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APA 101: Lesson 2 - Reference Elements & Citations Reference Elements & Citations
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Synopsis:   APA references appear fraught with petty details and nuances. On closer examination, this complexity is found to be governed by a set of simple rules. Once these are understood composing APA references becomes much easier, if not quite easy. Documentation--citing and referencing research sources--is something you must get right. This lesson focuses on the basic elements of APA references and text citations.
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Author-date style.  APA references follow the author-date style or system, the name derived from the text citation in the form: (Author, Date). Other styles also uses this system including the Chicago Manual of Style where it is called the reference list (RL) system, and the Council of Science Editors style, where it is called the name-year system.
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Citation.  The term is used for the notation in the text that refers the reader to a reference in the reference list at the end of the paper. The APA Manual refers to these as reference citations in text. APA101 generally uses the term text citation.
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Element.  These are the parts of a reference: the author(s), date of publication, title, publisher and page numbers, and availability information. These parts of a reference remain largely consistent in APA style, whatever the source being referenced.
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Reference.  A reference provides sufficient information to allow any source to be accessed by a reader. A source that cannot be found, such as a lost Web page, cannot be referenced.
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Source.  This is the actual document--a journal article, book, report, Web page, or whatever--being cited and referenced.
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The APA System of Author-Date Citations & References
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The author-date style is so named because references begin by listing the authors of a source followed by the date of publication. The text citations, too, gives the author and date of the source, and just the author and date (unless a page number is cited for a quotation). Thus the citation in the text, for example, (Bates, 1995), connects with the reference in the reference list which begins: Bates, J. K. (1995).
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Citations and references are (almost) always paired. You cannot reference something you do not cite, and generally, vice versa (an exception is made for personal communications, which are cited but not referenced). Nor can you reference material that does not exist or is no longer retrievable. If a Web page is no longer available when you finish your paper you cannot cite and reference it (from personal experience I know that editors do check!). When using the APA author-date system reference what you cite, cite what you reference, and makes sure all sources are available.
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There are just two other styles in addition to the author-date system. These are the bibliography style and the endnote/footnote style. The bibliography style is used by the Modern Language Association. The endnote system is used in medicine, and footnotes are used in history. APA style makes no provision for a bibliography, that is, a list of interesting sources that were not cited in the text. The style does make provision for referencing some sources in footnotes, but only in very rare circumstances (e.g., with tables).
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References are composed of elements. In APA style there are four basic elements found in all references. The basic elements are: author, date, title, and publication information (publisher). Additional information is added on as needed. For example, the retrieval statement has come into use with the advent of the Internet. This is the part of the reference where the URL (Uniform Resource Locator) goes for online sources. Other add-on statements may indicate where a document might be found, or when it was originally published. These statements will be addressed in lesson 3. Consistencies in the elements, from one type of source to another, reveal the underlying logic to the APA reference style. Without this understanding APA references can appear to be a mass of arbitrary detail. With this understanding most APA references are easier to compose.
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The goal in the process of documentation is to link an idea or quote in the text to a reference that has enough information to allow the reader to find the source. Books and journal articles are the standard fare of research writing, but there are many other sources that might be cited. It may be necessary to add additional information to the reference to enable the reader to find it, such as the URL (Uniform Resource Locator), or even the street address of the publisher of a report that might not find its way to most libraries. APA style makes provision for these sources, too. The key question when composing references: Can the reader find the source?
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2.1.  APA Documentation: Authors and Citations
Every source has an author. Most of the time those authors are known, but not always. Sometimes the author given is a group or corporate entity, like the American Psychological Association. But many newspaper articles have no identifiable author. Irrespective of the type of document being referenced, APA style follows the same rules.

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check mark APA Rule.  All authors' names go last name first, followed by initials, in the order they are presented in the source. With two or more authors place an ampersand before the last author; more than six list the first six plus et al. If the author is an organization give the full name. If no author, start the reference with the title (not with "Anonymous").
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A paper cited in lesson 1 gave this list of authors: Britton W. Brewer, Carrie B. Scherzer, Judy L. Van Raalte, Albert J. Petitpas, Mark B. Andersen. There are five authors in the list so all are given in the reference, and the last is preceeded by an ampersand (&). (The ampersand is an APA trademark!) The reference begins:
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Brewer, B. W., Scherzer, C. B., Van Raalte, J. L., Petitpas, A. J., & Andersen, M. B. (2001). The elements of (APA) style:
A survey of psychology journal editors. American Psychologist, 56, 266-267.
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Each name is presented last name first, followed by first and middle initials (when they are available). An ampersand is placed before the last author. It is customary when placing initials after a name to separate the name and initials with a comma (the initials are in apposition to the name), and to separate all the words in a list with commas. This is standard English usage. It gets a bit busy if there is a "Jr." or "III" in the name, which then becomes Smith, S. R., Jr., Jones, F. M., III, and so forth. When listing a series of nouns it is also standard English usage to place a comma after each item. For example, "The menu included apple, oranges, and lemons." APA style follows the same convention.
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Note.  British [and pretentious U.S.] usage sometimes drops the last comma, the comma before "and lemons." The Chicago Manual of Style does not support this usage, citing even Fowler as well as other authorities (CMS, 2003, sec. 6.19).
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Note.  APA style would have you space once after all punctuation (except in abbreviations like a.m.) (APA, 2001, sec. 5.11). The period-comma pair after initials and other abbreviations, where there is no space between them, is an exception.
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Text citations. Text citations are placed in parentheses, just last names and given (no initials), but with standard usage of commas and the ampersand. The objective is to allow the reader to unambiguously link the citation to the reference. Alas, APA style is showing its age, and can't agree with itself. The first six authors are listed in references (if there are more than six), but just the first five are listed in citations. Either rule serves equally well. This is a petty detail to remember. There are also a couple of tricks you should know about.
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check mark APA Rule.  Text citations list the last names of up to five authors to a reference and the full names of group authors (no abbreviations). With two or more authors place an ampersand before the last author; follow standard rules for the use of commas. If there are more than five authors give the first plus et al.
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Citation:  (Brewer, Scherzer, Van Raalte, Petitpas, & Andersen, 2001).   Next citation (Trick 1): (Brewer et al., 2001).
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bullet Trick 1.  When there are three to five authors to a reference, all three, four, or five, are listed in the first citation. Thereafter, just the lead author is given followed by et al. In the example above all five authors are listed. But the next citation is (Brewer, et al., 2001).
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bullet Trick 2.  A comparable trick is used with group authors. The first citation follows this form: (American Psychological Association [APA], 2001, sec 3.43). The acronym APA (technically, it is an initialism) is inserted after the full name of the organization in square brackets. Thereafter, just the acronym is used: (APA, 2001, sec 3.43).
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Note. These tricks can cause confusion. If the first and subsequent citations are close together, and used frequently thereafter, then the reader is not likely to be confused. But if you cite the International Committee of Medical Journal Editors (ICMJE) early in your paper, then again 20 pages later, the reader may not remember what ICMJE stands for. This is less of a problem with a list of names. But, while they are given as rules in the APA Manual, they are really tricks intended to improve the readability of the text by not cluttering it up with long-winded citations. Their use is governed by the overriding demand for clarity. If instructions like this confuse the reader rather than add clarity, then don't follow them. That's why APA101 labels them as "tricks."
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2.2.  APA Documentation: Publication Dates (A Passion for Parentheses!)
APA style loves parentheses. It seems to use them in references wherever it can. Got a bit of information you don't know what to do with? Put it parentheses and stick it somewhere. While this is a bit of an exaggeration, APA style puts dates in parentheses, along with the number of an edition (after the title), the abbreviation (Ed.) after the name of an editor, the page and editions of (edited volumes), and the (number of a report). You don't have to remember this stuff, just be aware that APA style loves parentheses.

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check mark APA Rule.  Dates are placed in parentheses after the author(s). If the month or month and day are to be noted, these follow the year, after a comma, in American month-day format. All full dates in APA style, such as the retrieval date for an online document, follow American month-day-year format.
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Wilson, E. O. (1998, March). Back from chaos. Atlantic Monthly, 281, 41-62.
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Goleman, D. (1991, October 24). Battle of insurers vs. therapists. New York Times, pp. D1, D9.
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Note. Only the year is included in text citations: (Wilson, 1998; Goleman, 1991).
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2.3.  APA Documentation: Titles & Capitalization

Two title formats are recognized in APA style: the titles of works that stand alone, and the titles of works that are parts of other works. The first group is set in italics; the second left as plain text.

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check mark APA Rule.  Titles of free-standing works (nonperiodicals) are set in italics---books, reports, Web sites, and the names of journals. Parts of works---articles in periodicals; chapters in edited books---are referenced in plain text without quotation marks. Use sentence capitalization for all titles except the names of periodicals (format as proper nouns).
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Berry, D. S., & Pennebaker, J. W. (1993). Nonverbal and verbal emotional expression and health. Psychotherapy
and Psychosomatics, 59, 11-19.
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Booth, W. C., Colomb, G. G., & Williams, J. M. (1995). The craft of research. Chicago: University of Chicago Press.
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Stephan, W. G. (1985). Intergroup relations. In G. Lindzey & E. Aronson (Eds.), The handbook of social psychology
(3rd ed., Vol. 2, pp. 599-658). New York: Random House.
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The last example, Stephan (1985), is a reference to an article or chapter in an edited book. The title of the chapter is in plain text; the title of the book is set in italics.
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Capitalization comes in two basic forms: heading capitalization and sentence capitalization. Sentence capitalization, as the name implies, is the capitalization used in sentences:  the first letter of the first word is capitalized, the first word after a colon, and proper nouns. Heading capitalization capitalizes the first letter of every word, with some exceptions. This style is used for some text headings and when noting titles in the text. APA style has a rule for doing this that will be presented in lesson 4.
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Titles in the text are capitalized (in heading caps, see rule in lesson 4). Titles of books and other nonperiodicals are set in italics as they are in references. Title of articles and parts of works are capitalized and placed inside quotation marks. Quotation marks are also used when a short title must be used in a text citation. Quotation marks are not used in APA references. For example, "Intergroup Relations" is the title of a chapter by Walter G. Stephan in The Handbook of Social Psychology ("Intergroup Relations," 1985).
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2.4.  APA Documentation: Publishers and Publication Information

To publisher or not to publisher? By long established custom references to books and other stand-alone documents (nonperiodicals) give the place of publication followed by the name of the publisher in references. By custom references to articles in periodicals dispense with this information. But since an article is a part of a journal or magazine, page numbers (and other information) are needed to locate it. Both sets of information---the publisher and pages numbers---are needed to reference an article or chapter in an edited book. Unlike other elements in a reference, it is difficult to articulate a general rule. These practices are not unique to APA style. This is a universal convention, or custom, in research documentation.
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check mark APA Rule.  The place of publication and publisher are given in references to free-standing works (nonperiodicals); the volume and page numbers for articles in journals or magazines; the full date and page numbers for articles in newspapers. Both publisher and page numbers are given in references to articles or chapters in books.
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Booth, W. C., Colomb, G. G., & Williams, J. M. (1995). The craft of research. Chicago: University of Chicago Press.
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Brewer, B. W., Scherzer, C. B., Van Raalte, J. L., Petitpas, A. J., & Andersen, M. B. (2001). The elements of
(APA) style: A survey of psychology journal editors. American Psychologist, 56, 266-267.
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Goleman, D. (1991, October 24). Battle of insurers vs. therapists. New York Times, pp. D1, D9.
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Stephan, W. G. (1985). Intergroup relations. In G. Lindzey & E. Aronson (Eds.), The handbook of social psychology
(3rd ed., Vol. 2, pp. 599-658). New York: Random House.
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Books, and especially journal articles (the first two above), make up the bulk of references in the research literature. In the section above on titles it was pointed out that APA style places the titles of free-standing works in italics. This may be the title of a book, edited book, or the name of a journal, magazine or newspaper. The volume, issue, and page number information immediately follows, if relevant. For books, the place of publication and publisher is then added, as if an afterthought.
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Note.  There is no obvious explanation as to why APA style adds the abbreviation "pp." before the page numbers in newspapers and edited books, but not journals and magazines. This abbreviation is also used in all text citations when page numbers are cited (as when citing a direct quote).
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Citations:  (Booth, Colomb, & Williams, 1995, p. 123); (Brewer et al., 2001, pp. 266-267); (Goleman, 1991, p. D1);
      (Stephan, 1985, pp. 626-635).
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2.5.  APA Documentation: Retrieval Statement

Internet documents note the URL. This statement can take two forms depending on whether the document can be accessed directly or can be obtained only if a visitor registers, pays a fee, or goes through some other gate-keeping exercise. Electronic documents in Adobe's portable document format (PDF) may be exact facsimiles of a print document. When this is the case, APA style forgoes giving a retrieval statement and just adds a note after the title. This will be explored in the next lesson.
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check mark APA Rule.  Documents directly accessed on the Internet add a retrieval statement in the form: Retrieved access date in month-day, year format, from name of the Web site if relevant, URL. Documents accessed indirectly through a Web site follow the form: Available from name of the Web site if relevant, URL. No period is added to a URL.
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American Psychological Association (2001). Electronic references: Reference examples for electronic source materials.
Retrieved November 21, 2001, from the American Psychological Association Web site: http://www.apastyle.org/elecsource.html
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Beers, M. H., & Berkow, R. (Eds.). (1999). The Merck manual of diagnosis and therapy (17th ed.). Retrieved January 17, 2003,
from http://www.merck.com/pubs/mmanual/
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Hypericum Depression Trial Study Group. (2002). Effect of Hypericum perforatum (St John's Wort) in major depressive disorder:
A randomized controlled trial. JAMA, 287, 1807-1814. Available from the Journal of the American Medical Association Web site, http://www.jama.org
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Note. There is no period at the end of these retrieval/availability statements. APA reasoning is that a period might confuse the reader, thinking it is part of the URL. Most people today are too savvy about the Internet to make this mistake, but that's the way the APA wants it. APA style considers Web a proper noun, and Web site two words. (The convention has become website.) Use either, depending on how "APA correct" you wish to be, but be consistent. Do not switch from spelling to spelling anywhere in your manuscript. Long URLs may not fit on a line. It is best to break them after a slash or before a period.
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APA101: Exercises for This Lesson
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Apply the Rules. Format the following attributions as APA references and citations based on the rules given in this lesson. Exercises may draw on the basic rules, notes, and examples, and may ask you to reason your way to the correct result (trick exercises). They are not intended to be easy,
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E1.  The noted French sociologist Pierre Bourdieu collaborated with Jean-Claude Passeron to publish their influential 1977 book, Reproduction in Education, Society and Culture. The English language version was published in London by the Russell Sage Foundation.
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E2.  Trick exercise!  William Strunk, Jr., wrote the original edition of the Elements of Style, then little more than a pamphlet, in 1918. It was required reading in his course at Cornell University in Ithaca, New York, where he also lived. The author published this first edition himself. It was subsequently revived and revised in 1959, and is still in print today.
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E3.  Trick exercise!  It was long thought that science developed in a steady cumulative state. But Thomas S. Kuhn argued that science reached tipping points that cascaded into new paradigms. A second edition his thesis, The Structure of Scientific Revolutions was published in 1970 by the University of Chicago Press.
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E4.  Trick exercise!  The New England Journal of Medicine published a provocative analysis entitled "The Quality of Health Care Delivered to Adults in the United States" in 2003 (volume 348, pages 2635-45). The authors were Elizabeth A. McGlynn, Ph.D., Steven M. Asch, M.D., M.P.H., John Adams, Ph.D., Joan Keesey, B.A., Jennifer Hicks, M.P.H., Ph.D., Alison DeCristofaro, M.P.H., and Eve A. Kerr, M.D., M.P.H.
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E5.  "Ethical Issues Concerning Research in Complementary and Alternative Medicine" was the title of an article that appeared in JAMA (journal of the American Medical Association) in 2004 (volume 291, pp. 599-604). The authors Franklin G. Miller, PhD; Ezekiel J. Emanuel, MD; Donald L. Rosenstein, MD; and Stephen E. Straus, MD.
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E6.  Trick exercise!  The Homeland Security Council announced their first "national strategy for pandemic influenza" in a monograph posted on the Whitehouse Web site [http://www.whitehouse.gov/homeland/pandemic-influenza.html] on November 1, 2005. You accessed it on November 2, 2005.
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Answers to Exercises

Required Text for APA101
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APA Manual
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