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Conflicts between Parents & Children in Arab Society

In context of

Emotional Security Theory by Patrick T. Davies and Cummings EM


  1. Introduction
  2. Emotional Security Theory by Patrick T. Davies and Cummings EM
    1. Hypothesis
    1. Conclusion
  3. The Affects of Parental conflict on the Children Behavior
  4. Understanding of Family System
  5. Theoretical Perspective of Family as a System
    1. Functionalism
    1. Symbolic Interaction
    1. Conflict theory
    1. Supporting Content
  6. Social functions of the Family
  7. Arab Family System
  8. The changing Arab Family
    1. Factors causing the changes in Arab Family
  9. Conflicts between Parents & Children
  10. Conflict resolution
  11. Solution to Conflict between societies
    1. Symbolic interaction theories supporting conflict resolution
    1. Aligning with sociological focus
  12. Conclusion
  13. References

Arévalo-Flechas, L. C. (2014). Latino Alzheimer’s caregivers: what is important to them? Journal of Managerial Psychology , 29 (6), 661-684.

Bensi, L., Giusberti, F., Raffaella Nori, R., & Gambetti, E. (2010). Individual differences and reasoning: A study on personality traits. British Journal of Psychology , 101 (3), 545-562.

Crossman, A. (2012). Charles Horton Cooley. Retrieved april 20, 2015, from

Davies, P. T., & Cummings, E. M. (2009). Constructive and destructive marital conflict, emotional security and children’s prosocial behavior. J Child Psychol Psychiatry , 50 (3), 270–279.

Davis, D. (2003). Auguste Comte: Theories & Contributions to Sociology. Retrieved april 20, 2015, from

Edmonds, L. (2015, january 6). The Seasons of Life. Retrieved May 6, 2015, from

Hergenhahn, B. R. (2013). An Introduction to the History of Psychology. Cengage Learning.

Robert Sedgwick. (2001, november 1). Education in Saudi Arabia. Retrieved october 12, 2015, from (2011). The School System in Saudi Arabia. Retrieved october 12, 2015, from

SmileySammy. (2011, may 7). Positive and Negative Deviance. Retrieved april 20, 2015, from

Workman, L. (2014). Evolutionary Psychology. Cambridge University Press.

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the “Snoopy” cartoon

  1. Reference the “Snoopy” cartoon above.
    1. State the null and alternative hypothesis that Charlie Brown should make re: the above Situation. Hint: Cast this in terms of a “research hypothesis”, and specifically, reference frame 4, 5 and 9.

Null Hypothesis: Involuntary Muscle Spasm at the same moment of kicking the ball could not occur.

Alternate Hypothesis: Involuntary Muscle Spasm at the same moment of kicking the ball could occur.

The hypothesis was derived by the reference frames 4,5 and 9 these frames in the cartoon state the key element that is under research and null hypothesis is obviously a denial of the fact that is under investigation.

  • Differentiate between Type I and Type II errors.

The Type I error is the wrong rejection of a null hypothesis. In this case if the snoopy cartoon depicts that involuntary muscle spasm could occur, when it cannot, is a type I error.

Type II error is reverse of Type I error. If Snoopy accepts that the muscle spasm cannot occur, when it can, is a type II error. In short type II error is a research process where a null hypothesis has to be rejected but, is not.

  • What type of error, of any, did Charlie Brown make? Explain your answer.

Charlie Brown made a type II error, as heaccepted the null hypothesis of the nonoccurrence of the involuntary muscle spasm at moment of the kick so he tried to kick the ball.

  • Explain in common English what you mean when you say 99% confidence interval

Confidence Interval is the trust of data in accordance with the prospects of research being conducted. 99% confidence interval indicates that the data is to be tested if it is 99% aligned with the research and its flow.

  • Since it is possible to test statistical hypothesis with any size sample, explain why a researcher would prefer larger sample size?

A larger sample size denotes that it is easier to apply the research to the overall area of analysis.

  • Usesimple plain English to define and distinguish between the following:
    • P-Value and Alpha-Value:

The data is tested via p value value is for the variables, in short, and Alpha Value is for the questionnaire or the tool used for measuring it.

  • Standard deviation and standard error of the mean:

Standard deviation tells the ability of the sample to change and standard error shows that if the calculation of means is correct.

  • You are confronted with a set of data on the blood cell count change of patients treated with new drug. You wish to statistically evaluate whether the drug has caused a significant change in cell count. What all you must do before actually doing the evaluation? (list proper sequence the specific steps you must take before conducting the statistical test to evaluate the hypothesis). (NOTE: you might want to mention the use of alpha, beta, and P-values).

Step1: A method should be devised for this evaluation. Including development of hypothesis and test mechanism.

Step2: Test study should be conducted in order to verify the tools (Alpha Value)

Step3: A proper study with a representative sample should be conducted.

Step4: Results should be regressed in such a way that New Drug usage is the independent variable and blood cell count is the dependent variable.

Step5: Significance should be tested and alpha and beta should be analyzed. Significance is the basis of acceptance or rejection of null hypothesis. Alpha denotes the blood count independent of drug and beta denotes the relationship between drug usage and blood count. If beta is positive, this indicates that with drug usage blood count increases and if it is negative, this indicates that the drug usage reduces the blood cells in a human body.

  • A nutrition researcher believed that the mean protein intake of students on campus was at least 65 grams/day. One hundred randomly chosen individuals kept 21-day diet record, and their average daily protein intake (in grams) was recorded. The mean intake was 61.9 (+or-) 15.9 grams/day.       
    • Formulate an appropriate null and alternative hypothesis relative to the information presented. Explain you rational for your response

H0: The Mean nutrition intake of the sample is not the same as that of the campus

H1: The Mean nutrition intake of the sample and the population is the same.

The rationale behind this hypothesis is that if the null hypothesis is rejected it can be concluded that the sample represents the population and if it is not there that null hypothesis would be rejected

  • A Mean of five picocuries/liter or below is considered a safe level of radioactivity in drinking water. Ten Samples of drinking water were collected from a reservoir near a nuclear power plant in order to monitor radioactivity levels. The following measurements were recorded (in picocuries/liter):

5.2, 4.7, 6.1, 4.1, 5.5, 4.5, 5.1, 6.0, 5.3, 4.9. The mean of this sample is 5.14± 0.629 picocuries/liter.

  1. Compute a 95% confidence interval for the population mean. Express your results as upper limit and lower limit ± CI. Show all your work.
Mean 5.14
SD 0.629285
Upper Limit 5.769285
Lower Limit 4.510715

Confidence of interval

Mean = 5.14

SD     = 0.63

Standard error = 0.63/ √ 10

                        = 0.63/3.16

                        = 0.1994

Margin of error = S.D* 2

                          = 0.63*2

                          = 1.26

Confidence interval = 5.14+1.26, 5.14-1.26

                                 = 6.4 to 3.88

  • On the basis of these results, can it be concluded that the levels of radioactivity in the drinking supply are unsafe? State clearly your assumption(s) as well as the appropriate null and alternative hypotheses.

The above results show that the sample’s upper and lower limit lie outside the accepted water levels for the region. Therefore, hypotheses are as follows

H0: The Drinking water in the lake is not safe for drinking.

H1: The Drinking water in the lake is safe for drinking.

In this case null hypothesis is accepted due to the above given facts.
Sampling was not random as all the trees were selected from the selected geographic area. This can also be seen that the potential trees are the whole lot of them.

  • Identify whether the following variables are numerical or categorical. If numerical, state whether the variable is discrete or continuous. If categorical, state whether the variable is nominal or ordinal.
  Numerical Scale Categorical State
  Discrete Continuous Nominal Ordinal
Number of Sexual Partners in a year by college students        
Petal Area of Rose Flowers        
Key on the musical scale        
Heart beats per minute of Tour de France Cyclists        
Stage of Fruit ripeness (under ripe, ripe, over ripe)        
Angle of flower orientation relative to position of sun        
Letter grade on high school report card        
Tree Species        
Year of Birth        
  • The Average age of pinon Juniper trees in the coastal region of California was investigated by placing a 10-hectare plot randomly on a distribution map of the tree in California using a computer. Researchers then record the location of the random plot, found it in the field, and flagged it using compass and measuring tape. They then proceeded to measure the age of every pinon juniper tree within the 10-hectare plot. The average age within the plot was used to estimate the average age of the whole California Population
    • What is the population of interest in this study?

The population of interest in this study is the California Population of Pinon Juniper trees.

  • Were the trees sampled randomly from this population? Why or Why not?

No this was not completely random sampling though this did select a 10 hectare plot randomly by the trees in that region do not necessarily depict the whole lot of population, in fact this does not proclaim to be the ultimate random sample.

  1. Can environmental factors influence the incidence of Schizophrenia? A recent project measured incidence of the disease among children born in a region of eastern China. 192 of 13,748 babies born in the midst of a severe famine in the region in 1960 later developed schizophrenia. This compared with 483 schizophrenics out of 59088 births in 1956, before the famine, and 695 out of 83,536 births in 1965, after the famine (St Claire et al. (2005)).
    1. What two variables are compared in this example?

The variables compared in this example are births during famine and development of schizophrenia.

  • Are the variables numerical or categorical? If numerical, are they continuous or discrete; if categorical are they nominal or ordinal?

The variable of births during famine, is discrete variable in the numerical category and the variable of development of schizophrenia is nominal in the categorical variable.

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This project will give students the opportunity to present the benefits of a Risk Management Plan to a board of directors of a fictitious company. 

Learning Objectives and Outcomes

The objective of the project is for students to understand the benefits of risk management planning, then aggregate and summarize those benefits and be able to present them in a business setting. 

The following tools and resources that will be needed to complete this project:

  • Course textbook
  • Internet access for research
  • Microsoft Powerpoint


As discussed in this course, risk management is an important process for all organizations. The project activities will produce:

1. Powerpoint presentation of bulletized benefits of Risk Management assessment.

2. Slide notes that would serve as talking points for the presentation.

Submission Requirements

All project submissions should follow this format:

  • Presentation      slides are to be created in Microsoft Powerpoint. Presentations should      include:
  • A Title Slide that includes your name, date, the course ID       (ISOL533), and “Fall 2017 IIG”
  • 6-10 slides of content that meet the requirements listed below
  • Slide      Notes should be included with each slide as talking points. Slide notes      can be either added to the note tab of each slide in Powerpoint OR you can      create the slide notes in a separate Word document. For each slide, the      slide notes should be between 250-400 WORDS PER SLIDE.
  • Bibliography      Page(s) that lists references for your research citations in APA      format. Books, journals, news articles, websites that are valid      sources, and other digital media are acceptable.
  • Suggestions      for good presentation work:
  • Content from WIKIPEDIA and other second sources is NOT acceptable.       If you must use Wikipedia content, drill down into the references for       that Wiki page and find the original sources
  • Make sure your slides are neat and orderly. Do not clutter the       slide with excessive text. The lengthy text (250-400 words) should be in       the slide notes, not on the slide. Use business fonts such as Arial,       Helvetica, or Times Roman. Do NOT use entertainment fonts such as MS       Comic Sans or Papyrus.
  • Use normal bullets or numbers. Do not distract from the content with       unusual graphics or artwork. If you are including charts or graphs, be       sure they a simple and easily readable.
  • Keep to standard Microsoft business color themes in PowerPoint if       you wish to dress up the presentation with some color. Theme usage and       font colors should be professional and not distracting or tacky. 
  • Do not litter the presentation with a lot of excessive slide       animation. A fade in or slide in for slide transitions is ok. If       used, animation should be subtle and tasteful. Slide animation adds no       value to the content (and will not earn you a better grade). No spinning       text please! 


The following scenario sets the stage for your class project. All of the businesses mentioned are fictitious and do not exist (the homes, however, are actually for sale).

You are a risk management consultant working for FRMC, Inc., a firm that provides risk management advice, guidance, and financial audit services to new companies establishing themselves in the financial business sector. A small group of investment and mortgage experts from NYC have incorporated themselves into a new mortgage lending company called East End Loan, Inc. Their primary market focus is the small, sleepy, ocean-front village of Amagansett, NY just east of Southampton on Long Island’s wealthy and trendy south shore.

Following an economic recovery from the financial crash of 2008 and a resurgence of home construction and repair after Superstorm Sandy, the Long Island east-end real estate market has been on the rise. East End Loan, Inc has enjoyed dramatic growth and now has 450 employees. They maintain an extensive IT infrastructure which stores all of their financial lending information as well as critical residential deed, section, block, and lot information in their real estate portfolio which includes many of These Homes.

Now that the company is growing, the CEO and CFO from East End Loan have invited your company to visit them and discuss aspects of Risk Management that they have not implemented yet. Your job is to create a PowerPoint presentation that highlights the best practices of Risk Management.


Create a PowerPoint presentation of 6-10 slides. When dealing with C-suite executives, you typically have 30 minutes or less to pitch a proposal presentation – about 6-10 slides maximum. Do NOT exceed 10 slides of content. Extra slides will not earn you a better grade and the extra length makes it harder for me to review. The title slide and bibliography information are in addition to the primary slides. Build your 6-10 slides of Risk Management information first, then add on the title slide and the bibliography text.

Your presentation should include:

· Introduce risk management basics to the executives at a high level. How would you describe risk management to a group of people in terms that are simple to understand? (Use Chapter 1 and Lab 1 for ideas). Bulletize the basics on the slide, then expand upon the information in the slide notes.

· Highlight common threats and vulnerabilities in IT systems. This is the “hook” or selling part of the presentation. When you mention corporate threats and vulnerabilities (the “bad stuff”) to executives, you will have their full, undivided attention. Research on the Internet 2 or 3 examples of corporate IT failures or compromises because of poor risk management. Examples can include theft of passwords, system failure from natural disasters, data theft from hacking, and other business disruptions highlighted reported by the news media. Examples do NOT have to be in real estate, but should be within the last 5 years. Again, bulletize the threats/vulnerabilities on the slide, then expand upon in the slide notes. Don’t forget to cite your sources on the bibliography page. 

· Touch upon some of the COBIT P09 risk management controls (refer to Lab 2 for help). Then outline to the executives what a formal Risk Management Plan might look like. You can refer to Lab 3 for help and research example Risk Management Plans or plan templates on the Internet. Don’t forget to cite your sources on the bibliography page. If you actually won this job for work, you would be providing a formal Risk Management Plan as the final delivery. So, the executives will want to see a summary outline of what the Plan would contain.

· Explain risk assessment in general. Executives typically do not concern themselves with working details so skip over quantitative risk analysis. However, at a minimum you must touch upon:

o Qualitative risk analysis

o Threat/vulnerability pairing

o Procedural, technical, and physical controls

o Best practices for risk assessments.

Much of this information can be found in Chapter 6 of the text. 

· The last of the 6-10 slides should sell your company and the services it provides. NOTE: it is important to not get caught up in the homes for sale – that is not part of the presentation. You are selling risk management consulting services. Stay on track with that task.

Rubric for grading:

Weights awarded: 

100% of points listed on items below – well developed content, well written

85% – meets requirements

70% – bare minimum, weakly written, or partially complete

0% – item below is missing

· Student described risk management basics (6 points)

· Student highlighted common threats and vulnerabilities in IT systems (8 points) 

· Student included 2 or 3 examples of corporate IT failures or compromises because of poor risk management (8 points) 

· Student examples were within the last 5 years (3 points)

· Student included information on COBIT P09 risk management controls (8 points)

· Student explained the basics of the risk assessment process (8 points)

· Student included qualitative risk analysis information (8 points)

· Student included Threat/vulnerability pairing information (8 points)

· Student included Procedural, technical, and physical controls information (8 points)

· Student included Best practices for risk assessments information (10 points)

· Student provided a closing slide of company services (2 points)

· Student included adequate slide notes of 250-400 words per slide (15 points)

· Student included a proper APA formatted bibliography of references (8 points)

TOTAL = 100 points. 

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which of the following statements is true regarding a virtual organization?

Question 1

  1. Which of the following statements is true regarding Wireshark?
[removed]Wireshark is probably the most widely used packet capture and analysis software in the world.
[removed]The expense of Wireshark makes it cost-prohibitive for most organizations.
[removed]Compared to similar commercial products, Wireshark has the most sophisticated diagnostic tools.
[removed]Wireshark saves frame details in a format that is incompatible and unusable by other software tools.

5 points  

Question 2

  1. The main screen of Wireshark includes several shortcuts. Which shortcut category displays a list of the network interfaces, or machines, that Wireshark has identified, and from which packets can be captured and analyzed?
[removed]Capture Help

5 points  

Question 3

  1. Which of the following enables Wireshark to capture packets destined to any host on the same subnet or virtual LAN (VLAN)?
[removed]Capture Help
[removed]Host mode
[removed]Subnet mode
[removed]Promiscuous mode

5 points  

Question 4

  1. The top pane of the Wireshark window, referred to as the __________, contains all of the packets that Wireshark has captured, in time order, and provides a summary of the contents of the packet in a format close to English.
[removed]byte summary
[removed]byte data
[removed]frame detail
[removed]frame summary

5 points  

Question 5

  1. The middle pane of the Wireshark window, referred to as the __________, is used to display the packet structure and contents of fields within the packet.
[removed]byte summary
[removed]byte data
[removed]frame detail
[removed]frame summary

5 points  

Question 6

  1. The bottom pane of the Wireshark window, referred to as the __________, displays all of the information in the packet in hexadecimal and in decimalwhen possible.
[removed]byte summary
[removed]byte data
[removed]frame detail
[removed]frame summary

5 points  

Question 7

  1. Wireshark can be used in a variety of ways, however the most common configuration for Wireshark, and the configuration that you ran in the lab, has the software running:
[removed]in a peer-to-peer configuration.
[removed]from a probe or hub.
[removed]on a local area network.
[removed]on a local host.

5 points  

Question 8

  1. In the simplest terms, Wireshark is used to capture all packets:
[removed]from a computer workstation to the Wireshark application window.
[removed]to and from a computer workstation and the Wireshark application window.
[removed]to and from a computer workstation and the server.
[removed]to and from the Wireshark Network Analyzer and the Capture section of the Wireshark application window.

5 points  

Question 9

  1. Which of the following statements is true regarding how Wireshark works?
[removed]Where packets are captured and how they are captured does not have any impact on how the packets are analyzed.
[removed]By running the Wireshark software on the same computer that generates the packets, the capture is specific to that machine.
[removed]Wireshark has no impact on the operation of the machine itself or its applications.
[removed]No timing information is provided when using a network probe or hub device, or the capture port of a LAN switch.

5 points  

Question 10

  1. Which of the following statements is true regarding how Wireshark handles time?
[removed]Clock time may or may not be the same as the system time of the device or devices used to run Wireshark and capture packets.
[removed]The timestamp used by Wireshark is the current local time in the time zone where the machine resides.
[removed]Any discrepancies regarding time are insignificant when capturing packets from high-speed interfaces.
[removed]In order to overcome time zone mismatches, a common best practice is to use the Eastern Time Zone.

5 points  

Question 11

  1. When examining a frame header, a difference between bytes on the wire and bytes captured can indicate that:
[removed]all packets are being captured effectively.
[removed]partial or malformed packets might be captured.
[removed]the interface speed is low and the computer cannot keep up with Wireshark.
[removed]the computer is infected with some form of malware.

5 points  

Question 12

  1. In the lab, the Ethernet II detail of the provided packet capture file indicated that Wireshark had determined that the __________ was Intel Core hardware.
[removed]frame type
[removed]type of traffic carried in the next layer

5 points  

Question 13

  1. In the lab, the Ethernet II detail of the provided packet capture file indicated that Wireshark had determined that the __________ was Internet Protocol (IP).
[removed]frame type
[removed]type of traffic carried in the next layer

5 points  

Question 14

  1. In the lab, the Ethernet II detail of the provided packet capture file indicated that Wireshark had determined that the __________ was IPv4 multicast.
[removed]frame type
[removed]type of traffic carried in the next layer

5 points  

Question 15

  1. The __________ IP address is the IP address of the local IP host (workstation) from which Wireshark captures packets.

5 points  

Question 16

  1. Which of the following statements is true regarding filtering packets in Wireshark?
[removed]Filters are not a particularly useful tool in Wireshark.
[removed]Filters allow a complex set of criteria to be applied to the captured packets and only the result is displayed.
[removed]Filter expressions must be built with the Filter Edit dialog window and cannot be typed directly into the Filter field.
[removed]Once packets have been filtered, they are lost and cannot be restored.

5 points  

Question 17

  1. Selecting a TCP flow in the Flow Graph Analysis tool tells Wireshark that you wanted to see all of the elements in a TCP three-way handshake, which are:
[removed]SYN, SYN-ACK, and ACK.
[removed]SYN, ACK-SYN, and PSH.
[removed]ACK, ACK-PSH, and PSH-ACK.
[removed]PSH-ACK, ACK, and PSH-ACK.

5 points  

Question 18

  1. In the center pane of the __________, the direction of each arrow indicates the direction of the TCP traffic, and the length of the arrow indicates between which two addresses the interaction is taking place.
[removed]Wireshark frame header
[removed]Flow Graph Analysis results
[removed]Frame Summary pane
[removed]Ethernet II frame detail

5 points  

Question 19

  1. Within the frame detail pane, what does it mean when the DNS Flags detail specifies that recursion is desired?
[removed]DNS will continue to query higher level DNSs until it is able to resolve the address.
[removed]DNS will continue to query lower level DNSs until it is able to resolve the address.
[removed]DNS will discontinue querying other DNSs in attempts to resolve the address.
[removed]DNS will be guaranteed show the response “No such name.”

5 points  

Question 20

  1. Within the frame detail pane, the DNS Flags detail response to the query for was “No such name,” indicating that the:
[removed] domain never existed.
[removed] domain existed at one time but no longer exists.
[removed] is not known to any of the Domain Name Servers that were searched.
[removed]search was ineffective or unsuccessful.

Question 1

  1. Which of the following statements is true?
[removed]The Wireshark protocol analyzer has limited capabilities and is not considered multi-faceted.
[removed]Wireshark is used to find anomalies in network traffic as well as to troubleshoot application performance issues.
[removed]Both Wireshark and NetWitness Investigator are expensive tools that are cost-prohibitive for most organizations.
[removed]NetWitness Investigator is available at no charge while Wireshark is a commercial product.

5 points  

Question 2

  1. Wireshark capture files, like the DemoCapturepcap file found in this lab, have a __________ extension, which stands for packet capture, next generation.

5 points  

Question 3

  1. The Wireless Toolbar (View > Wireless Toolbar) is used only:
[removed]when using a pre-captured file.
[removed]when capturing live traffic.
[removed]when reviewing wireless traffic.
[removed]in a virtual lab environment.

5 points  

Question 4

  1. In the frame detail pane, which of the following was a field unique to wireless traffic, confirming that it is a wireless packet?
[removed]The Encapsulation type: Per-Packet Information header
[removed]The Arrival time: May 11, 2007 15:30:37 041165000 Pacific Daylight Time
[removed]The Capture Length: 181 bytes
[removed]The Epoch Time: 1178922637.041165000 seconds

5 points  

Question 5

  1. Which of the following tools provides information about the antennae signal strengths, noise ratios, and other antennae information during a captured transmission?
[removed]Windows Explorer

5 points  

Question 6

  1. Which of the following can be used to map who is able to communicate with whom, the measured strength of signals, and what frequencies are used, as well as be used for jamming certain frequencies and for determining which devices were likely used to set off remote bombs and Improvised Explosive Devices (IEDs)?
[removed]MAC+PHY (MAC and Physical Layer)
[removed]IEEE Layer
[removed]Flags fields
[removed]Quality of Service information

5 points  

Question 7

  1. In the IEEE 802.11 Quality of Service information and Flags fields, Wireshark displays information about the __________, which enables the network administrator to determine which Media Access Control (MAC) addresses match each of them.
[removed]antennae and signal strength
[removed]transmitters and receivers of the data
[removed]payload and frame information
[removed]Domain System and Internet Protocol version

5 points  

Question 8

  1. In the lab, Wireshark displayed the transmitter/receiver address in both full hexadecimal (00:14:a5:cd:74:7b) and a kind of shorthand, which was:
[removed]IEEE 802.11.

5 points  

Question 9

  1. Matching the __________ to their appropriate transmitter and receiver addresses can provide the needed forensic evidence of which devices are involved in a particular communication.
[removed]MAC addresses
[removed]IP addresses
[removed]brand names
[removed]IEEE numbers

5 points  

Question 10

  1. Which of the following statements is true regarding the fields displayed in Wireshark?
[removed]There are hundreds of fields of data available and there are many different ways to interpret them.
[removed]There are a few dozen fields of data available but there are many different ways to interpret them.
[removed]There are very few fields of data available and most administrators will interpret them in the same or a similar way.
[removed]Although there are very few fields of data available, most administrators will interpret them differently.

5 points  

Question 11

  1. Which of the following is a packet capture add-on that is frequently installed with Wireshark that enables the capture of more wireless information?

5 points  

Question 12

  1. Regardless of whether the packet is sent through the air or on a wire, the ultimate payload in an investigation is:
[removed]information regarding the transmitters and receivers of the data.
[removed]detail about the Internet Protocol version.
[removed]a Domain Name System query.
[removed]evidence of any suspicious activity.

5 points  

Question 13

  1. In the lab, the DNS query indicated an IP address of __________ for

5 points  

Question 14

  1. What is the actual Web host name to which is resolved?

5 points  

Question 15

  1. In order to use NetWitness Investigator to analyze the same packets that you analyzed with Wireshark, you first had to save the DemoCapturepcap.pcapng file in the older __________ format.

5 points  

Question 16

  1. Which of the following statements is true regarding NetWitness Investigator?
[removed]NetWitness Investigator is available for free so it is only used for some initial analysis.
[removed]NetWitness Investigator is often used only by skilled analysts for specific types of analysis.
[removed]Investigators with little training typically can capture needed information using NetWitness Investigator.
[removed]Wireshark provides a more in-depth, security-focused analysis than NetWitness Investigator.

5 points  

Question 17

  1. Which of the following statements is true regarding NetWitness Investigator reports?
[removed]NetWitness reports contain only low-level wireless information, such as command and control.
[removed]NetWitness reports do not provide the kind of sophisticated analysis that is found within Wireshark.
[removed]NetWitness and Wireshark both provide the same information but the two tools differ in how that information is displayed.
[removed]NetWitness is unable to provide information about the geographic location of the transmitter and receiver.

5 points  

Question 18

  1. Which of the following tools displays the MAC address and IP address information and enables them to be correlated for a given capture transmission?
[removed]NetWitness Investigator
[removed]Both Wireshark and NetWitness Investigator

5 points  

Question 19

  1. When you were using NetWitness Investigator in the lab, the Destination City report indicated that the Destination Organization of was recorded as:
[removed]Turin Polytechnic.
[removed]Politecnico de Tourino.
[removed]Republic of Italia.
[removed]Turin, Italy.

5 points  

Question 20

  1. Which of the following statements is true regarding the information in the Destination City report?
[removed]The Top Level Domain (TLD) “.it” belongs to Italy.
[removed]The Top Level Domain (TLD) “.it” is proofthat the Web site is physically located in Italy.
[removed]The Top Level Domain (TLD) was actually registered in the United States.
[removed]It indicates that it will be impossible to determine the actual physical location of the server.
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which of the following are characteristic of alphanumeric outlines?



Annotated Bibliography

Heba Elwahsh

Annotated Bibliography

Centre of Excellence Defense Against Terrorism. (2008). Organizational and Psychological Aspects of Terrorism. Amsterdam, Netherlands: IOS Press.

When it comes to the need to understand the psychological and nature of a terrorist, this books provides an in-depth understanding of what leads to terrorism and its causes. The source identifies the fact that terrorism is not a new phenomenon and it has been present as long as organized societies have been present. Nonetheless, the book tries to identify the environments that can be regarded as breeding grounds for terrorism. Furthermore, it identifies that terrorism is not singular but is diverse with various causes and types all promoted by either social, economic or political factor. Some factors such as globalization, rapid modernization, poverty, rapid deprivation, democracy, political representation, human rights and freedoms amongst other have been identified as the main triggers of terrorism. Overall, the authors of this source have not fully explored all the causes of terrorism but have covered significant psychological reasons and characteristics that can be attributed to various types of terrorism. It further states that terrorism is an action that has yet to be fully understood as the factors that result in it are too diverse.

Chaliand, G., & Blin, A. (2007). The History of Terrorism: From Antiquity to Al Qaeda. Oakland, California: University of California Press.

In this book, the authors identifies the fact that throughout history power has been acquired more often via terror which can be defined as the incitement of fear into the public. Most if not all authoritarian societies have been instituted by fear, resulting in the term “totalitarian regime” in the contemporary era. The authors furthermore identify the notion that the submission to such brutality and force has been humankind’s singular path towards achieving security and freedom. The book is not only based on the historical facts but also brings to light the nature of terrorism today and how little has changed. Even with the emergence of modern groups such as Al Qaeda and other Islamic factions, they operate on the same basis with the desire for power through the infliction of fear.

Guiora, A. N. (2011). Homeland Security: What Is It and Where Are We Going?Boca Raton, Florida: CRC Press.

This book analyses how the Homeland Security Agency has enacted several laws and policies to curb terrorism, ten years after the ill-fated 9/11 terror attack. It analyses if the country has become safer or it has merely moderated the public to a false sense of security. Nonetheless, the source provides the various perspectives available to a broad array of individuals present in the agency this is through interviews. Moreover, it analyzes the manner in which the agency prioritizes the limited resources allocated to it by the federal government. Furthermore, the other identifies to the readers the manner in which the agency lacks consensus when it comes to the definition of the agency and its function. Finally, it provides solutions to a wide number of dilemmas that the agency experiences ranging from internal to external forms of terror, the sharing of intelligence, immigration and business continuity amongst others. Overall, the text in the resource has been written in a manner that can be appropriate for both policymakers, the general public as well as academicians.

Sjoberg, L., & Gentry, C. E. (2011). Women, Gender, and Terrorism. Athens, Georgia: University of Georgia Press.

The authors of this book have identified that in the past decade or so, the number of women involved in terrorist activity has increased. The Book Women, Gender, and Terrorism try to explain the relationship that women have with terrorism. However, unlike most books concentrate on gender alone, this book ensures that it views the notion from almost all terror-affiliated perspectives. These include race, gender, politics, and dynamics of the various cultures in the modern society. From the authors, they identify the statistic that it has been a rare occurrence to hear or witness women participating in terror activities. However, with the welcoming of the new millennium, the number of women in terror activities has been on the increase. The first chapter identifies of how women in various locations that have been involved in various terror activities. Also provided is an overview of the relationship that has been formed between women and terror groups as well as historical evidence of their participation.


Centre of Excellence Defense Against Terrorism. (2008). Organizational and Psychological Aspects of Terrorism. Amsterdam, Netherlands: IOS Press.

Chaliand, G., & Blin, A. (2007). The History of Terrorism: From Antiquity to Al Qaeda. Oakland, California: University of California Press.

Guiora, A. N. (2011). Homeland Security: What Is It and Where Are We Going?Boca Raton, Florida: CRC Press.

Sjoberg, L., & Gentry, C. E. (2011). Women, Gender, and Terrorism. Athens, Georgia: University of Georgia Press.

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a capacity cushion is the amount of capacity less than expected demand.

Capacity Planning

Chapter outline

12.1 Facilities decisions

12.2 Facilities strategy

12.3 Sales and operations planning definition

12.4 Cross-functional nature of S&OP

12.5 Planning options

12.6 Basic aggregate planning strategies

12.7 Aggregate planning costs

12.8 Aggregate planning example

12.9 Key points and terms

In this chapter, we discuss capacity decisions related to carrying out the produc- tion of goods and services. Firms make capacity planning decisions that are long range, medium range, and short range in nature. These decisions follow naturally from supply chain decisions that already have been made and forecasting infor- mation as an input.

Capacity decisions must be aligned with the operations strategy of a firm. The operations strategy provides a road map that is used in making supply chain deci- sions to create a network of organizations whose work and output are used to satisfy customers’ product and service needs. Capacity decisions are based on forecasted estimates of future demand. For example, operations and marketing collaborate to develop a forecast for demand for resort spa services before the re- sort makes capacity planning decisions regarding the appropriate facility and staff sizes for the spa.

As was discussed in the previous chapter, long-range decisions are concerned with facilities and process selection, which typically extend about one or more years into the future. The first part of this chapter describes facilities decisions and a strategic approach to making them. In this chapter we also deal with medium- range aggregate planning, which extends from six months to a year or two into the future. The next chapter discusses short-range capacity decisions of less than six months regarding the scheduling of available resources to meet demand.

Facilities, aggregate planning, and scheduling form a hierarchy of capacity deci- sions about the planning of operations extending from long, to medium, to short range in nature. First, facility planning decisions are long term in nature, made to


286 Part Four Capacity and Scheduling

FIGURE 12.1 Hierarchy of capacity decisions.



.. 6 12

Months Planning Horizon

18 24

obtain physical capacity that must be planned, developed, and constructed bef011! its intended use. Then, aggregate planning determines the workforce level and p:ro– duction output level for the medium term within the facility capacity available Finally, scheduling consists of short-term decisions that are constrained by aggregall! planning and allocates the available capacity by assigning it to specific activities.

This hierarchy of capacity decisions is shown in Figure 12.1. Notice that the deci- sions proceed from the top down and that there are feedback loops from the b~ tom up. Thus, scheduling decisions often indicate a need for revised aggrega~ planning, and aggregate planning also may uncover facility needs.

We define capacity (sometimes referred to as peak capacity) as the maximum output that can be produced over a specific period of time, such as a day, week, or year. Capacity can be measured in terms of output measures such as number ot units produced, tons produced, and number of customers served over a specified period. It also can be measured by physical asset availability, such as the number of hotel rooms available, or labor availability, for example, the labor available fO£ consulting or accounting services.

Estimating capacity depends on reasonable assumptions about facilities, equip- ment, and workforce availability for one, two, or three shifts as well as the operat- ing days per week or per year. If we assume two eight-hour shifts are available for five days per week all year, the capacity of a facility is 16 X 5 = 80 hours per week and 80 X 52 = 4160 hours per year. However, if the facility is staffed for only one shift, these capacity estimates must be halved. Facility capacity is not available un- less there is a workforce in place to operate it.

Utilization is the relationship between actual output and capacity and is de- fined by the following formula:

Actual output Utilization = C . X 100%


The utilization of capacity is a useful measure for estimating how busy a facility is or the proportion of total capacity being used . It is almost never reasonable to plan for 100 percent utilization since spare (slack) capacity is needed for planned and unplanned events. Planned events may include required maintenance or equipment replacement, and unpla1med events could be a late delivery from a supplier or unexpected demand.

Chapter 12 Capacity Planning 287

Operations Leader Bridge Collapse Illustrates Need for Emergency Capacity

The I-35W Mississippi River bridge near downtown Mi nneapolis and the University of Minnesota col- lapsed during the evening rush hour on August 1, 2007. Seventy-five city, county, state, and federal agencies were involved in the rescue effort. Such cata- strophic events illustrate the necessity for capacity availability in emergency services.

The Minneapolis police and fire departments were among the first responders to the disaster, and while they generally have excess capacity, utilization of

those services was temporarily pushed to the maxi- mum. Suburban police and fire units, with their own available capacity, were brought in to handle other demands for those services that were unre- lated to the bridge collapse.

While a majority of injured victims were treated at Hennepin County Medical Center, nine other area hospitals also treated victims. Such collaboration among hospital emergency departments is necessary during large disasters as no single hospital has enough capacity to absorb these demand spikes.

The excellent working relationships among agencies that had developed through joint train- ing, planning, and previous emergency incidents were cited as one of the primary reasons that re- sponse and recovery operations went smoothly. As one rescue leader commented, “We didn’t view it as a Minneapolis incident; it was a city/county/state incident.”

Source: Adapted from information compiled from several sources, including “I-35W Mississippi River Bridge,”, 2009.

Utilization rates vary widely by industry and firm. Continuous flow processes may have utilization near 100 percent. Facilities with assembly-line processes may set planned utilization at 80 percent to allow for flexibility to meet unexpected demand. Batch and job shop processes generally have even lower utilization. Emergency services such as police, fire, and emergency medical care often have fairly low utilization, in part so that they can meet the demands placed on them during catastrophic events. The Operations Leader box tells the story of the Inter- state 35W bridge collapse in Minneapolis, Minnesota, as an example of the need for capacity from a variety of organizations during emergencies.

It is possible in the short term for a firm to operate above 100 percent utilization. Overtime or an increased work-flow rate can be used in the short term to meet highly variable or seasonal demand. Mail and package delivery services often use these means to increase work output before major holidays. However, firms cannot sustain this rapid rate of work for more than a short period. Worker burnout, de- layed equipment maintenance, and increased costs make it undesirable to operate at very high utilization over the medium or long term for most firms.

In addition to the theoretical peak capacity, there is an effective capacity that is obtained by subtracting downtime for maintenance, shift breaks, schedule changes, absenteeism, and other activities that decrease the capacity available. The effective capacity, then, is the amount of capacity that can be used in planning for actual facility output over a period of time. To estimate effective capacity for the previously described two-shift facility, we must subtract hours for planned and unforeseen events.

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288 Part Four Capacity and Scheduling


“OM: Featuring St. Alexius

Medical Center,” Vol. X

Facilities decisions, the longest-term capacity planning decisions, are of gm1 importance to a firm. These decisions place physical constraints on the amo.- that can be produced, and they often require significant capital investm~ Therefore, facilities decisions involve all organizational functions and often made at the highest corporate level, including top management and the b~ of directors.

Firms must decide whether to expand existing facilities or build new ones. _ we discuss the facilities strategy below, we will see there are trade-offs that mm be considered. Expanding current facilities may provide location conveniences current employees but may not be the best location in the long-run. Alternativell new facilities can be located near a larger potential workforce but require duplial- tion of activities such as maintenance and training.

When construction is required, the lead time for many facilities decisions r~ from one to five years. The one-year time frame generally involves buildings – equipment that can be constructed quickly or leased. The five-year time frame volves large and complex facilities such as oil refineries, paper mills, steel millll and electricity generating plants.

In facilities decisions, there are five crucial questions:

1. How much capacity is needed? 2. How large should each facility be? 3. When is the capacity needed? 4. Where should the facilities be located?

5. What types of facilities/ capacity are needed?

The questions of how much, how large, when, where, and what type can be s~ rated conceptually but are often intertwined in practice. As a result, facilities deci- sions are exceedingly complex and difficult to analyze.

In the next section, these five types of facilities decisions are considered in de- tail. We stress the notion of a facilities strategy, cross-functional decision ma:king and the relationship of facilities strategy to business strategy.


In Chapter 2 it was noted that a facilities strategy is one of the major parts of – operations strategy. Since major facilities decisions affect competitive success they need to be considered as part of the total operations strategy, not simply as a series of incremental capital-budgeting decisions. Supporting the operatioot strategy also applies to other major strategic decisions in operations regardind process design, the supply chain, and quality management, as we have already noted.

A facilities strategy considers the amount of capacity, the size of facilities, the timing of capacity changes, facilities locations, and the types of facilities needed for the long run. It must be coordinated with other functional areas due to the necessary investments (finance), market sizes that determine the amount ot capacity needed (marketing), workforce issues related to staffing new facilities (human resources), estimating costs in new facilities (accounting), and technology decisions regarding equipment investments (engineering). The facilities strategy

Amount of Capacity

FACILITIES STRATEGY. This Bacardi Rum factory supplies the entire North American market from a single modern automated distillery in Puerto Rico.

Chapter 12 Capacity Planning 289

needs to be considered in an integrated fashion with these functional areas and will be affected by the following factors:

1. Predicted demand. Formulating a facility strategy requires a forecast of de- mand; ·techniques for making these forecasts were considered in the previous chap- ter. Marketing often is involved in forecasting future demand.

2. Cost of facilities. Cost is driven by the amount of capacity added at one time, the timing, and the location of capacity. Accounting and finance are involved in estimating future costs and cash flows from facility strategies.

3. Likely behavior of competitors. An expected slow competitive response may lead the firm to add capacity to grab the market before competitors become strong. In contrast, an expected fast competitive response may cause the firm to be more cautious in expanding capacity.

4. Business strategy. The business strategy may dictate that a company put more emphasis on cost, service, or flexibility in facilities choices. For exam- ple, a business strategy to provide the best service can lead to facilities with some excess capacity or several market locations for fast service. Other busi- ness strategies can lead to cost minimization or attempts to maximize future flexibility.

5. International considerations. As markets and supply chains continue to be- come more global in nature, facilities often are located globally. This involves not merely chasing cheap labor but locating facilities for the best strategic ad- vantage, sometimes to access new markets or to obtain desired expertise in the workforce.

One part of a facilities strategy is the amount of capacity needed. This is deter- min~d both by forecasted demand and by a strategic decision by the firm about how much capacity to provide in relation to expected demand. This can best be described by the notion of a capacity cushion, which is defined as follows:

Capacity cushion = 100% – Utilization

The capacity cushion is the difference between the output that a firm could achieve and the real output that it produces to meet demand. Since capacity utilization reflects the output required to satisfy demand, a positive cushion means that there is more capacity available than is required to satisfy demand. Zero cushion means that the average demand equals the capacity available.

290 Part Four Capacity and Scheduling

Size of Facilities

The decision regarding a planned amount of cushion is strategic in na~ The capacity cushion should be planned into capacity decisions, as the cushiOIIC will affect service levels as well as the firm’s ability to respond to unexpectel situations.

Three strategies can be adopted with respect to the amount of capacity cushi• 1. Large cushion. In this strategy, a large positive capacity cushion, with ca-

pacity in excess of average demand, is planned. The firm intentionally has more capacity than the average demand forecast. This type of strategy is ap- propriate when there is an expanding market or when the cost of buildinfl and operating capacity is inexpensive relative to the cost of running out capacity. Electric utilities adopt this approach, since blackouts and brown– outs are generally not acceptable. Firms in growing markets may adopt a positive capacity cushion to enable them to capture market share ahead 01 their competitors. Also, a large cushion can help a firm meet unpredictabll customer demand, for example, for new technologies that very quickly be- come popular. Firms using a make-to-order process usually have a signifiJ cant capacity cushion.

2. Moderate cushion. In this strategy, the firm is more conservative with respect to capacity. Capacity is built to meet the average forecasted demand comfort- ably, with enough excess capacity to satisfy unexpected changes in demand as long as the changes are not hugely different from the forecast. This strategy is used when the cost (or consequences) of running out is approximately in bal- ance with the cost of excess capacity. •

3. Small cushion. In this strategy, a small or nearly zero capacity cushion is planned to maximize utilization. This strategy is appropriate when capacity is very expensive, relative to stockouts, as in the case of oil refineries, paper mills, and other capital-intensive industries. These facilities operate profitably only at very high utilization rates between 90 and 100 percent. While this strategy tends to maximize short-run earnings, it can be a disadvantage if competitors adopt larger capacity cushions. Competitors will be able to meet any demand in excess of a firm’s capacity. Make-to-stock processes are likely to plan a small capacity cushion using this strategy.

When planning the capacity cushion, firms assess the probability of various levels of demand and then use those estimates to make decisions about planned increases or decreases in capacity. For example, suppose a firm has capacity to produce 1200 units, SO percent probability of 1000 units of demand, and SO percent probability of 800 units of demand. Then average demand is estimated to be (.S X 1000) + (.S X 800) = 900 units. Producing 900 units results in a (900/ 1200) X 100% = 7S% utilization rate. Based on existing capacity, the cushion is (100% – 7S%) = 2S%.

The solved problems section at the end of the chapter provides an example of how to compute the capacity cushion by using probabilities of demand, existing levels of capacity, and costs of building capacity. This method provides a quantita- tive basis for estimating the amount of capacity cushion that may be required.

After deciding on the amount of capacity to be provided, a facilities strategy must address how large each unit of capacity should be. This is a question involving economies of scale, based on the notion that large facilities are generally more economical because fixed costs can be spread over more units of production.

FIGURE 12.2 Optimum facility size.

Timing of Facility Decisions

Unit Cost

Economies of scale

Facility Size (units produced per year)

Chapter 12 Capacity Planning 291

Economies of scale occur for two reasons. First, the cost of building and operating large production equipment does not increase linearly with volume. A machine with twice the output rate gener- ally costs less than twice as much to buy and operate. Also, in larger facilities the overhead related to manag- ers and staff can be spread

over more units of production. As a result, the unit cost of production falls as facil- ity size increases when scale economies are present, as shown in Figure 12.2.

This is a good news-bad news story, for along with economies of scale come diseconomies of scale. As a facility gets larger, diseconomies can occur for several reasons. First, logistics diseconomies are present. For example, in a manufacturing firm, one large facility incurs more transportation costs to deliver goods to mar- kets than do two smaller facilities that are closer to their markets. In a service firm, a larger facility may require more movement of customers or materials, for exam- ple, moving patients around a large hospital or moving mail through a regional sorting center. Diseconomies of scale also occur because coordination costs in- crease in large facilities. As more layers of staff and management are added to manage large facilities, costs can increase faster than output. Furthermore, costs related to complexity and confusion rise as more products or services are added to a single facility. For these reasons, the curve in Figure 12.2 rises on the right-hand side due to diseconomies of scale.

As Figure 12.2 indicates, there is a minimum unit cost for a certain facility size. This optimal facility size will depend on how high the fixed costs are and how rapidly diseconomies of scale occur. As an example, Hewlett-Packard tends to op- erate small plants of fewer than 300 workers, with relatively low fixed costs. This plant size helps Hewlett-Packard encourage innovation in its many small product lines. By contrast, IBM operates very large plants of 5000 to 10,000 workers. IBM plants tend to be highly automated, and they use a decentralized management ap- proach to minimize diseconomies of scale. Each firm seems to have an optimal facility size, depending on its cost structure, product/ service mix, and particular operations strategy, which may emphasize cost, delivery flexibility, or service. Cost is, after all, not the only factor that affects facility size.

Another element of facilities strategy is the timing of capacity additions. There are basically two opposite strategies here.

1. Preempt the competition. In this strategy, the firm leads by building capacity in advance of the needs· of the market. This strategy provides a positive capacity cushion and may actually stimulate the market while at the same time prevent- ing competition from coming in for a while. Apple Inc. used this strategy in the early days of the personal computer market. Apple built capacity in advance of demand and had a lion’s share of the market before competitors moved in. Apple still uses this strategy today in building massive capacity and invento- ries in advance of new product launches for the iPad and iPhone.

292 Part Four Capacity and Scheduling

Facility Location

“Wind Farm Capacity,” Vol. XVII

Types of Facilities

2. Wait and see. In this strategy, the firm waits to add capacity until demand develops and the need for more capacity is clear. As a result, the company lags market demand, using a lower-

·risk strategy. A small or negative capaci cushion can develop, and a loss of poten · market share may result. However, this stra~ egy can be effective because superior market- ing channels or technology can allow the follower to capture market share. For examplE;. in the 1980s, IBM followed the leader (Apple in the personal computer market but was able to take away market share because of its supe- rior brand image, size, and market presence. In

contrast, U.S. automobile companies followed the wait-and-see strategy, to their chagrin, for small autos. While U.S. automakers waited to see how demand for small cars would develop, Japanese manufacturers grabbed a dom- inant position in the U.S. small-car market.

Facility location decisions have become more complex as globalization has ex- panded the options for locating capacity and developing new markets. For example. Starbucks may choose to build facilities in regions with heavy coffee drinkers, com- peting for customers there. Alternatively, it may choose to locate facilities in regions where people typically do not consume coffee and attempt to create demand foc their product and service. Starbucks’s U.S. competitor Caribou Coffee goes to great lengths to find facilities locations on the right-hand side of the road of morning traf- fic, because customers are more likely to stop frequently when they can pull over on the right but are less willing to make cumbersome left-hand turns in heavy traffic!

Location decisions are made by considering both quantitative and qualitative fac- tors. Quantitative factors that affect the location decision may include return on in- vestment, net present value, transportation costs, taxes, and lead times for delivering goods and services. Qualitative factors can include language and norms, attitudes among workers and customers, and proximity to customers, suppliers, and competi- tors. Front office services in particular must often locate near customers for the customers’ convenience, and so this factor may trump most others in deciding where to locate new facilities. Examples include banks, grocery stores, and restaurants.

Firms often compare potential locations by weighting the importance of each factor that is relevant to the decision and then scoring each potential location on those factors. Then, multiplying the factor weight by the location score allows cal- culation of a weighted-average score for each site. This score provides insight on how well each potential site meets the needs of the firm and may be used to make the final facility location decision.

The final element in facility strategy considers the question of what the firm plans to accomplish in each facility. There are four different types of facilities:

1. Product-focused (55 percent)

2. Market-focused (30 p ercent) 3. Process-focused (10 percent) 4. General-purpose (5 p ercent)

Chapter 12 Capacity Planning 293

The figures in parentheses indicate the approximate percentages of companies in the Fortune 500 using each type of facility.

Product-focused facilities produce one family or type of product or service, usually for a large market. An example is the Andersen Window plant, which pro- duces various types of windows for the entire United States from a single product- focused plant. Product-focused plants often are used when transportation costs are low or economies of scale are high. This tends to centralize facilities into one location or a few locations. Other examples of product-focused facilities are large bank credit card processing operations and auto leasing companies that process leases for cars throughout the United States from a single site.

Market-focused facilities are located in the markets they serve. Many service facilities fall into this category since services generally cannot be transported. Plants that require quick customer response or customized products or that have high transportation costs tend to be market focused. For example, due to the bulky nature and high shipping costs of mattresses, most production plants are located in regional markets. International facilities also tend to be market focused because of tariffs, trade barriers, and potential currency fluctuations.

Process-focused facilities have one technology or at most two. These facilities frequently produce components or subassemblies that are supplied to other facili- ties for further processing. This is common in the auto industry, in which en- gine plants and transmission plants feed the final assembly plants. Process-focused plants such as oil refineries can make a wide variety of products within the given process technology.

Operations Leader Strategic Capacity Planning at BMW ‘

Mathematical optimization models (e.g., mixed linear programming) can be helpful in evaluating various ca- pacity strategies. Given a forecast of demand over the next several years, the models will determine the min- imum cost plan for meeting the demand.

An example from BMW helps explain this process. BMW used a 12-year future planning horizon to rep- resent the typical development and production life

cycle for new BMW designs. The mathematical model calculated the supply of finished products that should be produced by each plant to meet the forecasts in all global markets.

As a result, the model determined how much of each product should be produced in each plant over the next 12 years. All possible locations, amounts, and types of BMWs were considered by the mathe- matical model in arriving at the minimum cost plan.

This type of analysis is very helpful in setting overall capacity strategies for how much, how large, where, when, and what type. For example, the resulting strat- egy might be to use distributed production to pro- duce in each national market the amount sold there or a more centralized production and export strategy. Due to the many assumptions made, the models do not determine the final capacity strategy; however, they are very helpful in evaluating many different possibilities.

Source: Fleischmann B., Ferber S. and Henrich P., “Strategic planning of BMW’s Global Production Network,” Interfaces, 2006, 36(3): 194-208 ..

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294 Part Four Capacity arul Scheduling

General-purpose facilities may produce several types of products and sel’- vices, using several different processes. For example, general-purpose facilities a.rr used to manufacture furniture and to provide consumer banking and investmenll services. General-purpose facilities usually offer a great deal of flexibility in terms of the mix of products or services that are produced there. They sometimes are used by firms that do not have sufficient volume to justify more than one facili~ Larger firms often focus their faCilities according to product, market, or procesa using the focused factory approach described in Chapter 4.

We have shown how the facilities strategy can be developed by considerind questions of capacity, size of facilities, timing, location, and types of facilities. Mathematical optimization models can often be helpful in answering these five strategic questions as shown in the BMW Operations Leader box. We now shift from long-term facilities decisions to medium-term decisions regarding how capacity, once built, is used.


Sales and operations planning (S&OP) is a term used by many firms to describe the aggregate planning process. Aggregate planning is the activity of matching supply of output with demand over the medium time range. The time frame is between six months and two years into the future, or an average of about one year. The term ag- gregate implies that the planning is done for a single overall measure of output or at most a few aggregated product categories. The aim of S&OP is to set overall output levels in the medium-term future in the face of fluctuating or uncertain demand.

We use a broad definition of S&OP with the following characteristics:

1. A time horizon of about 12 months, with updating of the plan on a periodic basis, perhaps monthly.

2. An aggregate level of demand for one or a few categories of product. The de- mand is assumed to be fluctuating, unc~rtain, or seasonal.

3. The possibility of changing both supply and demand variables. 4. A variety of management objectives, which might include low inventories,

good labor relations, low costs, flexibility to increase future output levels, and good customer service.

5. Facilities that are considered fixed and cannot be expanded or reduced.

As a result of S&OP, decisions related to the workforce are made concerning hir- ing, laying off, overtime, and subcontracting. Decisions regarding production out- put and inventory levels are also made. S&OP is used not only to plan production output levels but also to determine the appropriate resource input mix to use. Since facilities are assumed to be fixed and cannot be expanded or contracted, manage- ment must consider how to use facilities and resources to best match market demand.

S&OP can involve plans to influence demand as well as supply. Factors such as pricing, advertising, and product mix may be considered in planning for the me- dium term. We will discuss these tactics more later in this chapter.

S&OP generally is done by product family, that is, a set of similar products or services that more or less share a production process, including the equipment and workforce needed to produce output. Usually no more than a few product

Chapter 12 Capacity Planning 295

Operations Leader S&OP for Household Cleaning Products

Reckitt Benckiser, with £9 billion in sales in 180 coun- tries, has some of the world’s most famous brands, in- cluding Vanish, Lysol, Calgon, and Airwick. In rapidly changing retail markets, rapid adjustments in produc- tion and sales are needed. Because Reckitt has over

500 products in its portfolio, an S&OP system was needed to coordinate its supply chain.

The S&OP system has been successful, allowing Reckitt Benckiser to capture 70 percent of grocery store sales from products that rank first or second in their categories. Its S&OP team consists of managers from marketing, sales, production, distribution, and R&D. Before S&OP, Reckitt Benckiser often used dif- ferent forecast numbers in different parts of the or- ganization. It is now able to manage its brands by “using one set of numbers,” says Ariston Banaag. The team meets regularly to review forecasts and update plans. The team uses software from Demand Solutions to track sales, forecasts, and plans for all its brands and products.

Source: Adapted from, 2009 and, 2012.

families are used for S&OP to limit the complexity of the planning process. Inconsistencies between supply and demand are resolved by revising the plan as conditions change.

S&OP matches supply and demand by using a cross-functional team ap- proach. The cross-functional team consisting of marketing, sales, engineering, human resources, operations, and finance meets with the general manager to agree on the sales forecast, the supply plan, and any steps needed to modify supply or demand. During the S&OP process, demand is decoupled from sup- ply. For each product family, the cross-functional team must decide whether to produce inventory, manage customer lead time, provide additional capacity (internal or external), or restrict demand. Once plans to manage demand and supply are in balance, however, the current plan may not agree with previous financial plans or human resources plans or budgets, which also may need to be modified.

The resulting sales and operations plan is updated approximately monthly, us- ing a 12-month or longer rolling planning horizon. At its best, S&OP reduces mis- alignment among functions by requiring a common plan to be implemented by all parties. Strong general manager leadership may be required to resolve any con- flicts that arise. Read the Operations Leader box to learn how S&OP is done for household cleaning products at Reckitt Benckiser.

Syngenta is a world leader in agribusiness products, with 19,000 employees in 90 countries. The highly seasonal agricultural market is difficult to forecast and experiences large demand shifts. Syngenta uses S&OP to create collaboration across functions and with its supply chain partners. Managers across several countries use the S&OP process and the supporting software to gain better agree- ment on forecasts, sales promotions, inventory levels, sales plans, and aggregate

296 Part Four Capacity and Scheduling

production plans. Real-time Web collaboration allows each business unit to y~ ticipate in the S&OP process to achieve targeted business goals.1

Since S&OP is a form of aggregate planning, it precedes detailed schedulioj which is covered in the next chapter. Scheduling serves to allocate the capa<4 made available by aggregate planning to specific jobs, activities, or orders.


Aggregate planning for how capacity will be used in the medium-term future the primary responsibility of the operations function. However, it requires cross- functional coordination and cooperation with all functions in the firm, includiolll accounting, finance, human resources, and marketing.

S&OP or aggregate planning is closely related to other business decisions in- volving, for example, budgeting, personnel, and marketing. The relationship budgeting is particularly strong. Most budgets are based on assumptions aboul aggregate output, personnel levels, inventory levels, purchasing levels, and forth. An aggregate plan thus should be the basis for initial budget developm~ and for budget revisions as conditions warrant.

Personnel, or human resource planning, is also greatly affected by S&OP be- cause such planning for future production can result in hiring, lay of, and overti:md decisions. In service industries, which cannot use inventory as a buffer againsl changing demand, aggregate planning is sometimes synonymous with budgetinG and personnel planning, particularly in labor-intensive services that rely heavily on the workforce to deliver services. •

Marketing must always be closely involved in S&OP because the future supplJI of output, and thus customer service, is being determined. Furthermore, coopera– tion between marketing and operations is required when both supply and de- mand variables are used to determine the best business approach to aggregate planning. The next section contains a detailed discussion of the options available to modify demand and supply for aggregate planning. This is followed by the development of specific strategies that can be used to plan aggregate output foc both manufacturing and service industries.

S&OP is not a stand-alone system. It is a key input into the enterprise resource planning (ERP) system, which is discussed in Chapter 16. ERP tracks all detailed transactions from orders to shipments to payments, but requires a high-level ag- gregate plan for future sales and operations as an input. When the S&OP process is used, various scenarios and assumptions can be tested by simulation to arrive at an agreed-upon plan that all functions will implement. The ERP system then ac- cepts as input the S&OP plan and projects the detailed transactions (shop orders, purchase orders, inventories, and payments) that are required to support the agreed plan. Figure 12.3 captures these inputs and outputs from an S&OP process.

In some firms, the S&OP process is broken or missing. Top management does not actively support or participate in the process. Accountability for S&OP is in- adequate or in conflict across functions. The firm’s information system may not support S&OP, and so the firm is not able to conduct important “what if” analy- sis. Also, S&OP plans may not be executed by all organizational functions as has been agreed. Therefore, to be successful, the S&OP system may require changes in the organization, reporting and accountability, and the information systems.

1 Herrin (2004).

FIGURE 12.3 lelationship of S&OP with other lanctions.

Accounting -Cost analysis


Operations – Forecast

– Inventory levels -Capacity

-Current orders

– Investment

Marketing -Forecast

-Sales plan


S&OP “) , Process 1

1 “-…. /// ” …….. —- .,.

Chapter 12 Capacity Planning 297

Human Resources – Personnel planning


Operations and marketing must work closely to plan for matching supply and demand over the medium-term time frame. They do this during aggregate plan- ning when they coordinate their decisions to develop enough demand for prod- ucts and services without overshooting available facility capacity.

The S&OP process can be clarified by a discussion of the various decision op- tions available. These include two categories of decisions: (1) those modifying de- mand and (2) those modifying supply.

Demand management entails modifying or influencing demand in several ways:

1. Pricing. Differential pricing often is used to reduce peak demand or to build up demand in off-peak periods. Some examples are matinee movie prices, off- season hotel rates, factory discounts for early- or late-season purchases, and off-peak specials at restaurants. The purpose of these pricing schemes is to level demand through the day, week, month, or year.

2. Advertising and promotion. These methods are used to stimulate or in some cases smooth out demand. Advertising can be timed to promote demand dur- ing slack periods and shift demand from peak periods to slack times. For ex- ample, ski resorts advertise to lengthen their season and turkey growers advertise to stimulate demand outside the peak holiday seasons.

3. Backlogs or reservations. In some cases, demand is influenced by asking cus- tomers to wait for their orders (backlog) or by reserving capacity in advance (reservations). Generally, this has the effect of shifting demand from peak

298 Part Four Capacity and Scheduling

“Service Design at Hotel Monaco,”

Vol. IX

periods to periods with slack capacity. However, the waiting time may resu a loss of business. This loss can be tolerated when the aim is to maximize~ although most operations are extremely reluctant to tum away customers.

4. Development of complementary offerings. Firms with highly seasonal mands may try to develop products that have countercyclic seasonal trends. example, Taro produces both lawn mowers and snow blowers, seasonally ~ plementary products that can share production facilities. In fast-food reslil rants, breakfast has been added in many cases to utilize previously idle capaq

The service industries, using all the mechanisms described above, have .: much further than most of their manufacturing counterparts in influencing mand. Because they are unable to inventory their output-their services—til use these mechanisms to improve their utilization of fixed facility capacity.

Supply management includes a variety of factors that can be used to increase decrease supply through aggregate planning. These factors include the followinll

1. Hiring and laying off employees. Some firms will do almost anything ~ reducing the size of the workforce through layoffs. Other companies routinll increase and decrease the workforce as demand changes. These practices, “‘ vary widely by firm and industry, affect not only costs but also labor relatiollll productivity, and worker morale. As a result, company hiring and layoff p~ tices may be restricted by union contracts or company policies. These effedll must be factored into decisions about whether to change the size of the w0111 force to match demand more closely.

2. Using overtime and undertime. Overtime sometimes is used for short- medium-range labor adjustments in lieu of hiring and layoffs, especially if change in demand is considered temporary. Overtime labor usually costs 1

percent of regular time, with double time on weekends and holidays. BecaU!IIIII of its high cost, managers are sometimes reluctant to use overtime. F~ more, workers may be reluctant to work more than 20 percent weekly overt:ioll for an extended period. Undertime refers to planned underutilization of ~ workforce rather than layoffs, perhaps by using a shortened workweek. Undefll time, in the form of furloughs, was common in many industries, includillllll manufacturing, education, and government, during the recessionary months 2008-2009.

3. Using part-time or temporary labor. In some cases, it is possible to hire pan< time or temporary employees to meet peak or seasonal demand. This option particularly attractive when part-time employees are paid significantly less wages and benefits. Unions frequently frown on the use of part-time employe~!~ because those employees often do not pay union dues and may weaken uni~ influence. Temporary labor is more likely to be used to satisfy seasonal or shod-· to medium-term demand. Part-time labor and temporary labor are used exten- sively in many service operations, such as restaurants, hospitals, supermarkel!i and department stores. Temporary labor is also common in agriculture-relatel industries.

4. Carrying inventory. In manufacturing firms, inventory can be used as a buffer- between supply and demand. Inventories for later use can be built up during periods of slack demand. Inventory thus decouples supply from demand in manufacturing operations, allowing for smoother operations with more even use of capacity throughout a time period. Inventory is a way to store expended

Chapter 12 Capacity Planning 299

capacity and labor for future consumption. This option is generally not avail- able for service operations; this results in greater challenges for service indus- tries in matching supply and demand.

5. Subcontracting. Subcontracting is the outsourcing of work (either manufactur- ing or service activities) to other firms. This option can be very effective for in- creasing or decreasing supply. The subcontractor may supply the entire product or service or only some of the components. For example, a manufacturer of toys may utilize subcontractors to make plastic parts during periods of high de- mand. Service operations may subcontract secretarial assistance, call center op- erations, catering services, or facilities during peak periods.

6. Cooperative arrangements. These arrangements are similar to subcontracting in that other sources of supply are used, but cooperative arrangements often in- volve partner firms that are typically competitors. The firms choose to share their capacity, thus preventing either firm from building capacity that would be used only during brief periods. Examples include electric utilities that link their capac- ity through power-sharing networks, hospitals that send patients to other hospi- tals either for certain specialized services or during demand peaks, and hotels or airlines that shift customers among one another when they are fully booked.

In considering all these options, it is clear that S&OP and the aggregate plan- ning problem are extremely broad and affect most parts of the firm. The decisions that are made are therefore strategic and cross-functional, reflecting all the firm’s objectives. If aggregate planning is considered narrowly, inappropriate decisions result and suboptimization may occur. Some of the multiple trade-offs that should be considered are customer service level (through back orders or lost demand), inventory levels, stability of the labor force, and costs. The conflicting objectives and trade-offs among these elements sometimes are combined into a single cost function. A method for evaluating costs is described later in this chapter.


When demand slumped, the Parker Hannifin plastic parts manufacturing plant in Spartanburg, South Carolina, kept its workforce but reduced work hours where

Using a level strategy often results in holding inventory during low demand periods.

possible. In contrast, the investment firm Goldman Sachs laid off 10 percent of its workforce in late 2008 and another 10 percent in early 2009. In this section, we discuss the aggregate planning strate- gies used in each of these instances and explain how firms decide which strategy is best for them.

Two basic planning strategies can be used, as well as combinations of them, to meet medium- term aggregate demand. One strategy is to main- tain a level workforce; the other is to chase demand with the workforce.

With a perfectly level strategy, the size of the workforce and the rate of regular-time output are constant. Any variations in demand must be absorbed by using inventories, overtime, temporary workers, subcontracting, cooperative

300 Part Four Capacity and Scheduling

Operations Leader Travelers’ Level Strategy Meets Demand Variation

Travelers offers a wide variety of insurance products and services, covering customers in more than 90 countries. It sells insurance for auto owners, renters,

home owners,

TRAVELER 5 ‘f , ~;a~~~~~n~:s:~ example of a

service firm that uses a level strategy to manage its workforce and capacity.

Before Hurricane Ike slammed the Texas coast in September 2008, Travelers claims employees from around the United States were moving toward the af- fected areas so that they would be immediately avail- able to serve affected customers. Even before the storm made landfall, teams of trained and equipped claims professionals were ready. The company’s Na- tional Catastrophe Response Center had plans in place

to quickly deploy thousands of cross-trained employ- ees from other regions to help customers rather than, as is customary in the industry, relying on out- side contractors.

Travelers uses a level strategy, with workers from many regions pitching in during large-scale disasters and workers being diverted to training and catch-up activities during slow times when it might appear to be overstaffed. The strategy seems to pay off in terms of maintaining high levels of customer service during a peak demand period. Travelers was able to contact most of its Hurricane Ike-affected customers within 48 hours of their reporting a claim and to in- spect, provide payment, and close the majority of claims within 30 days.

Source: Adapted from annual report,, 2009.

arrangements, or any of the demand-influencing options discussed above. The level strategy essentially holds the regular workforce at a fixed number, and so the rate of workforce output is fixed over the aggregate planning period. However, a firm using a level strategy can respond to fluctuations in demand by using the demand and supply planning options discussed in the previous section.

With the chase strategy, the size of the workforce is changed to meet, or chase, demand. With this strategy, it is not necessary to carry inventory or use the de- mand and supply planning options available for aggregate planning; the work- force absorbs all the changes in demand. The chase strategy generally results in a fair amount of hiring and laying off of workers as demand is chased.

These two strategies are extremes; one strategy makes no change in the work- force, and the other varies the workforce directly with demand changes. In prac- tice, many firms use a combination of these two strategies. Read the Operations Leader box to see how Travelers Insurance successfully uses a level strategy even though demand for its service can vary significantly.

Consider, for example, a brokerage firm that utilizes both strategies. The data processing department maintains the capacity to process 17,000 transactions per day, far in excess of the average load of 12,000. This capacity allows the depart- ment to keep a level workforce of programmers, systems analysts, and computer operators even though capacity exceeds demand on many days. Because of the skilled workforce, the high capital investment, and the difficulty and expense of hiring replacements, the data processing department chooses to follow a level strategy.

Meanwhile, in the cashiering department, a chase strategy is used. As the transaction level varies, part-time workers, hiring, and layoffs are used. This de- partment is very labor-intensive, with high worker turnover and low skill levels

TABLE 12.1 ,.Comparison of

Chase and Level Strategies

Level of labor skill required Job discretion Compensation rate Training required per employee Labor turnover Hire-layoff costs per employee Amount of supervision required Type of budgeting and forecasting required

Chapter 12 Capacity Planning 301

Chase Strategy

Low Low Low Low High Low High Short run

Level Strategy

High High High High Low High Low Long run

required. The manager of the department commented that the high turnover rate is an advantage, facilitating the reduction of the workforce in periods of low demand.

From this scenario, we see that the characteristics of the operation seem to influ- ence the type of strategy followed. This observation can be generalized to the fac- tors shown in Table 12.1. While the chase strategy may be more appropriate for low-skilled labor and routine jobs, the level strategy seems better for highly skilled labor and complex jobs.

These strategies can be compared in terms of their costs to provide insight into the better choice, depending on the particular situation a firm faces. The relevant factors in this decision are represented by their cost, allowing us to develop mod- els to compare the two strategies, as described in the next section.

12.7 AGGREGATE PLANNING COSTS . Most aggregate planning methods include a plan that minimizes costs. These methods assume that demand is given (based on forecasts) but varies over time; therefore, strategies for modifying demand are not considered. If both demand and supply are modified simultaneously, it may be more appropriate to develop a model to maximize profit rather than minimize costs, since demand changes affect revenues along with costs.

When demand is given, the following costs should be included:

1. Hiring and layoff costs. Hiring costs consist of the recruiting, screening, and training costs required to bring a new employee up to full productive skill. For some jobs, this cost may be only a few hundred dollars; for more highly skilled jobs, it may be thousands of dollars. Layoff costs include employee benefits, severance pay, and other associated costs. This cost also may range from a few hundred to several thousand dollars per worker. When an entire shift of work- ers is hired or laid off, a shift cost must be accounted for.

2. Overtime and undertime costs. Overtime costs consist of regular wages plus an overtime premium, typically an additional 50 to 100 percent. Undertime costs reflect the use of employees at less than full productivity.

3. Inventory-carrying costs. Inventory-carrying costs are associated with main- taining goods in inventory, including the cost of capital, the variable cost of stor- age, obsolescence, and deterioration. These costs often are expressed as a percentage of the dollar value of inventory, ranging from 15 to 35 percent per year.

302 Part Four Capacity and Scheduling

This cost can be thought of as an interest charge assessed against the dolW value of inventory held in stock. Thus, if the carrying cost is 20 percent and each unit costs $10 to produce, it will cost $2 to carry one unit in invent0111 for a year.

4. Subcontracting costs. The cost of subcontracting is the price paid to anot:hfti firm to produce the units. Subcontracting costs can be either greater or less t:ru. the cost of producing units in-house. .

5. Part-time labor costs. Due to differences in benefits and hourly rates, the ced of part-time or temporary labor is often less than that of regular labor. Al- though part-time workers often receive no benefits, a maximum percentagtt of part-time labor may be specified by operational considerations or by uni«mm contract. Otherwise, there might be a tendency to use all part-time or tempo-~ rary labor. However, the regular labor force is generally essential for opera- tions continuity as well as to utilize and train part-time and temporaiJI workers effectively.

6. Cost of stockout or back order. The cost of taking a back order or the cost ot a stockout should reflect the effect of reduced customer service. This cost is extremely difficult to estimate, but it should capture the loss of custom~ goodwill, the loss of profit from the order, and the possible loss of future sales.

Some or all of these costs may be relevant in any aggregate planning problem. The applicable costs can be used to “price out” alternative decisions and strate- gies. In the example below, the total costs related to three alternative strategies are estimated. When this type of analysis is conducted o~ a spreadsheet, a very large number of alternative strategies can be considered.


FIGURE 12.4 Hefty Beer Company- demand forecast.

The Hefty Beer Company is constructing an aggregate plan for the next 12 months. Although several types of beers are brewed at the Hefty plant and several con- tainer sizes are bottled, management has decided to use gallons of beer as the ag- gregate measure of capacity.

The demand for beer over the next 12 months is forecast to follow the pattern shown in Figure 12.4. Notice that demand peaks during the summer months and is decidedly lower in the winter.


600 8 0

3 500 “‘ c:< 0 ~ 400 0



I ~

v \ ,/ -/ ~

lL v

J F M A M J p A S 0 N D Month

Chapter 12 Capacity Planning 303

The management of the Hefty brewery would like to consider three aggregate plans:

1. Level workforce. Use inventory to meet peak demands. 2. Level workforce plus overtime. Use 20 percent overtime along with inventory

in June, July, and August to meet peak demands. 3. Chase strategy. Hire and lay off workers each month as necessary to meet


To evaluate these strategies, management has collected the following cost and resource data:

• Assume the starting workforce is 40 workers. Each worker can produce 10,000 gallons of beer per month on regular time. On overtime, the same production rate is assumed, but overtime can be used for only three months during the year.

• Each worker is paid $2000 per month on regular time. Overtime is paid at 150 percent of regular time. A maximum of 20 percent overtime can be used.

• Hiring a worker costs $1000, including screening, paperwork, and training costs. Laying off a worker costs $2000, including all severance and benefit costs.

• For inventory valuation purposes, beer costs $2 a gallon to produce. The cost of carrying inventory is estimated to be 3 percent per month (or 6 cents per gallon of beer per month).

• Assume the starting inventory is 50,000 gallons. The desired ending inventory a year from now is also 50,000 gallons. All forecast demand must be met; no stockouts are allowed.

The next task is to evaluate each of the three strategies in terms of the costs given. The first step in this process is to construct spreadsheets like those shown in Tables 12.2 through 12.4, which show all the relevant costs: regular workforce, overtime, hiring/layoff, and inventory. Notice that subcontracting, part-time labor, and back orders/ stockouts have not been used as variables in this case.

To evaluate the level strategy, we calculate the size of the workforce required to meet the demand and inventory goals. Since ending and beginning inventories are assumed to be equal, the workforce must be just large enough to meet total de- mand during the year. When the monthly demands from Figure 12.4 are summed, the annual demand is 5,400,000 gallons. Since each worker can produce 10,000(12) = 120,000 gallons per year, a level workforce of 5,400,000–:- 120,000 = 45 workers is needed to meet the total demand. This means that five new workers must be hired. The inventories for each month and the resulting costs have been calculated in Table 12.2.

Consider the calculations for January. With 45 regular workers entered at the top of the table, 450,000 gallons of beer can be produced, since each worker pro- duces 10,000 gallons in a month. The production exceeds the sales forecast by 150,000 (450,000- 300,000) gallons, which is added to the beginning inventory of 50,000 gallons to yield an inventory level of 200,000 gallons at the end of January.

Next the costs in Table 12.2 are calculated as follows: Regular time costs are $90,000 in January (45 workers X $2000 each). There is no overtime cost, but 5 workers have been hired, since the starting workforce level was 40 workers. The cost of hiring these five workers is $5000. Finally, it cost 6 cents to carry a gallon of beer in inventory for a month, and Hefty is carrying 200,000 gallons at the end of

w 0


TABLE 12.2 Aggregate Planning Costs-Strategy 1, Level Workforce*

Jan. Feb. Mar. Apr. May June July Aug.


Regular workers 45 45 45 45 45 45 45 45

Overtime(%) 0 0 0 0 0 0 0 0

Units produced 450 450 450 450 450 450 450 450

Sales forecast 300 300 350 400 450 500 650 600

Inventory (end of month) 200 350 450 500 500 450 250 100


Regular time $90.0 $90.0 $90.0 $90.0 $90.0 $90.0 $90.0 $90.0

Overtime 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0

Hire/layoff 5.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0

Inventory carrying 12.0 2 1.0 27.0 30.0 30.0 27.0 15.0 6.0

Total cost $107.0 $111.0 $11 7.0 $120.0 $120.0 $1l 7.0 $105.0 $96.0

• All costs are expressed in thousands of dollars. All production and inventory figures are in thousands of gallons. Starting inventory is 50,000 gallons.

Sept. Oct. Nov. Dec. Total

45 45 45 45

0 0 0 0

450 450 450 450 5400

475 475 450 450 5400

75 50 50 50

$90 .0 $90.0 $90.0 $90.0 $1080.0

0.0 0.0 0.0 0.0 0.0

0.0 0.0 0.0 0.0 5.0

4 .5 3.0 3.0 3.0 181.5

$94.5 $93.0 $93.0 $93.0 $1266.5

w 0 U1

TABLE. 12.3 Aggregate Planning Costs-Strategy 2, Level with Overtime*

Jan. Feb. Mar. Apr. May June July Aug. Sept.


Regular workers 43 43 43 43 43 43 43 43 43

Overtime(%) 0 0 0 0 0 20 20 20 0

Units produced 430 430 430 430 430 516 516 516 430

Sales forecast 300 300 350 400 450 500 650 600 475

Inventory (end of month) 180 310 390 420 400 416 282 198 153 ~


Regular time $86.0 $86.0 $86.0 $86.0 $86.0 $86.0 $86.0 $86.0 $86.0

Overtime 0.0 0.0 0.0 0.0 0.0 25.8 25.8 25.8 0.0

Hire/layoff 3.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0

Inventory carrying 10.8 18.6 23.4 25.2 24.0 25.0 16.9 11.9 9.2

Total cost $99.8 $104.6 $109.4 $111.2 $110.0 $136.8 $128.7 $123.7 $95.2

‘All costs are expressed in thousands of dollars. All production and inventory figures are in thousands of gallons. Starting inventory is 50,000 gallons.

TABLE 12.4 Aggregate Planning Costs-Strategy 3, Chase Demand*

Jan. Feb. Mar. Apr. May June July Aug. Sept.


Regular workers 30 30 35 40 45 50 65 60 48

Overtime (%) 0 0 0 0 0 0 0 0 0

Units produced 300 300 350 400 450 500 650 600 480

Sales forecast 300 300 350 400 450 500 650 600 475

Inventory (end of month) 50 50 50 50 50 50 50 50 55


Regular time $60.0 $60.0 $70.0 $80.0 $90.0 $100.0 $130.0 $120.0 $96.0

Overtime 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0 .0 0.0

Hire/layoff 20.0 0.0 5.0 5.0 5.0 5.0 15.0 10 .0 24.0

Inventory carrying 3.0 3.0 3.0 3.0 3.0 3.0 3.0 3.0 3.3

Total cost $83.0 $63 .0 $78.0 $88.0 $198.0 $108.0 $148.0 $133.0 $1 23.3

• All costs are expressed in thousands of dollars. All production and inventory figures are in thousands of gallons. Starting inventory is 50,000 gallons.

Oct. Nov. Dec. Total

43 43 43

0 0 0

430 430 430 5418

475 450 450 5400

108 88 68

$86.0 $86.0 $86.0 $1032.0

0.0 0.0 0.0 77.4

0.0 0.0 0.0 3 .0

6.5 5.3 4.1 180.8

$92 .5 $91.3 $90.1 $1293.2

Oct. Nov. Dec. Total

47 45 45

0 0 0

470 450 450 5400

475 450 450 5400

50 50 50

$94.0 $90.0 $90.0 $1080.0

0.0 0.0 0.0 0.0

2.0 4.0 0.0 95.0

3.0 3.0 3.0 36.3

$99.0 $97.0 $93.0 $1211.3

306 Part Four Capacity and Scheduling

TABLE 12.5 Cost Summary

Strategy 1-Level Regular-time payroll Hire/layoff Inventory carrying


Strategy 2-Level with overtime Regular-time payroll Hire/layoff Overtime Inventory carrying


Strategy 3-Chase Regular-time payroll Hire/layoff Inventory carrying


$1 ,080,000 5,000

181,500 $1,266,500

$1 ,032,000 3,000

77,400 180,800


$1 ,080,000 95,000 36,300

$1,211 ,300

the month, which costs $12,000.2 These costs total $107,000 for January. The calcu- lations are continued for each month and then summed for ti;.e year to yield the total cost of $1,266,500 for the level strategy.

The second strategy, level workforce plus overtime, is a bit more complicated. If X is the workforce size for option 2, we must have

9(10,000X) + 3[(1.2)(10,000X)] = 5,400,000 gallons

For nine months Hefty will produce 10,000X gallons per month, and for three months it will produce 120 percent of 10,000X, including overtime. When the above equation is solved for X, we find X = 43 workers. In Table 12.3 we have calculated the inventories and resulting costs for this option.

The third strategy, the chase strategy, varies the workforce each month by hir- ing and laying off workers to meet monthly demand exactly. When this strategy is used, a constant level of 50,000 gallons in inventory is maintained as the minimum inventory level, as shown in Table 12.4.

The annual costs of the three strategies are summarized in Table 12.5. On the ba- sis of the given costs and assumptions, the chase strategy is the lowest-cost strategy. However, cost is not the only consideration. For example, the chase strategy requires building from a minimum workforce of 30 to a peak of 65 workers, and then layoffs are used to reduce the number back to 45 workers. Will the labor climate permit this amount of hiring and laying off each year, or will this lead to unionization and po- tentially higher labor costs? Maybe a two-shift policy or the use of part-time or tem- porary workers should be considered for peak demand portions of the year. These alternatives, along with others, should be considered in attempting to evaluate and possibly improve on the chase strategy, as we have done in the chapter supplement

We have shown how to compare costs in a very simple case of aggregate planning by using three potential strategies. Advanced methods have been developed to con- sider many more strategies and more complex aggregate planning problems. These methods, which can be quite complex, include linear programming, simulation, and various decision rules.

2 For convenience, we use the end-of-month inventory to calculate inventory-carrying costs rather than the average monthly inventory.

Chapter 12 Capacity Planning 307


The following key points are discussed in the chapter:

• Facilities decisions consider the amount of capacity, the size of units, the timing of capacity changes, facility location, and the types of facilities needed. These are long-range decisions in the hierarchy of capacity decisions. Facilities deci- sions are crucial because they determine the future availability of output and require the organization’s scarce capital.

• A facility strategy should be implemented rather than a series of incremental facility decisions. A facilities strategy answers the questions of how much, how large, where, when, and what type.

• The amount of capacity planned should be based on the desired risk of meeting forecast demand. The capacity cushion is a decision that firms must consider, determining whether they will use a large cushion and not run short of capacity or a small cushion with the possibility of a capacity shortage.

• When it is timing capacity expansion, a firm can choose to preempt the com- petition by building capacity sooner or wait and see how much capacity is needed.

• Both economies and diseconomies of scale should be considered in setting an optimum facility size. Facility location is determined by considering relevant factors in this decision and then weighing contrasting factors against one an- other. The type of facility selected is focused on product, market, process, or general-purpose needs.

• Facilities. decisions often are made by the chief executive and the board of direc- tors . Because these decisions are strategic in nature, they require the input of all functional areas in the firm.

• Sales and operations planning (S&OP), or aggregate planning, serves as the link between facilities decisions and scheduling. S&OP decisions set output levels for the medium time range. As a result, decisions regarding workforce size, subcontracting, hiring, and inventory levels are also made. These decisions must fit within the facilities capacity available and are constrained by the re- sources available.

• Aggregate planning is concerned with matching supply and demand over the medium time range. There are many options for managing supply and demand. Because human resources, capital, and demand are affected, all functions must be involved in aggregate planning decisions.

• Supply factors that can be changed by aggregate planning are hiring, layoffs, overtime, under time, inventory, subcontracting, part-time labor, and coopera- tive arrangements. Factors that influence demand are pricing, promotion, back- log or reservations, and complementary products.

• There are two basic.strategies for adjusting supply: the chase strategy and the level strategy. Firms can also use a combination of these two main strategies. A choice of strategy can be analyzed by estimating the total cost of each of the available strategies. Factors, other than costs, to consider are cu stomer service levels, d emand shifts, the labor force, and forecasting accuracy.

308 Part Four Capacity and Scheduling

Key Terms


~ •

Hierarchy of capacity decisions 285

Capacity 286 Utilization 286 Effective capacity 287 Facilities decisions 288 Facilities strategy 288 Capacity cushion 289 Economies of scale 290 Diseconomies of scale 291

1. Course site:

Preempt the competition 291

Wait-and-see strategy 292

Product-focused facilities 293

Market-focused facilities 293

Process-focused facilities 293!aggregat.htm

General-purpose facilities 293

Sales and operations planning 294

Aggregate planning 294 Demand

management 297 Supply management 298 Level strategy 299 Chase strategy 300

Read this synopsis of aggregate planning from Professor Dave Sparling’s course in Canada.

2. Spreadsheet example from Georgia Southern University

Work through the details of this example to gain a deeper understanding of ag- gregate planning.

3. Sales and Operations Planning

Read about S&OP on this site and come to class prepared for a discussion.

4. Demand Solutions

Read about S&OP and come to class with insights gained from the reading.


Problem 1. Probabilistic Capacity Planning The XYZ Chemical Company estimates the annual demand for a certain product as follows:

Thousands of Gallons 140

Probability .10

a. If capacity is 130,000 gallons, how much of a capacity cushion is there?

b . What is the probability of idle capacity? c. If capacity is 130,000 gallons, what is the average utilization of the plant? d. If lost business (stockout) costs $100,000 per thousand gallons and it costs

$5000 to build 1000 gallons of capacity, how much capacity should be built to minimize total costs?

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functional health pattern assessment

Children’s Functional Health Pattern Assessment

Functional Health Pattern Assessment (FHP)ToddlerErickson’s Developmental Stage:Preschool-AgedErickson’s Developmental Stage:School-AgedErickson’s Developmental Stage:
Pattern of Health Perception and Health Management:List two normal assessment findings that would be characteristic for each age group.List two potential problems that a nurse may discover in an assessment of each age group.
Nutritional-Metabolic Pattern:List two normal assessment findings that would be characteristic for each age group.List two potential problems that a nurse may discover in an assessment of each age group.
Pattern of Elimination:List two normal assessment findings that would be characteristic for each age group.List two potential problems that a nurse may discover in an assessment of each age group.
Pattern of Activity and Exercise:List two normal assessment findings that would be characteristic for each age group.List two potential problems that a nurse may discover in an assessment of each age group.
Cognitive/Perceptual Pattern:List two normal assessment findings that would be characteristic for each age group.List two potential problems that a nurse may discover in an assessment of each age group.
Pattern of Sleep and Rest:List two normal assessment findings that would be characteristic for each age group.List two potential problems that a nurse may discover in an assessment of each age group.
Pattern of Self-Perception and Self-Concept:List two normal assessment findings that would be characteristic for each age group.List two potential problems that a nurse may discover in an assessment of each age group.
Role-Relationship Pattern:List two normal assessment findings that would be characteristic for each age group.List 2 potential problems that a nurse may discover in an assessment of each age group.
Sexuality – Reproductive Pattern:List two normal assessment findings that would be characteristic for each age group.List two potential problems that a nurse may discover in an assessment of each age group.
Pattern of Coping and Stress Tolerance:List two normal assessment findings that would be characteristic for each age group.List wo potential problems that a nurse may discover in an assessment of each age group.
Pattern of Value and Beliefs:List two normal assessment findings that would be characteristic for each age group.List two potential problems that a nurse may discover in an assessment of each age group.

Short Answer Questions

Address the following based on the above assessment findings. Expected answers will be 1-2 paragraphs in length. Cite and reference outside sources used.

1) Compare and contrast identified similarities as well as differences in expected assessment across the childhood age groups.

2) Summarize how a nurse would handle physical assessments, examinations, education, and communication differently with children versus adults. Consider spirituality and cultural differences in your answer.

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timothy o’sullivan was a photographer whose images were the result of random snapshots.

Chapter Title Chapter

#11Photography If your pictures aren’t

good enough, you aren’t

close enough.

Robert Capa (Endre Ernő Friedmann) 1913–1954 PHOTOJOURNALIST

Once you see the forlorn face of Flor- ence Thompson, you will never forget her (Figure 11.1). With furrowed forehead, a faraway look, hand cupped to her chin in a gesture of uncertainty, two children shyly hiding their faces in the warmth of her shoulders, and an infant sleeping on her lap, the photograph is more than a simple portrait of a family. The image is reminiscent of the “Madonna and Child” religious icon known to millions because painters throughout the history of Christi- anity have captured it on canvas. But here in black and white is a real-life symbol for all parents struggling to survive and feed their families during the Great Depres- sion and for all uncertain economic times. “Migrant Mother” is probably the world’s most reproduced photograph in the his- tory of photography because it makes people care about this mother on a deep, personal level.

But it was a picture that almost was not taken.

Dorothea Nutzhorn was born in Hobo- ken, New Jersey, in 1895. When she was 12 years old she took her mother’s maiden name of Lange after her father left the family. As a child she suffered from polio that gave her a limp in her right leg for the rest of her life. Although she’d never held a camera, at 14 she wanted to be a photographer, because she said that her disability “gave her an almost telepathic connection with those who suffered.” After studying at Columbia University under the photographer Clarence White, she moved in 1918 to San Francisco, where she enjoyed the Bay Area’s bohe- mian lifestyle. She married the painter Maynard Dixon and had two sons. She supported her family through her studio photography business. By 1932, she had become an able portrait photographer


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with a reputation for capturing the personalities of the rich San Francisco matrons of the day.

News reports of the terrible living conditions of rural Americans prompted Lange to want to document their lives. The country was undergoing the worst drought in its history; dust storms blew away the once-fertile topsoil. The stock market crashed in 1929 and farm prices plummeted, throwing millions out of work. People lived from day to day, and thousands of farmers from the Midwest

Figure 11.1 “Migrant Mother,” 1936, by Dorothea Lange. The disturb- ing and touching story line of a woman alone with her children during the height of America’s Great Depression spurred many to help others. But is she posing or wish- ing the photographer would leave?

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and Great Plains who had lost their land and livelihoods took off in mattress- topped automobiles for the golden West. Lange obtained a job with the State of California to document agricultural labor conditions. She was teamed with social economist Dr. Paul Schuster Taylor, whom she later married.

After completion of the project, the head of the Resettlement Administra- tion (RA), Rexford Tugwell, reviewed her pictures in Washington and promptly hired her.

The RA, later renamed the Farm Secu- rity Administration (FSA), was an agency of the U.S. Department of Agriculture. President Franklin D. Roosevelt created it to help relocate farmers to more fertile farmland, obtain massive subsidies to offset the low prices farmers were get- ting for their crops, and convince the American public that controversial social programs needed to be passed by the conservative Congress. Thus, the FSA was more of a propaganda wing that the government used to get New Deal legisla- tion through Congress than a direct aid to rural residents. Besides Lange, famous photographers who worked for the FSA were Walker Evans, Russell Lee, Gordon Parks, Arthur Rothstein, and Marion Post Wolcott (Figure 11.2).

The FSA photographers produced an exhaustive document of rural and urban life in America during the 1930s and 1940s that has never been equaled. Newspapers and magazines used their pictures because they were free. However, in 1943 the FSA was eliminated and its employees transferred to the Office of War Information, which was ended in 1945. Nevertheless, the images succeeded in helping pass New Deal legislation and also inspired other photographers to fol- low in their documentary footsteps. More

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had passed. Finally, the image of the people she had briefly seen overpow- ered her desire to get home. She turned her car around and drove back to the camp. Lange retrieved her press camera, a portable version of the tripod-bound,

Figure 11.2 “Fleeing a Dust Storm,” 1936, by Arthur Rothstein. Okla- homa farmer Arthur Coble and his two sons weather a storm. During the Great Depression, the Farm Security Administration of the U.S. government produced numer- ous classic documents such as this Dust Bowl picture by Arthur Rothstein.

Figure 11.3 Photojournalists call the first picture taken at a scene a “cover shot.” If you are asked or are forced to leave, at least you have something. With the older girl avoiding the camera, the younger one smiling for the lens, and Flor- ence Thompson looking back at a daughter hiding behind her, this image is almost a snapshot—not a particularly telling moment.

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than 250,000 of their images are stored in the collection at the Library of Congress, and a copy of each one can be purchased at a nominal price.

But the image in the collection—the most revered and reproduced—is Lange’s “Migrant Mother.”

Tired, hungry, and anxious to get home after a month-long project taking pictures in central California, Lange drove her car north along the cold and wet Camino Real Highway (101) in early March 1936. Along the way she noted a migrant workers’ camp of about 2,500 people outside the small town of Nipomo. On the side of the road someone had placed a sign that sim- ply proclaimed, “Pea-Pickers Camp.” These sights were all too common, with poor people from all over the country forced to stop for lack of money and gasoline and earn a few dollars picking local crops.

For 30 minutes, Lange drove toward home and thought about the camp she

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large-format camera, and immediately found Florence Thompson sitting in the barely adequate shelter of an open tent with her daughters (Figure 11.3). With the crop destroyed by a freeze, there was no work at the camp. An engine chain had broken on their Model T Ford, so they were stuck. Thompson’s two sons, along with a man living with Thompson at the time, went to town to get the car fixed, leaving her to care for her daughters. She

Figure 11.4 Perched atop her 1933 Ford Model C four-door wagon, Dorothea Lange poses with a Graflex 4 × 5 Series D cam- era. She was driving this car when she spotted Florence Thompson and her family at the side of the road and used this camera for her famous photograph.

Figure 11.5 The book jacket of An Ameri- can Exodus: A Record of Human Erosion by Dorothea Lange and Paul Taylor shows a typical sight along the roads during America’s Great Depression—a truck filled with household goods. With Lange’s pictures and Taylor’s words, the two documented the migration of many from ruined Dust Bowl farms to migrant worker camps out West.

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was pregnant with her sixth child. She would eventually have seven children.

In notes about the brief encounter, Lange later wrote, “Camped on the edge of a pea field where the crop had failed in a freeze. She said that she had been living on frozen vegetables from the sur- rounding fields and birds that the children had killed.” Lange did not ask her name or anything about her past history. She stayed ten minutes and made six expo- sures (Figure 11.4).

When she returned home, Lange made several prints and gave them to an edi- tor of the San Francisco News, where they were published under the headline, “FOOD RUSHED TO STARVING FARM COLONY.” Two of Lange’s photographs accompanied the story that detailed the situation of the migrants and the efforts of relief workers to bring food and cleanup crews to the camp. The famous close-up was not published. Because of the story and pictures, the camp residents received about 20,000 pounds of food from the government, but Thompson and her family had left before help arrived.

But back in Washington, the historical and social significance of the Thompson portrait were recognized immediately. The picture soon became an American classic with a life of its own. Newspapers across the country reproduced it. In 1941, the Museum of Modern Art in New York City exhibited it. When John Steinbeck saw the picture, it inspired him to write The Grapes of Wrath. Without question, the picture made Lange famous. And despite her later achievements as a staff photographer for Life magazine, her collaboration with Paul Taylor on their book An American Exodus: A Record of Human Erosion, and her docu- mentation of Japanese American internees during World War II, she is forever linked to it (Figure 11.5). Frustrated over that

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story was published about her situation. Readers who saw the story and remem- bered the emotional image were moved to send money to her—more than $15,000 ($33,500 today)—before she died. Many of the letters that contained money noted how the writers’ lives had been touched by Lange’s close-up portrait of the “Migrant Mother.”

In 1998, a print signed by Lange was sold for $244,500 ($328,000 today) at Sotheby’s auction house in New York to an anonymous collector who promptly sold it to the J. Paul Getty Museum in Los Angeles for a higher undisclosed sum.

In a 2008 interview with a CNN reporter, Thompson’s daughter Kather- ine (the girl on her mother’s right shoul- der in the famous photograph) said that the “photograph’s fame made the family feel shame at their poverty.” And yet, on Florence Thompson’s gravestone at the Lakewood Memorial Park in Hughson, California, about 250 miles north of Nipomo, it reads, “Migrant Mother—A Legend of the Strength of American Motherhood.” And in Nipomo, one of the major north–south streets that runs parallel with Highway 101 is named Thompson.


Any great work of art always has many stories to tell. There is the story of the sub- jects within the frame, why and how it was created, and what happened after it was made public. But one of the most impor- tant stories any visual message tells is the one the viewer makes up. The way you interpret an image is the story of your life.

Even a casual glance at “Migrant Mother” reveals without question an

fact, she once complained that she was not a “one-picture photographer.” In 1965, Lange died at the age of 70 after a long and event-filled life made possible by her photographic skills and her sensitivity to the important moments in everyday life.

But Florence Thompson’s life didn’t change for the better after the picture was published.

Born to poverty in rural Oklahoma in 1903, her father died when she was a baby. When she was 18 she married Cleo Owens, a logger. Finding little work in their home state, they moved to California in 1922 to work in the sawmills. By 1929 the couple had five children. After Owens lost his job, they moved from field to field to pick peaches until he caught a fever and died at the age of 32. She moved with her children from town to town seeking help from her family, went back home to Oklahoma for a brief time, and returned to California to continue the farm-picking migrant life, traveling from camp to camp.

When she first saw it in print, she didn’t like the image and tried to get it sup- pressed. When that effort failed, she tried to get Lange and/or the government to pay her for being in the picture. In 1979, 44 years after the picture was taken and 14 years after the death of Dorothea Lange, Thompson was finally identified as the woman in the famous photograph after she wrote a letter to the Sacramento Bee and was still bitter about the fact that the photograph made Dorothea Lange famous but didn’t improve her life. In a newspaper article that followed, Thompson, living in a mobile home in Modesto, California, complained to a reporter, “That’s my pic- ture hanging all over the world, and I can’t get a penny out of it.” In 1983, Thompson suffered from colon cancer and couldn’t pay her medical bills. Family members alerted the local newspaper and a national

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emotionally charged, sad moment in a woman’s life. Much of the picture’s power comes from its obvious symbolic link to religious paintings. But where the Madonna icon is a positive affirmation of future possibilities for her child, the Thompson portrait is an anti-Madonna icon filled with uncertainty about the future for herself and her children (Figure 11.6).

With a normal perspective, medium- sized lens opening for limited focus, medium shutter speed to avoid camera blur, black and white film to avoid any distractions color might provide, and a 4-by-5-inch negative for maximum resolu- tion, the picture demonstrates the highest quality possible using the gelatin dry plate photographic process in combination with a large format, portable press camera.

Legally, Dorothea Lange did all that was required. Her job as a visual reporter was to record Thompson’s image on film and give prints to a newspaper for publication, not to help Thompson and her family

directly. But what is strictly legal and what is ethical do not always absolve a person’s moral responsibility to help someone in a more direct way. Lange should have at least asked Thompson’s name. The public learned her name only after newspa- per accounts published her complaints about the image. Lange was one year younger than Thompson, and under dif- ferent circumstances, they might have had much to say to each other. But Lange was anxious to get home and stayed for a short time. Realistically, however, given the differences in their cultures based on their economic situations alone, commu- nication between them would have been difficult.

Another controversial aspect of the photograph was the way it was manipu- lated in two different ways. In a later version of the print, part of a hand and a thumb holding a tent flap was airbrushed from the image (Figure 11.7). But more significantly, the picture was a stage-man- aged setup by Lange. This fact should not be surprising given Lange’s roots as a portrait photographer. Linda Gordon in the Los Angeles Times wrote, “Always a portraitist, she never sought to capture her subjects unaware, as a photojournalist might.”

When one studies the images of Thompson and her family members in the order they were taken, the collaboration between Lange and the children is espe- cially marked by an obvious degree of stage managing. The initial image shows 14-year- old Viola sitting glumly on a rocking chair inside the tent. Daughter Katherine smiles at the camera while Thompson holds baby Norma and looks behind her for Ruby who hides behind her back. The next picture is a formal and stiff portrait of the family group. Viola is now in front of the lean- to tent sitting awkwardly on the rocker.

Figure 11.6 “Madonna dell Granduca,” c. 1505, oil on wood, by Raf- faello Sanzio. Known simply as Raphael, the High Renais- sance Italian painter shared the era with Leonardo da Vinci and Michelangelo. Typical of the times, he was orphaned at an early age but through an uncle found apprenticeship work where he learned his craft. Best known for his religious works, many of his paintings can be found at the Vatican. He died on his birthday at the age of 37 after having exuberant sex with his mistress. Many have compared Lange’s “Migrant Mother” with Raphael’s Madonna and Child because of the downward, worried gaze of the mother in the painting.

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Figure 11.7 Compare the lower-right corner of this original version of “Migrant Mother” with the retouched photograph that starts this chapter and you will notice the distracting thumb that is probably her eldest daughter Viola’s as she holds the tent flap out of the way. The retouched, darkened thumb is a picture manipula- tion that was common in the day.

Figure 11.8 In this formal portrait of the family group, the older Viola strikes a model’s pose as she sits awkwardly on the cane rocking chair as (from left) Ruby, coaxed from behind her mother and wearing a wool cap, Katherine, Florence, and baby Norma are inside the lean-to tent. Lange is now obviously stage-managing this situation, an ethical viola- tion for documentary and news photographs by today’s standards.

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away to avoid the distraction of their faces. Although such overt manipulations of a news photograph would be discouraged today and could get a photojournalist fired, the ethics of that time were different.

Inside the tent Ruby, who wears a wool cap, has been coaxed to join the others for a picture (Figure 11.8). As an experienced image maker, Lange knew that a family portrait with an older girl would not be an emotionally powerful image, so for the next three pictures, Lange moved in close to concentrate on Thompson with her small children. In one, she nurses the baby (Figure 11.9). In another, Ruby rests her chin on her mother’s shoulder without her knit cap (Figure 11.10). In the third Ruby leans her head more comfortably on the shoulder while grasping the tent pole. With its vertical view that includes the crude camp-life necessities of a kerosene lamp, a tin plate, a suitcase used as a table, a wed- ding ring, and a view of the barren ground beyond the tent, this image is a strong document of the Dust Bowl and further demonstrates Lange’s photographic artistry (Figure 11.11). Finally, the famous portrait is a close-up of Lange looking into the dis- tance with the two children told to turn

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Lange and Thompson came from dif- ferent worlds with no common bond except being at the same place at the same time. The camera became the basis for their relationship that lasted a little longer than the shutter was open. For Thompson the person, not Thompson the public icon, the image revealed a weary numbness in which she was prob- ably too polite or helpless to refuse being photographed. But she was saying “no” in the photograph the only way she could. She looked off as if wishing this “city girl” would move on and leave her alone. The image forever stereotyped Florence Thompson as a homeless matriarch who could survive only with contributions from the public. Never mind that she had worked hard to feed and clothe her fam- ily as best she could, given the country’s and her family’s economic hard times. That is why she was probably upset that the picture was published. As such, “Migrant Mother” is a study not only of Great Depression photography but also a commentary on the ethics of manipu- lation and the right to privacy of those pictured.


Photography runs the gamut from sim- ple, amateur snapshots to enormously expensive professional enterprises. Artists use images to express their inner emo- tions, commercial photographers to sell products and ideas, visual journalists to illustrate the lives of those in the news, and scientists to make an unseen world visible. With equipment that ranges from less than ten dollars to several thousand dollars, photographers take and preserve millions of images every year. The great Irish playwright and humorist Bernard Shaw, himself an amateur photographer, once said about the medium, “I would willingly exchange every single paint- ing of Christ for one snapshot.” Such a sentiment speaks directly to the power of photography. An image is considered truthful and believable—so much so that it is used as evidence in courts of law. Time will tell if the notion of “seeing is believing” remains for the medium in the digital era.

Figure 11.9 (top left) Wisely, Dorothea Lange quit taking overall portraits and moved in closer to concen- trate on Florence Thompson. Although much richer in content than the famous portrait, with the breast- feeding baby, kerosene lamp, and wedding ring, this photograph does not have the same emotional quality as “Migrant Mother.” Notice that the edge of the canvas tent flap hangs parallel with the wooden pole.

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Figure 11.10 (top right) Dorothea Lange moves in a little closer. Five-year-old Ruby unnaturally rests her chin on her mother’s shoul- der, is not wearing her wool cap, and the tent flap has been pulled back, probably by Viola. All of this stage managing was no doubt suggested by Lange.

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Figure 11.11 If “Migrant Mother” had never been created, this photograph would have been revered as a powerful portrait of migrant life, with probably as much attention given to it as its famous cousin. Florence looks just as forlorn as in “Migrant Mother” and little Ruby now seems more comfortable with one hand on her moth- er’s shoulder as she grasps the pole with the other, but this image also contains more information with the addition of the simple metal plate and worn trunk used as a table and the outside, forbidding farm field beyond the tent’s inadequate shelter.

Figure 11.12 Although inexpensive cam- eras with automatic expo- sure and focus capabilities do not produce professional quality images, they make photography a fun and popular hobby for millions of persons. A tourist (the author’s mother) in New York City captures a mem- ory from her hotel window.

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(Figure 11.12). Not surprisingly, most victims of catastrophic events caused by wind, water, or fire report that after the secured safety of their loved ones, what they most regret and wish could have been preserved from their destroyed houses were their precious photographs.

Personal Perspective

After learning how to use paint on fin- gers, a pencil, and a brush, many children are introduced to a simple point-and- shoot camera, often their first contact with the image-making process using a machine. Although their first attempts may be out of focus, blurred, off-center, or incorrectly exposed, they are never- theless awed by the magic of capturing light and seeing it on a computer screen. Part of the joy of photography is that high-quality pictures can be taken with relative ease—the machine itself is easy to master.

Moments captured by amateur pho- tographers are a combination of space and time that often are prized possessions preserved in ornate frames and leather- bound albums. Pictures give evidence of a trip once taken, a car long since sold, and a baby who is now a grown woman. We use photographs not simply to show others where we have been, what we possess, or whom we have loved, but to remind ourselves of those important events, things, and people in our lives

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Historical Perspective

The camera predates the photographic process by at least 1,000 years. Aristotle wrote about the phenomenon of light that produces an upside-down view of the outside world through a pinhole in one wall of a darkened chamber, called a cam- era obscura. From what is now Iraq, Abu Ali Hasan Ibn al-Hayitham, or simply al Hazen to his Western friends, was the first to use the principle to watch an eclipse of the sun inside a tent in the year 1000 to solidify his ideas about the speed of light and the fact that light travels in straight lines for his scientific work Book of Optics published in 1021 (Figure 11.13). Artists used the camera obscura as a tool to trace rough sketches of natural scenes on paper or canvas, to be filled in later with paint. In the 2003 motion picture Girl with a Pearl Earring, the artist Jan Vermeer shows

the maid, Griet, how to see images with the device. The camera obscura device led to the idea of using photosensitive materi- als in place of a canvas (Figure 11.14).

Throughout the history of photogra- phy, nine main photographic processes have preserved the views captured through the camera obscura: the heliograph, the daguerreotype, calotype, wet-collodion, color emulsions, gelatin- bromide dry plate, holography, instant, and digital (Figure 11.15).


Joseph Nicéphore Niépce has been called the founder of photography because he produced the first permanent photo- graph, which can still be viewed. Born to rich and well-educated parents in 1765 in the town of Chalon-Sur-Saône, France, about 350 kilometers southeast of Paris, he became interested in the many

Figure 11.13 Abu Ali al-Hasan ibn al- Haytham or al Hazen is the figure on an Iraqi ten-dinar bank note (worth about one U.S. penny) in 1982. Born in Basra in 965 ce, his scien- tific achievements include significant contributions to astronomy, medicine, and visual perception. He is considered the founder of modern optics.

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Figure 11.15 (right) As this 19th-century wood- cut shows, before light meters were invented, pho- tographers looked to the sky to gauge the intensity of the sun during an exposure.

Figure 11.16 “View from the Window at Le Gras,” heliograph, c. 1826, by Joseph Nicéphore Niépce. For photography to become a successful medium for vis- ual communication, inven- tors needed to use light- recording materials within a camera that (1) could produce a sharp image, (2) stop fast action, (3) could be easily reproduced, and (4) was simple to operate. With this heliograph, considered the first photographic image produced by the French inventor, none of those con- ditions were met.Co

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and amateur inventor who used Niépce’s basic work to produce the first practical photographic process.


Louis Jacques Mandé Daguerre was born in 1789 in Cormeilles, France, just north of Paris. He became famous in that city for his dioramas, illusionary pictorial effects with painted backdrops and lighting changes. An optician who supplied lenses

scientific and technological discoveries of the day. At the age of 51, Niépce began work that eventually led to the photo- graphic process. In an attempt to improve upon the recently-invented lithographic process for making printing plates, he discovered that bitumen of Judea (a type of asphalt) hardened when exposed to the sun. After the soft, unexposed parts of the picture were washed away, the result was a positive image. Niépce placed his asphalt emulsion on a pewter plate within a crudely constructed camera obscura and produced the world’s first photo- graph—the view outside his home—in 1826 (Figure 11.16). It was the first and only photograph that Niépce ever made. The image now is a part of the Gernsheim photography collection at the University of Texas. The faint picture is encased within a Plexiglas frame where xenon gas protects it from deterioration.

Niépce named his process heliography (Greek for “writing with the sun”). The process never attracted much public attention because the exposure time required was about eight hours, the image was extremely grainy in appearance, it appeared to be out of focus, and the pub- lic never learned of the procedure until many years after Niépce’s death. Never- theless, the process did attract the atten- tion of Louis Daguerre, a theatrical artist

Figure 11.14 (left) This replica of the tabletop camera obscura used by the inventor William Henry Fox Talbot was built for the Science Museum (London). Similar to a photographic camera, an artist would look through the viewfinder at the top, focus the image by sliding the lens in front back and forth, and make a drawing on thin tissue paper. Little wonder inven- tors thought of this device as a way of preserving images through chemical means.

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for Niépce’s camera obscura told Daguerre about the heliographs. At the age of 64, in ill health and in serious financial difficul- ties, Niépce reluctantly signed a contract with Daguerre to share information about the heliographic process. In 1833, Joseph Niépce died before seeing the results from Daguerre’s experiments, but his son Isidore maintained the partnership. Daguerre switched from pewter to a copper plate

and used mercury vapor to speed the exposure time. These technical changes resulted in a one-of-a-kind, reversed image as if seen in a mirror, of extraordi- nary sharpness (Figures 11.17 and 11.18). Daguerre modestly named the first practi- cal photographic process the daguerreo- type (Greek for “Picture by Daguerre”).

On January 7, 1839, the French astrono- mer Arago formally announced Daguerre’s invention to the prestigious Academy of Science. Upon seeing the wondrous exam- ples, the American physician and author Oliver Wendell Holmes Sr. dubbed the reversed daguerreotype image a “mirror with a memory,” while John Ruskin wrote in a letter to his father in 1845, “Daguerreo- types taken by this vivid sunlight are glori- ous things. It is very nearly the same thing as carrying off a palace itself—every chip of stone and stain is there.” The French gov- ernment paid Louis Daguerre and Isidore Niépce an annual pension in return for making the process available to the public.

The precious, positive, one-of-a-kind portraits were an instant hit because com- mon people could finally afford to have a

Figure 11.17 The incredible sharpness of the daguerreotype proc- ess is evident in this image taken by an unknown photographer before 1851. The view shows retail stores and homes of Portsmouth Square in San Francisco. The area is now known as the “Heart of Chinatown.”

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Figure 11.18 Born in Massachusetts in 1791, Samuel Finley Breese Morse was an accomplished painter most famous for his invention of the telegraph and his dot-dash code. In 1830 he traveled to Europe to study painting where in Paris he met Louis Daguerre, the co- inventor of the daguerreotype. Morse helped spark its devel- opment in America by estab- lishing one of the first studios in New York and taught Mat- thew Brady, among others, the process. The one-of-a-kind special quality of the image is indicated by the elaborate frame and case.

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Figure 11.19 Cover of The Pencil of Nature, 1844, by William Henry Fox Talbot, the first book printed with photo- graphs.

picture made of themselves. Before, only the wealthy could afford to hire an artist to paint a picture, which is why museums are mostly filled with images of the rich. Daguerreotypes were often displayed within elegantly crafted miniature boxes made of papier-mâché, leather, or highly finished wood. Samuel F. B. Morse, inventor of the dot-dash code used in telegraphy, opened the first photographic studio in New York City and taught many entrepre- neurs, including the famous photographer Mathew Brady, the process. With a faster chemical process, a larger lens that let in more light, and a smaller plate size, expo- sure times were reduced to 30 seconds.

The new process needed a name other than a derivative of Daguerre. England’s Sir John Herschel coined the word photogra- phy for the new light-sensitive process, from the Greek words that mean “writing with light.” However, the process, as stunning as it was, had two significant drawbacks—it produced a positive image that couldn’t be reproduced, and depending on lighting conditions, exposures were too long for fast action.


Coincidentally, a different photographic process was announced the same month as the daguerreotype. Sometimes referred to as the talbotype, the calotype (Greek for “beautiful picture”) was invented by William Henry Fox Talbot. The process is the foundation for modern photography.

Talbot was born in Dorset, England, in 1800. After being educated at Trinity Col- lege in Cambridge, he devoted the next 50 years of his life to studying physics, chemistry, mathematics, astronomy, and archaeology. In 1833, while vacationing in Italy, he came to the conclusion that images from a camera obscura could be

preserved using light-sensitive paper. After several experiments upon his return home in August 1835, he produced a one-inch- square paper negative of a window of his house. He then produced a positive pic- ture by placing another sheet of sensitized paper on top of the negative image and exposing it to the sun. The exposure time was about three minutes in bright sunlight. Talbot continued to produce many views of his estate, which were later collected in the first book illustrated with photographs, The Pencil of Nature, published from 1844 to 1846 (Figure 11.19). The work was pub- lished without binding to subscribers who were meant to collect all 24 plates and pay to have the pages bound. But due to a lack of interest from the public, only six plates were created (Figure 11.20). The calotype process never became widespread because of two reasons—its quality when com- pared with daguerreotypes, and Talbot’s insistence on making the process available

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collodion in 1847 solved that problem. A mixture of guncotton or nitrocellulose dissolved in alcohol and ether, collodion was used to protect wounds from infec- tion. When poured on any surface, it forms a tough film. Archer mixed collo- dion with light-sensitive silver nitrate.

His wet-collodion process produced glass negatives of amazing detail and subtlety of tone that could be used to make hundreds of positive prints. The exposure time was a remarkable 10 sec- onds. Although the process required that the glass plate be exposed while moist and developed immediately, serious por- trait and documentary photographers around the world used the wet-collodion process for the next 30 years. Most of the photographs taken during the Ameri- can Civil War, for example, utilized the wet- collodion process. However, with the long exposure times, only before and after battle scenes could be captured (Figure 11.21). This era also saw the intro- duction of several processes that were popular with the public such as inexpen- sive wet-collodion tintypes (images on metal plates), ambrotypes (images on paper), and albumen prints, a process that used egg whites to bind the photographic emulsion to paper, which was usually used to print small calling cards that were handed out between friends and business associates called carte de visites.

Color Emulsions

Scottish physicist James Clerk Maxwell is credited with producing the first color slide. In a lecture to the Royal Institu- tion in London in 1861, he admitted that his work was influenced by Thomas Young’s discoveries about the eye’s color perception. Maxwell made three separate pictures of a ribbon through red, green,

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Figure 11.20 “Plate VI—The Open Door,” 1844, by William Henry Fox Talbot. What Talbot wrote about the picture is also a call for being more observant generally: “This is one of the trifling efforts of [photogra- phy’s] infancy, which some partial friends have been kind enough to commend. A painter’s eye will often be arrested where ordinary peo- ple see nothing remarkable. A casual gleam of sunshine, or a shadow thrown across his path, a time withered oak, or a moss covered stone may awaken a train of thoughts and feelings, and picturesque imaginings.” With Talbot’s calotype process, photogra- phy satisfied one other con- dition for its popularity—a negative image that could easily reproduce any number of positive prints, but the pictures weren’t as sharp as daguerreotypes.

only to those who paid for the formula. Because a positive image had to print through the paper fibers of the negative view, Talbot’s pictures never achieved the sharp focus of daguerreotypes. Further- more, unlike the daguerreotype process that was released by the French govern- ment, Talbot charged interested parties a large sum to learn the secret of the calotype. Consequently, few took him up on his offer. Nevertheless, the process represents the first instance in which the modern terms negative and positive were used. Once a negative image was created, any number of positive prints could be made. This concept is the basis for modern photography and encouraged economic development of the medium until it was replaced by digital photography.


In March 1851, the year Louis Daguerre died, Frederick Scott Archer published his formula for all to read in a popular jour- nal of the day, The Chemist. Archer was a British sculptor and part-time calotype photographer. He had grown weary of the poor quality of prints obtained from using paper negatives. He suggested glass as a suitable medium for photographic emulsion. The problem with glass, how- ever, was in making the emulsion adhere to its surface. However, the invention of

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n Figure 11.22 “Tartan Ribbon,” 1861, by Thomas Sutton. The Scottish physicist James Clerk Maxwell had Thomas Sutton pho- tograph a Scottish “tartan” ribbon three times, each time with a different color filter over the lens. Ironically for Maxwell, who identified the electromagnetic spectrum, the photographic emulsion used for the picture was not sensitive to the red wave- length. However, the red dye of the day used in the ribbon fluorescently created the “red” color for the film. See color insert following page 338.

colored potato starch grains randomly throughout a photographic emulsion. Although the film was quite expensive for the day, photographers immediately favored autochrome because of the qual- ity of the images produced.

Gelatin-Bromide Dry Plate

Dr. Richard Maddox of London was an amateur scientist who helped change the face of photography and sparked motion pictures. A medical doctor and amateur

Figure 11.21 “Battle-field of Gettysburg— Dead Confederate sharp- shooter at foot of Little Round Top,” 1863, by Timothy H. O’Sullivan. Since the famed photographer Mathew Brady was practically blind by the time of the American Civil War, he hired several photog- raphers to take photographs for him. One of those was Timothy O’Sullivan, who made this silent study of a young sniper’s body using Frederick Archer’s wet-col- lodion process. Now, the pho- tographic medium had two conditions met—sharp images that were reproducible.

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and blue colored filters. When he pro- jected the three separate images with the colored light from each filter at the same time and aligned the views, a color slide was the result (Figure 11.22).

But because of the impracticality of Maxwell’s discovery, attention soon focused on color print materials. In 1903, Auguste and Louis Lumière, important figures in the history of motion pictures, started selling their autochrome photo- graphic plates to the public. The Lumière brothers mixed red, green, and blue

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scientist and photographer, he was look- ing for a substitute for collodion as a pho- tography emulsion. After experimenting with a number of sticky substances, he tried gelatin, an organic material obtained from the bones, skins, and hooves of ani- mals. The result was a light-sensitive emul- sion with silver bromide that could be manufactured, stored, and exposed much later by a photographer, unlike the wet- collodion process that had to be taken with the emulsion damp and developed immediately.

With his invention, photography was advanced to a point at which it could truly be a successful mass medium. It now had exposure times that could stop fast action, sharply focused images, and a neg- ative that could produce any number of positive prints. Maddox’s discovery led to the invention of motion picture film after

Figure 11.23 Frank Church made one of the first snapshots in the history of photography. It shows George Eastman hold- ing his invention—a Kodak camera—that made amateur photography possible. Now the photographic process was complete with sharp images, fast shutter speeds, easily reproducible images, and so simple a child can be a photographer.

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the American Thomas Edison saw stop- motion images of animals and persons as discussed in Chapter 12.

His photographic process also started the amateur photography craze after an innovation by an American inven- tor. George Eastman of Rochester, New York, invented cameras that used gelatin dry plate films in long rolls. In 1888, he introduced his $25 Kodak camera (in today’s dollars, the camera would cost about $500). Kodak simply was an eas- ily pronounced and remembered name that he invented (Figure 11.23). With the motto “You push the button—we do the rest,” the camera came loaded with 100 exposures. After taking all the pictures, a customer mailed the camera back to Rochester where the round negatives were printed. The camera was reloaded with film and sent back. By 1900, Eastman was

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selling his enormously popular cameras for one dollar each ($20 today).


In 1947, Hungarian scientist Dennis Gabor developed holography to improve the sharpness of views obtained with an elec- tron microscope. The unique aspect of holographic images is that they reproduce a three-dimensional view of an object pho- tographed on one sheet of film. Russian researcher Yuri Denisyuk created a slightly different process that is used today to dis- play logos on credit cards, unique jewelry and art presentations, novelty stickers for children, and for publications (Figure 11.24). One of the first mass-produced holographic displays was a picture of an eagle for the March 1984 cover of National Geographic, which featured stories on holography, China, Calgary, Canada, and the rhinoceros. In 2009 an opening bid for the issue was set at $2.99.


Edwin Land was a prolific American inventor with more than 500 patents to his name. In 1948, he introduced his most famous invention—the black-and-white Polaroid 50-second film camera. Instant photography was born. About 15 years later he announced a color version, calling it Polacolor. Once popular with married couples on their honeymoons and with artists and other professional photogra- phers, the process has been replaced by digital cameras (Figure 11.25). However, artists such as William Wegman have used large-format, 20 × 24-inch cameras to produce fine-quality, one-of-a-kind Polaroid portraits. Another such artist is Stephanie Schneider, who manipulates the colors with heat and pressure to produce

Figure 11.24 A holographic image, such as this one from the Massa- chusetts Institute of Technol- ogy (MIT) Museum, when printed in a textbook will not reproduce the engaging three-dimensional effect when viewed on an acetate sheet from a single light source.

Figure 11.25 Polaroid photographs were once the process of choice for recording weddings and subsequent honeymoons such as these from a wed- ding and reception taken on a beach near San Francisco in 1989. These one-of-a-kind images should remind you of the early daguerreotype pictures—they are in sharp focus, but not easily copied.

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striking results. The Australian musi- cian Sia Furler used about 2,500 Polaroid images in an animation style for the pro- duction of a video for her song, “Breathe Me,” in 2004 (Weblink 11.1).


In 1981, Sony introduced its electronic still video camera, the Mavica (Magnetic Video Camera). Its two-inch disc could record only 50 color images, which were viewed on a television screen. As such, the camera was not technically a digital camera because it recorded an electronic video signal. Nevertheless, the camera started the era of digital photography, with all the major camera companies pro- ducing true digital models. After an expo- sure, photographers can use a program such as Photoshop and make exposure,

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color balance, and cropping adjustments, just as in a traditional darkroom. The computer images can then be sent to anyone in the world via a cell phone or a wireless connection.

Technical Perspective

It shouldn’t be surprising that a camera’s parts and functions are similar to those of the eye. Knowledge of the physical workings of the eye directly helped in the camera’s development. The essential elements of a camera are housed within a protective box; the eye is protected by an outgrowth of the skull. A visual art- ist often uses a drop of solution to clean the glass elements of the lens of dust and smudges; the eye has a built-in lens-clean- ing system with its salty tears. The shutter regulates the amount of time a computer chip is exposed to light; the eyelids open and shut so that vision is possible. The aperture is an opening that lets light enter

the camera; the pupils with their compan- ion muscles perform the same function for the eye. The lens focuses the outside image to a point at the back of the eye or the camera’s dark chamber. In photogra- phy, a sheet of thin, light-sensitive emul- sion or an electronic process records the picture. Photoreceptors in the back of the eye process the light rays. Photographers manipulate and print their images in a darkroom or on a computer; humans pro- cess their images within the visual cortex region of the brain.

Specifically, you should be aware of five main technical considerations when ana- lyzing your own or someone else’s image: lens type, lens opening, shutter speed, lighting, and image quality.

Lens Type

Lenses come in three variations: wide- angle, normal, and telephoto. As their names imply, a wide-angle lens gives a viewer an expansive, scene-setting view. The visual array photographed also has great depth of field—more is in focus. A normal lens mimics the angle of view as seen by the human eyes and is seldom used by professionals. A telephoto lens produces a close-up, narrow perspective of a scene with the foreground and back- ground compressed. It also has a shallow depth of field with little in focus. If a photographer wants a viewer to see many details at once, a wide-angle lens is pre- ferred over a telephoto (Figure 11.26).

Lens Opening

The opening of a lens is like the pupil in the eye—it regulates the amount of light that enters the camera. If you squint your eyelids, your pupils get smaller and more will be in focus. The same is true for a Cou

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Figure 11.26 “Firebomb Damaged Sale,” 1981. Life and sales go on in Belfast, Northern Ireland, despite violent actions from terrorist organizations. A wide-angle lens is used not only to show as much infor- mation along the edges of the frame as possible but also to give a viewer the illusion of being in the scene.

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typically use shutter speeds of 1/500th of a second and faster (Figure 11.29).


Photography exists because of light. Knowledge of how lighting is used by photographers is essential in the analy- sis of an image. There are two kinds

lens. A small opening or aperture will pro- duce an image with much a greater depth of field, whereas a large lens opening will have a shallow depth of field. Like the choice of the type of lens, a photographer can select elements of a scene she wants a viewer to notice by the choice of lens opening (Figures 11.27 and 11.28).

Shutter Speed

The amount of time a camera’s shut- ter stays open—its shutter speed—can greatly affect a picture’s content. A speed of 1/30th of a second or longer will usu- ally cause blurring of anything that moves. A faster shutter speed will stop motion and is required to overcome shaking of the camera during exposure (referred to as camera blur). An important feature of many modern cameras is motion stabi- lizer technology that produces a sharp image during longer shutter speeds and/ or jarring conditions such as on a motor- boat. An extremely fast shutter speed is necessary to photograph fast-moving sub- jects without blur. Sports photographers

Figures 11.27 and 11.28 “Vinton Cemetery #1, Califor- nia,” and “Vinton Cemetery #2, California,” 2002, by Gerry Davey. With a small aperture setting on a camera’s lens, objects close in the fore- ground as well as those in the distance are in focus. How- ever, if a large aperture set- ting is chosen, a photographer can chose what to emphasize within a picture’s frame by controlling focus.

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of lighting: lighting that comes from available sources and lighting that the photographer brings to a location. Natu- ral lighting, most often called available light, is illumination that already exists within a scene. Although its name implies light from the sun, it can also refer to incandescent bulbs, neon light tubes, or fire from a candle. Lighting equipment that a photographer brings to a photog- raphy shoot or that is contained within a studio is called artificial lighting. The most commonly used artificial light for location work is the electronic flash.

Image Quality

Learning how to evaluate the quality of an image in terms of its exposure and contrast is important. A picture that will reproduce well in a publication or

for a web page must have a full range of tones supplied by proper exposure and contrast. As a general rule, a pic- ture is considered properly exposed if it shows detail in the shadow areas and in the light areas. Contrast is defined as the difference between the black and white tones of the image. A low con- trast image has little differences in light and dark areas; a high contrast picture has extreme differences (Figure 11.30). With color correcting software within a program such as Photoshop, a photogra- pher can make most images, even those poorly exposed, acceptable for viewing. For web presentations a pixel-per-inch, or dots-per-inch (DPI), resolution of 72 with GIF, JPG, or PNG picture formats is fine. For printed work, however, a DPI of 300 or greater saved as a TIF file is preferred.

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Figure 11.29 An example of the stopping quality of a camera’s shutter is provided by this picture of a young boy seeking relief from the 100-degree heat in Del Rio, Texas. Note how the mesquite tree in the back- ground seems to cradle the boy in space.

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showed their viewers the full extent of the war with gruesome depictions and wondered why their Western media coun- terparts were sanitizing the violence. The difference may be one of editorial intent.

The executive director of “NBC Nightly News” explained, “You watch some Arab

Ethical Perspective

Visual communicators must be aware of five major ethical concerns whenever images are used. Two of those concerns— visual persuasion and stereotypes—have been discussed. The three other main eth- ical issues are showing victims of violence, violating rights to privacy, and picture manipulations.

Victims of Violence

After the publication or broadcast of a controversial image that shows, for exam- ple, either dead or grieving victims of vio- lence, people often make telephone calls and write letters attacking the photogra- pher as being tasteless and adding to the anguish of those involved. And yet, vio- lence and tragedy are staples of American journalism because readers have always been morbidly attracted to gruesome stories and photographs. It is as if viewers want to know that tragic circumstances exist but don’t want to face the uncom- fortable details (Figure 11.31).

During the war in Iraq that began in March 2003, about 500 journalists were “embedded” with military troops dur- ing the initial stage of the conflict. What resulted was an unprecedented access to fighting areas. Editors were faced with tough choices. Many of the images taken by photojournalists showed bloodied combatants and civilians—victims of the ravages of war. In a New York Times article, for example, a picture submitted to Time magazine was described as “the bloodied head of a dead Iraqi with an American soldier standing tall in the background.” And yet, few images of corpses were ever shown to American print readers or tele- vision or web viewers. Arab and other news agencies around the world, however,

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Figure 11.30 With a selected exposure that creates a high contrast between the dark shadows and the sunlit wall, the diago- nal lines and outline shape of the wild parrot are empha- sized.

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Figure 11.31 The front page of the Bakers- field Californian is a study in contrasts. Mickey Mouse and Edward Romero’s grieving family share the front page. A reader firestorm of 500 letters to the editor, 400 telephone calls, 80 subscription cancel- lations, and one bomb threat resulted. Many readers prob- ably were sparked to protest publication of the picture because of its insensitive dis- play near the popular cartoon character.

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coverage and you get a sense that there is a blood bath at the hand of the U.S. mili- tary. That is not my take on it.” The dif- ference may also be a judgment call based on the taste for such images by readers and viewers. The managing editor of Time, James Kelly, admitted, “You don’t want to give the reader a sanitized war, but there has to be some judgment and taste.”

Susan Sontag, author of Regarding the Pain of Others, took a skeptical view when she stated, “I am always suspicious when institutions talk about good taste. Taste belongs to individuals.” Taste—the presumed appetite of viewers to stomach gruesome and/or controversial images—is a matter of etiquette, not ethics. The news media should report what a govern- ment does in its people’s name. Some- times that means grisly images must be a part of those reports. As Ted Koppel, then of ABC’s “Nightline” said, “The fact that people get killed in a war is precisely what people need to be reminded of.”

Although against the Geneva Conven- tions, prisoners are also tortured during

wartime—whether during a declared war or the so-called “War Against Terrorism” waged by the United States and other countries. But it is rare to see visual evi- dence of such abuse. The chilling images of the torture of Iraqi prisoners at Abu Ghraib in 2003 and 2004 with many that were hooded, naked, and forced to simu- late sexual acts by military personnel was appalling and shameful to most everyone who saw them (Figure 11.32). In this age of high quality and relatively inexpen- sive digital cameras and camera phones, battlefield images taken by the soldiers themselves will no doubt reveal other horrors of war to which seasoned photo- journalists will not have access. Perhaps not surprisingly, the Pentagon has banned digital cameras—including camera phones—from U.S. Army bases in Iraq. In 2009 President Obama reversed an earlier decision to release photographs “depicting alleged abuse of detainees by U.S. soldiers” for fear it might “further inflame anti- American opinion and to put our troops in greater danger.” However, newspaper editorials and the American Civil Liberties Union make the point that the images are part of the historical record and should be made public. Regardless of the outcome that will be decided by the court system, the controversy shows how images more than words are highly emotional objects.

Gruesome images closer to home can have a longer impact on viewers. Reporter Charlie LeDuff of The Detroit News received a telephone call telling him that there was a body “encased in ice, except his legs, which are sticking out like pop- sicle sticks” within an elevator shaft of an abandoned warehouse. Wanting to make sure of the facts before he called police, he investigated and found the gruesome scene. The resulting story and published image shocked the citizens of Detroit and Cou

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Figure 11.32 Images of tortured victims taken with digital cameras and shared via CDs and e-mails by U.S. military per- sonnel stationed at the Abu Ghraib prison in Iraq in 2003 and 2004 were eventually released to the public and shocked the world. Most of these gruesome pictures were not printed in newspapers, but can be easily found on the web.

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videos of returning war dead at Dover Air Force Base in Delaware in 1991. It was said that the policy was made out of respect for the families’ privacy. But when Russ Kick of “The Memory Hole” website was given 288 images of war dead from Afghanistan and Iraq after filing a Freedom of Information Act request, he posted the images on his website (Weblink 11.3). Many newspapers around the country published an image from the collection on their front pages (Figure 11.33). John Molino, a deputy undersecre- tary of defense, explained that the photo- graphs, taken by military photographers for historical purposes, were censored because “we don’t want the remains of our service members who have made the ultimate sacrifice to be the subject of any kind of attention that is unwarranted or undignified.” However, a Boston Globe editor said, “I don’t know how [the pub- lishing of the images] can be disrespectful to the families. They are official photos of flag-draped coffins being treated with respect by military personnel.” In 2009 during the Obama Administration, the Pentagon changed its policy and allowed families of the war dead to decide

the nation. LeDuff’s report illustrated that hard economic times, with over 20,000 persons homeless, sometimes caused cal- lous behavior that should be prevented whenever possible. A month after the gruesome find, the body was identified as a homeless man named Johnnie Redding. LeDuff described his sad life and burial in subsequent stories (Weblink 11.2).

Print and broadcast journalists have a duty to report the news as objectively, fairly, and accurately as possible. Editors and producers should be mindful that some images, because of their emotional content, have the potential to upset many people. However, decisions should be guided, never ruled, by readers and view- ers. One solution attempted by some media organizations is to show contro- versial pictures on a website with a strong disclaimer. That way a user can decide whether or not she wants to click on the link and see the image.

A Right to Privacy

Florence Thompson looked away from Dorothea Lange’s camera lens in the famous “Migrant Mother” photograph because that was the only way she thought she could protect her privacy. When subjects of news events and their families, through no fault of their own, are suddenly thrust into the harsh light of public scrutiny, they often complain bit- terly, as Thompson did the rest of her life.

Many readers of newspaper and maga- zine special editions recoiled in horror at the images of people falling from the World Trade Center twin towers. Some of the com- plaints from viewers were made because it was thought family members might be able to recognize the person falling.

U.S. military officials banned pho- tojournalists from taking pictures and Cou

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Figure 11.33 Flag-draped coffins line the inside of a military transport plane as soldiers honor the dead by standing at atten- tion and saluting. From World War II on, government officials have often censored photographs of those killed in combat from the public on the grounds that they violate the privacy of the soldiers and their families, but more often than not, such images honor those who have fallen rather than exploit them.

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Picture Manipulations

Since the birth of photography, photog- raphers have manipulated subjects and images to produce the result they desired. Hippolyte Bayard was the French inventor of a unique photographic process who did not receive the attention or pension of Louis Daguerre. In protest, he faked his own death in an 1839 photograph. It is the first example of a manipulated image in the history of photography (Figure 11.34). Roger Fenton, one of the most respected war photographers in history, moved cannonballs during the Crimean War in 1855 to make his “Valley of the Shadow of Death” image more harrowing. Coming from a painting tradition in which subjects and compositions were regularly manipu- lated, the Swiss Oscar Rejlander in 1857 produced a good versus evil tableau called “The Two Ways of Life” using at least 30 separate pictures within the composition (Figure 11.35). Before the invention of the halftone process, skillful engravers regu- larly altered the content of photographs. For example, artists regularly added and subtracted subjects portrayed in photo- graphs for their printed engravings of the American Civil War. A curious artistic pro- cess common in newspaper photographs from the turn of the 20th century until as late as the 1970s was the heavy retouching of news images. Retouchers with paints, inks, airbrushes, and scissors “would remove backgrounds to make stark silhou- ettes or add additional elements, including cut-in vignettes or cutaway diagrams of events.”

Critics get most upset when images intended for documentary and news pur- poses are altered for aesthetic reasons. The wake-up call for many was a 1982 cover story on Egypt in National Geo- graphic. A pyramid in Giza was moved

whether to invite the media to their reunion with their loved ones in a casket. The return of the flag-draped coffin con- taining the body of 30-year-old Air Force Staff Sergeant Phillip Myers of Hopeville, Virginia, was the first fallen soldier cov- ered by the media under the new policy.

The judicial system in America has recognized that private and public per- sons have different legal rights in terms of privacy. Privacy laws are much stricter in protecting private citizens not involved in a news story than they are for public celebrities who often invite media atten- tion. As many as 60 paparazzi (if it’s Britney Spears or Paris Hilton) regularly stake out the places where celebrities shop and go clubbing on a 24/7 basis. The general public often justifies such extreme behavior because of the intense interest in the celebrities. Tabloid magazines, tele- vision shows, and websites pay as much as $100,000 for an exclusive picture that shows a private moment of a troubled star. Although photographers need to be aware of the laws concerning privacy and trespass, ethical behavior should not be guided by what is strictly legal.

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Figure 11.34 “Self-Portrait as a Drowned Man,” 1840, by Hippolyte Bayard. The French inventor Hippolyte Bayard created the first practical photographic process that predated the daguerreotype, had the first public exhibition of photo- graphs, made the first self- portrait, and created the first manipulated picture in the history of medium. Frustrated by not receiving recognition from the French government that Daguerre and Niépce enjoyed, Bayard staged a photograph with a caption that read, “The corpse which you see here is that of M. Bayard. The Government which has been only too gen- erous to Monsieur Daguerre, has said it can do nothing for Monsieur Bayard, and the poor wretch has drowned himself.”

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by computer software to accommodate the vertical format (Weblink 11.4). Read- ers who had been to Egypt immediately contacted the magazine to question how the image could have been produced. As a result, the director of photography at the time was forced to resign, and all of the images and words within the maga- zine were subject to question. You may purchase this famous cover on eBay for a starting bid of $9.99.

The police mug shot of O.J. Simpson arrested for the murder of his wife and her friend in 1994 was used for the covers of Time and Newsweek magazines the same week (Weblink 11.5). The Time cover was criticized for illustrator Matt Mahurin’s darkening of O.J.’s facial features, which some said was a slap at all African Ameri- cans, and yet Newsweek was never criti- cized for the manipulation of the words on the cover, “A Trail of Blood.” Brian Walski of the Los Angeles Times was fired for a photo composite he created while a photojournalist covering the war in Iraq (Weblink 11.6). No doubt fatigue, tough conditions, and competition were factors responsible for him combining parts of

two images into a third. However, there is no good reason for such an ethical lapse. Credibility is a precious commodity that should be protected with as much fervor as can be mustered.

But there is little credibility with some types of photography. Wedding and por- trait photographers remove unwanted warts and wrinkles from their subjects. Advertising art directors customarily combine parts of pictures, change col- ors, and create fantasy images to attract customers. Most persons are well aware of such practices and knowingly suspend disbelief when looking at portrait and advertising images. Still, examples such as a Newsweek cover photograph of Martha Stewart’s smiling face just after she was let out of prison sitting on top someone else’s body, a portrait of CBS News anchor Katie Couric with a digitally slimmed waist, and tennis player Andy Roddick with computer-enhanced arms on the cover of Men’s Fitness, all help to degrade the photographic medium’s credibility as a whole. Ironically, during the 2008 presi- dential campaign, many criticized a close- up portrait of Governor Sarah Palin on

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Figure 11.35 One of the first images to be manipulated by a photogra- pher was Oscar Rejlander’s “Two Ways of Life.” He spliced 30 separate pictures together to form the composite. Gambling, drinking, sexual activity, and vanity are the themes to the young boy’s right, and pious behavior, education, philan- thropy, and hard work are pre- sented on the other side.

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the cover of Newsweek because it wasn’t touched-up.

Cultural Perspective

The story of photography, as with any other medium, is never simply about the technical contributions made by scientists and inventors to improve the process. Technological advances allow photogra- phers to communicate the cultural values of the time, but a photographer’s style is formed by the culture in which the pictures are made. Studying the images produced within a certain time period is a study of the society from which they come. Throughout the history of photog- raphy, various photographic styles have reflected the people and the times.

Photographer as Portraitist

One of the earliest uses of the photo- graphic medium was to capture the faces of people, both famous and ordinary.

Eventually, photography became a great equalizer. Because long exposure times and bright sunlight were required for early photography, Victorian portrait subjects appear to be grim, unsmiling people. In reality, they had to keep still in order to get the best picture possible.

In the 19th century, several photogra- phers created a photographic style that reflected the culture of the times. Scottish calotype photographers David Octavius Hill and Robert Adamson made sensitive studies of ordinary people. Julia Margaret Cameron, one of the few women in visual communication history, made dynamic images of her famous friends: Alfred Tennyson, Sir John Herschel, Thomas Carlyle, Charles Darwin, Robert Brown- ing, and Henry Longfellow (Figure 11.36). Gaspard Felix Tournachon, or Nadar, as he was known, matched his bold shoot- ing style with the strong personalities of the day. Before he photographed the Civil War, Mathew Brady had portrait galler- ies in New York and Washington. Brady is credited for the daguerreotype image of President Lincoln that appears on the redesigned five-dollar bill that was first issued in 2008 (Figure 11.37).

The portrait tradition continued with August Sander’s portraits of everyday Ger- man citizens before World War II, Diane Arbus’s direct and sensitive portraits of extraordinary subjects, Irving Penn’s series of everyday workers, Richard Avedon’s large-format images of known and unknown Americans, and Philip-Lorca Di Corcia’s “Heads,” portraits of random pedestrians at Times Square, New York. A standout in this genre is Annie Leibovitz, who made the sensitive portrait of John Lennon and Yoko Ono taken for Roll- ing Stone early on the day of the Beatle’s death, the naked and pregnant Demi Moore on the cover of Vanity Fair, and Cou

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Figure 11.36 “Sir John Herschel,” 1867, by Julia Margaret Cameron. One of the most respected individuals in the history of photography is the British astronomer and scientist Sir John Herschel. He not only discovered a way to make photographic images so they wouldn’t eventually fade if exposed to light, he also invented the cyanotype pho- tographic process later called “blueprints” used by the English botanist Anna Atkins and in architecture, created the first picture on glass, and came up with the terms “snapshot,” “negative,” “posi- tive,” and most importantly, the word “photography,” Greek for “writing with light.” Julia Margaret Cameron, born in India, took up photography when she was 48 years old. She eventually made portraits of many of the most impor- tant figures in the worlds of literature and science at that time.

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views with their awkward wet-collodion technology. In 1873, O’Sullivan made one of his most famous pictures at the ruins of “White House” at the Cañon de Chelle in Arizona (Figure 11.40). The power of photography to shape the opinion of oth- ers is demonstrated by these views of the land. The images became synonymous with what people thought of as natural and beautiful. Jackson, who lived to be 99 years old, made the first photographs of the Yellowstone area in 1871, which helped convince Congress to set aside the land as the country’s first national park because the land was viewed, within the photographs, as naturally beautiful. Fol- lowing in the footsteps of the early land- scape photographers, Ansel Adams, Wynn Bullock, and Harry Callahan all have made photographs that record exquisitely nature’s beauty and sharpen our sense of wonder of it. Contemporary New York photographer Paul Raphaelson captures hauntingly beautiful post-apocalyptic urban landscapes (Weblink 11.8).

Queen Elizabeth II during her state visit to Virginia (Weblink 11.7). Another is the relative newcomer Suzanne Opton, whose close-up portraits of American soldiers who have served in Iraq or Afghanistan have been shown in print, on websites, and on public billboards (Figure 11.38).

Photographer as Painter

Many painters feared that photography would soon replace their profession. To hedge their bets, some artists became photographers who mimicked the style of allegorical painters to tell a story with photographs in the tradition of paint- ings of the day. Two photographers who worked in this style during the 19th century were Oscar Rejlander and Henry Peach Robinson. Rejlander’s “The Two Ways of Life” was discussed earlier. Robinson’s most famous image, “Fading Away,” is a combination print using five separate pictures to show a young woman on her deathbed. Other photographers thought that the new medium should have its own style distinct and apart from that of painting. A photographic school known as “straight photography,” headed by Edward Weston and Ansel Adams, shunned manipulated work. Contem- porary photographers Vicky Alexander, Richard Prince, and Mike and Doug Starn use “cut-and-paste” techniques to pro- duce elaborate artistic renderings from their own or previously published pictures (Figure 11.39).

Photographer as Landscape Documentarian

Photographers have always enjoyed tak- ing pictures of natural scenes. When the American Civil War ended, Timothy O’Sullivan and William Jackson traveled west to explore and photograph scenic

Figure 11.37 “Abraham Lincoln,” daguerreo- type (reversed), 1864, by Mathew Brady. Born in upstate New York, Mathew Brady moved to New York City when he was 18 years old and learned the daguerreotype process from the American inventor of the telegraph, Samuel Morse, who had his own studio. Three years later Brady opened his own studio, and by the time of the American Civil War he was the most famous pho- tographer of his day. Despite reservations from friends, Brady hired and outfitted more than 20 photographers, including Alexander Gardner and Timothy O’Sullivan, to document the battles of the Civil War; Brady took credit for their photographic work. He spent more than $100,000 of his own money (equivalent to about $2.4 million today) and never recouped his investment. Depressed over his financial situation and the death of his wife, he died penniless in the charity ward of a New York hospital after being struck by a streetcar in 1896.

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Photographer as Artist

Many traditional artists have looked down on photography, thinking it a simple craft. Another problem artists had with photography was that any number of images could be made from a single negative. Therefore, acceptance of pho- tography as a fine art on the same level as painting was slow in coming. One of the most important figures in elevat- ing the medium to a fine art was the American Alfred Stieglitz (Figure 11.41).

Not only did he exploit photography’s unique technological features, he also opened a gallery that exhibited painting and photography on an equal footing and published a critical journal about photography, Camera Work. Married to artist Georgia O’Keeffe, he was a strong proponent of modern art photography and inspired many photographers to build that tradition. Recent photographers who view photography as a way of expressing a deeply personal statement include Lucien Clerque, Yasumasa Morimura, and Sandy

Figure 11.38 “Birkholz—353 Days in Iraq, 205 Days in Afghanistan,” 2007, by Suzanne Opton. For her “Soldier” series, Suzanne Opton photographed nine American soldiers who were between tours in Iraq and Afghanistan stationed at Fort Drum, New York. Of her series, Opton says, “We all experi- ence strategic moments when we feel most alive. These are the moments we will always remember, be they transcend- ent or horrific. After all, what are we if not our collection of memories? In making these portraits of soldiers, I simply wanted to look in the face of someone who’d seen some- thing unforgettable.”

Figure 11.39 “Attracted to Light 1,” toned silver prints on Thai mul- berry paper, 4 × 7.3 yards, 1996–2002, by Doug and Mike Starn. The size of this com- posite piece might evoke the Japanese science fiction classic Mothra (1961), the first of the Godzilla monster genre of movies, metaphors for the use of weapons of mass destruc- tion. At once aesthetically pleasing with subtle tones, tex- tual intricacies, and a gestalt sensibility, it is also slightly menacing as you become hyp- notized by the insect’s inces- sant stare. See color insert following page 338.

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Figure 11.40 Stereocard of “Ancient Ruins in the Cañon de Chelle, New Mexico,” 1873, by Timothy O’Sullivan. Born in New York City, Timothy O’Sullivan was a teenager when he was hired by Mathew Brady to work in his studio. After fighting in the Civil War as a Union Army officer and honorably discharged, he joined Brady’s team of photographers to doc- ument war participants and the aftermath of battles. One of his most powerful images is the eerily disturbing “The Harvest of Death,” taken after the battle at Gettysburg, Penn- sylvania, as seen in Figure 8.14. Perhaps disgusted by the death and destruction, after the war O’Sullivan joined several expe- ditions exploring the western United States and Panama. But after an expedition’s boat capsized while exploring the Colorado River, he lost most of his 300 glass negatives. How- ever, the image of the majestic Native American ruins pre- cariously set within a canyon’s wall survived. Nine years after he made the photograph, O’Sullivan died of tuberculosis at the age of 42.

Skoglund. In a reversal of the process, Marc Trujillo makes large paintings that feature a street corner with gas a station, workers in a fast food drive-in restaurant, and passersby in a shopping mall that look like color photographs (Figure 11.42).

Photographer as Social Documentarian

Because images have the capacity to spark interest and convey emotional mes- sages, many photographers have used the medium to shed light on social problems in the hope of getting the public to act. In 1877, John Thompson teamed with writer Adolphe Smith for a book about London’s poor, Victorian London Street Life. News- paper reporter-turned-photographer Jacob Riis used photography to illustrate his writings and lectures on the slums in New York City (Figure 11.43). In 1890, he published his work in a book, How the Other Half Lives. In 1909, Lewis Wickes Hine managed to help enact child labor laws with his sensitive portraits of children working in dangerous, backbreaking occu- pations around the country (Figure 11.44).

Following in their tradition, French photographers Eugene Atget in the 1920s, a social documentarian with a view camera, and Henri Cartier-Bresson in the 1930s, with a small, handheld camera, showed views of ordinary people. Cartier-Bresson captured the “decisive moment”—a term he used to describe the instant when content and composi- tion are at their most revealing.

The FSA photographers documented living conditions of homeless people for the U.S. government during the Great Depression. Photographers for Life maga- zine, most notably W. Eugene Smith, produced photographic stories that illustrated the lives of diverse individu- als. Mary Ellen Mark, James Nachtwey, Eugene Richards, and Sebastião Salgado are photojournalists who continue in Smith’s documentary style tradition. Greg Constantine is an independent photojournalist who travels the world documenting displaced persons, and his images are used by such groups as Doc- tors Without Borders and the United Nations Refugee Agency (Figure 11.45; Weblink 11.9).

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Figure 11.41 “A Bit of Venice,” 1894, by Alfred Stieglitz. One of the most important figures in the history of photography as a practitioner, editor, and advocate, Alfred Stieglitz elevated the medium into a respected fine art form. Born in New York to upper-mid- dle-class parents, he studied mechanical engineering in Germany where he happened to enroll in a chemistry class taught by the photographer and inventor Hermann Vogel. Intrigued with the medium, Stieglitz entered and won several competitions. He later promoted photography through two publications, Camera Notes and Camera Work, the Photo-Secession pictorial art movement, and his galleries “291” and “An American Place.” Taken while on his honeymoon with his first wife, whom he left in 1923 to marry the American artist Georgia O’Keeffe, who was known for her erotic paintings of flowers, “A Bit of Venice” reveals the ethereal and transformative power of photographs over paintings after you realize that this cor- ner of the canalled city actu- ally existed in the real world.

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Critical Perspective

Photography was invented at the height of the Industrial Revolution, during which millions of people around the world even- tually had more money and free time to spend taking pictures. Photography, with its emphasis on realistic scenes, freed art- ists to be more expressive. Impressionism and surrealism, for example, flourished because painters no longer had to render natural scenes exactly on canvas.

Photography educated people about social problems within their own commu- nities and among native peoples around the world. Visual messages inspired immigrants to learn to read words after pictures hooked them into buying a news- paper. But photography also was used to mislead and misinform. Government agencies in both totalitarian and demo- cratic countries used photography to

persuade citizens to adopt a desired point of view.

Photographs entertain and educate. They provide a historical record that relies on the idea that a camera does not lie. Throughout the history of photography, the picture enjoyed far greater credibility than the printed or spoken word. But computer operators who can alter the content of a digitized news picture as eas- ily as an advertising image are undermin- ing the picture’s credibility.


Photography is undergoing exciting and challenging changes. This era in its history is not unlike the time when the wet-col- lodion process was replaced by the gelatin bromide dry plate. Of the nine major advances in the technological history of photography, only four have significantly changed the way people think about the medium. The daguerreotype introduced the world to the medium. The wet-col- lodion process proved that photography could be a high-quality and reproducible method of communicating visual mes- sages to large numbers of people. The gelatin-bromide dry plate process made photography easy for both amateurs and professionals. Finally, digital photography, which combines the medium with the computer, promises unlimited possibili- ties for visual communicators. As more of us view photographs on monitors, paper prints are less important. Home comput- ers contain collections of images that can be easily shared through wireless connec- tions. Viewers can share their precious pictures with anyone anywhere in the world.

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Figure 11.42 “6800 Hayvenhurst Avenue,” oil on canvas, 2008, by Marc Trujillo. Although photography is not used in his artistic proc- ess, Marc Trujillo’s paintings of drive-thru restaurants, big box stores, and shopping malls dis- play a photographic presence combined with an Edward Hopper unease. See color insert following page 338.

Figure 11.43 “Bandit’s Roost,” New York City, 1888, by Richard Hoe Lawrence. Social reformer Jacob Riis was not a trained photographer, so he often hired them to accompany him on his nightly journeys through New York’s seedy underworld. He used the pic- tures in his lectures and for his book, How the Other Half Lives. One of the most famous photographs that he took credit for, “Bandit’s Roost,” was actually taken by Richard Hoe Lawrence. Taken in an alley off Mulberry Street, today located within New York’s Chinatown district, a menacing and accommodating street gang poses for the photograph. The lines of laundry in the background were a favorite of Riis who wrote, “The true line to be drawn between pauper- ism and honest poverty is the clothesline. With it begins the effort to be clean that is the first and best evidence of a desire to be honest.”Co

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Still cameras may be replaced by digital camcorders that enable the recording of still and moving images with the same quality. If a viewer wants to see a single frame from a recording, the equipment satisfies that option with simply the press of a key or utterance of a word or two. But the stilled moment will always be a vital component of mass commu- nication messages because there is no way to escape its underlying power. As Carina Chocano, a critic for the Los Ange- les Times, wrote, “Video may dominate the visible world, but still photography trumps it when it comes to administering electric jolts to the imagination.”

Examples of the need for still images are easy to find in both the art and docu- mentary worlds. For example, director Steven Soderbergh’s trailer for his 2005 motion picture Bubble was a tribute to still photography, with spooky images taken within a doll factory (Weblink 11.10). David Crawford (Weblink 11.11) takes hundreds of still images of persons riding subways throughout the world and then creates stop-motion studies. When seen on a computer, the effect is a moving, still

image. A commercial for the Olympus PEN camera used a stop-motion animation technique with about 10,000 photographs that told the story of a man’s life in an intriguing and compelling visual array (Weblink 11.12). Artists who use the stop- motion technique with still photographs present their work on Noah Kalina took one picture of himself

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Figure 11.44 “Newsboys Selling on Brooklyn Bridge, 3 a.m.,” 1908, by Lewis Wickes Hine. The American sociologist Lewis Hine encour- aged his students at New York’s Ethical Culture School to use photographs to document the immigrants arriving daily into the city. After he tried it himself, he devoted the rest of his life to documentary photography. Working for the National Child Labor Committee, he made thousands of pictures of children suffering under long hours in dangerous situations throughout the United States so that the images could be used as evidence to persuade members of Congress to enact child labor laws. He also documented the efforts of the Red Cross in America and in Europe, the construction of the Empire State Building, and served as the chief photogra- pher with the government’s Works Progress Administration (WPA), which concentrated on how work affects workers.

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Figure 11.45 “Bihari woman,” by Greg Con- stantine. During Pakistani rule, the Bihari were a prosperous and privileged community, but after a civil war in East Pakistan resulted in the birth of Bangladesh, they were fired from government jobs and lost ownership of their land. Since 1971 more than 300,000 live in 66 refugee camps where they are exploited, harassed, and unwanted.

every day starting in 2000 and continues to add to the collection the first day of every month (Figure 11.46; Weblink 11.13), “madandcrazychild” took a photo of her- self every day for 200 days (Weblink 11.14), and in a parody of the genre, “Phil” took a picture of himself every day for two days (Weblink 11.15).

One still image project didn’t require a camera. A flash mob called “Improv Everywhere,” comprising more than 200 individuals, dispersed randomly within the Main Concourse of Grand Central Station in New York City (Weblink 11.16). At the same moment they all stood perfectly still for five minutes. Commuters and tourists were obviously intrigued by the stunt and gave a round of applause when the frozen players started moving again.

For documentary presentations, Brian Storm (Weblink 11.17) maintains one of the premiere websites to see the work of still photographers within multimedia presentations that also include voice- overs, sound, music, and interactive navi- gation features. With a master’s degree in photojournalism from the prestigious University of Missouri and experiences as the former director of multimedia for and vice president of News, Multimedia & Assignment Services for the picture agency Corbis, Storm runs a mul- timedia production studio, MediaStorm, that presents stories created by journal- ists throughout the world. He also trains professionals and academics how to make

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Figure 11.46 “Everyday,” detail, 2009, by Noah Kalina. New York based Noah Kalina is primarily an advertising photographer with clients that include Motorola, Sony, and Neiman Marcus, but he possesses an artist’s inde- pendent spirit. On January 11, 2000, he started to photograph his face every day, a project that continues. A video of the collection was a YouTube favorite and inspired many imitators.

Figure 11.47 “Intended Consequences by Jonathan Torgovnik,” 2009. The MediaStorm interactive mul- timedia website is a showcase of the best photojournalism can offer with text, audio, and video presentations. “Intended Consequences” records the aftermath of the 1994 Rwanda war between the native tribes of Hutu and Tutsis that resulted in more than 800,000 persons killed. It is estimated that 20,000 children were born from rapes of women perpetrated by soldiers. There was also a rampant spread of HIV/AIDS. Women survivors tell their stories in words and pictures on the website.

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their own multimedia programs. Its “Crisis Guide: Darfur” produced for the Coun- cil on Foreign Relations and “Kingsley’s Crossing” by Olivier Jobard won Emmy Awards. Other stories tell of the lives of

women raped in Rwanda in 1994, drug addicts in a New York City apartment, and the lives of Kurdish people in north- ern Iraq— stories you rarely can find on paper (Figure 11.47).

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Regardless of how still and moving images are combined and presented, the stilled moment will always be important. A moving image shocks, illuminates, and entertains, but it is fleeting, quickly replaced by another picture. A stilled image, one that freezes time forever in a powerfully arresting moment, will always have the capacity to rivet a viewer’s atten- tion so that long-term analysis is possible.


• Abu Ghraib • Airbrush • Allegorical

• American Civil Liberties Union

• Aperture

• Bitumen of Judea • Collodion • Contrast • Crop • Darkroom • Depth of field • Dioramas • Doctors Without

Borders • Dust Bowl • eBay • Electromagnetic

spectrum • Emulsion • Flash • Flash mob • Geneva Conventions • Gelatin

• GIF • Grain • Impressionism • Industrial Revolution • JPG • Large-format

camera • Life magazine • Lithography • Paparazzi • Plate • Polio • Silver bromide • Silver nitrate • Surrealism • TIF • Visual cortex • Visual journalists

To locate active URLs for the weblinks mentioned in this chapter, please go to the compan- ion site at and select the proper chapter.

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The Mind and Heart of the Negotiator

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S i x t h E d i t i o n

Leigh L. Thompson Kellogg School of Management

Northwestern University

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Library of Congress Cataloging-in-Publication Data

Thompson, Leigh L. The mind and heart of the negotiator/Leigh L. Thompson, Kellogg School of Management, Northwestern University.—Sixth edition. pages cm ISBN-13: 978-0-13-357177-6 (alk. paper) ISBN-10: 0-13-357177-7 (alk. paper) 1. Negotiation in business. 2. Negotiation. I. Title. HD58.6.T478 2014 658.4’052—dc23 2014004868

ISBN 10: 0-13-357177-7 ISBN 13: 978-0-13-357177-6

10 9 8 7 6 5 4 3 2 1

To the loves of my life:

Bob, Sam, Ray, and Anna


Part I Essentials of Negotiation 1 Chapter 1 Negotiation: The Mind and The Heart 1

Chapter 2 Preparation: What to Do Before Negotiation 12

Chapter 3 Distributive Negotiation: Slicing the Pie 38

Chapter 4 Win-Win Negotiation: Expanding the Pie 69

Part II advanced Negotiation Skills 91 Chapter 5 Developing a Negotiating Style 91

Chapter 6 Establishing Trust and Building a Relationship 122

Chapter 7 Power, Gender, and Ethics 149

Chapter 8 Creativity and Problem Solving in Negotiations 173

Part III applications and Special Scenarios 208 Chapter 9 Multiple Parties, Coalitions, and Teams 208

Chapter 10 Cross-Cultural Negotiation 245

Chapter 11 Social Dilemmas 278

Chapter 12 Negotiating Via Information Technology 308

aPPENdIcES Appendix 1 Are You a Rational Person? Check Yourself 328

Appendix 2 Nonverbal Communication and Lie Detection 349

Appendix 3 Third-Party Intervention 360

Appendix 4 Negotiating a Job Offer 369



Preface xix

About the Author xxii

Part I Essentials of Negotiation 1

chapter 1 NEgotIatIoN: thE MINd aNd thE hEart 1 Negotiation: Definition and Scope 2

Negotiation as a Core Management Competency 3

Dynamic Nature of Business 3

Interdependence 3

Economic Forces 4

Information Technology 4

Globalization 4

Most People are Ineffective Negotiators 5

Negotiation Traps 5

Why People are Ineffective Negotiators 6

Egocentrism 6

Confirmation Bias 6

Satisficing 7

Self-Reinforcing Incompetence 7

Debunking Negotiation Myths 8

Myth 1: Negotiations are Fixed-Sum 8

Myth 2: You Need to be either Tough or Soft 8

Myth 3: Good Negotiators are Born 8

Myth 4: Life Experience is a Great Teacher 9

Myth 5: Good Negotiators Take Risks 9

Myth 6: Good Negotiators Rely on Intuition 9

Learning Objectives 10

The Mind and Heart 11

chapter 2 PrEParatIoN: What to do BEforE NEgotIatIoN 12 Self-Assessment 13

What Do I Want? 13

What Is My Alternative to Reaching Agreement in This Situation? 15


vi Contents

Determine Your Reservation Point 16

Be Aware of Focal Points 16

Beware of Sunk Costs 16

Do Not Confuse Your Target Point with Your Reservation Point 19

Identify the Issues in the Negotiation 19

Identify the Alternatives for Each Issue 19

Identify Equivalent Multi-Issue Proposals 19

Assess Your Risk Propensity 20

Endowment Effects 23

Am I Going to Regret This? 24

Violations of the Sure Thing Principle 24

Do I Have an Appropriate Level of Confidence? 25

Other Assessment 26

Who Are the Other Parties? 26

Are the Parties Monolithic? 26

Counterparties’ Interests and Position 26

Counterparties’ BATNAs 27

Situation Assessment 27

Is the Negotiation One Shot, Long Term, or Repetitive? 27

Do the Negotiations Involve Scarce Resources, Ideologies, or Both? 27

Is the Negotiation One of Necessity or Opportunity? 28

Is the Negotiation a Transaction or Dispute? 29

Are Linkage Effects Present? 29

Is Agreement Required? 30

Is it Legal to Negotiate? 30

Is Ratification Required? 31

Are Time Constraints or Other Time-Related Costs Involved? 31

Are Contracts Official or Unofficial? 33

Where Do the Negotiations Take Place? 34

Are Negotiations Public or Private? 34

Is Third-Party Intervention a Possibility? 35

What Conventions Guide the Process of Negotiation (Such as Who Makes the First Offer)? 35

Do Negotiations Involve More Than One Offer? 35

Contents vii

Do Negotiators Communicate Explicitly or Tacitly? 36

Is There a Power Differential Between Parties? 36

Is Precedent Important? 36

Conclusion 36

chapter 3 dIStrIButIvE NEgotIatIoN: SlIcINg thE PIE 38 The Bargaining Zone 39

Bargaining Surplus 40

Negotiator’s Surplus 41

Pie-Slicing Strategies 41

Strategy 1: Assess Your BATNA and Improve It 43

Strategy 2: Determine Your Reservation Point, but do not reveal It 43

Strategy 3: Research the Other Party’s BATNA and Estimate Their Reservation Point 44

Strategy 4: Set High Aspirations (Be Realistic but Optimistic) 44

Strategy 5: Make the First Offer (If You Are Prepared) 46

Strategy 6: Immediately Reanchor if the Other Party Opens First 47

Strategy 7: Plan Your Concessions 48

Strategy 8: Support Your Offer with Facts 49

Strategy 9: Appeal to Norms of Fairness 49

Strategy 10: Do Not Fall for the “Even Split” Ploy 50

The Most Commonly Asked Questions 50

Should I Reveal My Reservation Point? 50

Should I Lie About My Reservation Point? 50

Should I Try to Manipulate the Counterparty’s Reservation Point? 52

Should I Make a “Final Offer” or Commit to a Position? 52

Saving Face 53

The Power of Fairness 54

Multiple Methods of Fair Division 54

Situation-Specific Rules of Fairness 54

Social Comparison 56

The Equity Principle 58

Restoring Equity 59

Procedural Justice 60

viii Contents

Fairness in Relationships 62

Egocentrism 62

Wise Pie Slicing 66

Consistency 66

Simplicity 67

Effectiveness 67

Justifiability 67

Consensus 67

Generalizability 67

Satisfaction 67

Conclusion 68

chapter 4 WIN-WIN NEgotIatIoN: ExPaNdINg thE PIE 69 What Is Win-Win Negotiation? 70

Telltale Signs of Win-Win Potential 70

Does the Negotiation Contain More Than One Issue? 70

Can Other Issues Be Brought In? 71

Can Side Deals Be Made? 71

Do Parties Have Different Preferences Across Negotiation Issues? 71

Most Common Pie-Expanding Errors 72

False Conflict 72

Fixed-Pie Perception 73

Most Commonly Used Win-Win Strategies 74

Commitment to Reaching a Win-Win Deal 74

Compromise 74

Focusing on a Long-Term Relationship 74

Adopting a Cooperative Orientation 74

Taking Extra Time to Negotiate 75

Effective Pie-Expanding Strategies 75

Perspective Taking 75

Ask Questions About Interests and Priorities 76

Reveal Information About Your Interests and Priorities 78

Unbundle the Issues 79

Logrolling and Value-Added Trade-Offs 81

Make Package Deals, Not Single-Issue Offers 81

Make Multiple Offers of Equivalent Value Simultaneously 82

Contents ix

Structure Contingency Contracts by Capitalizing on Differences 85

Presettlement Settlements (PreSS) 87

Search for Postsettlement Settlements 88

A Strategic Framework for Reaching Integrative Agreements 88

Resource Assessment 88

Assessment of Differences 89

Offers and Trade-Offs 89

Acceptance/Rejection Decision 90

Prolonging Negotiation and Renegotiation 90

Conclusion 90

Part II advanced Negotiation Skills 91

chapter 5 dEvEloPINg a NEgotIatINg StylE 91 Motivational Orientation 93

Assessing Your Motivational Style 93

Strategic Issues Concerning Motivational Style 96

Interests, Rights, and Power Model of Disputing 100

Assessing Your Approach 102

Strategic Issues Concerning Approaches 105

Emotions and Emotional Knowledge 112

Genuine Versus Strategic Emotion 112

Negative Emotion 113

Positive Emotion 117

Emotional Intelligence and Negotiated Outcomes 118

Strategic Advice for Dealing with Emotions at the Table 119

Conclusion 121

chapter 6 EStaBlIShINg truSt aNd BuIldINg a rElatIoNShIP 122 The People Side of Win-Win 122

Trust as the Bedrock of Relationships 124

Three Types of Trust in Relationships 125

Building Trust: Rational and Deliberate Mechanisms 127

Building Trust: Psychological Strategies 130

What Leads to Mistrust? 134

Repairing Broken Trust 135

x Contents

Reputation 139

Relationships in Negotiation 140

Negotiating with Friends 141

Negotiating with Businesspeople 144

When in Business with Friends and Family 146

Conclusion 148

chapter 7 PoWEr, gENdEr, aNd EthIcS 149 Power 150

The Power of Alternatives 150

Power Triggers in Negotiation 152

Symmetric and Asymmetric Power Relationships 152

The Effect of Using Power on Powerful People 152

The Effects of Power on Those with Less Power 153

Status 154

Gender 155

Gender and Negotiation Outcomes 155

Initiating Negotiations 156

Leveling the Playing Field 157

Evaluations of Negotiators 159

Gender and Race Discrimination in Negotiation 159

Gender and Third-Party Dispute Resolution 160

Ethics 160

Ethics and Lying 161

Other Questionable Negotiation Strategies 163

Sins of Omission and Commission 166

Costs of Lying 166

Under What Conditions Do People Engage in Deception? 168

Responding to Unethical Behavior 171

Conclusion 172

chapter 8 crEatIvIty aNd ProBlEM SolvINg IN NEgotIatIoNS 173 Creativity in Negotiation 173

Test Your Own Creativity 174

What Is Your Mental Model of Negotiation? 174

Haggling 174

Cost-Benefit Analysis 179

Game Playing 179

Contents xi

Partnership 179

Problem Solving 180

Creative Negotiation Agreements 180

Fractionating Single-Issue Negotiations into Multiple Issues 180

Finding Differences: Looking for Patterns in Offers 180

Expanding the Pie 181

Bridging 181

Cost Cutting 182

Nonspecific Compensation 182

Structuring Contingencies 183

Threats to Effective Problem Solving and Creativity 185

The Inert Knowledge Problem 186

Availability Heuristic 189

Representativeness 189

Anchoring and Adjustment 190

Unwarranted Causation 191

Belief Perseverance 191

Illusory Correlation 191

Just World 192

Hindsight Bias 192

Functional Fixedness 193

Set Effect 193

Selective Attention 193

Overconfidence 194

The Limits of Short-Term Memory 195

Techniques for Enhancing Creative Negotiation Agreements 195

Negotiating Skills Training 195

Bilateral or Unilateral Training 196

Feedback 196

Learning Versus Performance Goals 197

Analogical Training 198

Counterfactual Reflection 199

Incubation 199

Rational Problem-Solving Model 200

Brainstorming 201

Deductive Reasoning 201

Inductive Reasoning 203

Conclusion 203

xii Contents

Part III applications and Special Scenarios 208

chapter 9 MultIPlE PartIES, coalItIoNS, aNd tEaMS 208 Analyzing Multiparty Negotiations 209

Multiparty Negotiations 211

Key Challenges of Multiparty Negotiations 211

Strategies for Successful Multiparty Negotiations 215

Coalitions 217

Key Challenges of Coalitions 217

Strategies for Maximizing Coalitional Effectiveness 222

Principal-Agent Negotiations 223

Disadvantages of Agents 224

Strategies for Working Effectively with Agents 226

Constituent Relationships 228

Challenges for Constituent Relationships 228

Strategies for Improving Constituent Relationships 231

Team Negotiation 231

Challenges That Face Negotiating Teams 233

Strategies for Improving Team Negotiations 234

Intergroup Negotiation 236

Challenges of Intergroup Negotiations 236

Strategies for Optimizing Intergroup Negotiations 238

Conclusion 242

chapter 10 croSS-cultural NEgotIatIoN 245 Learning About Cultures 246

Culture as an Iceberg 246

Cultural Values and Negotiation Norms 247

Individualism versus Collectivism 247

Egalitarianism versus Hierarchy 258

Direct versus Indirect Communications 261

Key Challenges of Intercultural Negotiation 264

Expanding the Pie 264

Dividing the Pie 265

Sacred Values and Taboo Trade-Offs 265

Biased Punctuation of Conflict 267

Ethnocentrism 268

Contents xiii

Affiliation Bias 269

Faulty Perceptions of Conciliation and Coercion 270

Naïve Realism 270

Predictors of Success in Intercultural Interactions 271

Advice for Cross-Cultural Negotiations 272

Anticipate Differences in Strategy and Tactics That May Cause Misunderstandings 272

Cultural Perspective Taking 272

Recognize That the Other Party May Not Share Your View of What Constitutes Power 273

Avoid Attribution Errors 273

Find Out How to Show Respect in the Other Culture 274

Find Out How Time is Perceived in the Other Culture 275

Know Your Options for Change 275

Conclusion 277

chapter 11 SocIal dIlEMMaS 278 Social Dilemmas in Business 280

The Prisoner’s Dilemma 280

Cooperation and Defection as Unilateral Choices 281

Rational Analysis 282

Psychological Analysis of Why Tit-for-Tat Is Effective 284

Ultimatum Dilemma 289

Dictator Game 290

Trust Game 291

Binding versus Nonbinding Contracts 291

Social Networks and Reputations 292

Relationship Threat 292

Self-Blame and Regret 292

Restoring Broken Trust 293

Volunteer Dilemma 293

Multiparty Dilemmas 294

The Tragedy of the Commons 294

Types of Social Dilemmas 295

How to Build Cooperation in Social Dilemmas 297

How to Encourage Cooperation in Social Dilemmas When Parties Should Not Collude 303

xiv Contents

Escalation of Commitment 303

Avoiding the Escalation of Commitment in Negotiations 306

Conclusion 307

chapter 12 NEgotIatINg vIa INforMatIoN tEchNology 308 Place-Time Model of Social Interaction 309

Face-to-Face Communication 309

Same Time, Different Place 312

Different Time, Same Place 313

Different Place, Different Time 314

Information Technology and Its Effects on Social Behavior 318

Trust 318

Deception 318

Status and Power: The “Weak Get Strong” Effect 318

Social Networks 320

Risk Taking 321

Rapport and Social Norms 321

Paranoia 322

Intergenerational Negotiation 322

Strategies for Enhancing Technology-Mediated Negotiations 325

Initial Face-to-Face Experience 325

One-Day Videoconference/Teleconference 326

Schmoozing 326

Humor 327

Conclusion 327

appendix 1 arE you a ratIoNal PErSoN? chEck yourSElf 328 Why Is It Important to Be Rational? 328

Individual Decision Making 328

Riskless Choice 329

Decision Making Under Uncertainty 331

Risky Choice 331

Summing Up: Individual Decision Making 343

Game Theoretic Rationality 343

Nash Bargaining Theory 344

Contents xv

appendix 2 NoNvErBal coMMuNIcatIoN aNd lIE dEtEctIoN 349 What Are We Looking for in Nonverbal Communication? 349

Are Women More “Nonverbally Gifted” Than Men? 350

Dominance 351

Personal Charisma 352

Detecting Deception 353

Direct Methods 355

Indirect Methods 355

How Motivation and Temptation Affect Lying and Deception 357

Deception Success 358

appendix 3 thIrd-Party INtErvENtIoN 360 Common Third-Party Roles 360

Mediation 360

Arbitration 361

Mediation-Arbitration 362

Arbitration-Mediation 362

Key Choice Points in Third-Party Intervention 362

Outcome versus Process Control 363

Formal versus Informal 363

Invited versus Uninvited 363

Interpersonal versus Intergroup 363

Content versus Process Orientation 363

Facilitation, Formulation, or Manipulation 363

Disputant Preferences 364

Mediators and Gender 364

Challenges Facing Third Parties 364

Meeting Disputants’ Expectations 365

Increasing the Likelihood That Parties Reach an Agreement if a Positive Bargaining Zone Exists 365

Promoting a Pareto-Efficient Outcome 365

Promoting Outcomes That Are Perceived as Fair in the Eyes of Disputants 365

Improving the Relationship Between Parties 366

Empowering Parties in the Negotiation Process 366

xvi Contents

Debiasing Negotiators 366

Maintaining Neutrality 367

Enhancing the Effectiveness of Third-Party Intervention 368

Accept Your Share of Responsibility 368

Test Your Own Position 368

Role-Play a Third Party in Your Own Dispute 368

Training in Win-Win Negotiation 368

appendix 4 NEgotIatINg a JoB offEr 369 Preparation 369

Step 1: Determine What You Really Want 369

Step 2: Do Your Homework 369

Step 3: Determine Your BATNA and Your Aspiration Point 371

Step 4: Research the Employer’s BATNA 371

Step 5: Determine the Issue Mix 371

Step 6: Prepare Several Scenarios 371

Step 7: Consider Getting a “Coach” 371

In Vivo: During the Negotiation Itself 372

Think About the Best Way to Position and Present Your Opening Offer 372

Assume the Offer Is Negotiable 372

Put the Focus On How You Can Solve Problems, Not Make Demands 373

Don’t Reveal Your BATNA or Your Reservation Point 374

Rehearse and Practice 375

Imagine You Are Negotiating on Behalf of Someone Else (Not Just Yourself) 375

Comparables and Benchmarks 375

Post-Offer: You Have the Offer, Now What? 376

Think Before Posting Anything on Social Media 376

Do Not Immediately Agree to the Offer 376

Get the Offer in Writing 376

Be Enthusiastic and Gracious 376

Assess the Interviewer’s Power to Negotiate with You 376

State Exactly What Needs to Be Done for You to Agree 376

Contents xvii

Do Not Negotiate If You Are Not or Could Not Be Interested 377

Exploding Offers 377

Do Not Try to Create a Bidding War 377

Know When to Stop Pushing 377

Use a Rational Strategy for Choosing Among Job Offers 378

Name Index 379

Subject Index 396

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This book is dedicated to negotiators who want to improve their ability to negotiate—whether in multimillion-dollar business deals or personal interactions. It is possible for most people to dra- matically improve their ability to negotiate. You can improve your economic outcomes and feel better about yourself and the people with whom you deal. The book integrates theory, scientific research, and practical examples. New to this edition are special sections on gender, ethics, emo- tions, intergenerational negotiations, and job negotiations. The book contains hundreds of real examples from business, politics, and personal life spanning the globe to illustrate effective, as well as ineffective, negotiation skills.

Here is what you can expect when you read this book:

• Illustrative case studies. Each chapter opens with a case study of an actual negotiation, drawn from business, government, world affairs, community, and personal life. New to this edition are more than 100 updated examples from the business world, many involving international issues.

• Skills-based approach. Each chapter provides practical takeaway points for the man- ager and the executive. A good example is Chapter 4 on integrative negotiation. A series of hands-on principles that have been proven to increase the value of negotiated deals is provided.

• Self-insight. Most chapters contain several self-assessments, quizzes, and examples that readers can use to examine their negotiation attitudes and behaviors. For example, Chapter 5 gives negotiators an opportunity to assess their “instinctive” bargaining style and provides suggestions for how to further develop their bargaining repertoire. In Chapter 7, negotiators can examine their ethical principles in negotiation. Moreover, Chapter 10 pro- vides a deep look at cultural differences in negotiation so that the negotiator can better understand his or her own cultural style and that of others.

• Advanced bargaining skills. The second and third sections of the book deal with com- plex yet commonly occurring negotiating situations, such as negotiating with people of different generations, different genders, agents, mediation and arbitration, negotiating via e-mail and conference calls, negotiating with competitor companies, and of course, nego- tiating cross-culturally. These sections have been revised in this edition.

• Scientific Research. New to this edition are the groundbreaking results of more than 120 new scientific articles on negotiation.

I benefit greatly from the advice, comments, and critiques given to me by my students and colleagues, and I hope their advice keeps coming so that I am able to improve upon the book even further. The research and ideas in this book come from an invaluable set of scholars in the fields of social psychology, organizational behavior, sociology, negotiation, and cognitive psychology. My research, thinking, and writing have been inspired in important ways by the following people: Wendi Adair, Cameron Anderson, Evan Apfelbaum, Linda Babcock, Chris


Note: Every effort has been made to provide accurate and current Internet information in this book. However, the Internet and information posted on it are constantly changing, so it is inevitable that some of the Internet addresses listed in this textbook will change.

xx Preface

Bauman, Max Bazerman, Kristin Behfar, Terry Boles, Jeanne Brett, Susan Brodt, Karen Cates, Hoon-Seok Choi, Taya Cohen, Susan Crotty, Jeanne Egmon, Hal Ersner-Hershfield, Gary Fine, Craig Fox, Adam Galinsky, Wendi Gardner, Dedre Gentner, Robert Gibbons, Kevin Gibson, James Gillespie, Rich Gonzalez, Deborah Gruenfeld, Erika Hall, Reid Hastie, Andy Hoffman, Elizabeth Howard, Peter Kim, Shirli Kopelman, Rod Kramer, Laura Kray, Terri Kurtzburg, Geoffrey Leonardelli, John Levine, Allan Lind, George Loewenstein, Jeff Loewenstein, Brian Lucas, Deepak Malhotra, Beta Mannix, Kathleen McGinn, Vicki Medvec, Tanya Menon, Dave Messick, Terry Mitchell, Don Moore, Michael Morris, Keith Murnighan, Janice Nadler, Maggie Neale, Kathy Phillips, Robin Pinkley, Ashleigh Rosette, Nancy Rothbard, Catherine Shea, Ned Smith, Marwan Sinaceur, Harris Sondak, Roderick Swaab, Tom Tyler, Leaf Van Boven, Kimberly Wade-Benzoni, Laurie Weingart, Judith White, and Elizabeth Ruth Wilson. Throughout the text of The Mind and Heart of the Negotiator, I use the pronoun “we” because so much of my thinking has been influenced and shaped by this set of eminent scholars.

The revision of this book would not have been possible without the dedication, organiza- tion, and editorial skills of Larissa Tripp, Ellen Hampton, Joel Erickson, and Lee Sol Jee, who created the layout, organized hundreds of drafts, mastered the figures, and researched many case studies for this book.

In this book, I talk about the “power of the situation” and how strongly the environ- ment shapes our behavior. The Kellogg School of Management is one of the most supportive, dynamic environments I have ever had the pleasure to be a part of. In particular, Dean Sally Blount strongly supports research and intellectual leadership as well as pedagogical leadership. I am particularly indebted to my wonderful visionary colleague, Jeanne Brett, who created the Dispute Resolution Research Center (DRRC) at Kellogg in 1986, and to the Hewlett Foundation for their generous support of the DRRC.

This book is very much a team effort of the people I have mentioned here, whose talents are diverse, broad, and extraordinarily impressive. I am deeply indebted to my colleagues and my students, and I feel grateful that they have touched my life and this book.


This book is divided into three major sections. The first section deals with the essentials of negotiation—the key principles and groundwork for effective negotiation. Chapter 2 leads the manager through effective preparation strategies for negotiation. Chapter 3 discusses distribu- tive negotiation skills, or how to optimally allocate resources in ways that are favorable to one’s self—a process called “slicing the pie.” Chapter 4 is the integral chapter of the book; it focuses on “win-win” negotiation or, more formally, integrative negotiation. This creative part of nego- tiation involves expanding the pie of resources in ways that provide more gains to go around.

The second section of the book deals with advanced and expert negotiation skills. Chapter 5 focuses on assessing and developing your negotiation style. This chapter invites readers to hon- estly appraise their own negotiation style in terms of three dimensions: motivational orientation, disputing style, and emotional expression. The negotiator can accurately assess his or her own style and its limitations and learn to assess the styles adopted by other negotiators. Chapter 6 focuses on establishing trust and building relationships. This chapter examines business and per- sonal relationships and how trust is developed, broken, and repaired. Chapter 7 discusses power, gender, and ethics in negotiation. This chapter looks at the topic of persuasion and influence as it occurs across the bargaining table and also deals with the important issues of gender and ethics in negotiation. In Chapter 8, the focus is on problem solving and creativity. This chapter

Preface xxi

provides strategies for learning how to think out of the box and provides techniques for using creativity and imagination in negotiation.

The third section deals with special scenarios in negotiation. Chapter 9 examines the com- plexities of negotiating with multiple parties, such as conflicting incentives, coalitions, voting rules, and how to leverage one’s own bargaining position when negotiating with multiple parties. Chapter 10 focuses on cross-cultural negotiation, which addresses the key cultural values and negotiation norms across a variety of nationalities, along with some advice for cross-cultural negotiations. Chapter 11 deals with dilemmas, or situations in which negotiators make choices in a mixed-motive context, where cooperation involves building trust with the other party and competition involves an attempt to increase one’s own share of resources. This chapter examines the nature of social dilemmas and how to negotiate successfully within various types of dilem- mas. Chapter 12 focuses on information technology and its impact on negotiation and uses a place-time model of social interaction to examine the challenges and opportunities of negotiation as it occurs in this technological age. It includes a section on intergenerational negotiation and e-negotiations.

Four appendices provide a variety of additional material: Appendix 1 invites readers to examine the rationality of their negotiation beliefs and preferences; Appendix 2 provides a short course on lie detection and nonverbal communication; Appendix 3 reviews the essen- tials of third-party intervention; and Appendix 4 provides tips and a checklist for negotiating a job offer.

Faculty resOurces

instructor resource center At, instructors can access a variety of resources available with this text in downloadable, digital format.

Once you register, you will not have additional forms to fill out, or multiple usernames and passwords to remember to access new titles and/or editions. As a registered faculty member, you can log in directly to download resource files, and receive immediate access and instructions for installing Course Management content to your campus server.

Our dedicated Technical Support team is ready to assist instructors with questions about the media supplements that accompany this text. Visit for answers to frequently asked questions and toll-free user support phone numbers.

To download the supplements available with this text, including an Instructor’s Manual, Power Point presentation, and Test Item File, please visit: educator.

reviewers The author would like to thank the following colleagues for providing valuable comments and suggestions on how to improve the book.

Lehman Benson: University of Arizona Jason Harris-Boundy San Francisco State Dale F. Kehr: University of Memphis Barry Goldman: University of Arizona Stanley Braverman: La Salle University


Leigh L. Thompson joined the Kellogg School of Management in 1995. She is the J. Jay Gerber Distinguished Professor of Dispute Resolution and Organizations. She directs the Leading High Impact Teams executive program and the Kellogg Team and Group Research Center and codirects the Negotiation Strategies for Managers program. An active scholar and researcher, she has published over 100 research articles and chapters and has authored 10  books, including Creative Conspiracy: The New Rules of Breakthrough Collaboration, Making the Team, Creativity in Organizations, Shared Knowledge in Organizations, Nego- tiation: Theory and Research, The Social Psychology of Organizational Behavior: Essential Reading, Organizational Behavior Today, The Truth about Negotiation, and Conflict in Orga- nizational Teams. Thompson has worked with private and public organizations in the United States, Latin America, Canada, Europe, and the Middle East. Her teaching style combines experiential learning with theory-driven best practices. For more information about Leigh Thompson’s teaching and research, please visit



A $7.2 billion merger between Microsoft and Nokia began with a phone call and three simple words, “Can we talk?” When Microsoft CEO Steve Ballmer called Nokia Chairman Risto Siilasmaa on a cold January day with that question, it set in motion eight months of complex negotia- tions. Whereas the companies were longtime working partners in the development of Microsoft’s Windows Phone, Ballmer was frustrated with the slow pace of growth for the device. Microsoft and Nokia were each duplicating their efforts—investing marketing money to build separate brands and lure app developers, but they were both solidly way behind—the Windows Phone was considered to be a second-tier product behind Google’s Android and Apple’s iOS. Nokia’s stock price and revenue had declined alarmingly. After the phone call, executives from both companies met for an hour in Barcelona to discuss their ideas; a month later in New York at the offices of Nokia’s outside law firm, the deal nearly fell apart due to Siilasmaa’s frustration over the low perceived value of Nokia by Microsoft executives. Siilasmaa broke the silence the next day, send- ing a text message to Ballmer to reopen talks. When the company executives met in London the following month, a scream was heard during a break. Deep in thought, CEO Ballmer had failed to see a clear glass coffee table in front of him, tripped, and hit his head. As the security team patched up Ballmer’s forehead, he began to talk to the Nokia executives. Meetings followed in Nokia’s home base of Finland, and then back in New York where the CEOs shook hands on key issues, which subsequently led to legal pacts covering patents, trademarks, the selling of Nokia’s handset business, and platform mapping. That fall, Ballmer flew to Finland to finalize one of the largest mergers of all time.1

NegotiatioN: the MiNd aNd the heart


W hereas most of us are not involved in billion-dollar mergers, one thing that business scholars and businesspeople are in complete agreement on is that everyone negotiates nearly every day. Getting to Yes begins by stating, “Like it or not, you are a negotiator…. Everyone negotiates something every day.”2 Similarly, Lax and Sebenius, in The Manager as Negotiator, state that “Negotiating is a way of life for managers. . . when managers deal with their superiors, boards of directors, even

2 Fisher, R., & Ury, W. (1981). Getting to yes (p. xviii). Boston: Houghton Mifflin.

Part I: Essentials of Negotiation

1 Stoll, J. D. (2013, September 13). Nokia’s last great deal: Zero to $7.2 billion. Wall Street Journal.; Mossberg, W. (2013, September 4). From “Can we talk?” to a coffee-table mishap: The inside story of Microsoft’s Nokia deal. All Things Digital.

2 Part I • Essentials of Negotiation

legislators.”3 G. Richard Shell, who wrote Bargaining for Advantage, asserts, “All of us negoti- ate many times a day.”4 Herb Cohen, author of You Can Negotiate Anything, dramatically sug- gests that “your world is a giant negotiation table.” One business article on negotiation warns, “However much you think negotiation is part of your life, you’re underestimating.”5

Negotiation is your key communication and influence tool inside and outside the company. Anytime you cannot achieve your objectives (whether an acquisition or a dinner date) without the cooperation of others, you are negotiating. We provide dramatic (and disturbing) evidence in this chapter that most people do not live up to their negotiating potential. The good news is that you can do something about it.

The sole purpose of this book is to improve your ability to negotiate. We do this through an integration of scientific studies of negotiation and real business cases. And in case you are wondering, it is not all common sense. Science drives the best practices covered in this book. We focus on business negotiations, and understanding business negotiations helps people to be more effective negotiators in their personal lives.6

In this book, we focus on three major negotiation skills: creating value, claiming value, and building trust. By the end of this book, you will have a mindset or mental model that will allow you to know what to do and say in virtually every negotiation situation. You can prepare effectively for negotiations and enjoy the peace of mind that comes from having a game plan. Things may not always go according to plan but your mental model will allow you to perform effectively and, most important, to learn from your experiences. Indeed, people who view nego- tiation as a challenge are more successful in reaching high-quality deals than people who view negotiation as threatening.7 Moreover, people who believe that negotiation ability is changeable with experience and practice are more likely to discover win-win agreements than people who believe that negotiation skills are not teachable.8

NegotiatioN: DefiNitioN aND Scope

Negotiation is an interpersonal decision-making process necessary whenever we cannot achieve our objectives single-handedly. Negotiations include not only one-on-one business meetings but also multiparty, multicompany, and multinational relationships. Some negotiations involve bargaining over a few dollars; other negotiations involve billions of dollars, such as Kellogg’s acquisition of the Pringles brand from Proctor and Gamble for $2.7 billion. Some negotiations are conducted in less than a few minutes; others linger on for years, such as Hertz’s five-year courtship with rival Dollar Thrifty for an ultimate price of $2.5 billion.9 People negotiate in their

3 Lax, D. A., & Sebenius, J. K. (1986). The manager as negotiator (p. 6). New York: Free Press. 4 Shell, G. R. (1999). Bargaining for advantage: Negotiation strategies for reasonable people (p. 76). New York: Viking. 5 Walker, R. (2003, August). Take it or leave it: The only guide to negotiating you will ever need. Inc., 25(8) 75–82. 6 Gentner, D., Loewenstein, J., & Thompson, L. (2003). Learning and transfer: A general role for analogical encoding. Journal of Educational Psychology, 95(2), 393–408. 7 O’Connor, K. M., Arnold, J. A., & Maurizio, A. M. (2010). The prospect of negotiating: Stress, cognitive appraisal and performance. Journal of Experimental Social Psychology, 46(5), 729–735. 8 Wong, E. M., Haselhaun, M. P., & Kray, L. J. (2012). Improving the future by considering the past: The impact of upward counterfactual reflection and implicit beliefs on negotiation performance. Journal of Experimental Social Psychology, 48(1), 403–406. 9 Applegate, E., & Mider, Z. (2013, December). The year in M&A deals. Businessweek, pp. 64–65.

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Employers have been coming up with innovative employee rewards to boost morale and acknowledge employee needs for creativity and personal goal accomplishment. Some of the latest potential employee rewards include using the Internet at work for personal reasons such as shopping, communicating with friends, or personal finances; bringing a pet to work; instituting a controlled napping policy, and the sports and office betting pools.  

Write an eight to ten (8-10) page paper in which you: 

  1. Determine how innovations in employee benefits can improve the overall competitive compensation strategy of the organization.
  2. Explain how innovative benefits could be tied to specific jobs.
  3. Critique the effectiveness of equity-based rewards systems versus those with more creative approaches.
  4. Discuss the key elements of integrating innovation into a traditional total rewards program.
  5. Recommend a process that optimizes an employee-based suggestion program to continually refresh the total rewards of the organization.
  6. Use at least five (5) quality academic resources in this assignment. Note: Wikipedia and other Websites do not quality as academic resources.

Your assignment must follow these formatting requirements:

  • Be typed, double spaced, using Times New Roman font (size 12), with one-inch margins on all sides; citations and references must follow APA or school-specific format. Check with your professor for any additional instructions.
  • Include a cover page containing the title of the assignment, the student’s name, the professor’s name, the course title, and the date. The cover page and the reference page are not included in the required assignment page length.
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total contribution margin in dollars divided by pretax income is the:

1.Product A requires 5 machine hours per unit to be produced, Product B requires only 3 machine hours per unit, and the company’s productive capacity is limited to 240,000 machine hours. Product A sells for $16 per unit and has variable costs of $6 per unit. Product B sells for $12 per unit and has variable costs of $5 per unit. Assuming the company can sell as many units of either product as it produces, the company should:

2.Parker Plumbing has received a special one-time order for 1,500 faucets (units) at $5 per unit. Parker currently produces and sells 7,500 units at $6.00 each. This level represents 75% of its capacity. Production costs for these units are $4.50 per unit, which includes $3.00 variable cost and $1.50 fixed cost. To produce the special order, a new machine needs to be purchased at a cost of $1,000 with a zero salvage value. Management expects no other changes in costs as a result of the additional production. Should the company accept the special order?

3.The break-even time (BET) method is a variation of the:

4.After-tax net income divided by the annual average investment in an investment, is the:

5.The following data concerns a proposed equipment purchase: Cost…………………$144,000 Salvage value…………..$4,000 Estimated useful life……. 4years Annual net cash flows……$46,100 Depreciation method……..straight-line Assuming that net cash flows are received evenly throughout the year, the accounting rate of return is:

6.The rate that yields a net present value of zero for an investment is the:

7.Select cost information for Winfrey Enterprises is as follows: For 1000 units of output Total Cost/unit Direct material $5,000 $5.00 Utilities expense $1,000 $1.00 Rent expense $4,000 $4.00 For 5,000 units of output Total Cost/unit Direct materials $25,000 $5.00 Utilities expense $3,750 $0.75 Rent expense $4,000 $0.80 Based on this information:

8.The margin of safety is the excess of:

9.Use the following information to determine the margin of safety in dollars:

Unit sales………………..50,000 units

Dollar sales………………$500,000

fixed costs……………….$204,000

Variable costs…………….$187,000

10.Total contribution margin in dollars divided by pretax income is the:

11.Brown Company’s contribution margin ratio is 24%. Total fixed costs are $84,000. What is Brown’s break-even point in sales dollars?

12.A company manufactures and sells a product for $120 per unit. The company’s fixed costs are $68,760, and its variable costs are $90 per unit. The company’s break-even point in units is:

13.Yamaguchi Company’s break even point in units is 1,000. The sales price per unit is $10 and variable cost per unit is $7. If the company sells 2,500 units, what will net income be?

14.A firm sells two products, A and B. For every unit of A the firm sells, two units of B are sold. The firm’s total fixed costs are $1,612,000. Selling prices and cost information for both products follow: Product Unit sales price Veriable costs per Unit A… $20 $8 B… $24 $4 The contribution margin per composite unit is:

15.Wayward Enterprises manufactures and sells three distinct styles of bicycles: the Youth model sells for $300 and has a unit contribution margin of $105; the Adult model sells for $850 and has a unit contribution margin of $450; and the Recreational model sells for $1,000 and has a unit contribution margin of $500. The company’s sales mix includes: 5 Youth models; 9 Adult models; and 6 Recreational models. If the firm’s annual fixed costs total $6,500,000, calculate the firm’s break-even point in sales dollars.

 16.The master budget includes:

17.A plan that lists the types and amounts of operating expenses expected that are not included in the selling expenses budget is a:

18.A plan showing the units of goods to be sold and the revenue to be derived from sales, that is the usual starting point in the budgeting process, is called the:

19.Ecology Co. sells a biodegradable product called Dissol and has predicted the following sales for the first four months of the current year:

Sales in units…. Jan.1,700; Feb.1,900; March 2,100; April1,600

Ending inventory for each month should be 20% of the next month’s sales, and the December 31 inventory is consistent with that policy. How many units should be purchased in February?

20.A quantity of merchandise or materials over the minimum needed reduce the risk of running short is called:

21.A plan that shows the expected cash inflows and cash outflows during the budget period, including receipts from loans needed to maintain a minimum cash balance and repayments of such loans, is called a(n):

22.Long-term liability data for the budgeted balance sheet is derived from:

23.The Palos Company expects sales for June, July, and August of $48,000, $54,000, and $44,000, respectively. Experience suggests that 40% of sales are for cash and 60% are on credit.

The company collects 50% of its credit sales in the month following sale, 45% in the second month following sale, and 5% are not collected. What are the company’s expected cash receipts for August from its current and past sales?

24.Which of the following budgets is part of the manufacturing budget?

25.A process of examining the differences between actual and budgeted costs and describing them in terms of the amounts that resulted from price and quantity differences is called:

26.A report based on predicted amounts of revenues and expenses corresponding to the actual level of output is called a:

27.Sales analysis is useful for:

28.Product A has a sales price of $10 per unit. Based on a 10,000-unit production level, the variable costs are $6 per unit and the fixed costs are $3 per unit. Using a flexible budget for 12,500 units, what is the budgeted operating income from Product A?

29.A job was budgeted to require 3 hours of labor per unit at $8.00 per hour. The job consisted of 8,000 units and was completed in 22,000 hours at a total labor cost of $198,000. What is the total labor cost variance?

30.A company has determined that its standard costs to produce a single unit of output is as follows: Direct material 6 pounds at $0.90 per pound=$5.40 Direct labor 0.5 hour at $12.00 per hour=$6.00 Manyfacturing overhead 0.5 hour at $4.80 per hour=$2.40 During the latest month, the company purchased and used 58,000 pounds of direct materials at a price of $1.00 per pound to produce 10,000 units of output. Direct labor costs for the month totaled $56,350 based on 4,900 direct labor hours worked. Variable manufacturing overhead costs incurred totaled $15,000 and fixed manufacturing overhead incurred was $10,400. Based on this information, the direct materials quantity variance for the month was

31.The difference between the total budgeted overhead cost and the overhead applied to production using the predetermined overhead rate is the:

32. Regarding overhead costs, as volume increases:

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which of the following statements is true about the internet?

Which of the following statements is true?

All search engines will provide the same results when you enter the same query.

All search engines use the same amount of advertisements.

Some search engines are also browsers. (MY ANSWER)

Search engines often provide different results, even when you enter the same query.

1 0 449
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Feb 24, 2016

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kucampus kaplan login

Unit 6 HR400: Employment and Staffing

1 of 2

Assignment: Interview Plan

There are a variety of interview types, each serving a different purpose. In this Assignment, you will develop an interview plan for an organization in which you will determine which types of interviews to

use. In this Assignment, you will be assessed on the following outcomes:

HR400-3: Analyze candidates through the use of interview questions. Assignment:

Before starting this Assignment, review the Assignment Checklist. Then, in a separate Word

document, write a 2–3 page paper based on the following scenario:

You are the human resource manager for a 300–employee insurance organization. You have been

assigned to develop an interview plan in which you determine which types of interviews will be used

in the organization. Address the following in your plan:

1. Describe the interview type(s) you recommend the organization use. Include an explanation

why you are recommending these interview types.

2. Identify how you will ensure those doing the interviewing will have the appropriate interviewing


Assignment Checklist:

 This Assignment should be a 2–3 page Word document, in addition to the title and reference


 It must be written in Standard American English and demonstrate exceptional content,

organization, style, and grammar and mechanics.

 Respond to the questions in a thorough manner, providing specific examples where asked.

 Your paper should provide a clearly established and sustained viewpoint and purpose.

 Your writing should be well ordered, logical and unified, as well as original and insightful.

 A separate page at the end of your research paper should contain a list of references, in APA

format. Use your textbook, the KU Online Library, and the internet for research.

 Be sure to cite were appropriate and reference all sources. Your sources and content should

follow proper APA format. Review the APA formats found in the Kaplan Writing Center. To

access the Kaplan Writing Center, select this link.

Unit 6 HR400: Employment and Staffing

2 of 2

 Review the grading Rubric to ensure all points have been captured in the paper.

Directions for Submitting your Assignment

Be sure to respond to all the questions using the critical elements listed in the Assignment Checklist.

Submit your Assignment in a Word document by the end of the unit by clicking the Dropbox tab and

selecting Unit 6: Assignment from the dropdown menu, then attach your file. Make sure to save a

copy of your work and be sure to confirm that your file uploaded correctly.

Unit 6 Assignment: Interview Plan

Content and Analysis Points

Possible Points Earned

Describe the interview type(s) recommended for the organization and why these types are being recommended.


Identify how you will ensure those doing the interviewing will have the appropriate interviewing skills.


Writing style, grammar, and APA format. 5

Total 50

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merocrine sweat glands are most abundant in the __________.

Art-based Question Chapter 4 Question 1

Part A

Diagram of the plasma membranes of two adjacent cells. There are protein channels holding the cells together. Arrows show that substances can pass through the pore-like channels.

The type of cellular junctions in the figure are __________.


cell-adhesion molecules
gap junctions
tight junctions

Multiple Choice Question 4.1

Part A

Histology is the study of:



Art-based Question Chapter 4 Question 3

Part A

Diagram of an epithelial tissue with a labeled basement membrane and underlying connective tissue. The epithelial tissue is made of a single layer of flattened cells.

This is an example of __________.


simple squamous epithelium
stratified cuboidal epithelium
stratified squamous epithelium
simple cuboidal epithelium

Chapter 4 Chapter Test Question 6

Part A

What is the function of simple columnar epithelium lining parts of the digestive tract, such as the small intestines?


energy reserve
calcium storage

Chapter 4 Reading Question 3

Part A

Where in the body would you expect to find simple columnar epithelium?


kidney tubules
lining of the digestive tract
epidermis of skin
nasal cavity and upper respiratory passages

Chapter 4 Reading Question 5

Part A

Glands that secrete their products directly into the blood are called __________.


holocrine glands
endocrine glands
merocrine glands
exocrine glands

Multiple Choice Question 4.10

Part A

The general type of tissue with an apical surface and a basement membrane is:



Multiple Choice Question 4.12

Part A

Which statement best describes epithelial tissue?


Simple epithelia are commonly found in areas of high mechanical abrasion.
Stratified epithelia are associated with diffusion, osmosis, and filtration.
Paracellular or transcellular transport moves substances across simple epithelia.
Pseudostratified epithelia are commonly keratinized.

Multiple Choice Question 4.14

Part A

Simple squamous epithelium is found lining the:


air sacs of the lungs.
urinary bladder.
nasal cavity.
uterine tubes of a female.

Multiple Choice Question 4.16

Part A

The tissue pictured in this figure is: 


composed of a single layer of columnar cells appearing stratified.
composed of multiple layers of columnar cells.
composed of two layers of cuboidal cells.
composed of two layers of columnar cells.

Multiple Choice Question 4.18

Part A

Keratinized, dead cells are associated with:


simple squamous epithelium.
simple columnar epithelium.
pseudostratified columnar epithelium.
stratified squamous epithelium.

Multiple Choice Question 4.20

Part A

What protein makes stratified epithelial tissues resistant to friction?



Multiple Choice Question 4.22

Part A

Which of the following is composed of multiple layers of cells?


simple columnar epithelium
simple squamous epithelium
transitional epithelium
pseudostratified columnar epithelium

Multiple Choice Question 4.24

Part A

Glands, such as the thyroid, that secrete their products directly into the blood rather than through ducts are classified as:



Multiple Choice Question 4.26

Part A

What type of secretion involves the release of substances, such as saliva and sweat, in secretory vesicles by exocytosis?



True/False Question 4.82

Part A

Stratified epithelium does not line areas where transcellular transport is required.



True/False Question 4.84

Part A

Stratified squamous epithelium is composed of multiple layers of flattened cells.



Art-based Question Chapter 4 Question 6

Part A

A LM image of a tissue at 845x magnification. The tissue contains thick pink collagen fibers arranged in bundles parallel to one another. There is ground substance in space between the fibers and fibroblasts stained in a darker pink color, located in between the bundles of collagen fibers. The collagen bundles, fibroblasts, and ground substance are all labeled.

Where in the body would you find this type of tissue?


epidermis of skin

Chapter 4 Chapter Test Question 9

Part A

Intervertebral discs are composed of __________.


areolar connective tissue
smooth muscle
bone tissue

Chapter 4 Reading Question 6

Part A

You are observing a tissue under the microscope and notice dark concentric circles of matrix and osteocytes in lacunae. You identify this tissue as __________.


adipose tissue
loose connective tissue
bone tissue

Multiple Choice Question 4.28

Part A

Connective tissues proper (or general connective tissues) produce collagen fibers using cells known as:


mast cells.

Multiple Choice Question 4.30

Part A

Brown adipose tissue is found in:


infants and young children.
males of any age.

Multiple Choice Question 4.32

Part A

What fibers are common in this tissue? 


collagen only
reticular only
both elastic and some reticular
both elastic and some collagen

Multiple Choice Question 4.34

Part A

The major energy reserve in the body is found stored as fat in:


adipose tissue.
areolar connective tissue.
reticular tissue.

Multiple Choice Question 4.36

Part A

Which of the following is constructed of elastic cartilage?


intervertebral discs
external ear
fetal skeleton

Multiple Choice Question 4.38

Part A

Bone, or osseous, tissue provides protection for our vital organs since the inorganic ground substance is:


calcium and phosphate crystals.
collagen fibers.
mostly water, dissolved solutes, and proteins.
both collagen and elastic fibers.

Multiple Choice Question 4.40

Part A

What type of large, multinucleated cell destroys bone?



Multiple Choice Question 4.42

Part A

The ECM of blood is known as:


bone marrow.

True/False Question 4.87

Part A

Osteoblasts are immature cells that build bone and carry out the process of bone deposition.



Chapter 4 Reading Question 7

Part A

The type of muscle tissue composed of long, cylindrical, striated, multinucleate cells, arranged parallel to each other is __________.


smooth muscle
cardiac muscle
nervous tissue
skeletal muscle

Multiple Choice Question 4.43

Part A

Striations are a structural feature associated with some:


muscle cells.

Multiple Choice Question 4.45

Part A

What do skeletal and cardiac muscle cells share in common?


multinucleate cells
branched cells
intercalated discs situated between cells

Multiple Choice Question 4.47

Part A

Name this tissue.  


smooth muscle tissue
cardiac muscle tissue
skeletal muscle tissue
dense irregular connective tissue

Chapter 4 Chapter Test Question 12

Part A

The supportive cells of nervous tissue are called __________.


neuroglial cells

Chapter 4 Reading Question 8

Part A

The tissue responsible for conducting electrical signals and can control the function of other tissues is __________.


connective tissue
epithelial tissue
nervous tissue
muscle tissue

Multiple Choice Question 4.48

Part A

Cells that generate, conduct, and receive electrical messages are:


neuroglial cells.

Multiple Choice Question 4.49

Part A

What part of a neuron conducts electrical signals away from the cell body?


What part of a neuron conducts electrical signals away from the cell body?

neuroglial cell

Multiple Choice Question 4.50

Part A

Why are damaged neurons usually not replaced?


Neurons are voluntarily controlled by the brain.
Neurons are supported by neuroglial cells.
Neurons are excitable cells.
Neurons are amitotic.

True/False Question 4.90

Part A

Nervous tissue is unique because it completely lacks an ECM.



Multiple Choice Question 4.51

Part A

Which of the following is a more complex structure than a tissue?



Multiple Choice Question 4.52

Part A

A serous membrane contains a superficial layer of epithelial tissue and a deeper layer of connective tissue. Thus, serous membranes are classified as:



Art-based Question Chapter 4 Question 9

Part A

Diagram of a knee joint, labeled as a freely moveable joint. The image zooms into the membrane surrounding the joint and show three layers of tissue. On the outside is dense irregular connective tissue, in the middle is loose connective tissue and on the inside are two layers of rectangular cells with centrally located nuclei. The first two layers are labeled.

What type of membrane is shown in this figure?


mucous membrane
synovial membrane
serous membrane
cutaneous membrane

Chapter 4 Chapter Test Question 14

Part A

The skin is also called the __________.


cutaneous membrane
serous membrane
mucous membrane
synovial membrane

Multiple Choice Question 4.53

Part A

A patient is diagnosed with mesothelioma. This cancer affects the:


cutaneous membranes.
serous membranes.
mucous membranes.
synovial membranes.

Multiple Choice Question 4.55

Part A

What lubricates movable joints such as the hip, knee, and elbow?


serous fluid
synovial fluid

Multiple Choice Question 4.57

Part A

What type of membrane lines cavities that open to the outside of the body?


serous membrane
cutaneous membrane
synovial membrane
mucous membrane

True/False Question 4.91

Part A

True membranes must fit these structural and functional qualifications: consist of a superficial layer of epithelial tissue and a layer of connective tissue on which it rests; and, anchor organs in place, serve as barriers, function in immunity and secrete various substances.



Art-based Question Chapter 4 Question 10

Part A

Diagram of cardiac muscle tissue with an injury repair in which the cells have been replaced by collagen fibers and fibroblasts. The fibroblasts, collagen fibers, and region of cells replaced with collagen fibers and fibroblasts are labeled on the diagram.

The type of tissue repair seen in this figure is _____.



Chapter 4 Chapter Test Question 15

Part A

Tissue repair in epithelial tissues is usually by __________.


formation of scar tissue
none of the listed modes

Chapter 4 Reading Question 10

Part A

The type of tissue repair in which stem cells give rise to new cells to replace dead or damaged cells is called __________.



Multiple Choice Question 4.59

Part A

What happens to epithelial tissue damaged from a superficial paper cut?


Epithelial tissue heals by regeneration.
Epithelial tissue heals by fibrosis.
Epithelial tissue is replaced by scar tissue.
Epithelial tissue is replaced by dense irregular connective tissue.

Multiple Choice Question 4.60

Part A

The permanent replacement of normal tissue by scar tissue is called:



Multiple Choice Question 4.61

Part A

Fibrosis results in the formation of a type of:


adipose tissue.
dense irregular connective tissue.
loose connective tissue.
dense regular collagenous connective tissue.

Multiple Choice Question 4.62

Part A

A tissue is more likely to heal by regeneration if it:


is avascular.
lacks satellite cells.
is amitotic.
possesses stem cells.

True/False Question 4.92

Part A

Repair of epithelial tissues always involves the formation of scar tissue.



Chapter 4 Running Case: The Case of Will Smithers

A surprising amount of information can be learned about an individual just by studying their tissues. In this case, you have been assigned to shadow histopathologist Dr. Jonas Riehm as he attempts to identify the cause of death of 42-year-old Will Smithers. Mr. Smithers’ body was discovered in his car near an alley several miles from his home. There was no obvious cause of death, necessitating an autopsy to determine if the death was from natural causes or foul play. However, due to a clerical error, Mr. Smithers’ body was released and interred before a proper autopsy could be performed, and an official cause of death was not established. Fortunately, several tissue samples were taken before the interment and remain available for examination. Mr. Smithers’ family does not wish to have his body exhumed, so local law enforcement professionals have asked Dr. Riehm to examine the tissue samples in the hopes of determining the cause of death, and whether or not an exhumation is needed. The following sections have been taken from the official report that Dr. Riehm sent to the local coroner’s office. You are to report to Dr. Riehm’s office with your anatomy and physiology textbook. He expects students to answer questions related to the work that he does in his histopathology laboratory. Dr. Riehm enjoys teaching, and has a collection of microscope slides that he uses to introduce students to the fascinating universe of histology. He starts with the following definition: histology is the study of the normal structure of tissues. Although Dr. Riehm is an expert in the study of the diseases and abnormalities of tissues, he is a firm believer that you must be able to recognize normal tissue before you can understand diseased tissue. He has set up four microscope stations for students to view slides of normal tissues.

Part A – Module 4.1 Introduction to Tissues

Dr. Riehm shows you an unlabeled tissue slide and says the tissue is very resistant to stretching, tearing, and compression. He then asks you what you can conclude about the structure of the extracellular matrix (ECM)


The ECM contains collagen fibers embedded in a fluid ground substance.
The ECM contains only collagen fibers but no ground substance.
The ECM has many elastic fibers and a fluid ground substance.
The ECM has abundant collagen fibers in a gel-like ground substance.

Part B – Module 4.2 Epithelial Tissues

Satisfied that you are properly introduced to the concepts of normal tissue, Dr. Riehm begins to fill you in on the details of Mr. Smithers’ case, whose tissue samples have arrived just in time for your shadowing visit. The first set of slides included an epithelium sample taken from Mr. Smithers’ forehead. The slide was taken from some oddly colored patches of skin that revealed some abnormal cells, specifically, squamous cell carcinoma. These cancerous cells were in the early stages of the disease and had not spread, or metastasized, to other tissues; therefore, this was not the cause of Mr. Smithers’ death. Dr. Riehm continued to ask questions about epithelial tissues. He used the eyepiece pointer of the microscope to mark a structure in an area of normal skin, and you are able to identify the structure as a sweat gland. Since sweat is secreted onto the skin, you know that sweat glands are __________ glands and their products have effects on __________ cells.


Exocrine; local.
Exocrine; distant.
Endocrine; distant.
Endocrine; local.

Part C – Module 4.3 Connective Tissues

Dr. Riehm began to review slides prepared from liver tissue and blood smears. Microscopic evaluation of the liver tissue shows abnormal deposits of adipose tissue interspersed throughout the normal structure of the liver tissue, which suggests hepatic lipidosis, or fatty liver. The most likely cause of hepatic lipidosis is excessive alcohol consumption, but this would need to be confirmed by further investigation. For the record, he documented his findings of hepatic lipidosis. He then explained that these findings indicate that Mr. Smithers had tissue evidence of an unhealthy behavior, likely alcoholism, which could be a contributing factor in the cause of his death but was unlikely the cause of death itself. His family and friends would need to fill in the details about Mr. Smithers’ personal life. This wasn’t enough to warrant an exhumation of the body, nor was it enough to establish the cause of death as liver failure. He explained that this is a common histological finding in several long-standing illnesses but in particular hepatitis, obstructive jaundice, and acute and chronic alcoholism with liver disease. This was still not enough to establish a cause of death, but it was more information that would support an exhumation order by the state authorities. A review of Mr. Smithers’ medical history or a report from his personal physician would be helpful in determining the relevance of this finding. Dr. Riehm moved on to Mr. Smithers’ peripheral blood smear slides. The erythrocytes appeared abnormally large, which provided more evidence that Mr. Smithers had done some significant damage to his body and tissues with alcohol consumption. Dr. Riehm documented his findings from the blood smear as abnormal, having found these large round erythrocytes called macrocytes. This condition called megaloblastic anemia leads to fewer normal cells, which limits the amount of oxygen and metabolic waste products that can be transported. This is a common finding in the peripheral blood smears of alcoholic patients with anemia. Many people suffering from alcohol dependence also have nutritional deficiencies, including poor intake of vitamin B12 and folate, both of which are critical for the normal development of erythrocytes in the bone marrow. Dr. Riehm has asked you to develop some flashcards pertaining to the different cells found in connective tissue proper. Which one of the following is not a normal resident cell found in connective tissue proper?


Mast cells.

Part D – Module 4.4 Muscle Tissues

Dr. Riehm prepares to review slides of Mr. Smithers’ cardiac muscle tissue. He described regions of necrosis, or dead tissue, where cardiac muscle cells have died after being separated from the blood supply. This finding indicated that Mr. Smithers had a myocardial infarction, or heart attack. Dr. Riehm then poses this question: Are heart attacks always fatal? In other words, can we determine from this slide that this event preceded and therefore caused Mr. Smithers’ death? People survive heart attacks, don’t they? Dr. Riehm would need to look at the slides more closely later in the day before he completed this portion of his report. He was not ready to sign off on myocardial infarction as the cause of death just yet. Dr. Riehm reviewed the remaining slides in the set. He selected a blood vessel slide and discovered hypertrophy, or an enlargement of the smooth muscle, and damage to the endothelium lining the vessel walls. Both were signs of vascular disease, as was the finding of atherosclerosis, or plaque, which had probably clogged Mr. Smither’s arteries and veins. All of these were pathological findings that supported a diagnosis of vascular disease. Vascular disease increases the likelihood of myocardial infarction. Mix the cardiovascular findings with fatty liver disease, anemia, and enough alcohol, and that could explain this man’s death. But, it would still be speculation. All of these certainly could lead to a myocardial infarction, no doubt. There was evidence that a cardiac event had happened at some point in Mr. Smithers’ life. Like his fatty liver, these findings indicated that Mr. Smithers was unhealthy. A review of Mr. Smithers’ medical history or a report from his personal physician would be helpful in determining the relevance of these findings. A pathologist would probably need to see the actual heart itself to make a cause of death by myocardial infarction determination. Dr. Riehm reminded you to get those slides filed away so we could move on to the last set of samples from Mr. Smithers’ brain tissue. While making your flashcards, you see that skeletal muscle cells are multinucleated. Why do skeletal muscle cells have this property?


Skeletal muscle fibers are formed by the fusion of osteogenic cells and the nucleus of each osteogenic cell is retained in the mature muscle fiber.
Skeletal muscle fibers are formed by the fusion of embryonic chondroblasts.
The original nucleus in a skeletal muscle fiber undergoes repeated rounds of mitosis.
Multinucleation is an advantage because of skeletal muscle fiber size and the amount of protein synthesis that takes place in these metabolically active cells.

Part E – Module 4.5 Nervous Tissue

Dr. Riehm began his review of Mr. Smithers’ nervous tissue slides. Mr. Smithers had suffered blunt trauma to the back of his head, and brain tissue revealed evidence of tissue swelling and neuronal damage. Was this injury the result of a fall or a deliberate blow to the head? It is possible that this information is related to Mr. Smithers’ cause of death, but Dr. Riehm was unable to make that determination. Unfortunately, there are too many unanswered questions surrounding the death of this man. Therefore, Mr. Smithers’ body must be exhumed. Access to his complete remains for autopsy would likely provide evidence that tissue samples could not. It seems that the case has nearly reached its conclusion, although there was still something odd about those nervous tissue slides. In addition to the trauma, there was some microscopic evidence of dementia, which would be unusual in a middle-aged person. Hopefully, a full pathology report could provide some explanation for these abnormal nervous tissue slides. Time was of the essence in this case, and there was only one last issue to address before the paperwork could be completed. You have been reviewing nervous tissue slides for hours. Dr. Riehm has asked you to discuss the structure and function of a neuron. Which of the following statements is correct?


Dendrites are always long unbranched processes that receive and carry signals toward the cell body.
Axons are long singular extensions of the cell body that carry nerve impulses away from the cell body.
Both axons and dendrites are highly branched extensions of the cell body that send and receive nerve impulses to and from the cell body.
Axons are always short, with numerous branches that carry nerve impulses away from the cell body.

Part F – Module 4.8 Tissue Repair

Finally, being thorough, Dr. Riehm wanted to review his assessment of the cardiac tissue slides. Finding evidence of fibrous tissue interspersed among cardiac muscle cells indicated that the heart had tried to heal itself. Mr. Smithers would have had to be alive long enough for scar tissue to form in his heart. The evidence from the cardiac tissue was consistent with an old myocardial infarction that Mr. Smithers survived. There was no evidence in the tissue samples to suggest that he had had an acute myocardial infarction. Dr. Riehm could only document what he observed in a small amount of cardiac tissue. Mr. Smithers could have had an acute and fatal myocardial infarction in a region of the heart from which no tissue samples were collected. From what he observed in the available tissue slide, however, it was unlikely that a cardiac event caused his death. His report would undoubtedly leave more unanswered questions about the cause of Mr. Smithers’ death. A full gross examination of Mr. Smithers’ heart was needed, which would require that his body be exhumed. Tissue repair and healing depends on adequate supplies of all of the following EXCEPT:


Entrance of cells of the immune system into the injured tissue.
Vitamin D from the diet.
Nutrition that supplies enough amino acids, vitamins, and other nutrients.
Blood flow to the injured tissue.
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a major advantage of the built-in or automatic stabilizers is that they:

Econ 214 Exam 2

1. Which of the following will most likely occur in the US as the result of an unexpected rapid growth— an increase in aggregate demand and output in the short run

2. Within the AD/AS model, if consumers increase their savings and cut back on their spending, the real interest rate will decrease and thereby cushion the reduction in consumption spending

3. In the economy were operating at a point in figure 10-9 resource prices would tend to – increase and move the economy toward point c

4. During the 1990s a financial crisis spread throughout Asia causing those economies to drop into recession—both real output and the price level would have fallen.

5. Which of the following is most likely to accompany an unanticipated increase in short-run aggregate supply.- an increase in real GDP

6. At which point in figure 10-2 is the economy at long-run equilibrium- F

7. If improvements in education and training programs increased the productivity of persons in the labor force—both short-run and long-run aggragte supply

8. The short-run effect of a sudden increase in stock prices will be – an increase in both output prices

9. Which of the following statements is most consistent with the view that the economy has a self-corrective- when the economy is in a recession, falling resource prices and declioning interest rate

10. If the economy is simultaneously in long-run and short-run equilibrium which of the following is true? Aggregate quantity demanded is equal to potential output

11. Within the framework of the Keynesian model, which of the following would most likely occur if the federal government increased its spending— the rate of inflation would rise

12. According to Keynesian view, if an economy was operating at long-run equilibrium, an increase in government expenditures would—be inflationary

13. Keynesian analysis indicates that an unexpected decline in aggregate demand will lead to- an increase in inventories and a reduction in output

14. If policy makers believe that an inflationary boom is about to begin, the Keynesian view indicates that they—decrease government spending and/or raise taces

15. The prevailing budget philosophy prior to Keynes called for a balanced budget. Keynes argued that the government—economic recessions

16. A major advantage of built in or automatic stabilizers is that they- required no congressional action to be effective.

17. Within the framework of the Keynesian model, if spending is abnormally low- equilibrium output will be less than the full-employment rate of output

18. When the unemployment rate is low, the impact of additional spending on real output will be smaller than when the unemployment rate is high

19. Unemployment compensation payments rise during a recession and thereby help stimulate consumption

20. Suppose long-run equilibrium is present and the government budget is in balance. Which of the following—a budget deficit

21. The crowding out effect refers to the tendency of – the additional borrowing accompanying larger budget deficits to increase interest rates

22. Reductions in personal income tax rates that increase supply and work effort, can be expected to also increase consumption spending

23. If a reduction in government borrowing leads to lower real interest rates in the US— the dollar will depreciate in the foreign exchange market.

24. If heavy federal borrowing pushes up real interest rates in the Us, which of the following will most likely result? – an inflow of capital and an appreciation in the foreign exchange value of the dollar

25. Which of the following tends to make the size of a shift in aggregate demand resulting from a tax change smaller than would otherwise be the case—the crowding-out effect

26. If the output of the economy is y1 which of the following would a new classical economy—continuation of the current tax and expenditure policies

27. Keynesian critics would aruge that expansion in government debt during a recession would lead to – higher failure interest payments and tax rates

28. Politicians often instruct households to spend in order to help the economy.. this advice overlooks the fact that—you cannot have strong economy if all or most household are spending just about

29. The new classical model implies that a shift to a more expansionary fiscal policy will – exert little or no impact on the real interest rate, aggregate demand and employment

30. Supply –side economies stresses that marginal tax rates exert important incentive effects that influence real output

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01.08 macbeth plot analysis graphic organizer

Understanding Plot

The plot of a story generally follows a specific structure and includes these five elements:

Exposition: What you need to know. Background information is presented, main characters are introduced, and the conflict is established.

Rising Action: The conflicts and challenges encountered by the characters. How they respond keeps the story moving forward.

Climax: The turning point in the conflict. Tension builds until the main character must make a decision or take action that determines the direction of the story.

Falling Action: The events that occur after the main character makes the key decision in the story.

Resolution: The resolution is where all the questions are answered and loose ends are tied, providing a clear ending.

A plot diagram illustrates where these elements fall in a narrative.

Plot Diagram with Exposition, Rising Action, Climax, Falling Action and Resolution plotted
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Unit 2: Module 2 ()

· From Managing human resources: Productivity, quality of work life, profits (9th ed.)read the following chapters:

· Pay and incentive systems

· Indirect compensation: Employee benefit plans

Module 2 Overview
In this module, you will learn about the strategic, operational, and tactical compensation and benefits tools HR managers use in talent management. HR managers use a mix of compensation and benefits as incentives and motivators. A key role for HR managers is to devise an incentive system that rewards and motivates human behavior, which includes monetary and nonmonetary incentives that assist HR managers to acquire and develop talent.HR strategy and HR managers utilize a carrot-and-stick approach to motivate employees. The carrot symbolizes incentives whereas the stick symbolizes policies and procedures. Incentives are seen as positive motivators in terms of acquiring and keeping talent in organizations whereas rules help in keeping control over employees.Professional organizations such as the Society for Human Resource Management (SHRM) and the American Society for Training and Development (ASTD) provide best practices and benchmarks in employee motivation and development. HR professionals may refer to these resources for talent management.In the first assignment of this module, you will discuss and evaluate the compensation and benefits that motivate employees. In the second assignment, you will analyze the impact of acquisition and mergers on paid time off (PTO) policies of an organization. You will also recommend a common PTO system, keeping in mind the policies of two merged companies.Using the navigation on the left, please proceed to the next page.· Incorporate strategic human resource management principles in the development of programs that meet organizational needs and enable the organization to maintain a competitive advantage.· Recommend talent management strategies that support the HR strategic plan and the competitive strategy of the organization. 

Unit 2: Module 2 – Compensation and Benefits

Compensation and Benefits
· ··
Compensation means salary. HR managers use research, studies, and surveys to determine a competitive salary in order to design a talent management strategy.Benefits such as PTO and medical insurance, etc., are also researched and planned. Benefit packages supplement employees’ compensation, and, thus, form an important element of a talent management strategy. A benefit plan typically addresses the specific needs of employees. However, HR managers must balance the needs of the organization and the needs of the employees while designing the compensation and benefits (C&B) mix because market forces often drive resources. In a good economy, or when an organization is flourishing, it is relatively easy to acquire talent. When economic or organizational performance is bad, attracting resources becomes tougher.The role of C&B on employee motivation, morale, productivity, and retention can be profound and is the subject of ongoing research to determine not only the effect of compensation and benefit packages on productivity, but also the specific tipping point. For example, will a 25% bonus on base salary result in a 25% increase in productivity? Would a 20% bonus have the same results? Can any increase in productivity be accurately linked to bonus incentives or are there other factors at work? Your assigned readings provide some references to such studies, but you can conduct your own research in the Argosy University online libraries using keywords like “pay for performance,” “compensation rewards,” “financial rewards,” “organizational performance,” “human resource management,” or “profit-sharing.”Executive CompensationExecutive compensation is about talent acquisition and development. It is strategic in nature and incentive based. Executive compensation is about getting and retaining the best talent available. Many executive compensation plans are based on market value and is often about pay for performance. strategies employ various benefits including the following:· Medical benefits: Medical benefits are usually provided for all employees and include comprehensive and/or major medical insurance. Employees may be given choices between service providers and insurance riders where possible.· Insurance: There are various types of insurances, and employees may have a say in the type of insurance they want to avail.· Pensions: This includes retirement benefits, with a choice of options when possible.· 401Ks: This includes retirement benefits, with a choice of options when possible.· Time off: Employees may receive various options for time off work such as sick leave, personal leave, vacations, holidays, and sabbaticals.· Lifestyle benefits: This includes incentives such as restaurant vouchers, movie tickets, membership to social clubs, and so on.· Wellness/childcare: This includes memberships to gyms, health clubs, child care facilities, and so on.· Flex benefits: This includes options such as telecommuting, and flexible working hours depending on the employee’s convenience.· Using the navigation on the left, please proceed to the next page. 

Unit 2: Module 2 – Job Analysis

Job Analysis
Job analysis in an important tool in talent management. This process serves to identify the activities involved in a job and the skills required to perform it. It helps HR managers select the right personnel for the right job. Job analysis should be performed on a need basis, and the process should be continually improved.There are three parts to the job analysis process:1. Needs analysis: A needs analysis entails gathering data and developing goals and objectives. It helps understand the needs of the job. O’Connor (2006) summarized a simplified three-step approach to needs assessment:a. Identify the problems, issues, challenges, goals, and priorities of the business.b. Uncover gaps in performance areas.c. After determining causes of the problems, recommend solutions. (O’Connor, 2006, pp. 14–17)2. Job description: A job description is a document that describes the role, duties, and responsibilities of the job and explains the skills and activities required to perform the job. The job description provides all the information related to the job such as designation, location, nature of the job, and qualifications required for the job. It also explains the authority-responsibility relationship with internal and external people.3. Evaluation and Assessment: This is the last stage of the job analysis process. Evaluation and assessment make sure that the job description is reviewed periodically to maintain its effectiveness. This process, when implemented correctly, leads to better workforce management.The job analysis process assists HR in developing accurate job descriptions. It also helps them conduct employee recruitment and evaluation. However, HR personnel should be cautious to evaluate only the job and not the employees while performing the job analysis.O’Connor, J. (2006). Shifting mindsets. E.Learning Age, 14–17. Retrieved from abstract?source=fedsrch&accountid=34899Using the navigation on the left, please proceed to the next page.  

Unit 2: Module 2 – Performance Appraisal

Performance Appraisal
Performance appraisals are snapshots of performance over a period of time. They are conducted at periodic intervals or by triggering planned or situational events.Performance appraisals are conducted during a given period to gauge progress and/or at the end of a period to review the employees’ performances. The appraisals can be carrot and stick (reward and/or punishment) or purposive (that is, ranking for advancement).The process of performance appraisal seeks to evaluate the performance of employees and understand their needs and abilities for further growth and development. Performance appraisal serves the following objectives:· To revise employees’ compensation and work profile as per industry standards· To provide feedback to employees about their performance with respect to the organization’s expectations· To assess the strengths and weaknesses of employees for further growth and development· To measure the potential in employees to take up the next challenging role or assignmentPerformance appraisals offer several advantages to the organization:· Compensation: Performance appraisals allow HR to outline compensation packages for employees based on their performance. The compensation package includes bonus, high salary rates, extra benefits, allowances, and pre-requisites, all of which are dependent on the performance appraisal.· Employee Development: Performance appraisals help supervisors recognize the training needs of employees based on their strengths and weaknesses and identify the required training programs for their development.· Promotion: Performance appraisals help supervisors identify efficient employees and design a promotion plan for them. It also helps them recognize inefficient employees and chalk out an appropriate plan for their development.· Motivation: Performance appraisals help measure the efficiency of employees if targets assigned to them are met. This helps motivate employees to improve their performance in the future.Using the navigation on the left, please proceed to the next page. 
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professional development plan for nurses


Every Advanced Practice Registered Nurse (APRN) should develop a personal development plan (PDP). A PDP includes a written evaluation of the regulations and requirements needed to obtain licensure and practice in the APRNs designated geographical area. The PDP should also include a personal action plan that reflects the results of one’s self-assessment, including one’s strengths, weaknesses, goals, and objectives. In order to develop a PDP, the APRN should be aware of and understand the state in which they plan to practice educational, regulatory, and licensure requirements. This paper aims to describe the APRNs scope of practice in the state of Florida, a personal assessment using Benner’s self-assessment tool, tactics for marketing and networking, a Curriculum Vitae, and a summary of the information acquired for the PDP.

APN Scope of Practice

Every state decides the guidelines or requirements for licensure, accreditation, certification, and education, also known as LACE, by which an APRN must abide by to practice in that state. Unfortunately, not all states are equal when it comes to the requirements for LACE and how much autonomy the APRN is allowed. In Florida, the Nurse Practitioner (NP) applicant must have a valid RN license, a master’s degree or a certificate in a nurse specialty area from a post master’s program, have completed at least 500 clinical hours, and have a national advanced practice certification from an accepted nursing specialty board (FLBON, 2017).

Per the American Association of Nurse Practitioners (AANP) (2017), nursing regulations and practice laws are set by each state. There are three levels at which an NP can practice: Full practice, reduced practice, and restricted practice (AANP, 2017). Full practice means the NP works under the authority of the state board of nursing (AANP, 2017). An NP who works in a state that allows full practice can evaluate and assess patients, diagnose, set up a treatment plan and manage the treatment plan, order diagnostic testing and interpret diagnostic results, and prescribe medications (AANP, 2017). Full practice for NPs is the scope recommended by the National Council of State Boards of Nursing and by the Institute of Medicine (AANP, 2017). Reduced practice means the state reduces the NPs ability to practice by at least one element (AANP, 2017). In reduced practice states, NPs must have a collaborative agreement with a healthcare provider before they can practice (AANP, 2017). Restricted practice means the state restricts the NP in at least one element of practice and it requires the delegation, supervision, and/or team management by a healthcare provider (most often a physician) before the NP can practice (AANP, 2017).

Florida is a restricted practice state. Per Florida’s administrative code, Rule 64B9-4.010(1), an ARNP “shall only perform medical acts of diagnosis, treatment, and operation pursuant to a protocol between the ARNP and a Florida-licensed medical doctor, osteopathic physician, or dentist” (FLBON, 2016, para. 1). The protocol delineates the professional agreement between the physician and the ARNP. Protocols must include the ARNPs information, the physician’s information, the practice’s information, a description of the ARNPs duties such as procedures the NP can perform, conditions for which the ARNP is allowed to manage and treat, medications the ARNP may prescribe, and situations in which the NP must contact the physician (FLBON, 2016). Currently, NPs in Florida are also restricted from signing a Baker Act, signing a death certificate, certifying DNR orders, and are not recognized by Medicare and Medicaid as primary care providers (FLBON, 2016). In March 2017, bill HB 7011 was presented during the March legislative session; this bill recommended independent practice for ARNPs (FLANP, 2017). As of April 2017, the bill is in the House, specifically being evaluated by the Health and Human Services Committee (The Florida Senate, 2017).

One exciting landmark for NPs in Florida came in April of 2016; bill HB 423 passed, which allows NPs and PAs to prescribe schedule I, schedule II, and schedule III controlled substances (FLBON, 2016). As of January 2017, NPs were allowed to apply for a DEA license. However, there were some stipulations put in place with the passing of this bill. NPs must have an updated protocol filed with the Florida Board of Nursing (FLBON) stating the NP has the authority to prescribe controlled medication (FLANP, 2017). NPs must complete a minimum of three continuing education unit (CEU) hours relating to the safe and effective prescribing of controlled substances (FLBON, 2016). The NP must distinguish on their practitioner profile that they prescribe controlled medications. If the NP prescribes a schedule II medication, they are restricted to prescribing for a maximum of seven days (FLBON, 2016). Lastly, unless the NP is a certified psychiatric nurse, NPs cannot prescribe psychotropic medications to anyone under the age of 18 (FLBON, 2016).

Personal Assessment

Completing a personal assessment tool is beneficial for anyone; they can help determine one’s strengths, weaknesses, goals, and objectives. For NPs, personal assessment tools also allow them to explore their interests, discover passions, and to determine which areas of practice would suit them best. To care for others, one must have a true understanding of themselves, from what they want in life to what their strengths and weaknesses are.

Knowing one’s strengths is the first step to having a true understanding of who they are. The strengths this author possesses are good communication skills, good listening skills, determination, and patience. These strengths, especially communication and listening, are important to anyone wanting to work in the healthcare industry. Effective communication and listening skills are vital to ensuring one accurately assesses, diagnoses, and treats the patient. Aside from diagnosing and treating the patient, patients want to feel as if their concerns have really been heard. How a patient perceives the provider will influence the message they receive and ultimately their care. If the patient feels the provider does not listen, cuts them off, or is too hasty in their diagnosis, it is likely the patient will not fully comply with the treatment options, lifestyle changes, and/or follow-up appointments ordered by the provider.

Just as everyone has their strengths, everyone also has weaknesses. The good thing about weakness is that it can be turned into a strength. If one is aware they are weak in certain areas, one can work on improving in these areas until they are no longer weaknesses. The weaknesses this author deals with are the fear of being an advanced beginner and time management skills. According to Benner’s Novice to Expert Model, the advanced beginner is one who has some clinical knowledge but they still require support and assistance, such as a mentor/preceptor who can help set priorities and give constructive feedback (Davis & Maisano, 2016). Luckily, time builds knowledge and confidence; the new NP should keep in mind that over time they will navigate through all of Benner’s stages. Time management skills are essential if one wants to provide quality care. New NPs often feel they must be the one to complete all tasks, which makes time management even more difficult. The new NP needs to learn that delegating certain tasks is actually beneficial to their patients because it allows the NP to spend more time with them.

Having career goals is important for the NPs professional development. Most often, people have long-term goals and short-term goals. One should always be evaluating their goals and revising them as necessary to make sure they continue to be relevant as they move forward in their life and their career. This author’s short-term goal is to work in Dermatology once NP school is complete; a long-term goal is to become a knowledgeable and confident NP that can help other new graduates find their way. Being a preceptor/mentor to new NPs would be a way of giving back to the profession as well as helping patients.

Having objectives is important because they will help one meet their goals. There are objectives that one should have when seeking a job and once they secure that job. This author’s objective is to obtain clinical sites where employment is of interest. This would be a way of networking. With so many NPs going out into the workforce, one has to think of ways to stand out. It is very difficult to apply to jobs and rely on resumes alone. When an NP student is allowed to do their clinical hours in places they can envision working in one day, they can show the potential employer exactly why they should be hired.

Networking and Marketing Strategies

The new NP must network and market themselves in order to find employment after they obtain certification. Marketing and networking are also an important part of the professional development plan. The NP should begin networking while still in school. There are a number of national and local professional nursing associations that advertise employment opportunities for NPs. Some of the professional nursing organizations in Florida include the Florida Nurse Practitioner Network (FNPN), the Florida Association of Nurse Practitioners (FLANP), and the Tampa Bay Advanced Practice Nurses Council (TBAPNC). These organizations provide a plethora of information, for new and seasoned NPs, with options such as employment opportunities, upcoming events in the area, important information on new bills that are being presented to the legislature, rejected bills, and passed bills, rules and regulations, ways to connect and network with other NPs in the area, access to a preceptor list, and the opportunity to volunteer to be a preceptor. The Florida Nurses Association (FNA) is another website Florida NPs can utilize for help finding employment as well as other resources. The FNA is actually a division of the American Nurses Association (ANA) and it is the only nursing organization that provides information for all nurses in all specialties and all areas of practice (About the Florida Nurses Association, 2012).

Nationally, the American Association of Nurse Practitioners (AANP) is the largest professional membership organization that provides full service to NPs in all areas of practice. For example, the AANP provides information on current healthcare topics and policy updates, advocacy at the state and national levels, employment, resources to assist with professional growth, resources for new graduates as well as retiring NPs, conference information, and free CEUs (“Membership Categories & Benefits”, 2017). The AANPs job link allows non-members access to the available jobs although, members are able to see job postings five days before non-members. Another national organization NPs can utilize is NP Central. Not only does NP Central provide information on job opportunities, it also provides CE opportunities, classes on how to improve your practice, access to certain resources such as Medicare information, legislative contacts, press releases, and product and book reviews. NP Central is also a resource NPs can use to meet other NPs. When googling “local and national organizations that advertise employment opportunities”, this author found an article listing the 75 top professional organizations for nurse practitioners; AANP and NP Central were both listed in the top five choices (“75 Top Professional Organizations for Nurse Practitioners”, 2017). These days, social media is also a great way to network and market oneself; some of the popular websites/applications include Facebook, LinkedIn, and Doximity.

Curriculum Vitae

Whitney Vanater RN, BSN, FNP-S

32837 Natural Bridge Road

Wesley Chapel, FL 33543

(813) 841-9650


Master’s of Science in Nursing

July 2016 – Present

Family Nurse Practitioner

Chamberlain College of Nursing

3005 Highland Pkwy

Downers Grove, IL 60515

Bachelors of Science in Nursing

04/2012 – 03/2013

Chamberlain College of Nursing

3005 Highland Pkwy

Downers Grove, IL 60515

Associates of Science in Nursing – Registered Nurse

2008 – 2009

Hillsborough Community College

4001 W. Tampa Bay Blvd

Tampa, FL 33614

Professional Employment:

08/2015 – Present

Florida Hospital Tampa

Registered Nurse – Intensive Care Unit

05/2014 – 01/2016

Moffitt Cancer Center

Registered Nurse – Critical Care Float Team – Bone Marrow Transplant Unit – Direct Referral Center

10/2007 – 02/2014

BayCare Health Systems

Neuro/Trauma Intensive Care Unit – Pulmonary Step Down Unit- Neuro/Medical Surgical Telemetry Unit

Licensure and Certifications:

Registered Nurse

RN 9294088





Professional Organizations:

American Nurses Association

American Association of Nurse Practitioners

Public/Community service:

Metropolitan Ministries –Outreach services and kitchen services

Bayshore United Methodist Church – Food drives and feeding the homeless in downtown Tampa


Having a PDP will help the NP understand and promote their abilities and skills. Completing a PDP while in school pushes the student to start thinking about and preparing for their future because it makes them learn about rules, regulations, and state requirements for licensure. The PDP also makes students think about and determine their strengths and weaknesses, goals and objectives for the short and long-term future, and develop a plan of action on how to market and network to reach their goals. As long as the NP is learning and growing, the PDP will always be a work in progress. As the NP advances through Benner’s stages, they have the opportunity to turn their identified weaknesses into strengths. There are many national and local nursing organizations one can utilize for a multitude of resources, including employment opportunities. The PDP is a tool that is beneficial for the new NP and will help in their transition from NP student to a practicing NP.


75 Top Professional Organizations for Nurse Practitioners (2017). Retrieved from

AANP (2017). State practice environment. Retrieved from – fl-thru-ky

About the Florida Nurses Association (2012). Retrieved from

Advanced Registered Nurse Practitioner Requirements in Florida (2017). Retrieved from

Davis, A. & Maisano, P. (2016). Patricia benner: Novice to expert – A concept whose time has come (again). Oklahoma Nurse, 61(3), 13-15.

FLANP (2017). Florida association of nurse practitioners: Updates. Retrieved from

FLBON (2017). Advanced registered nurse practitioner (ARNP). Retrieved from

FLBON (2016). Standards for protocols: Physicians and ARNPs. Retrieved from

Membership Categories & Benefits (2017). Retrieved from

The Florida Senate (2017). HB 7011: Health care access. Retrieved from

Welcome to the new NP (2004). Retrieved from

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the idea that a print is made from a matrix has been altered by the use of ________ to make prints.

the idea that a print is made from a matrix has been altered by the use of ________ to make prints.
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sbux 10k

SEC 10K Project: Statement of Cash Flow

This activity is designed to help you prepare your paper and is to be written in proper APA format. Before providing your write-up, find the cash flow statement for your chosen company as well as the cash flow for a competitor company. Compare the cash flow for both companies. and compare/comment on each. Attach the cash flow statements as a Word document, to your posting.

Provide a written analysis of the cash flow statements. Please focus on the elements of the cash flow statement and compare each major section (Cash Flow from Operating Activities, Investing Activities and Financing Activities). The analysis is not to compare the volume of cash flow. Many companies that are competitors of each other are very different in size. Concentrate on how each company is obtaining its cash and how they are using that cash and note similarities and differences. Compare year-over-year numbers and note and research any significant trends or differences from year to year.

A reminder – this exercise is designed to help you write your SEC 10-K paper. Please respond to this conference as if you were submitting a section of your paper, using proper APA formatting (with in-text citations and reference list), headers, etc. Please do not respond in a conversational and casual style (no writing in the first person, using slang terminology, etc.)

Here are some pointers to help you write this section of your paper:

· The numbers in the Operating Activities section relating to current assets and liabilities are not balances. These are merely the changes in these accounts from one year to the next. Because this section starts with accrual basis net income, it is necessary to convert this to cash basis in order to compute the cash flow from operating activities. For example, if accounts receivable increased from one year to the next, then that means that there was net income recognized that was not received as cash, so increases in accounts receivable are subtracted from accrual basis net income. Other adjustments in this section are for non-cash related expenses or differences in accrual versus cash basis expenses.

· When comparing your company’s cash flow with another’s, focus more on the sources and uses of cash for each, as well as notable trends from year to year. It is ok to mention the size of one company versus the other, but this should not be the main driver of your analysis.

· “Negative” numbers in the Finance and Investing sections do not represent losses. Gains and losses are reported on the income statement. Cash flow statements deal with the sources and uses of cash. Negative numbers in these sections indicate that the company used cash for these activities and positive numbers means that they received cash from these activities.

· Organize your write up by the major sections of the cash flow statement. This will make your paper flow better and make it easier for the reader to relate your analysis to the statements themselves.

· Use the details provided in the financial statements, read the notes and review other details provided in the 10-K (and you can use other sources as well) in order to gain more insight in order to better explain the numbers. Do not limit your analysis to just reviewing the numbers on the statement and trying to guess what happened. Just stating what the numbers are and whether they went up or down is not an analysis. An analysis explains the numbers and draws conclusions. You are expected to include some level of analysis of the numbers in your paper.

· Make sure your paper is in APA format with in-text citations and a reference list.

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riemann sum matlab

CS 122 • 15 Points Total


· Use Riemann Sums to approximate integrals

· Practice functions, conditions, loops


In mathematics, the definite integral of a function f on the interval [a, b] can be written as:


, and can be visualized as the total area bounded by the function on that interval.


For example, if we look at the function  between x = 1 and x = 4:


Then the integral for the function on that interval is the area of the enclosed region, between the function and the x axis. Anything below the axis (if applicable) is subtracted from the region above the axis.

There are two ways to approximate the area under a function without calculating an integral. The first is a Riemann sum and the second is a Trapezoidal sum. A Riemann Sum is calculated by fitting a series of rectangles to the function curve and then summing the area of those rectangles. It follows that the more rectangles used, the smaller they are, which makes for a more accurate approximation.

Calculating a Riemann Sum:


Each rectangle has a width of .Their height is found by evaluating the function f at some point, where:



with i = 0 : n;



For the purposes of this Lab, we are assuming that all of the rectangles are of equal width. We can see that the first and last x values are the boundary points for the interval; a and b.

Types of Riemann Sum


There are three types of Riemann Sums; left, right, middle. The Trapezoidal Sum is sometimes included as a subtype of Riemann Sums, but here we will address it separately.

Left Riemann Sum

For a left Riemann Sum, use the left edge of each segment to find the height of the rectangles.

This plot shows an example of a Left Riemann Sum, for n = 10. Notice how the top left corner of each rectangle intersects the curve.

Left Riemann Sums tend to underestimate functions that mostly increase, and overestimate functions that are generally decreasing.


 Right Riemann Sum

For a right Riemann Sum, use the right edge of each segment to find the height of the rectangles.

This plot shows an example of a Right Riemann Sum, for n = 10. Notice how the top right corner of each rectangle intersects the curve.

Right Riemann Sums tend to overestimate functions that mostly increase, and underestimate functions that are generally decreasing.

Middle Riemann Sum


For a Middle Riemann Sum, use the midpoint of each segment to find the height of the rectangles.

This plot shows an example of a Middle Riemann Sum, for n = 10. Notice how the center of the top of each rectangle intersects the curve.


 Trapezoidal Rule

The Trapezoidal Rule is another method for approximating a definite integral. Instead of approximating the area under a curve by a series of rectangles, the Trapezoidal Rule uses a series of trapezoids. It tends to provide a more accurate approximation than any of the preceding.

The provided plot shows a similar curve, where n = 11.


Download the Lab10 folder from Bblearn. Move it to your cs122 directory, cd into that directory and add it to the path.

For this lab you will be writing four functions, one for each of the discussed methods. Each will take a function f, a lower bound a, an upper bound b, and a value for n. The result for each should be a single value representing the approximation.

When you have finished, open the Lab10.m file and follow the instructions in the comments. You will need to ask the user to input various things, pass the input to the four functions you previously implemented (this has been done for you), display the results, and graph the function.

The function you will be approximating is:

f(x) = 2×4 – 5×2 – 10x + 9, 0<= x <= 9

Using each of your functions, calculate an approximation of the integral on the given interval for n = 10, 20 and 40. Use the built-in MATLAB function rsums() to check your work.

Discuss any error, and comment on how the approximations change: both with respect to each other for a value of n, and as n increases.


· Your project report (see below)

· Your zipped lab 10 folder, containing Lab10.m, Left_Riemann.m, Right_Riemann.m, Middle_Riemann.m and Trapezoidal_Method.m

· If you are not sure how to zip a folder, please ask your TA for assistance

Project Report

Below is the point distribution for required sections in the lab report. Be sure that each

section is labeled clearly. Refer to the lab submission guidelines for details on what

goes in each section.

1. Task Description1
2.Learning Objectives1
4.Mathematical Concepts1
5.Program Inputs0.5
6.Program Outputs0.5
7.Program Description1
8.Source Code5
9.Code Execution Results3· Show the calculated result of each of your integral approximation functions for each of the indicated values of n.· Discuss how your results compare to the result of calling the rsums function.· Discuss how your approximation values differ from each other for a given value of n.· Discuss how your approximation values change as n increases.· Show the plot of the mathematical function. Label the axes and provide a title.
15 total
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adam smith’s quotation would most likely be used to defend which of the following policies?

In 2011, Finland had a GDP of $195 billion and a per capita GDP of $36,000. Life expectancy was about 79 years. Which of these additional factors would most support the conclusion that Finland has a developed rather than an emerging economy?

[removed] Finland has a low population density.

[removed] Finland has a free-market economy.

[removed] Finland exports more than it imports.

[removed] Finland’s unemployment rate is 9.6 percent.

Graph titled Quantity Demanded versus Price, with x axis labeled in 10 unit increments from 0 to 70. Y axis is labeled with prices 0 to 60 dollars, in increments of 10. A blue line starts at 5, 50 and drops at an angle down to 60, 10.

Kelen wants to open a toy store. He buys the leftover stock of a store going out of business. He opens the boxes and counts the toys. There are 10 Nnedi action figures, 25 Ramez action figures, and 60 Slimeball action figures. Based on the graph, how should he set his prices?

[removed] Kelen should start with the same price for all action figures.

[removed] Nnedi action figures should be $10, Ramez $35, and Slimeball $50.

[removed] Nnedi action figures should be $42, Ramez $30, and Slimeball $10.

[removed] Nnedi action figures should be $60, Ramez $35, and Slimeball $1.

Map indicates the following free trade zones NAFTA is Canada, Mexico, and the U.S. EU-CARICOM includes Europe, Caribbean islands, and South American countries DR-CAFTA includes the U.S., Central American countries, and Caribbean islands; ALADI is most of South America, Cuba, and Mexico; EEA/EUCZ/CEFTA includes Greenland and most of Europe CISFTA is made of former Soviet states GAFTA is in the Arabian Peninsula and North Africa ECOWAS for West Africa CEMAC for some countries in Africa AFTZ includes all African except members of ECOWAS and CEMAC SAFTA is for Himalayan nations APTA includes India, China, and South Asia ASEAN includes Southeast Asia, China, South Korea, and Japan SPARTECA is Australia and Pacific Islands and AANZFTA is for countries in the South West Pacific and Southeast Asia.

Public Domain

Opponents of free trade zones might use this map to argue that free trade

[removed] encourages conflict among market and command economies

[removed] leads to greater mobility among populations

[removed] organizes nations into regional exclusionary blocs

[removed] redraws traditional geographic boundaries

[removed] Capital

[removed] Entrepreneurship

[removed] Labor

[removed] Land

[removed] The shop would decrease the brake-check price to eliminate scarcity.

[removed] The shop would increase worker pay to make up for the opportunity cost of not doing brake checks.

[removed] The shop would shift production to oil changes and away from brake checks.

[removed] The shop would shift production to brake checks and away from oil changes.

A table showing worker hours to produce one unit of two common resources. Canada can produce lumber in 5 and oil in 20 worker hours. Russia produces lumber in 10 and oil in 10 worker hours. Saudi Arabia produces lumber in 60 and oil in 5 worker hours. United States produces lumber in 10 and oil in 15 worker hours. Venezuela produces lumber in 40 and oil in 15 worker hours. A third column, Worker Hours to Produce Oil instead of Lumber, has question marks instead of numbers for each country.

Given the data in the chart, which two countries enjoy an absolute advantage in oil production over the United States?

[removed] Canada and Venezuela

[removed] Russia and Canada

[removed] Saudi Arabia and Venezuela

[removed] Russia and Saudi Arabia

Adam Smith wrote in The Wealth of Nations, Book II, Chapter 2, In general, if any branch of trade, or any division of labour, be advantageous to the public, the freer and more general the competition, it will always be the more so.

Adam Smith’s quotation would most likely be used to defend which of the following policies?

[removed] Higher taxation of corporate profits

[removed] Less stringent regulation of commerce

[removed] More subsidies for farmers

[removed] Stricter restrictions against monopolies

Which of these businesses are in monopolistic competition?

[removed] Two clothing shops, one selling women’s clothing and the other selling kids’ clothing

[removed] Two agricultural producers, each selling a variety of kinds of citrus fruit

[removed] Two pet stores, one of which sells dog products and the other of which sells bird products

[removed] Two phone providers, each offering benefits to customers who switch to its service

A table with title, Hours to Produce One Liquid Unit. Greece produces olive oil in 35 worker hours and wine in 60 worker hours. France produces olive oil in 35 worker hours and wine in 45 worker hours. Italy produces olive oil in 30 worker hours and wine in 30 worker hours. There is a blank column for each country titled additional worker hours to produce wine instead of olive oil.

Given the data in the chart above, which of the following statements is true?

[removed] France has a comparative advantage in olive oil production.

[removed] Greece has an absolute advantage in wine and olive oil production.

[removed] Greece has a comparative advantage in wine production.

[removed] Italy has an absolute advantage in wine and olive oil production.

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the kansas city preventive patrol experiment established that ________.

Chapter 2

TRUE/FALSE. Write ‘T’ if the statement is true and ‘F’ if the statement is false.

1) The Federal Bureau of Investigation runs the Uniform Crime Reporting Program.

2) Except for the crimes of rape and sexual assault, college students experience violence at average annual rates that are higher than those for nonstudents in the same age group.

3) The Police Executive Research Forum (PERF) releases the crime data it collects earlier than nationwide tallies are released by the FBI.

4) PERF reported that violent crime dropped significantly in 2006.

6) The clearance rate for burglary, as for other property crimes, is generally low.

7) Most stalking laws require that the perpetrator make a credible threat of violence against the victim or members of the victim’s immediate family.

8) Most UCR/NIBRS information is reported as a rate of crime.

9) The clearance rate compares the number of crimes reported or discovered to the number of crimes solved through arrest or other means (such as the death of the suspect).

10) Most occurrences of motor vehicle theft are reported to law enforcement agencies.

11) Murders are usually committed by strangers.

12) Forcible rape is the least reported violent crime.

13) Women are victimized less frequently than men in every major crime category except rape.

14) Older victims are more likely to attempt to protect themselves than are younger ones.

15) The National Crime Victimization Survey is based on victim self-reports rather than on police reports.

16) When a man is the victim of a violent crime, he is more likely to be injured than a woman.

17) The theft of a motorboat would be classified by the UCR/NIBRS as a motor vehicle theft.

18) The FBI crime clock is a way of diagramming crime frequency in the United States.

MULTIPLE CHOICE. Choose the one alternative that best completes the statement or answers the question.

19) The weapons used most often to commit murder are:

A) fists.

B) blunt instruments.

C) knives.

D) firearms.

20) Which index crime has the highest clearance rate?

A) rape

B) robbery

C) arson

D) murder

21) All of the following are Part I offenses except:

A) motor vehicle theft.

B) larceny-theft.

C) murder.

D) vandalism.

22) Which major crime is most frequently reported to the police according to the UCR/NIBRS?

A) arson

B) rape

C) robbery

D) larceny-theft

23) The unlawful taking or attempted taking of property that is in the immediate possession of another, by force or violence and/or by putting the victim in fear, is known as:

A) burglary.

B) larceny.

C) robbery.

D) aggravated assault.

24) Most incidents of hate crime are motivated by:

A) racial hatred.

B) prejudice against ethnicity or national origin.

C) religious bias.

D) prejudice against male homosexuals.

25) Which of the following agencies is responsible for compiling the National Crime Victimization Survey (NCVS)?

A) Bureau of Justice Statistics

B) Federal Bureau of Investigation

C) local police departments

D) Office of Juvenile Justice and Delinquency

26) The ________ is based on victim’s reports rather than on police reports.

A) National Crime Victimization Survey

B) Uniform Crime Report

C) Bureau of Justice Studies

D) Hate Crime Statistics Report

27) Which of the following is a false statement?

A) The NCVS indicates that younger people are more likely than the elderly to be victims of crime.

B) The NCVS indicates that about half of all violent crimes are reported to the police.

C) The NCVS indicates that women are more likely to be victimized by crime than men.

D) The NCVS indicates that city residents are about twice as likely as rural residents to be victims of crime.

28) One example of a violent crime is:

A) rape.

B) motor vehicle theft.

C) burglary.

D) larceny theft.

29) Each of the following offenses falls under the category of larceny except for:

A) robbery.

B) thefts from motor vehicles.

C) bicycle thefts.

D) shoplifting.

30) The killing of four or more victims at one location within one event is termed:

A) serial murder.

B) mass murder.

C) spree killing.

D) manslaughter.

32) The burning or attempted burning of property with or without intent to defraud is called:

A) vandalism.

B) arson.

C) burglary.

D) fraud.

34) Simple assaults:

A) involve the use of a weapon.

B) cause the victim to require medical assistance.

C) typically involve pushing and shoving.

D) are more serious than aggravated assaults.

35) Which of the following would not be considered burglary by the UCR/NIBRS?

A) unlawful entry where no force is used

B) purse snatching

C) forcible entry

D) attempted forcible entry

36) Which of the following data sources asks respondents to reveal an illegal activity in which they have been involved?

A) offender self-reports


C) victimization reports

D) Uniform Crime Reports

37) One of the crimes the National Crime Victimization Survey includes information about is:

A) white-collar crime.

B) kidnapping.

C) robbery.

D) murder.

38) Murder is considered a:

A) Part II offense.

B) dark figure of crime.

C) property crime.

D) violent crime.

39) Which Part I offense is least likely to occur?

A) murder

B) larceny-theft

C) motor vehicle theft

D) aggravated assault

40) The Uniform Crime Reporting Program is based on:

A) surveys conducted by the Gallup Poll organization.

B) surveys conducted by the police department.

C) interviews with the general population.

D) reports to the police.

45) About what percentage of rapes is reported to the police?

A) 16

B) 98

C) 86

D) 56

46) What is a term used to describe crimes that occur but are not reported to the police?

A) cleared cases

B) crime gaps

C) dark figure of crime

D) cold cases

48) A murderer who kills at two or more locations with almost no time break between murders is a:

A) serial murderer.

B) mass murderer.

C) spree killer.

D) rage murderer.

49) The most common form of larceny in recent years has been the theft of:

A) computer equipment.

B) motor vehicle parts, accessories and contents.

C) farm animals.

D) bicycles.

50) What is the most common form of arson?

A) arson of personal property

B) the intentional burning of structures

C) negligent arson

D) fires of suspicious origin

51) About fifty percent of hate crimes are motivated by ________ bias.

A) racial

B) gender

C) age

D) religious

52) A theft of computer equipment would be classified as:

A) computer crime.

B) high technology crime.

C) larceny.

D) cyberstalking.

53) Which source of data published by the Bureau of Justice Statistics is an annual compilation of national information on crime and the criminal justice system?

A) National Crime Victimization Survey

B) Source book of Criminal Justice Statistics

C) National Youth Survey

D) UniformCrimeReportingProgram

54) Sixteen thousand ________ provide crime data to the FBI for the UCR/NIBRS.

A) law enforcement agencies

B) law enforcement officers

C) criminologists

D) crime victims

55) Clearances are based primarily on:

A) judicial dispositions.

B) charges filed.

C) arrests.

D) convictions.

56) The theft of farm animals, or rustling, would be classified as:

A) robbery.

B) burglary.

C) motor vehicle theft.

D) larceny.

57) What piece of federal gun control legislation established a national instant criminal background check system?

A) Omnibus Crime Control Act

B) Brady Handgun Violence Prevention Act

C) Domestic Violence Offender Gun Ban

D) Violent Crime Control and Law Enforcement Act

58) The Sarbares-Oxley act focuses on what type of crime?

A) drug

B) organized

C) corporate

D) gun

59) The new UCR/NIBRS is different from the old UCR because:

A) Part I and Part II offenses are replaced with 22 general offenses.

B) statistics will be kept on homicide.

C) the NIBRS will be compiled by the FBI.

D) data will be reported by law enforcement agencies.

60) Beginning in ________ the FBI’s UCR Program initiated a new national crime collection effort called the National Incident-Based Reporting System (NIBRS).

A) 2006

B) 1915

C) 1930

D) 1988

61) The National Incident-Based Reporting System (NIBRS)

A) is based on reports from crime victims.

B) does not report the rape of males.

C) represents a significant redesign of the original Uniform Crime Reporting Program.

D) retains the measure known as the Crime Index.

62) The ________ collects information on crimes suffered by individuals and households, whether of not those crimes were reported to law enforcement.

A) Uniform Crime Reporting Program

B) Crime Index



Chapter 3

TRUE/FALSE. Write ‘T’ if the statement is true and ‘F’ if the statement is false.

1) Franz Joseph Gall studied the shape of the head to determine anatomical correlates of human behavior.

2) Jeremy Bentham devised the hedonistic calculus.

3) Travis Hirschi developed social control theory.

4) William Sheldon used somatotyping to explain juvenile criminal behavior.

5) The term reaction formation was coined to encompass the rejection of middle-class values by status- seeking lower-class youths who find they are not permitted access to approved opportunities for success.

6) Basic to the conflict perspective is the belief that conflict is a fundamental aspect of social life and it can never be fully resolved.

7) All deviant behavior is a violation of the criminal law.

8) Routine Activities Theory is a neoclassical perspective that suggests that mental illness contributes significantly to both the volume and type of crime found in any society.

9) Robert Merton applied the Anomie Theory to criminology and concluded that while the same goals and means were held out by society as desirable for everyone to participate in, they were not equally available to all.

10) Theories are tested by how well they describe and predict reality.

11) William Sheldon is considered the founder of the Classical School of criminology.

12) Edward Sutherland’s differential association theory maintains that criminal behavior is learned.

13) Techniques of neutralization are rationalizations that allow offenders to shed any guilt or sense of responsibility for their behavior.

14) The Biological School views deviant behavior as the product of environmental forces.

15) Somatotyping is the attempt to categorize, understand, and predict the behavior of certain types of offenders based on behavioral clues they provide.

16) Peacemaking criminology holds that crime control agencies and the citizens they serve should work together to alleviate social problems and human suffering and thus reduce crime.

17) Studies of children adopted at birth show no tendency for the criminality of the biological parents to be reflected in the behavior of their children.

18) The name most widely associated with biological theories of crime is Sigmund Freud.

19) The Positivist School accepts that scientific techniques cannot be applied to the study of crime and criminals.

20) Lombroso is known as the founder of the Positivist School of criminology.

21) Behavioral conditioning holds that increased or decreased reward or punishment can determine the frequency of any behavior.

MULTIPLE CHOICE. Choose the one alternative that best completes the statement or answers the question.

15) Which of the following is known as a biological theorist?

A) Lombroso

19) Sutherland

20) Merton

D) Vold

C) Shaw and McKay and their concentric zones would be classified within:

CI) conflict theory.

21) social ecology theory.

C) social control theory.

D) differential association theory.

24) William Sheldon believed predominately ________ individuals were most prone to aggression, violence, and delinquency.

C) mesomorphic

CI) ectomorphic

22) phenomorphic

D) endomorphic

B) Which of the following is not a fundamental assumption of psychological theories?

C) Crimes result from inappropriately conditioned behavior, or from abnormal, dysfunctional,or inappropriate mental processes.

23) A criminal’s tendency to commit crime is inherited.

C) The individual is the primary unit of analysis.

CI) Personality is the major motivational element in individuals.

26) Using Merton’s types of criminality, which type accepts society’s goals but rejects the means to achieve them?

24) ritualist

B) retreatist

CI) innovator

D) conformist

25) Walter Reckless’s containment theory describes two types of containment, which are known as:

B) outer and inner.

C) physical and nonphysical.

C) upper and lower.

D) body and mind.

28) ________ is a violation of social norms defining appropriate or proper behavior under a particular set of circumstances.

B) Deviance

C) Social Disorganization

CI) Moral enterprise

D) Anomie

27) Which of Merton’s categories would a law-abiding citizen fall into?

A) ritualist

B) conformist

C) retreatist

D) innovator

28) All of the following are components of Travis Hirschi’s social control theory except:

B) emotional attachments to significant others.

CI) a commitment to appropriate lifestyles.

C) desire to achieve important goals as an individual.

D) involvement in conventional values.

29) Sykes and Matza’s neutralization techniques include all of the following except:

A) denial of injury.

C) denial of understanding.

C) denial of the victim.

D) denial of responsibility.

32) A juvenile who steals a candy bar and states “No one was really hurt,” is using which neutralization technique?

CI) denial of injury

30) denial of responsibility

C) denial of victim

D) condemnation of the condemners

33) Which school of criminology explains criminal behavior by looking at physical characteristics and/or genetic makeup?

CI) Sociological School

31) Biological School

B) ConflictSchool

D) ClassicalSchool

C) All of the following theorists belong to the Sociological School except:

33) Emile Durkheim.

C) William Sheldon.

C) Robert Merton.

D) Walter Miller.

CI) What is atavism?

35) a term used to characterize aggression

B) a term used to denote one of the concentric zones

C) a condition characterized by the existence of features thought to be common in earlier stages of human evolution

D) a term used to describe anomie

CI) Which of the following terms refers to normlessness?

A) conflict

36) subculture

B) anomie

D) social ecology

C) ________ is the study of pathological mental conditions – that is, mental illness.

A) Conditioning

B) Profiling

C) Conflict perspective

D) Psychopathology

C) Which of the following theories does not belong in the Social-Psychological School?

A) phrenology

CI) social learning

38) containment

D) differential association

B) Which of Sheldon’s body types is characterized by thinness, fragility, and delicacy?

A) ectomorphs

C) endomorphs

39) mesomorphs

D) phenomorphs

B) Which of the following theories proposes that the likelihood of crime increases when an individual’s bond to society weakens?

C) social control

B) labeling

40) anomie

D) differential association

C) According to Robert Merton, a(n) ________ rejects both society’s goals and means to achieve them.

A) conformist

CI) retreatist

41) ritualistic

D) innovator

C) According to Sutherland, criminal behavior is:

A) inherited.

46) learned.

C) psychopathological.

D) based on body type.

43) Marvin Wolfgang and Franco Ferracuti are often associated with which of the following terms? A) psychosis

CI) subculture of violence

47) sociopath

D) anomie

44) According to Robert Merton, a(n) ________ rejects the goals and accepts the means to achieve society’s goals.

B) rebel

C) conformist

49) innovator

D) ritualist

C) According to Sykes and Matza, a criminal who states “I’m a product of my background” would be:

50) in denial of responsibility.

B) appealing to higher loyalties.

C) in denial of injury.

D) in denial of the victim.

C) A ________ is a set of interrelated propositions that attempt to describe, explain, predict and ultimately control some class of events.

51) somatotype

B) psychosis

B) theory

D) deviant

C) ________ theories challenge existing criminological perspectives to debunk them and work toward replacing them with concepts more applicable to the postmodern era.

52) Constitutive

B) Deconstructionist

C) Feminist

D) Peacemaking

CI) According to Merton, ________ were the revolutionaries of his theory.

A) innovators

53) ritualists

B) rebels

D) conformists

C) Sheldon would classify a juvenile with soft roundness throughout the body, short tapering limbs, and small bones as a(n) ________.

54) tyranomorph

B) mesomorph

B) endomorph

D) ectomorph

CI) What term does Howard Becker use to describe an advocacy group that participates in the political process so that it can have its values legitimized and embodied in law?

55) moral enterprise

B) moral panic

C) social construction

D) moral pressure

56) ________ criminology places the blame for criminality and deviant behavior upon officially sanctioned cultural and economic arrangements.

B) Containment

B) Phenomenological

C) Constitutive

D) Radical

57) A “supermale” is said to display what chromosomal structure?





53) What would you call a scientist who examines the shape of the head to determine causes of human behavior?

B) botanist

C) nutritionalist

CI) atavist

D) phrenologist

59) Who wrote Essays on Crime and Punishment?

C) Ernest Hooten

CI) Franz Gall

C) Cesare Beccaria

D) Jeremy Bentham

55) A(n) ________ theoretical approach integrates a variety of viewpoints in an attempt to explain crime and violence.

60) interdisciplinary

B) constitutive

C) peacemaking

D) containment

CI) Who devised the hedonistic calculus?

61) Cesare Beccaria

B) Ernest Hooten

C) Franz Gall

D) Jeremy Bentham

CI) An eighteenth-century approach to crime causation and criminal responsibility that grew out of the enlightenment and that emphasized the role of free will and reasonable punishments.

A) Biological School

B) Classical School

62) Psychological School

D) PositivistSchool

B) A perspective on criminological thought that views offensive and deviant behavior as the product of dysfunctional personalities.

C) Biological School

B) Psychological School

CI) Chicago School

D) ClassicalSchool

63) Chaos theory, discourse analysis, and realist criminology are all examples of:

B) peacemaking.

CI) feminist criminology.

C) post-modern criminology.

D) phenomenological criminology.

60) Which of the following is not considered an emergent perspective?

A) anomie

B) post-modern

C) feminist

D) deconstructionist

61) A sociological approach that emphasizes demographics and geographics and that sees the social disorganization that characterizes delinquency areas as a major cause of criminality and victimization.

A) Psychological School

B) Chicago School

C) Positivist School

D) Postmodernism

62) Which of the following is not a “pathway” to delinquency according to the Program of Research on the Causes and Correlates of Delinquency study?

A) covert

B) moral

C) authority-conflict

D) overt

63) Which theoretical perspective investigates developments and turning points in the course of a person’s life over time?

A) lifecourse

B) labeling

C) conflict

D) neoclassical

64) What term describes the attempt to categorize, understand, and predict the behavior of certain types of offenders based upon behavioral clues they provide?

A) labeling

B) behavior modification

C) psychological profiling

D) social learning

65) Which of the following theories represents a social development perspective?

A) differential association

B) lifecourse

C) social control

D) routine activities

66) A perspective on crime causation that holds that criminality is the result of conscious choice.

A) Rational Choice Theory

B) Social Learning Theory

C) Social Process Theory

D) Routine Activities Theory

67) Neoclassical criminology emphasizes:

A) biological destiny.

B) rationality and cognition.

C) slow but certain punishment.

D) free will and hedonistic calculus.

68) Freda Adler wrote a book titled “________ in Crime?”

A) Brothers

B) Trends

C) Partners

D) Sisters

Chapter 4

TRUE/FALSE. Write ‘T’ if the statement is true and ‘F’ if the statement is false.

1) The M’Naghten Rule is a rule for determining when necessity can be claimed as a defense.

2) From the point of view of the criminal law, insanity has a medical definition and not a legal one.

3) Bob has been accused of robbing Rayon Thursday in Illinois. Bob can show he was in Ohio on Thursday. Bob has an alibi.

4) A harm occurs in any crime, although not all harms are crimes.

5) Reckless behavior does not increase the risk of harm.

6) Ex-post facto is Latin for “the fact is wrong.”

7) Procedural defenses focus on discrimination by the justice process.

8) A crime that has not been fully carried out or an attempt of a crime is considered an inchoate offense.

9) The principle of recognizing previous decisions as precedents to guide future deliberations is called stare decisis.

10) A necessary first feature of any crime is some act in violation of the law.

11) A tort is a wrongful act, damage, or injury not involving a breach of contract.

12) When a person below the age required for adult prosecution commits a crime, it is termed an inchoate offense.

13) Civil suits seek punishment, not compensation.

14) Civil law provides a formal means for regulating noncriminal relationships among persons, business, and other agencies of government.

16) Common law is law that originates from written statutes.

16) Felonies are serious crimes.

20) Actus reus means “guilty act.”

18) Corpus delicti literally means “the body of the crime.”

MULTIPLE CHOICE. Choose the one alternative that best completes the statement or answers the question.

21) ________ is a term that describes the philosophy of law.

D) Stare Decisis

CII) Jurisprudence

C) Precedent

D) Inchoate

22) Which of the following is considered the “law on the books”?

A) statutory

D) common

CII) case

D) administrative

23) Which of the following types of law is based on the assumption that acts injure not just individuals, but society as a whole?

C) tort law

B) administrative law

D) civil law

D) criminal law

24) Which of the following refers to a traditional body of early unwritten legal precedents created from everyday social customs, rules, and practices?

D) common law

B) statutory law

CII) codes

D) law of the land

25) What part of the criminal law deals with defining crimes and specifying punishments?

A) procedural

C) substantive

CII) civil

D) common

24) What term expresses the belief that a society must be governed by established principles to maintain order?

26) rule of law

C) stare decisis

D) codification

D) inchoate

C) Which type of law refers to the body of regulations that the government creates to control the activities of industry, business, and individuals?

D) case law

B) procedural law

CII) administrative law

D) criminal law

26) ________ regulates the gathering of evidence and the processing of offenders by the criminal justice system.

28) Procedural law

C) Criminal law

D) Administrative law

D) Civil law

29) Which of the following violations is not a misdemeanor?

A) robbery

C) disturbing the peace

CII) petty theft

D) disorderly conduct

30) Which of the following would not be categorized as a felony?

A) robbery

D) murder

CII) simple assault

D) rape

31) Most crimes have three elements. Which one of these is not one of the elements?

A) motive

D) the concurrence of act and intent

CII) actus reus

D) mens rea

32) Our legal system generally recognizes all of the following broad categories of defenses except:

A) pleadings.

C) alibi.

D) procedural defenses.

D) justifications.

34) On occasion, a person may be tricked into consuming an intoxicating substance. This may support a defense is known as:

D) duress.

B) entrapment.

CII) involuntary intoxication.

D) necessity.

36) Which of the following terms refers to gathering, transmitting, or losing information related to the national defense in such a manner that the information becomes available to enemies of the United States?

A) misdemeanors

C) inchoate offenses

D) conspiracies

D) espionage

CII) Which of the following is a justification defense?

A) duress

37) insanity

C) double jeopardy

D) self-defense

D) Murder, rape, robbery, and assault all fall under what branch of modern law?

A) criminal

C) procedural

D) administrative

D) civil

CII) Which of the following is a procedural defense?

A) necessity

39) consent

C) mistake

D) double jeopardy

D) An alibi defense is best supported by:

40) a spouse’s testimony.

C) rumor and hearsay.

C) a defendant’s testimony.

D) witnesses and documentation.

D) Tax laws, building codes, and health codes are examples of what type of law?

41) administrative law

D) environmental law

C) procedural law

D) natural law

CII) Which of the following elements of crime means “guilty mind”?

42) corpus delicti

D) actus reus

C) stare decisis

D) mens rea

47) An excuse defense includes which of the following?

A) entrapment

D) age

CII) necessity

D) self-defense

48) Jaywalking is generally considered a(n):

A) offense.

C) inchoate.

D) felony.

D) misdemeanor.

50) Search and seizure, arrest procedures, and general rules of evidence are considered:

A) procedural law.

D) substantive law.

C) administrative law.

D) civil law.

51) The facts surrounding an event are called:

A) motive.

C) attendant circumstances.

D) precedent.

D) causation.

52) Which of the following is a procedural defense?

C) prosecutorial misconduct

D) alibi

C) insanity

D) mistake

53) How many levels or types of mens rea can be distinguished?

A) four

D) two

CII) three

D) one

54) A special category of crimes that require no culpable mental state.

A) equity

C) strict liability

D) attendant liability

D) truthful

55) A person’s reason for committing a crime is considered:

A) inchoate.

C) procedural.

CII) prohibita.

D) motive.

56) When a police officer induces a subject to commit a crime, a defendant will probably use:

C) an excuse defense.

D) a justification defense.

C) a procedural defense.

D) an alibi.

57) Typically civil lawsuits seek:

C) to punish a wrongdoer.

D) compensation.

58) to deter others from committing a similar offense.

D) to protect society.

D) The principle of recognizing previous decisions as precedents to guide future deliberations is called:

A) actus rea.

CII) mens rea.

C) stare decisis.

D) corpus delicti.

50) Which crime best describes an attempt to overthrow the government of the society of which one is a member?

D) conspiracy

CII) espionage

60) treason

D) infraction

D) Which type of a defense is an attorney using when the attorney claims that the defendant’s actions were necessary to ensure the defendant’s physical safety?

CII) defense of others

B) consent

61) self-defense

D) defense of home and property

52) When a person below the age required for criminal prosecution commits a crime, it is called: A) deviance.

C) a major offense.

D) a juvenile offense.

D) absence of malice.

CII) Which Constitutional Amendment guarantees the right to a speedy trial?

A) Fourth

62) Sixth

C) Fifth

D) Eighth

CII) When the defendant is incapable of understanding the nature of the charges and the proceedings against the defendant, and is unable to consult with his or her attorney and aid in his or her defense; the defendant will be declared:

A) incompetent.

63) guilty but mentally ill.

C) insane.

D) of diminished capacity.

D) A common law and constitutional prohibition against a second trial for the same offense.

CII) ex-post facto

64) entrapment

C) double jeopardy

D) stare decisis

C) Diminished capacity is a:

A) procedure.

CII) verdict.

61) rule of law.

D) defense.

C) Bob is sitting on a park bench minding his own business when an undercover police officer comes up to Bob and talks him into buying some marijuana. Then the officer arrests Bob for possession of marijuana. Bob can claim the defense of:

A) duress.

CI) necessity.

62) double jeopardy.

D) entrapment.

B) A verdict, equivalent to a finding of “guilty”, that establishes that the defendant, although mentally ill, was in sufficient possession of his or her facilities to be morally blameworthy for his or her acts.

C) diminished capacity

B) guilty but mentally ill

CI) not guilty by reason of insanity

D) guilty but insane

63) The ________ rule is a rule of law that holds that a person can only defend a third party under circumstances and only to the degree that the third party could act on his or her own behalf.

B) M’Naghten

B) procedural

CI) substantive

D) alter ego

B) Ray threatens to spit on Bob and Bob defends himself by shooting Ray. Bob has:

C) used reasonable force.

CI) a legal justification.

C) used excessive force.

D) a procedural defense.

65) When a defendant admits to committing the act in question but claims it was necessary in order to avoid some greater harm the defendant’s defense is a/an:

B) procedural defense.

B) justification.

CI) excuse.

D) alibi.

66) A/An ________ of a crime is an essential feature of a crime, as specified by law.

A) defense

B) element

C) procedure

D) infraction

67) ________ is/are a person’s reason for committing a crime.

C) Corpus delicti

68) Motive

C) Attendant circumstances

D) Concurrence

B) The coexistence of (1) an act in violation of the law and (2) a culpable mental state.

C) corpus delicti

69) motive

C) strict liability

D) concurrence

C) A/An ________ offense is an offense not yet completed. Also, an offense that consists of an action or conduct that is a step toward the intended commission of the offense.

CI) inchoate

B) ticketable

C) treasonable

D) alter ego

66) An offense punishable by incarceration, usually in local confinement facility, for a period whose upper limit is prescribed by statute in a given jurisdiction, typically one year or less.

A) offense

B) tort

C) misdemeanor

D) felony

67) A criminal offense punishable by death or by incarceration in prison for at least one year.

A) offense

B) misdemeanor

C) felony

D) tort

68) The part of the law that specifies the methods to be used in enforcing substantive law.

A) administrative law

B) common law

C) procedural law

D) case law

69) A ________ must be demonstrated in court in order to hold an individual criminal liable for causing harm.

A) justification

B) motive

C) civil wrong

D) legal cause

Chapter 5

TRUE/FALSE. Write ‘T’ if the statement is true and ‘F’ if the statement is false.

1) Policing in early America has been described as decentralized, geographically dispersed, and highly personalized.

2) The Law Enforcement Assistance Administration is an important part of the criminal justice system in the twenty-first century.

3) The growth in the size of private security in the first years of the twenty-first century has been very little.

4) In any discussion of evidence-based policing, it is important to remember that the word” evidence” refers to criminal evidence, not scientific evidence.

5) Vigilantism is the act of taking the law in to one’s own hands.

6) Jonathan Wild, who founded the Bow Street Runners,broke up a fencing operation built around a group of robbers, thieves, and burglars in the early 1700s.

7) The two basic principles of the London Metropolitan new police,at its inception, were the use of preventive patrol and the belief that crime can be discouraged.

8) The Metropolitan Police were initially well received by Londoners.

9) Citizen posses and vigilante groups were often the only law available to settlers on the Western frontier.

10) A decentralized state police agency operates with two agencies-a highway patrol and a state bureau of investigation.

11) There are twice as many public law enforcement officers in the United States than there are private security personnel.

17) Police chiefs are elected, and the mayor usually appoints sheriffs.

21) In 1967 the LEAA was responsible for creating the Omnibus Crime Control and Safe Streets Act.

14) The new police of the London Metropolitan Police Force were also known as “Bobbies.”

MULTIPLE CHOICE. Choose the one alternative that best completes the statement or answers the question.

22) The new police of London were formed in:

A) 1829.



D) 2001.

23) Comes stabuli:

A)was a mounted officer responsible for leading posses.

B)provides an example of policing in urban centers.

C)was created by Henry Fielding.

D) was large, organized group of law enforcement officials.

24)The Statute of Winchester:

A)was written by Robert Peel.

B)created the watch and ward.

C)was used by the Bow Street Runners to apprehend violent criminals.

D) formed the new police.

26)The Bow Street Runners:

A)were the most undisciplined enforcement agents in London.

B)still function in New York today.

C)were a ruthless gang of robbers.

D) were created by Henry Fielding.

27) Attempts to police the early Western frontier can be characterized as:

A) vigilantism.

D) desperado justice.

E) lex talionis.

D) expansion justice.

28)Which state created “the first modern state police agency”?


B)New York

C) Virginia

D) Maryland

29) Which of the following people was associated with London’s New Police?

A)Charles Lynch

B)J. Edgar Hoover

C) Robert Peel

D) Alice Stebbins Wells

30) Which commission, started in 1931, recognized prohibition as unenforceable as well as a catalyst to police corruption?




D) McWhorter

31) The Kansas City Preventive Patrol Experiment established that:

A)preventive patrol does reduce citizen fear of crime.

B)preventive patrol doesn’t reduce citizen fear of crime.

C)police response time greatly affects the apprehension rate of suspects.

D) “preventable crimes” are indeed prevented by patrol.

32)Which of the following American presidents also served as New York City police commissioner?

A)Theodore Roosevelt

B)Dwight Eisenhower

C) John Kennedy

D) JohnAdams

33)A centralized state law enforcement agency:

A)combines criminal investigations with patrol of state highways.

B)has only one headquarters.

C)is less expensive to operate.

D) is characteristic in the Southern United States.

34) Which of the following is not a prominent private security firm?

A) Wells Fargo



D) Enron

34) Which agency would not be encompassed by the term local police?

A)Sheriff’s Department

B) Campus Police

C) State Police

D) Municipal Police Department

35) Which of the following is typically not a function of a sheriff’s department?

A) provide law enforcement throughout a county or area between municipalities

B) appoint a local coroner

C) serve court papers

D) maintain and manage county jails

36) In what year was the Law Enforcement Assistance Administration established?

A) 2001

B) 1920

C) 1910

D) 1969

37) The preeminent organization for private security professionals.





38) The nation’s largest law enforcement agency is in:

A) Chicago.

B) New York.

C) Miami.

D) LosAngeles.

39) Which of the following is not a major level of law enforcement?

A) federal

B) state

C) district

D) local

40) What strategy is designed to increase the productivity of patrol officers through the application of scientific analysis and evaluation of patrol techniques?

A) centralized patrol

B) supervised patrol

C) directed patrol

D) analytical patrol

41)Bailiffs were initially used in English cities and town to:

A) maintain order in the courts.

B) protect political leaders.

C) maintain a night watch.

D) police urban ghettos.

42) Alice Stebbins Wells is considered:

A) the first police woman in the world.

B) the first woman to be killed in the line of duty.

C) the first woman to be arrested by Robert Peel.

D) the first woman to be the director of the FBI.

43) Another name for the National Commission of Law Observance and Enforcement is:

A) the Nixon Commission.

B)the Wickersham Commission.

C) the President’s Commission.

D) the Johnson Commission.

44) Which of the following individuals is not a famous frontier American lawman?

A) Wyatt Earp

B) “Wild Bill” Hickok

C) Judge Roy Bean

D) ColinWoods

45) What is considered the backbone of police work?

A) traffic

B) crime analysis

C) investigation

D) patrol

46) What federal agency is responsible for managing the database of DNA profiles?

A) Federal Bureau of Investigation

B) U.S. Customs

C) The League of Scientists

D) Drug Enforcement Administration

47) Which local law enforcement official is responsible for serving court papers, maintaining security within courtrooms, and running the county jail?

A) sheriff

B) police chief

C) bailiff

D) prosecutor

48) The Hallcrest Report II provides the results of an analysis of what type of law enforcement agency?

A) local

B) federal

C) state

D) private security

49) Which of the following is not a reason for the rapid growth of the private security industry?

A) increases in the number of crimes in the workplace

B) public law enforcement agencies requesting the help of private security

C) increases in the fear of crime

D) the fiscal public crises of the states

50)________ is the use of best available research on the outcomes of police work to implement guidelines and evaluate agencies, units, and officers.

A) Counterterrorism

B) Evidence-based policing

C) The centralized model

D) Community policing

51) ________ is an early form of police patrol in English cities and towns.

A) Scientific police management

B) Vigilantism

C) Night watch

D) Directed patrol

52) The FBI employs about ________ special agents.

A) 180,000

B) 210,000

C) 30,000

D) 13,000

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phet refraction

Light Reflection and Refraction Lab Using PhET Simulation

I) Introduction:

When a light ray strikes a smooth interface separating two transparent materials (like air, glass, or water), the wave is partly reflected and partly refracted (or transmitted) into the second material. For an example of this, imagine you are outside looking at a restaurant window. You can probably see both the inside of the restaurant (from the refracted light) and some of the street behind you (from the reflected light). Similarly, a person in the restaurant can see some of the street scene, as well as a reflection of the other people in the restaurant.

The goal of this pre-lab is to understand how light is reflected and refracted, and what the general relationships are between the two. You will be using the Bending Light simulation found at ng the Run Now button.

II) Initial Observations:

First, let’s get acquainted with the PhET sim that we will be using. The red button on the laser turns the light on.

What do you notice about the angles of the reflected and refracted light? Briefly, give a qualitative description of the following features:

What happens to the reflected and refracted rays as you change the angle of the incident light beam?

Eventually the refracted ray will make an angle of 90° with the surface normal. If the angle of incidence is increased beyond that angle, then refraction does not occur. All of the light incident on the interface is reflected back into the incident medium.

What does changing the index of refraction do to the refracted and reflected light? Be specific.

There is an angle at which the light will not pass into the other material and will start to be reflected at the surface. This is call the critical angle of refraction.

III) Quantitative Analysis:

Now let’s try to find a mathematical expression for what we are seeing. First, notice that there is a protractor and intensity meter that can be found in the lower right of the sim. You can grab each by moving your pointer over top of them and clicking on your mouse while moving them in place.

For convenience (and by convention), try measuring angles as starting from the vertical axis and beam. (The same goes for the refracted beam – but now you will want to measure from the z-axis to the beam.)

1) With air as the top medium and water as the bottom medium, use your protractor to adjust your laser to so it creates an angle of incidence of 30o. What is the angle of reflection? What is the angle of refraction? Using Snell’s Law equation, what is the mathematical solution for 2?

2) As you increase the angle of incidence (move laser lower), what happens to the angle of refraction? Does it move toward the normal or away from the normal? What happens to its intensity?


3) Change the top medium to water and the bottom medium to air. Once again, set the incident angle at 30o. What is the angle of refraction? Compare your answer to the angle of refraction in question 1. Did the angle of refraction increase (move away from the normal) or decrease (move toward the normal)?

4) At what angle of incidence does the refracted light travel perpendicular to the normal, along the boundary layer? What do we call this angle? You won’t be able to see this in the simulation, but you can get close. Calculate this angle using Snell’s Law.

5) With your angle of incidence set at 30o again, select ‘Mystery A’ as the medium in the bottom layer. What do you notice about the angle of refraction compare to air as the bottom medium? Does ‘Mystery A’ have a higher or lower indices of refraction than that of water? Solve for the indices of refraction of ‘Mystery A’ using Snell’s Law.

Mystery A has a higher indices of refraction than water. The refraction is 0.96.

6) Knowing that the speed of light through air is approximately 2.99×108 m/s, what is the speed of light through glass? Through ‘Mystery A’?


7) What happens to the intensity of the reflected and refracted beam as the angle of incidence increases and decreases? What is the value of the refracted beam when the laser is perpendicular to the boundary layer?

8) Consider a simple ray diagram for the objects and lenses below. Determine the images and describe if they are real or virtual, erect or inverted, and enlarged or reduced.


9) True or false and explain why.

A virtual image cannot be displayed on a screen. T/F


Aberrations occur only for real images. T/F


A diverging lens cannot form a real image from a real object. T/F


The image distance for a positive lens is always positive. T/F


A negative image distance implies that the image is virtual. T/F


10) An object 4.0 cm tall is placed 20 cm in front of a thin lens of power 20 diopters. Draw a precise ray diagram to find the position and size of the image and check your results using the thin-lens equation.

11) Describe the cause of chromatic aberration in a lens and how it affects the image collected.

Consider your own eyesight. Can you detect any indication of spherical aberration? If so, describe what you see.