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SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 1

Created by Christy Owen of Liberty University’s Online Writing Center

[email protected]; last date modified: November 7, 2021

Sample APA Paper: Professional Format for Graduate/Doctoral Students

Claudia S. Sample

School of Behavioral Sciences, Liberty University

Author Note

Claudia S. Sample (usually only included if author has an ORCID number)

I have no known conflict of interest to disclose.

Correspondence concerning this article should be addressed to Claudia S. Sample.

Email: [email protected]

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 2

Table of Contents

(Only Included for Easy Navigation; Hyperlinked for Quick Access)

Sample APA Paper: Professional Format for Graduate/Doctoral Students .................................... 6

Basic Rules of Scholarly Writing ................................................................................................... 7

Brief Summary of Changes in APA-7 ............................................................................................. 8

Running Head, Author Note, and Abstract ..................................................................................... 9

Basic Formatting Elements ........................................................................................................... 10

Font ................................................................................................................................... 10

Line Spacing ..................................................................................................................... 10

Spaces After Punctuation .................................................................................................. 11

Footnotes ........................................................................................................................... 11

Heading Levels—Level 1 ............................................................................................................. 11

Level 2 Heading ................................................................................................................ 12

Level 3 Heading .................................................................................................... 13

Level 4 Heading. Must be bolded and indented ½”. Add a period, one

space, and begin your content on the same line as shown here. ....................................... 13

Level 5 Heading ............................................................................ 13

Specific Elements of Academic Papers ........................................................................................ 13

Tables of Contents and Outlines ....................................................................................... 13

Annotated Bibliographies ................................................................................................. 14

Appendices ........................................................................................................................ 14

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 3

Crediting Your Sources................................................................................................................. 15

Paraphrasing and Direct Quotes ........................................................................................ 15

Paraphrasing .......................................................................................................... 16

Block Quotes ......................................................................................................... 16

How Often to Cite Your Source in Each Paragraph ......................................................... 17

Rule for Omitting the Year of Publication ........................................................................ 17

Arranging the Order of Resources in Your Citations ....................................................... 17

Two Works by the Same Author in the Same Year .......................................................... 18

Two Works by Two Different Authors with the Same Last Name .................................. 18

Three or More Authors Cited In-Text ............................................................................... 18

Number of Authors in the Reference List ......................................................................... 19

Numbers ........................................................................................................................................ 19

Displaying Titles of Works in-Text .............................................................................................. 19

Primary Sources versus Secondary Sources ................................................................................. 20

Personal Communications ............................................................................................................ 20

Resources Canonically Numbered Sections (i.e., the Bible and Plays) ........................................ 21

Bible and other Classical Works ....................................................................................... 21

Plays .................................................................................................................................. 22

Lectures and PowerPoints ............................................................................................................. 22

Dictionary Entries ......................................................................................................................... 23

Changes in Reference Entries ....................................................................................................... 23

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 4

Electronic Sources ........................................................................................................................ 24

Adding Color ................................................................................................................................ 24

Self-Plagiarism .............................................................................................................................. 25

Final Formatting Tweaks .............................................................................................................. 26

Exhaustive Reference List Examples & Additional Helpful Resources ....................................... 26

Conclusion .................................................................................................................................... 29

References ..................................................................................................................................... 30

Appendix ....................................................................................................................................... 40

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 5

Abstract

Begin your abstract at the left margin. This is the only paragraph that should not be indented.

Unless otherwise instructed, APA recommends an abstract be no more than 250 words. It should

generally not contain any citations or direct quotes. This should be a tight, concise summary of

the main points in your paper, not a step-by-step of what you plan to accomplish in your paper.

Avoid phrases such as “this paper will,” and just structure your sentences to say what you want

to say. The following three sentences exemplify a good abstract style: There are many

similarities and differences between the codes of ethics for the ACA and the AACC. Both include

similar mandates in the areas of ----, ---, and ---. However, each differs significantly in the areas

of ---, ---, and ---. For more detailed information, see “Writing an Abstract” at

https://www.liberty.edu/casas/academic-success-center/wp-content/uploads/sites/28/2019/04/

Writing_an_Abstract_Revised_2012.pdf (note that you would not include any links in your

abstract). This is just now at 168 words, so eyeball how brief your abstract must be. Think of

your paper as a movie you want to sound enticing, and the abstract as the summary of the plot

you would share to draw people’s interest into wanting to come and see your movie. You want to

really hook and intrigue them. What you have to say is important! Remember to stay under 250,

words. Keywords highlight the search terms someone would use to find your paper in a database.

Keywords: main words, primary, necessary, search terms

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 6

Sample APA Paper: Professional Format for Graduate/Doctoral Students

The title of your paper goes on the top line of the first page of the body (American

Psychological Association [APA], 2019, section 2.11). It should be centered, bolded, and in title

case (all major words—usually those with four+ letters—should begin with a capital letter)—see

p. 51 of your Publication Manual of the American Psychological Association: Seventh Edition

(APA, 2019; hereinafter APA-7). It must match the title that is on your title page (see last line on

p. 32). As shown in the previous sentence, use brackets to denote an abbreviation within

parentheses (bottom of p. 159). Write out the full name of an entity or term the first time

mentioned before using its acronym (see citation in first sentence in this paragraph), and then use

the acronym throughout the body of the paper (section 6.25).

There are many changes in APA-7. One to mention here is that APA-7 allows writers to

include subheadings within the introductory section (APA, 2019, p. 47). Since APA-7 now

regards the title, abstract, and term “References” to all be Level-1 headings, a writer who opts to

include headings in his or her introduction must begin with Level-2 headings as shown above

(see section 2.27) for any divisions within the introductory section.

If you do choose to include headings in your introduction section (which is optional), be

sure to include two or more subheadings, since APA (2019) forbids stand-alone heading levels.

A second notable change in APA-7 is that writers are no longer required to cite their source every

single sentence that content from it is mentioned (section 8.1). As demonstrated in this paper,

since all of the content (other than the examples included for illustration and reference-entry

variation purposes) comes directly from the APA-7 itself, citations to the APA-7 are only

included for the first instance in each paragraph. Section and/or page numbers are included

parenthetically throughout for the sake of students who desire to know exactly where the stated

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 7

rule appears in the APA-7 itself. In your academic papers, however, it is critical to include the

required author(s) and year, as applicable, for all citations that are included; this may include

more than one citation for each resource per paragraph, as required to avoid any confusion about

the source of that content.

Basic Rules of Scholarly Writing

Most beginning students have difficulty learning how to write papers and also format

papers correctly using the seventh edition of the APA manual. However, the Liberty University

Online Writing Center’s (OWC) mission includes helping students learn how to be autonomous,

proficient writers. The OWC also provides students with templates to help them with basic

formatting elements, but this sample paper is designed to help graduate and doctoral students

learn to master APA rules and formatting on their own, which will prove helpful as they progress

in their studies and work toward future publication in scholarly journals.

For the purpose of instruction, this paper will use second person (you, your), but third

person (this author) must be used in most student papers. First person (I, me, we, us, our) is not

generally permitted in academic papers. Students should refrain from using first or second person

in college courses (even though the APA manual encourages this in other writing venues) unless

the assignment instructions clearly permit such (as in the case of personal reflection sections or

life histories). If in doubt, students should clarify with their professors.

APA-7 delineates separate rules and guidelines between “student” and “professional”

writers (APA, 2019). Because a primary purpose of graduate and doctoral studies is to prepare

those students to publish professionally, Liberty University has decided to have undergraduate

students follow APA-7’s guidelines for “student papers,” and graduate/doctoral students follow

APA-7’s guidelines for “professional papers.” Separate templates are available for each level.

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 8

This sample paper illustrates and discusses the rules and formatting of professional papers, as

required for all Liberty University graduate and doctoral courses using APA-7 style.

Brief Summary of Changes in APA-7

Most of these changes will be discussed in more detail below; this is just a very brief

overview here. APA-7 reverts back to only one space after closing punctuation in the body of the

paper (APA-6 required two spaces; APA, 2019, section 6.1). Student (undergraduate) papers no

longer include a running head or abstract (sections 2.2 and 2.8); professional (graduate/doctoral)

papers require an abstract but the running head is now the same on all pages (the added phrase

“Running head:” from APA-6 has been eliminated; see section 2.8). Title pages are different for

both student and professional formats. The title of a paper is no longer limited to 12 words

(section 2.4).

Citations of all resources with three or more authors now use the first author’s last name

and the term et al. (APA, 2019, section 8.17). Reference entries must name up to the first 19

authors before adding an ampersand and ellipsis (up from APA-6’s six authors; section 9.8).

APA-7 omits the phrase DOI and instead standardizes DOIs to be presented in hyperlink format

(i.e., https://doi.org/10.1177%2F1524838017742386; section 9.35). Formatting guidelines for

annotated bibliographies are included in APA-7 (section 9.51), as well as expanded and

standardized reference entry examples. As discussed above, it is no longer necessary to cite a

source every single time you refer to content gleaned from it as long as it is clear the content

comes from that source (section 8.1); APA-7 also expanded the specific location noted in the

citation to include page, paragraph, section (as used throughout this sample paper, to direct the

student to the exact relevant content), chapter, timestamp, etc. (section 8.13).

APA-7 allows for “self-plagiarism” (clarified and defined below). It also invites writers to

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 9

highlight the most relevant work first, rather than just present all works in alphabetical order

(APA, 2019, section 8.12).

Heading-level formatting has changed, and APA-7 provides more flexibility in font and

line spacing (APA, 2019). The Bible must now be included in the reference list and its citations

must include the editor’s details and year (section 8.28); there are also new rules for dictionary

entries. Publisher city and state details are omitted from all reference entries except those

involving presentations or conferences, as is the phrase “retrieved from.” Hyperlinks should be

live, but they may be either presented as blue underlining or plain black text.

Running Head, Author Note, and Abstract

APA (2019) delineates separate formatting requirements for what it terms “student” and

“professional” papers. Its descriptions for those labels, however, suggests that it regards

undergraduate-level writing to fall within the student purview, and graduate/doctoral-level

writing (including dissertations and theses) to fall within the professional purview. Since a

significant goal in graduate and post-graduate studies is preparing those students to publish in

scholarly journals at and beyond graduation, it makes sense to train those students in the

formatting that is required for professionals. As such, Liberty University has opted to require the

APA-7’s “student” version format for all undergraduate assignments using APA, and its

“professional” version for all graduate and doctoral assignments. To that end, this being the

sample paper for professional formatting, it includes the additional elements required for such: a

running head (same on all pages), an author’s note, and an abstract. Graduate and doctoral

students will use this format. Note that the first “paragraph” under the author’s note is generally

only included if the author has an ORCID number, which most students will not have. However,

it is included in this sample paper and the corresponding template because the purpose of these

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 10

resources is to prepare students to publish manuscripts post-graduation. The student’s full

address, however, is intentionally omitted from the Liberty University template and this sample

paper for privacy and safety reasons, since student papers are often unfortunately published

online and disclosing their home addresses could pose safety risks.

Basic Formatting Elements

Font

APA-7 does not prescribe a specific font or size (APA, 2019, section 2.19) but rather

allows for some choice (e.g., 12-point Times New Romans, 11-point Calibri, 11-point Arial, 11-

point Georgia, or 10-point Lucinda Sans Unicode). Most journals and academic institutions will

have a preference, however, as even APA-7 acknowledges on p. 44. For this reason—and

because font size can easily be changed if an editor interested in publishing a student’s work

prefers a different font—Liberty University recommends that students use 12-point Times New

Romans or 11-point Calibri font for the body text in all academic papers. Data in charts, figures,

and tables should be presented in 8- to 14-point size in either Calibri, Arial, or Lucinda Sans

Unicode font. Students are not permitted to use any fonts such as script, calligraphy, poster,

decorative, or others not found in published scholarly journals. Since APA-7 itself authorizes a

variety of fonts and sizes, assignments will be gauged by word count rather than page count.

Word count constitutes the number of words within the body of the paper, and excludes the title

page, abstract, reference list, appendices, and other supplemental resources.

Line Spacing

APA-7 adds extra/blank lines on the title page (APA, 2019, sections 2.5, 2.7, 2.21). It also

specifies that spacing in tables and figures may be single-, 1-1/2-, or double-spaced; equations

can be triple- or quadruple-spaced. Footnotes, when used at the bottom of a page, should be

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 11

single-spaced (section 2.21).

Spaces After Punctuation

APA-7 reverts back to just one space after closing punctuation in the body of the paper, as

well as in reference entries (APA, 2019, section 6.1). Ordinarily, it would be improper to have a

paragraph with only one sentence, though APA itself asserts that for its purposes “sentences and

paragraphs of any length are technically allowed.”1

Footnotes

This leads to another new rule in APA-7, one allowing the inclusion of footnotes (APA,

2019, section 2.13). Footnotes should be use very sparingly and are appropriate to include

information such as that in the prior section to alert the reader to supplemental material that is

available online for that thought. Though APA-7 authorizes placement of footnote content either

at the bottom of the page (as in this sample paper) or on a separate page after the reference list

(section 2.21), Liberty University recommends that student place them, when used, at the bottom

of the page, as shown here.

Heading Levels—Level 1

This sample paper uses primarily two levels of headings (Levels 1 and 2). APA style,

however, has five heading levels, which will be demonstrated briefly for visual purposes. See

section 2.27 of your APA-7 (APA, 2019) for more details on heading levels and formatting. In

APA-7, all heading levels are now bolded and in title case (capitalize each major word—usually

those with four or more letters, including hyphenated compound words). Do not capitalize

articles (a, an, the) in headings unless they begin a title or follow a colon. Level 1 headings are

centered, with the content falling on the line beneath each, in standard paragraph format.

1 See https://blog.apastyle.org/apastyle/2016/05/index.html

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 12

Many students misunderstand that you progress from Level 1 to Level 2 to Level 3 to

Level 4 to Level 5, but that is not correct. In fact, your paper may have only Level 1 headings, or

just Levels 1 and 2. The rule of thumb is that you must have at least two of each heading level

that you use, otherwise omit that heading level.

Headings are basically styling ways of organizing your paper, without using an outline

format. APA specifies five levels of headings; you would likely never use Level 5 and only very

rarely use Level 4 as a student. Think of each level as the different levels in an outline. Roman

numerals, for example, would be Level 1 headings. Capital letters would be Level 2 headings.

Numerals would be Level 3 headings. Lowercase letters would be Level 4. And lowercase

Roman numerals would be Level 5. You must always have two or more of each subheading, but

you do not need every level. You start with Level 1 and work down from that (but not

consecutive 1-2-3-4-5). Under a Level 1, you would either have two+ Level 2 headings or none

at all (just one big section in paragraphs before the next Level 1 section).

Special note about conclusion sections: Please note that some of the sample papers

published by APA to demonstrate proper APA-7 format (including the “professional” sample on

pp. 50-60 of the APA-7 manual) depict the “Conclusion” section with a Level-2 heading. This is

limited to empirical papers that are being submitted for publication in scholarly journals, as those

conclusions pertain to the “Discussion” sections in such papers and are not conclusions of the

overall papers themselves. Conclusions in academic papers at Liberty University will be Level 1

headings (including dissertations and theses, which are divided by chapters, unlike journal article

manuscripts).

Level 2 Heading

Level 2 headings are left-justified (APA, 2019, p. 48). The supporting information is

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 13

posed in standard paragraph form beneath it. Never use only one of any level of heading. You

must use two or more of any level you use, though not every paper will require more than one

level. The heading levels are simply demonstrated here for visual purposes, but you would

always have two or more of each under a larger heading, as shown throughout all the other

sections of this sample paper.

Level 3 Heading

Level 3 headings are bolded, left-justified, and italicized; the content falls on the line

underneath, as with Levels 1 and 2.

Level 4 Heading. Must be bolded and indented ½”. Add a period, one space, and begin

your content on the same line as shown here.

Level 5 Heading. Same as Level 4, but also italicized. Despite heavy writing experience,

this author has never used Level 5 headings.

Specific Elements of Academic Papers

Tables of Contents and Outlines

APA (2019) does not regulate every type of paper and some elements in various

assignments are not addressed in the APA-7 manual, including outlines and tables of content. In

those cases, follow your professor’s instructions and the grading rubric for the content and

format of the outline or annotations, and use standard APA formatting for all other elements

(such as running head, title page, body, reference list, 1" margins, double-spacing, permitted

font, etc.). Note that most academic papers will not require a table of contents, nor would one be

appropriate. One was included in this paper simply for ease-of-access so students could go

directly to the content they want to see. Generally speaking, no table of contents would be

necessary for papers less than 20 pages of content, unless otherwise required by your professor.

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 14

That being said, when organizing outlines in APA format, set your headings up in the

proper levels (making sure there are at least two subheadings under each level), and then use

those to make the entries in the outline. As discussed above, Level 1 headings become uppercase

Roman numerals (I, II, III), Level 2 headings become capital letters (A, B, C), Level 3 headings

become numbers (1, 2, 3), Level 4 headings become lowercase letters (a, b, c), and Level 5

headings become lowercase Roman numerals (i, ii, iii). Many courses now require “working

outlines,” which are designed to have the bones and foundational framework of the paper in

place (such as title page, abstract, body with title, outline/heading divisions, supporting content

with citations, and references), without the full “meat” that fills out and forms a completed paper.

Annotated Bibliographies

Many Liberty University courses also now require students to prepare and submit an

annotated bibliography as a foundational step to building a research paper. There is significant

merit in these assignments, as they teach students to critique the resources they have found and

rationalize why each is relevant for their paper’s focus. APA (2019) includes a section on

annotated bibliographies (9.51; see the example provided on p. 308). The appendix attached to

this sample paper also includes a sample annotated bibliography.

Appendices

Appendices, if any, are attached after the reference list (APA, 2019, section 2.14). You

must refer to them (i.e., “callout”) in the body of your paper so that your reader knows to look

there (see the yellow-highlighted callouts to Table 1 on p. 54 and to Footnote 1 on p. 55 of your

APA-7 for visuals on how this should appear in your paper). The word “Appendix” is singular;

use it to refer to individual appendices. APA-7 regards it as a Level 1 heading so it should be

bolded. I attached a sample Annotated Bibliography as a visual aid (see Appendix). You will see

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 15

that I included the title “Appendix” at the top of the page and formatted it in standard APA

format beneath that. Because I only included one appendix, it is simply titled as such. If there are

more appendices, assign a letter to each and denote each by that: “Appendix A” and “Appendix

B.”

Crediting Your Sources

Paraphrasing and Direct Quotes

Paraphrasing is rephrasing another’s idea in one’s own words by changing the wording

sufficiently without altering the meaning (remember not to just change a word here or there or

rearrange the order of the original source’s wording). Quoting is using another’s exact words.

Both need to be cited; failure to do so constitutes plagiarism. Include the author(s) and year for

paraphrases, and the author(s), year, and page or paragraph number for direct quotes. APA-7 also

expands this to include figure number, time stamp, etc.—whatever detail is necessary to get the

reader directly to that content. Page numbers should be used for any printed material (books,

articles, etc.), and paragraph numbers should be used in the absence of page numbers (online

articles, webpages, etc.; see APA, 2019, section 8.13). Use p. for one page and pp. (not italicized

in your paper) for more than one (section 8.25). Use para. for one paragraph and paras. (also not

italicized in your paper) for two or more (section 8.28). For example: (Perigogn & Brazel, 2012,

pp. 12–13) or (Liberty University, 2019, para. 8). Section 8.23 of the APA (2019) manual

specifies that it is not necessary to include a page or paragraph number for paraphrases (just for

direct quotes), but writers may choose to do so to help their readers find that content in the cited

resource.

When naming authors in the text of the sentence itself (called a narrative citation), use the

word “and” to connect them. For example, Perigogn and Brazel (2012) contemplated that . . .

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 16

Use an ampersand (&) in place of the word “and” in parenthetical citations and reference lists:

(Perigogn & Brazel, 2012).

Paraphrasing

Only use quotes when the original text cannot be said as well in your own words or

changing the original wording would change the author’s meaning. You cannot simply change

one word and omit a second; if you paraphrase, the wording must be substantially different, but

with the same meaning. Regardless, you would need to cite the resource you took that

information from. For example, Benoit et al. (2010) wrote that “although, a link between

attachment and posttraumatic stress disorder (PTSD) symptoms has been established, the

mechanisms involved in this link have not yet been identified” (p. 101). A paraphrase for that

quote might be: A link between dysfunctional attachment and the development of PTSD has

been made, though there is insufficient data to determine exactly how this mechanism works

(Benoit et al., 2010).

Block Quotes

Quotes that are 40 or more words must be blocked, with the left margin of the entire

quote indented ½ inch. Maintain double-spacing of block quotes. APA prefers that you introduce

quotes but note that the punctuation falls at the end of the direct quote, with the page number

outside of that (which is contrary to punctuation for non-blocked quotes). For example, Alone

(2008) claims:2

Half of a peanut butter sandwich contains as much bacteria as the wisp of the planet

Mars. Thus, practicality requires that Mrs. Spotiker nibble one bit at a time until she is

assured that she will not perish from ingesting it too quickly. (p. 13)

2 Note that there are no quotation marks for block quotes, as shown in the example.

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 17

Usually quotes within quotes use single quotation marks; however, use double quotation marks

for quotes within blocked quotes, since there are no other quotation marks involved. Also

understand that direct quotes should be used sparingly in scholarly writing; paraphrasing is much

preferred in APA format (APA, 2019, section 8.23), as it demonstrates that you read, understood,

and assimilated other writers’ content into one cohesive whole.

How Often to Cite Your Source in Each Paragraph

As already mentioned above, APA’s (2019) new official rule is that you no longer must

cite your source every single time you refer to material you gleaned from it (section 8.1). It is

now acceptable to cite your source the first time you refer to content from it in your paragraph,

and then not again in that same paragraph unless your phrasing does not make the source of your

content clear. This is demonstrated throughout this sample paper.

Rule for Omitting the Year of Publication

That being said, APA (2019) has clarified its special rule that excludes the year of

publication in subsequent narrative in-text citations (when you name the authors in the text of the

sentence itself), after the first narrative citation in each paragraph. It should continue to appear in

all parenthetical citations (see section 8.16). For example, Alone (2008) portrays imagery of Mrs.

Spotiker. This includes her devouring a peanut butter sandwich (Alone, 2008). Alone conveys

this through the lens of astronomy. Note that the year of publication was omitted from the second

narrative citation (underlined for visual purposes).

Arranging the Order of Resources in Your Citations

If the material you cited was referred to in multiple resources, separate different sets of

authors with semicolons, arranged in the order they appear (alphabetically by the first author’s

last name) in the reference list (i.e., Carlisle, n.d.-a; Prayer, 2015) (APA, 2019, section 8.12).

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 18

APA-7 now invites writers to prioritize or highlight one or more sources as most prominent or

relevant for that content by placing “those citations first within parentheses in alphabetical order

and then insert[ing] a semicolon and a phrase, such as ‘see also,’ before the first of the remaining

citations” (APA., 2019, p. 263)—i.e., (Cable, 2013; see also Avramova, 2019; De Vries et al.,

2013; Fried & Polyakova, 2018). Periods are placed after the closing parenthesis, except with

indented (blocked) quotes.

Two Works by the Same Author in the Same Year

Authors with more than one work published in the same year are distinguished by lower-

case letters after the years, beginning with a (APA, 2019, section 8.19). For example, Double

(2008a) and Double (2008b) would refer to resources by the same author published in 2008.

When a resource has no date, use the term n.d. followed by a dash and the lowercase letter (i.e.,

Carlisle, n.d.-a and Carlisle, n.d.-b; see APA, 2019, section 8.19).

Two Works by Two Different Authors with the Same Last Name

Citations in the body of the paper should include only the last names, unless you have

two or more resources authored by individuals with the same last name in the same year (or are

citing a personal communication). When there are two different authors with the same last name

but different first names who published in the same year, include the first initials: Brown, J.

(2009) and Brown, M. (2009) (APA, 2019, section 8.20).

Three or More Authors Cited In-Text

When referring to material that comes from three or more authors, APA-7 now requires

that all citations name just the first author’s last name followed by the words et al. (without

italics) (APA, 2019, section 8.17). Et al. is a Latin abbreviation for et alii, meaning “and others,”

which is why the word “al.” has a period, whereas “et” does not. Alone et al. (2011) stipulated

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 19

that peacocks strut. Every single time I refer to their material, I would apply APA-7’s rule: Alone

et al. (2011) or (Alone et al., 2011). Since et al. denotes plural authors, the verb must be plural to

match, too: Alone et al. (2011) are… This applies to all citations within the body of the paper

with three or more authors.

Number of Authors in the Reference List

For resources with 20 or fewer authors in the reference list, write out all of the authors’

last names with first and middle initials, up to and including the 20th author (APA, 2019, section

9.8). APA-7 has a special rule for resources with 21 or more authors: Write out the first 19

authors’ last names with initials, insert an ellipsis (…) in place of the ampersand (&), and finish

it with the last name and initials of the last author. See example #4 provided on page 317 of your

APA-7, as well as this paper’s reference list for visuals of these variances (Acborne et al. 2011;

Kalnay et al., 1996).

Numbers

Numbers one through nine must be written out in word format (APA, 2019, section 6.33),

with some exceptions (such as ages—see section 6.32). Numbers 10 and up must be written out

in numerical format (section 6.32). Always write out in word format any number that begins a

sentence (section 6.33).

Displaying Titles of Works in-Text

The names of journals, books, plays, and other long works, if mentioned in the body of

the paper, are italicized in title case (APA, 2019, section 6.17). Titles of articles, lectures, poems,

chapters, website articles, and songs should be in title case, encapsulated by quotation marks

(section 6.7). The year of publication should follow the author’s name, whether in narrative or

parenthetical format: Perigogn and Brazel (2012) anticipated…, or (Perigogn & Brazel, 2012).

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 20

The page or paragraph number must follow after the direct quote. Second (2015) asserted that

“paper planes can fly to the moon” (p. 13). You can restate that with a parenthetical citation as:

“Paper planes can fly to the moon” (Second, 2015, p. 13). Second (2011) is another resource by

the same author in a different year.

Primary Sources versus Secondary Sources

APA (2019) strongly advocates against using secondary sources; rather, it favors you

finding and citing the original (primary) resource whenever possible (section 8.6). On the rare

occasion that you do find it necessary to cite from a secondary source, both the primary (who

said it) and secondary (where the quote or idea was mentioned) sources should be included in the

in-text citation information. If the year of publication is known for both resources, include both

years in the citation (section 8.6). Only the secondary source should be listed in the reference

section, however. Use “as cited in” (without the quotation marks) to indicate the secondary

source. For example, James Morgan hinted that “goat milk makes the best ice cream” (as cited in

Alone, 2008, p. 117). Morgan is the primary source (he said it) and Alone is the secondary

source (he quoted what Morgan said). Only the secondary source is listed in the reference section

(Alone, and not Morgan) because if readers want to confirm the quote, they know to go to page

117 of Alone’s book.

Personal Communications

APA (2019) rationalizes the exclusion of references for information obtained through

personal communication (such as an interview, email, telephone call, postcard, text message, or

letter) in the reference list because your readers will not be able to go directly to those sources

and verify the legitimacy of the material. Instead, these items are cited only in the body of the

paper. You must include the individual’s first initial, his or her last name, the phrase “personal

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 21

communication” (without the quotation marks), and the full date of such communication (section

8.9). As with other citations, such citations may be either narrative or parenthetical. For example,

L. Applebaum advised him to dip pretzel rolls in cheese fondue (personal communication, July

13, 2015). The alternative is that he was advised to dip pretzel rolls in cheese fondue (L.

Applebaum, personal communication, July 13, 2015). Note that there is no entry for Applebaum

in the reference list below.

Resources Canonically Numbered Sections (i.e., the Bible and Plays)

These resources should be cited in book format (APA, 2019, Section 9.42). The Bible and

other religious works are generally regarded as having no author; an annotated version would be

treated as having an editor. Include republished dates as necessary. The OWC will publish a list

of reference entries for various Bible versions on its APA Quick Guide webpage.

Bible and other Classical Works

Works such as the Bible, ancient Greek or Roman works, and other classical works like

Shakespeare must be cited in the body of the paper (APA, 2019, section 8.28). APA-7 now also

requires that they be included in the reference list, too (section 9.42), which is a significant

change from APA-6. Republished dates are included as well (see section 9.41). As such, you

would add a parenthetical phrase at the end of your reference entry with the original publication

details; note that there should be no punctuation following such parenthetical content at the end

of a reference entry (the reference entries depicting this in the reference list below are correctly

punctuated).

Citations for the Bible will include the Bible version’s name in the author’s position (as

an anonymous work), original and republished years, and then the book chapter/verse (spelled

out) in place of the page number (i.e., King James Bible, 1769/2017, Genesis 3:8)—see sections

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 22

8.28 and 9.42. Note that APA (2019) requires book titles to be italicized in every venue,

including citations and reference entries. Because Liberty University is a distinctly-Christian

institution and many of its courses require biblical integration, most if not all of its students will

cite the Bible in virtually every course. The examples provided on pp. 274 and 325 of APA-7 are:

(note the italics in each)

 Narrative citation: King James Bible (1769/2017)

 Parenthetical citation: (King James Bible, 1769/2017, Song of Solomon 8:6)

 Reference entry: King James Bible. (2017). King James Bible Online.

https://www.kingjamesbibleonline.org/ (Original work published 1769)

Plays

When citing plays, “cite the act, scene, and line(s), in a single string, separated by

periods. For example, ‘1.3.36-37’ refers to Act 1 Scene 3, Lines 36-37” (APA, 2019, section

8.28; see also example #37 on p. 325).

Lectures and PowerPoints

APA (2019) has expanded and standardized its rules for citations and reference entries in

an effort to best credit the original sources. It now includes rules for crediting content in course

or seminar handouts, lecture notes, and PowerPoint presentations (see #102 on p. 347). When

citing a PowerPoint presentation, include the slide number rather than the page number. For

purposes of Liberty University course presentations and lectures (which are not readily available

to the public), reference each as a video lecture with the URL (if available) for the presentation,

naming the presenter(s) in the author’s position. Include the course number, lecture title, and

enough details for others to identify it within that course, in a sort of book format, naming

Liberty University as publisher. Peters (2012) is an example of this in the reference list of this

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 23

paper. If the presenter for a Liberty University class lecture is not named, credit Liberty

University as the author; see Liberty University (2020) in the reference list below as an example.

Dictionary Entries

In keeping with its efforts to standardize reference entries, APA (2019) now requires

citation and referencing of word definitions from dictionaries to follow the same rules for

chapters in an edited book (see #47 and #48 on p. 328; section 8.13). As such, you will now

name either the individual, group, or corporate author of the dictionary in the author’s place (e.g.,

Merriam-Webster, n.d.). If you searched online, include the retrieval date and the URL to the

exact webpage. If you used a hard copy book, include the publisher details. The in-text citation

in the body of the paper would follow standard author/year format (e.g., Merriam-Webster, n.d.).

Changes in Reference Entries

There are a number of notable changes in APA-7 from past versions. For the most part,

these simplify and unify the formats to be more consistent across the different resource venues.

Some of these have already been discussed above (i.e., naming up to 19 authors’ names before

adding an ellipsis, and crediting authors and editors of classical works and dictionaries). Other

changes include italicizing names of webpages and website resources in the reference list (APA,

2019, section 6.22), as well as book titles even when named in the author’s position (such as

King James Bible). The city and state locations of publishers are no longer required; only include

those details “for works that are associated with a specific location, such as conference

presentations” (p. 297, section 9.31). Issue numbers are required for all journal articles that have

such, regardless of what page number each issue begins with (section 9.25). If two or more

publishers are listed on the copyright page, include all of them in the order listed, separated by

semicolons (section 9.29). Omit the word Author in the publisher’s place when it is the same as

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 24

the author (section 9.24).

Electronic Sources

Note that since the APA 6th edition was published in 2010, great strides have been made

in online and electronic resource accessibility, and APA’s position on electronic resources has

shifted to embrace this. More and more resources are available electronically through the

Internet. The advent of this increased availability has resulted in APA-7’s effort to standardize

the formatting of resources, which in turn simplifies them to some extent. All reference entries

follow the same basic details: Author(s), year of publication, name of resource, and location

details (i.e., either journal name/volume/issue/page numbers, or book publisher, or webpage).

APA (2019) requires inclusion of a Digital Object Identifier (DOI) in the references

whenever available (section 9.34); if not, then a webpage, if available. In keeping with its

unification of resources, APA-7 now standardizes all DOIs and URLs to be presented in

https://doi.org/10.1177%2F1524838017742386 format. The phrase “Retrieved from” is now

excluded except when the content may have changed (such as dictionary entries, Twitter profiles,

Facebook pages; see section 9.16). APA-7 requires all hyperlinks to be active (so your reader can

click on one to go directly to that webpage), but they may appear as either blue-underlined text

or simple black text (section 9.35). There should be no period after any URL. APA-7 no longer

requires authors to break long URLs with soft returns (hold down the Shift key and press the

Enter key) at forward slashes, periods, or underscores to avoid unsightly spacing gaps, but it may

be best to do so in academic papers.

Adding Color

Though APA (2019) authorizes writers to include the use of color in photographs and

figures (section 7.26), Liberty University discourages this in academic papers. It risks becoming

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 25

distracting for both students in their quest to be creative, and professors in their quest to focus on

academic content.

Self-Plagiarism

APA (2019) also invites writers to repurpose some of their work in future papers.

Specifically, APA-7 states that:

In specific circumstances, authors may wish to duplicate their previously used works

without quotation marks or citation …, feeling that extensive self-referencing is

undesirable or awkward and that rewording may lead to inaccuracies. When the

duplicated material is limited in scope, this approach is permissible. (p. 8.3)

APA-7 adds “Do not use quotation marks or block quotation formatting around your own

duplicated material” (p. 256).

Liberty University, however, has stringent rules against self-plagiarism, as do many

scholarly journals. Liberty University students receive grades for their class papers; those who

have received feedback and a grade from a prior professor on a prior paper have an advantage

over their classmates, both in having the benefit of that feedback/grade and in not having to write

a whole paper from scratch during the subsequent class. Student papers are also submitted to

SafeAssign to deter plagiarism. For these reasons, Liberty University expressly forbids students

using significant portions of a prior paper in a subsequent course (either a retake of the same

course or a new class altogether). It is conceivable that students who are building their

knowledge base in a subject matter—particularly at the graduate and post-graduate levels—

would reasonably justify incorporating brief excerpts from past papers into current ones. In such

case, Liberty University authorizes students to utilize APA-7’s disclosure (i.e., “I have previously

discussed”), along with a citation to the prior class paper and a reference entry (i.e., Owen, 2012;

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 26

Yoo et al., 2016). Such self-references and re-use of content from prior papers should be used

sparingly and disclosed fully in the current paper; that content should not constitute a significant

portion of any academic assignment, however.

Final Formatting Tweaks

The templates provided by Liberty University are already formatted with proper spacing,

margins, heading level structure, and hanging indents, as necessary. With the exceptions of the

title page, figures, and equations, papers in APA format should be double-spaced throughout,

with no extra spacing between lines. Academic papers at Liberty University should also be in

one of the accepted fonts throughout (recommended: Times New Romans, 12-point font).

Sometimes when you format your paper or cut-and-paste material into it, things get skewed. One

quick way to ensure that your paper appears correct in these regards is to do a final formatting

tweak after you have completed your paper. Hold down the “Ctrl” button and press the “A” key,

which selects and highlights all of the text in your paper. Then go to the Home tab in Microsoft

Word and make sure that whichever acceptable font/size you choose to use is selected in the Font

box. Next, click on the arrow at the bottom of the Paragraph tab. Set your spacing before and

after paragraphs to “0 pt” and click the “double” line spacing. The extra spacing required on the

title page is already programmed into the template and should not change even when you

complete these actions.

Exhaustive Reference List Examples & Additional Helpful Resources

The reference list at the end of this paper includes an example of a myriad of different

sources and how each is formatted in proper APA-7 format. One example of each of the primary

types of resources will be included in the reference list, as cited in the body of this paper.

Remember that, for purposes of this paper only, many of the sources cited in the body of the

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 27

paper were provided for illustrative purposes only and thus are fictional, so you will not be able

to locate them if you searched online. Nevertheless, in keeping with APA-7 style, all resources

cited in the body of the paper are included in the reference list and vice versa (except for personal

communications, per APA-7’s published exceptions). Be absolutely sure that every resource cited

in the body of your paper is also included in your reference list (and vice versa), excepting only

those resources with special rules, such as personal communications and primary sources you

could not access directly.

The reference list in this paper is fairly comprehensive and will include a book by one

author who also appears as one of many authors in another resource (Alone, 2008; Alone et al.,

2011); chapters in edited books (Balsam et al., 2019; Haybron, 2008; Perigogn & Brazel, 2012;

Weinstock et al., 2003); electronic version of book (Strong & Uhrbrock, 1923); electronic only

book (O’Keefe, n.d.); edited books with and without DOIs, with multiple publishers (Hacker

Hughes, 2017; Schmid, 2017); work in an anthology (Lewin, 1999); journal articles (Andrews,

2016; Carlisle, n.d.-a, n.d.-b; De Vries R. et al., 2013; McCauley & Christiansen, 2019);

newspaper article (Goldman, 2018; Guarino, 2017); online webpages (Liberty University, 2019;

Prayer, 2015); resource with corporate author as publisher (American Psychological Association,

2019); resources by two authors with the same last name but different first names in the same

year of publication (Brown, J., 2009; Brown, M., 2009); two resources by same author in the

same year (Double, 2008a, 2008b; Carlisle, n.d.-a, n.d.-b); two resources by the same author in

different years (Second, 2011, 2015); resource with 20 authors (maximum allowed by APA-7

before special rule applies) (Acborne et al., 2011); resource with 21 or more authors (Kalnay et

al., 1996); dictionary entries (American Psychological Association, n.d.; Graham, 2019;

Merriam-Webster, n.d.); Liberty University class lecture using course details (Peters, 2012);

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 28

PowerPoint slides or lecture notes, not including course details (Canan & Vasilev, 2019); citing a

student’s paper submitted in a prior class, in order to avoid self-plagiarism (Owen, 2012);

unpublished manuscript with a university cited (Yoo et al., 2016); code of ethics (American

Counseling Association, 2014); diagnostic manual (American Psychiatric Association, 2013);

religious and classical works, including the Bible (Aristotle, 350 BC/1994; King James Bible,

1769/2017; Shakespeare, 1623/1995); dissertation or thesis (Hollander, 2017; Hutcheson, 2012);

review of a book (Schatz, 2000); video (Forman, 1975); podcast (Vedentam, 2015); recorded

webinar (Goldberg, 2018); YouTube or other streaming video (University of Oxford, 2018); clip

art or stock image (GDJ, 2018); map (Cable, 2013); photograph (McCurry, 1985); data set (Pew

Research Center, 2018); measurement instrument (Friedlander et al., 2002); manual for a test,

scale, or inventory (Tellegen & Ben-Porah, 2011); test, scale, or inventory itself (Project

Implicit, n.d.); report by a government agency or other organization (National Cancer Institute,

2018); report by individual authors at a government agency or other organization (Fried &

Polyakova, 2018); annual report (U.S. Securities and Exchange Commission, 2017); conference

session (Fistek et al., 2017); and webpages (Avramova, 2019; Centers for Disease Control and

Prevention, 2018; National Nurses United, n.d.; U.S. Census Bureau, n.d.).

Lastly, below are a few webpages that address critical topics, such as how to avoid

plagiarism and how to write a research paper. Be sure to check out Liberty University’s Online

Writing Center (https://www.liberty.edu/online/casas/writing-center/) for more tips and tools, as

well as its Facebook page (https://www.facebook.com/groups/LUOWritingCenter). Remember

that these links are only provided for your easy access and reference throughout this sample

paper, but web links and URLs should never be included in the body of scholarly papers; just in

the reference list. Writing a research paper (https://www.youtube.com/watch?v=zaa-PTexW2E

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 29

or https://www.youtube.com/watch?v=KNT6w8t3zDY and avoiding plagiarism

(https://www.youtube.com/watch?v=VeCrUINa6nU).

Conclusion

The conclusion to your paper should provide your readers with a concise summary of the

main points of your paper (though not via cut-and-pasted sentences used above). It is a very

important element, as it frames your whole ideology and gives your readers their last impression

of your thoughts. Be careful not to introduce new content in your conclusion.

After your conclusion, if you are not using the template provided by the Online Writing

Center, insert a page break at the end of the paper so that the reference list begins at the top of a

new page. Do this by holding down the “Ctrl” key and then clicking the “Enter” key. You will go

to an entirely new page in order to start the reference list. The word “References” (not in

quotation marks) should be centered and bolded. Items in the reference list are presented

alphabetically by the first author’s last name and are formatted with hanging indents (the

second+ lines of each entry are indented 1/2” from the left margin). APA authorizes the use of

singular “Reference” if you only have one resource.3 Students would, of course, NOT include

any color-coding or footnotes in their reference entries. However, for the sake of clarity and

ease in identifying what each entry represents, each one included in the reference list of this

sample paper is color-coordinated to its corresponding footnote, with a brief description of what

each depicts.

3 https://apastyle.apa.org/instructional-aids/creating-reference-list.pdf

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 30

References

Acborne, A., Finley, I., Eigen, K., Ballou, P., Gould, M. C., Blight, D., Callum, M., Feist, M.,

Carroll, J. E., Drought, J., Kinney, P., Owen, C., Owen, K., Price, K., Harlow, K.,

Edwards, K., Fallow, P., Pinkley, O., Finkel, F., & Gould, P. P. (2011). The emphasis of

the day after tomorrow. Strouthworks. 4

Alone, A. (2008). This author wrote a book by himself. Herald Publishers. 5

Alone, A., Other, B., & Other, C. (2011). He wrote a book with others, too: Arrange

alphabetically with the sole author first, then the others. Herald Publishers. 6

American Counseling Association. (2014). 2014 ACA code of ethics.

https://www.counseling.org/knowledge-center 7

American Psychiatric Association. (2013). Diagnostic and statistical manual of mental disorders

(5th ed.). https://www.doi.org/10.1176/appi.books.9780890425596 8

American Psychological Association. (n.d.). Positive transference. In APA dictionary of

psychology. Retrieved August 31, 2019, from https://dictionary.apa.org/positive-

transference 9

American Psychological Association. (2019). Publication manual of the American Psychological

Association (7th ed.). 10

4 Resource with 20 authors (maximum allowed by APA before special rule applies).

5 Entry by author who also appears as one of many authors in another resource (single author

appears first in list).

6 Multiple authors appear after same single-author resource.

7 Code of ethics.

8 Diagnostic manual.

9 Entry in a dictionary, thesaurus, or encyclopedia, with group author.

10 Resource with corporate author as publisher.

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 31

Andrews, P. M. (2016). Congruence matters. Educational Leadership, 63(6), 12-15. 11

Aristotle. (1994). Poetics (S. H. Butcher, Trans.). The internet Classics Archive.

http://classics.mit.edu/Aristotle/poetics.html (Original work published ca. 350 B.C.E.) 12

Avramova, N. (2019, January 3). The secret to a long, happy, heathy life? Think age-positive.

CNN. https://www.cnn.com/2019/01/03/health/respect-toward-elderly-leads-to-long-life-

intl/index.html 13

Balsam, K. F., Martell, C. R., Jones, K. P., & Safren, S. A. (2019). Affirmative cognitive

behavior therapy with sexual and gender minority people. In G. Y. Iwamasa & P. A.

Hays (Eds.), Culturally responsive cognitive behavior therapy: Practice a supervision

(2nd ed., pp. 287-314). American Psychological Association.

https://doi.org/10.1037/0000119-012 14

Benoit, M., Bouthillier, D., Moss, E., Rousseau, C., & Brunet, A. (2010). Emotion regulation

strategies as mediators of the association between level of attachment security and PTSD

symptoms following trauma in adulthood. Anxiety, Stress, and Coping, 23(1), 101-118.

http://dx.doi.org/10.1080/10615800802638279

Brown, J. (2009). Ardent anteaters. Brockton.

Brown, M. (2009). Capricious as a verb. Journal of Grammatical Elements, 28(6), 11-12. 15

11 Journal article without DOI, from most academic research databases or print version.

12 Ancient Greek or Roman work.

13 Webpage on a news website.

14 Chapter in an edited book with DOI.

15 Resources by two authors with the same last name but different first names in the same year of

publication. Arrange alphabetically by the first initials.

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 32

Cable, D. (2013). The racial dot map [Map]. University of Virginia, Weldon Cooper Center for

Public Service. https://demographics.coopercenter.org/Racial-Dot-Map 16

Canan, E., & Vasilev, J. (2019, May 22). [Lecture notes on resource allocation]. Department of

Management Control and Information Systems, University of Chile. https:// uchilefau.

academia.edu/ElseZCanan 17

Carlisle, M. A. (n.d.-a). Erin and the perfect pitch. Journal of Music, 21(3), 16-17. http:// make-

sure-it-goes-to-the-exact-webpage-of-the-source-otherwise-don’t-include 18

Carlisle, M. A. (n.d.-b). Perfect pitch makes sweet music. Journal of Music, 24(8), 3-6. http://

make-sure-it-goes-to-the-exact-webpage-of-the-source-otherwise-don’t-include

Centers for Disease Control and Prevention. (2018, January 23). People at high risk of

developing flu-related complications. https://www.cdc.gov/flu/highrisk/index.htm 19

De Vries R., Nieuwenhuijze, M., Buitendijk, S. E., & the members of Midwifery Science Work

Group. (2013). What does it take to have a strong and independent profession of

midwifery? Lessons from the Netherlands. Midwifery, 29(10), 1122-1128.

https://doi.org/10.1016/j.midw.2013.07.007 20

Double, C. (2008a). This is arranged alphabetically by the name of the title. Peters.

Double, C. (2008b). This is the second (“the” comes after “arranged”). Peters. 21

16 Map.

17 PowerPoint slides or lecture notes.

18 Online journal article with a URL and no DOI; also depicts one of two resources by the same

author with no known publication date.

19 Webpage on a website with a group author.

20 Journal article with a DOI, combination of individual and group authors.

21 Two resources by same author in the same year. Arrange alphabetically by the title and then

add lowercase letters (a and b, respectively here) to the year.

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 33

Fistek, A., Jester, E., & Sonnenberg, K. (2017, July 12-15). Everybody’s got a little music in

them: Using music therapy to connect, engage, and motivate [Conference session].

Autism Society National Conference, Milwaukee, WI, United States.

https://asa.confex.com/asa/2017/webprogramarchives/Session9517.html 22

Forman, M. (Director). (1975). One flew over the cuckoo’s nest [Film]. United Artists. 23

Fried, D., & Polyakova, A. (2018). Democratic defense against disinformation. Atlantic Council.

https://www.atlanticcouncil.org/in-depth-research-reports/report/democratic-defense-

against-disinformation/ 24

Friedlander, M. L., Escudero, V., & Heatherton, L. (2002). E-SOFTA: System for observing

family therapy alliances [Software and training videos] [Unpublished instrument].

http://www.softa-soatif.com/ 25

GDJ. (2018). Neural network deep learning prismatic [Clip art]. Openclipart.

https://openclipart.org/detail/309343/neural-network-deep-learning-prismatic 26

Goldberg, J. F. (2018). Evaluating adverse drug effects [Webinar]. American Psychiatric

Association. https://education.psychiatry.org/Users/ProductDetails.aspx?

ActivityID=6172 27

Goldman, C. (2018, November 28). The complicate calibration of love, especially in adoption.

22 Conference session.

23 Video.

24 Report by individual authors at a government agency or other organization.

25 Measurement instrument.

26 Clip art or stock image.

27 Webinar, recorded.

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 34

Chicago Tribune. 28

Graham, G. (2019). Behaviorism. In E. N. Zalta (Ed.), The Stanford encyclopedia of philosophy

(Summer 2019 ed.). Stanford University.

https://plato.stanford.edu/archives/sum2019/entries/behaviorism 29

Guarino, B. (2017, December 4). How will humanity react to alien life? Psychologists have some

predictions. The Washington Post. https://www.washingtonpost.com/news/speaking-of-

science/wp/2017/12/04/how-will-humanity-react-to-alien-life-psychologists-have-some-

predictions/ 30

Hacker Hughes, J. (Eds.). (2017). Military veteran psychological health and social care:

Contemporary approaches. Routledge. 31

Haybron, D. M. (2008). Philosophy and the science of subjective well-being. In M. Eid & R. J.

Larsen (Eds.), The science of subjective well-being (pp. 17-43). Guilford Press. 32

Hollander, M. M. (2017). Resistance to authority: Methodological innovations and new lessons

from the Milgram experiment (Publication No. 10289373) [Doctoral dissertation,

University of Wisconsin-Madison]. ProQuest Dissertations and Theses Global. 33

Hutcheson, V. H. (2012). Dealing with dual differences: Social coping strategies of gifted and

lesbian, gay, bisexual, transgender, and queer adolescents [Master’s thesis, The College

28 Newspaper article without DOI, from most academic research databases or print version

29 Entry in a dictionary, thesaurus, or encyclopedia, with individual author.

30 Online newspaper article.

31 Edited book without a DOI, from most academic research databases or print version.

32 Book chapter, print version.

33 Doctoral dissertation, from an institutional database.

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 35

of William & Mary]. William & Mary Digital Archive.

https://scholarworks.wm.edu/etd/1539272210/ 34

Kalnay, E., Kanimitsu, M., Kistler, R., Collins, W., Deaven, D., Gandin, L., Iredell, M., Saha, S.,

White, G., Whollen, J., Zhu, Y., Chelliah, M., Ebisuzaki, W., Higgins, W., Janowiak, J.,

Mo, K. C., Ropelewski, C., Wang, J., Leetmaa, A., … Joseph, D. (1996). The

NCEP/NCAR 40-year reanalysis project. Bulletin of the American Meteorological

Society, 77(3), 437-471. http://doi.org/ fg6rf9 35

King James Bible. (2017). King James Bible Online. https://www.kingjamesbibleonline.org/

(Original work published 1769) 36

Lewin, K. (1999). Group decision and social change. In M. Gold (Ed.), The complex social

scientist: A Kurt Lewin reader (pp. 265-284). American Psychological Association.

https://doi.org/10.1037/10319-010 (Original work published 1948) 37

Liberty University. (2019). The online writing center. https://www.liberty.edu/online/casas/

writing-center/ 38

Liberty University. (2020). BIOL 102: Human biology. Week one, lecture two: Name of class

lecture. https://learn.liberty.edu 39

34 Thesis or dissertation, from the web (not in a database).

35 Resource with 21 or more authors. Note the ellipse (…) in place of the ampersand (&).

36 Religious work.

37 Work in an anthology.

38 Online webpage with URL.

39 Liberty University class lecture with no presenter named.

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 36

McCauley, S. M., & Christiansen, M. H. (2019). Language learning as language use: A cross-

linguistic model of child language development. Psychological Review, 126(1), 1-51.

https://doi.org/10.1037/rev0000126 40

McCurry, S. (1985). Afghan girl [Photograph]. National Geographic.

https://www.nationalgeographic.com/magazine/national-geographic-magazine-50-years-

of-covers/#/ngm-1985-jun-714.jpg 41

Merriam-Webster. (n.d.). Heuristic. In Merriam-Webster.com dictionary. Retrieved 01/02/2020,

from http://www.m-w.com/dictionary/heuristic 42

National Cancer Institute. (2018). Facing forward: Life after cancer treatment (NIH Publication

No. 18-2424). U.S. Department of Health and Human Services, National Institutes of

Health. https://www.cancer.gov/publications/patient-education/life-after-treatment.pdf 43

National Nurses United. (n.d.). What employers should do to protect nurses from Zika.

https://www.nationalnursesunited.org/pages/what-employers-should-do-to-protect-rns-

from-zika 44

O’Keefe, E. (n.d.). Egoism & the crisis in Western values. http:// www. onlineoriginals.com/

showitem.asp?itemID-135 45

40 Typical journal article with doi.

41 Photograph.

42 Dictionary entry.

43 Report by a government agency or other organization.

44 Webpage on a website with no date.

45 Electronic only book.

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 37

Owen, C. (2012, Spring). Behavioral issues resulting from attachment have spiritual

implications [Unpublished manuscript]. COUN502, Liberty University. 46

Perigogn, A. U., & Brazel, P. L. (2012). Captain of the ship. In J. L. Auger (Ed.) Wake up in the

dark (pp. 108-121). Shawshank Publications. 47

Peters, C. (2012). COUN 506: Integration of spirituality and counseling. Week one, lecture two:

Defining integration: Key concepts. Liberty University.

https://podcasts.apple.com/us/podcast/defining-integration-key-

concepts/id427907777?i=1000092371727 48

Pew Research Center. (2018). American trend panel Wave 26 [Data set].

https://www.pewsocialtrends.org/dataset/american-trends-panel-wave-26 49

Prayer. (2015). http:// www exact-webpage 50

Project Implicit. (n.d.). Gender–Science IAT. https://implicit.harvard.edu/implici/taketest.html 51

Schatz, B. R. (2000, November 17). Learning by text or context? [Review of the book The social

life of information, by J. S. Brown & P. Duguid]. Science, 290, 1304.

https://doi.org/10.1126/science.290.5495.1304 52

Schmid, H.-J. (Ed.). (2017). Entrenchment and the psychology of language learning: How we

reorganize ad adapt linguistic knowledge. American Psychological Association; De

46 Citing a student’s paper submitted in a prior class, in order to avoid self-plagiarism.

47 Chapter from an edited book.

48 Liberty University class lecture using course details.

49 Data set.

50 Online resource with no named author. Title of webpage is in the author’s place.

51 Test, scale, or inventory itself.

52 Review of a book.

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 38

Gruyter Mouton. https://doi.org/10.1037/15969-000 53

Second, M. P. (2011). Same author arranged by date (earlier first). Journal Name, 8, 12-13.

Second, M. P. (2015). Remember that earlier date goes first. Journal Name, 11(1), 18. 54

Shakespeare, W. (1995). Much ado about nothing (B. A. Mowat & P. Werstine, Eds.).

Washington Square Press. (Original work published 1623) 55

Strong, E. K., Jr., & Uhrbrock, R. S. (1923). Bibliography on job analysis. In L. Outhwaite

(Series Ed.), Personnel research series: Vol. 1, Job analysis and the curriculum (pp. 140-

146). https://doi.org/10.1037/10762-000 56

Tellegen, A., & Ben-Porah, Y. S. (2011). Minnesota Multiphasic Personality Inventory–2

Restructured Form (MPI-2-RF): Technical manual. Pearson. 57

U.S. Census Bureau. (n.d.). U.S. and world population clock. U.S. Department of Commerce.

Retrieved July 3, 2019, from https://www.census.gov/popclock 58

U.S. Securities and Exchange Commission. (2017). Agency financial report: Fiscal year 2017.

https://www.sec.gov/files/sec-2017-agency-financial-report.pdf 59

University of Oxford. (2018, December 6). How do geckos walk on water? [Video]. YouTube.

https://www.youtube.com/watch?v=qm1xGfOZJc8 60

53 Edited book with a DOI, with multiple publishers.

54 Two resources by the same author, in different years. Arrange by the earlier year first.

55 Shakespeare.

56 Electronic version of book chapter in a volume in a series

57 Manual for a test, scale, or inventory.

58 Webpage on a website with a retrieval date.

59 Annual report.

60 YouTube or other streaming video.

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 39

Vedentam, S. (Host). (2015-present). Hidden brain [Audio podcast]. NPR. https://www.npr.org/

series/423302056/hidden-brain 61

Weinstock, R., Leong, G. B., & Silva, J. A. (2003). Defining forensic psychiatry: Roles and

responsibilities. In R. Rosner (Ed.), Principles and practice of forensic psychiatry (2nd

ed., pp. 7-13). CRC Press. 62

Yoo, J., Miyamoto, Y., Rigotti, A., & Ryff, C. (2016). Linking positive affect to blood lipids: A

cultural perspective [Unpublished manuscript]. Department of Psychology, University of

Wisconsin-Madison. 63

61 Podcast.

62 Chapter in an edited book without a DOI, from most academic research databases or print

version.

63 Unpublished manuscript with a university cited.

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 40

Appendix

Annotated Bibliography

Cross, D. & Purvis, K. (2008). Is maternal deprivation the root of all evil? Avances en

Psycologia Latinoamericana, 26(1), 66-81.

Weaving spiritual applications throughout the article, the authors incorporate a plethora

of references to substantiate that maltreatment has a direct connection to attachment

disorders. They provide articulate and heavily-supported reasoning, detailing the specific

causes of maternal deprivation individually and then incorporating them in a broader

sense to answer the article’s title in the affirmative.

Feldman, R. (2007), Mother-infant synchrony and the development of moral orientation in

childhood and adolescence: Direct and indirect mechanisms of developmental continuity.

American Journal of Orthopsychiatry, 77(4), 582-597.

This longitudinal study tracked 31 Israeli children from ages 3 months to 13 years

(infancy to adolescence). There were direct parallels noted between increased

attachment/coherence and the child’s moral cognition, empathy development, and verbal

IQ. Toddlers who were able to regulate their own behavior later proved to excel in lead-

lag structures and language skills.

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 1

Created by Christy Owen of Liberty University’s Online Writing Center

[email protected]; last date modified: February 7, 2022

Sample APA Paper: Professional Format for Graduate/Doctoral Students

Claudia S. Sample

School of Behavioral Sciences, Liberty University

Author Note

Claudia S. Sample (usually only included if author has an ORCID number)

I have no known conflict of interest to disclose.

Correspondence concerning this article should be addressed to Claudia S. Sample.

Email: [email protected]

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 2

Table of Contents

(Only Included for Easy Navigation; Hyperlinked for Quick Access)

Sample APA Paper: Professional Format for Graduate/Doctoral Students .................................... 6

Basic Rules of Scholarly Writing ................................................................................................... 7

Brief Summary of Changes in APA-7 ............................................................................................. 8

Running Head, Author Note, and Abstract ..................................................................................... 9

Basic Formatting Elements ........................................................................................................... 10

Font ................................................................................................................................... 10

Line Spacing ..................................................................................................................... 10

Spaces After Punctuation .................................................................................................. 11

Footnotes ........................................................................................................................... 11

Heading Levels—Level 1 ............................................................................................................. 11

Level 2 Heading ................................................................................................................ 12

Level 3 Heading .................................................................................................... 13

Level 4 Heading. Must be bolded and indented ½”. Add a period, one

space, and begin your content on the same line as shown here. ....................................... 13

Level 5 Heading ............................................................................ 13

Specific Elements of Academic Papers ........................................................................................ 13

Tables of Contents and Outlines ....................................................................................... 13

Annotated Bibliographies ................................................................................................. 14

Appendices ........................................................................................................................ 14

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 3

Crediting Your Sources................................................................................................................. 15

Paraphrasing and Direct Quotes ........................................................................................ 15

Paraphrasing .......................................................................................................... 16

Block Quotes ......................................................................................................... 16

How Often to Cite Your Source in Each Paragraph ......................................................... 17

Rule for Omitting the Year of Publication ........................................................................ 17

Arranging the Order of Resources in Your Citations ....................................................... 17

Two Works by the Same Author in the Same Year .......................................................... 18

Two Works by Two Different Authors with the Same Last Name .................................. 18

Three or More Authors Cited In-Text ............................................................................... 18

Number of Authors in the Reference List ......................................................................... 19

Numbers ........................................................................................................................................ 19

Displaying Titles of Works in-Text .............................................................................................. 19

Primary Sources versus Secondary Sources ................................................................................. 20

Personal Communications ............................................................................................................ 20

Resources Canonically Numbered Sections (i.e., the Bible and Plays) ........................................ 21

Bible and other Classical Works ....................................................................................... 21

Plays .................................................................................................................................. 22

Lectures and PowerPoints ............................................................................................................. 22

Dictionary Entries ......................................................................................................................... 23

Changes in Reference Entries ....................................................................................................... 23

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 4

Electronic Sources ........................................................................................................................ 24

Adding Color ................................................................................................................................ 24

Self-Plagiarism .............................................................................................................................. 25

Final Formatting Tweaks .............................................................................................................. 26

Exhaustive Reference List Examples & Additional Helpful Resources ....................................... 26

Conclusion .................................................................................................................................... 29

References ..................................................................................................................................... 30

Appendix ....................................................................................................................................... 40

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 5

Abstract

Begin your abstract at the left margin. This is the only paragraph that should not be indented.

Unless otherwise instructed, APA recommends an abstract be no more than 250 words. It should

generally not contain any citations or direct quotes. This should be a tight, concise summary of

the main points in your paper, not a step-by-step of what you plan to accomplish in your paper.

Avoid phrases such as “this paper will,” and just structure your sentences to say what you want

to say. The following three sentences exemplify a good abstract style: There are many

similarities and differences between the codes of ethics for the ACA and the AACC. Both include

similar mandates in the areas of ----, ---, and ---. However, each differs significantly in the areas

of ---, ---, and ---. For more detailed information, see “Writing an Abstract” at

https://www.liberty.edu/casas/academic-success-center/wp-content/uploads/sites/28/2019/04/

Writing_an_Abstract_Revised_2012.pdf (note that you would not include any links in your

abstract). This is just now at 168 words, so eyeball how brief your abstract must be. Think of

your paper as a movie you want to sound enticing, and the abstract as the summary of the plot

you would share to draw people’s interest into wanting to come and see your movie. You want to

really hook and intrigue them. What you have to say is important! Remember to stay under 250,

words. Keywords highlight the search terms someone would use to find your paper in a database.

Keywords: main words, primary, necessary, search terms

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 6

Sample APA Paper: Professional Format for Graduate/Doctoral Students

The title of your paper goes on the top line of the first page of the body (American

Psychological Association [APA], 2019, section 2.11). It should be centered, bolded, and in title

case (all major words—usually those with four+ letters—should begin with a capital letter)—see

p. 51 of your Publication Manual of the American Psychological Association: Seventh Edition

(APA, 2019; hereinafter APA-7). It must match the title that is on your title page (see last line on

p. 32). As shown in the previous sentence, use brackets to denote an abbreviation within

parentheses (bottom of p. 159). Write out the full name of an entity or term the first time

mentioned before using its acronym (see citation in first sentence in this paragraph), and then use

the acronym throughout the body of the paper (section 6.25).

There are many changes in APA-7. One to mention here is that APA-7 allows writers to

include subheadings within the introductory section (APA, 2019, p. 47). Since APA-7 now

regards the title, abstract, and term “References” to all be Level-1 headings, a writer who opts to

include headings in his or her introduction must begin with Level-2 headings as shown above

(see section 2.27) for any divisions within the introductory section.

If you do choose to include headings in your introduction section (which is optional), be

sure to include two or more subheadings, since APA (2019) forbids stand-alone heading levels.

A second notable change in APA-7 is that writers are no longer required to cite their source every

single sentence that content from it is mentioned (section 8.1). As demonstrated in this paper,

since all of the content (other than the examples included for illustration and reference-entry

variation purposes) comes directly from the APA-7 itself, citations to the APA-7 are only

included for the first instance in each paragraph. Section and/or page numbers are included

parenthetically throughout for the sake of students who desire to know exactly where the stated

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 7

rule appears in the APA-7 itself. In your academic papers, however, it is critical to include the

required author(s) and year, as applicable, for all citations that are included; this may include

more than one citation for each resource per paragraph, as required to avoid any confusion about

the source of that content.

Basic Rules of Scholarly Writing

Most beginning students have difficulty learning how to write papers and also format

papers correctly using the seventh edition of the APA manual. However, the Liberty University

Online Writing Center’s (OWC) mission includes helping students learn how to be autonomous,

proficient writers. The OWC also provides students with templates to help them with basic

formatting elements, but this sample paper is designed to help graduate and doctoral students

learn to master APA rules and formatting on their own, which will prove helpful as they progress

in their studies and work toward future publication in scholarly journals.

For the purpose of instruction, this paper will use second person (you, your), but third

person (this author) must be used in most student papers. First person (I, me, we, us, our) is not

generally permitted in academic papers. Students should refrain from using first or second person

in college courses (even though the APA manual encourages this in other writing venues) unless

the assignment instructions clearly permit such (as in the case of personal reflection sections or

life histories). If in doubt, students should clarify with their professors.

APA-7 delineates separate rules and guidelines between “student” and “professional”

writers (APA, 2019). Because a primary purpose of graduate and doctoral studies is to prepare

those students to publish professionally, Liberty University has decided to have undergraduate

students follow APA-7’s guidelines for “student papers,” and graduate/doctoral students follow

APA-7’s guidelines for “professional papers.” Separate templates are available for each level.

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 8

This sample paper illustrates and discusses the rules and formatting of professional papers, as

required for all Liberty University graduate and doctoral courses using APA-7 style.

Brief Summary of Changes in APA-7

Most of these changes will be discussed in more detail below; this is just a very brief

overview here. APA-7 reverts back to only one space after closing punctuation in the body of the

paper (APA-6 required two spaces; APA, 2019, section 6.1). Student (undergraduate) papers no

longer include a running head or abstract (sections 2.2 and 2.8); professional (graduate/doctoral)

papers require an abstract but the running head is now the same on all pages (the added phrase

“Running head:” from APA-6 has been eliminated; see section 2.8). Title pages are different for

both student and professional formats. The title of a paper is no longer limited to 12 words

(section 2.4).

Citations of all resources with three or more authors now use the first author’s last name

and the term et al. (APA, 2019, section 8.17). Reference entries must name up to the first 19

authors before adding an ampersand and ellipsis (up from APA-6’s six authors; section 9.8).

APA-7 omits the phrase DOI and instead standardizes DOIs to be presented in hyperlink format

(i.e., https://doi.org/10.1177%2F1524838017742386; section 9.35). Formatting guidelines for

annotated bibliographies are included in APA-7 (section 9.51), as well as expanded and

standardized reference entry examples. As discussed above, it is no longer necessary to cite a

source every single time you refer to content gleaned from it as long as it is clear the content

comes from that source (section 8.1); APA-7 also expanded the specific location noted in the

citation to include page, paragraph, section (as used throughout this sample paper, to direct the

student to the exact relevant content), chapter, timestamp, etc. (section 8.13).

APA-7 allows for “self-plagiarism” (clarified and defined below). It also invites writers to

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 9

highlight the most relevant work first, rather than just present all works in alphabetical order

(APA, 2019, section 8.12).

Heading-level formatting has changed, and APA-7 provides more flexibility in font and

line spacing (APA, 2019). The Bible must now be included in the reference list and its citations

must include the editor’s details and year (section 8.28); there are also new rules for dictionary

entries. Publisher city and state details are omitted from all reference entries except those

involving presentations or conferences, as is the phrase “retrieved from.” Hyperlinks should be

live, but they may be either presented as blue underlining or plain black text.

Running Head, Author Note, and Abstract

APA (2019) delineates separate formatting requirements for what it terms “student” and

“professional” papers. Its descriptions for those labels, however, suggests that it regards

undergraduate-level writing to fall within the student purview, and graduate/doctoral-level

writing (including dissertations and theses) to fall within the professional purview. Since a

significant goal in graduate and post-graduate studies is preparing those students to publish in

scholarly journals at and beyond graduation, it makes sense to train those students in the

formatting that is required for professionals. As such, Liberty University has opted to require the

APA-7’s “student” version format for all undergraduate assignments using APA, and its

“professional” version for all graduate and doctoral assignments. To that end, this being the

sample paper for professional formatting, it includes the additional elements required for such: a

running head (same on all pages), an author’s note, and an abstract. Graduate and doctoral

students will use this format. Note that the first “paragraph” under the author’s note is generally

only included if the author has an ORCID number, which most students will not have. However,

it is included in this sample paper and the corresponding template because the purpose of these

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 10

resources is to prepare students to publish manuscripts post-graduation. The student’s full

address, however, is intentionally omitted from the Liberty University template and this sample

paper for privacy and safety reasons, since student papers are often unfortunately published

online and disclosing their home addresses could pose safety risks.

Basic Formatting Elements

Font

APA-7 does not prescribe a specific font or size (APA, 2019, section 2.19) but rather

allows for some choice (e.g., 12-point Times New Romans, 11-point Calibri, 11-point Arial, 11-

point Georgia, or 10-point Lucinda Sans Unicode). Most journals and academic institutions will

have a preference, however, as even APA-7 acknowledges on p. 44. For this reason—and

because font size can easily be changed if an editor interested in publishing a student’s work

prefers a different font—Liberty University recommends that students use 12-point Times New

Romans or 11-point Calibri font for the body text in all academic papers. Data in charts, figures,

and tables should be presented in 8- to 14-point size in either Calibri, Arial, or Lucinda Sans

Unicode font. Students are not permitted to use any fonts such as script, calligraphy, poster,

decorative, or others not found in published scholarly journals. Since APA-7 itself authorizes a

variety of fonts and sizes, assignments will be gauged by word count rather than page count.

Word count constitutes the number of words within the body of the paper, and excludes the title

page, abstract, reference list, appendices, and other supplemental resources.

Line Spacing

APA-7 adds extra/blank lines on the title page (APA, 2019, sections 2.5, 2.7, 2.21). It also

specifies that spacing in tables and figures may be single-, 1-1/2-, or double-spaced; equations

can be triple- or quadruple-spaced. Footnotes, when used at the bottom of a page, should be

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 11

single-spaced (section 2.21).

Spaces After Punctuation

APA-7 reverts back to just one space after closing punctuation in the body of the paper, as

well as in reference entries (APA, 2019, section 6.1). Ordinarily, it would be improper to have a

paragraph with only one sentence, though APA itself asserts that for its purposes “sentences and

paragraphs of any length are technically allowed.”1

Footnotes

This leads to another new rule in APA-7, one allowing the inclusion of footnotes (APA,

2019, section 2.13). Footnotes should be use very sparingly and are appropriate to include

information such as that in the prior section to alert the reader to supplemental material that is

available online for that thought. Though APA-7 authorizes placement of footnote content either

at the bottom of the page (as in this sample paper) or on a separate page after the reference list

(section 2.21), Liberty University recommends that student place them, when used, at the bottom

of the page, as shown here.

Heading Levels—Level 1

This sample paper uses primarily two levels of headings (Levels 1 and 2). APA style,

however, has five heading levels, which will be demonstrated briefly for visual purposes. See

section 2.27 of your APA-7 (APA, 2019) for more details on heading levels and formatting. In

APA-7, all heading levels are now bolded and in title case (capitalize each major word—usually

those with four or more letters, including hyphenated compound words). Do not capitalize

articles (a, an, the) in headings unless they begin a title or follow a colon. Level 1 headings are

centered, with the content falling on the line beneath each, in standard paragraph format.

1 See https://blog.apastyle.org/apastyle/2016/05/index.html

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 12

Many students misunderstand that you progress from Level 1 to Level 2 to Level 3 to

Level 4 to Level 5, but that is not correct. In fact, your paper may have only Level 1 headings, or

just Levels 1 and 2. The rule of thumb is that you must have at least two of each heading level

that you use, otherwise omit that heading level.

Headings are basically styling ways of organizing your paper, without using an outline

format. APA specifies five levels of headings; you would likely never use Level 5 and only very

rarely use Level 4 as a student. Think of each level as the different levels in an outline. Roman

numerals, for example, would be Level 1 headings. Capital letters would be Level 2 headings.

Numerals would be Level 3 headings. Lowercase letters would be Level 4. And lowercase

Roman numerals would be Level 5. You must always have two or more of each subheading, but

you do not need every level. You start with Level 1 and work down from that (but not

consecutive 1-2-3-4-5). Under a Level 1, you would either have two+ Level 2 headings or none

at all (just one big section in paragraphs before the next Level 1 section).

Special note about conclusion sections: Please note that some of the sample papers

published by APA to demonstrate proper APA-7 format (including the “professional” sample on

pp. 50-60 of the APA-7 manual) depict the “Conclusion” section with a Level-2 heading. This is

limited to empirical papers that are being submitted for publication in scholarly journals, as those

conclusions pertain to the “Discussion” sections in such papers and are not conclusions of the

overall papers themselves. Conclusions in academic papers at Liberty University will be Level 1

headings (including dissertations and theses, which are divided by chapters, unlike journal article

manuscripts).

Level 2 Heading

Level 2 headings are left-justified (APA, 2019, p. 48). The supporting information is

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 13

posed in standard paragraph form beneath it. Never use only one of any level of heading. You

must use two or more of any level you use, though not every paper will require more than one

level. The heading levels are simply demonstrated here for visual purposes, but you would

always have two or more of each under a larger heading, as shown throughout all the other

sections of this sample paper.

Level 3 Heading

Level 3 headings are bolded, left-justified, and italicized; the content falls on the line

underneath, as with Levels 1 and 2.

Level 4 Heading. Must be bolded and indented ½”. Add a period, one space, and begin

your content on the same line as shown here.

Level 5 Heading. Same as Level 4, but also italicized. Despite heavy writing experience,

this author has never used Level 5 headings.

Specific Elements of Academic Papers

Tables of Contents and Outlines

APA (2019) does not regulate every type of paper and some elements in various

assignments are not addressed in the APA-7 manual, including outlines and tables of content. In

those cases, follow your professor’s instructions and the grading rubric for the content and

format of the outline or annotations, and use standard APA formatting for all other elements

(such as running head, title page, body, reference list, 1" margins, double-spacing, permitted

font, etc.). Note that most academic papers will not require a table of contents, nor would one be

appropriate. One was included in this paper simply for ease-of-access so students could go

directly to the content they want to see. Generally speaking, no table of contents would be

necessary for papers less than 20 pages of content, unless otherwise required by your professor.

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 14

That being said, when organizing outlines in APA format, set your headings up in the

proper levels (making sure there are at least two subheadings under each level), and then use

those to make the entries in the outline. As discussed above, Level 1 headings become uppercase

Roman numerals (I, II, III), Level 2 headings become capital letters (A, B, C), Level 3 headings

become numbers (1, 2, 3), Level 4 headings become lowercase letters (a, b, c), and Level 5

headings become lowercase Roman numerals (i, ii, iii). Many courses now require “working

outlines,” which are designed to have the bones and foundational framework of the paper in

place (such as title page, abstract, body with title, outline/heading divisions, supporting content

with citations, and references), without the full “meat” that fills out and forms a completed paper.

Annotated Bibliographies

Many Liberty University courses also now require students to prepare and submit an

annotated bibliography as a foundational step to building a research paper. There is significant

merit in these assignments, as they teach students to critique the resources they have found and

rationalize why each is relevant for their paper’s focus. APA (2019) includes a section on

annotated bibliographies (9.51; see the example provided on p. 308). The appendix attached to

this sample paper also includes a sample annotated bibliography.

Appendices

Appendices, if any, are attached after the reference list (APA, 2019, section 2.14). You

must refer to them (i.e., “callout”) in the body of your paper so that your reader knows to look

there (see the yellow-highlighted callouts to Table 1 on p. 54 and to Footnote 1 on p. 55 of your

APA-7 for visuals on how this should appear in your paper). The word “Appendix” is singular;

use it to refer to individual appendices. APA-7 regards it as a Level 1 heading so it should be

bolded. I attached a sample Annotated Bibliography as a visual aid (see Appendix). You will see

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 15

that I included the title “Appendix” at the top of the page and formatted it in standard APA

format beneath that. Because I only included one appendix, it is simply titled as such. If there are

more appendices, assign a letter to each and denote each by that: “Appendix A” and “Appendix

B.”

Crediting Your Sources

Paraphrasing and Direct Quotes

Paraphrasing is rephrasing another’s idea in one’s own words by changing the wording

sufficiently without altering the meaning (remember not to just change a word here or there or

rearrange the order of the original source’s wording). Quoting is using another’s exact words.

Both need to be cited; failure to do so constitutes plagiarism. Include the author(s) and year for

paraphrases, and the author(s), year, and page or paragraph number for direct quotes. APA-7 also

expands this to include figure number, time stamp, etc.—whatever detail is necessary to get the

reader directly to that content. Page numbers should be used for any printed material (books,

articles, etc.), and paragraph numbers should be used in the absence of page numbers (online

articles, webpages, etc.; see APA, 2019, section 8.13). Use p. for one page and pp. (not italicized

in your paper) for more than one (section 8.25). Use para. for one paragraph and paras. (also not

italicized in your paper) for two or more (section 8.28). For example: (Perigogn & Brazel, 2012,

pp. 12–13) or (Liberty University, 2019, para. 8). Section 8.23 of the APA (2019) manual

specifies that it is not necessary to include a page or paragraph number for paraphrases (just for

direct quotes), but writers may choose to do so to help their readers find that content in the cited

resource.

When naming authors in the text of the sentence itself (called a narrative citation), use the

word “and” to connect them. For example, Perigogn and Brazel (2012) contemplated that . . .

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 16

Use an ampersand (&) in place of the word “and” in parenthetical citations and reference lists:

(Perigogn & Brazel, 2012).

Paraphrasing

Only use quotes when the original text cannot be said as well in your own words or

changing the original wording would change the author’s meaning. You cannot simply change

one word and omit a second; if you paraphrase, the wording must be substantially different, but

with the same meaning. Regardless, you would need to cite the resource you took that

information from. For example, Benoit et al. (2010) wrote that “although, a link between

attachment and posttraumatic stress disorder (PTSD) symptoms has been established, the

mechanisms involved in this link have not yet been identified” (p. 101). A paraphrase for that

quote might be: A link between dysfunctional attachment and the development of PTSD has

been made, though there is insufficient data to determine exactly how this mechanism works

(Benoit et al., 2010).

Block Quotes

Quotes that are 40 or more words must be blocked, with the left margin of the entire

quote indented ½ inch. Maintain double-spacing of block quotes. APA prefers that you introduce

quotes but note that the punctuation falls at the end of the direct quote, with the page number

outside of that (which is contrary to punctuation for non-blocked quotes). For example, Alone

(2008) claims:2

Half of a peanut butter sandwich contains as much bacteria as the wisp of the planet

Mars. Thus, practicality requires that Mrs. Spotiker nibble one bit at a time until she is

assured that she will not perish from ingesting it too quickly. (p. 13)

2 Note that there are no quotation marks for block quotes, as shown in the example.

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 17

Usually quotes within quotes use single quotation marks; however, use double quotation marks

for quotes within blocked quotes, since there are no other quotation marks involved. Also

understand that direct quotes should be used sparingly in scholarly writing; paraphrasing is much

preferred in APA format (APA, 2019, section 8.23), as it demonstrates that you read, understood,

and assimilated other writers’ content into one cohesive whole.

How Often to Cite Your Source in Each Paragraph

As already mentioned above, APA’s (2019) new official rule is that you no longer must

cite your source every single time you refer to material you gleaned from it (section 8.1). It is

now acceptable to cite your source the first time you refer to content from it in your paragraph,

and then not again in that same paragraph unless your phrasing does not make the source of your

content clear. This is demonstrated throughout this sample paper.

Rule for Omitting the Year of Publication

That being said, APA (2019) has clarified its special rule that excludes the year of

publication in subsequent narrative in-text citations (when you name the authors in the text of the

sentence itself), after the first narrative citation in each paragraph. It should continue to appear in

all parenthetical citations (see section 8.16). For example, Alone (2008) portrays imagery of Mrs.

Spotiker. This includes her devouring a peanut butter sandwich (Alone, 2008). Alone conveys

this through the lens of astronomy. Note that the year of publication was omitted from the second

narrative citation (underlined for visual purposes).

Arranging the Order of Resources in Your Citations

If the material you cited was referred to in multiple resources, separate different sets of

authors with semicolons, arranged in the order they appear (alphabetically by the first author’s

last name) in the reference list (i.e., Carlisle, n.d.-a; Prayer, 2015) (APA, 2019, section 8.12).

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 18

APA-7 now invites writers to prioritize or highlight one or more sources as most prominent or

relevant for that content by placing “those citations first within parentheses in alphabetical order

and then insert[ing] a semicolon and a phrase, such as ‘see also,’ before the first of the remaining

citations” (APA., 2019, p. 263)—i.e., (Cable, 2013; see also Avramova, 2019; De Vries et al.,

2013; Fried & Polyakova, 2018). Periods are placed after the closing parenthesis, except with

indented (blocked) quotes.

Two Works by the Same Author in the Same Year

Authors with more than one work published in the same year are distinguished by lower-

case letters after the years, beginning with a (APA, 2019, section 8.19). For example, Double

(2008a) and Double (2008b) would refer to resources by the same author published in 2008.

When a resource has no date, use the term n.d. followed by a dash and the lowercase letter (i.e.,

Carlisle, n.d.-a and Carlisle, n.d.-b; see APA, 2019, section 8.19).

Two Works by Two Different Authors with the Same Last Name

Citations in the body of the paper should include only the last names, unless you have

two or more resources authored by individuals with the same last name in the same year (or are

citing a personal communication). When there are two different authors with the same last name

but different first names who published in the same year, include the first initials: Brown, J.

(2009) and Brown, M. (2009) (APA, 2019, section 8.20).

Three or More Authors Cited In-Text

When referring to material that comes from three or more authors, APA-7 now requires

that all citations name just the first author’s last name followed by the words et al. (without

italics) (APA, 2019, section 8.17). Et al. is a Latin abbreviation for et alii, meaning “and others,”

which is why the word “al.” has a period, whereas “et” does not. Alone et al. (2011) stipulated

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 19

that peacocks strut. Every single time I refer to their material, I would apply APA-7’s rule: Alone

et al. (2011) or (Alone et al., 2011). Since et al. denotes plural authors, the verb must be plural to

match, too: Alone et al. (2011) are… This applies to all citations within the body of the paper

with three or more authors.

Number of Authors in the Reference List

For resources with 20 or fewer authors in the reference list, write out all of the authors’

last names with first and middle initials, up to and including the 20th author (APA, 2019, section

9.8). APA-7 has a special rule for resources with 21 or more authors: Write out the first 19

authors’ last names with initials, insert an ellipsis (…) in place of the ampersand (&), and finish

it with the last name and initials of the last author. See example #4 provided on page 317 of your

APA-7, as well as this paper’s reference list for visuals of these variances (Acborne et al. 2011;

Kalnay et al., 1996).

Numbers

Numbers one through nine must be written out in word format (APA, 2019, section 6.33),

with some exceptions (such as ages—see section 6.32). Numbers 10 and up must be written out

in numerical format (section 6.32). Always write out in word format any number that begins a

sentence (section 6.33).

Displaying Titles of Works in-Text

The names of journals, books, plays, and other long works, if mentioned in the body of

the paper, are italicized in title case (APA, 2019, section 6.17). Titles of articles, lectures, poems,

chapters, website articles, and songs should be in title case, encapsulated by quotation marks

(section 6.7). The year of publication should follow the author’s name, whether in narrative or

parenthetical format: Perigogn and Brazel (2012) anticipated…, or (Perigogn & Brazel, 2012).

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 20

The page or paragraph number must follow after the direct quote. Second (2015) asserted that

“paper planes can fly to the moon” (p. 13). You can restate that with a parenthetical citation as:

“Paper planes can fly to the moon” (Second, 2015, p. 13). Second (2011) is another resource by

the same author in a different year.

Primary Sources versus Secondary Sources

APA (2019) strongly advocates against using secondary sources; rather, it favors you

finding and citing the original (primary) resource whenever possible (section 8.6). On the rare

occasion that you do find it necessary to cite from a secondary source, both the primary (who

said it) and secondary (where the quote or idea was mentioned) sources should be included in the

in-text citation information. If the year of publication is known for both resources, include both

years in the citation (section 8.6). Only the secondary source should be listed in the reference

section, however. Use “as cited in” (without the quotation marks) to indicate the secondary

source. For example, James Morgan hinted that “goat milk makes the best ice cream” (as cited in

Alone, 2008, p. 117). Morgan is the primary source (he said it) and Alone is the secondary

source (he quoted what Morgan said). Only the secondary source is listed in the reference section

(Alone, and not Morgan) because if readers want to confirm the quote, they know to go to page

117 of Alone’s book.

Personal Communications

APA (2019) rationalizes the exclusion of references for information obtained through

personal communication (such as an interview, email, telephone call, postcard, text message, or

letter) in the reference list because your readers will not be able to go directly to those sources

and verify the legitimacy of the material. Instead, these items are cited only in the body of the

paper. You must include the individual’s first initial, his or her last name, the phrase “personal

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 21

communication” (without the quotation marks), and the full date of such communication (section

8.9). As with other citations, such citations may be either narrative or parenthetical. For example,

L. Applebaum advised him to dip pretzel rolls in cheese fondue (personal communication, July

13, 2015). The alternative is that he was advised to dip pretzel rolls in cheese fondue (L.

Applebaum, personal communication, July 13, 2015). Note that there is no entry for Applebaum

in the reference list below.

Resources Canonically Numbered Sections (i.e., the Bible and Plays)

These resources should be cited in book format (APA, 2019, Section 9.42). The Bible and

other religious works are generally regarded as having no author; an annotated version would be

treated as having an editor. Include republished dates as necessary. The OWC will publish a list

of reference entries for various Bible versions on its APA Quick Guide webpage.

Bible and other Classical Works

Works such as the Bible, ancient Greek or Roman works, and other classical works like

Shakespeare must be cited in the body of the paper (APA, 2019, section 8.28). APA-7 now also

requires that they be included in the reference list, too (section 9.42), which is a significant

change from APA-6. Republished dates are included as well (see section 9.41). As such, you

would add a parenthetical phrase at the end of your reference entry with the original publication

details; note that there should be no punctuation following such parenthetical content at the end

of a reference entry (the reference entries depicting this in the reference list below are correctly

punctuated).

Citations for the Bible will include the Bible version’s name in the author’s position (as

an anonymous work), original and republished years, and then the book chapter/verse (spelled

out) in place of the page number (i.e., King James Bible, 1769/2017, Genesis 3:8)—see sections

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 22

8.28 and 9.42. Note that APA (2019) requires book titles to be italicized in every venue,

including citations and reference entries. Because Liberty University is a distinctly-Christian

institution and many of its courses require biblical integration, most if not all of its students will

cite the Bible in virtually every course. The examples provided on pp. 274 and 325 of APA-7 are:

(note the italics in each)

• Narrative citation: King James Bible (1769/2017)

• Parenthetical citation: (King James Bible, 1769/2017, Song of Solomon 8:6)

• Reference entry: King James Bible. (2017). King James Bible Online.

https://www.kingjamesbibleonline.org/ (Original work published 1769)

Plays

When citing plays, “cite the act, scene, and line(s), in a single string, separated by

periods. For example, ‘1.3.36-37’ refers to Act 1 Scene 3, Lines 36-37” (APA, 2019, section

8.28; see also example #37 on p. 325).

Lectures and PowerPoints

APA (2019) has expanded and standardized its rules for citations and reference entries in

an effort to best credit the original sources. It now includes rules for crediting content in course

or seminar handouts, lecture notes, and PowerPoint presentations (see #102 on p. 347). When

citing a PowerPoint presentation, include the slide number rather than the page number. For

purposes of Liberty University course presentations and lectures (which are not readily available

to the public), reference each as a video lecture with the URL (if available) for the presentation,

naming the presenter(s) in the author’s position. Include the course number, lecture title, and

enough details for others to identify it within that course, in a sort of book format, naming

Liberty University as publisher. Peters (2012) is an example of this in the reference list of this

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 23

paper. If the presenter for a Liberty University class lecture is not named, credit Liberty

University as the author; see Liberty University (2020) in the reference list below as an example.

Dictionary Entries

In keeping with its efforts to standardize reference entries, APA (2019) now requires

citation and referencing of word definitions from dictionaries to follow the same rules for

chapters in an edited book (see #47 and #48 on p. 328; section 8.13). As such, you will now

name either the individual, group, or corporate author of the dictionary in the author’s place (e.g.,

Merriam-Webster, n.d.). If you searched online, include the retrieval date and the URL to the

exact webpage. If you used a hard copy book, include the publisher details. The in-text citation

in the body of the paper would follow standard author/year format (e.g., Merriam-Webster, n.d.).

Changes in Reference Entries

There are a number of notable changes in APA-7 from past versions. For the most part,

these simplify and unify the formats to be more consistent across the different resource venues.

Some of these have already been discussed above (i.e., naming up to 19 authors’ names before

adding an ellipsis, and crediting authors and editors of classical works and dictionaries). Other

changes include italicizing names of webpages and website resources in the reference list (APA,

2019, section 6.22), as well as book titles even when named in the author’s position (such as

King James Bible). The city and state locations of publishers are no longer required; only include

those details “for works that are associated with a specific location, such as conference

presentations” (p. 297, section 9.31). Issue numbers are required for all journal articles that have

such, regardless of what page number each issue begins with (section 9.25). If two or more

publishers are listed on the copyright page, include all of them in the order listed, separated by

semicolons (section 9.29). Omit the word Author in the publisher’s place when it is the same as

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 24

the author (section 9.24).

Electronic Sources

Note that since the APA 6th edition was published in 2010, great strides have been made

in online and electronic resource accessibility, and APA’s position on electronic resources has

shifted to embrace this. More and more resources are available electronically through the

Internet. The advent of this increased availability has resulted in APA-7’s effort to standardize

the formatting of resources, which in turn simplifies them to some extent. All reference entries

follow the same basic details: Author(s), year of publication, name of resource, and location

details (i.e., either journal name/volume/issue/page numbers, or book publisher, or webpage).

APA (2019) requires inclusion of a Digital Object Identifier (DOI) in the references

whenever available (section 9.34); if not, then a webpage, if available. In keeping with its

unification of resources, APA-7 now standardizes all DOIs and URLs to be presented in

https://doi.org/10.1177%2F1524838017742386 format. The phrase “Retrieved from” is now

excluded except when the content may have changed (such as dictionary entries, Twitter profiles,

Facebook pages; see section 9.16). APA-7 requires all hyperlinks to be active (so your reader can

click on one to go directly to that webpage), but they may appear as either blue-underlined text

or simple black text (section 9.35). There should be no period after any URL. APA-7 no longer

requires authors to break long URLs with soft returns (hold down the Shift key and press the

Enter key) at forward slashes, periods, or underscores to avoid unsightly spacing gaps, but it may

be best to do so in academic papers.

Adding Color

Though APA (2019) authorizes writers to include the use of color in photographs and

figures (section 7.26), Liberty University discourages this in academic papers. It risks becoming

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 25

distracting for both students in their quest to be creative, and professors in their quest to focus on

academic content.

Self-Plagiarism

APA (2019) also invites writers to repurpose some of their work in future papers.

Specifically, APA-7 states that:

In specific circumstances, authors may wish to duplicate their previously used works

without quotation marks or citation …, feeling that extensive self-referencing is

undesirable or awkward and that rewording may lead to inaccuracies. When the

duplicated material is limited in scope, this approach is permissible. (p. 8.3)

APA-7 adds “Do not use quotation marks or block quotation formatting around your own

duplicated material” (p. 256).

Liberty University, however, has stringent rules against self-plagiarism, as do many

scholarly journals. Liberty University students receive grades for their class papers; those who

have received feedback and a grade from a prior professor on a prior paper have an advantage

over their classmates, both in having the benefit of that feedback/grade and in not having to write

a whole paper from scratch during the subsequent class. Student papers are also submitted to

SafeAssign to deter plagiarism. For these reasons, Liberty University expressly forbids students

using significant portions of a prior paper in a subsequent course (either a retake of the same

course or a new class altogether). It is conceivable that students who are building their

knowledge base in a subject matter—particularly at the graduate and post-graduate levels—

would reasonably justify incorporating brief excerpts from past papers into current ones. In such

case, Liberty University authorizes students to utilize APA-7’s disclosure (i.e., “I have previously

discussed”), along with a citation to the prior class paper and a reference entry (i.e., Owen, 2012;

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 26

Yoo et al., 2016). Such self-references and re-use of content from prior papers should be used

sparingly and disclosed fully in the current paper; that content should not constitute a significant

portion of any academic assignment, however.

Final Formatting Tweaks

The templates provided by Liberty University are already formatted with proper spacing,

margins, heading level structure, and hanging indents, as necessary. With the exceptions of the

title page, figures, and equations, papers in APA format should be double-spaced throughout,

with no extra spacing between lines. Academic papers at Liberty University should also be in

one of the accepted fonts throughout (recommended: Times New Romans, 12-point font).

Sometimes when you format your paper or cut-and-paste material into it, things get skewed. One

quick way to ensure that your paper appears correct in these regards is to do a final formatting

tweak after you have completed your paper. Hold down the “Ctrl” button and press the “A” key,

which selects and highlights all of the text in your paper. Then go to the Home tab in Microsoft

Word and make sure that whichever acceptable font/size you choose to use is selected in the Font

box. Next, click on the arrow at the bottom of the Paragraph tab. Set your spacing before and

after paragraphs to “0 pt” and click the “double” line spacing. The extra spacing required on the

title page is already programmed into the template and should not change even when you

complete these actions.

Exhaustive Reference List Examples & Additional Helpful Resources

The reference list at the end of this paper includes an example of a myriad of different

sources and how each is formatted in proper APA-7 format. One example of each of the primary

types of resources will be included in the reference list, as cited in the body of this paper.

Remember that, for purposes of this paper only, many of the sources cited in the body of the

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 27

paper were provided for illustrative purposes only and thus are fictional, so you will not be able

to locate them if you searched online. Nevertheless, in keeping with APA-7 style, all resources

cited in the body of the paper are included in the reference list and vice versa (except for personal

communications, per APA-7’s published exceptions). Be absolutely sure that every resource cited

in the body of your paper is also included in your reference list (and vice versa), excepting only

those resources with special rules, such as personal communications and primary sources you

could not access directly.

The reference list in this paper is fairly comprehensive and will include a book by one

author who also appears as one of many authors in another resource (Alone, 2008; Alone et al.,

2011); chapters in edited books (Balsam et al., 2019; Haybron, 2008; Perigogn & Brazel, 2012;

Weinstock et al., 2003); electronic version of book (Strong & Uhrbrock, 1923); electronic only

book (O’Keefe, n.d.); edited books with and without DOIs, with multiple publishers (Hacker

Hughes, 2017; Schmid, 2017); work in an anthology (Lewin, 1999); journal articles (Andrews,

2016; Carlisle, n.d.-a, n.d.-b; De Vries R. et al., 2013; McCauley & Christiansen, 2019);

newspaper article (Goldman, 2018; Guarino, 2017); online webpages (Liberty University, 2019;

Prayer, 2015); resource with corporate author as publisher (American Psychological Association,

2019); resources by two authors with the same last name but different first names in the same

year of publication (Brown, J., 2009; Brown, M., 2009); two resources by same author in the

same year (Double, 2008a, 2008b; Carlisle, n.d.-a, n.d.-b); two resources by the same author in

different years (Second, 2011, 2015); resource with 20 authors (maximum allowed by APA-7

before special rule applies) (Acborne et al., 2011); resource with 21 or more authors (Kalnay et

al., 1996); dictionary entries (American Psychological Association, n.d.; Graham, 2019;

Merriam-Webster, n.d.); Liberty University class lecture using course details (Peters, 2012);

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 28

PowerPoint slides or lecture notes, not including course details (Canan & Vasilev, 2019); citing a

student’s paper submitted in a prior class, in order to avoid self-plagiarism (Owen, 2012);

unpublished manuscript with a university cited (Yoo et al., 2016); code of ethics (American

Counseling Association, 2014); diagnostic manual (American Psychiatric Association, 2013);

religious and classical works, including the Bible (Aristotle, 350 BC/1994; King James Bible,

1769/2017; Shakespeare, 1623/1995); dissertation or thesis (Hollander, 2017; Hutcheson, 2012);

review of a book (Schatz, 2000); video (Forman, 1975); podcast (Vedentam, 2015); recorded

webinar (Goldberg, 2018); YouTube or other streaming video (University of Oxford, 2018); clip

art or stock image (GDJ, 2018); map (Cable, 2013); photograph (McCurry, 1985); data set (Pew

Research Center, 2018); measurement instrument (Friedlander et al., 2002); manual for a test,

scale, or inventory (Tellegen & Ben-Porah, 2011); test, scale, or inventory itself (Project

Implicit, n.d.); report by a government agency or other organization (National Cancer Institute,

2018); report by individual authors at a government agency or other organization (Fried &

Polyakova, 2018); annual report (U.S. Securities and Exchange Commission, 2017); conference

session (Fistek et al., 2017); and webpages (Avramova, 2019; Centers for Disease Control and

Prevention, 2018; National Nurses United, n.d.; U.S. Census Bureau, n.d.).

Lastly, below are a few webpages that address critical topics, such as how to avoid

plagiarism and how to write a research paper. Be sure to check out Liberty University’s Online

Writing Center (https://www.liberty.edu/online/casas/writing-center/) for more tips and tools, as

well as its Facebook page (https://www.facebook.com/groups/LUOWritingCenter). Remember

that these links are only provided for your easy access and reference throughout this sample

paper, but web links and URLs should never be included in the body of scholarly papers; just in

the reference list. Writing a research paper (https://www.youtube.com/watch?v=zaa-PTexW2E

SAMPLE APA-7 PAPER FOR GRADUATE/DOCTORAL STUDENTS 29

or https://www.youtube.com/watch?v=KNT6w8t3zDY and avoiding plagiarism

(https://www.youtube.com/watch?v=VeCrUINa6nU).

Conclusion

The conclusion to your paper should provide your readers with a concise summary of the

main points of your paper (though not via cut-and-pasted sentences used above). It is a very

important element, as it frames your whole ideology and gives your readers their last impression

of your thoughts. Be careful not to introduce new content in your conclusion.

After your conclusion, if you are not using the template provided by the Online Writing

Center, insert a page break at the end of the paper so that the reference list begins at the top of a

new page. Do this by holding down the “Ctrl” key and then clicking the “Enter” key. You will go

to an entirely new page in order to start the reference list. The word “References” (not in

quotation marks) should be centered and bolded. Items in the reference list are presented

alphabetically by the first author’s last name and are formatted with hanging indents (the

second+ lines of each entry are indented 1/2” from the left margin). APA authorizes the use of

singular “Reference” if you only have one resource.3 Students would, of course, NOT include

any color-coding or footnotes in their reference entries. However, for the sake of clarity and

ease in identifying what each entry represents, each one included in the reference list of this

sample paper is color-coordinated to its corresponding footnote, with a brief description of what

each depicts.

3 https://apastyle.apa.org/instructional-aids/creating-reference-list.pdf

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 30

References

Acborne, A., Finley, I., Eigen, K., Ballou, P., Gould, M. C., Blight, D., Callum, M., Feist, M.,

Carroll, J. E., Drought, J., Kinney, P., Owen, C., Owen, K., Price, K., Harlow, K.,

Edwards, K., Fallow, P., Pinkley, O., Finkel, F., & Gould, P. P. (2011). The emphasis of

the day after tomorrow. Strouthworks. 4

Alone, A. (2008). This author wrote a book by himself. Herald Publishers. 5

Alone, A., Other, B., & Other, C. (2011). He wrote a book with others, too: Arrange

alphabetically with the sole author first, then the others. Herald Publishers. 6

American Counseling Association. (2014). 2014 ACA code of ethics.

https://www.counseling.org/knowledge-center 7

American Psychiatric Association. (2013). Diagnostic and statistical manual of mental disorders

(5th ed.). https://www.doi.org/10.1176/appi.books.9780890425596 8

American Psychological Association. (n.d.). Positive transference. In APA dictionary of

psychology. Retrieved August 31, 2019, from https://dictionary.apa.org/positive-

transference 9

American Psychological Association. (2019). Publication manual of the American Psychological

Association (7th ed.). 10

4 Resource with 20 authors (maximum allowed by APA before special rule applies).

5 Entry by author who also appears as one of many authors in another resource (single author

appears first in list).

6 Multiple authors appear after same single-author resource.

7 Code of ethics.

8 Diagnostic manual.

9 Entry in a dictionary, thesaurus, or encyclopedia, with group author.

10 Resource with corporate author as publisher.

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 31

Andrews, P. M. (2016). Congruence matters. Educational Leadership, 63(6), 12-15. 11

Aristotle. (1994). Poetics (S. H. Butcher, Trans.). The internet Classics Archive.

http://classics.mit.edu/Aristotle/poetics.html (Original work published ca. 350 B.C.E.) 12

Avramova, N. (2019, January 3). The secret to a long, happy, heathy life? Think age-positive.

CNN. https://www.cnn.com/2019/01/03/health/respect-toward-elderly-leads-to-long-life-

intl/index.html 13

Balsam, K. F., Martell, C. R., Jones, K. P., & Safren, S. A. (2019). Affirmative cognitive

behavior therapy with sexual and gender minority people. In G. Y. Iwamasa & P. A.

Hays (Eds.), Culturally responsive cognitive behavior therapy: Practice a supervision

(2nd ed., pp. 287-314). American Psychological Association.

https://doi.org/10.1037/0000119-012 14

Benoit, M., Bouthillier, D., Moss, E., Rousseau, C., & Brunet, A. (2010). Emotion regulation

strategies as mediators of the association between level of attachment security and PTSD

symptoms following trauma in adulthood. Anxiety, Stress, and Coping, 23(1), 101-118.

http://dx.doi.org/10.1080/10615800802638279

Brown, J. (2009). Ardent anteaters. Brockton.

Brown, M. (2009). Capricious as a verb. Journal of Grammatical Elements, 28(6), 11-12. 15

11 Journal article without DOI, from most academic research databases or print version.

12 Ancient Greek or Roman work.

13 Webpage on a news website.

14 Chapter in an edited book with DOI.

15 Resources by two authors with the same last name but different first names in the same year of

publication. Arrange alphabetically by the first initials.

SAMPLE APA-7 PAPER FOR GRADUATE STUDENTS 32

Cable, D. (2013). The racial dot map [Map]. University of Virginia, Weldon Cooper Center for

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Appendix

Annotated Bibliography

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of references to substantiate that maltreatment has a direct connection to attachment

disorders. They provide articulate and heavily supported reasoning, detailing the specific

causes of maternal deprivation individually and then incorporating them in a broader

sense to answer the article’s title in the affirmative.

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attachment/coherence and the child’s moral cognition, empathy development, and verbal

IQ. Toddlers who were able to regulate their own behavior later proved to excel in lead-

lag structures and language skills.

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Journal of Organizational Behavior Management

ISSN: (Print) (Online) Journal homepage: https://www.tandfonline.com/loi/worg20

Self-Management in Organizational Behavior Management

Rachael Ferguson & Lauren Rivera

To cite this article: Rachael Ferguson & Lauren Rivera (2022) Self-Management in Organizational Behavior Management, Journal of Organizational Behavior Management, 42:3, 210-229, DOI: 10.1080/01608061.2021.1996502

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Self-Management in Organizational Behavior Management Rachael Ferguson and Lauren Rivera

School of Behavior Analysis, Florida Institute of Technology, Melbourne, FL, USA

ABSTRACT Self-management can be a cost-effective method to promote employee behavior change. This article will provide an overview of self-management as it applies to business and industry. The general process will be described along with techniques to increase success. Relevant examples and literature will be intro- duced to enhance understanding of self-management applica- tions in organizational behavior management (OBM). Benefits will be discussed along with professions that may be ideal for a self-management approach to performance improvement.

KEYWORDS Self-management; self- monitoring; self-observation; delay discounting; prompts

Many of us can probably recall observing behavior that seemed surprising or unexplainable at some point in our lives. As a child, I vaguely recount when I went to the hospital with my mother for routine bloodwork. This event was quite some time ago; however, I still remember the technician not wearing gloves during the procedure. My mother commented on it, and the techni- cian’s response was, “I am guessing you don’t have anything I need to worry about.” The hospital was located in an area that had a low prevalence of major diseases. Still, even as a child, I could not understand why precautions were not taken, especially since the possible consequences of engaging in such risky behavior were significant. The technician’s seemingly flippant attitude toward the apparent dangers appeared unusual. I concluded that little could be done to reason with her. When behavior is assumed to be entirely random, one might be tempted to conclude, as I did, that nothing can be done to change it (Johnston, 2014). This conclusion may be further pronounced if the employee works alone or in isolation and is unable to be observed or managed. However, when examining the variables systematically, it becomes clear that behavior is not random and can be understood and managed (Johnston, 2014). Furthermore, behavior does not have to be managed by a supervisor. An alternative approach to behavior change is available that requires less support from management and may prove to be a viable option for workers like the one described in this example.

CONTACT Rachael Ferguson [email protected] School of Behavior Analysis, Florida Institute of Technology, 150 W University Blvd., Melbourne, FL, 32901, USA

Supplemental data for this article can be accessed on the publisher’s website.

JOURNAL OF ORGANIZATIONAL BEHAVIOR MANAGEMENT 2022, VOL. 42, NO. 3, 210–229 https://doi.org/10.1080/01608061.2021.1996502

© 2021 Taylor & Francis

Defining self-management

Self-management has been conceptualized as a process of self-improvement that involves changing one’s behavior to a desired level that is consistent with a goal (Hickman & Geller, 2005). In self-management, the individual assumes “responsibility” for their behavior, therefore lessening the need for an outside agent to monitor behavior change (Godat & Brigham, 1999). There are three broad components that are typically considered during self-management. These include self-observation, antecedents, and consequences (Godat & Brigham, 1999; Hickman & Geller, 2005; Mahoney & Thoresen, 1974; Watson & Tharp, 2014). Each of these components will be described in more detail. However, one should first consider when self-management might be used in organizations.

When we might use self-management in organizations and in the field of OBM

A critical component of self-management is self-observation, which allows the approach to be effectively applied to certain professions that cannot be easily observed (Olson & Austin, 2001). This could be the case with lone workers such as truck drivers (Arnold & VanHouten, 2020; Hickman & Geller, 2005; Olson & Austin, 2001), sales representatives (Copeland et al., 2018; Crawley et al., 1982; Frayne & Geringer, 2000), telehealth practitioners (Morin et al., 2020), home healthcare aids (Olson, Thompson, et al., 2016), or individuals who work from home. A self-management approach is also ideal for business owners who do not report to a supervisor (Gaetani et al., 1983; Milligan & Hantula, 2005) or organizational leaders who must employ time-management strategies to create project timelines and construct meeting agendas.

In addition to professions in which employees are unable to be observed due to geographic distance, self-management is also ideal when more costly approaches (e.g., monetary incentives, frequent observation, coaching, etc.) are not feasible. In some professions it may not be viable to designate observers to measure performance (e.g., education, human services), and their work might not produce outcomes that are indicative of behavior (e.g., sales). Supervisor or peer one-on-one observations can be time-intensive. The decreased productivity and added costs incurred from a peer observation system are typically met with reluctance to implement such procedures. Larger organizations with a substantial number of employees who work multiple shifts may also benefit from a self-management approach (Gravina et al., 2008).

Self-management is perhaps most widely recognized as a choice interven- tion in promoting general health and safety, which is also a topic of interest in organizational behavior management (OBM). It is typical for individuals

JOURNAL OF ORGANIZATIONAL BEHAVIOR MANAGEMENT 211

working in an office to remain sedentary for most of the workday. Sedentary behavior can increase risk for disease, including cardiovascular disease and certain cancers. Behavioral interventions such as feedback and task clarifica- tion have been successfully applied to address workplace inactivity and pro- mote health and wellness (Green & Dallery, 2019). Other professions, such as truck drivers, may also be at risk for inactivity, and obesity is twice as common for U.S. truck drivers than the general population (Olson, Wipfli, et al., 2016). Given that these individuals work independently, regular feedback from man- agement may not be feasible. Self-management techniques such as self-obser- vation have proven to be a viable alternative for promoting weight loss (Olson, Wipfli, et al., 2016). Self-management interventions have also led to increased healthy behaviors and outcomes such as ergonomic tool use, hazard identifi- cation and correction, healthy eating, communicating safety concerns, improving cholesterol levels, and injury reduction (Olson, Thompson, et al., 2016).

Delay discounting

Self-management is frequently needed when an individual must choose between a substantial but delayed consequence over a smaller, but desirable, more immediate consequence, sometimes referred to as delay discounting. With delay discounting, the value of a reinforcer is decreased as a function of the delay to that reinforcer. At times, a smaller, more immediate reinforcer can have a more apparent influence on behavior than a larger, delayed reinforcer (Odum, 2011).

Suppose a truck driver frequently enjoys fast food on the road, but is trying to get into shape to look and feel better. While the positive consequences of looking and feeling better may be substantial, they are also delayed. Alternatively, the satisfaction experienced by indulging in a burger would be immediate. Along with delay, less probable consequences have less control over behavior (Daniels & Bailey, 2014; Milligan & Hantula, 2005). An increased likelihood of a heart attack may be a substantial negative conse- quence; however, it is improbable. Alternatively, the instant delight that occurs after taking a bite of a burger is guaranteed. While only a small pleasure, it is both immediate and probable, which is most critical (Daniels & Bailey, 2014).

For the lab technician, performing a procedure without putting on gloves is similar to the truck driver taking that forbidden fast food exit. There is immediate reinforcement that is probable or likely (e.g., avoiding the gloves’ discomfort, working more quickly, etc.). Getting a disease from failure to put on gloves is significant. However, similar to a heart attack, this is an unlikely consequence and will be delayed if it does happen. The technician could neglect to put on gloves throughout her entire career and never catch a disease.

212 R. FERGUSON AND L. RIVERA

Given that immediate positive consequences support unsafe behavior, she will be less likely to emit safe responses. Due to delayed discounting, much like the truck driver, the technician may be more likely to demonstrate poor self- management skills if it were left to chance. However, self-management does not have to be left to chance and can be accomplished by following a process that involves applying behavioral principles (Godat & Brigham, 1999; Skinner, 1953; Watson & Tharp, 2014; Yates, 1985).

Components of the self-management process

Self-monitoring

Self-observation is the first step in the self-management process. It has been identified using different terms within the literature such as “self-monitoring,” “behavioral self-monitoring,” or “self-recording,” to name a few. Throughout this article, self-observation will be referred to as “self-monitoring.” Self- monitoring is a technique that involves repeatedly observing, recording, and evaluating one’s behavior (Olson et al., 2011). Due to reactivity, desired behaviors will typically increase and undesired behaviors will decrease when an individual begins observing their behavior (Mahoney & Thoresen, 1974; Watson & Tharp, 2014). Thus, it is possible to change a behavior in the desired direction and achieve maximum benefit for minimal cost (Rose & Ludwig, 2009; Yates, 1985).

OBM experts have noted that self-management procedures such as self- monitoring promote worker autonomy and eliminate the need to apply more aversive control techniques (Gaetani et al., 1983). Individuals who engage in self-observation are present during every occurrence of the behavior, and therefore have a better opportunity to provide a more accurate representation of the event (Godat & Brigham, 1999; Mahoney & Thoresen, 1974). Many experts have endorsed self-monitoring and recommended that modest inter- ventions be applied first, with more intrusive interventions adopted only as needed (Christian & Poling, 1997; Olson & Austin, 2001).

Self-monitoring can easily be applied in the workplace through a variety of techniques. Richman et al. (1988) had direct care staff copy their schedule onto an index card that they carried with them while they worked. Participants self- monitored their behavior by initialing the card after completing each activity. For other professions such as truck drivers, it may not be feasible to have the participant record the behavior immediately after its occurrence. Researchers have had success allowing participants to estimate their performance. Hickman and Geller (2005) assessed the effects of self-monitoring on speeding and extreme breaking. Participants in one group estimated how often they intended to engage in these behaviors before beginning their trip, whereas participants in the other group made the same estimations after their trip was

JOURNAL OF ORGANIZATIONAL BEHAVIOR MANAGEMENT 213

completed. Each procedure was effective in promoting safe driving. Other techniques have also been used to promote more frequent recording without the need for a manager to be present. Gravina et al. (2008) used a signaling procedure to alert participants when it was time to record their safe posture. This procedure lends itself well to continuous behaviors that occur over the duration of the workday.

The evolution of technology further facilitates the ease of self-monitoring. It is possible to keep records on a cell phone or tablet. Contemporary clinical applications of self-monitoring have employed cell phone programs that promote timely, convenient, and accurate record keeping. It is also possible to have certain behaviors such as social media use monitored automatically through various applications.

As mentioned, self-monitoring is an ideal approach to performance feed- back when a supervisor is not available. Teachers are frequently expected to complete a variety of educational procedures without a supervisor present and self-monitoring has been used to increase the fidelity of teacher-implemented behavioral interventions and techniques (Wright et al., 2012). A review of the contemporary literature found a cross-section of studies using self-monitoring on the following behavioral methods in education: teacher praise of student behavior, implementation of token economies, use of augmentative and alter- native communication to replace student problem behavior, and class-wide challenging behavior prevention practices (Rispoli et al., 2017).

Along with more traditional approaches to teaching, other modes of instructional delivery can also benefit from self-monitoring. Telehealth is a mode of service delivery in applied behavior analysis that allows remote learning, enabling wider access to trained professionals. This approach may benefit from self-monitoring as it involves receiving services at a distance from the provider. Morin et al. (2020) used telehealth to train parents on using video analysis procedures to increase self-selected instructional practices. The inde- pendent variable was a video analysis intervention, which consisted of instruc- tional feedback and several self-management components such as goal setting, self-monitoring through video, self-graphing, and reflection. Results indicated that the intervention was effective in changing parents’ instructional practices and the effects generalized to a second target behavior and maintained. Additionally, a social validity survey indicated that parents found the inter- vention acceptable and feasible.

Self-monitoring is a critical component of self-management. Much early research has been done to explore the impact of self-monitoring under various conditions (e.g., Hayes & Nelson, 1983; Nelson et al., 1982; Nelson & Hayes, 1981). While self-management is generally conceptualized as a process, spe- cific self-management components can be implemented in isolation. Self- monitoring is one component of self-management that has been implemented on its own and achieved modest outcomes (e.g., Gravina et al., 2008, 2013).

214 R. FERGUSON AND L. RIVERA

Motivating operations One explanation for self-monitoring’s effectiveness could be that observing behavior might function as a motivating operation (MO) and have a value altering effect. Michael (1993) described MOs as environmental antecedents with value-altering and behavior-altering effects. Value-altering effects alter the effectiveness of a consequence, while behavior-altering effects alter the frequency of behavior that has led to that consequence in the past. For instance, if one has been water-deprived, water will be more reinforcing (value-altering effect), and one will be more likely to emit behaviors that have in the past been reinforced with water (behavior-altering effect).

Considering how these concepts may apply to the workplace and self- management, visible differences between one’s current performance level and their goal level may function as an MO (Olson & Winchester, 2008). Again, considering the lab technician, suppose the goal was set at 90% and she has a schedule with patients she sees each day. She marks a checkmark next to a patient’s name if she uses personal protective equipment (PPE) during the interaction. At the end of the day, she, or a manager, adds these performance results to her overall score and graphs her daily performance. If she neglects to put on PPE, this will drop her daily percentage and bring her farther away from the goal. Imagine her current average is 80%, and again, the goal was set to 90%. If that 10% discrepancy between her current level and goal level functioned as an MO, it would have the value-altering effect (specifically the reinforcer establishing effect). Thus, it would establish the sight of a reduction in that discrepancy as reinforcing. It would also have the behavior-altering effect, increasing the frequency of behaviors that have in the past led to progress toward the goal such as putting on gloves prior to interacting with patients and marking off that she has done so (Olson & Winchester, 2008). For this reason, engaging in these behaviors can have a reactive effect that typically occurs immediately after the behavior is recorded and will continue as long as recording persists (Latner & Wilson, 2002; Watson & Tharp, 2014).

Antecedents

While self-monitoring may be effective on its own, it is best to apply other self- management techniques. Manipulating antecedents is another typical compo- nent of the self-management process. There are two reasons to manipulate antecedent stimuli. The first is to increase the frequency of self-monitoring, and the second is to promote positive behavior change.

Increasing compliance with self-monitoring through manipulating antecedents One of the most common reasons an individual may fail with their self- management plan is neglecting to document their behavior (Watson & Tharp, 2014). Individuals should record the behavior immediately after it

JOURNAL OF ORGANIZATIONAL BEHAVIOR MANAGEMENT 215

occurs in order to increase compliance (Crawley et al., 1982; Latner & Wilson, 2002; Watson & Tharp, 2014). Prompts or antecedents to record should be strategically included where the behavior is likely to occur (Watson & Tharp, 2014).

Gravina et al. (2008) provided an original application of prompts that helped support their significance to a self-monitoring procedure. Researchers began by providing participants with ergonomics training, which was supplemented with an informational sheet that could be viewed following training. Special care was taken to place the informational sheet on a nearby table during every experimental session. Participants were prompted to self-monitor through a tone that would go off after a set amount of time. Each time the tone sounded, they were to indicate if they were in a safe or at-risk position. This approach proved effective at gaining compliance with self- monitoring, with an average compliance of 82%.

Along with prompts, a device should be selected that is easy to use and transport (Burg et al., 1979; Christian & Poling, 1997; Watson & Tharp, 2014). Christian and Poling (1997) achieved results by having participants self- monitor using a notebook that was small enough to be carried with them during shifts. Other authors have applied original techniques to increase ease of recording. Burg et al. (1979) implemented self-monitoring and minimal supervisory involvement to increase the number of interactions direct care staff had with residents. Researchers had participants use a small laminated card that could be easily carried in the pockets of staff. Convenience was increased by having the staff self-monitor by removing a sticker from one side of the card and attaching it to the other side.

Promoting desired behavior change through manipulating antecedents The second reason to manipulate antecedents is to promote positive behavior change. One way an antecedent can promote desired behavior is through acting as a discriminative stimulus. A discriminative stimulus signals access to reinforcement for specific responses when present, and in its absence, responses of the same type will not be reinforced (Cooper et al., 2007). As mentioned, self-management involves increasing or decreasing a target beha- vior to reach a goal (Hickman & Geller, 2005). Goals have been conceptualized behaviorally as stimuli that come before a behavior and if achieving one’s goal generates positive reinforcement, the goal is said to have discriminative con- trol over the behavior (Fellner & Sulzer-Azaroff, 1984).

Considering the lab technician, suppose she is told that achieving a goal of 90% of patients served with PPE by the end of the month will lead to a small incentive. Given that this goal has been established, her behavior will be reinforced in the presence of the goal, and in its absence, it would not be reinforced. Thus, the goal would function as a discriminative stimulus in this example and the absence of a goal would serve as the stimulus delta.

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In addition to goal setting, it is also possible to manipulate antecedents in other ways to promote desired behavior such as through changing the materi- als or decreasing response effort (Wilder et al., 2021). For instance, the lab technician may find that she is less likely to put on gloves because they have an improper fit or are inconveniently located. Adjusting these antecedents may increase her likelihood of engaging in the desired behavior.

Milligan and Hantula (2005) provide an excellent example of manipulating antecedents in a pet care facility. Prompts (i.e., index cards) were introduced to increase suggestive selling. The participant in the study was the owner of the facility, and the behavior was asking customers if they were interested in purchasing pet care products. Results indicated that sales tripled. This inter- vention is of particular interest given its simplicity, and the impact it had on critical outcome measures. Perhaps one reason the intervention was successful was that the participant was the owner and thus stood to benefit from any financial return gained from the change in behaviors and thus recognized their value.

Doll et al. (2007) also utilized antecedent components to increase staff cleaning behaviors at a ski shop. A checklist of desired behaviors was placed by the cash register where it could be easily seen by participants and thus acted as a prompt to record. Participants were instructed to self-monitor by initial- ing each behavior on the checklist after completing it at the end of the day. Graphic feedback and task specific feedback supplemented the self-monitored feedback. Immediately following the introduction of the checklist, there was a 52% increase in desired behavior with an added 12% increase once task- specific feedback was introduced.

Arnold and VanHouten (2020) offer a recent application of prompts to increase safe driving. Researchers attempted to decrease tailgating through a packaged intervention that included prompts and self-monitoring in addition to goal setting and feedback. The study took place in a simulated environment and included three drivers. Participants were prompted to drive safely and were provided a target for following at a safe distance. For the self-monitoring component, they were instructed to estimate how frequently they followed a safe distance at the end of each session. Following self-monitoring, partici- pants were given feedback based on their actual safe driving performance. Safe driving behavior increased for all participants after implementation of the treatment package, and these effects generalized to a real-world setting. This study illustrates how prompts can be effectively used within a self-manage- ment initiative to promote desired behaviors and may benefit from the addi- tion of consequences such as feedback.

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Consequences

Self-monitoring and antecedents are two typical components of a self-manage- ment initiative that help influence behavior change. Another component is consequences. There are a variety of different consequences that are relevant and each will be discussed.

Self-generated feedback as a natural consequence of self-monitoring Self-generated feedback is an important natural consequence associated with the self-monitoring procedure. It has practical advantages of being delivered immediately and frequently. Environmental consequences control reactivity to self-monitoring procedures. Self-monitoring provides cues for consequences for the target behavior (Hayes & Nelson, 1983). The sight of one’s self- monitored data (e.g., number of tallies increasing) can also function as an antecedent cue that certain consequences associated with engaging in the target behavior may be forthcoming. As discussed, due to delay discounting, consequences that are more immediate are more likely to influence behavior than consequences that are more substantial but occur later (Daniels & Bailey, 2014; Odum, 2011; Yates, 1985). Self-monitoring can be used to bring con- sequences closer in time to the response.

Once again, considering the lab technician, while the consequence of catching a disease may be delayed and improbable, if the technician were to self-monitor, the visual consequences generated through the self-monitoring procedure would be more immediate and probable. Every time she put on gloves before interacting with a patient, she could mark a checkmark or tally soon afterward, which would show progress toward her goal.

Similar to health and safety with a lab technician, sales is another profession that may experience inconsistent and delayed results. A sales representative could emit all the correct behaviors and the customer may still not purchase if they lack the funds. Furthermore, even if the customer purchases, it may take a long time for the sale to finalize and to receive the commission. Not receiving timely, consistent reinforcement may cause critical sales behaviors to extin- guish. However, if a sales associate were to track their sales behaviors through a checklist, feedback would be consistent, occurring every time the behavior occurred, and would occur shortly after the customer interaction.

Crawley et al. (1982) offer an excellent example of how self-generated feedback can be applied with sales associates. Researchers began by identifying key sales behaviors by observing high performers. A sample of behaviors included greeting the customer, obtaining the customer’s name, using the appropriate questions to identify customer needs, reinforcing the customer’s statement of a need, suggesting additional products and services, responding to each objection, making an appointment with the appropriate decision maker, and asking for the sale. These behaviors were clarified and then self-

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monitored by sales associates. During this phase, sales representatives were expected to consistently monitor their performance based on the checklist within the first 5 minutes following a customer’s departure from the store. This method allowed sales representatives to generate their own feedback shortly following each customer interaction without relying on feedback from a manger.

Additionally, while Crawley et al. (1982) assessed internal sales representa- tives in close proximity to managers, self-management components may be ideal for external sales associates who must perform a number of critical behaviors without direct management oversight. Again, these behaviors are not always directly linked to a result and the results are delayed, making it easy for behaviors to extinguish if there is no manager available to reinforce them.

Self-generated feedback has also been used as a consequence in other settings such as clinics. Hillman et al. (2020) trained individuals diagnosed with autism spectrum disorder interested in becoming behavioral technicians to implement discrete-trial training (DTT) with children. The training proce- dure included a self-monitoring component. Participants were taught to self- monitor their DTT sessions’ treatment integrity. Results indicated that the treatment integrity maintained initially without the addition of feedback. These results are promising given that many managers in clinical settings may not be available to observe and deliver supervisor feedback. Self-gener- ated feedback can be a valuable alternative that can occur immediately follow- ing the behavior.

Increasing compliance with self-monitoring through arranged consequences Proper use of arranged consequences is also important in the self-management process. Early in the process, consequences should be arranged to support completing the self-monitoring procedure. These consequences can be simple social consequences such as selecting a mediator who can check-in on one’s record-keeping (Burg et al., 1979; Watson & Tharp, 2014). Additionally, when the individual begins the initial process of collecting self-monitored data, one should reinforce engaging in the behavior of recording. Less emphasis should be placed (at least initially) on whether goals are met (Daniels & Bailey, 2014).

Burg et al. (1979) implemented self-monitoring and minimal supervisory involvement to increase the number of interactions direct care staff had with residents in a residential treatment facility. Staff self-monitored using a small card, which they handed in to the supervisor’s office at the end of their shift. Minimal supervisor involvement consisted of thanking the staff for self-mon- itoring upon receipt of the card. Special caution was taken to focus on use of the card alone rather than the number of interactions. Although the focus was on self-monitoring alone, the reactive effect of self-monitoring led to a sub- stantial increase in the average number of interactions during each shift. Prior

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to the intervention, there was little interaction; staff interacted with residents one time for every 14 observations. After the intervention, there was a notice- able increase of one interaction for every two observations.

Performance-contingent incentives can also be arranged for completing the self-monitoring procedure. These incentives do not have to be substantial. Hickman and Geller (2005) examined the effects of self-monitoring and individual feedback on speeding and extreme breaking in short-haul truck drivers. A small incentive of $1.00 was offered for each completed self-mon- itoring form which led to desired results. Additionally, these researchers did not require an observer to be present. This further demonstrates the feasibility of the approach for different professions.

Promoting desired behavior change through manipulating consequences Along with natural consequences that are generated through the act of self- monitoring and arranged consequences that can be provided for engaging in self-monitoring, arranged consequences can also be included to promote desired behavior change. These performance-contingent consequences may be self-administered (Burgio et al., 1983; Godat & Brigham, 1999) or delivered by an external agent (Burg et al., 1979; Christian & Poling, 1997; McCann & Sulzer-Azaroff, 1996; Richman et al., 1988; Rose & Ludwig, 2009). Additionally, they can take a variety of forms.

Olson and Austin (2001) implemented feedback in conjunction with self- monitoring to improve safe driving in four bus operators. The drivers self- monitored safe driving behaviors and received feedback on their self-mon- itored data. The behavioral categories included loading and unloading, in motion practices, and coming to a complete stop. Results indicated an increase in safe driving performance of 12.3% for the group, with a 2% to 41% range of improvement at the individual level.

Christian and Poling (1997) provided tangible rewards when implementing self-management to improve the performance of two restaurant staff with mild intellectual disabilities. Specific behaviors included setting tables, weighing and bagging food items, and rolling silverware. Participants were first prompted to choose items from a reinforcement inventory. These reinforcers were then delivered contingent on finishing a task by a pre-established time. The participants began by selecting a time to have a task completed. The desired times were then recorded in notebooks they carried with them. The self-monitoring procedure consisted of the participant recording whether they had completed the task on-time. If the deadline was met, the participant was rewarded with an item from the reinforcement inventory. The importance of accurate recording was also emphasized and participants were occasionally provided praise and monetary incentives for accurate record keeping.

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Research has also supported a combined approach that includes self-mon- itoring plus incentives. Gaetani et al. (1986) used self-monitoring with incen- tives to increase daily productivity of two machinists at an auto shop. During the initial phase, researchers applied a self-generated or employee-generated feedback procedure (i.e., self-monitoring). The self-monitoring took place daily and consisted of a report generated by each employee that reflected dollars billed for the workday. Note that the self-monitoring did not take place immediately after the occurrence of behavior but involved tallying invoices once the workday concluded. The average dollars billed during base- line for the two workers was $77.10 and $98.23. With the addition of self- monitoring alone, this increased to $152.00 and $186.00 respectively. During the reversal phase, performance declined toward baseline levels shortly after which a self-monitoring plus incentive phase was introduced, which consisted of self-monitoring and performance-contingent pay based on daily productiv- ity. This phase resulted in the most substantial performance increases, with workers averaging $238.00 and $269.00, respectively. Authors further under- scored that performance was both high and steady during the entire duration of this phase. This provides further evidence that demonstrates the benefits of a multifaceted approach.

While using incentives may be effective, it is more expensive and perhaps may not be feasible for other professions. To reduce costs, one could substitute monetary incentives with lower-cost reinforcers such as Premack reinforcers. In other words, a highly preferred work activity could be contingent on completing a less preferred work activity. Suppose a direct care worker did not enjoy conducting therapy sessions as much as having a desk shift. The supervisor could allow the direct care worker to begin a desk shift after they had a self-monitoring form that demonstrated they had engaged in desirable therapy behaviors (e.g., recording a session note, cleaning the work station, conducting DTT, etc.).

Considerations for implementing self-management

Increasing accuracy of self-monitoring

Research suggests that to experience the full potential of a self-monitoring intervention, the self-monitored data must be accurate. Gravina et al. (2008) implemented self-monitoring to increase college students’ safe positioning in an analogue setting. The authors described the effects of the stand-alone self- monitoring intervention to be modest at best. They noted that one reason could have been that the self-monitoring was inaccurate. It was possible the participants may have scored their positioning as safe when it did not meet requirements for safe positioning. This may have undermined the effects of self-monitoring.

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Gravina et al. (2013) did a follow-up study, but provided participants with training to attempt to increase self-monitoring accuracy. Prior to beginning the self-monitoring phase, participants completed a training procedure that involved practicing the self-monitoring task while verbally self-monitoring their behavior. The experimenter provided feedback on self-monitoring accu- racy. The average accuracy increased from the previous study from 44% to 77%, with a 58% to 100% range. The intervention was effective for six out of six dependent variables, demonstrating a more substantial effect compared to 11 out of 17 in the previous study. Thus, the effects of self-monitoring may be enhanced through increasing self-monitoring accuracy.

Personal value

Individuals are also more likely to experience success when they personally value changing their behavior (Chase et al., 2013; Olson & Austin, 2001; Olson et al., 2011). One way to promote value is through demonstrating how behavior change may be linked to a desired result. Gaetani et al. (1983) assessed the effects of three self-monitoring procedures designed to reduce tardiness of a small business owner. The first procedure required the owner to document arrival times. While this phase led to an initial decrease in tardiness, it did not maintain. In the next phase, the owner plotted the data associated with arrival time, which did not promote improvement. It was not until the owner began tracking lost potential customers due to the tardiness that tardiness levels were reduced and remained low. By having the participant track lost potential customers, it became easier for the business owner to see the impact of arriving late on potential revenue which made arriving on time valuable.

Another technique to increase the likelihood that behavior change is valued is to allow the individual to choose which behavior to change (Gravina et al., 2008; Olson & Austin, 2001; Olson et al., 2011; Watson & Tharp, 2014). Choice can moderate the effects of self-management. The individual will frequently select a behavior they care about (Gravina et al., 2008) which increases motivation to change (Olson et al., 2011). For instance, Olson et al. (2011) examined the effects of choice on self-monitoring compliance. There was a total of seven different health and safety behaviors. Participants were expected to self-monitor one of the seven and were either assigned to the behavior or given a choice. Results indicated an 18% higher rate of compliance with the self-monitoring procedures when participants were allowed to choose the behavior, which was statistically significant. During instances in which choice is not an option, employee buy-in may be increased by using a participative approach during goal development and during the design phase of the self- management intervention (Kazdin, 1974; Olson & Austin, 2001).

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It would be impractical to allow an employee such as the lab technician to choose which safe behavior to engage in given that glove wearing is a require- ment to promote health and safety. Arguably, it would also not be ideal to allow her to participate in goal development since, for ethical reasons, the goal should remain high. An alternative approach to promoting value in these circumstances could be through value training or clarifying the value of the behavior early on. Chase et al. (2013) examined the impact of online goal- setting with and without personal values exploration on undergraduate per- formance. Psychology students were randomly assigned to one of three con- ditions: goal-setting training alone, values training plus goal-setting training, and a waitlist. Results showed those exposed to values training plus goal- setting training had significant improvement in their GPA. Moreover, goal- setting by itself did not affect performance.

It is possible that value training was successful due to the dependent variable of interest. Participants may have come to value GPA given that reaching this goal could help improve their life (Watson & Tharp, 2014). A similar point can be made about the lab technician. The technician would likely value her long- term health; thus, providing value training and clarifying the dangers of failing to wear PPE at the beginning could lead to desired outcomes similar to those observed by Chase et al. (2013).

Thus, a different approach to building value may be taken based on a variety of factors such as the behavior and position of interest. Therefore, rather than attempting to follow a prescriptive approach, one should consider each factor and the recommendations as a whole to tailor a self-management plan that will work best in addressing their specific performance concern.

The importance of a multifaceted approach

Many authors have advocated for a multifaceted approach to self-manage- ment, and research findings have further substantiated this point (Arnold & VanHouten, 2020; Burg et al., 1979; Burgio et al., 1983; Christian & Poling, 1997; Crawley et al., 1982; Gaetani et al., 1983, 1986; Godat & Brigham, 1999; Gravina et al., 2008, 2013; Latner & Wilson, 2002; McCann & Sulzer-Azaroff, 1996; Richman et al., 1988; Wilk & Redmon, 1998). A multifaceted approach is believed to be ideal given that each component can amplify any performance improvements that may be observed, and help ensure long-term success of the self-management initiative (Gravina et al., 2008).

While incentives were described in the previous examples as supplemental components to self-monitoring, the additional components do not always need to be as costly for success to be observed. Having some additional components may be sufficient (Burg et al., 1979; Burgio et al., 1983; Richman et al., 1988). As discussed, results have been obtained by simply having a supervisor available to collect the self-monitored data (Burg et al.,

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1979). Results have also been experienced with little to no supervisory invol- vement. Burgio et al. (1983) developed a staff management program designed to be supported through the staff’s efforts. Staff were in charge of setting their own goals each day, self-monitoring those goals, and graphing their data. The two aforementioned studies each assessed the effects of self-management on staff-resident interactions, and both led to a substantial increase in interac- tions, with little managerial involvement. However, results have been some- what mixed. While each of the previous studies (e.g., Burg et al., 1979; Burgio et al., 1983) achieved results that maintained with little involvement from management, other studies (e.g., Richman et al., 1988) have required addi- tional components such as feedback. Richman et al. (1988) implemented self- monitoring to increase on-task and on-schedule behavior in direct care staff. However, some staff members’ performance did not maintain when using self- monitoring alone but recovered when feedback was introduced. Researchers concluded that feedback might be a necessary component to ensure the long- term effectiveness of self-monitoring. Results have been somewhat inconsis- tent concerning the specific components that are necessary to supplement self- monitoring to achieve long-term maintenance and may depend on many factors.

Other authors have utilized a combined approach and experienced success. Wilk and Redmon (1998) integrated self-monitoring into an intervention package consisting of self-monitoring, goal setting, and feedback to increase university admissions staff’s productivity and job satisfaction. Authors noted the self-monitoring component to be an integral part of the package. The primary dependent variable was productivity which was operationalized as the number of daily tasks completed, and this was assessed through self-monitor- ing. In the second phase, workers were also provided a graphic display of the number of tasks completed and this led to the highest levels of performance. Results indicated that productivity and job satisfaction both improved through this multifaceted approach.

Identifying an approach that would provide the necessary support while requiring minimal involvement from supervisors would seem to be a worthy topic of exploration. One option may be to begin by having management play a more substantial role and then gradually fade out the manager’s presence over time (Burg et al., 1979; Crawley et al., 1982). Crawley et al. (1982) followed this approach when implementing a Behavioral Sales Model to increase critical behaviors performed by sales representatives and coaches. As mentioned, critical sales behaviors were identified and sales personnel were to self-evaluate their performance according to those behaviors following a customer’s departure.

To increase the likelihood that coaches were performing the desired coach- ing behaviors, they were observed by management during the coaching ses- sions and evaluated based on a checklist. The coaches were also expected to

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engage in a self-evaluation session using the checklist. Managers also observed coaches periodically using this checklist, and the frequency of managerial observations was then faded. This study provides an example of how self- monitoring can be incorporated into an intervention and can be encouraged by employees at multiple levels. Moreover, it allows one to see how managerial presence can be effectively faded over time.

Areas for future research

Applying a multifaceted approach will increase the likelihood that self-man- agement will be effective. However, using a more comprehensive method could undermine a primary benefit of a self-management initiative: ease of implementation. This is perhaps one reason why there seems to be a general consensus among authors (e.g., Burg et al., 1979; Burgio et al., 1983; Hickman & Geller, 2005; Olson & Austin, 2001; Olson & Winchester, 2008; Rose & Ludwig, 2009) that further research is needed that investigates the differential effects of each component within a self-management program.

Olson and Winchester (2008) conducted a systematic review of the self- monitoring literature within the workplace. Findings indicated that safety interventions that included self-monitoring produced substantial behavior change. Additionally, a self-monitoring approach can be used to address various topics specifically in the area of occupational health. Results supported the integration of self-monitoring in workplace interventions. However, find- ings also indicated insufficient research that examines specific components of a self-monitoring package in combination with other interventions as well as self-monitoring in isolation.

While many variables have been examined in combination (Burg et al., 1979; Burgio et al., 1983; Christian & Poling, 1997; Crawley et al., 1982; Gaetani et al., 1983; Godat & Brigham, 1999; Gravina et al., 2013; Latner & Wilson, 2002; McCann & Sulzer-Azaroff, 1996; Richman et al., 1988; Rose & Ludwig, 2009), there is a paucity of research that isolates the effects of each variable (Gravina et al., 2008) as well as various behaviors or conditions under which different components and combinations would be most effective. Rose and Ludwig (2009) implemented a combined intervention that involved task clarification and graphing to increase closing tasks completed by lifeguards at a swimming pool facility. The most substantial improvements were observed in tasks that were confined to a smaller space and more clearly defined, such as vacuuming. Fewer improvements were seen in less clearly defined tasks that were spread out over a larger area within the facility (e.g., pool deck main- tenance). Similarly, when assessing self-monitoring, Gravina et al. (2008) noted the most substantial improvements in behaviors that were discrete versus continuous.

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Considering the lab technician, given that glove changing is discrete, self- monitoring may be enough to increase it to desired levels provided the recording device and gloves were placed in a convenient location, the gloves fit properly, and value training was also delivered prior to the start of self- monitoring. If effects were not observed or did not maintain, the next step might be to set a goal and have her graph her performance and submit the graph to her supervisor. Self-administered incentives could also be added if turning in the graph to her supervisor was insufficient. If she still failed to reach the goal, the supervisor could provide feedback to supplement the self- management components. There are a variety of techniques one could imple- ment to address the behavior in this example. A simple or robust package should be applied as necessary. Further research is needed on value building as well as research that examines the effects of self-management procedures across a wide range of behavior classes. This could increase one’s ability to effectively tailor a self-management program to achieve desired results for a specific behavior of interest with the fewest resources.

Conclusion

Self-management can be a cost-effective approach that has proven effective in many areas. Its versatility makes it appealing to many professions and an ideal choice in OBM. The ability to manage one’s own behavior does not have to be left to chance. It can be achieved by following the appropriate process and applying self-management techniques. One last time let’s consider the lab technician’s behavior. I can perhaps still vaguely recall the experience decades later, given that her behavior seemed so unusual. Only years later, after gaining expertise in human behavior, would I come to learn that the technician’s behavior was not random or “lazy” and could have been predicted and even managed. Her life and the life of her patients did not need to be put at risk. Furthermore, her behavior did not have to be controlled by another individual to ensure it aligned with safety standards. She could be taught to manage her own behavior through a science of behavior and a process referred to as “self- management.”

Disclosure statement

No potential conflict of interest was reported by the author(s).

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Morin, K. L., Vannest, K. J., Hong, E. R., Haas, A., Nagro, S. A., Ganz, J. B., & Lavadia, C. (2020). Using remote delivery to train parents in video analysis procedures. Journal of Behavioral Education, 29(2), 354–381. https://doi.org/10.1007/s10864-019-09361-6

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JOURNAL OF ORGANIZATIONAL BEHAVIOR MANAGEMENT 229

Thinking in AlternativesA Task Design for Challenging Students’ Problem-Solving Approaches in Organic Chemistry Leonie Lieber and Nicole Graulich*

Cite This: J. Chem. Educ. 2020, 97, 3731−3738 Read Online

ACCESS Metrics & More Article Recommendations *sı Supporting Information

ABSTRACT: In organic chemistry, meaningful learning is essential when reflecting about multiple reaction pathways and selecting reaction centerstopics that require a complex and multivariate reasoning approach to problem-solving. Meaningful learning is characterized by abstract, analytical thinking that might be time-consuming, whereas rote learning, on the other side of the continuum, facilitates simple heuristic- based recall of information. To challenge organic chemistry students to shift their problem-solving approach from rote learning to meaningful learning, we designed task sequences that initially required students to use heuristics followed by an enforced reflection about alternative reaction pathways. Twenty-nine students who were enrolled in a third-year organic chemistry course participated in the study. They solved two tasks, each with four subtasks, which sequentially provoked the use of different problem-solving approaches. The tasks are centered on the chemical concept of nucleophilicity and electrophilicity. In the first step, students were prompted to predict the product of an easy and familiar reaction. This step aimed at provoking the use of heuristics. Afterward, students received five alternative product cards and were prompted to reflect on the plausibility and the alternative mechanistic pathways leading to these products. Evaluation of these task sequences revealed (a) to what extent students were engaged in reflecting on their own problem-solving approaches and (b) the aspects students perceived as important for adopting a more meaningful approach to solving typical tasks in organic chemistry. Implications and limitations of the designed tasks are discussed. KEYWORDS: Upper-Division Undergraduate, Organic Chemistry, Problem Solving/Decision Making, Acids/Bases, Mechanisms of Reactions, Nucleophilic Substitution

■ INTRODUCTION

Problem-solving is an essential ability possessed by successful experts in a given discipline because it allows them to achieve higher-order thinking.1,2 Experts often approach problems differently than novices. They explore the problem, plan strategies, and group information, whereas novices tend to use commonplace solutions and to memorize given information.3

Experts are efficient because they organize their knowledge in a way that relieves their working memory capacities.4 Thus, they are able to analyze information in detail and restructure the problem because they have more experience in their professional domain.5 With regard to organic chemistry, Cartrette and Bodner5 wrote that successful problem-solving consists of “rationalizing trends in reactivity, determining spatial relationships, and devising coherent mechanisms to explain or predict chemical transformations” (p. 645). They also mentioned that more successful participants work in a more methodical manner as they always use the same strategy when solving a problem, no matter how simple or difficult the problem appears to be.5 As students often struggle with problem-solving,3 a key goal of chemistry education is to help students develop their problem-solving abilities. Several studies have investigated problem-solving in organic

chemistry. Bode ́ et al.6 explored students’ ability to construct

arguments. Second-semester students received two reaction mechanisms of nucleophilic substitutions and had to compare these two reactions, predict the plausibility, and provide a reasoned explanation.6 The researchers found that students’ correct claims were supported by evidence but did not have the expected conceptual depth; students’ incorrect claims were often based on incorrect evidence. The researchers concluded that even though comparing and contrasting reaction pathways seemed to engage students in problem-solving, the students did not use the highest mode of reasoning (e.g., multi- component mode of reasoning) in their problem-solving approaches.6 Connecting contrasting cases with reflection prompts may direct students to a greater awareness of their problem-solving approaches. DeCocq and Bhattacharyya7 gave second-year under-

graduate students elementary mechanistic steps to propose the product and electron-pushing mechanism of a reaction and

Received: March 11, 2020 Revised: August 21, 2020 Published: September 10, 2020

Activitypubs.acs.org/jchemeduc

© 2020 American Chemical Society and Division of Chemical Education, Inc.

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later gave them the overall reaction, aiming to investigate whether external representations might evoke problem-solving strategies.7 They stated that traditional tasks such as giving students reagents, solvents, and products may not be the most effective assessment to engage students in problem-solving. They concluded that asking participants to consider inter- mediates and multiple reaction centers might have helped them to think more deeply about chemical transformations.7

Bhattacharyya and Bodner8 investigated problem-solving in organic synthesis with electron-pushing tasks. They observed that “rather than solving chemical problems, [students] were essentially playing with puzzles” (p. 1406). We surmise that this was because students focused on remembering reaction products. To summarize, a key goal of chemistry education research

that focuses on problem-solving is as follows: To help students become aware that their analysis about reaction mechanisms requires them to consider and apply underlying chemical concepts and principles in order to make a judgment about the plausibility of reactions.

■ THEORETICAL PERSPECTIVE On a continuum from meaningful learning to rote learning, it has been found that students mostly stand at the rote learning end.9 In organic chemistry, meaningful learning is essential because organic chemistry is a process-oriented field in which complex, multivariate reasoning skills are required for effective problem-solving.4,10 Many students have difficulty in predicting the outcome of reactions using strategies such as balancing potential mechanistic pathways and reflecting on underlying concepts; instead, they make use of product-oriented thinking and predict products without weighing chemical concepts nor considering mechanisms.11 Under the lens of human decision- making, rote and meaningful learning can be defined as type 1 and type 2 reasoning.12

In type 1 reasoning, rote learning is intuitive and the decision-making process is quick. Rote learning techniques, such as heuristics, rely on patterns of recognition and familiarity.13,14 When solving tasks in organic chemistry, students often use “one-reason” decision-making to explain changes or properties of reactions.15 Students tend to take explicit features of representations into consideration rather than analyze the implicit properties or influencing varia- bles.16−20 Although heuristics are useful tools for quick decision-making, they can lead to alternative conceptions when fundamental knowledge is lacking.21

By using heuristics, students develop explanations that may be accepted, even if they do not understand its underlying meaning. Thus, an explanation can create an illusion of competence when the student is not prompted to justify the answer.13,22 Rote learning strategies are often used when the cost of gaining information is high (e.g., in an information-rich organic chemistry course).15,23 By neglecting to use appro- priate meaningful techniques and relying instead on rote memorization, students can encounter problems.9

Type 2 reasoning is characterized by abstract and analytical thinking and is considered to be time-consuming.12 Even though students tend to use simple heuristic strategies that minimize their cognitive efforts, slow, analytical reasoning may allow them to think through the underlying chemical processes and to predict unknown reactions and alternative pathways correctly and in depth. Therefore, students need to be aware that both, explicit and implicit features of a reaction, should to

be included in the decision-making process. However, meaningful strategies, such as thinking about alternative mechanistic pathways, require the processing and application of various pieces of information in the working memory, which make it cognitively demanding and rather slow.24

Analytical thinking can be achieved by using moments of cognitive dissonance (e.g., encountering inconsistences) to recognize features that were previously irrelevant or over- looked as relevant.25 Cognitive dissonance occurs when students perceive a contrast between their own knowledge and observations (e.g., of chemical phenomena or other peoples’ beliefs).26 This dissonance is an uncomfortable psychological state that presumably leads students to defend or revise their positions to reduce dissonance and reach consonance.25,27 As a result, students reflect on their possibly erroneous approaches to problem-solving. In particular, reflecting on one’s own incorrect approaches to problem- solving has a positive effect on knowledge acquisition.28 An error reflection can expand a learner’s cognitive model by adding to it the ability to discriminate between incorrect strategies and misconceptions. Thus, a more comprehensive cognitive model can be generated, fostering a more reflective approach to problem-solving.28 Loibl and Leuders29 found that the most beneficial effects of reflection can occur when students generate and then compare erroneous solutions with correct solutions, which can lead to a revision of their cognitive models.29

The literature review shows that students encounter difficulties in learning organic chemistry and tend to use rote learning as their preferred problem-solving approach. There- fore, we designed task sequences to challenge students’ problem-solving approaches by creating moments of cognitive dissonance. The goal of our study was to investigate (a) how students rate the difficulty of these newly designed tasks, (b) if the task design encourages them to reflect on their own problem-solving approaches, and (c) to what extent students adopt a more meaningful approach when solving these tasks.

■ METHODS

Activity

The following activity, which included two tasks, was designed to challenge students’ problem-solving approaches in organic chemistry and was quite unlike the questions and task design in students’ traditional learning environment. The tasks were centered on nucleophilicity and electrophilicity, two prominent concepts that are susceptible to misconceptions in organic chemistry courses.16,17,30,31 Both tasks (A/B) contained four subtasks (A1−A4/B1−B4). An overview of task A is shown in Figure 1; additional material is available in the Supporting Information. Since both tasks are based on the same principle, the design of the subtasks in task A is provided as an illustrative example. The first subtask, A1, contained a typical, familiar reaction

that is normally discussed in introductory organic chemistry courses. This task was designed to provoke the use of intuitive heuristics as students can easily recognize explicit surface features of an SN2 substitution reaction (e.g., a good leaving group and a nucleophile).20 For instance, students might remember SN2 substitution reactions and solve the task by recalling the solution. Subtask A1 was purposely designed to guarantee easy success from rote learning. Subtask A2 appeared as easy as subtask A1 because the reaction differed

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only in one additional feature on the surface level (i.e., the hydroxy group). A2 was designed to provoke the use of the same problem-solving approach as A1, but this time a recall of the same SN2 reaction pattern would not be productive. In the next subtask, A3, students were provided with product cards showing five alternative products for the reaction from subtask A2. This was a crucial step that could lead students to substitute intuitive approaches with analytical processes because, in this subtask, students would be compelled to take an outsiders’ perspective.32 These alternative reaction product cards proposed various solutions that were partly correct or plausible. The A3 step was designed such that cognitive dissonance could occur in students’ reasoning process because they were confronted with observations or results that may contradict their existing beliefs.26 As per previous research, cognitive dissonance causes students discomfort and leads them to defend or correct their decision,27 thus initiating a more analytical thinking process in which they have to weigh chemical concepts to make a decision.19 Lastly, subtask A4 provided students with the opportunity to defend or revise the generated product in A2 after being prompted to reflect on the given alternatives.

Implementation

The tasks were assigned to students enrolled in an Organic Chemistry 3 course at a German university at the beginning of the fall semester of 2019. Forty students, all chemistry majors, were enrolled in the course. Twenty-nine out of 40 students (they identified themselves as males (18) and females (11)) volunteered to participate in individual, think-aloud interviews guided by a semistructured protocol and conducted by the first author. Students were recruited at the beginning of the Organic Chemistry 3 course via an announcement in class. All students were native German speakers, so the interviews were conducted in German. The 29 interviews took place at the Institute of Chemistry Education during which students solved

the tasks and answered questions on the Likert scale questionnaire items. All participants were provided with information about their rights and the manner of data collection and gave written permission for the data collection. They also gave permission to the authors to analyze and publish their data (i.e., reproduce transcripts and drawings in scientific publications). Institutional Review Board approval is not required at German universities, but the interviews were conducted as per the ethical guidelines of the German Data Privacy Act, the recommendation of the German Research Foundation, and the guidelines of the authors’ university. The participants had the opportunity to terminate their interview at any point. During the interviews, the participants received two tasks (A/B) with four subtasks (A1−A4/B1−B4). Task A is shown in Figure 1. Additional material is available in the Supporting Information.

Data Collection and Data Analysis

The collected data included participants’ demographic information, pseudonymized scans of participants’ work sheets, and audio and video recordings. Verbal utterances were transcribed verbatim and data analysis was conducted in German. Quotes, selected for use in publications were translated into English. To guarantee validity of translations and meaning, quotes were checked multiple times by the research group and a German English student teacher. To evaluate students’ experiences with the designed tasks,

quantitative and qualitative data analyses were conducted. Quantitative analysis was conducted on the Likert-scale data collected from students for each subtask. Specifically, each subtask was accompanied by a Likert scale item to rate the level of subjective difficulty, from 1 (easy) to 5 (difficult), each participant experienced in completing the subtask. After solving a subtask, all 29 participants immediately determined the rating of subjective difficulty of the subtask without knowing what the content of the next subtask would be. To

Figure 1. Prompts and product cards for task A. Task A and B each lasted each between 30 to 60 min.

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ascertain the subjective difficulty, we calculated the mean and standard deviation of students’ rating for each subtask. Additionally, we compared students’ rating on the difficulty level of each subtask with their subtask solutions. Qualitative analysis was conducted on participants’ interview

data and participants responses to the evaluation questions posed at the end of task A and task B. The evaluation questions addressed different aspects. The participants were asked (a) how they had experienced the tasks in general, (b) how they had approached typical organic chemistry tasks before the interview and during the interview, (c) what aspects of the tasks they considered important and usable in their learning environments, and (d) what was their opinion on how these designed task sequences differed from typical, familiar tasks they encounter in their typical learning environment (e.g., give- the-product tasks). To evaluate students’ experience with the tasks, students’ transcripts were sorted based on the research questions. Representative quotes are represented as examples in the Results and Discussion section.

■ RESULTS AND DISCUSSION

How Do Students Rate the Difficulty of Solving the Tasks?

Two tasks were administered to 29 students from an Organic Chemistry course to test their problem-solving approach for organic chemistry tasks. To evaluate the subtasks, each subtask included a Likert scale item that participants used to rate the level of subjective difficulty of the tasks from 1 (easy) to 5 (difficult). All 29 participants responded to these items. These data are reported in Table 1 and indicate, as expected, that

students perceived the tasks to be rather difficult. A1 was rated as the easiest subtask because the rote learning approach was successful. A2 differed from A1 in only one additional surface feature but one that students found more difficult. A3 provided five alternative products compared to A2. Students had to compare and weigh different chemical concepts in which the previously productive heuristics were not helpful. As a result, students rated subtask A3 more difficult than A1/A2. The same trend is noticeable for task B. Specifically, B1, as the initial subtask, was rated easier in relation to the more complex subtask B3. B2 seemed easier than B1 because many students recognized the reagent lithium diisopropylamide (LDA) as a base even though they could not explain why LDA reacts as a strong base but as a weak nucleophile. Compared with students’ subjective rating of the difficulty

level of the subtasks, students’ proposed products were insightful. The total number of products was higher than the number of participants because participants had the oppor-

tunity to propose more than one plausible product. Subtasks A1 and B1 were designed to be easy and this easiness factor was supported by students’ rating on the Likert scale and the proposed products. Twenty-six out of the 29 students proposed an alcohol via a nucleophilic substitution and six students proposed an alkene via an elimination for subtask A1. Both proposed products were correctly chosen. Twenty students proposed an amide via a nucleophilic acyl substitution for subtask B1. In subtask A2, 23 students proposed a diol as the product of the reaction which was incorrect, and only three students proposed the correct product, tetrahydrofuran (THF). After discussing several product cards, 11 students still proposed the diol as their main product for the reaction, whereas 16 proposed THF. In subtask B2, 13 students proposed an enolate via an acid−base reaction as the correct product because they recognized LDA as a strong base. This recognition effect can also be seen in students’ rating of difficulty level as the participants rated subtask B2 easier than subtask B1. Nevertheless, only four students proposed an enolate as a precursor for an aldol reaction. After thinking through the given product cards, 21 students proposed the correct product of the aldol reaction as the main product. It became apparent that students rarely proposed the correct products of the given reaction already in subtask A2/B2. While discussing the product cards, students had to weigh chemical concepts that often led to a correction of their proposed product and an increasing number of correctly proposed products. To evaluate the tasks qualitatively and to what extent

students reflected about their problem-solving approaches, all participants were asked the same questions after task A and B. Representative quotes are shown in the relevant discussion below.

Does the Task Design Initiate Students’ Reflection about Their Problem-Solving Approach?

To investigate if the task design motivated students to reflect on their problem-solving approach, it was necessary to check students’ awareness of their approach. Accordingly, we asked the participants to describe how they solved the tasks and whether they had reflected about chemical concepts. Haley was one of the few participants aware of her rote learning approach; half of the students answered that they did not think about chemical concepts when solving subtasks A1 and A2.

Haley: “It was more like an automatism that I used. Somehow, I saw the reaction and reagents before. That’s how I do it. I don’t see it and think about how they behave and so on. It’s more like “shoot from the hip” as the phrase goes.” Haley described that solving subtasks A1 and A2 initiated an

automation process. She stated that she had recognized explicit surface features of the given structures and recalled the matching product. While processing the task, Haley used a problem-solving approach that revealed her rote memorization approach. Subtasks A1 and A2 contained not only familiar reactions for the students but also intentionally easy ones. Haley’s comments show that the task-design leads, as intended, to an activation of rote learning approaches because it is the fastest way to propose a product for the reaction. When students memorize the products of a reaction they tend to ignore byproducts that could be generated as well.33

Memorizing reaction products often leads to the neglect of

Table 1. Results of the Likert Scalea After Completion of Each Subtask

Subtask Xb SDc

A1 1.4 0.6 A2 2.2 1.1 A3 2.8 0.9 B1 2.5 0.9 B2 2.2 1.1 B3 2.9 0.9

aThe scale for response ranged from 1 to 5: 1 = easy, 2 = rather easy, 3 = medium, 4 = rather difficult, 5 = difficult. bMeans. cStandard deviation.

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underlying chemical processes. Hence, students tend to be easily satisfied with their memorized products instead of being critical of their decision. Subtask A3 is about weighing chemical concepts and estimating the plausibility of alternative pathways. Rote learning approaches may or may not be productive when solving this subtask. After solving A3, Mitchell was asked the same question as Haley; his statement highlights that he valued the more challenging task.

Mitchell: “I think it is favorable to reflect on all the alternatives and therefore even more about the chemical processes that run in the background.” Mitchell realized that he had to reflect on the product cards

in A3 using more meaningful techniques because he referred to chemical concepts and mentioned that these processes are not visible at first sight. Mitchell’s meaningful learning approach does not guarantee a correct solution, per se, but he seemed to be aware that the subtask required more analytical thinking to lead him to a more appropriate solution. All 29 students confirmed that they had reflected more than usual about chemical concepts while solving A3/B3. Hence, it is desirable that students use meaningful techniques more often, not only to practice weighing chemical concepts but also to become aware that organic chemistry is a process-oriented field.11 To become aware of their own approach, students need to learn first-hand, that rote learning does not necessarily guarantee success. In this regard, Phil serves as an example of a student who changed his approach because he began to doubt his previous decisions during the task exercise and clearly expressed his cognitive dissonance.

Phil: “I recognized that when you look at the first two subtasks, that is kind of automized. You do the SN, that’s it, and you go on. As I saw the other products, I began to have doubts that made me think twice about it and even go deeper. What alternatives do I have and how plausible are they?” As was our intention for subtasks A1 and A2, Phil initially

used a problem-solving approach that was connected to rote learning. He stated that he solved A1 and A2 rather automatically and did not reflect critically on his answers. In A3, the variety of products initiated his awareness that thinking about plausibility and alternatives might be necessary. By using this rather meaningful problem-solving approach, Phil further debated several chemical concepts and tried to weigh them while solving the subtasks. Like Phil, more than three-quarter of the students solved subtasks A1 and A2 in a rather automatic manner. Many students raised doubts about their initial problem-

solving approach, especially after being confronted with the product cards in A3. Interestingly, not all students valued such an intentionally “enforced” problem-solving approach as positively as Phil. Gloria, one of four such students, claimed that the subtasks evoked uncertainty.

Gloria: “These tasks made me uncertain. I questioned my decisions and I’m a person who tends to lose track of the big picture.” Gloria’s uncertainty is understandable, in that students often

feel uncomfortable when they do not know the correct solution or when they question their answers, especially in an environment where teachers value the direct recall of information. On the other hand, it is possible that the tasks caused a cognitive overload and therefore created an exhausting situation for students.34 Gloria might need more practice and further scaffolding to approach the task mean-

ingfully. Even when students express uncertainty, the tasks can be used as a diagnostic tool to identify students who have reached the limit of their abilities with regard to conceptual understanding or problem-solving. Even when students are not certain about their conceptual understanding or do not have the ability to solve the tasks successfully, these tasks can help to focus students on reworking chemical concepts or rethinking their problem-solving approach.

Which Supportive Conditions Do Students Consider Important for Adopting a More Meaningful Approach to Solving Tasks?

To determine how instructions can be designed to support students to reflect more deeply on alternative mechanistic pathways, we asked participants to reflect on supportive conditions. Most students gave similar answers. Cameron’s answer is an example of the most prevalent opinion.

Cameron: “The problem is for these kinds of tasks that you need someone to discuss it with. [···] A fellow student would be sufficient for this. It would be enough if he said ‘How do you come to this conclusion?’ You don’t need someone who knows the correct answer, only someone asking ‘Why this answer?’ I prefer this [approach to problem-solving].” In general, students said that a partner would be crucial for a

valuable discussion, since they were less likely to think about a problem in depth on their own than in discussion with a fellow student. Working with a partner, or cooperative learning, is an essential part of active learning.35,36 When solving tasks on their own, with a partner or in groups, discussions are more likely to motivate students to engage in counter-arguments and to think beyond the surface to reason out the “chemical processes that run in the background,” as Mitchell remarked.37

Participants were also asked to compare the tasks presented in the study with the traditional learning environmenta class lecture or exercises in which sample solutions are presented that they had experienced during their study program. For instance, Claire was asked this question after tasks A and B. In her answer, she compared the tasks to the traditional exercises she had experienced as follows.

Claire: “I haven’t done something like this in the last two years because you’ve just got something in front of you telling you that this is the mechanism of the reaction and that’s it. [···] But I should have created a concept that I could refer back to.” Claire emphasized that the traditional environment provided

her with the correct reaction mechanisms and did not prompt her to reason out the underlying chemical concepts. About three-quarters of the participants gave similar answers stating that they did not think about the concepts they should have learned in the traditional lecture setting. Claire emphasized her experience with the traditional setting again after task B as follows.

Claire: “During [my studies in] the last few years, things have just been written in the board and you copied it down. You could’ve just copied the textbook instead.” Claire mentioned that in the traditional setting she only

copied sample solutions that were written on the board. In contrast, studies have revealed that students work more intensively and learn more in cooperative learning environ- ments than in traditional setting because active learning approaches provide more opportunities for discussion.37,38

This could be because traditional settings convey a vast amount of information in a brief time span so that students use

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the rote learning approach to cope with the deluge of information. In this study, the presented tasks created learning settings in which students had the opportunity for discussion with one another, an activity that can activate analytical thinking. Analytical thinking and the use of chemical concepts are central skills as weighing reactivities and judging reaction centers is, for instance, essential to be aware of alternative byproducts.7,33 Therefore, tasks used in organic chemistry lectures should focus on supporting students to actively use and develop their understanding of chemical concepts, instead of relying on rote learning approaches. This finding has urgent implications for changes in organic chemistry education,6,8,19

so that Claire and her classmates can learn to “create a concept that they can refer back to” and apply to other situations. However, creating opportunities for analytical thinking is only the beginning of valuing the development of these skills.

■ CONCLUSION AND IMPLICATIONS The presented task sequence, focusing on creating cognitive dissonance, was designed to challenge the students’ problem- solving approach. It was apparent that students used a rote learning approach with simple, familiar tasks at the beginning of the sequence.39 When the tasks became more complex, simple recall was not productive in solving these tasks successfully. Thus, students experienced a cognitive conflict when they had to evaluate the plausibility of five alternative products that eventually contradicted their own solutions.27

This cognitive conflict appeared to have initiated a change in students’ problem-solving approach from rote memorization to a more meaningful, analytical approach.39 Students had to think deeply about the given alternatives to reach a decision.19

Moreover, due to the given reaction alternatives, the task sequence seemed to have prevented students from focusing on one main product. Instead, the task sequence led student to evaluate the plausibility of byproducts and alternative path- ways, which they did by weighing chemical concepts. This is a very important process for planning syntheses and reasoning mechanistically.33,40 As a result, the tasks created in students an increased awareness of their problem-solving strategies so that they began to question them. Nevertheless, the tasks do require that students have a certain amount of prior knowledge and are able to activate, integrate, and use their knowledge.41

The aim of this activity was not to prevent students from rote learning. Rather, its goal was to help students become aware of their problem-solving approach and weigh the pros and cons of rote learning and meaningful learning.9 With an increased awareness of their problem-solving approach, students may be able to use and apply conceptual knowledge broadly; this can be helpful in the laboratory where rote learning of reaction mechanisms may be ineffective because reagents or conditions can differ and have an effect on the outcome of a reaction. Therefore, these tasks and situations were generated to develop students’ ability to apply chemical concepts. As these tasks can be quite complex, depending on the

student cohort, there are different ways to design and use them. When teachers want to design these tasks on their own, they could use their own students’ erroneous solutions and diagnose them beforehand. The task could integrate these alternative ideas and conceptions of their respective group of students. Moreover, designing tasks can also be a student activity in

which students can reflect on their own problem-solving

approach and also take an outsiders’ perspective to create different product cards.32 On the basis of our analysis, when implementing the tasks in the classroom, students should be encouraged to discuss their answers in groups or with a partner. In the classroom, active pedagogies such as Think−Pair−

Share (TPS) or cooperative methods could be used to facilitate the implementation of the tasks. The tasks can also be used as a diagnostic tool, as an exercise to review chemical concepts (as we did) or as part of an oral exam in which several chemical concepts are integrated. However, creating opportunities for analytical thinking and

reflecting on one’s own erroneous approaches to problem- solving is only a first step toward more meaningful learning. If students’ meaningful approaches to problem-solving (even if they are erroneous) are not valued in assessments, rote memorization will remain the dominant problem-solving approach taken by students.

■ LIMITATIONS The tasks in this study were well received by the students and their feedback was consistently positive. However, four students said that the tasks were overwhelming, or that they lacked knowledge of several chemical concepts and so were not able to complete the tasks meaningfully. These students require additional scaffolding on how to approach these complex tasks. They tend to reach a decision very quickly and neglect key variables, which can lead to erroneous solutions. The tasks, particularly with an additional scaffold, can help slow down the decision-making process in, for example, collecting and weighing arguments before reaching a decision.42 This progressive approach can lead to a recognition of more implicit features to incorporate a greater number of variables.43

The impact of these tasks was evaluated using interviews and the data were analyzed both quantitively and qualitatively. However, our conclusions should be considered with caution when implementing the tasks in the actual classrooms. This is because the interviews may have influenced students in the study to use their reasoning and analytical skills more intensively than they would have used it normally. The tasks were primarily designed as a diagnostic tool to

analyze organic chemistry students’ problem-solving approach and their difficulties when reflecting on alternative reaction products. However, to what extent the task-design will influence students’ reasoning behavior cannot be determined based on our current study.

■ ASSOCIATED CONTENT *sı Supporting Information

The Supporting Information is available at https://pubs.ac- s.org/doi/10.1021/acs.jchemed.0c00248.

Task A/B, corresponding product cards, and sample solutions (PDF, DOCX)

■ AUTHOR INFORMATION Corresponding Author

Nicole Graulich − Institute of Chemistry Education, Justus- Liebig-University Giessen, Giessen 35392, Germany; orcid.org/0000-0002-0444-8609;

Email: [email protected]

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Author

Leonie Lieber − Institute of Chemistry Education, Justus-Liebig- University Giessen, Giessen 35392, Germany; orcid.org/ 0000-0001-9955-6655

Complete contact information is available at: https://pubs.acs.org/10.1021/acs.jchemed.0c00248

Notes

The authors declare no competing financial interest.

■ ACKNOWLEDGMENTS This publication is part of the first author’s doctoral (Dr. rer. nat.) thesis at the Faculty of Biology and Chemistry, Justus- Liebig-University Giessen, Germany. We thank the students who participated in the study, the members of the Graulich research group, Krenare Ibraj, Dr. Ira Caspari, and Prof. Dr. Richard Göttlich for their support and fruitful discussions. Leonie Lieber would like to thank the Verband der Chemischen Industrie (German Chemical Industry Associa- tion) for supporting her with the Kekule ́ Fellowship.

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Article

Dilemma Work: Problem-Solving Multiple Work Roles Into One Work Life

Phillipa K. Chong1

Abstract

Scholars have observed workers combining multiple work roles to earn a

living to cope with the vicissitudes of the labor market. In studies of creative

labor markets, this trend of workers broadening of their skills is termed

“occupational generalism”. Previous scholarship has focused on the struc-

tural factors that push and pull workers into generalizing and combining

multiple work roles. But we lack an understanding of the subjective expe-

rience of work as a generalist. I introduce the concept of dilemma work: a

form of problem-solving wherein workers who have generalized their work

portfolios, attempt to rationalize their professional practices to overcome

conflicts that arise from occupying multiple work roles. Drawing on in-

depth interviews with professional writers who also freelance as book

reviewers, I find that these generalists use three dilemma work strategies:

anchoring another role to guide action in the current one; incorporating

multiple roles under a higher role or purpose; and compartmentalizing

roles in order to act exclusively within a single identity. I propose the

1Department of Sociology, McMaster University, Hamilton, Canada

Corresponding author:

Phillipa K. Chong, Department of Sociology, McMaster University, Hamilton, Canada.

Email: [email protected]

Work and Occupations

! The Author(s) 2021

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2021, Vol. 48(4) 432–469

general value of a typology of dilemma work for understanding workers’

experience both within artistic labor markets, and beyond.

Keywords

dilemma work, non-standard work, portfolio careers, occupational general-

ism, role theory, artistic careers, identity, skill, values, book reviewers

I’m primarily a novelist and a writer, and then

I also teach creative writing [and] I occasionally review books.

— occasional reviewer for the LA Times Book review

I freelance as a book reviewer, and sometimes a general feature writer,

I also teach as an adjunct professor.

— occasional reviewer for The New York Times and NPR

In their introduction to aWork and Occupations special issue on artistic

careers, Lingo and Tepper (2013) remark on artistic workers’ growing

tendency to invest in “broad competencies, rather than discipline-

specific skills” (341). This trend has been termed occupational general-

ism (Cornfield, 2015; Frenette & Dowd, 2018; Lingo & Tepper, 2013;

Pinheiro & Dowd, 2009). 1 The opening quotes, for instance, come from

professional writers who have taken up multiple types of writing

because it is increasingly difficult to make a living from one form of

writing alone (Childress, 2017; Menger, 2014). However, the imperative to broaden skills repertoires is not unique

to writing, nor to the art world more broadly. It is a common response

to an uncertain and casual employment environment (Cawsey et al.,

1995; Kalleberg, 2009). Scholars have examined the combining of

work roles as instances of “portfolio careers” (Bridgstock, 2005;

Throsby & Zednik, 2011), “polyoccupationalism” (Henaut & Lena,

2019), and “plural careerism” (Caza et al., 2018). Such work has

advanced our understanding of the factors that prompt individuals to

combine multiple jobs, and the consequences of doing so. But there has

been considerably less focus on generalists’ subjective experience. What

it is really like to combine multiple jobs into a single work practice? With this study, I offer an interpretivist perspective on the experience

of those who perform multiple work roles. I start from the observation

that we cannot assume experiences based on the objective or external

433Chong

features of work itself. Understanding the structural conditions that

lead people to take on multiple jobs, and their specific configurations

(e.g., hours, pay, etc.) is crucial to painting an empirical portrait of the

large and growing cohort for whom portfolio work is a lived reality

(Lale, 2015; see also Hipple, 2010). However, this perspective cannot

adequately capture generalists’ lived experience and emotional life

(Sandberg, 2000). To attain such a view, I anchor my analysis in the

perspectives and experiences of workers themselves as they go about

doing multiple forms of work. Many studies have detailed the consequences of occupying multiple

roles. Particularly relevant here are those that speak to the social-

psychological consequences, such as work–family conflicts resulting

from the clash between paid and unpaid roles (Jacobs & Gerson,

2004; Nomaguchi, 2009; Schieman et al., 2009). A related stream

shows how occupying multiple occupational roles, in particular, can

lead to stress and other negative outcomes for workers’ wellbeing

(Bamberry, 2012; Bouwhuis et al., 2018; Boyd et al., 2016; Bruns &

Pilkauskas, 2019; Sliter & Boyd, 2014). Workers who generalize may

also be viewed as less competent than specialists, which subjects them to

legitimacy penalties, and may also create struggles with norms around

authenticity (Caza et al., 2018; Stokes, 2021; Zuckerman, 2005). While

valuable, these studies still tell us relatively little about how occupying

multiple roles influences the way individuals approach their work, or

their experience of carrying it out. I analyze individuals who hold multiple jobs—more specifically,

those who have expanded their work portfolio to include additional

roles2 (i.e., occupational generalists). Within that focus, my specific

unit of analysis is those moments of tension or dilemma when individ-

uals’ understanding and experience of one work role is influenced by the

backdrop of their broader work portfolio. Specifically, I ask, how do

portfolio workers respond to dilemmas arising from the roles within their

portfolios? I argue that as individuals carry out the tasks of one work role, other

work roles may impinge on their work performance, creating an occu-

pational dilemma. And dealing with dilemmas of this type imposes a

burden of dilemma work: a form of problem-solving wherein workers

attempt to rationalize their professional practices to overcome conflicts

that arise from occupying multiple work roles. As I will show, the

combination of multiple work roles is both the source of work dilem-

mas and potentially also a means to resolve them.

434 Work and Occupations 48(4)

Empirically, I examine a specific group of occupational generalists: individuals who have extended their work portfolio to include the work of book reviewing. Book reviewers are typically hired on a freelance, single-assignment basis by news publications. In other words, book reviewing is rarely a full-time job, but instead is taken on by those who make the rest of their living through a combination of teaching, journalism, writing novels, professorships and other types of work. I consider how these generalists experience the influence of their other occupational roles on their practices as reviewers.

My data are drawn from in-depth interviews with 40 reviewers for leading outlets including The New York Times, the Los Angeles Times, and The Washington Post. The interviews reveal pivotal moments when reviewers encounter dilemmas about how to represent their evaluations of the books. These dilemmas specifically originate from the other roles in their work portfolios. As well as documenting these tensions, I reveal three strategies that reviewers use to resolve them: anchoring, incorpo- rating, and compartmentalizing. I argue that these strategies can help us understand the lived experience of people who combine multiple work roles of any type.

The article begins with a review of literature on occupational gen- eralism and related research, and an argument for deeper research into the subjective experience of portfolio workers. I also offer an extended definition of dilemma work. Next, I set out the unique strengths of book reviewing as a case for examining occupational generalism and dilemma work. In the findings section, I describe the moments where tensions between reviewers’ different roles are most likely to arise, and the three strategies respondents used to resolve them: anchoring, incor- porating, and compartmentalizing. Next, in the discussion, I expand upon the details of these three strategies and argue for the generaliz- ability of my findings. Finally, in the conclusion, I offer ideas for future research and practical implications for how understanding dilemma work can enrich our understanding of the experience and challenges facing the growing army of portfolio workers.

Literature Review

Occupational Generalism

“Occupational generalism” refers to the increasing tendency among artistic workers to invest in “broad competencies, rather than discipline-specific skills” (Cornfield, 2015; Frenette & Dowd, 2018;

435Chong

Lingo & Tepper, 2013, p. 341; Pinheiro & Dowd, 2009). This term has primarily been used to describe the process through which workers in the arts generalize and broaden out their competencies. However, this pattern of workers pursuing transferrable skills and multiple types of work can also be found in many other sectors.

A canonical example of occupational generalism in the arts comes from Baker and Faulkner’s (1991) study of the film industry. Focusing on the rise of blockbusters, the authors trace the rise of the specialist producer, and describe how the previously separate roles of producer, director, and screenwriter came to be combined in patterned ways. Specifically, the director and screenwriter roles came to be held by a single individual known as an “artistic hyphenate.” The authors argue that this represents an adaptive response to a growing separation between artistic (directing, screenwriting) and economic (producing) interests and incentives. We might also observe that individuals on the “artistic” side of filmmaking generalized their skills so they could take on roles as both directors and screenwriters.

More recent examples of occupational generalism can be found among performing musicians, for whom both work and income can be inconsistent. One way for musicians to keep the wolf from the door is by developing additional skills and taking on multiple jobs. Specifically, jazz musicians who broaden their repertoire to encompass multiple genres (known as “aesthetic generalism”) are more likely to find gigs, and also command greater earnings than specialists (Pinheiro & Dowd, 2009; see also Cornfield, 2015). The additional opportunities for income allow them to mitigate the risks inherent to their artistic careers. The idea is that more skills lead to more work and more oppor- tunities. However, enacting multiple roles can also lead to legitimacy discounts when generalists are seen as less competent in their core role. This effect is encapsulated by the folk wisdom “jack of all trades, master of none” (Stokes, 2021; Zuckerman, 2003).

Similarly, the “portfolio career” model is characterized by workers combining multiple sources of income (Throsby & Hollister, 2003; Throsby & Zednik, 2011) and developing broad and transferable skills to maximize employment opportunities (Cawsey et al., 1995; Morrison & Hall, 2002). However, the motivation is not so much finan- cial necessity as the desire for a self-directed and value-driven career (Briscoe & Hall, 2006; Hall, 1996). That is, portfolio workers may gen- eralize because they want to develop new skills, or pursue activities that are not enabled by their primary jobs (Conway & Kimmel, 1998, 2001; Panos et al., 2014). Thus, portfolio workers can include those who

436 Work and Occupations 48(4)

extend their skills outside of a single field—like the salaried accountant who “moonlights” by selling handmade wedding wares on Etsy.

Bridgstock (2005) observes that artistic workers are prototypical of the portfolio career model, since self-direction and expanding skills to broaden opportunities have long been a reality for them (Caves, 2000; Frenette & Dowd, 2018; Menger, 1999). However, these features are far from unique to the arts sector (Beckhusen, 2019; Lale, 2015; Lingo & Tepper, 2013). According to the Current Population Survey, 6.8 million workers in the United States held multiple jobs in 2013. The reasons given were dominated by pecuniary concerns, including earning more money to meet economic needs (38.1 percent) or paying off debt (25.6 percent) (Lale, 2015; see also, Hipple, 2010). Yet, 17.6% of multiple jobholders reported pursuing secondary jobs for enjoyment (Lale, 2015). Hence, even outside the arts labor market, workers are motivated to combine multiple jobs for non-economic reasons, such as pleasure or learning (Caza et al., 2018; Mallon, 1999).

Taken together, studies clearly show that many workers are making their living by combining multiple work roles, for both economic and non-economic reasons—although the balance between these factors varies. However, we cannot infer the experience of portfolio workers solely from the factors that push or pull them into a multi-job career. Research points to emergent benefits that are incidental to the initial motive for combining roles. Frenette et al., (2018), for instance, find that taking on multiple jobs can increase overall work satisfaction. Drawing on SNAAP data on art-school alumni in the United States, the authors find that compared to specialists, artists who expanded their practice to include multiple artistic forms and disciplines reported great- er satisfaction with multiple aspects of their current work, including greater opportunity for creative expression.

Workers who generalize may also enjoy greater control over their work. Consider, for instance, musicians who broaden their skills so they can also produce their own recordings and publish their own work (i.e. what Nash(1970 [1955]) called “role versatility”) (Thomson, 2013). Similarly, artists who take on teaching jobs achieve creative indepen- dence in their artistic practice (Gerber, 2017, p. 45). Similar findings are reported for workers in non-artistic fields, such as Caza et al.’s (2018) study of plural careerists, who report that occupying very different work roles can enhance creativity. As one of the authors’ respondents explained, occupying multiple, relatively dissimilar jobs sharpened up their skill in terms of generating creative ideas for clients: “‘The work with children’s business education sometimes sparks an idea for

437Chong

a client; or a freelance piece might give me an idea for a dentistry

client’” (p. 729). Scholars have also precisely captured the heterogeneity among those

who take multiple jobs. For instance, people vary in terms of the spe-

cific conditions that propel them to undertake multiple jobs, and the

economic and noneconomic “rewards” they draw from these arrange-

ments. Yet, surprisingly, we know relatively little about the subjective

experience of these workers (Vallas & Christin, 2018) or the consequen-

ces of portfolio working for how they actually perform their work.

Encountering Dilemmas at Work

One point of entry into the study of portfolio workers’ experience is

through moments of conflict or tension. When tensions arise between

their work roles, workers must decide how to reconcile or prioritize

them, which forces them to confront the value—or values—associated

with each one. Even within a single job, new responsibilities can create

tensions between new and existing duties. Such “moments of clarity”

foreshadow the tensions between multiple roles experienced by portfo-

lio workers. For instance, van de Ruit and Bosk (2020) write about the evolution

of the public safety officer role in surgical departments in the USA.

The authors explain that due to regulatory changes, data analysts who

previously extracted safety information from patient charts were newly

tasked with investigating and reporting on safety errors. This caused

tensions, since they effectively had to police surgeons who were of

higher organizational rank. Analysts thus faced professional risks

such as the possibility of retribution in the workplace. One practical

way that they found to address these power imbalances was through

strategic use of the impersonality and authority of documentation

records. More relevant to our interests, individual analysts reconciled

their expanded dual roles by combining them under the wider mission

of “safety.” Subramanian and Suquet (2018) look at how the rationalizations of

the customer complaint process at a French bank expanded the respon-

sibilities of complaint specialists. Specifically, customer complaints

that were not resolved by bank clerks would now be escalated to the

specialists’ own department, meaning they were functionally reliant on

non-specialists to perform their own work. However, this change was

complicated by the fact that the specialists were on the same hierarchi-

cal level as the non-specialists, which created tensions when attempting

438 Work and Occupations 48(4)

to “manage sideways.” The specialists were not the bosses of the non-

specialists, but neither were they their equals. So, how did the specialists apprehend their new position? First, many

expressed ambivalence about the surveillance element of their role, and

even denied that it was part of their job. As the authors note,

“Specialists go to great lengths to deny that surveillance is an integral

part of their interactions with non-specialists” (Subramanian & Suquet,

2018, p. 63). Instead, they “frame” their roles in technocratic terms, by

saying they are just sorting out technical details. They maintain that

they are not there to take sides, calling on a shared sense of the objective

standards of acceptable professional behavior. Additionally, others

adopt the stance of a helpful colleague, trying to guide their fellow

workers towards higher standards of professional behavior. Here, we

see a work-role dilemma being rationalized through a combination of

reframing and outright dismissal. O’Mahoney (2011) studies the experience of people working in the

UK consulting industry, which is witnessing growing ethical individu-

alization. While new ethical codes of practice have been implemented in

many consultancies, the responsibility for ethical action is not being

maintained via organizational or industry-level mechanisms, but

placed on the shoulders of individual consultants. In the absence of

professional support or institutional guidance, ethical issues are

framed in individual terms, such as how a consultant feels about a

particular behavior. One might expect that consultants would feel a

sense of freedom at their autonomy, but the author finds that adding

ethical dimensions to their work merely generates deep anxiety and

insecurity. For instance, even though a consultant’s line manager may

be recommending unethical behavior, it is still the consultant’s own

choice whether to comply. This shows us that adding incompatible or

challenging tasks to a role can mean real angst for the worker. Overall, past studies suggest that performing newly expanded work

tasks at once is far from a straightforward experience. When workers

must combine new and different and responsibilities, even within a

single job, dilemmas and conflicts often arise, obliging the workers

themselves to devise creative solutions to deal with them. Yet, the les-

sons from these studies are limited by the fact that they emerge from

studies of delimited specific phenomena (e.g., lateral management or

individualization). And there is little theorizing about how people nav-

igate and interpret the combination of different roles—whether more

generally, or within a broader portfolio career.

439Chong

We would benefit from a more general examination of how workers subjectively experience the combination of work roles—and, more spe- cifically, how workers who take multiple jobs understand and reconcile these different roles. That is the purpose of this paper, with a focus on how holding multiple work roles affects work-related meaning-making and the experience of work—and even can guide action at work.

Introducing Dilemma Work

My purpose is to examine the subjective experience of occupational generalism, with a particular sensitivity towards how holding multiple jobs may influence workers’ enactment of their work. To do so, I attend to those times when individuals understand their other roles as relevant to the one they currently fulfil, and how they reconcile the different parts of their work portfolio in practice.

Such interconnections are most visible in moments of uncertainty: that is, when workers are trying to solve problems and must draw on cultural resources to resolve them. In such moments of uncertainty, or when future action is not “settled,” multiple logics for action are made manifest and are up for grabs (Swidler, 1986). The heart of my proposed analytical approach is the investigation of such moments of uncertainty, when values, identities, or other aspects of one’s work repertoire, and the “seams” between them, are made visible. I refer to such moments as dilemmas.

A dilemma is a situation where one must choose between two options, neither of which is particularly desirable or advantageous. Here, I focus on the dilemmas that portfolio workers encounter when their enactment of one of their work roles is perceived as being in con- flict with the identity or values of another.

Solving such problems demands a specific form of labor, which I refer to as dilemma work. Dilemma work is more than merely choosing between two or more undesirable options. Rather, it is a form of problem-solving, because its mechanics involve individuals creatively recombining the identities and values associated with their multiple work roles. Only by doing so can they devise a rationalization for how to proceed despite the quandary in which they find themselves.

Methods

Setting

I explore dilemma work through a case study of book reviewers as an example of occupational generalists. Many book reviewers are

440 Work and Occupations 48(4)

professional writers or journalists who have expanded their work port-

folios to include reviewing. While book reviewers are a particular case of occupational general-

ism, my broader theoretical goal is to introduce and typologize the new

concept of dilemma work, which I argue has broader relevance. Book reviewing is an ideal setting to study portfolio working, for

several reasons. First, it is a highly uncertain and informally organized

field. Although I refer to “book reviewers,” there are very few full-time

employees bearing such a job title. The declining fortunes and shifting

organizational structure of newspapers—the traditional organizational

basis of arts reviewing—have made them increasingly reliant on free-

lance reviewers rather than in-house staff. The National Arts

Journalism Program reveals that arts-related articles featuring staff

bylines fell from 51.6% in 1998 to 45.8% in 2003, representing a

drop of almost 6% in just five years. In other words, book reviewing

in North America is not a full-time job. This precarity and unpredict-

ability is a key reason why reviewing is usually a side job, rather than a

primary means of employment, for those who undertake it. Thus, book

reviewing nearly always forms part of a portfolio career, rather than

being a full-time role in itself. Moreover, book reviewing is accessible to people from a wide range

of other professions with a writing slant, including fiction writing, jour-

nalism, and teaching. Thus, the task of book reviewing is combined

with many other roles, in many different configurations. Indeed, each

respondent in my study had a different profile in terms of the roles they

fulfilled, and the proportions in which they fulfilled them. In terms of book reviewers dealing with dilemma work, the key

observation is that they work alone, independently, and without super-

vision. Once they have been commissioned to write a review, they are

expected to read the book, evaluate it, and write up their review without

further input from the editor. Apart from informal support they may

seek from friends or fellow writers, they complete this task alone.

Thus, they must resolve any tensions and dilemmas between their var-

ious roles without any outside help. This arrangement gives reviewers an intriguing blend of power and

powerlessness. They have power in the sense that they have full discre-

tion over the approach that they take and the content of the review they

produce. However, they are powerless in the sense that they lack much

of the social and professional support that might be available to them in

their other roles, such as teaching or journalism.

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Data Collection and Analysis

To explore how fiction reviewers approach the dilemmas in their

work, I interviewed 40 fiction reviewers who had published a review

in at least one of three influential American review outlets.3 One of

the challenges I faced was how to construct a sample of an occupa-

tional group when there are no formal criteria or regulations for

determining its members. I began by generating a list of names of

everyone who had published at least one fiction review in one of

three major national newspapers in 2007. While I do not identify

these journals in order to protect the anonymity of my respondents,

each one was selected based on a combination of criteria that included

comparable circulation figures (the selected newspapers had among

the highest), readership demographics, and a reputation for arts/cul-

ture reviewing. After deleting duplicates, I was left with over 1000 names, from

which I began random sampling. Although I used only three publica-

tions to generate my initial population, all my informants had reviewed

for multiple publications, including the New York Times, the Los

Angeles Times, the Washington Post, the Chicago Tribune, and others.

The majority of interviews were conducted in 2010-2011.4

In keeping with the freelance structure of reviewing, of the 40 people

in my sample, only 11 could be described as having held a full-time

position related to book reviewing, whether as book-section editors or

columnists, at any point in their careers. Instead, most respondents

made a living through other professional activities and wrote occasional

reviews, with varying frequency, on the side. For instance, many critics

reported some combination of work as freelance journalists, creative-

writing teachers, academics, and—of course—authors. Of the 40, 15

worked in colleges or universities as professors, with most of those

holding adjunct or temporary positions. Just five respondents had not

authored their own books; the rest had published over 160 works of

fiction and non-fiction between them. The goal of the interviews was to understand how book reviewers

undertake the task of reviewing fiction, and the social factors that influ-

ence how they do this work, including their engagement in other activ-

ities. All interviews were audio-recorded and transcribed verbatim.

I then analyzed the interviews and traced critics’ subjective thoughts

and feelings through the review process from assignment to publication.

I next performed a thematic analysis (Boyatzis, 1998) involving a

broad and inductive reading of the data to uncover themes regarding

442 Work and Occupations 48(4)

when and how critics drew upon, or made reference to, other identities at different phases of the review process. The results are reported below.

Findings

The Origins and Contours of the Book Reviewer’s Dilemma

Where do the dilemmas of book reviewing come from? To answer this, we should first consider why so many book reviewers are professional writers or journalists who have expanded their work portfolios to include reviewing. The answer relates to certain organizational factors of journalism in general, and the unique understanding of “competency” within book reviewing in particular (Chong, 2020).

Regarding organizational factors, recall that there is a move towards hiring freelancers to write reviews rather than relying on full-time or in- house writers. On the competency side, editors are looking for people who can write efficiently in a short form, and yet have relatively spe- cialized knowledge about literary topics (i.e., particular genres, authors, or topics). This drives review editors to search for a pool of labor that is highly specialized, yet remain casually employed.

A practical response to the challenges of hiring book reviewers, then, is to invite people from other work roles who are seen as having com- plementary skillsets. Often, this leads editors to individuals who engage in professional writing, but are also very familiar with particular topics or types of literature. This typically includes journalists, English pro- fessors, novelists, and creative writing teachers who are willing to take on occasional writing jobs (i.e., book reviewing).

While this may be a very efficient recruitment strategy, it is not without its complications. Specifically, when soliciting professional writers for their technical skills and competencies, one may also inherit their professional experiences and attachments—which may inform their enactment of their duties (as critics) in unexpected and unintended ways.

Consider, for example, the case of individuals who identify primarily as novelists, but also take on the additional work role of freelance book reviewer.5 They are primarily recruited to write a review because of their insight into the craft of fiction, their faculties as critics, and their ability to express their opinions in a cogent and perhaps entertaining way. At the same time, as we will see, some bring their lived experience of how difficult it is to write a book. That sensibility informs how they make sense of their obligation and actions as a critic, in ways that a

443Chong

non-author could never fully understand. Thus, we see the seeds of a dilemma: the tension between the professional responsibilities of the critic and social-emotional empathy for the writer, which must some- how be resolved in order for the reviewer role to be performed.

Or consider an alternative hypothetical scenario: when a reviewer is recruited for their familiarity with a particular genre—say, literary thrillers. They are likely to be an avid reader of this sub-genre, which is why they are considered to have the required knowledge to evaluate a given work. However, their very commitment to the genre complicates their feelings about giving a negative review of a book, even if it is warranted. They are torn between their desire to legitimate the literary thriller genre, and to promote authors within it, on the one hand, and on the other to demonstrate their deep knowledge and sophistication with an informed and balanced review. Again, we see the beginnings of a dilemma between genre advocate and the reviewer’s duty to be honest with their readers.

The point is that critics are recruited from the ranks of those who are known to be professional writers and have a history with books in some way, shape, or form. While this makes sense, especially when thinking about the lack of formalized qualifications to write a book review, I suggest that when people take on multiple roles, there may be moments of unintentional or unforeseen influence between those roles—outside of the mere technical skills and knowledge that the reviewer brings to their task (e.g., drawing on their journalist or professor role to inform their critical work).

I find that the tensions between roles are strongest when reviewers are faced with the need to write a negative review. Most critics report that writing a positive review is a relatively unproblematic and even enjoyable experience. They enjoy reading a good book; they get to share that enthusiasm in a review; and they unproblematically serve the reading public by guiding them towards a book they might like to read. The author, meanwhile, is likely delighted to receive a positive review. Everybody wins. Moreover, the critic feels no tension between the roles of writer and reviewer.

A negative review, however, throws a harsh light on the interpolation of the reviewer’s other roles, and poses a unique set of professional challenges. Writing a highly critical review has its upside, as polemical reviews tend to garner a lot of publicity. However, the downsides can be significant. Specifically, critics must weigh up a range of potential con- sequences when deciding exactly how they render a negative judgment. For example, if they are too cavalier in their condemnation, they may

444 Work and Occupations 48(4)

be judged as too harsh and invite future professional retribution.

Alternatively, if a critic is too timid in her criticism of a book, she

might attract accusations of being dishonest, lacking critical acumen,

or having poor taste. Critics must also balance a range of social risks, particularly when

writing negative reviews. They are concerned about the emotional

impact of delivering such a devastating verdict on a writer’s work.

This is made more poignant by the fact that many reviewers are them-

selves authors who have felt the sting of a negative review. Overall,

writing a negative review poses many more problems and dilemmas

than writing a positive one. So how do reviewers weigh the duty of their task (e.g., reporting on

the quality of a book) against the social and emotional stakes (e.g.,

social repercussions, negative affect, and publicity)? How do they bal-

ance perceived harm to others (i.e., the author, and also readers) and

potential harm to themselves? A key finding of the study is that combining multiple roles is itself a

source of work dilemmas for critics. From this, it follows that we

cannot predict what dilemmas might arise from looking at the technical

competencies of the work roles in themselves. Instead, we must attend

to the lived experience of those who carry them out. I find that the

nature of the dilemma itself points the way to its solution. The problem

can only be solved at the level at which it was created. In other words,

the reviewer does not resolve their dilemma through mere technical

competency, but by creative reassembling and reframing the values

and identities associated with their different work roles in ways to

help them rationalize their approach to writing negative reviews. The next section reviews the three strategies that reviewers use to

resolve their role dilemmas.

How Reviewers Resolve the Dilemmas of Their Role

I found that reviewers used three main approaches to pick their way

through the treacherous terrain of writing a negative review. These are

anchoring, incorporating, and compartmentalization. Through these

three strategies, reviewers resolve dilemmas created by tensions between

their different work roles.

Anchoring. The first strategy involves critics using one of their other

work identities as an anchor for problem-solving the dilemmas inherent

in writing a negative review.

445Chong

Book reviewing is a highly non-routine, non-codified form of labor. Many aspects of the role—in terms of both reaching judgments and recording them in writing—are at the discretion of reviewers them- selves, which can leave them unsure how to proceed. As the following examples demonstrate, when faced with some of the uncertainties inher- ent to the reviewing process, some reviewers imported values from another of their occupations to guide their actions in the here-and-now.

The first example concerns a book reviewer who uses his occasional work as a journalist to guide his approach to writing a negative review. I ask him to describe his working life. “Okay, I’m mostly a writer,” he replies. “I’m a novelist and a short story writer. I’ve published four books, and I occasionally write book reviews, as well as essays and occa- sional journalism, but mostly—I spend most of my days working on fiction.” Such a portfolio of writing work is typical of my respondents.

I ask him to recall a time when he had to write a negative review, and what that experience was like. He begins by expressing his dismay: “You know, I wasn’t happy about it. I try not to think about the author, [because] I know it really is pretty disheartening to get a negative review, especially in The New York Times, which is such a prominent publication.” He speaks from personal experience as an author who has received his fair share of negative reviews. Many other respondents also express a sense of regret over the hurt caused by a negative review— particularly those who have received bad reviews themselves.

A common dilemma facing author-critics, then, is whether to “pull their punches” and give a book a kinder review than it deserves, in order to spare the author further pain. This critic pivots towards his professional experience as a journalist to resolve this dilemma and steel himself for the unpalatable—indeed, “painful”—task of forthright criticism.

First, he justifies being frank with his criticism through reference to fairness and integrity. “If I’m going to be fair to the writers who do great books, I’ve got to be negative toward the writers who don’t do great books. So I feel there is some amount of integrity involved. I just feel crummy.” Fairness and integrity are core to the self-image of the journalistic profession (Schudson, 2001; Ward, 2015). While the critic may still feel “crummy” writing a negative review, his decision to be plain in his criticism is buttressed by these appeals to core journalistic values. Since dilemmas often have no satisfactory resolution, this is his least-worst option.

Second, this critic decenters the evaluative function of book reviews, and instead positions them as pieces of journalistic writing. “The most

446 Work and Occupations 48(4)

interesting thing about a book isn’t that [I] think that it’s good or bad,”

he insists. Instead, “As a journalist, you’ve really got to find the news

value.” Arguing that evaluation is not the core of his task as a reviewer,

he appeals to the journalistic value of keeping oneself out of the story

(Schudson, 2001). There is precedent for regarding book reviews as cultural journalism

(Chong, 2019). However, it is noteworthy that when this critic first

describes his occupational background, he identifies primarily as a nov-

elist and short story writer, not a journalist, and concludes by reiterat-

ing that he spends most of his days on fiction. He only pivots towards

his professional experience as a journalist to provide an anchor and

justification for writing a negative review. Concretely, this shift allows the critic to admit that writing a partic-

ular negative review is “a real struggle” for him, because of the devas-

tation a bad review can cause to an author. But at the same time, he

prioritizes reader entertainment over author ego. “My main interest in

writing a review is writing an interesting article,” he says. “I’m a jour-

nalist, and I don’t care whether people read a book or not. I want them

to read my article.” While he may express regret over the hurt caused by a negative

review, a hurt he is acutely aware of because of his own experience as

an author, the journalist in him is equally if not more worried about

writing an article that is “totally bland.” “You have to tell people what

you think,” he adds. “There was actually a line in there, which was

actually a pretty good line, but I kind of wince when I think about it

now.” Here, he refers to his struggles over how to frame his criticisms

about the book. He had to tell people what he thought (his evaluation),

and wanted to make his case in an entertaining way (“a pretty good

line”). Today, he feels regret at the pain he may have caused, and that

makes him wince. But overall, his actions can be viewed as faithful to

the journalistic values that he uses as a conceptual anchor to frame his

work as a book reviewer. Overall, this critic struggles to balance three factors: negative but

warranted criticism, “news value” or reader appeal, and the feelings

of the author. While he recalls a “good line” from his review with sat-

isfaction, he knows that this was also a bad line, in the sense that it

probably hurt the author. Caught in a dilemma between loyalty to his

fellow writer and the values of “fairness” and “integrity,” he ultimately

calls on his journalistic identity as an anchor to resolve the dilemma and

justify his writing of a negative review.

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Another critic uses a similar strategy to resolve this dilemma. This

middle-aged reviewer identifies as “first and foremost a writer,” but also

works as an assistant professor at a university in the southern United

States, and previously edited a literary journal. Once again, we see an

individual who makes a living from combining multiple work roles, one

of which is book reviewing. Unlike the previous reviewer, though, this

critic uses his work role as a writer as an anchor to resolve the dilemmas

of writing a negative review. At the time of our interview, the critic had published two books and

was working on his third. His approach to reviewing is very much

anchored in his role as author, in terms of how he makes sense of

both phases of his work, evaluation and writing the review. For

instance, when I ask him about writing negative reviews, his first

response is to reflect on his own experience as an author. “I’ve been

on the receiving end of some extremely convoluted [reviews], you know,

reviews that are positive and negative at once, and you’re just like,

‘Huh?’” Having been unsure how to interpret feedback that he found

incoherent, he is committed to being very clear in his own reviews.

He then continues:

So I’m reading [a book] and I’m thinking, “Fuck,” you know, “It’s really

good.” But is it really? Or am I just wanting it to be good because then I

don’t have to have this moral conundrum of, “Am I responsible for

harming some writer’s career?” You know, do I want to dish something

out that I, myself, would be totally loath to be on the receiving end of?

Here, we see that the reviewer draws on his own experience of receiving

reviews to contextualize his own approach. Additionally, he anticipates

the future dilemma of potentially having to write a negative review, and

he wishes to avoid it. So although he strives for clarity in his own

reviews, he still brings his own experience of being reviewed to his

evaluation of others’ work. Recalling an instance when he could not avoid writing a negative

review, the same reviewer again relies on his anchor identity as an

author to make sense of conflict. “I thought, ‘Gee, [author] is [religion]

like me, and about my age,’” he recalls. “Am I being—you know, like,

am I competing with him? Do I feel threatened by him?” In the previous

example, the critic referred to his writing identity to work out whether

he was trying to convince himself that he liked a book in order to avoid

writing a negative review. Here, he draws on the same identity to ask

448 Work and Occupations 48(4)

himself whether he disliked a book in order to ensure it necessitated a

negative review, because of his perceived relationship with the author. However, while this reviewer’s identity as a writer is the source of his

dilemma over negative reviews, it is also the signpost showing him how

to resolve it. Specifically, he reports that he chose to “mask the con-

flicts” he was feeling and write a rose-tinted review. “In the end, I don’t

think I took any shots at him,” he admits. “Which was probably a cop-

out on my part.” But the reviewer rationalizes his copping out, and even

partially excuses it, as part of the “karmic deal” of writing a review, and

identifying as “a writer first and a critic second.” Specifically, this

reviewer chose to “play nice” and skew his review positively even

though, in hindsight, he recognizes it was a “cop-out.” But more than

that, he uses his writing identity as the primary lens through which to

view his work as a reviewer, including the dilemmas he faces and how to

resolve them. Thus, reviewers approach the problem-solving required in dilemma

work by anchoring their decision-making in the values associated with a

particular identity from their broader work portfolio. The first reviewer

refers to his identity as a journalist, and the second to his identity as

“first and foremost” a writer. However, both use the same underlying

strategy: in the absence of any other guiding principles, they anchor

another identity from their work portfolios when problem-solving as

part of dilemma work. This cardinal identity serves as the lodestar to

guide their sensemaking and actions as reviewers in the face of

uncertainty.

Incorporation. The second approach taken by reviewers to resolve dilem-

mas was to incorporate their other professional roles with the role of

reviewer. In the anchoring strategy, reviewers give primacy to a single

identity and import it wholesale to resolve the dilemmas of reviewing.

With incorporation, however, reviewers reconcile the values of an alter-

native professional role with those of book reviewing, and fuse them

into a new relational identity by identifying commonalities in the values

associated with different roles. Thus, these different roles are made

complementary under the banner of an overarching mission. The strategy is illustrated by a respondent whose work life is divided

between teaching and writing. “I am a teacher and writer,” he says.

“As a teacher, I often spend time in the classroom discussing

literature . . .As a writer, I do a variety of things. I write fiction. I

write non-fiction and, within non-fiction, I write essays, book reviews,

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and other forms of, I guess, opinion expression.” Thus, book reviewing is just one type of writing from which this respondent makes his living.

Like all reviewers, he has to write positive, negative, and mixed reviews. But unlike previous respondents, he exhibits no guilt or anxiety over writing a negative review. “Does one get a bad feeling after giving a bad review?” he ponders. “No, certainly no more than [after] giving a good review to a bad book. I think, in the end, book reviewing is about honesty—honesty with yourself, and honesty with others.”

At first sight, this critic’s response would seem to be an outlier in terms of his very clear-headed view. He prioritizes honesty above all, and there- fore it seems he has no real dilemma work to do—for him, honesty is the best policy, regardless of the situation. Seeing his approach, we might conclude that the previous two reviewers were merely fretful, or over- thinking it. However, in fact, this reviewer is acutely aware of the of the professional and ethical dilemmas that critics face when writing a review. “I come from a [foreign] country, where book reviewing was always tarnished by friendship and camaraderie, [and] you would never really know whether the book was good,” he explains. “You would know exactly who was having drinks with whom.”

Hence, while he may be relatively untroubled by writing positive or negative reviews when they are warranted, he is aware that doing so can raise moral and professional dilemmas. His ostensibly even-handed approach to reviewing is itself a conscious and principled reaction to what he sees as the failures of the critics in his country of birth. He does not deny that reviewing dilemmas exist, or that they can conjure feelings of insecurity or anxiety in other reviewers, but he comes to those dilem- mas from a very different place.

The reviewer goes on to contrast the “tarnished” state of reviewing in his homeland with reference to democracy and the marketplace of ideas, evoking notions of the Habermasian public sphere. “One of the important elements of a democracy is that we debate ideas, in the open,” he explains. “That the discussion of ideas is just as important a marketplace as the marketplace of merchandise.” Such comments give a sense of why the reviewer feels no compunction about negatively reviewing a bad book: he understands his book reviews as part of his broader contribution to the marketplace of ideas. For instance, he com- ments about how proud he has been to write negative reviews of books that many other critics publicly praised:

When big books are published . . .by a big publisher, I might be critical

because I think that the big publisher simply went for the easy novel, the

450 Work and Occupations 48(4)

one that is going to sell more copies rather than a more complicated and

demanding author or novel. I will criticize that in public.

For instance, some years ago, for The Washington Post, I did a critical

review of a [foreign] author who had written a novel [and] I was very

critical. Other people praised the book. I thought the book was lousy.

There are other [foreign] writers that could be published by a big pub-

lishing house, but this book was sexy. It had violence, lunacy and so on,

and I guess the editor thought this was going to attract readers. I don’t

know whether it did or not, but I was critical. Other people were not.

Here, the reviewer contextualizes his negative reviews of specific books with broader criticisms of what he sees as the lazy commercial logic of publishers and the “groupthink” of the critical consensus. He empha- sizes both the publicness of his critique and the independence of his thought: “others” did not criticize a book, but he did. Hence, his neg- ative reviews are folded into his role as an outspoken public critic—not just of books, but of the politics of publishing and reviewing in the English-speaking world. In other words, he casts himself as stepping over the interpersonal politics that evoke so much guilt for other reviewers, and focuses instead on the organizational dynamics of pub- lishing and his role as a public commentator—or, to use his own words, his work in “opinion expression” and as “an intellectual.”

This critic is not alone. Other reviewers also say that when they review books negatively there is usually some larger message, or some fault in the system that they are trying to correct or comment on (even if it is only that people write too many nice reviews). These critics use incorporation to resolve their dilemma over writing negative reviews by folding in their reviewing role with another one of their work roles. In contrast to the anchoring strategy, however, the reviewer role is not superseded by another; rather, the two roles are viewed as compatible or mutually complementary, forming part of a larger mission.

This distinction is echoed in the example of another reviewer who identifies primarily as a writer. “I am primarily a fiction and non-fiction writer; a book writer,” she says. However, rather than letting the writer role dictate how she resolves reviewing dilemmas, she incorporates her writer identity into her reviewing practice. For instance, she suggests that her artistic work as an author is what qualifies her to be a reviewer: “I believe I’ve been given the books that I have been given because the editors [. . .] think that I’ll have some interesting perspective, from an artistic point of view, on the material.” When I ask this reviewer to

451Chong

recount her experiences of writing negative reviews, she first says that

she tends to give “mixed” reviews. When she does write a more negative

review, she reveals, “[T]o be totally honest, it’s the hardest thing I do,

and I don’t really enjoy it that much.” Part of the reason is the social and professional risk involved in

writing a negative review, as discussed above. “It’s putting your profes-

sional, sort of . . . your reputation and also your relationships with other

writers, on the line, by writing negatively about a book.” To mitigate

this risk of harm to herself through writing a negative review, the

reviewer treads carefully, avoiding “brash negative statements about

the book itself.” In dissecting a book, she views herself as diligently

fair to the author; in particular, she emphasizes specific passages in her

reviews, always being mindful that “every writer is good at some things,

and every writer is not so good at other things.” To her mind, she offers

a scrupulously balanced aesthetic evaluation of the book, which follows

from her perception that it is her artistic skills as an author that qualify

her to be a reviewer in the first place. For this reviewer, this technical dissection offers lessons about the

craft of writing, which she then brings back to her own writing practice.

And this is why she works as a reviewer, even though she finds writing

negative reviews difficult and even unenjoyable:

[Reviewing] is very difficult. I do find it extremely time-consuming. There

isn’t a whole lot of reward for it, and especially if it’s a negative review.

That said, I think it helps me to hone my own criteria, my own way of

looking at fiction, by doing this, because it’s extremely important that

you believe in the assertions you’re making and that you’re willing to

stand behind them.

In this example, we see that this reviewer chooses to continue to put her

professional reputation and relationship with other writers on the line

because it supports her writing career in a broader sense. Reviewing,

whether positive or negative, is instructive because the roles of writer

and reviewer form part of a harmonious whole. The competencies and

sensitivities of the artist are suitable qualification to work as a reviewer;

conversely, reviewing helps the writer develop—even if it does bring

some risk. Many reviewers also state that they do reviewing because it helps to

keep their names “in circulation” within the literary community

between novels. Hence, while the novelist and reviewer roles remain

452 Work and Occupations 48(4)

distinct, they complement and support each other, coming together to further the individual’s broader mission to “become a better writer.”

Compartmentalization. The third strategy that respondents use to approach their dilemma work is by compartmentalizing their various work roles. In this approach, individuals bracket the values and identity commitments of their other roles, and work within the parameters of one identity exclusively—in this case, that of a reviewer. They temporarily put on “blinders,” so to speak. The critics who employ this strategy recognize the dilemmas presented by reviewing, but choose to close off their aware- ness of the tensions between their multiple roles and proceed as though reviewing was their sole profession and responsibility.

One illustrative example is a reviewer who, like many respondents, describes her career as atypical: “There are a lot of things that go into what I do [for a living].” She also engages in freelance journalism and writes books (at the time we spoke, she was working on her second). But unlike the previous examples, when describing her approach to review- ing, she refers to her role as a critic to the exclusion of any other role. For instance, when I ask her how she feels about writing negative reviews, she singularly situates her approach vis-à-vis well-known reviewers:

I’ve talked about this before [with] Ron Charles, a lot of times . . . I know

our colleague, Michael Dirda, doesn’t review books—he doesn’t write

critical, negative reviews. It’s just his policy. I don’t mind doing that. I

also don’t mind criticizing a book . . . I’ve been fortunate enough to get

feedback on reviews, and I know that I’ve been successful sometimes in

doing that.

Unlike her fellow critics, this reviewer makes no reference to her own experience as an author to make sense of her approach to reviewing. Instead, she presents her approach as being informed by her conversa- tions with established and highly regarded critics in the field,6 who she intimates have themselves struggled with dilemmas about writing neg- ative reviews. And I can confirm at least part of her story, as Ron Charles, book editor for the Washington Post, was interviewed for this project, has publicly confirmed his participation, and did indeed express a keen awareness of some of the dilemmas I describe.

Unlike Charles, however, this critic references the problem-solving aspect of book reviewing as something that she enjoys, and even says she has received positive feedback from authors she has criticized.7

Why does she think this has been her experience?

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First, she describes feeling “pretty good” about writing a negative review because of the rigor that she feels she brings to her evaluations (i.e., the first phase of the review process):

I feel fine about writing the critical comments because I always read the

entire book. I don’t know how everybody else works, but my process is to

read the book through once, and then to take a second pass before I write

the review. So I know that I’m not cheating the author.

The critic’s dual reading strategy ensures that her professional judg- ments are on solid evaluative grounds. Again, the vast majority of critics mentioned this dual reading strategy as part of their process, but this one chose to cite it as a reason why she feels okay about writing critical reviews. Without suggesting that other critics are not being dil- igent in the first phase of their review process, we see a recourse to the technicalities of reviewing and a sense of due process that seems to ground this critic’s sense of responsibility and obligation, and thereby minimize the negative affect of writing critical reviews.

Second, the critic explains that she feels okay writing bad reviews because of the intention behind her criticism. Specifically, she frames her criticism (and by extension, her role as a critic) as one of helping others:

Interviewer: When you have to write these negative comments, how do

you feel about that?

Respondent: I always feel pretty good, actually, because as I said, I’m

never trying to just do a hatchet job on someone. I’m

never trying to just cut them down to size or anything

like that. I’m always trying to think about, “Would this

criticism help this writer? Would this criticism help the

reader perhaps understand why the middle chapters are

great?”

This reviewer feels absolved of writing a negative review by her good intentions. Again, this alludes to her awareness that there are people who write negative reviews, for some of the complicated reasons her colleagues revealed above. Moreover, we see a particular duty or value being put forward regarding the role of book reviews: specifically, to help the writer, and to help the reader.

This critic’s resum�e also includes teaching, writing, and freelance magazine journalism, all of which her peers call upon to contextualize

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and make sense of their practices and steer their dilemma work. In sharp distinction to the other critics we have met, however, she doesn’t bring up any of these other work roles when describing her work as a reviewer. Instead, she compartmentalizes her procedures and experience as a critic from her experiences as an author or journal- ist. As such, while she is aware of the complications presented by writ- ing negative reviews, she does not report experiencing these dilemmas in the same way as many of her peers.

Another example comes from a critic who has authored four books, but also privileges his reviewer roles to the exclusion of any others, when engaged in a review assignment. Similar to the previous reviewer, he describes a sense of ease when tasked with writing a negative review. “Negative reviews are sometimes the easiest reviews to write,” he opines, because he has a lot to say if he passionately feels that the book is bad. Like the previous reviewer, he also relies on a technocratic, “due process” view of his reviewing to explain his neutral feeling towards negative reviews. “I neither like nor dislike writing [a negative review],” he states. “I write the review that presents itself, you know? I read a book, I have the response to the book, and then I have to write honestly about my response to it.” However, ironically, such a mecha- nistic approach to book reviewing takes significant personal effort. The critic explains that he aims to block out the social politics and tensions that accompany reviewing. For instance, he says that he tries not to “think of [the] audience,” because reviewing has “got to be private between me and the book, because I need the space to be able to hon- estly explore what I think about the book.” This is an active choice and a conscious effort, rather than something that just happens naturally. The reviewer uses a strategy of compartmentalization to protect himself against feeling conflicted or “complicated.”

But is compartmentalization only open to those who already have status privilege in the field? In this and the previous example, we have seen the dilemma-work strategies of well-established individuals. Could it perhaps be that only such well-established critics can “afford” to compartmentalize and ignore the dilemmas of reviewing?

In the next example, we meet a reviewer who also takes the com- partmentalization approach, but is considerably less established and well-known in the publishing world. Like a previous respondent, he describes his life as having “two facets”: his work as a college creative writing tutor and his other main professional activity as a fiction writer. At the time of our interview, he had written many short stories and published four books, which he describes as “disposable as lettuce.”

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Most are no longer in print. Part of the reason for his more marginal status is that he operates in a very specific genre—not literary fiction, which is the highest status genre. Additionally, while he would like to review books outside his niche, and has asked editors to give him gen- eral fiction titles to review, none have been forthcoming so far.

Since this reviewer focuses on a particular genre, his community of readers and writers is necessarily smaller and more concentrated. Hence, we might assume that the pressures to “play nice,” or the poten- tial tensions between the writer and reviewer roles, would be felt espe- cially acutely. For example, poetry is a tiny subfield within publishing, and notoriously rife with conflict and interpersonal politics, because everyone knows everybody else. However, despite this expectation, I find that this reviewer is more relaxed than most about the prospect of writing negative reviews.

Interviewer: How did you feel about writing a negative review like that?

Respondent: It doesn’t bother me a great deal. After all, it’s only my

opinion.

Uncharacteristically of the many reviewers I interviewed, this critic appears nonchalant, or at least not greatly perturbed, by writing a neg- ative review. This partly results from him downplaying the significance of his judgment—just like the previous, high-status reviewer.

The reviewer faces the dilemma of knowing that writing a negative review can inflict pain and disappointment on the author—a position he has been in himself. But he compartmentalizes his experiences as an author and focuses instead on his function as a critic, which is to eval- uate the book (which he sees as merely “a product”).

I don’t feel any constraint. I want to be fair, you know, because [writing]

takes a lot of time, and nobody invests in writing a novel without some

kind of aspiration to achieve something. You don’t want to insult that

aspiration, which should be encouraged, but in the end, you’re evaluating

the success of a product.

A review can be many things to many people. We have seen a journalist position his reviews as “entertaining” articles, and another reviewer emphasize how theirs can be “helpful” documents for writers to improve their future work. This critic frames his reviewing as a neutral evaluation of a consumer product that people might want to buy.

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Furthermore, he feels free (“no constraint”) to be direct with his neg- ative evaluations, because his is only one opinion among many:

You are only one among a multitude of voices, too . . . I think you’re

insulated by the fact that yours is one among many voices commenting

on the books. I think that gives you a certain freedom.

By compartmentalizing his role in terms of the goals he should achieve (e.g., the values he should act on) as well as the scope of influence he has (in terms of the wider reception of a book), this reviewer succeeds in making his work fairly straightforward, with a relatively small amount of dilemma work. His case also shows that the compartmentalization strategy was not exclusive to high-status individuals in the literary field.

With the compartmentalizing strategy, reviewers insulate their reviewer role from their other identities, and any potential tensions that may result from them. As the examples above show, compartmen- talization can take on slightly different shades. It can involve reviewers completely shutting out the concerns of their other identities, or it can involve narrowly focusing on the impact of their opinions as a critic, playing down their individual contribution to the overall consensus or reputation of a book. Both procedures rely on rationalized perspectives of reviewing, albeit in one of two ways: a view of reviewing as a purely technical activity, or the reviewer as merely a “cog in the machine.” However, both variants display an entrenchment in the critic role to the exclusion of other considerations as a strategy for moving beyond the dilemmas inherent to writing reviews.

Discussion

As work becomes increasingly casualized, workers are facing increasing pressure and incentive to broaden their skills and even combine multiple work roles to earn a living (Cawsey et al., 1995; Kalleberg, 2009). Work scholars have made considerable inroads into understanding the struc- tural factors that lead people to take on multiple jobs—however, we still lack an interpretive account of how working multiple jobs actually feels. The present analysis probes the subjective experience of occupational generalism using book critics as a case study, highlighting dilemma work as an underappreciated dimension of the subjective experience of people who combine multiple forms of work.

My findings reveal that individuals confront dilemmas when engag- ing in the task of reviewer that stem from their other work roles. There

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are multiple dilemmas, but the most prominent one concerns how, or whether, to write a negative review. As we saw, many reviewers are aware that writing a negative review carries risks, whether it be hurt feelings on the part of the author or professional consequences for reviewers themselves. Each reviewer grappled with the question of whether, on balance, they should inflict harm on themselves or on others. Both options involve risk, and neither is particularly desirable.

I define dilemma work as justificatory labor carried out by workers when faced with a tension or conflict between two or more of their work roles. How do workers bring their roles together and justify their chosen way forward? Two preconditions seem to be recognizing a quandary, and accepting that there are no good options. Once that realization has been reached, multiple roles provide the raw cultural material for craft- ing a solution. I identified three distinct ways in which respondents drew upon their multiple roles as resources to resolve the perceived dilemmas posed by writing a negative review.

The first strategy, anchoring, is when respondents ground or “anchor” their approach to a dilemma in their identities and commit- ments to another role in their portfolio. Specifically, they root their practice in another work role identity, and transpose the values from that role into their reviewing work, where it guides them or provides a model for how to approach the dilemma. For example, one author emphasized his sense of “solidarity” with the writer he was reviewing, while another pointed to his identity as a journalist and the value of “objectivity” when writing a negative review.

However, while the anchor strategy reflects the way respondents make sense of their actions, it is not necessarily predictive of their actual reviewing practice. For example, the critic who takes a writer- reviewer anchor strategy uses his own negative experience of bad reviews as justification for not inflicting the pain on another. But the reviewer who anchors his work in his identity as a journalist, and its incumbent association with honesty and objectivity, ends up being bluntly critical in his review.

The strategy of incorporation involves drawing on elements of other roles to guide the reviewer’s approach to the dilemma over writing a negative review. Unlike the anchoring strategy, it involves bringing the identities involved together into a blended whole. The reviewer refers to another work role, but combines it with their reviewer role by appealing to a higher overarching mission or value that encompasses both roles, and is served by them. The roles incorporated can be assigned different weightings, as with the respondents who view book reviewing and

458 Work and Occupations 48(4)

teaching or writing as equal expressions of their identity as public intel- lectuals. Another means of incorporation is when the roles are seen as reciprocal—for instance, with the writer who feels qualified to review because of her work as a novelist, and who feels that her work as a reviewer improves her work as a novelist. Here, the overarching iden- tity, encompassing both the novelist and reviewer roles, is that of an accomplished writer who is motivated to learn and improve. The foundation of the strategy is that the perceived stakes of the dilem- ma are somehow mitigated by serving some other purpose. Hence, respondents who use this approach to dilemma work seem to express less angst and worry than those who used the anchoring strategy.

Finally, the compartmentalization strategy involves bracketing off all the other roles one occupies outside of the reviewer role. Such bound- aries serve to prevent external anxieties from affecting the reviewer’s task at hand—which can result in their reviews becoming harsher or more benign. To be clear, these individuals are fully aware of the dilem- mas that present themselves when writing a negative review; however, the compartmentalization strategy means they make a conscious effort to focus only on their critic role. These reviewers identify solely with the critic role, and restrict their considerations to this role alone as they work.

A common practice among compartmentalizers is to emphasize the purity or good-faith nature of their intentions as reviewers, including their commitment to rational ideas of the fairness of the process. They maintain that they have no hidden agendas or axes to grind, and simply wish to focus on the book in front of them and give it a fair hearing. As a result, the respondents who practice compartmentalization expressed the least negative affect over writing negative reviews; for them, review- ing was reduced almost to a mechanical operation. In offering their technical evaluations, they downplay their critical judgment and suggest that they are merely performing a function. They also view the limits of their responsibilities in similar terms. While they do recognize social considerations, they effortfully purge them from their mindset so they can focus on reviewing alone.

One point of variance across these three dilemma-work strategies is in how painful the individuals initially perceive the dilemmas as being, as well as their emotional perspective on the outcomes of their reviews. For example, people who adopt the anchoring strategy tend to speak most about “pain” when confronted with writing a negative review. Through their anchoring, they first decide how to proceed, after which their emo- tional response is based on a sense that they are doing what is “right,” as

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defined by the values encoded in their chosen anchor identity. In contrast, those who take a compartmentalized approach experience the least neg- ative affect. Those who use the incorporation strategy, meanwhile, are more ambivalent than compartmentalizers, but they present themselves as less haunted than those who use anchoring.

Dilemma variation also depends on whether the goal of the review is ambiguous, or at least open to interpretation. Is the review a cultural report? A book summary? An “interesting article”? Or just another page in one’s own writing portfolio? Is it the evaluation that matters most—or is the review just another “vote” among many others? Those using anchoring tend to see the review as a message passing between two writers, or an independent piece of writing addressed to readers. Either way, the relationship with the reader is crucial, and the main focus is on risks. In the incorporation strategy, the purpose of reviewing pertains more to reviewers’ individual agendas as public intellectuals; reviews are public essays that emphasize content and critique. Reviewing can even be regarded as a platform for individual self- improvement or self-promotion; the focus seems to be more on gains. Finally, in the compartmentalization strategy, book reviews are stand- alone texts that take their place in a broader cultural context of literary criticism. It is, by far, the most depersonalized perspective: those who most commonly evoked this strategy were also those who identified themselves as simply parts of a larger literary evaluative apparatus.

I do not argue that any one of these three dilemma-work strategies is superior to another. Moreover, there is no reason why individuals should be permanently limited to using just one strategy. Rather, the strategies constitute a range of problem-solving approaches that are available for workers to use. When these strategies are used, the roles in a portfolio constitute a pool of cultural resources that workers can draw on in order to navigate the professional dilemmas that they face.

Limitations

This study and its findings have several limitations. The first is the specialized sample. Book reviewing is a unique type of work. It is increasingly casualized, with no formal qualifications and low rewards, and is usually carried out on a single-assignment basis. Moreover, the role itself is going through changes. Since most reviewers are not full- time critics, they are not solely dependent on reviewing for their liveli- hood. Therefore, the economic imperative of reviewing may be less pronounced, while the symbolic value may be greater.

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Reviewing work is also highly ambiguous, in the sense that the goals of a review, or what it means to write one, are multivalent. Reviewing, as a task, is open to interpretation in a way that even other forms of writing are not. Therefore, reviewing may raise more dilemmas than other types of work, purely because it attracts a wider range of workers, all of whom bring different meanings to their work. Overall, this can result in different “packages” of dilemma solutions.

Second, I have only sampled those who have reviewed for elite pub- lications—publications of high symbolic value, legitimacy, and influence. This might give reviewers’ dilemmas greater significance, because they know their reviews will be widely read. This relates to the idea that con- text might affect dilemma-work solutions, which I discuss below.

Another limitation is that reviewing is expressly evaluative. While other jobs may have evaluative components or “moments” (e.g., teaching), book reviewing is unique in that evaluation is its primary operation—even if individual reviewers may vary in how much importance they place on the evaluative function of their reviews. Evaluation signals the quality of a book to readers, and is referred to by publishing houses and the literary field more generally. Moreover, the evaluation is not a private report, but a very public judgment. All these features may make dilemmas more pointed for reviewers, or put them under greater pressure to justify their actions.

Also, the fact that the writer and reviewer roles are so closely linked, giving reviewers first-hand knowledge of what it’s like to have reviewing work “done to them,” is at the heart of many of their dilemmas. This link would probably not be present in other portfolio-work contexts where the roles are very different – for example, musicians might develop a lot of skills, but none of them have a direct impact on othermusicians’ work. Though I argue this is what makes the case of book reviewing as an “extreme case” (Patton, 2007), uniquely ripe for studying dilemma work.

A final limitation is that I do not have direct empirical evidence that reviewers’ accounts are what “truly” guided their practices. While critics offered accounts of how they resolved their dilemmas, I could not directly observe, for instance, changes that they made to their prose as a result of the resolutions that they found. Their accounts may be saving face, or soothing their own consciences, or self-justification. However, the vividness of their descriptions, whether pressured or not, can be used as an empirical jumping-off point for theorizing gen- eral types of ways people conceptualize their multiple roles in a port- folio. Therefore, this study is still instructive for thinking generally about how people experience their multiple roles in general, and how they resolve dilemmas in particular.

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Conclusion

In conclusion, I outline some of the research and practical implications of my findings. As I acknowledge above, book reviewing is an idiosyn- cratic sector—yet I believe many of the dynamics of dilemma work that I identify can be applied more widely. Anyone who has broadened their work portfolio to include multiple roles may experience dilemmas aris- ing from perceived conflicts between them. My study provides a typol- ogy of responses geared towards resolving such dilemmas. My intention is that these general dynamics of dilemma work provide a useful van- tage point from which to approach the subjective experience of occu- pational generalisms, and workers who combine multiple roles more generally. Below, I set out some of the benefits of this enhanced under- standing for research and practice.

One way forward would be to deepen our understanding of what determines whether a worker will be inclined towards one strategy of dilemma work over another. There is reason to suspect that strategies will not all be equally distributed, since problem-solving can be influenced by personal characteristics. For instance, research by Lee et al. (2020) finds that workers’ approach to problem-solving is influenced by job- person characteristics including job tenure (time in the role) and role centrality. We might use these findings to hypothesize why some people are more likely to choose certain problem-solving variants over others.

Consider, hypothetically, the reviewer who chooses either anchoring or compartmentalization. At the heart of both strategies is prioritizing one role over others—the critic role in the case of compartmentaliza- tion, and (often) the author role in the case of anchoring. But how do job-personal characteristics influence who is more likely to identify strongly with their critic role? Perhaps those who have performed the reviewer role for a long time are more likely to feel comfortable with embracing the critic identity because of their familiarity and comfort with it. (Long tenure may not be continuous, since reviewing is a freelance occupation, but nevertheless reviewers will accumulate expe- rience over time.)

Alternatively, perhaps those who are centrally embedded in the field as, say, authors, find they can more easily disregard certain identities with little risk. Consider, for instance, a very famous author who may feel no compunction about ignoring the feelings of their fellow writers and just focusing on doing the job of criticism—because they will be safe no matter what they write. Conversely, someone who is less

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established may feel less sure of their position as an author, and play it

safe accordingly, using their author identity as an anchor.8

Beyond status, how is problem-solving influenced by contextual fac-

tors? Studies elsewhere have pointed to the role that organizational

culture, norms, and the influence of hierarchical superiors can play in

normalizing some forms of decision-making (Fligstein et al., 2017;

Vaughan, 2004). The common thread to all these studies is that contin-

gencies in the context can affect the attractiveness of viability of certain

pathways. This raises the question of how much power managers have

to shape norms, risks, and rewards. In my setting, some reviewers note

that certain publications or editors have a particular “house style” that

leans towards more “cranky” reviews. James Wood, for example, is

identified as actively promoting “teardowns.” In such a context, the

nature of dilemmas may be experienced differently. An authority

figure, such as an editor, could encourage or discourage certain path-

ways—whether practically or symbolically—or incentivize certain path-

ways over others. These preliminary thoughts highlight how readily this

typology could be extended to portfolio workers in other settings. Another implication of this study is that we should attend to the sub-

jective experience of occupational generalists, which has great depths that

are not revealed by a strictly objectivist or external understanding of dif-

ferent work roles. For instance, the literature review included several

studies of workers who see their jobs expanded with new responsibilities;

and someof these findings dovetail withmyown. Specifically, van deRuit

and Bosk’s (2020) public safety officers resolved the tensions arising from

their new surveillance responsibilities by incorporating them into a larger

identity under the banner of “safety.” Subramanian and Suquet’s (2018)

bank-complaint managers engaged in a compartmentalization strategy by

effectively denying the managerial component of their job, relying on a

strictly technical definition of their work, and wrapping up their motives

in benevolent intentions (e.g., acting as an “older brother” to those under

their purview, rather than policing them). If the concept of dilemma work is broadly generalizable, this sheds

new light on how we should study the experience of holding multiple

work roles. Another avenue for future research would be to examine

how the typology proposed in this paper holds true in other types of

work, both inside and beyond the artistic world. For example, how does

it relate to casualized workers in other settings, occupational general-

ists, or people who take jobs in completely disparate fields (e.g., the

teacher who also is an Uber driver) (Caza et al., 2018)? Through the lens

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of dilemma work, we can consider the additional loads or risks being placed on these populations, and attend to their wellbeing.

Armed with an insight into dilemma work, employers can devise ways to minimize role conflicts or support particular forms of problem-solving, depending on their own preference or management style. When selecting freelancers or hiring staff, employers are not merely acquiring skills—they are also transplanting values that could create dilemmas. Workplaces could provide explicit guidance on how they want workers to value their pathways of action, or offer support with resolving dilemmas. Such dilemmas arise when the way forward is not clear, so better management can clarify which pathway is more favored, thus resolving the dilemma for the individual worker. That reduces their autonomy, in a sense—but as work becomes increasingly casualized, we may question whether we should add to the problems of “gig economy” workers by asking them to take on any further stress.

On a practical level, the idea of dilemma work suggests that occupa- tional generalists undertake a type of moral labor that is qualitatively different from anything identified before. Previous research has estab- lished that workers who hold multiple jobs, or experience precarious work circumstances, face difficulties including increased stress, work– family conflict, and distress (Tausig, 1999; Wheaton et al., 2012) as a result of insecurity (Glavin & Schieman, 2014). These studies underscore the consequences of non-standard work in relation to respondents’ health and wellbeing. My study highlights that portfolio workers must also undertake a type of labor that has yet to be explored: dilemma work.

Overall, the concept of dilemma work offers us insights into one facet of the lived experience of occupational generalists who perform multiple work roles. Specifically, it sheds light on how the values and identities associated with certain roles can lead to dilemmas when enact- ing others, and how workers draw upon their multiple roles in creative ways to resolve those dilemmas. Hence, we get a peek into the experi- ence of occupational generalists or portfolio workers. The overriding message of this study is that people do not just bring skills or expertise from their other jobs, but also their emotions, allegiances, values, and aspirations—and all these aspects can influence how they approach all of the work they do. No matter how many jobs people hold, they must still resolve them into just one life.

Declaration of Conflicting Interests

The author declared no potential conflicts of interest with respect to the

research, authorship, and/or publication of this article.

464 Work and Occupations 48(4)

Funding

The author received no financial support for the research, authorship, and/or publication of this article.

ORCID iD

Phillipa K. Chong https://orcid.org/0000-0002-2509-8003

Notes

1. Studies vary in terms of whether occupational generalism is the focus of the study, or explicitly referred to as such; yet the expansion of artists’ work roles is a common finding in case studies of artisticworkers acrossmany creative fields.

2. Note that Bechky (2006) usefully employs the concept of roles to study crew members on film sets; however, her focus is on the puzzle of how action gets coordinated in temporary organizations.

3. My focus is on reviews of newly published fiction, which typically appear in the review pages of general interest publications such as daily newspapers. The reason for this focus, as opposed to reviewing for more specialized lit- erary journals, for example, is that this is the type of the reviewing that working writers most commonly take on as a secondary work activity.

4. In 2015, I reached out to a few interviewees to confirm the completeness of my understanding of the data.

5. Book reviewing is by no means a taken-for-granted activity or extension of a career as a novelist; however, a sizable proportion of fiction critics are them- selves published novelists.

6. It is possible this respondent was merely name-dropping. But her primary focus on the critic role to the exclusion of all her other professional experi- ences extends beyond this one comment about her friendship networks.

7. This critic isn’t alone in receiving feedback on her reviews from authors. But she is peculiar in the number of positive examples of flattering feedback she can apparently recall. For instance, she describes a particular instance of writing a negative review and getting a positive response:

[T]here was a character that just wasn’t well-formed enough. I wrote the

reviewand talked agreat deal about [. . .] the problems that I hadwith the

character. I got a message from [the author] a week or so later saying,

“You know, this is incredible. Thank you somuch. You’ve givenme the

gift of something I can work on, something that’s constructive.” I

thought that was really amazing. So, for me, criticizing a book does

not have to be destructive. I don’t think I’ve ever written a review that

didn’t have some kind of—you know, something critical in it.

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From this experience, the critic seems to have crystallized her philosophy that writing a negative review can be not merely “non-destructive,” but actively useful to the author; hence, it makes sense that she does not express the same anxieties as other reviewers when viewing the task through this frame.

8. The point has been made elsewhere that this idea coincides with the predic- tions of middle-status conformity.

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Author Biography

Phillipa K. Chong specializes in how we define and evaluate worth in artistic labor markets. Her book, Inside the Critics’ Circle: Book Reviewing in Uncertain Times (Princeton University Press) examines how book reviewers legitimate their work at a time when “anyone can be a critic”. Chong is associate professor in Sociology at McMaster University in Canada.

469Chong

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Journal of Organizational Behavior Management

ISSN: (Print) (Online) Journal homepage: https://www.tandfonline.com/loi/worg20

Self-Management in Organizational Behavior Management

Rachael Ferguson & Lauren Rivera

To cite this article: Rachael Ferguson & Lauren Rivera (2022) Self-Management in Organizational Behavior Management, Journal of Organizational Behavior Management, 42:3, 210-229, DOI: 10.1080/01608061.2021.1996502

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Self-Management in Organizational Behavior Management Rachael Ferguson and Lauren Rivera

School of Behavior Analysis, Florida Institute of Technology, Melbourne, FL, USA

ABSTRACT Self-management can be a cost-effective method to promote employee behavior change. This article will provide an overview of self-management as it applies to business and industry. The general process will be described along with techniques to increase success. Relevant examples and literature will be intro- duced to enhance understanding of self-management applica- tions in organizational behavior management (OBM). Benefits will be discussed along with professions that may be ideal for a self-management approach to performance improvement.

KEYWORDS Self-management; self- monitoring; self-observation; delay discounting; prompts

Many of us can probably recall observing behavior that seemed surprising or unexplainable at some point in our lives. As a child, I vaguely recount when I went to the hospital with my mother for routine bloodwork. This event was quite some time ago; however, I still remember the technician not wearing gloves during the procedure. My mother commented on it, and the techni- cian’s response was, “I am guessing you don’t have anything I need to worry about.” The hospital was located in an area that had a low prevalence of major diseases. Still, even as a child, I could not understand why precautions were not taken, especially since the possible consequences of engaging in such risky behavior were significant. The technician’s seemingly flippant attitude toward the apparent dangers appeared unusual. I concluded that little could be done to reason with her. When behavior is assumed to be entirely random, one might be tempted to conclude, as I did, that nothing can be done to change it (Johnston, 2014). This conclusion may be further pronounced if the employee works alone or in isolation and is unable to be observed or managed. However, when examining the variables systematically, it becomes clear that behavior is not random and can be understood and managed (Johnston, 2014). Furthermore, behavior does not have to be managed by a supervisor. An alternative approach to behavior change is available that requires less support from management and may prove to be a viable option for workers like the one described in this example.

CONTACT Rachael Ferguson [email protected] School of Behavior Analysis, Florida Institute of Technology, 150 W University Blvd., Melbourne, FL, 32901, USA

Supplemental data for this article can be accessed on the publisher’s website.

JOURNAL OF ORGANIZATIONAL BEHAVIOR MANAGEMENT 2022, VOL. 42, NO. 3, 210–229 https://doi.org/10.1080/01608061.2021.1996502

© 2021 Taylor & Francis

Defining self-management

Self-management has been conceptualized as a process of self-improvement that involves changing one’s behavior to a desired level that is consistent with a goal (Hickman & Geller, 2005). In self-management, the individual assumes “responsibility” for their behavior, therefore lessening the need for an outside agent to monitor behavior change (Godat & Brigham, 1999). There are three broad components that are typically considered during self-management. These include self-observation, antecedents, and consequences (Godat & Brigham, 1999; Hickman & Geller, 2005; Mahoney & Thoresen, 1974; Watson & Tharp, 2014). Each of these components will be described in more detail. However, one should first consider when self-management might be used in organizations.

When we might use self-management in organizations and in the field of OBM

A critical component of self-management is self-observation, which allows the approach to be effectively applied to certain professions that cannot be easily observed (Olson & Austin, 2001). This could be the case with lone workers such as truck drivers (Arnold & VanHouten, 2020; Hickman & Geller, 2005; Olson & Austin, 2001), sales representatives (Copeland et al., 2018; Crawley et al., 1982; Frayne & Geringer, 2000), telehealth practitioners (Morin et al., 2020), home healthcare aids (Olson, Thompson, et al., 2016), or individuals who work from home. A self-management approach is also ideal for business owners who do not report to a supervisor (Gaetani et al., 1983; Milligan & Hantula, 2005) or organizational leaders who must employ time-management strategies to create project timelines and construct meeting agendas.

In addition to professions in which employees are unable to be observed due to geographic distance, self-management is also ideal when more costly approaches (e.g., monetary incentives, frequent observation, coaching, etc.) are not feasible. In some professions it may not be viable to designate observers to measure performance (e.g., education, human services), and their work might not produce outcomes that are indicative of behavior (e.g., sales). Supervisor or peer one-on-one observations can be time-intensive. The decreased productivity and added costs incurred from a peer observation system are typically met with reluctance to implement such procedures. Larger organizations with a substantial number of employees who work multiple shifts may also benefit from a self-management approach (Gravina et al., 2008).

Self-management is perhaps most widely recognized as a choice interven- tion in promoting general health and safety, which is also a topic of interest in organizational behavior management (OBM). It is typical for individuals

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working in an office to remain sedentary for most of the workday. Sedentary behavior can increase risk for disease, including cardiovascular disease and certain cancers. Behavioral interventions such as feedback and task clarifica- tion have been successfully applied to address workplace inactivity and pro- mote health and wellness (Green & Dallery, 2019). Other professions, such as truck drivers, may also be at risk for inactivity, and obesity is twice as common for U.S. truck drivers than the general population (Olson, Wipfli, et al., 2016). Given that these individuals work independently, regular feedback from man- agement may not be feasible. Self-management techniques such as self-obser- vation have proven to be a viable alternative for promoting weight loss (Olson, Wipfli, et al., 2016). Self-management interventions have also led to increased healthy behaviors and outcomes such as ergonomic tool use, hazard identifi- cation and correction, healthy eating, communicating safety concerns, improving cholesterol levels, and injury reduction (Olson, Thompson, et al., 2016).

Delay discounting

Self-management is frequently needed when an individual must choose between a substantial but delayed consequence over a smaller, but desirable, more immediate consequence, sometimes referred to as delay discounting. With delay discounting, the value of a reinforcer is decreased as a function of the delay to that reinforcer. At times, a smaller, more immediate reinforcer can have a more apparent influence on behavior than a larger, delayed reinforcer (Odum, 2011).

Suppose a truck driver frequently enjoys fast food on the road, but is trying to get into shape to look and feel better. While the positive consequences of looking and feeling better may be substantial, they are also delayed. Alternatively, the satisfaction experienced by indulging in a burger would be immediate. Along with delay, less probable consequences have less control over behavior (Daniels & Bailey, 2014; Milligan & Hantula, 2005). An increased likelihood of a heart attack may be a substantial negative conse- quence; however, it is improbable. Alternatively, the instant delight that occurs after taking a bite of a burger is guaranteed. While only a small pleasure, it is both immediate and probable, which is most critical (Daniels & Bailey, 2014).

For the lab technician, performing a procedure without putting on gloves is similar to the truck driver taking that forbidden fast food exit. There is immediate reinforcement that is probable or likely (e.g., avoiding the gloves’ discomfort, working more quickly, etc.). Getting a disease from failure to put on gloves is significant. However, similar to a heart attack, this is an unlikely consequence and will be delayed if it does happen. The technician could neglect to put on gloves throughout her entire career and never catch a disease.

212 R. FERGUSON AND L. RIVERA

Given that immediate positive consequences support unsafe behavior, she will be less likely to emit safe responses. Due to delayed discounting, much like the truck driver, the technician may be more likely to demonstrate poor self- management skills if it were left to chance. However, self-management does not have to be left to chance and can be accomplished by following a process that involves applying behavioral principles (Godat & Brigham, 1999; Skinner, 1953; Watson & Tharp, 2014; Yates, 1985).

Components of the self-management process

Self-monitoring

Self-observation is the first step in the self-management process. It has been identified using different terms within the literature such as “self-monitoring,” “behavioral self-monitoring,” or “self-recording,” to name a few. Throughout this article, self-observation will be referred to as “self-monitoring.” Self- monitoring is a technique that involves repeatedly observing, recording, and evaluating one’s behavior (Olson et al., 2011). Due to reactivity, desired behaviors will typically increase and undesired behaviors will decrease when an individual begins observing their behavior (Mahoney & Thoresen, 1974; Watson & Tharp, 2014). Thus, it is possible to change a behavior in the desired direction and achieve maximum benefit for minimal cost (Rose & Ludwig, 2009; Yates, 1985).

OBM experts have noted that self-management procedures such as self- monitoring promote worker autonomy and eliminate the need to apply more aversive control techniques (Gaetani et al., 1983). Individuals who engage in self-observation are present during every occurrence of the behavior, and therefore have a better opportunity to provide a more accurate representation of the event (Godat & Brigham, 1999; Mahoney & Thoresen, 1974). Many experts have endorsed self-monitoring and recommended that modest inter- ventions be applied first, with more intrusive interventions adopted only as needed (Christian & Poling, 1997; Olson & Austin, 2001).

Self-monitoring can easily be applied in the workplace through a variety of techniques. Richman et al. (1988) had direct care staff copy their schedule onto an index card that they carried with them while they worked. Participants self- monitored their behavior by initialing the card after completing each activity. For other professions such as truck drivers, it may not be feasible to have the participant record the behavior immediately after its occurrence. Researchers have had success allowing participants to estimate their performance. Hickman and Geller (2005) assessed the effects of self-monitoring on speeding and extreme breaking. Participants in one group estimated how often they intended to engage in these behaviors before beginning their trip, whereas participants in the other group made the same estimations after their trip was

JOURNAL OF ORGANIZATIONAL BEHAVIOR MANAGEMENT 213

completed. Each procedure was effective in promoting safe driving. Other techniques have also been used to promote more frequent recording without the need for a manager to be present. Gravina et al. (2008) used a signaling procedure to alert participants when it was time to record their safe posture. This procedure lends itself well to continuous behaviors that occur over the duration of the workday.

The evolution of technology further facilitates the ease of self-monitoring. It is possible to keep records on a cell phone or tablet. Contemporary clinical applications of self-monitoring have employed cell phone programs that promote timely, convenient, and accurate record keeping. It is also possible to have certain behaviors such as social media use monitored automatically through various applications.

As mentioned, self-monitoring is an ideal approach to performance feed- back when a supervisor is not available. Teachers are frequently expected to complete a variety of educational procedures without a supervisor present and self-monitoring has been used to increase the fidelity of teacher-implemented behavioral interventions and techniques (Wright et al., 2012). A review of the contemporary literature found a cross-section of studies using self-monitoring on the following behavioral methods in education: teacher praise of student behavior, implementation of token economies, use of augmentative and alter- native communication to replace student problem behavior, and class-wide challenging behavior prevention practices (Rispoli et al., 2017).

Along with more traditional approaches to teaching, other modes of instructional delivery can also benefit from self-monitoring. Telehealth is a mode of service delivery in applied behavior analysis that allows remote learning, enabling wider access to trained professionals. This approach may benefit from self-monitoring as it involves receiving services at a distance from the provider. Morin et al. (2020) used telehealth to train parents on using video analysis procedures to increase self-selected instructional practices. The inde- pendent variable was a video analysis intervention, which consisted of instruc- tional feedback and several self-management components such as goal setting, self-monitoring through video, self-graphing, and reflection. Results indicated that the intervention was effective in changing parents’ instructional practices and the effects generalized to a second target behavior and maintained. Additionally, a social validity survey indicated that parents found the inter- vention acceptable and feasible.

Self-monitoring is a critical component of self-management. Much early research has been done to explore the impact of self-monitoring under various conditions (e.g., Hayes & Nelson, 1983; Nelson et al., 1982; Nelson & Hayes, 1981). While self-management is generally conceptualized as a process, spe- cific self-management components can be implemented in isolation. Self- monitoring is one component of self-management that has been implemented on its own and achieved modest outcomes (e.g., Gravina et al., 2008, 2013).

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Motivating operations One explanation for self-monitoring’s effectiveness could be that observing behavior might function as a motivating operation (MO) and have a value altering effect. Michael (1993) described MOs as environmental antecedents with value-altering and behavior-altering effects. Value-altering effects alter the effectiveness of a consequence, while behavior-altering effects alter the frequency of behavior that has led to that consequence in the past. For instance, if one has been water-deprived, water will be more reinforcing (value-altering effect), and one will be more likely to emit behaviors that have in the past been reinforced with water (behavior-altering effect).

Considering how these concepts may apply to the workplace and self- management, visible differences between one’s current performance level and their goal level may function as an MO (Olson & Winchester, 2008). Again, considering the lab technician, suppose the goal was set at 90% and she has a schedule with patients she sees each day. She marks a checkmark next to a patient’s name if she uses personal protective equipment (PPE) during the interaction. At the end of the day, she, or a manager, adds these performance results to her overall score and graphs her daily performance. If she neglects to put on PPE, this will drop her daily percentage and bring her farther away from the goal. Imagine her current average is 80%, and again, the goal was set to 90%. If that 10% discrepancy between her current level and goal level functioned as an MO, it would have the value-altering effect (specifically the reinforcer establishing effect). Thus, it would establish the sight of a reduction in that discrepancy as reinforcing. It would also have the behavior-altering effect, increasing the frequency of behaviors that have in the past led to progress toward the goal such as putting on gloves prior to interacting with patients and marking off that she has done so (Olson & Winchester, 2008). For this reason, engaging in these behaviors can have a reactive effect that typically occurs immediately after the behavior is recorded and will continue as long as recording persists (Latner & Wilson, 2002; Watson & Tharp, 2014).

Antecedents

While self-monitoring may be effective on its own, it is best to apply other self- management techniques. Manipulating antecedents is another typical compo- nent of the self-management process. There are two reasons to manipulate antecedent stimuli. The first is to increase the frequency of self-monitoring, and the second is to promote positive behavior change.

Increasing compliance with self-monitoring through manipulating antecedents One of the most common reasons an individual may fail with their self- management plan is neglecting to document their behavior (Watson & Tharp, 2014). Individuals should record the behavior immediately after it

JOURNAL OF ORGANIZATIONAL BEHAVIOR MANAGEMENT 215

occurs in order to increase compliance (Crawley et al., 1982; Latner & Wilson, 2002; Watson & Tharp, 2014). Prompts or antecedents to record should be strategically included where the behavior is likely to occur (Watson & Tharp, 2014).

Gravina et al. (2008) provided an original application of prompts that helped support their significance to a self-monitoring procedure. Researchers began by providing participants with ergonomics training, which was supplemented with an informational sheet that could be viewed following training. Special care was taken to place the informational sheet on a nearby table during every experimental session. Participants were prompted to self-monitor through a tone that would go off after a set amount of time. Each time the tone sounded, they were to indicate if they were in a safe or at-risk position. This approach proved effective at gaining compliance with self- monitoring, with an average compliance of 82%.

Along with prompts, a device should be selected that is easy to use and transport (Burg et al., 1979; Christian & Poling, 1997; Watson & Tharp, 2014). Christian and Poling (1997) achieved results by having participants self- monitor using a notebook that was small enough to be carried with them during shifts. Other authors have applied original techniques to increase ease of recording. Burg et al. (1979) implemented self-monitoring and minimal supervisory involvement to increase the number of interactions direct care staff had with residents. Researchers had participants use a small laminated card that could be easily carried in the pockets of staff. Convenience was increased by having the staff self-monitor by removing a sticker from one side of the card and attaching it to the other side.

Promoting desired behavior change through manipulating antecedents The second reason to manipulate antecedents is to promote positive behavior change. One way an antecedent can promote desired behavior is through acting as a discriminative stimulus. A discriminative stimulus signals access to reinforcement for specific responses when present, and in its absence, responses of the same type will not be reinforced (Cooper et al., 2007). As mentioned, self-management involves increasing or decreasing a target beha- vior to reach a goal (Hickman & Geller, 2005). Goals have been conceptualized behaviorally as stimuli that come before a behavior and if achieving one’s goal generates positive reinforcement, the goal is said to have discriminative con- trol over the behavior (Fellner & Sulzer-Azaroff, 1984).

Considering the lab technician, suppose she is told that achieving a goal of 90% of patients served with PPE by the end of the month will lead to a small incentive. Given that this goal has been established, her behavior will be reinforced in the presence of the goal, and in its absence, it would not be reinforced. Thus, the goal would function as a discriminative stimulus in this example and the absence of a goal would serve as the stimulus delta.

216 R. FERGUSON AND L. RIVERA

In addition to goal setting, it is also possible to manipulate antecedents in other ways to promote desired behavior such as through changing the materi- als or decreasing response effort (Wilder et al., 2021). For instance, the lab technician may find that she is less likely to put on gloves because they have an improper fit or are inconveniently located. Adjusting these antecedents may increase her likelihood of engaging in the desired behavior.

Milligan and Hantula (2005) provide an excellent example of manipulating antecedents in a pet care facility. Prompts (i.e., index cards) were introduced to increase suggestive selling. The participant in the study was the owner of the facility, and the behavior was asking customers if they were interested in purchasing pet care products. Results indicated that sales tripled. This inter- vention is of particular interest given its simplicity, and the impact it had on critical outcome measures. Perhaps one reason the intervention was successful was that the participant was the owner and thus stood to benefit from any financial return gained from the change in behaviors and thus recognized their value.

Doll et al. (2007) also utilized antecedent components to increase staff cleaning behaviors at a ski shop. A checklist of desired behaviors was placed by the cash register where it could be easily seen by participants and thus acted as a prompt to record. Participants were instructed to self-monitor by initial- ing each behavior on the checklist after completing it at the end of the day. Graphic feedback and task specific feedback supplemented the self-monitored feedback. Immediately following the introduction of the checklist, there was a 52% increase in desired behavior with an added 12% increase once task- specific feedback was introduced.

Arnold and VanHouten (2020) offer a recent application of prompts to increase safe driving. Researchers attempted to decrease tailgating through a packaged intervention that included prompts and self-monitoring in addition to goal setting and feedback. The study took place in a simulated environment and included three drivers. Participants were prompted to drive safely and were provided a target for following at a safe distance. For the self-monitoring component, they were instructed to estimate how frequently they followed a safe distance at the end of each session. Following self-monitoring, partici- pants were given feedback based on their actual safe driving performance. Safe driving behavior increased for all participants after implementation of the treatment package, and these effects generalized to a real-world setting. This study illustrates how prompts can be effectively used within a self-manage- ment initiative to promote desired behaviors and may benefit from the addi- tion of consequences such as feedback.

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Consequences

Self-monitoring and antecedents are two typical components of a self-manage- ment initiative that help influence behavior change. Another component is consequences. There are a variety of different consequences that are relevant and each will be discussed.

Self-generated feedback as a natural consequence of self-monitoring Self-generated feedback is an important natural consequence associated with the self-monitoring procedure. It has practical advantages of being delivered immediately and frequently. Environmental consequences control reactivity to self-monitoring procedures. Self-monitoring provides cues for consequences for the target behavior (Hayes & Nelson, 1983). The sight of one’s self- monitored data (e.g., number of tallies increasing) can also function as an antecedent cue that certain consequences associated with engaging in the target behavior may be forthcoming. As discussed, due to delay discounting, consequences that are more immediate are more likely to influence behavior than consequences that are more substantial but occur later (Daniels & Bailey, 2014; Odum, 2011; Yates, 1985). Self-monitoring can be used to bring con- sequences closer in time to the response.

Once again, considering the lab technician, while the consequence of catching a disease may be delayed and improbable, if the technician were to self-monitor, the visual consequences generated through the self-monitoring procedure would be more immediate and probable. Every time she put on gloves before interacting with a patient, she could mark a checkmark or tally soon afterward, which would show progress toward her goal.

Similar to health and safety with a lab technician, sales is another profession that may experience inconsistent and delayed results. A sales representative could emit all the correct behaviors and the customer may still not purchase if they lack the funds. Furthermore, even if the customer purchases, it may take a long time for the sale to finalize and to receive the commission. Not receiving timely, consistent reinforcement may cause critical sales behaviors to extin- guish. However, if a sales associate were to track their sales behaviors through a checklist, feedback would be consistent, occurring every time the behavior occurred, and would occur shortly after the customer interaction.

Crawley et al. (1982) offer an excellent example of how self-generated feedback can be applied with sales associates. Researchers began by identifying key sales behaviors by observing high performers. A sample of behaviors included greeting the customer, obtaining the customer’s name, using the appropriate questions to identify customer needs, reinforcing the customer’s statement of a need, suggesting additional products and services, responding to each objection, making an appointment with the appropriate decision maker, and asking for the sale. These behaviors were clarified and then self-

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monitored by sales associates. During this phase, sales representatives were expected to consistently monitor their performance based on the checklist within the first 5 minutes following a customer’s departure from the store. This method allowed sales representatives to generate their own feedback shortly following each customer interaction without relying on feedback from a manger.

Additionally, while Crawley et al. (1982) assessed internal sales representa- tives in close proximity to managers, self-management components may be ideal for external sales associates who must perform a number of critical behaviors without direct management oversight. Again, these behaviors are not always directly linked to a result and the results are delayed, making it easy for behaviors to extinguish if there is no manager available to reinforce them.

Self-generated feedback has also been used as a consequence in other settings such as clinics. Hillman et al. (2020) trained individuals diagnosed with autism spectrum disorder interested in becoming behavioral technicians to implement discrete-trial training (DTT) with children. The training proce- dure included a self-monitoring component. Participants were taught to self- monitor their DTT sessions’ treatment integrity. Results indicated that the treatment integrity maintained initially without the addition of feedback. These results are promising given that many managers in clinical settings may not be available to observe and deliver supervisor feedback. Self-gener- ated feedback can be a valuable alternative that can occur immediately follow- ing the behavior.

Increasing compliance with self-monitoring through arranged consequences Proper use of arranged consequences is also important in the self-management process. Early in the process, consequences should be arranged to support completing the self-monitoring procedure. These consequences can be simple social consequences such as selecting a mediator who can check-in on one’s record-keeping (Burg et al., 1979; Watson & Tharp, 2014). Additionally, when the individual begins the initial process of collecting self-monitored data, one should reinforce engaging in the behavior of recording. Less emphasis should be placed (at least initially) on whether goals are met (Daniels & Bailey, 2014).

Burg et al. (1979) implemented self-monitoring and minimal supervisory involvement to increase the number of interactions direct care staff had with residents in a residential treatment facility. Staff self-monitored using a small card, which they handed in to the supervisor’s office at the end of their shift. Minimal supervisor involvement consisted of thanking the staff for self-mon- itoring upon receipt of the card. Special caution was taken to focus on use of the card alone rather than the number of interactions. Although the focus was on self-monitoring alone, the reactive effect of self-monitoring led to a sub- stantial increase in the average number of interactions during each shift. Prior

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to the intervention, there was little interaction; staff interacted with residents one time for every 14 observations. After the intervention, there was a notice- able increase of one interaction for every two observations.

Performance-contingent incentives can also be arranged for completing the self-monitoring procedure. These incentives do not have to be substantial. Hickman and Geller (2005) examined the effects of self-monitoring and individual feedback on speeding and extreme breaking in short-haul truck drivers. A small incentive of $1.00 was offered for each completed self-mon- itoring form which led to desired results. Additionally, these researchers did not require an observer to be present. This further demonstrates the feasibility of the approach for different professions.

Promoting desired behavior change through manipulating consequences Along with natural consequences that are generated through the act of self- monitoring and arranged consequences that can be provided for engaging in self-monitoring, arranged consequences can also be included to promote desired behavior change. These performance-contingent consequences may be self-administered (Burgio et al., 1983; Godat & Brigham, 1999) or delivered by an external agent (Burg et al., 1979; Christian & Poling, 1997; McCann & Sulzer-Azaroff, 1996; Richman et al., 1988; Rose & Ludwig, 2009). Additionally, they can take a variety of forms.

Olson and Austin (2001) implemented feedback in conjunction with self- monitoring to improve safe driving in four bus operators. The drivers self- monitored safe driving behaviors and received feedback on their self-mon- itored data. The behavioral categories included loading and unloading, in motion practices, and coming to a complete stop. Results indicated an increase in safe driving performance of 12.3% for the group, with a 2% to 41% range of improvement at the individual level.

Christian and Poling (1997) provided tangible rewards when implementing self-management to improve the performance of two restaurant staff with mild intellectual disabilities. Specific behaviors included setting tables, weighing and bagging food items, and rolling silverware. Participants were first prompted to choose items from a reinforcement inventory. These reinforcers were then delivered contingent on finishing a task by a pre-established time. The participants began by selecting a time to have a task completed. The desired times were then recorded in notebooks they carried with them. The self-monitoring procedure consisted of the participant recording whether they had completed the task on-time. If the deadline was met, the participant was rewarded with an item from the reinforcement inventory. The importance of accurate recording was also emphasized and participants were occasionally provided praise and monetary incentives for accurate record keeping.

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Research has also supported a combined approach that includes self-mon- itoring plus incentives. Gaetani et al. (1986) used self-monitoring with incen- tives to increase daily productivity of two machinists at an auto shop. During the initial phase, researchers applied a self-generated or employee-generated feedback procedure (i.e., self-monitoring). The self-monitoring took place daily and consisted of a report generated by each employee that reflected dollars billed for the workday. Note that the self-monitoring did not take place immediately after the occurrence of behavior but involved tallying invoices once the workday concluded. The average dollars billed during base- line for the two workers was $77.10 and $98.23. With the addition of self- monitoring alone, this increased to $152.00 and $186.00 respectively. During the reversal phase, performance declined toward baseline levels shortly after which a self-monitoring plus incentive phase was introduced, which consisted of self-monitoring and performance-contingent pay based on daily productiv- ity. This phase resulted in the most substantial performance increases, with workers averaging $238.00 and $269.00, respectively. Authors further under- scored that performance was both high and steady during the entire duration of this phase. This provides further evidence that demonstrates the benefits of a multifaceted approach.

While using incentives may be effective, it is more expensive and perhaps may not be feasible for other professions. To reduce costs, one could substitute monetary incentives with lower-cost reinforcers such as Premack reinforcers. In other words, a highly preferred work activity could be contingent on completing a less preferred work activity. Suppose a direct care worker did not enjoy conducting therapy sessions as much as having a desk shift. The supervisor could allow the direct care worker to begin a desk shift after they had a self-monitoring form that demonstrated they had engaged in desirable therapy behaviors (e.g., recording a session note, cleaning the work station, conducting DTT, etc.).

Considerations for implementing self-management

Increasing accuracy of self-monitoring

Research suggests that to experience the full potential of a self-monitoring intervention, the self-monitored data must be accurate. Gravina et al. (2008) implemented self-monitoring to increase college students’ safe positioning in an analogue setting. The authors described the effects of the stand-alone self- monitoring intervention to be modest at best. They noted that one reason could have been that the self-monitoring was inaccurate. It was possible the participants may have scored their positioning as safe when it did not meet requirements for safe positioning. This may have undermined the effects of self-monitoring.

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Gravina et al. (2013) did a follow-up study, but provided participants with training to attempt to increase self-monitoring accuracy. Prior to beginning the self-monitoring phase, participants completed a training procedure that involved practicing the self-monitoring task while verbally self-monitoring their behavior. The experimenter provided feedback on self-monitoring accu- racy. The average accuracy increased from the previous study from 44% to 77%, with a 58% to 100% range. The intervention was effective for six out of six dependent variables, demonstrating a more substantial effect compared to 11 out of 17 in the previous study. Thus, the effects of self-monitoring may be enhanced through increasing self-monitoring accuracy.

Personal value

Individuals are also more likely to experience success when they personally value changing their behavior (Chase et al., 2013; Olson & Austin, 2001; Olson et al., 2011). One way to promote value is through demonstrating how behavior change may be linked to a desired result. Gaetani et al. (1983) assessed the effects of three self-monitoring procedures designed to reduce tardiness of a small business owner. The first procedure required the owner to document arrival times. While this phase led to an initial decrease in tardiness, it did not maintain. In the next phase, the owner plotted the data associated with arrival time, which did not promote improvement. It was not until the owner began tracking lost potential customers due to the tardiness that tardiness levels were reduced and remained low. By having the participant track lost potential customers, it became easier for the business owner to see the impact of arriving late on potential revenue which made arriving on time valuable.

Another technique to increase the likelihood that behavior change is valued is to allow the individual to choose which behavior to change (Gravina et al., 2008; Olson & Austin, 2001; Olson et al., 2011; Watson & Tharp, 2014). Choice can moderate the effects of self-management. The individual will frequently select a behavior they care about (Gravina et al., 2008) which increases motivation to change (Olson et al., 2011). For instance, Olson et al. (2011) examined the effects of choice on self-monitoring compliance. There was a total of seven different health and safety behaviors. Participants were expected to self-monitor one of the seven and were either assigned to the behavior or given a choice. Results indicated an 18% higher rate of compliance with the self-monitoring procedures when participants were allowed to choose the behavior, which was statistically significant. During instances in which choice is not an option, employee buy-in may be increased by using a participative approach during goal development and during the design phase of the self- management intervention (Kazdin, 1974; Olson & Austin, 2001).

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It would be impractical to allow an employee such as the lab technician to choose which safe behavior to engage in given that glove wearing is a require- ment to promote health and safety. Arguably, it would also not be ideal to allow her to participate in goal development since, for ethical reasons, the goal should remain high. An alternative approach to promoting value in these circumstances could be through value training or clarifying the value of the behavior early on. Chase et al. (2013) examined the impact of online goal- setting with and without personal values exploration on undergraduate per- formance. Psychology students were randomly assigned to one of three con- ditions: goal-setting training alone, values training plus goal-setting training, and a waitlist. Results showed those exposed to values training plus goal- setting training had significant improvement in their GPA. Moreover, goal- setting by itself did not affect performance.

It is possible that value training was successful due to the dependent variable of interest. Participants may have come to value GPA given that reaching this goal could help improve their life (Watson & Tharp, 2014). A similar point can be made about the lab technician. The technician would likely value her long- term health; thus, providing value training and clarifying the dangers of failing to wear PPE at the beginning could lead to desired outcomes similar to those observed by Chase et al. (2013).

Thus, a different approach to building value may be taken based on a variety of factors such as the behavior and position of interest. Therefore, rather than attempting to follow a prescriptive approach, one should consider each factor and the recommendations as a whole to tailor a self-management plan that will work best in addressing their specific performance concern.

The importance of a multifaceted approach

Many authors have advocated for a multifaceted approach to self-manage- ment, and research findings have further substantiated this point (Arnold & VanHouten, 2020; Burg et al., 1979; Burgio et al., 1983; Christian & Poling, 1997; Crawley et al., 1982; Gaetani et al., 1983, 1986; Godat & Brigham, 1999; Gravina et al., 2008, 2013; Latner & Wilson, 2002; McCann & Sulzer-Azaroff, 1996; Richman et al., 1988; Wilk & Redmon, 1998). A multifaceted approach is believed to be ideal given that each component can amplify any performance improvements that may be observed, and help ensure long-term success of the self-management initiative (Gravina et al., 2008).

While incentives were described in the previous examples as supplemental components to self-monitoring, the additional components do not always need to be as costly for success to be observed. Having some additional components may be sufficient (Burg et al., 1979; Burgio et al., 1983; Richman et al., 1988). As discussed, results have been obtained by simply having a supervisor available to collect the self-monitored data (Burg et al.,

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1979). Results have also been experienced with little to no supervisory invol- vement. Burgio et al. (1983) developed a staff management program designed to be supported through the staff’s efforts. Staff were in charge of setting their own goals each day, self-monitoring those goals, and graphing their data. The two aforementioned studies each assessed the effects of self-management on staff-resident interactions, and both led to a substantial increase in interac- tions, with little managerial involvement. However, results have been some- what mixed. While each of the previous studies (e.g., Burg et al., 1979; Burgio et al., 1983) achieved results that maintained with little involvement from management, other studies (e.g., Richman et al., 1988) have required addi- tional components such as feedback. Richman et al. (1988) implemented self- monitoring to increase on-task and on-schedule behavior in direct care staff. However, some staff members’ performance did not maintain when using self- monitoring alone but recovered when feedback was introduced. Researchers concluded that feedback might be a necessary component to ensure the long- term effectiveness of self-monitoring. Results have been somewhat inconsis- tent concerning the specific components that are necessary to supplement self- monitoring to achieve long-term maintenance and may depend on many factors.

Other authors have utilized a combined approach and experienced success. Wilk and Redmon (1998) integrated self-monitoring into an intervention package consisting of self-monitoring, goal setting, and feedback to increase university admissions staff’s productivity and job satisfaction. Authors noted the self-monitoring component to be an integral part of the package. The primary dependent variable was productivity which was operationalized as the number of daily tasks completed, and this was assessed through self-monitor- ing. In the second phase, workers were also provided a graphic display of the number of tasks completed and this led to the highest levels of performance. Results indicated that productivity and job satisfaction both improved through this multifaceted approach.

Identifying an approach that would provide the necessary support while requiring minimal involvement from supervisors would seem to be a worthy topic of exploration. One option may be to begin by having management play a more substantial role and then gradually fade out the manager’s presence over time (Burg et al., 1979; Crawley et al., 1982). Crawley et al. (1982) followed this approach when implementing a Behavioral Sales Model to increase critical behaviors performed by sales representatives and coaches. As mentioned, critical sales behaviors were identified and sales personnel were to self-evaluate their performance according to those behaviors following a customer’s departure.

To increase the likelihood that coaches were performing the desired coach- ing behaviors, they were observed by management during the coaching ses- sions and evaluated based on a checklist. The coaches were also expected to

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engage in a self-evaluation session using the checklist. Managers also observed coaches periodically using this checklist, and the frequency of managerial observations was then faded. This study provides an example of how self- monitoring can be incorporated into an intervention and can be encouraged by employees at multiple levels. Moreover, it allows one to see how managerial presence can be effectively faded over time.

Areas for future research

Applying a multifaceted approach will increase the likelihood that self-man- agement will be effective. However, using a more comprehensive method could undermine a primary benefit of a self-management initiative: ease of implementation. This is perhaps one reason why there seems to be a general consensus among authors (e.g., Burg et al., 1979; Burgio et al., 1983; Hickman & Geller, 2005; Olson & Austin, 2001; Olson & Winchester, 2008; Rose & Ludwig, 2009) that further research is needed that investigates the differential effects of each component within a self-management program.

Olson and Winchester (2008) conducted a systematic review of the self- monitoring literature within the workplace. Findings indicated that safety interventions that included self-monitoring produced substantial behavior change. Additionally, a self-monitoring approach can be used to address various topics specifically in the area of occupational health. Results supported the integration of self-monitoring in workplace interventions. However, find- ings also indicated insufficient research that examines specific components of a self-monitoring package in combination with other interventions as well as self-monitoring in isolation.

While many variables have been examined in combination (Burg et al., 1979; Burgio et al., 1983; Christian & Poling, 1997; Crawley et al., 1982; Gaetani et al., 1983; Godat & Brigham, 1999; Gravina et al., 2013; Latner & Wilson, 2002; McCann & Sulzer-Azaroff, 1996; Richman et al., 1988; Rose & Ludwig, 2009), there is a paucity of research that isolates the effects of each variable (Gravina et al., 2008) as well as various behaviors or conditions under which different components and combinations would be most effective. Rose and Ludwig (2009) implemented a combined intervention that involved task clarification and graphing to increase closing tasks completed by lifeguards at a swimming pool facility. The most substantial improvements were observed in tasks that were confined to a smaller space and more clearly defined, such as vacuuming. Fewer improvements were seen in less clearly defined tasks that were spread out over a larger area within the facility (e.g., pool deck main- tenance). Similarly, when assessing self-monitoring, Gravina et al. (2008) noted the most substantial improvements in behaviors that were discrete versus continuous.

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Considering the lab technician, given that glove changing is discrete, self- monitoring may be enough to increase it to desired levels provided the recording device and gloves were placed in a convenient location, the gloves fit properly, and value training was also delivered prior to the start of self- monitoring. If effects were not observed or did not maintain, the next step might be to set a goal and have her graph her performance and submit the graph to her supervisor. Self-administered incentives could also be added if turning in the graph to her supervisor was insufficient. If she still failed to reach the goal, the supervisor could provide feedback to supplement the self- management components. There are a variety of techniques one could imple- ment to address the behavior in this example. A simple or robust package should be applied as necessary. Further research is needed on value building as well as research that examines the effects of self-management procedures across a wide range of behavior classes. This could increase one’s ability to effectively tailor a self-management program to achieve desired results for a specific behavior of interest with the fewest resources.

Conclusion

Self-management can be a cost-effective approach that has proven effective in many areas. Its versatility makes it appealing to many professions and an ideal choice in OBM. The ability to manage one’s own behavior does not have to be left to chance. It can be achieved by following the appropriate process and applying self-management techniques. One last time let’s consider the lab technician’s behavior. I can perhaps still vaguely recall the experience decades later, given that her behavior seemed so unusual. Only years later, after gaining expertise in human behavior, would I come to learn that the technician’s behavior was not random or “lazy” and could have been predicted and even managed. Her life and the life of her patients did not need to be put at risk. Furthermore, her behavior did not have to be controlled by another individual to ensure it aligned with safety standards. She could be taught to manage her own behavior through a science of behavior and a process referred to as “self- management.”

Disclosure statement

No potential conflict of interest was reported by the author(s).

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