist must resolve.. The primary problem or obstacle that unfolds in the plot that the protagonist must solve or overcome by the end of the narrative. The way in which the protagonist resolves the conflict of the plot results in the theme of the narrative. ThemeThe ultimate message a narrative is trying to express; it can be either explicit or implicit.. The ultimate message the narrative is trying to express; it can be either explicit or implicit. Writing at Work When interviewing candidates for jobs, employers often ask about conflicts or problems a potential employee has had to overcome. They are asking for a compelling personal narrative. To prepare for this question in a job interview, write out a scenario using the narrative mode structure. This will allow you to troubleshoot rough spots, as well as better understand your own personal history. Both processes will make your story better and your self-presentation better, too. Exercise 2 Take your freewriting exercise from the last section and start crafting it chronologically into a rough plot summary. To read more about a summary, see Chapter 6 “Writing Paragraphs: Separating Ideas and Shaping Content”. Be sure to use the time transition words and phrases listed in Table 10.1 “Transition Words and Phrases for Expressing Time” to sequence the events. Collaboration Please share with a classmate and compare your rough plot summary. Writing a Narrative Essay When writing a narrative essay, start by asking yourself if you want to write a factual or fictional story. Then freewrite about topics that are of general interest to you. For more information about freewriting, see Chapter 8 “The Writing Process: How Do I Begin?”. Once you have a general idea of what you will be writing about, you should sketch out the major events of the story that will compose your plot. Typically, these events will be revealed chronologically and climax at a central conflict that must be resolved by the end of the story. The use of strong details is crucial as you describe the events and characters in your narrative. You want the reader to emotionally engage with the world that you create in writing. Tip To create strong details, keep the human senses in mind. You want your reader to be immersed in the world that you create, so focus on details related to sight, sound, smell, taste, and touch as you describe people, places, and events in your narrative. As always, it is important to start with a strong introduction to hook your reader into wanting to read more. Try opening the essay with an event that is interesting to introduce the story and get it going. Finally, your conclusion should help resolve the central conflict of the story and impress upon your reader the ultimate theme of the piece. See Chapter 15 “Readings: Examples of Essays” to read a sample narrative essay. Exercise 3 On a separate sheet of paper, add two or three paragraphs to the plot summary you started in the last section. Describe in detail the main character and the setting of the first scene. Try to use all five senses in your descriptions. Key Takeaways Narration is the art of storytelling. Narratives can be either factual or fictional. In either case, narratives should emotionally engage the reader. Most narratives are composed of major events sequenced in chronological order. Time transition words and phrases are used to orient the reader in the sequence of a narrative. The four basic components to all narratives are plot, character, conflict, and theme. The use of sensory details is crucial to emotionally engaging the reader. A strong introduction is important to hook the reader. A strong conclusion should add resolution to the conflict and evoke the narrative’s theme. 10.2 Illustration Learning Objectives Determine the purpose and structure of the illustration essay. Understand how to write an illustration essay. The Purpose of Illustration in Writing To illustrate means to show or demonstrate something clearly. An effective illustration essayAn essay that clearly demonstrates and supports a point through the use of evidence. clearly demonstrates and supports a point through the use of evidence. As you learned in Chapter 9 “Writing Essays: From Start to Finish”, the controlling idea of an essay is called a thesisA sentence that presents the controlling idea of an essay. A thesis statement is often one sentence long, and it states the writer’s point of view.. A writer can use different types of evidence to support his or her thesis. Using scientific studies, experts in a particular field, statistics, historical events, current events, analogies, and personal anecdotes are all ways in which a writer can illustrate a thesis. Ultimately, you want the evidence to help the reader “see” your point, as one would see a good illustration in a magazine or on a website. The stronger your evidence is, the more clearly the reader will consider your point. Using evidence effectively can be challenging, though. The evidence you choose will usually depend on your subject and who your reader is (your audience). When writing an illustration essay, keep in mind the following: Use evidence that is appropriate to your topic as well as appropriate for your audience. Assess how much evidence you need to adequately explain your point depending on the complexity of the subject and the knowledge of your audience regarding that subject. For example, if you were writing about a new communication software and your audience was a group of English-major undergrads, you might want to use an analogy or a personal story to illustrate how the software worked. You might also choose to add a few more pieces of evidence to make sure the audience understands your point. However, if you were writing about the same subject and you audience members were information technology (IT) specialists, you would likely use more technical evidence because they would be familiar with the subject. Keeping in mind your subject in relation to your audience will increase your chances of effectively illustrating your point. Tip You never want to insult your readers’ intelligence by overexplaining concepts the audience members may already be familiar with, but it may be necessary to clearly articulate your point. When in doubt, add an extra example to illustrate your idea. Exercise 1 On a separate piece of paper, form a thesis based on each of the following three topics. Then list the types of evidence that would best explain your point for each of the two audiences. Topic: Combat and mental health Audience: family members of veterans, doctors Topic: Video games and teen violence Audience: parents, children Topic: Architecture and earthquakes Audience: engineers, local townspeople The Structure of an Illustration Essay The controlling idea, or thesis, belongs at the beginning of the essay. Evidence is then presented in the essay’s body paragraphs to support the thesis. You can start supporting your main point with your strongest evidence first, or you can start with evidence of lesser importance and have the essay build to increasingly stronger evidence. This type of organization—order of importanceA method of organization that arranges ideas according to their significance.—you learned about in Chapter 8 “The Writing Process: How Do I Begin?” and Chapter 9 “Writing Essays: From Start to Finish”. The time transition words listed in Table 10.1 “Transition Words and Phrases for Expressing Time” are also helpful in ordering the presentation of evidence. Words like first, second, third, currently, next, and finally all help orient the reader and sequence evidence clearly. Because an illustration essay uses so many examples, it is also helpful to have a list of words and phrases to present each piece of evidence. Table 10.2 “Phrases of Illustration” provides a list of phrases for illustration. Table 10.2 Phrases of Illustration case in point for example for instance in particular in this case one example/another example specifically to illustrate Tip Vary the phrases of illustration you use. Do not rely on just one. Variety in choice of words and phrasing is critical when trying to keep readers engaged in your writing and your ideas. Writing at Work In the workplace, it is often helpful to keep the phrases of illustration in mind as a way to incorporate them whenever you can. Whether you are writing out directives that colleagues will have to follow or requesting a new product or service from another company, making a conscious effort to incorporate a phrase of illustration will force you to provide examples of what you mean. Exercise 2 On a separate sheet of paper, form a thesis based on one of the following topics. Then support that thesis with three pieces of evidence. Make sure to use a different phrase of illustration to introduce each piece of evidence you choose. Cooking Baseball Work hours Exercise Traffic Collaboration Please share with a classmate and compare your answers. Discuss which topic you like the best or would like to learn more about. Indicate which thesis statement you perceive as the most effective. Writing an Illustration Essay First, decide on a topic that you feel interested in writing about. Then create an interesting introduction to engage the reader. The main point, or thesis, should be stated at the end of the introduction. Gather evidence that is appropriate to both your subject and your audience. You can order the evidence in terms of importance, either from least important to most important or from most important to least important. Be sure to fully explain all of your examples using strong, clear supporting details. See Chapter 15 “Readings: Examples of Essays” to read a sample illustration essay. Exercise 3 On a separate sheet of paper, write a five-paragraph illustration essay. You can choose one of the topics from Note 10.23 “Exercise 1” or Note 10.27 “Exercise 2”, or you can choose your own. Key Takeaways An illustration essay clearly explains a main point using evidence. When choosing evidence, always gauge whether the evidence is appropriate for the subject as well as the audience. Organize the evidence in terms of importance, either from least important to most important or from most important to least important. Use time transitions to order evidence. Use phrases of illustration to call out examples. 10.3 Description Learning Objectives Determine the purpose and structure of the description essay. Understand how to write a description essay. The Purpose of Description in Writing Writers use description in writing to make sure that their audience is fully immersed in the words on the page. This requires a concerted effort by the writer to describe his or her world through the use of sensory details. As mentioned earlier in this chapter, sensory detailsDescriptions that appeal to our sense of sight, sound, smell, taste, and touch. are descriptions that appeal to our sense of sight, sound, smell, taste, and touch. Your descriptions should try to focus on the five senses because we all rely on these senses to experience the world. The use of sensory details, then, provides you the greatest possibility of relating to your audience and thus engaging them in your writing, making descriptive writing important not only during your education but also during everyday situations. Tip Avoid empty descriptors if possible. Empty descriptors are adjectives that can mean different things to different people. Good, beautiful, terrific, and nice are examples. The use of such words in descriptions can lead to misreads and confusion. A good day, for instance, can mean far different things depending on one’s age, personality, or tastes. Writing at Work Whether you are presenting a new product or service to a client, training new employees, or brainstorming ideas with colleagues, the use of clear, evocative detail is crucial. Make an effort to use details that express your thoughts in a way that will register with others. Sharp, concise details are always impressive. Exercise 1 On a separate sheet of paper, describe the following five items in a short paragraph. Use at least three of the five senses for each description. Night Beach City Dinner Stranger The Structure of a Description Essay Description essaysEssays that typically describe a person, a place, or an object using sensory details. typically describe a person, a place, or an object using sensory details. The structure of a descriptive essay is more flexible than in some of the other rhetorical modes. The introduction of a description essay should set up the tone and point of the essay. The thesis should convey the writer’s overall impression of the person, place, or object described in the body paragraphs. The organization of the essay may best follow spatial orderA method of organization that arranges ideas according to physical characteristics or appearance., an arrangement of ideas according to physical characteristics or appearance. Depending on what the writer describes, the organization could move from top to bottom, left to right, near to far, warm to cold, frightening to inviting, and so on. For example, if the subject were a client’s kitchen in the midst of renovation, you might start at one side of the room and move slowly across to the other end, describing appliances, cabinetry, and so on. Or you might choose to start with older remnants of the kitchen and progress to the new installations. Maybe start with the floor and move up toward the ceiling. Exercise 2 On a separate sheet of paper, choose an organizing strategy and then execute it in a short paragraph for three of the following six items: Train station Your office Your car A coffee shop Lobby of a movie theater Mystery Option* *Choose an object to describe but do not indicate it. Describe it, but preserve the mystery. Writing a Description Essay Choosing a subject is the first step in writing a description essay. Once you have chosen the person, place, or object you want to describe, your challenge is to write an effective thesis statement to guide your essay. The remainder of your essay describes your subject in a way that best expresses your thesis. Remember, you should have a strong sense of how you will organize your essay. Choose a strategy and stick to it. Every part of your essay should use vivid sensory details. The more you can appeal to your readers’ senses, the more they will be engaged in your essay. See Chapter 15 “Readings: Examples of Essays” to read a sample description essay. Exercise 3 On a separate sheet of paper, choose one of the topics that you started in Note 10.37 “Exercise 2”, and expand it into a five-paragraph essay. Expanding on ideas in greater detail can be difficult. Sometimes it is helpful to look closely at each of the sentences in a summary paragraph. Those sentences can often serve as topic sentences to larger paragraphs. Mystery Option: Here is an opportunity to collaborate. Please share with a classmate and compare your thoughts on the mystery descriptions. Did your classmate correctly guess your mystery topic? If not, how could you provide more detail to describe it and lead them to the correct conclusion? Key Takeaways Description essays should describe something vividly to the reader using strong sensory details. Sensory details appeal to the five human senses: sight, sound, smell, taste, and touch. A description essay should start with the writer’s main impression of a person, a place, or an object. Use spatial order to organize your descriptive writing. 10.4 Classification Learning Objectives Determine the purpose and structure of the classification essay. Understand how to write a classification essay. The Purpose of Classification in Writing The purpose of classificationTo break down a subject into smaller, more manageable, more specific parts. is to break down broad subjects into smaller, more manageable, more specific parts. We classify things in our daily lives all the time, often without even thinking about it. Cell phones, for example, have now become part of a broad category. They can be classified as feature phones, media phones, and smartphones. Smaller categories, and the way in which these categories are created, help us make sense of the world. Keep both of these elements in mind when writing a classification essay. Tip Choose topics that you know well when writing classification essays. The more you know about a topic, the more you can break it into smaller, more interesting parts. Adding interest and insight will enhance your classification essays. Exercise 1 On a separate sheet of paper, break the following categories into smaller classifications. The United States Colleges and universities Beverages Fashion The Structure of a Classification Essay The classification essay opens with an introductory paragraph that introduces the broader topic. The thesis should then explain how that topic is divided into subgroups and why. Take the following introductory paragraph, for example: When people think of New York, they often think of only New York City. But New York is actually a diverse state with a full range of activities to do, sights to see, and cultures to explore. In order to better understand the diversity of New York state, it is helpful to break it into these five separate regions: Long Island, New York City, Western New York, Central New York, and Northern New York. The underlined thesis explains not only the category and subcategory but also the rationale for breaking it into those categories. Through this classification essay, the writer hopes to show his or her readers a different way of considering the state. Each body paragraph of a classification essay is dedicated to fully illustrating each of the subcategories. In the previous example, then, each region of New York would have its own paragraph. The conclusion should bring all the categories and subcategories back together again to show the reader the big picture. In the previous example, the conclusion might explain how the various sights and activities of each region of New York add to its diversity and complexity. Tip To avoid settling for an overly simplistic classification, make sure you break down any given topic at least three different ways. This will help you think outside the box and perhaps even learn something entirely new about a subject. Exercise 2 Using your classifications from Note 10.43 “Exercise 1”, write a brief paragraph explaining why you chose to organize each main category in the way that you did. Writing a Classification Essay Start with an engaging opening that will adequately introduce the general topic that you will be dividing into smaller subcategories. Your thesis should come at the end of your introduction. It should include the topic, your subtopics, and the reason you are choosing to break down the topic in the way that you are. Use the following classification thesis equation: topic + subtopics + rationale for the subtopics = thesis. The organizing strategy of a classification essay is dictated by the initial topic and the subsequent subtopics. Each body paragraph is dedicated to fully illustrating each of the subtopics. In a way, coming up with a strong topic pays double rewards in a classification essay. Not only do you have a good topic, but you also have a solid organizational structure within which to write. Be sure you use strong details and explanations for each subcategory paragraph that help explain and support your thesis. Also, be sure to give examples to illustrate your points. Finally, write a conclusion that links all the subgroups together again. The conclusion should successfully wrap up your essay by connecting it to your topic initially discussed in the introduction. See Chapter 15 “Readings: Examples of Essays” to read a sample classification essay. Exercise 3 Building on Note 10.43 “Exercise 1” and Note 10.46 “Exercise 2”, write a five-paragraph classification essay about one of the four original topics. In your thesis, make sure to include the topic, subtopics, and rationale for your breakdown. And make sure that your essay is organized into paragraphs that each describes a subtopic. Key Takeaways The purpose of classification is to break a subject into smaller, more manageable, more specific parts. Smaller subcategories help us make sense of the world, and the way in which these subcategories are created also helps us make sense of the world. A classification essay is organized by its subcategories. 10.5 Process Analysis Learning Objectives Determine the purpose and structure of the process analysis essay. Understand how to write a process analysis essay. The Purpose of Process Analysis in Writing The purpose of a process analysis essayAn essay that explains how to do something, how something works, or both. is to explain how to do something or how something works. In either case, the formula for a process analysis essay remains the same. The process is articulated into clear, definitive steps. Almost everything we do involves following a step-by-step process. From riding a bike as children to learning various jobs as adults, we initially needed instructions to effectively execute the task. Likewise, we have likely had to instruct others, so we know how important good directions are—and how frustrating it is when they are poorly put together. Writing at Work The next time you have to explain a process to someone at work, be mindful of how clearly you articulate each step. Strong communication skills are critical for workplace satisfaction and advancement. Effective process analysis plays a critical role in developing that skill set. Exercise 1 On a separate sheet of paper, make a bulleted list of all the steps that you feel would be required to clearly illustrate three of the following four processes: Tying a shoelace Parallel parking Planning a successful first date Being an effective communicator The Structure of a Process Analysis Essay The process analysis essay opens with a discussion of the process and a thesis statement that states the goal of the process. The organization of a process analysis essay typically follows chronological order. The steps of the process are conveyed in the order in which they usually occur. Body paragraphs will be constructed based on these steps. If a particular step is complicated and needs a lot of explaining, then it will likely take up a paragraph on its own. But if a series of simple steps is easier to understand, then the steps can be grouped into a single paragraph. The time transition phrases covered in the Narration and Illustration sections are also helpful in organizing process analysis essays (see Table 10.1 “Transition Words and Phrases for Expressing Time” and Table 10.2 “Phrases of Illustration”). Words such as first, second, third, next, and finally are helpful cues to orient reader and organize the content of essay. Tip Always have someone else read your process analysis to make sure it makes sense. Once we get too close to a subject, it is difficult to determine how clearly an idea is coming across. Having a friend or coworker read it over will serve as a good way to troubleshoot any confusing spots. Exercise 2 Choose two of the lists you created in Note 10.52 “Exercise 1” and start writing out the processes in paragraph form. Try to construct paragraphs based on the complexity of each step. For complicated steps, dedicate an entire paragraph. If less complicated steps fall in succession, group them into a single paragraph. Writing a Process Analysis Essay Choose a topic that is interesting, is relatively complex, and can be explained in a series of steps. As with other rhetorical writing modes, choose a process that you know well so that you can more easily describe the finer details about each step in the process. Your thesis statement should come at the end of your introduction, and it should state the final outcome of the process you are describing. Body paragraphs are composed of the steps in the process. Each step should be expressed using strong details and clear examples. Use time transition phrases to help organize steps in the process and to orient readers. The conclusion should thoroughly describe the result of the process described in the body paragraphs. See Chapter 15 “Readings: Examples of Essays” to read an example of a process analysis essay. Exercise 3 Choose one of the expanded lists from Note 10.54 “Exercise 2”. Construct a full process analysis essay from the work you have already done. That means adding an engaging introduction, a clear thesis, time transition phrases, body paragraphs, and a solid conclusion. Key Takeaways A process analysis essay explains how to do something, how something works, or both. The process analysis essay opens with a discussion of the process and a thesis statement that states the outcome of the process. The organization of a process analysis essay typically follows a chronological sequence. Time transition phrases are particularly helpful in process analysis essays to organize steps and orient reader. 10.6 Definition Learning Objectives Determine the purpose and structure of the definition essay. Understand how to write a definition essay. The Purpose of Definition in Writing The purpose of a definition essay may seem self-explanatory: the purpose of the definition essay is to simply define something. But defining terms in writing is often more complicated than just consulting a dictionary. In fact, the way we define terms can have far-reaching consequences for individuals as well as collective groups. Take, for example, a word like alcoholism. The way in which one defines alcoholism depends on its legal, moral, and medical contexts. Lawyers may define alcoholism in terms of its legality; parents may define alcoholism in terms of its morality; and doctors will define alcoholism in terms of symptoms and diagnostic criteria. Think also of terms that people tend to debate in our broader culture. How we define words, such as marriage and climate change, has enormous impact on policy decisions and even on daily decisions. Think about conversations couples may have in which words like commitment, respect, or love need clarification. Defining terms within a relationship, or any other context, can at first be difficult, but once a definition is established between two people or a group of people, it is easier to have productive dialogues. Definitions, then, establish the way in which people communicate ideas. They set parameters for a given discourse, which is why they are so important. Tip When writing definition essays, avoid terms that are too simple, that lack complexity. Think in terms of concepts, such as hero, immigration, or loyalty, rather than physical objects. Definitions of concepts, rather than objects, are often fluid and contentious, making for a more effective definition essay. Writing at Work Definitions play a critical role in all workplace environments. Take the term sexual harassment, for example. Sexual harassment is broadly defined on the federal level, but each company may have additional criteria that define it further. Knowing how your workplace defines and treats all sexual harassment allegations is important. Think, too, about how your company defines lateness, productivity, or contributions. Exercise 1 On a separate sheet of paper, write about a time in your own life in which the definition of a word, or the lack of a definition, caused an argument. Your term could be something as simple as the category of an all-star in sports or how to define a good movie. Or it could be something with higher stakes and wider impact, such as a political argument. Explain how the conversation began, how the argument hinged on the definition of the word, and how the incident was finally resolved. Collaboration Please share with a classmate and compare your responses. The Structure of a Definition Essay The definition essay opens with a general discussion of the term to be defined. You then state as your thesis your definition of the term. The rest of the essay should explain the rationale for your definition. Remember that a dictionary’s definition is limiting, and you should not rely strictly on the dictionary entry. Instead, consider the context in which you are using the word. ContextThe circumstances, conditions, or setting in which something exists or occurs. identifies the circumstances, conditions, or setting in which something exists or occurs. Often words take on different meanings depending on the context in which they are used. For example, the ideal leader in a battlefield setting could likely be very different than a leader in an elementary school setting. If a context is missing from the essay, the essay may be too short or the main points could be confusing or misunderstood. The remainder of the essay should explain different aspects of the term’s definition. For example, if you were defining a good leader in an elementary classroom setting, you might define such a leader according to personality traits: patience, consistency, and flexibility. Each attribute would be explained in its own paragraph. Tip For definition essays, try to think of concepts that you have a personal stake in. You are more likely to write a more engaging definition essay if you are writing about an idea that has personal value and importance. Writing at Work It is a good idea to occasionally assess your role in the workplace. You can do this through the process of definition. Identify your role at work by defining not only the routine tasks but also those gray areas where your responsibilities might overlap with those of others. Coming up with a clear definition of roles and responsibilities can add value to your résumé and even increase productivity in the workplace. Exercise 2 On a separate sheet of paper, define each of the following items in your own terms. If you can, establish a context for your definition. Bravery Adulthood Consumer culture Violence Art Writing a Definition Essay Choose a topic that will be complex enough to be discussed at length. Choosing a word or phrase of personal relevance often leads to a more interesting and engaging essay. After you have chosen your word or phrase, start your essay with an introduction that establishes the relevancy of the term in the chosen specific context. Your thesis comes at the end of the introduction, and it should clearly state your definition of the term in the specific context. Establishing a functional context from the beginning will orient readers and minimize misunderstandings. The body paragraphs should each be dedicated to explaining a different facet of your definition. Make sure to use clear examples and strong details to illustrate your points. Your concluding paragraph should pull together all the different elements of your definition to ultimately reinforce your thesis. See Chapter 15 “Readings: Examples of Essays” to read a sample definition essay. Exercise 3 Create a full definition essay from one of the items you already defined in Note 10.64 “Exercise 2”. Be sure to include an interesting introduction, a clear thesis, a well-explained context, distinct body paragraphs, and a conclusion that pulls everything together. Key Takeaways Definitions establish the way in which people communicate ideas. They set parameters for a given discourse. Context affects the meaning and usage of words. The thesis of a definition essay should clearly state the writer’s definition of the term in the specific context. Body paragraphs should explain the various facets of the definition stated in the thesis. The conclusion should pull all the elements of the definition together at the end and reinforce the thesis. 10.7 Comparison and Contrast Learning Objectives Determine the purpose and structure of comparison and contrast in writing. Explain organizational methods used when comparing and contrasting. Understand how to write a compare-and-contrast essay. The Purpose of Comparison and Contrast in Writing ComparisonIn writing, to discuss things that are similar in nature. in writing discusses elements that are similar, while contrastIn writing, to discuss things that are different. in writing discusses elements that are different. A compare-and-contrast essayAn essay that analyzes two subjects by either comparing them, contrasting them, or both., then, analyzes two subjects by comparing them, contrasting them, or both. The key to a good compare-and-contrast essay is to choose two or more subjects that connect in a meaningful way. The purpose of conducting the comparison or contrast is not to state the obvious but rather to illuminate subtle differences or unexpected similarities. For example, if you wanted to focus on contrasting two subjects you would not pick apples and oranges; rather, you might choose to compare and contrast two types of oranges or two types of apples to highlight subtle differences. For example, Red Delicious apples are sweet, while Granny Smiths are tart and acidic. Drawing distinctions between elements in a similar category will increase the audience’s understanding of that category, which is the purpose of the compare-and-contrast essay. Similarly, to focus on comparison, choose two subjects that seem at first to be unrelated. For a comparison essay, you likely would not choose two apples or two oranges because they share so many of the same properties already. Rather, you might try to compare how apples and oranges are quite similar. The more divergent the two subjects initially seem, the more interesting a comparison essay will be. Writing at Work Comparing and contrasting is also an evaluative tool. In order to make accurate evaluations about a given topic, you must first know the critical points of similarity and difference. Comparing and contrasting is a primary tool for many workplace assessments. You have likely compared and contrasted yourself to other colleagues. Employee advancements, pay raises, hiring, and firing are typically conducted using comparison and contrast. Comparison and contrast could be used to evaluate companies, departments, or individuals. Exercise 1 Brainstorm an essay that leans toward contrast. Choose one of the following three categories. Pick two examples from each. Then come up with one similarity and three differences between the examples. Romantic comedies Internet search engines Cell phones Exercise 2 Brainstorm an essay that leans toward comparison. Choose one of the following three items. Then come up with one difference and three similarities. Department stores and discount retail stores Fast food chains and fine dining restaurants Dogs and cats The Structure of a Comparison and Contrast Essay The compare-and-contrast essay starts with a thesis that clearly states the two subjects that are to be compared, contrasted, or both and the reason for doing so. The thesis could lean more toward comparing, contrasting, or both. Remember, the point of comparing and contrasting is to provide useful knowledge to the reader. Take the following thesis as an example that leans more toward contrasting. Thesis statement: Organic vegetables may cost more than those that are conventionally grown, but when put to the test, they are definitely worth every extra penny. Here the thesis sets up the two subjects to be compared and contrasted (organic versus conventional vegetables), and it makes a claim about the results that might prove useful to the reader. You may organize compare-and-contrast essays in one of the following two ways: According to the subjects themselves, discussing one then the other According to individual points, discussing each subject in relation to each point See Figure 10.1 “Comparison and Contrast Diagram”, which diagrams the ways to organize our organic versus conventional vegetables thesis. Figure 10.1 Comparison and Contrast Diagram The organizational structure you choose depends on the nature of the topic, your purpose, and your audience. Given that compare-and-contrast essays analyze the relationship between two subjects, it is helpful to have some phrases on hand that will cue the reader to such analysis. See Table 10.3 “Phrases of Comparison and Contrast” for examples. Table 10.3 Phrases of Comparison and Contrast Comparison Contrast one similarity one difference another similarity another difference both conversely like in contrast likewise unlike similarly while in a similar fashion whereas Exercise 3 Create an outline for each of the items you chose in Note 10.72 “Exercise 1” and Note 10.73 “Exercise 2”. Use the point-by-point organizing strategy for one of them, and use the subject organizing strategy for the other. Writing a Comparison and Contrast Essay First choose whether you want to compare seemingly disparate subjects, contrast seemingly similar subjects, or compare and contrast subjects. Once you have decided on a topic, introduce it with an engaging opening paragraph. Your thesis should come at the end of the introduction, and it should establish the subjects you will compare, contrast, or both as well as state what can be learned from doing so. The body of the essay can be organized in one of two ways: by subject or by individual points. The organizing strategy that you choose will depend on, as always, your audience and your purpose. You may also consider your particular approach to the subjects as well as the nature of the subjects themselves; some subjects might better lend themselves to one structure or the other. Make sure to use comparison and contrast phrases to cue the reader to the ways in which you are analyzing the relationship between the subjects. After you finish analyzing the subjects, write a conclusion that summarizes the main points of the essay and reinforces your thesis. See Chapter 15 “Readings: Examples of Essays” to read a sample compare-and-contrast essay. Writing at Work Many business presentations are conducted using comparison and contrast. The organizing strategies—by subject or individual points—could also be used for organizing a presentation. Keep this in mind as a way of organizing your content the next time you or a colleague have to present something at work. Exercise 4 Choose one of the outlines you created in Note 10.75 “Exercise 3”, and write a full compare-and-contrast essay. Be sure to include an engaging introduction, a clear thesis, well-defined and detailed paragraphs, and a fitting conclusion that ties everything together. Key Takeaways A compare-and-contrast essay analyzes two subjects by either comparing them, contrasting them, or both. The purpose of writing a comparison or contrast essay is not to state the obvious but rather to illuminate subtle differences or unexpected similarities between two subjects. The thesis should clearly state the subjects that are to be compared, contrasted, or both, and it should state what is to be learned from doing so. There are two main organizing strategies for compare-and-contrast essays. Organize by the subjects themselves, one then the other. Organize by individual points, in which you discuss each subject in relation to each point. Use phrases of comparison or phrases of contrast to signal to readers how exactly the two subjects are being analyzed. 10.8 Cause and Effect Learning Objectives Determine the purpose and structure of cause and effect in writing. Understand how to write a cause-and-effect essay. The Purpose of Cause and Effect in Writing It is often considered human nature to ask, “why?” and “how?” We want to know how our child got sick so we can better prevent it from happening in the future, or why our colleague a pay raise because we want one as well. We want to know how much money we will save over the long term if we buy a hybrid car. These examples identify only a few of the relationships we think about in our lives, but each shows the importance of understanding cause and effect. A cause is something that produces an event or condition; an effect is what results from an event or condition. The purpose of the cause-and-effect essayAn essay that tries to determine how various phenomena are related. is to determine how various phenomena relate in terms of origins and results. Sometimes the connection between cause and effect is clear, but often determining the exact relationship between the two is very difficult. For example, the following effects of a cold may be easily identifiable: a sore throat, runny nose, and a cough. But determining the cause of the sickness can be far more difficult. A number of causes are possible, and to complicate matters, these possible causes could have combined to cause the sickness. That is, more than one cause may be responsible for any given effect. Therefore, cause-and-effect discussions are often complicated and frequently lead to debates and arguments. Tip Use the complex nature of cause and effect to your advantage. Often it is not necessary, or even possible, to find the exact cause of an event or to name the exact effect. So, when formulating a thesis, you can claim one of a number of causes or effects to be the primary, or main, cause or effect. As soon as you claim that one cause or one effect is more crucial than the others, you have developed a thesis. Exercise 1 Consider the causes and effects in the following thesis statements. List a cause and effect for each one on your own sheet of paper. The growing childhood obesity epidemic is a result of technology. Much of the wildlife is dying because of the oil spill. The town continued programs that it could no longer afford, so it went bankrupt. More young people became politically active as use of the Internet spread throughout society. While many experts believed the rise in violence was due to the poor economy, it was really due to the summer-long heat wave. Exercise 2 Write three cause-and-effect thesis statements of your own for each of the following five broad topics. Health and nutrition Sports Media Politics History The Structure of a Cause-and-Effect Essay The cause-and-effect essay opens with a general introduction to the topic, which then leads to a thesis that states the main cause, main effect, or various causes and effects of a condition or event. The cause-and-effect essay can be organized in one of the following two primary ways: Start with the cause and then talk about the effects. Start with the effect and then talk about the causes. For example, if your essay were on childhood obesity, you could start by talking about the effect of childhood obesity and then discuss the cause or you could start the same essay by talking about the cause of childhood obesity and then move to the effect. Regardless of which structure you choose, be sure to explain each element of the essay fully and completely. Explaining complex relationships requires the full use of evidence, such as scientific studies, expert testimony, statistics, and anecdotes. Because cause-and-effect essays determine how phenomena are linked, they make frequent use of certain words and phrases that denote such linkage. See Table 10.4 “Phrases of Causation” for examples of such terms. Table 10.4 Phrases of Causation as a result consequently because due to hence since thus therefore The conclusion should wrap up the discussion and reinforce the thesis, leaving the reader with a clear understanding of the relationship that was analyzed. Tip Be careful of resorting to empty speculation. In writing, speculation amounts to unsubstantiated guessing. Writers are particularly prone to such trappings in cause-and-effect arguments due to the complex nature of finding links between phenomena. Be sure to have clear evidence to support the claims that you make. Exercise 3 Look at some of the cause-and-effect relationships from Note 10.83 “Exercise 2”. Outline the links you listed. Outline one using a cause-then-effect structure. Outline the other using the effect-then-cause structure. Writing a Cause-and-Effect Essay Choose an event or condition that you think has an interesting cause-and-effect relationship. Introduce your topic in an engaging way. End your introduction with a thesis that states the main cause, the main effect, or both. Organize your essay by starting with either the cause-then-effect structure or the effect-then-cause structure. Within each section, you should clearly explain and support the causes and effects using a full range of evidence. If you are writing about multiple causes or multiple effects, you may choose to sequence either in terms of order of importance. In other words, order the causes from least to most important (or vice versa), or order the effects from least important to most important (or vice versa). Use the phrases of causation when trying to forge connections between various events or conditions. This will help organize your ideas and orient the reader. End your essay with a conclusion that summarizes your main points and reinforces your thesis. See Chapter 15 “Readings: Examples of Essays” to read a sample cause-and-effect essay. Exercise 4 Choose one of the ideas you outlined in Note 10.85 “Exercise 3” and write a full cause-and-effect essay. Be sure to include an engaging introduction, a clear thesis, strong evidence and examples, and a thoughtful conclusion. Key Takeaways The purpose of the cause-and-effect essay is to determine how various phenomena are related. The thesis states what the writer sees as the main cause, main effect, or various causes and effects of a condition or event. The cause-and-effect essay can be organized in one of these two primary ways: Start with the cause and then talk about the effect. Start with the effect and then talk about the cause. Strong evidence is particularly important in the cause-and-effect essay due to the complexity of determining connections between phenomena. Phrases of causation are helpful in signaling links between various elements in the essay. 10.9 Persuasion Learning Objectives Determine the purpose and structure of persuasion in writing. Identify bias in writing. Assess various rhetorical devices. Distinguish between fact and opinion. Understand the importance of visuals to strengthen arguments. Write a persuasive essay. The Purpose of Persuasive Writing The purpose of persuasionThe attempt to convince or move others to a certain point of view, or opinion. in writing is to convince, motivate, or move readers toward a certain point of view, or opinion. The act of trying to persuade automatically implies more than one opinion on the subject can be argued. The idea of an argument often conjures up images of two people yelling and screaming in anger. In writing, however, an argument is very different. An argumentA reasoned opinion supported and explained by evidence. is a reasoned opinion supported and explained by evidence. To argue in writing is to advance knowledge and ideas in a positive way. Written arguments often fail when they employ ranting rather than reasoning. Tip Most of us feel inclined to try to win the arguments we engage in. On some level, we all want to be right, and we want others to see the error of their ways. More times than not, however, arguments in which both sides try to win end up producing losers all around. The more productive approach is to persuade your audience to consider your opinion as a valid one, not simply the right one. The Structure of a Persuasive Essay The following five features make up the structure of a persuasive essay: Introduction and thesis Opposing and qualifying ideas Strong evidence in support of claim Style and tone of language A compelling conclusion Creating an Introduction and Thesis The persuasive essay begins with an engaging introduction that presents the general topic. The thesis typically appears somewhere in the introduction and states the writer’s point of view. Tip Avoid forming a thesis based on a negative claim. For example, “The hourly minimum wage is not high enough for the average worker to live on.” This is probably a true statement, but persuasive arguments should make a positive case. That is, the thesis statement should focus on how the hourly minimum wage is low or insufficient. Acknowledging Opposing Ideas and Limits to Your Argument Because an argument implies differing points of view on the subject, you must be sure to acknowledge those opposing ideas. Avoiding ideas that conflict with your own gives the reader the impression that you may be uncertain, fearful, or unaware of opposing ideas. Thus it is essential that you not only address counterarguments but also do so respectfully. Try to address opposing arguments earlier rather than later in your essay. Rhetorically speaking, ordering your positive arguments last allows you to better address ideas that conflict with your own, so you can spend the rest of the essay countering those arguments. This way, you leave your reader thinking about your argument rather than someone else’s. You have the last word. Acknowledging points of view different from your own also has the effect of fostering more credibility between you and the audience. They know from the outset that you are aware of opposing ideas and that you are not afraid to give them space. It is also helpful to establish the limits of your argument and what you are trying to accomplish. In effect, you are conceding early on that your argument is not the ultimate authority on a given topic. Such humility can go a long way toward earning credibility and trust with an audience. Audience members will know from the beginning that you are a reasonable writer, and audience members will trust your argument as a result. For example, in the following concessionary statement, the writer advocates for stricter gun control laws, but she admits it will not solve all of our problems with crime: Although tougher gun control laws are a powerful first step in decreasing violence in our streets, such legislation alone cannot end these problems since guns are not the only problem we face. Such a concession will be welcome by those who might disagree with this writer’s argument in the first place. To effectively persuade their readers, writers need to be modest in their goals and humble in their approach to get readers to listen to the ideas. See Table 10.5 “Phrases of Concession” for some useful phrases of concession. Table 10.5 Phrases of Concession although granted that of course still though yet Exercise 1 Try to form a thesis for each of the following topics. Remember the more specific your thesis, the better. Foreign policy Television and advertising Stereotypes and prejudice Gender roles and the workplace Driving and cell phones Collaboration Please share with a classmate and compare your answers. Choose the thesis statement that most interests you and discuss why. Bias in Writing Everyone has various biases on any number of topics. For example, you might have a bias toward wearing black instead of brightly colored clothes or wearing jeans rather than formal wear. You might have a bias toward working at night rather than in the morning, or working by deadlines rather than getting tasks done in advance. These examples identify minor biases, of course, but they still indicate preferences and opinions. Handling bias in writing and in daily life can be a useful skill. It will allow you to articulate your own points of view while also defending yourself against unreasonable points of view. The ideal in persuasive writing is to let your reader know your bias, but do not let that bias blind you to the primary components of good argumentation: sound, thoughtful evidence and a respectful and reasonable address of opposing sides. The strength of a personal bias is that it can motivate you to construct a strong argument. If you are invested in the topic, you are more likely to care about the piece of writing. Similarly, the more you care, the more time and effort you are apt to put forth and the better the final product will be. The weakness of bias is when the bias begins to take over the essay—when, for example, you neglect opposing ideas, exaggerate your points, or repeatedly insert yourself ahead of the subject by using I too often. Being aware of all three of these pitfalls will help you avoid them. The Use of I in Writing The use of I in writing is often a topic of debate, and the acceptance of its usage varies from instructor to instructor. It is difficult to predict the preferences for all your present and future instructors, but consider the effects it can potentially have on your writing. Be mindful of the use of I in your writing because it can make your argument sound overly biased. There are two primary reasons: Excessive repetition of any word will eventually catch the reader’s attention—and usually not in a good way. The use of I is no different. The insertion of I into a sentence alters not only the way a sentence might sound but also the composition of the sentence itself. I is often the subject of a sentence. If the subject of the essay is supposed to be, say, smoking, then by inserting yourself into the sentence, you are effectively displacing the subject of the essay into a secondary position. In the following example, the subject of the sentence is underlined: Smoking is bad. I think smoking is bad. In the first sentence, the rightful subject, smoking, is in the subject position in the sentence. In the second sentence, the insertion of I and think replaces smoking as the subject, which draws attention to I and away from the topic that is supposed to be discussed. Remember to keep the message (the subject) and the messenger (the writer) separate. Checklist Developing Sound Arguments Does my essay contain the following elements? An engaging introduction A reasonable, specific thesis that is able to be supported by evidence A varied range of evidence from credible sources Respectful acknowledgement and explanation of opposing ideas A style and tone of language that is appropriate for the subject and audience Acknowledgement of the argument’s limits A conclusion that will adequately summarize the essay and reinforce the thesis Fact and Opinion FactsStatements that can be definitely proven; ones that have, in a sense, an objective reality. are statements that can be definitely proven using objective data. The statement that is a fact is absolutely valid. In other words, the statement can be pronounced as true or false. For example, 2 + 2 = 4. This expression identifies a true statement, or a fact, because it can be proved with objective data. OpinionsPersonal views, or judgments. All opinions are not created equal. An opinion in argumentation must have legitimate backing. are personal views, or judgments. An opinion is what an individual believes about a particular subject. However, an opinion in argumentation must have legitimate backing; adequate evidence and credibility should support the opinion. Consider the credibility of expert opinions. Experts in a given field have the knowledge and credentials to make their opinion meaningful to a larger audience. For example, you seek the opinion of your dentist when it comes to the health of your gums, and you seek the opinion of your mechanic when it comes to the maintenance of your car. Both have knowledge and credentials in those respective fields, which is why their opinions matter to you. But the authority of your dentist may be greatly diminished should he or she offer an opinion about your car, and vice versa. In writing, you want to strike a balance between credible facts and authoritative opinions. Relying on one or the other will likely lose more of your audience than it gains. Tip The word prove is frequently used in the discussion of persuasive writing. Writers may claim that one piece of evidence or another proves the argument, but proving an argument is often not possible. No evidence proves a debatable topic one way or the other; that is why the topic is debatable. Facts can be proved, but opinions can only be supported, explained, and persuaded. Exercise 2 On a separate sheet of paper, take three of the theses you formed in Note 10.94 “Exercise 1”, and list the types of evidence you might use in support of that thesis. Exercise 3 Using the evidence you provided in support of the three theses in Note 10.100 “Exercise 2”, come up with at least one counterargument to each. Then write a concession statement, expressing the limits to each of your three arguments. Using Visual Elements to Strengthen Arguments Adding visual elements to a persuasive argument can often strengthen its persuasive effect. There are two main types of visual elements: quantitative visuals and qualitative visuals. Quantitative visualsVisuals that present data graphically. The purpose of using them is to make logical appeals to the audience. present data graphically. They allow the audience to see statistics spatially. The purpose of using quantitative visuals is to make logical appeals to the audience. For example, sometimes it is easier to understand the disparity in certain statistics if you can see how the disparity looks graphically. Bar graphs, pie charts, Venn diagrams, histograms, and line graphs are all ways of presenting quantitative data in spatial dimensions. Qualitative visualsVisuals present images that are to appeal to the audience’s emotions. present images that appeal to the audience’s emotions. Photographs and pictorial images are examples of qualitative visuals. Such images often try to convey a story, and seeing an actual example can carry more power than hearing or reading about the example. For example, one image of a child suffering from malnutrition will likely have more of an emotional impact than pages dedicated to describing that same condition in writing. Writing at Work When making a business presentation, you typically have limited time to get across your idea. Providing visual elements for your audience can be an effective timesaving tool. Quantitative visuals in business presentations serve the same purpose as they do in persuasive writing. They should make logical appeals by showing numerical data in a spatial design. Quantitative visuals should be pictures that might appeal to your audience’s emotions. You will find that many of the rhetorical devices used in writing are the same ones used in the workplace. For more information about visuals in presentations, see Chapter 14 “Creating Presentations: Sharing Your Ideas”. Writing a Persuasive Essay Choose a topic that you feel passionate about. If your instructor requires you to write about a specific topic, approach the subject from an angle that interests you. Begin your essay with an engaging introduction. Your thesis should typically appear somewhere in your introduction. Start by acknowledging and explaining points of view that may conflict with your own to build credibility and trust with your audience. Also state the limits of your argument. This too helps you sound more reasonable and honest to those who may naturally be inclined to disagree with your view. By respectfully acknowledging opposing arguments and conceding limitations to your own view, you set a measured and responsible tone for the essay. Make your appeals in support of your thesis by using sound, credible evidence. Use a balance of facts and opinions from a wide range of sources, such as scientific studies, expert testimony, statistics, and personal anecdotes. Each piece of evidence should be fully explained and clearly stated. Make sure that your style and tone are appropriate for your subject and audience. Tailor your language and word choice to these two factors, while still being true to your own voice. Finally, write a conclusion that effectively summarizes the main argument and reinforces your thesis. See Chapter 15 “Readings: Examples of Essays” to read a sample persuasive essay. Exercise 4 Choose one of the topics you have been working on throughout this section. Use the thesis, evidence, opposing argument, and concessionary statement as the basis for writing a full persuasive essay. Be sure to include an engaging introduction, clear explanations of all the evidence you present, and a strong conclusion. Key Takeaways The purpose of persuasion in writing is to convince or move readers toward a certain point of view, or opinion. An argument is a reasoned opinion supported and explained by evidence. To argue, in writing, is to advance knowledge and ideas in a positive way. A thesis that expresses the opinion of the writer in more specific terms is better than one that is vague. It is essential that you not only address counterarguments but also do so respectfully. It is also helpful to establish the limits of your argument and what you are trying to accomplish through a concession statement. To persuade a skeptical audience, you will need to use a wide range of evidence. Scientific studies, opinions from experts, historical precedent, statistics, personal anecdotes, and current events are all types of evidence that you might use in explaining your point. Make sure that your word choice and writing style is appropriate for both your subject and your audience. You should let your reader know your bias, but do not let that bias blind you to the primary components of good argumentation: sound, thoughtful evidence and respectfully and reasonably addressing opposing ideas. You should be mindful of the use of I in your writing because it can make your argument sound more biased than it needs to. Facts are statements that can be proven using objective data. Opinions are personal views, or judgments, that cannot be proven. In writing, you want to strike a balance between credible facts and authoritative opinions. Quantitative visuals present data graphically. The purpose of using quantitative visuals is to make logical appeals to the audience. Qualitative visuals present images that appeal to the audience’s emotions. 10.10 Rhetorical Modes: End-of-Chapter Exercises Exercises The thesis statement is a fundamental element of writing regardless of what rhetorical mode you are writing in. Formulate one more thesis for each of the modes discussed in this chapter. Which rhetorical mode seems most aligned with who you are as a person? That is, which mode seems most useful to you? Explain why in a paragraph. Over the next week, look closely at the texts and articles you read. Document in a journal exactly what type of rhetorical mode is being used. Sometimes it might be for an entire article, but sometimes you might see different modes within one article. The more you can detect various ways of communicating ideas, the easier it will be to do yourself. Chapter 9: Writing Essays: From Start to Finish 9.1 Developing a Strong, Clear Thesis Statement Learning Objectives Develop a strong, clear thesis statement with the proper elements. Revise your thesis statement. Have you ever known a person who was not very good at telling stories? You probably had trouble following his train of thought as he jumped around from point to point, either being too brief in places that needed further explanation or providing too many details on a meaningless element. Maybe he told the end of the story first, then moved to the beginning and later added details to the middle. His ideas were probably scattered, and the story did not flow very well. When the story was over, you probably had many questions. Just as a personal anecdote can be a disorganized mess, an essay can fall into the same trap of being out of order and confusing. That is why writers need a thesis statementA sentence that presents the controlling idea of an essay. A thesis statement is often one sentence long and states the writer’s point of view. to provide a specific focus for their essay and to organize what they are about to discuss in the body. Just like a topic sentence summarizes a single paragraph, the thesis statement summarizes an entire essay. It tells the reader the point you want to make in your essay, while the essay itself supports that point. It is like a signpost that signals the essay’s destination. You should form your thesis before you begin to organize an essay, but you may find that it needs revision as the essay develops. Elements of a Thesis Statement For every essay you write, you must focus on a central idea. This idea stems from a topic you have chosen or been assigned or from a question your teacher has asked. It is not enough merely to discuss a general topic or simply answer a question with a yes or no. You have to form a specific opinion, and then articulate that into a controlling ideaThe main idea that guides the content of an essay; the idea upon which a thesis statement is built.—the main idea upon which you build your thesis. Remember that a thesis is not the topic itself, but rather your interpretation of the question or subject. For whatever topic your professor gives you, you must ask yourself, “What do I want to say about it?” Asking and then answering this question is vital to forming a thesis that is precise, forceful and confident. A thesis is one sentence long and appears toward the end of your introduction. It is specific and focuses on one to three points of a single idea—points that are able to be demonstrated in the body. It forecasts the content of the essay and suggests how you will organize your information. Remember that a thesis statement does not summarize an issue but rather dissects it. A Strong Thesis Statement A strong thesis statement contains the following qualities. Specificity. A thesis statement must concentrate on a specific area of a general topic. As you may recall, the creation of a thesis statement begins when you choose a broad subject and then narrow down its parts until you pinpoint a specific aspect of that topic. For example, health care is a broad topic, but a proper thesis statement would focus on a specific area of that topic, such as options for individuals without health care coverage. Precision. A strong thesis statement must be precise enough to allow for a coherent argument and to remain focused on the topic. If the specific topic is options for individuals without health care coverage, then your precise thesis statement must make an exact claim about it, such as that limited options exist for those who are uninsured by their employers. You must further pinpoint what you are going to discuss regarding these limited effects, such as whom they affect and what the cause is. Ability to be argued. A thesis statement must present a relevant and specific argument. A factual statement often is not considered arguable. Be sure your thesis statement contains a point of view that can be supported with evidence. Ability to be demonstrated. For any claim you make in your thesis, you must be able to provide reasons and examples for your opinion. You can rely on personal observations in order to do this, or you can consult outside sources to demonstrate that what you assert is valid. A worthy argument is backed by examples and details. Forcefulness. A thesis statement that is forceful shows readers that you are, in fact, making an argument. The tone is assertive and takes a stance that others might oppose. Confidence. In addition to using force in your thesis statement, you must also use confidence in your claim. Phrases such as I feel or I believe actually weaken the readers’ sense of your confidence because these phrases imply that you are the only person who feels the way you do. In other words, your stance has insufficient backing. Taking an authoritative stance on the matter persuades your readers to have faith in your argument and open their minds to what you have to say. Tip Even in a personal essay that allows the use of first person, your thesis should not contain phrases such as in my opinion or I believe. These statements reduce your credibility and weaken your argument. Your opinion is more convincing when you use a firm attitude. Exercise 1 On a separate sheet of paper, write a thesis statement for each of the following topics. Remember to make each statement specific, precise, demonstrable, forceful and confident. Topics Texting while driving The legal drinking age in the United States Steroid use among professional athletes Abortion Racism Examples of Appropriate Thesis Statements Each of the following thesis statements meets several of the following requirements: Specificity Precision Ability to be argued Ability to be demonstrated Forcefulness Confidence The societal and personal struggles of Troy Maxon in the play Fences symbolize the challenge of black males who lived through segregation and integration in the United States. Closing all American borders for a period of five years is one solution that will tackle illegal immigration. Shakespeare’s use of dramatic irony in Romeo and Juliet spoils the outcome for the audience and weakens the plot. J. D. Salinger’s character in Catcher in the Rye, Holden Caulfield, is a confused rebel who voices his disgust with phonies, yet in an effort to protect himself, he acts like a phony on many occasions. Compared to an absolute divorce, no-fault divorce is less expensive, promotes fairer settlements, and reflects a more realistic view of the causes for marital breakdown. Exposing children from an early age to the dangers of drug abuse is a sure method of preventing future drug addicts. In today’s crumbling job market, a high school diploma is not significant enough education to land a stable, lucrative job. Tip You can find thesis statements in many places, such as in the news; in the opinions of friends, coworkers or teachers; and even in songs you hear on the radio. Become aware of thesis statements in everyday life by paying attention to people’s opinions and their reasons for those opinions. Pay attention to your own everyday thesis statements as well, as these can become material for future essays. Now that you have read about the contents of a good thesis statement and have seen examples, take a look at the pitfalls to avoid when composing your own thesis: A thesis is weak when it is simply a declaration of your subject or a description of what you will discuss in your essay. Weak thesis statement: My paper will explain why imagination is more important than knowledge. A thesis is weak when it makes an unreasonable or outrageous claim or insults the opposing side. Weak thesis statement: Religious radicals across America are trying to legislate their Puritanical beliefs by banning required high school books. A thesis is weak when it contains an obvious fact or something that no one can disagree with or provides a dead end. Weak thesis statement: Advertising companies use sex to sell their products. A thesis is weak when the statement is too broad. Weak thesis statement: The life of Abraham Lincoln was long and challenging. Exercise 2 Read the following thesis statements. On a separate piece of paper, identify each as weak or strong. For those that are weak, list the reasons why. Then revise the weak statements so that they conform to the requirements of a strong thesis. The subject of this paper is my experience with ferrets as pets. The government must expand its funding for research on renewable energy resources in order to prepare for the impending end of oil. Edgar Allan Poe was a poet who lived in Baltimore during the nineteenth century. In this essay, I will give you lots of reasons why slot machines should not be legalized in Baltimore. Despite his promises during his campaign, President Kennedy took few executive measures to support civil rights legislation. Because many children’s toys have potential safety hazards that could lead to injury, it is clear that not all children’s toys are safe. My experience with young children has taught me that I want to be a disciplinary parent because I believe that a child without discipline can be a parent’s worst nightmare. Writing at Work Often in your career, you will need to ask your boss for something through an e-mail. Just as a thesis statement organizes an essay, it can also organize your e-mail request. While your e-mail will be shorter than an essay, using a thesis statement in your first paragraph quickly lets your boss know what you are asking for, why it is necessary, and what the benefits are. In short body paragraphs, you can provide the essential information needed to expand upon your request. Thesis Statement Revision Your thesis will probably change as you write, so you will need to modify it to reflect exactly what you have discussed in your essay. Remember from Chapter 8 “The Writing Process: How Do I Begin?” that your thesis statement begins as a working thesis statementAn indefinite statement that you make about your topic early in the writing process for the purpose of planning and guiding your writing., an indefinite statement that you make about your topic early in the writing process for the purpose of planning and guiding your writing. Working thesis statements often become stronger as you gather information and form new opinions and reasons for those opinions. Revision helps you strengthen your thesis so that it matches what you have expressed in the body of the paper. Tip The best way to revise your thesis statement is to ask questions about it and then examine the answers to those questions. By challenging your own ideas and forming definite reasons for those ideas, you grow closer to a more precise point of view, which you can then incorporate into your thesis statement. Ways to Revise Your Thesis You can cut down on irrelevant aspects and revise your thesis by taking the following steps: Pinpoint and replace all nonspecific words, such as people, everything, society, or life, with more precise words in order to reduce any vagueness. Working thesis: Young people have to work hard to succeed in life. Revised thesis: Recent college graduates must have discipline and persistence in order to find and maintain a stable job in which they can use and be appreciated for their talents. The revised thesis makes a more specific statement about success and what it means to work hard. The original includes too broad a range of people and does not define exactly what success entails. By replacing those general words like people and work hard, the writer can better focus his or her research and gain more direction in his or her writing. Clarify ideas that need explanation by asking yourself questions that narrow your thesis. Working thesis: The welfare system is a joke. Revised thesis: The welfare system keeps a socioeconomic class from gaining employment by alluring members of that class with unearned income, instead of programs to improve their education and skill sets. A joke means many things to many people. Readers bring all sorts of backgrounds and perspectives to the reading process and would need clarification for a word so vague. This expression may also be too informal for the selected audience. By asking questions, the writer can devise a more precise and appropriate explanation for joke. The writer should ask himself or herself questions similar to the 5WH questions. (See Chapter 8 “The Writing Process: How Do I Begin?” for more information on the 5WH questions.) By incorporating the answers to these questions into a thesis statement, the writer more accurately defines his or her stance, which will better guide the writing of the essay. Replace any linking verbsA verb that connects or links the subject of a sentence to a noun or adjective. with action verbs. Linking verbs are forms of the verb to be, a verb that simply states that a situation exists. Working thesis: Kansas City schoolteachers are not paid enough. Revised thesis: The Kansas City legislature cannot afford to pay its educators, resulting in job cuts and resignations in a district that sorely needs highly qualified and dedicated teachers. The linking verb in this working thesis statement is the word are. Linking verbs often make thesis statements weak because they do not express action. Rather, they connect words and phrases to the second half of the sentence. Readers might wonder, “Why are they not paid enough?” But this statement does not compel them to ask many more questions. The writer should ask himself or herself questions in order to replace the linking verb with an action verb, thus forming a stronger thesis statement, one that takes a more definitive stance on the issue: Who is not paying the teachers enough? What is considered “enough”? What is the problem? What are the results Omit any general claims that are hard to support. Working thesis: Today’s teenage girls are too sexualized. Revised thesis: Teenage girls who are captivated by the sexual images on MTV are conditioned to believe that a woman’s worth depends on her sensuality, a feeling that harms their self-esteem and behavior. It is true that some young women in today’s society are more sexualized than in the past, but that is not true for all girls. Many girls have strict parents, dress appropriately, and do not engage in sexual activity while in middle school and high school. The writer of this thesis should ask the following questions: Which teenage girls? What constitutes “too” sexualized? Why are they behaving that way? Where does this behavior show up? What are the repercussions? Exercise 3 In the first section of Chapter 8 “The Writing Process: How Do I Begin?”, you determined your purpose for writing and your audience. You then completed a freewriting exercise about an event you recently experienced and chose a general topic to write about. Using that general topic, you then narrowed it down by answering the 5WH questions. After you answered these questions, you chose one of the three methods of prewriting and gathered possible supporting points for your working thesis statement. Now, on a separate sheet of paper, write down your working thesis statement. Identify any weaknesses in this sentence and revise the statement to reflect the elements of a strong thesis statement. Make sure it is specific, precise, arguable, demonstrable, forceful, and confident. Collaboration Please share with a classmate and compare your answers. Writing at Work In your career you may have to write a project proposal that focuses on a particular problem in your company, such as reinforcing the tardiness policy. The proposal would aim to fix the problem; using a thesis statement would clearly state the boundaries of the problem and tell the goals of the project. After writing the proposal, you may find that the thesis needs revision to reflect exactly what is expressed in the body. Using the techniques from this chapter would apply to revising that thesis. Key Takeaways Proper essays require a thesis statement to provide a specific focus and suggest how the essay will be organized. A thesis statement is your interpretation of the subject, not the topic itself. A strong thesis is specific, precise, forceful, confident, and is able to be demonstrated. A strong thesis challenges readers with a point of view that can be debated and can be supported with evidence. A weak thesis is simply a declaration of your topic or contains an obvious fact that cannot be argued. Depending on your topic, it may or may not be appropriate to use first person point of view. Revise your thesis by ensuring all words are specific, all ideas are exact, and all verbs express action. 9.2 Writing Body Paragraphs Learning Objectives Select primary support related to your thesis. Support your topic sentences. If your thesis gives the reader a roadmap to your essay, then body paragraphs should closely follow that map. The reader should be able to predict what follows your introductory paragraph by simply reading the thesis statement. The body paragraphs present the evidence you have gathered to confirm your thesis. Before you begin to support your thesis in the body, you must find information from a variety of sources that support and give credit to what you are trying to prove. Select Primary Support for Your Thesis Without primary support, your argument is not likely to be convincing. Primary supportThe main points you use to support your thesis. can be described as the major points you choose to expand on your thesis. It is the most important information you select to argue for your point of view. Each point you choose will be incorporated into the topic sentence for each body paragraph you write. Your primary supporting points are further supported by supporting details within the paragraphs. Tip Remember that a worthy argument is backed by examples. In order to construct a valid argument, good writers conduct lots of background research and take careful notes. They also talk to people knowledgeable about a topic in order to understand its implications before writing about it. Identify the Characteristics of Good Primary Support In order to fulfill the requirements of good primary support, the information you choose must meet the following standards: Be specific. The main points you make about your thesis and the examples you use to expand on those points need to be specific. Use specific examples to provide the evidence and to build upon your general ideas. These types of examples give your reader something narrow to focus on, and if used properly, they leave little doubt about your claim. General examples, while they convey the necessary information, are not nearly as compelling or useful in writing because they are too obvious and typical. Be relevant to the thesis. Primary support is considered strong when it relates directly to the thesis. Primary support should show, explain, or prove your main argument without delving into irrelevant details. When faced with lots of information that could be used to prove your thesis, you may think you need to include it all in your body paragraphs. But effective writers resist the temptation to lose focus. Choose your examples wisely by making sure they directly connect to your thesis. Be detailed. Remember that your thesis, while specific, should not be very detailed. The body paragraphs are where you develop the discussion that a thorough essay requires. Using detailed support shows readers that you have considered all the facts and chosen only the most precise details to enhance your point of view. Prewrite to Identify Primary Supporting Points for a Thesis Statement Recall that when you prewrite you essentially make a list of examples or reasons why you support your stance. Stemming from each point, you further provide details to support those reasons. After prewriting, you are then able to look back at the information and choose the most compelling pieces you will use in your body paragraphs. Exercise 1 Choose one of the following working thesis statements. On a separate sheet of paper, write for at least five minutes using one of the prewriting techniques you learned in Chapter 8 “The Writing Process: How Do I Begin?”. Unleashed dogs on city streets are a dangerous nuisance. Students cheat for many different reasons. Drug use among teens and young adults is a problem. The most important change that should occur at my college or university is ____________________________________________. Select the Most Effective Primary Supporting Points for a Thesis Statement After you have prewritten about your working thesis statement, you may have generated a lot of information, which may be edited out later. Remember that your primary support must be relevant to your thesis. Remind yourself of your main argument, and delete any ideas that do not directly relate to it. Omitting unrelated ideas ensures that you will use only the most convincing information in your body paragraphs. Choose at least three of only the most compelling points. These will serve as the topic sentences for your body paragraphs. Exercise 2 Refer to the previous exercise and select three of your most compelling reasons to support the thesis statement. Remember that the points you choose must be specific and relevant to the thesis. The statements you choose will be your primary support points, and you will later incorporate them into the topic sentences for the body paragraphs. Collaboration Please share with a classmate and compare your answers. When you support your thesis, you are revealing evidence. Evidence includes anything that can help support your stance. The following are the kinds of evidence you will encounter as you conduct your research: Facts. Facts are the best kind of evidence to use because they often cannot be disputed. They can support your stance by providing background information on or a solid foundation for your point of view. However, some facts may still need explanation. For example, the sentence “The most populated state in the United States is California” is a pure fact, but it may require some explanation to make it relevant to your specific argument. Judgments. JudgmentsA conclusion that is inferred from the facts of a matter. are conclusions drawn from the given facts. Judgments are more credible than opinions because they are founded upon careful reasoning and examination of a topic. Testimony. TestimonyQuotations from people involved in a matter. It lends authenticity and credibility to an argument. consists of direct quotations from either an eyewitness or an expert witness. An eyewitness is someone who has direct experience with a subject; he adds authenticity to an argument based on facts. An expert witness is a person who has extensive experience with a topic. This person studies the facts and provides commentary based on either facts or judgments, or both. An expert witness adds authority and credibility to an argument. Personal observation. Personal observation is similar to testimony, but personal observation consists of your testimony. It reflects what you know to be true because you have experiences and have formed either opinions or judgments about them. For instance, if you are one of five children and your thesis states that being part of a large family is beneficial to a child’s social development, you could use your own experience to support your thesis. Writing at Work In any job where you devise a plan, you will need to support the steps that you lay out. This is an area in which you would incorporate primary support into your writing. Choosing only the most specific and relevant information to expand upon the steps will ensure that your plan appears well-thought-out and precise. Tip You can consult a vast pool of resources to gather support for your stance. Citing relevant information from reliable sources ensures that your reader will take you seriously and consider your assertions. Use any of the following sources for your essay: newspapers or news organization websites, magazines, encyclopedias, and scholarly journals, which are periodicals that address topics in a specialized field. Choose Supporting Topic Sentences Each body paragraph contains a topic sentenceThe sentence in a paragraph that controls the point of the paragraph. It is most often located at the beginning of a paragraph and makes the structure of a text and the writer’s basic argument easy to locate and comprehend. that states one aspect of your thesis and then expands upon it. Like the thesis statement, each topic sentence should be specific and supported by concrete details, facts, or explanations. Each body paragraph should comprise the following elements. topic sentence + supporting details (examples, reasons, or arguments) As you read in Chapter 8 “The Writing Process: How Do I Begin?”, topic sentences indicate the location and main points of the basic arguments of your essay. These sentences are vital to writing your body paragraphs because they always refer back to and support your thesis statement. Topic sentences are linked to the ideas you have introduced in your thesis, thus reminding readers what your essay is about. A paragraph without a clearly identified topic sentence may be unclear and scattered, just like an essay without a thesis statement. Tip Unless your teacher instructs otherwise, you should include at least three body paragraphs in your essay. A five-paragraph essay, including the introduction and conclusion, is commonly the standard for exams and essay assignments. Consider the following the thesis statement: The following topic sentence is a primary support point for the thesis. The topic sentence states exactly what the controlling idea of the paragraph is. Later, you will see the writer immediately provide support for the sentence. Exercise 3 In Note 9.19 “Exercise 2”, you chose three of your most convincing points to support the thesis statement you selected from the list. Take each point and incorporate it into a topic sentence for each body paragraph. Supporting point 1: ____________________________________________ Topic sentence: ____________________________________________ Supporting point 2: ____________________________________________ Topic sentence: ____________________________________________ Supporting point 3: ____________________________________________ Topic sentence: ____________________________________________ Collaboration Please share with a classmate and compare your answers. Draft Supporting Detail Sentences for Each Primary Support Sentence After deciding which primary support points you will use as your topic sentences, you must add details to clarify and demonstrate each of those points. These supporting details provide examples, facts, or evidence that support the topic sentence. The writer drafts possible supporting detail sentences for each primary support sentence based on the thesis statement: The following paragraph contains supporting detail sentences for the primary support sentence (the topic sentence), which is underlined. Exercise 4 Using the three topic sentences you composed for the thesis statement in Note 9.18 “Exercise 1”, draft at least three supporting details for each point. Thesis statement: ____________________________________________ Primary supporting point 1: ____________________________________________ Supporting details: ____________________________________________ Primary supporting point 2: ____________________________________________ Supporting details: ____________________________________________ Primary supporting point 3: ____________________________________________ Supporting details: ____________________________________________ Tip You have the option of writing your topic sentences in one of three ways. You can state it at the beginning of the body paragraph, or at the end of the paragraph, or you do not have to write it at all. This is called an implied topic sentence. An implied topic sentence lets readers form the main idea for themselves. For beginning writers, it is best to not use implied topic sentences because it makes it harder to focus your writing. Your instructor may also want to clearly identify the sentences that support your thesis. For more information on the placement of thesis statements and implied topic statements, see Chapter 8 “The Writing Process: How Do I Begin?”. Tip Print out the first draft of your essay and use a highlighter to mark your topic sentences in the body paragraphs. Make sure they are clearly stated and accurately present your paragraphs, as well as accurately reflect your thesis. If your topic sentence contains information that does not exist in the rest of the paragraph, rewrite it to more accurately match the rest of the paragraph. Key Takeaways Your body paragraphs should closely follow the path set forth by your thesis statement. Strong body paragraphs contain evidence that supports your thesis. Primary support comprises the most important points you use to support your thesis. Strong primary support is specific, detailed, and relevant to the thesis. Prewriting helps you determine your most compelling primary support. Evidence includes facts, judgments, testimony, and personal observation. Reliable sources may include newspapers, magazines, academic journals, books, encyclopedias, and firsthand testimony. A topic sentence presents one point of your thesis statement while the information in the rest of the paragraph supports that point. A body paragraph comprises a topic sentence plus supporting details. 9.3 Organizing Your Writing Learning Objectives Understand how and why organizational techniques help writers and readers stay focused. Assess how and when to use chronological order to organize an essay. Recognize how and when to use order of importance to organize an essay. Determine how and when to use spatial order to organize an essay. The method of organization you choose for your essay is just as important as its content. Without a clear organizational pattern, your reader could become confused and lose interest. The way you structure your essay helps your readers draw connections between the body and the thesis, and the structure also keeps you focused as you plan and write the essay. Choosing your organizational pattern before you outline ensures that each body paragraph works to support and develop your thesis. This section covers three ways to organize body paragraphs: Chronological order Order of importance Spatial order When you begin to draft your essay, your ideas may seem to flow from your mind in a seemingly random manner. Your readers, who bring to the table different backgrounds, viewpoints, and ideas, need you to clearly organize these ideas in order to help process and accept them. A solid organizational pattern gives your ideas a path that you can follow as you develop your draft. Knowing how you will organize your paragraphs allows you to better express and analyze your thoughts. Planning the structure of your essay before you choose supporting evidence helps you conduct more effective and targeted research. Chronological Order In Chapter 8 “The Writing Process: How Do I Begin?”, you learned that chronological arrangement has the following purposes: To explain the history of an event or a topic To tell a story or relate an experience To explain how to do or to make something To explain the steps in a process Chronological orderAn organizational method that arranges events or steps in the order that they have occurred or will occur. is mostly used in expository writingWriting that conveys facts or descriptions., which is a form of writing that narrates, describes, informs, or explains a process. When using chronological order, arrange the events in the order that they actually happened, or will happen if you are giving instructions. This method requires you to use words such as first, second, then, after that, later, and finally. These transition words guide you and your reader through the paper as you expand your thesis. For example, if you are writing an essay about the history of the airline industry, you would begin with its conception and detail the essential timeline events up until present day. You would follow the chain of events using words such as first, then, next, and so on. Writing at Work At some point in your career you may have to file a complaint with your human resources department. Using chronological order is a useful tool in describing the events that led up to your filing the grievance. You would logically lay out the events in the order that they occurred using the key transition words. The more logical your complaint, the more likely you will be well received and helped. Exercise 1 Choose an accomplishment you have achieved in your life. The important moment could be in sports, schooling, or extracurricular activities. On your own sheet of paper, list the steps you took to reach your goal. Try to be as specific as possible with the steps you took. Pay attention to using transition words to focus your writing. Keep in mind that chronological order is most appropriate for the following purposes: Writing essays containing heavy research Writing essays with the aim of listing, explaining, or narrating Writing essays that analyze literary works such as poems, plays, or books Tip When using chronological order, your introduction should indicate the information you will cover and in what order, and the introduction should also establish the relevance of the information. Your body paragraphs should then provide clear divisions or steps in chronology. You can divide your paragraphs by time (such as decades, wars, or other historical events) or by the same structure of the work you are examining (such as a line-by-line explication of a poem). Exercise 2 On a separate sheet of paper, write a paragraph that describes a process you are familiar with and can do well. Assume that your reader is unfamiliar with the procedure. Remember to use the chronological key words, such as first, second, then, and finally. Order of Importance Recall from Chapter 8 “The Writing Process: How Do I Begin?” that order of importanceA method of organization that arranges ideas according to their significance. is best used for the following purposes: Persuading and convincing Ranking items by their importance, benefit, or significance Illustrating a situation, problem, or solution Most essays move from the least to the most important point, and the paragraphs are arranged in an effort to build the essay’s strength. Sometimes, however, it is necessary to begin with your most important supporting point, such as in an essay that contains a thesis that is highly debatable. When writing a persuasive essay, it is best to begin with the most important point because it immediately captivates your readers and compels them to continue reading. For example, if you were supporting your thesis that homework is detrimental to the education of high school students, you would want to present your most convincing argument first, and then move on to the less important points for your case. Some key transitional words you should use with this method of organization are most importantly, almost as importantly, just as importantly, and finally. Writing at Work During your career, you may be required to work on a team that devises a strategy for a specific goal of your company, such as increasing profits. When planning your strategy you should organize your steps in order of importance. This demonstrates the ability to prioritize and plan. Using the order of importance technique also shows that you can create a resolution with logical steps for accomplishing a common goal. Exercise 3 On a separate sheet of paper, write a paragraph that discusses a passion of yours. Your passion could be music, a particular sport, filmmaking, and so on. Your paragraph should be built upon the reasons why you feel so strongly. Briefly discuss your reasons in the order of least to greatest importance. Spatial Order As stated in Chapter 8 “The Writing Process: How Do I Begin?”, spatial orderA method of organization that arranges ideas according to physical characteristics or appearance. is best used for the following purposes: Helping readers visualize something as you want them to see it Evoking a scene using the senses (sight, touch, taste, smell, and sound) Writing a descriptive essay Spatial order means that you explain or describe objects as they are arranged around you in your space, for example in a bedroom. As the writer, you create a picture for your reader, and their perspective is the viewpoint from which you describe what is around you. The view must move in an orderly, logical progression, giving the reader clear directional signals to follow from place to place. The key to using this method is to choose a specific starting point and then guide the reader to follow your eye as it moves in an orderly trajectory from your starting point. Pay attention to the following student’s description of her bedroom and how she guides the reader through the viewing process, foot by foot. The paragraph incorporates two objectives you have learned in this chapter: using an implied topic sentence and applying spatial order. Often in a descriptive essay, the two work together. The following are possible transition words to include when using spatial order: Just to the left or just to the right Behind Between On the left or on the right Across from A little further down To the south, to the east, and so on A few yards away Turning left or turning right Exercise 4 On a separate sheet of paper, write a paragraph using spatial order that describes your commute to work, school, or another location you visit often. Collaboration Please share with a classmate and compare your answers. Key Takeaways The way you organize your body paragraphs ensures you and your readers stay focused on and draw connections to, your thesis statement. A strong organizational pattern allows you to articulate, analyze, and clarify your thoughts. Planning the organizational structure for your essay before you begin to search for supporting evidence helps you conduct more effective and directed research. Chronological order is most commonly used in expository writing. It is useful for explaining the history of your subject, for telling a story, or for explaining a process. Order of importance is most appropriate in a persuasion paper as well as for essays in which you rank things, people, or events by their significance. Spatial order describes things as they are arranged in space and is best for helping readers visualize something as you want them to see it; it creates a dominant impression. 9.4 Writing Introductory and Concluding Paragraphs Learning Objectives Recognize the importance of strong introductory and concluding paragraphs. Learn to engage the reader immediately with the introductory paragraph. Practice concluding your essays in a more memorable way. Picture your introduction as a storefront window: You have a certain amount of space to attract your customers (readers) to your goods (subject) and bring them inside your store (discussion). Once you have enticed them with something intriguing, you then point them in a specific direction and try to make the sale (convince them to accept your thesis). Your introduction is an invitation to your readers to consider what you have to say and then to follow your train of thought as you expand upon your thesis statement. An introduction serves the following purposes: Establishes your voice and tone, or your attitude, toward the subject Introduces the general topic of the essay States the thesis that will be supported in the body paragraphs First impressions are crucial and can leave lasting effects in your reader’s mind, which is why the introduction is so important to your essay. If your introductory paragraph is dull or disjointed, your reader probably will not have much interest in continuing with the essay. Attracting Interest in Your Introductory Paragraph Your introduction should begin with an engaging statement devised to provoke your readers’ interest. In the next few sentences, introduce them to your topic by stating general facts or ideas about the subject. As you move deeper into your introduction, you gradually narrow the focus, moving closer to your thesis. Moving smoothly and logically from your introductory remarks to your thesis statement can be achieved using a funnel techniqueA writing device that begins with a broad statement and then gradually moves toward the heart of the matter., as illustrated in the diagram in Figure 9.1 “Funnel Technique”. Figure 9.1 Funnel Technique Exercise 1 On a separate sheet of paper, jot down a few general remarks that you can make about the topic for which you formed a thesis in Section 9.1 “Developing a Strong, Clear Thesis Statement”. Immediately capturing your readers’ interest increases the chances of having them read what you are about to discuss. You can garner curiosity for your essay in a number of ways. Try to get your readers personally involved by doing any of the following: Appealing to their emotions Using logic Beginning with a provocative question or opinion Opening with a startling statistic or surprising fact Raising a question or series of questions Presenting an explanation or rationalization for your essay Opening with a relevant quotation or incident Opening with a striking image Including a personal anecdote Tip Remember that your diction, or word choice, while always important, is most crucial in your introductory paragraph. Boring diction could extinguish any desire a person might have to read through your discussion. Choose words that create images or express action. For more information on diction, see Chapter 4 “Working with Words: Which Word Is Right?”. In Chapter 8 “The Writing Process: How Do I Begin?”, you followed Mariah as she moved through the writing process. In this chapter, Mariah writes her introduction and conclusion for the same essay. Mariah incorporates some of the introductory elements into her introductory paragraph, which she previously outlined in Chapter 8 “The Writing Process: How Do I Begin?”. Her thesis statement is underlined. Tip If you have trouble coming up with a provocative statement for your opening, it is a good idea to use a relevant, attention-grabbing quote about your topic. Use a search engine to find statements made by historical or significant figures about your subject. Writing at Work In your job field, you may be required to write a speech for an event, such as an awards banquet or a dedication ceremony. The introduction of a speech is similar to an essay because you have a limited amount of space to attract your audience’s attention. Using the same techniques, such as a provocative quote or an interesting statistic, is an effective way to engage your listeners. Using the funnel approach also introduces your audience to your topic and then presents your main idea in a logical manner. Exercise 2 Reread each sentence in Mariah’s introductory paragraph. Indicate which techniques she used and comment on how each sentence is designed to attract her readers’ interest. Writing a Conclusion It is not unusual to want to rush when you approach your conclusion, and even experienced writers may fade. But what good writers remember is that it is vital to put just as much attention into the conclusion as in the rest of the essay. After all, a hasty ending can undermine an otherwise strong essay. A conclusion that does not correspond to the rest of your essay, has loose ends, or is unorganized can unsettle your readers and raise doubts about the entire essay. However, if you have worked hard to write the introduction and body, your conclusion can often be the most logical part to compose. The Anatomy of a Strong Conclusion Keep in mind that the ideas in your conclusion must conform to the rest of your essay. In order to tie these components together, restate your thesis at the beginning of your conclusion. This helps you assemble, in an orderly fashion, all the information you have explained in the body. Repeating your thesis reminds your readers of the major arguments you have been trying to prove and also indicates that your essay is drawing to a close. A strong conclusion also reviews your main points and emphasizes the importance of the topic. The construction of the conclusion is similar to the introduction, in which you make general introductory statements and then present your thesis. The difference is that in the conclusion you first paraphraseTo restate ideas or information from sources using one’s own words and sentence structures., or state in different words, your thesis and then follow up with general concluding remarks. These sentences should progressively broaden the focus of your thesis and maneuver your readers out of the essay. Many writers like to end their essays with a final emphatic statement. This strong closing statement will cause your readers to continue thinking about the implications of your essay; it will make your conclusion, and thus your essay, more memorable. Another powerful technique is to challenge your readers to make a change in either their thoughts or their actions. Challenging your readers to see the subject through new eyes is a powerful way to ease yourself and your readers out of the essay. Tip When closing your essay, do not expressly state that you are drawing to a close. Relying on statements such as in conclusion, it is clear that, as you can see, or in summation is unnecessary and can be considered trite. Tip It is wise to avoid doing any of the following in your conclusion: Introducing new material Contradicting your thesis Changing your thesis Using apologies or disclaimers Introducing new material in your conclusion has an unsettling effect on your reader. When you raise new points, you make your reader want more information, which you could not possibly provide in the limited space of your final paragraph. Contradicting or changing your thesis statement causes your readers to think that you do not actually have a conviction about your topic. After all, you have spent several paragraphs adhering to a singular point of view. When you change sides or open up your point of view in the conclusion, your reader becomes less inclined to believe your original argument. By apologizing for your opinion or stating that you know it is tough to digest, you are in fact admitting that even you know what you have discussed is irrelevant or unconvincing. You do not want your readers to feel this way. Effective writers stand by their thesis statement and do not stray from it. Exercise 3 On a separate sheet of a paper, restate your thesis from Note 9.52 “Exercise 2” of this section and then make some general concluding remarks. Next, compose a final emphatic statement. Finally, incorporate what you have written into a strong conclusion paragraph for your essay. Collaboration Please share with a classmate and compare your answers Mariah incorporates some of these pointers into her conclusion. She has paraphrased her thesis statement in the first sentence. Tip Make sure your essay is balanced by not having an excessively long or short introduction or conclusion. Check that they match each other in length as closely as possible, and try to mirror the formula you used in each. Parallelism strengthens the message of your essay. Writing at Work On the job you will sometimes give oral presentations based on research you have conducted. A concluding statement to an oral report contains the same elements as a written conclusion. You should wrap up your presentation by restating the purpose of the presentation, reviewing its main points, and emphasizing the importance of the material you presented. A strong conclusion will leave a lasting impression on your audience. Key Takeaways A strong opening captures your readers’ interest and introduces them to your topic before you present your thesis statement. An introduction should restate your thesis, review your main points, and emphasize the importance of the topic. The funnel technique to writing the introduction begins with generalities and gradually narrows your focus until you present your thesis. A good introduction engages people’s emotions or logic, questions or explains the subject, or provides a striking image or quotation. Carefully chosen diction in both the introduction and conclusion prevents any confusing or boring ideas. A conclusion that does not connect to the rest of the essay can diminish the effect of your paper. The conclusion should remain true to your thesis statement. It is best to avoid changing your tone or your main idea and avoid introducing any new material. Closing with a final emphatic statement provides closure for your readers and makes your essay more memorable. 9.5 Writing Essays: End-of-Chapter Exercises Exercises On a separate sheet of paper, choose one of the examples of a proper thesis statement from this chapter (one that interests you) and form three supporting points for that statement. After you have formed your three points, write a topic sentence for each body paragraph. Make sure that your topic sentences can be backed up with examples and details. Group activity. Choose one of the topics from Note 9.5 “Exercise 1” in Section 9.1 “Developing a Strong, Clear Thesis Statement” and form a yes-or-no question about that topic. Then, take a survey of the people in your class to find out how they feel about the subject. Using the majority vote, ask those people to write on slips of paper the reasons for their opinion. Using the data you collect, form a thesis statement based on your classmates’ perspectives on the topic and their reasons. On a separate sheet of a paper, write an introduction for an essay based on the thesis statement from the group activity using the techniques for introductory paragraphs that you learned in this chapter. Start a journal in which you record “spoken” thesis statements. Start listening closely to the opinions expressed by your teachers, classmates, friends, and family members. Ask them to provide at least three reasons for their opinion and record them in the journal. Use this as material for future essays. Open a magazine and read a lengthy article. See if you can pinpoint the thesis statement as well as the topic sentence for each paragraph and its supporting details.