we do your essays write my book report writing a literature review

drag the appropriate labels to their respective targets. quizlet

2/26/2016 Homework 5 Geologic Time 1/41

Homework 5 Geologic Time Due: 11:59pm on Sunday, February 28, 2016

You will receive no credit for items you complete after the assignment is due. Grading Policy

Interactive Animation: Relative Geologic Dating

When you have finished, answer the questions.

Part A

Which of the following statements about relative and absolute age dating is most accurate?



Part B

What is the principle of original horizontality?


Relative age dating places rocks and events in chronological order and can provide information about absolute age.

Relative age dating provides information about absolute ages but does not place rocks and events in chronological order.

Relative age dating places rocks and events in chronological order but does not provide information about absolute age.

Relative age dating does not provide information about absolute ages, nor does it place rocks and events in chronological order.

2/26/2016 Homework 5 Geologic Time 2/41


Part C

What is the principle of superposition? 



Part D

What is the principle of cross­cutting relationships?



Part E

Five layers of rock are cut by two faults. Both faults cut through all five layers of rock. Fault A breaks through to the surface, whereas fault B does not. Which of the following statements about faults A and B is most accurate?

Metamorphic rocks are close to horizontal when deposited.

Sedimentary rocks are close to horizontal when deposited.

Sedimentary rocks are close to horizontal when eroded.

Metamorphic rocks are close to horizontal when eroded.

Within a sequence of rock layers formed at Earth’s surface, rock layers in the middle of a sequence are older.

Within a sequence of rock layers formed at Earth’s surface, rock layers higher in the sequence are older.

Within a sequence of rock layers formed at Earth’s surface, rock layers lower in the sequence are older.

Geologic features that cut through rocks must form at roughly the same time as the rocks that they cut through.

Geologic features that cut through rocks must form before the rocks that they cut through.

Geologic features that cut through rocks must form after the rocks that they cut through.

2/26/2016 Homework 5 Geologic Time 3/41



Part F

Which principle of relative age dating is important for determining the relative age of igneous rock that has intruded into overlying rock?



Part G

A fault (F) breaks three layers of sedimentary rock (S). An igneous intrusion (I1) has broken through the bottommost layer of rock. A second igneous intrusion (I2) has moved up the fault and pooled on top of the uppermost layer of rock. Which event would be considered the youngest?



Faults A and B are about the same age, and both are older than the five layers of rock.

Fault A is younger than fault B, and both are older than the five layers of rock.

Faults A and B are about the same age, and both are younger than the five layers of rock.

Fault A is younger than fault B, and both are younger than the five layers of rock.

the principle of original horizontality

the principle of cross­cutting relationships

the principle of intrusive relationships

the principle of superposition

Faulting of rock along F is the youngest event. We know this because all three layers of sedimentary rock have been broken.

The intrusion of I2 is the youngest event. We can know this because I2 sits on top of all other rocks.

Deposition of the three sedimentary layers, S, is the youngest event. We know this because the fault underlies the igneous rocks.

The intrusion of I1 or I2 is the youngest event. Without more information, we cannot know which igneous rock is youngest.

2/26/2016 Homework 5 Geologic Time 4/41

SmartFigure: Relative Dating

Launch the SmartFigure Video

When you have finished, answer the questions.

Part A

A sandstone contains inclusions of metamorphic rock. An igneous dike cuts both the sandstone and inclusions. List the rocks from youngest to oldest.

Hint 1.

Use your knowledge regarding the principles of cross­cutting relationships and dating by inclusions to answer this question.



Part B

metamorphic rock, igneous dike, sandstone

igneous dike, sandstone, metamorphic rock

metamorphic rock, sandstone, igneous dike

sandstone, metamorphic rock, igneous dike

igneous dike, metamorphic rock, sandstone

2/26/2016 Homework 5 Geologic Time 5/41

If a sequence of sedimentary units is cut by a fault, what does the principle of cross­cutting relationships tell a geologist?

Hint 1.

Recall what the principle cross­cutting relationships states and how it is used for relative age dating.



Part C

Which of the following describes the principle of original horizontality?

Hint 1.

The video showed a sequence of folded sedimentary rocks. What had to occur to form this feature?



Part D

The sedimentary units on the left side of the fault are the same as those on the right side.

All of the sedimentary units must have been deposited and lithified before being cut by the fault.

The fault is older than the sedimentary sequence.

Sedimentary layers are laid down horizontally.

The oldest sedimentary unit is located at the base of the sequence, while the youngest is at the top.

Inclusions within a sedimentary rock are older than the sedimentary rock itself.

Folded sedimentary layers were originally laid down flat and later deformed.

A fault or dike that cut a sedimentary sequence is younger than the sedimentary rocks it breaks through.

Undeformed sedimentary layers present on one side of a river­cut canyon are the same as those on the opposite side.

The oldest sedimentary unit is located at the base of the sequence, while the youngest is at the top.

2/26/2016 Homework 5 Geologic Time 6/41

An undeformed sequence of sedimentary rocks is exposed in a large river canyon. Which two principles would be demonstrated by the rocks?

Hint 1.

Think back to the five principles you learned about in the video. Which two would be the most applicable to an undeformed rock sequence that has been eroded by a large stream?



Part E

An igneous dike cuts through limestone, but not through the overlying sandstone. Which of the following statements is most accurate?

Hint 1.

Think about how the principles of superposition and cross­cutting relationships are used for this question.



principles of lateral continuity and inclusions

principles of superposition and lateral continuity

principles of cross­cutting relationships and superposition

principles of superposition and dating by inclusions

principles of lateral continuity and cross­cutting relationships

First, the sandstone was laid down, next the limestone was deposited, and finally was cut by the igneous dike.

The limestone and sandstone were deposited and then cut by the igneous dike.

First, the limestone was laid down, then intruded by the igneous dike, and lastly the sandstone was deposited.

The igneous dike represents the oldest rock, while the sedimentary rocks are relatively younger.

First, the limestone was laid down, folded and cut by an igneous dike, and finally the sandstone was deposited.

2/26/2016 Homework 5 Geologic Time 7/41

GeoTutor: Constructing an Order of Sequence of Geologic Events ­ Geologic Time Scale

Geologists have divided the whole of history into units of increasing magnitude. This is called the geologic time scale. The entire time scale was originally based on relative dating, since radiometric dating was not available at the time. Absolute dating techniques determine a numerical age of strata given in number of years. Relative dating techniques, on the other hand, determine the age of a stratum relative to other strata (i.e., if it is younger or older), without providing any numerical data. Geologists have been able to determine the relative ages of rocks and any fossils they contain to reconstruct a history that reveals the evolution of Earth’s continents and living organisms using four laws of stratigraphy:

1. Law of Superposition: Younger strata are deposited on top of older strata. 2. Law of Original Horizontality: Strata are deposited horizontally. Tilted strata had been tilted by some geologic event after the time of deposition. 3. Law of Lateral Continuity: Layers of sediment initially extend laterally in all directions. As a result, rocks that are otherwise similar, but are now separated by a valley or other erosional feature, can be assumed to be originally continuous.

4. Law of Cross­Cutting Relationships: Magma intrudes and crystallizes (forming features such as faults and dikes). These features are younger than the strata they cut through.

The geologic time scale subdivides the 4.6­billion­year history of Earth into several units, outlining the time frames of several events of the geologic past. See below for the geologic time scale chart.

2/26/2016 Homework 5 Geologic Time 8/41

Part A ­ Laws of stratigraphy

In the figure below, a series of geologic events, A­J, shows the configuration of rocks as seen from a road. Some strata have been tilted, and a volcanic dike has intruded some

2/26/2016 Homework 5 Geologic Time 9/41

of the rocks. Use the laws of stratigraphy to rank these strata.

Rank the strata from oldest to youngest.

Hint 1. The Law of Cross­Cutting Relationships

The volcanic dike (H) must be older than any strata it does not cut through and younger than any strata it does cut through, because the strata it cuts through must have been there before the intrusion of magma.

Hint 2. The Law of Original Horizontality

Pretend the tilted strata are horizontal. That is, “D” is above “A,” “C” is above “A,” and so on. The Law of Original Horizontality states that strata are deposited horizontally in their original states. Tilted strata had been tilted by some geologic event after the time of deposition, but still retain their relative order.


2/26/2016 Homework 5 Geologic Time 10/41

All attempts used; correct answer displayed

Notice that the tilted strata are immediately overlain by horizontal strata. This can only occur if erosion has partially removed the tilted strata so they all terminate at the same depth.

Part B ­ The geologic time scale and unconformities

Gaps in the rock record are called unconformities. Unconformities are caused by periods of erosion that have occurred between periods of deposition, which have erased a portion of the rock record. There are three types of unconformities: (1) angular unconformities occur when tilted strata are overlain by horizontal strata—Click here to see an angular unconformity; (2) disconformities occur when strata are separated by an erosional surface—Click here to see a disconformity); (3) nonconformities occur when strata overlay igneous or metamorphic rocks that are resistant to erosion—Click here to see a nonconformity.

Now use the figure below, which has labeled each of the rock strata/layers from Part A with their respective geologic time periods, to fill in the gaps in the following sentences.

2/26/2016 Homework 5 Geologic Time 11/41

Match the words in the left column to the appropriate blanks in the sentences on the right. Make certain each sentence is complete before submitting your answer.

Hint 1. How to determine the missing time period

Identify the youngest and oldest strata in the diagram, and use the geologic time scale provided above to find all of the geologic periods between these ages.

Hint 2. The types of unconformities

The volcanic dike terminating abruptly at a stratigraphic boundary would indicate that erosion has occurred.

Hint 3. The age of unconformities

An unconformity must be at least the age of the strata overlying it and can be as old as the strata below it.


2/26/2016 Homework 5 Geologic Time 12/41


The tilting of the Triassic rocks could have occurred in the Triassic, Jurassic, or Cretaceous periods. This amounts to an uncertainty of at least 55 million years.

Interactive Animation: Angular Uncomformities, Noncomformities, and Discomformities

When you have finished, answer the questions.


1. The Quaternary and Tertiary rocks are separated by this type of unconformity: 

a disconformity .

2. Due to an unconformity, the  Jurassic  period is missing from the rock record.

3. The Triassic rocks must have been most likely tilted during or after the  Triassic  period

4. The dike dates at least to the  Quarternary  period.

5. The Triassic and Cretaceous rocks are separated by this type of unconformity: 

an angular unconformity .


2/26/2016 Homework 5 Geologic Time 13/41

Part A

Which image is an example of an angular unconformity?



2/26/2016 Homework 5 Geologic Time 14/41


Part B

In the images below, which contains a disconformity?


2/26/2016 Homework 5 Geologic Time 15/41


Part C

What does the term unconformity mean?

Hint 1.

un = NOT; conform = go along with


2/26/2016 Homework 5 Geologic Time 16/41


Part D

In the following rock sequence, how much erosion might have occurred between rock layer A and rock layer B?



Part E

What characteristic most directly DISTINGUISHES an angular unconformity from a nonconformity?

Hint 1.

The word angular is the key hint.


a missing rock layer in a sequence that represents a period of deposition

an extra rock layer that represents a period of deposition

a missing rock layer in a sequence that represents a period of erosion or nondeposition

an extra rock layer that represents a period of erosion

at least 10,000 years

none or only a very small amount (Time does not equate to erosion.)

more time than it took to deposit rock layer B

at least 1 million years

more time than it took to deposit rock layer A

2/26/2016 Homework 5 Geologic Time 17/41


Part F

Which list best describes the events that would lead to the layering of sedimentary rocks in this diagram?



GeoTutor: Constructing an Order of Sequence of Geologic Events – Relative Dating

The ordering of events in geological history has long been a difficult task, but once simple principles were determined observation and logic could be used to determine the order of events. With these principles, one cannot calculate the exact number of years ago an event occurred, but instead the sequence of events can be determined. This is referred to as relative dating. The principles are as follows:

1. The law of superposition: In sedimentary rocks, the rock bed on the bottom must be older than the rock bed on the top. 2. The principle of original horizontality: Sedimentary rocks were originally deposited as flat­lying, horizontal layers.

Angular unconformities represent missing time, whereas nonconformities do not.

Conformities represent missing rock layers.

Nonconformities separate parallel rock layers of the same rock type.

Nonconformities separate two different rock types, whereas angular unconformities form only between strata of the same rock type.

Angular unconformities separate rock layers along nonparallel surfaces.

deposition, erosion, deposition, erosion, deposition

erosion, deformation, erosion, deformation, erosion

deposition, deformation, deposition, deformation, deposition

erosion, deposition, erosion, deposition, erosion, deposition, erosion

2/26/2016 Homework 5 Geologic Time 18/41

3. The principle of cross­cutting relationships: Any rock or feature, cutting through another rock or feature, must be younger than the material through which it cuts. (For example, with faults, igneous intrusions such as dikes, or fractures, the first rock must be there for these secondary features to cut through.)

4. Inclusions: Any rock fragments included within another rock must be older than the rock in which they are included. (For example, if eroded fragments of one rock layer become part of another sedimentary rock layer, the rock with the included fragments must be younger than the fragments themselves.)

Part A ­ Basic Principles for Relative Geologic Dating

Below is a geologic structure that illustrates the various principles of relative dating. You will identify the basic principles used in relative geologic dating by dragging labels to their corresponding targets in the image below.

Drag the appropriate labels to their respective targets.

Hint 1. Inclusions in sedimentary rock layers

According to the principle of inclusions, the layer of rock that has inclusions from another rock layer must be younger.

Hint 2. A dike cutting through sedimentary rock layers

The rock layers that the dike cut through must have been there first. This is the principle of cross­cutting relationships.


2/26/2016 Homework 5 Geologic Time 19/41


As you can see from above, using the logic of these principles when observing sedimentary rock, we can determine a sequence of events.

Now that we have investigated the principles of relative dating, we can use these principles to determine how to read the sequence of geologic events in a location.

Part B ­ Ordering of Geologic Events

The principles of relative dating can be used to understand the order of geologic events. A geologic event can be anything: the deposition of horizontal layers of sedimentary rock, the faulting or folding of rock layers, the tilting of rock layers, the erosion (or wearing away) of rock, the intrusion of volcanic rock within existing rock layers, and so on. Refer to these relative dating principles:

1. Inclusions: Any rock fragments included within another rock must be older than the rock in which they are included. (For example, if eroded fragments of one rock

2/26/2016 Homework 5 Geologic Time 20/41

layer become part of another sedimentary rock layer, the rock with the included fragments must be younger than the fragments themselves.) 2. The principle of cross­cutting relationships: Any rock or feature, cutting through another rock or feature, must be younger than the material through which it cuts. (For example, with faults, igneous intrusions such as dikes, or fractures, the first rock must be there for these secondary features to cut through.)

3. Angular Unconformity: It consists of tilted or folded sedimentary rocks that are overlain by younger, more flat­lying strata. An angular unconformity indicates that during the pause in deposition, a period of deformation (folding or tilting) and erosion occurred.

4. Tilting or deformation could occur to an otherwise horizontally layered sedimentary rocks. Most layers of sediment are deposited in a nearly horizontal position. Thus, when we see rock layers that are folded or tilted, we can assume that they must have been moved into that position by crustal disturbances after their deposition. In such an instance, the tilted structure will be younger than the orginal horizontal layers.

Order the five images below along the timeline based on the sequence of geologic events. To find the oldest, look for the image that shows the least geologic changes. To find the youngest, look for the picture that has the most geologic changes.

Rank from oldest to youngest.

Hint 1. Inclusions from rock layers above and below

In the picture where the gray layer first appears, the layer must be younger than the layers above and below because it has inclusions of both layers of rock within it according to the principle of inclusions. Therefore, this event must have happened after the picture without the gray layer. This can occur when igneous rock intrudes between layers of sedimentary rock and incorporates pieces of the rock layers above and below into the cooling magma.

Hint 2. The oldest and the youngest geologic features/events

The oldest geologic feature should have the least geologic changes and the youngest should have all features from the previous events.


2/26/2016 Homework 5 Geologic Time 21/41

All attempts used; correct answer displayed

As you can see, you can apply the logic of the principles of relative dating to successfully sequence the order of geologic events in a scene. The principles allow you to tell the geologic story of a landscape.

Lab Activity 8.2.1 ­ Relative Dating

Now that you have practiced ordering geologic events that occurred within a scene or outcrop, you will relate the five geologic laws to this process. First, apply geologic laws to an outcrop in the order that they are invoked by events within said outcrop. Then examine a second scene, where you will identify the geologic laws that explain the relative orders of pairs of events.

Part A ­ Applying Geologic Laws in Order

Please rank from first to last the geologic laws that are used to determine the relative order of the four events that are labeled (but not ordered) in the drawing of the outcrop below.

2/26/2016 Homework 5 Geologic Time 22/41

Please rank the geologic laws used for the history of this outcrop from first to last.

You did not open hints for this part.


Part B ­ Supporting an Outcrop’s History with Geologic Laws

For each rectangle associated with a pair of geologic structures or events, please identify the name of the geologic law that determines which of the two events within the pair

2/26/2016 Homework 5 Geologic Time 23/41

occurred first.

Drag the appropriate labels to their respective targets.

You did not open hints for this part.


2/26/2016 Homework 5 Geologic Time 24/41

Gigapan: Virtual Fieldwork—Relative Dating and Unconformities

Geologists can determine the geologic history of an area by describing rock outcrops and analyzing the layers of rock. Today you will be a geologist visiting a rock outcrop virtually. You will be able to zoom in and out of the Gigapan image to explore the outcrop and determine the relative ages of rock layers and the geologic history of the area by applying your knowledge of the principles of geology and unconformities.

The principles of geology that you will use in this example are:

The law of superposition: A sedimentary rock bed on the bottom must be older than the rock bed on the top. The principle of original horizontality: Sedimentary rocks were originally deposited as flat­lying, horizontal layers. The principle of lateral continuity: Sedimentary layers, when formed, extended horizontally in all directions.

You will also use your knowledge of unconformities, features created when deposition stopped, uplifting and erosion occurred, and, after a period of time, sedimentation began anew above the eroded layer. There are three main types of unconformities:  

A nonconformity is found where igneous or metamorphic rocks have eroded and then sedimentary rock layers are deposited above. A disconformity is a break between parallel sedimentary rock layers above and below. Disconformities represent times when sediments were not deposited or were eroded. An angular unconformity is found where sedimentary layers were tilted and eroded and younger and more flat­laying sedimentary layers were deposited above.  

In this exercise, you will use Gigapan technology to:

become familiar with interpreting rock outcrops, understand the sequence of events that occurred as these rocks formed and changed over time, and identify the location of an unconformity in this outcrop and provide evidence for its type.

Gigapan technology mosaics thousands of photos together into a single image, allowing you to zoom in and see the tiniest of details. Imagine zooming in on a grain of sand on a photo of a beach!

Instructions for all Parts:

1. Launch the Gigapan image 2. You can zoom into the image to take a close look at the angular unconformity.

Instructions for Part A:

1. Scroll down and click on the  Google Earth link   on the Gigapan site to launch the Gigapan image  in Google Earth. 2. Close the photo by clicking on Exit Photo to see your field site location in Google Earth. 3. Zoom in or out to determine your location. Also, on the upper right side, your will find the north arrow. If “N” is not aligned with “North” move it to North. This will ensure that the alignment of your field site is directly facing you in an east­west direction.

4. You can reopen the Gigapan image by clicking on Angular Unconformity, west of El Paso, Texas on the left pane of Google Earth. 5. Do not close Google Earth.

Part A ­ Locating your field site

As a geologist, you always want to first locate your field site on a map. It helps other geologists to locate the field site for future studies and helps you look for relationships with data from other nearby field sites. Now, determine where you are (your field site) in the world. Choose the map that best locates your field site.

2/26/2016 Homework 5 Geologic Time 25/41

You did not open hints for this part.


Instructions for Part B:

1. Go back to the Gigapan image for the Angular Unconformity, west of El Paso, Texas. 2. Examine the outcrop carefully. Make note of any features that would show up on a map (e.g., roads, trees, etc.). 3. Now switch back to Google Earth and zoom in or out to determine how the outcrop is oriented (runs north to south, runs northeast to southwest, etc.) compared to where you are standing and viewing the outcrop. If “N” is not aligned with “North” move it to North.

Part B ­ The orientation of the outcrop

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Rock units tell us about Earth’s past, so if we find evidence of geologic processes that have directional components (direction of plate movement, folds and faults, mineral foliation, wind and water currents, etc.), we need to be able to accurately reconstruct those directions. Also, in terms of the scientific method, it helps other geologists to be able to recreate the field investigation step­by­step to confirm or refute any previous findings.

Imagine visiting this outcrop, standing at the location where the Gigapan image was taken, and observing the natural and built features around you. Choose the most accurate representation of the outcrop’s orientation and your vantage point (where you are standing in relation to the outcrop). The representations below depict you and the outcrop as viewed from above. Similar to how you identified the location of this outcrop in the previous part, use Google Earth at a multiple zoom levels. The yellow dot is the point where the Gigapan image was taken.

You did not open hints for this part.


2/26/2016 Homework 5 Geologic Time 27/41

Instructions for Parts C and D:

1. Exit Google Earth and go back to the Gigapan image for Angular Unconformity, west of El Paso, Texas. 2. Examine the outcrop carefully, and make note of the orientation of the layers of sedimentation in this image. Are all of the rock layers running in the same direction? Does the formation contain layers running at different angles?

3. Recall that angular unconformities refer to the junction between sedimentary rocks at an angle and rocks that are more horizontal and represent a time when the rocks were uplifted and eroded. Can you see the evidence of uplift and erosion in the image?

Part C ­ Analysis of an outcrop sketch

Where you see layers of sedimentary rock at an angle in contact with rocks that are horizontal, they are separated by a surface called an angular unconformity. This erosion surface represents a time when rocks were eroded before new layers of rock were formed. This can also occur during a pause in deposition, when a period of deformation (such as folding or tilting) has occurred.

Choose the sketch that best represents the rock outcrop.

You did not open hints for this part.


2/26/2016 Homework 5 Geologic Time 28/41

Part D ­ Making observations I

Simple yet thoughtful observation exposes the history of an outcrop. The sedimentary rocks in the Gigapan image were formed as sediment accumulated as layers that stacked atop older layers. As layers became lower in the stack sequence and covered by newer layers, they became rocks.

If this area had been under water, the shells of organisms would have become limestone, a rock that can’t be identified visually but can be identified using field­based tests. Underwater movement of sediment may also create mixes of fine and coarse grains. This sediment becomes conglomerate, a rock clearly identifiable given its combined

2/26/2016 Homework 5 Geologic Time 29/41

coarse and fine grains. Over time, some layers would have become exposed as the water retreated and the rock layers above them were eroded. Additionally, some layers would have been tilted by tectonic forces.

Classify the observations according to the rock that they describe, or choose “Not enough information to tell.”

Drag the appropriate items to their respective bins. Each item may be used only once.

You did not open hints for this part.


Part E ­ Making observations II

Choose the location of the unconformity.

You did not open hints for this part.


2/26/2016 Homework 5 Geologic Time 30/41

Part F ­ Making observations III

Now that you have identified the unconformity in this outcrop, can you explain why it is an angular unconformity? Review the statements below, and indicate which are correct.

Select all that apply.

2/26/2016 Homework 5 Geologic Time 31/41

You did not open hints for this part.


Part G ­ Drawing conclusions from the timing of events

Review the outcrop again. Order the specific locations identified in the outcrop by their age. Note where the arrow, square, and circles are located.

Rank the areas identified in the cross section from oldest to youngest.

You did not open hints for this part.


It is an angular unconformity because layers of sedimentary rock are above and below the unconformity and the layers above and below are not parallel.

It is an angular unconformity because it is at an angle to the ground surface instead of parallel.

The tilting of the layers of rock occurred before erosion of the unconformity surface.

It is an angular unconformity because the layers of sedimentary rock above and below the unconformity are at the same angle.

2/26/2016 Homework 5 Geologic Time 32/41

Part H ­ Forming a conclusion: Determining the geologic history of an area from an outcrop

Geologists collect observations from field sites and then summarize their interpretations. It’s your turn to take everything you learned while exploring the rocks in this formation near El Paso, Texas, into a coherent story. Arrange the following geologic events in the order that they occurred.

Rank from oldest to youngest.

You did not open hints for this part.


2/26/2016 Homework 5 Geologic Time 33/41

Interactive Animation: Radioactive Decay

When you have finished, answer the questions.

Part A

What happens during radioactive decay?

2/26/2016 Homework 5 Geologic Time 34/41


Part B

What is the scientific definition of half­life?


Part C

Two containers hold the same radioactive isotope. Container A contains 1000 atoms, and container B contains 500 atoms. Which of the following statements about containers A and B is true?


Part D

A container holds 100 atoms of an isotope. This isotope has a half­life of 1.5 months. How many total atoms will be in the container after 3 months?


Daughter isotopes turn into energy.

Parent isotopes turn into energy.

Energy turns into daughter isotopes.

Parent isotopes turn into daughter isotopes.

Daughter isotopes turn into parent isotopes.

the number of parent isotopes that will be lost during a single radioactive decay event

the number of daughter isotopes that will be gained during a single radioactive decay event

the amount of time over which the number of daughter isotopes increases by half

the amount of time over which the number of parent isotopes decreases by half

The rate of decay of atoms in container B is the same as the rate of decay of atoms in container A.

The rate of decay of atoms in container B is greater than the rate of decay of atoms in container A.

The rate of decay of atoms in container A is greater than the rate of decay of atoms in container B.

2/26/2016 Homework 5 Geologic Time 35/41

Part E

A container holds 100 atoms of an isotope. This isotope has a half­life of 1.5 months. How many atoms of the radioactive isotope will be in the container after 3 months?


Part F

A rock sample contains 75 atoms of a parent isotope and 25 atoms of a daughter isotope. The half­life of the parent isotope is 100 years. How old is this rock?


GeoTutor: Constructing an Order of Sequence of Geologic Events ­ Dating with Radioactivity ­ 2

You probably have read or seen stories about archeological findings that include organic remains of a 1000­year­old mummy or an ancient weapon made from stone, which is an inorganic material. Geologists and paleontologists calculate the age of these organic (contain carbon) and inorganic (do not contain carbon) materials by radiometric dating using the isotopes C­14 and U­235, respectively.

1. C­14 dating: This process is often known as radiocarbon dating. It is used to determine both historical and recent events of archeological artifacts of biological origin such as bone, cloth, wood, and plant fibers.

2. U­235 dating: This is used to determine the age of inorganic substances such as ancient rocks and minerals.

100 atoms

50 atoms

33 atoms

25 atoms

25 atoms

33 atoms

50 atoms

100 atoms

25 years old

50 years old

75 years old

100 years old

2/26/2016 Homework 5 Geologic Time 36/41

Part A ­ Calculating the Age of a Fossil Based on the Number of Half­lives Elapsed

Each isotope has a unique half­life. The half­life of an isotope is the time taken for half of the starting quantity to decay (with a ratio of 1:1). After two half­lives, there will be one­ fourth of the original parent sample and three­quarters would have decayed to the daughter product (with a ratio of 1:3). After three half­lives, the ratio becomes 1:7, and so forth.

The graph, for instance, shows that assuming the half­life of a sample is 4 months, then in 4 months, there will be 0.5 gram of the parent element and 0.5 gram of the daughter element will be produced. In month 8 (which is two­half­lives), there will be only 0.25 gram of parent element left and 0.75 gram of daughter element; that is, one­fourth of the parent sample (in red) is left, and in month 12, there is only one­eighth of the parent element.

You attend a geology lab where you are asked to estimate the age of a fossil. The ratio of parent to daughter elements in the fossil sample is 1:7. You know that fossils are the remains of living organisms, which have some amount of C­14 isotope. The C­14 isotope, which has a half­life of 5730 years, begins to decay as the organism dies.

What would be your estimation of the fossil’s age?

You did not open hints for this part.








2/26/2016 Homework 5 Geologic Time 37/41

Part B ­ Radiometric Dating of Organic and Inorganic materials

John is assisting a geologist who has traveled across the world and collected a few samples. He asks John to classify the samples that can be dated using carbon­14 and uranium­235 (or U­235). All organic materials contain carbon and are dated using C­14; inorganic materials are dated using any radioactive element, such as uranium, rubidium, potassium, and thorium, except carbon. Now, help John group the samples.

Drag the appropriate items to their respective bins. Each item may be used only once.

You did not open hints for this part.


Chapter 18 Reading Quiz Question 2

Part A

Which geological principle states that even if most sedimentary rock layers are presently folded, they were deformed after deposition?

You did not open hints for this part.

2/26/2016 Homework 5 Geologic Time 38/41


Chapter 18 Problem 1 Multiple Choice

Part A

An unconformity is a buried ________.


Chapter 18 Problem 2 Multiple Choice

Part A

Which of the following best characterizes an angular unconformity?


principle of original horizontality

law of superposition

principle of cross­cutting relationships

principle of unconformities

principle of inclusions

surface of erosion separating younger strata above from older strata below

surface of erosion with older strata above and younger strata below

fault or fracture with older rocks above and younger rocks below

fault or fracture with younger strata above and older strata below

2/26/2016 Homework 5 Geologic Time 39/41

Chapter 18 Problem 6 Multiple Choice

Part A

By applying the law of superposition ________ dates can be determined.


Chapter 18 Problem 9 Multiple Choice

Part A

Sandstone strata and a mass of granite are observed to be in contact. Which of the following statements is correct geologically?


Tilted strata lie below the unconformity, and bedding in younger strata above is parallel to the unconformity.

Horizontal lava flows lie below the unconformity, and horizontal, sedimentary strata lie above.

It is the discordant boundary between older strata and an intrusive body of granite.

Tilted strata lie below the unconformity with loose, unconsolidated soil above.




both relative and radiometric

The sandstone is younger if the granite contains sandstone inclusions.

The granite is older if the sandstone contains pebbles of the granite.

The granite is older if it contains inclusions of sandstone.

The sandstone is younger if it shows evidence of contact metamorphism.

2/26/2016 Homework 5 Geologic Time 40/41

Chapter 18 Problem 28 True/False

Part A

A disconformity is an erosional unconformity with parallel beds or strata above and below.


Chapter 18 Problem 12 Multiple Choice

Part A

A worm would stand a poor chance of being fossilized because ________.


Chapter 18 Problem 51 Short Answer

Part A

The remains or traces of prehistoric life are called ________.




worms have been rare during the geologic past

worms have no hard parts

worms contain no carbon­14

all of these

2/26/2016 Homework 5 Geologic Time 41/41

Chapter 18 Problem 16 Multiple Choice

Part A

Which of the following is not a very long­lived, radioactive isotope?


Score Summary: Your score on this assignment is 47.1%. You received 7.06 out of a possible total of 15 points, plus 0 points of extra credit.





we do your essays write my book report writing a literature review

mgt 312 final exam

The interdisciplinary field dedicated to understanding and managing people at work is called:
Management dynamics
Management theory
Organizational dynamics
Organizational behavior
2. The distinction between flexible and fixed individual differences:
Is that managers have little or no impact on flexible differences
Is that managers should hire people based on their attitudes and emotions
Is that managers have little or no impact on fixed differences
Has no practical value for managers
3. Regarding using personality testing as part of the hiring process, experts have concluded that:
The typical personality test is not a valid predictor of job performance
Only the Big Five should be used as predictors of job performance
The effects of personality on job performance are so large it cannot be ignored by managers
There are many valid instruments available to managers to test for personality types
4. In Ajzen’s theory of planned behavior, ___________ is (are) the key link between _________.
Intentions; attidtudes and planned behavior
Norms; intentions and planned behavior
Intentions; norms and attitudes
Attitudes; intentions and planned behavior
5. According to the Ajzen model, the strongest predictor of an employee’s behavior is (are):
The employee’s intentions
The employee’s attitudes
Social norms
The employee’s values
6. The steps in the process of stereotype formation and maintenance in order are:
Expectations, categorization, inferences, maintenance.
Categorization, inferences, expectations, maintenance.
Inferences, categorization, expectations, maintenance.
Categorization, expectations, inferences, maintenance.
7. Janelle, one of Abdul’s employees, has performed poorly on many aspects of her job since she was hired four months ago. This is likely to be attributed to:
External causes
Fundamental bias
Internal causes
Self-serving bias
8. The potential to understand and regulate oneself is known as:
Naturalist intelligence
Intrapersonal intelligence
Kinesthetic intelligence
Interpersonal intelligence
9. Self-enhancement and self-transcendence are:
Personal attitudes
Endpoints of one of the dimensions of values
Workplace attitudes
10. Organizations with adhocracy cultures are described as:
Externally focused and valuing stability and control
Internally focused and valuing stability and control
Externally focused and valuing flexibility
Internally focused and valuing flexibility
11. Which of the following is the least fixed of a person’s individual differences?
Cognitive abilities
12. Camilla, a manager, notes that while Wilhelm’s written reports are very thorough and accurate, his oral presentations are not effective. Camilla is looking at:
Explicit factors
Implicit factors
13. Stimulation is in the ____________ part of Schwartz’s model.
Openness to change
14. The contingency approach suggests that:
A manager needs to learn a set of hard-and-fast rules.
There is one best way to manage.
OB theories apply to all situations.
The best answer depends on the situation.
15. Research shows that, in general:
Social capital increases group conflict.
Social capital decreases work group integration.
Social capital decreases organizational performance.
Social capital can improve operations.
16. The corporate staff in the accounting department at ABC Corporation went on 12-hour days during the holiday season, just like the regular retail employees do during that season. This is an example of a(n) _________ change.
Radically innovative
17. The extent to which an individual identifies with an organization and commits to its goals is called:
Organizational satisfaction
Organizational commitment
Job involvement
Perceived organizational support
18. Joyce finds that the members of the project team to which she has been assigned in her management class are all athletes on the college’s football and basketball teams. She immediately considers dropping the class because she thinks her experience with that team will be negative. Joyce is likely to be reacting to a:
Self-serving bias
Semantic memory
Negativity bias
19. The productive potential of an individual’s knowledge, skills, and experiences is known as:
Soft skills
Ethical capital
Human capital
Social capital
20. Chris, a manager, knows that one of his employees values achievement and power. Chris should assign the employee to a job that includes:
High self-direction
High security
High influence over others
High social value
21. When something is _______, it stands out from its context.
A schema
22. A person can build his/her social capital by:
Being trained in new skills
Shadowing a higher-level manager
Getting a mentor
Learning a new language
23. Performance on tests like the Scholastic Aptitude Test and the Graduate Management Admissions Test is likely to be most closely related to:
Logical-mathematical intelligence
Interpersonal intelligence
Intrapersonal intelligence
Naturalist intelligence
24. Acme Movers is a company that ships goods and cargo to all locations in the United States. The employees understand that the company’s primary vision of timeliness, efficiency and low-cost services is important to maintain the competitive edge over other movers in the business. They constantly work to ensure that all deliveries reach their destinations on schedule, and the company, in turn, rewards the employees with performance-based awards and profit sharing. Which function of organizational culture is exemplified here? 
Facilitating collective commitment
Giving members an organizational identity
Promoting social system stability
Shaping behavior by helping members make sense of their surroundings
25. The process that enables us to interpret and understand our surroundings is called:
26. Sustainable businesses tend to be run by CEOs who are:
___________ is associated with success for managers and salespeople.
Emotional stability
28. Keyshawn is a player on a professional football team. Because of this, his play every week is scrutinized by fans and media, as well as his own coaches. Sometimes, their comments are very negative and even personal. Keyshawn will handle this better if he has a high level of _________ intelligence.
29. The two dimensions of the competing values framework are:
Internal-external and group-individual
Internal-external and anticipatory-retrospective
Group-individual and stable-flexible
Internal-external and stable-flexible
30. Which of the following mechanisms for changing organizational culture addresses all three levels of culture?
Deliberate role modeling, training, and coaching
Workflow and organizational structure
Rites and rituals
Organizational goals

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qnt 275


Part 1
Three hundred consumers between 21 and 49 years old were randomly selected. After sampling a new wine cooler, each was asked to rate the appeal of the phrase: “Not sweet like wine coolers, not filling like beer, and more refreshing than wine or mixed drinks” as it relates to the new wine cooler. The rating was made on a scale from 1 to 5, with 5 representing “extremely appealing” and with 1 representing “not at all appealing”.

As a manager overseeing the development of the concept, you bottle the wine cooler and placed it into distribution in one test store.

Your manager has asked you to assess the data and determine the most likely customer based on the ratings. Additionally, your manager would like you to review sales in the test store.

Use the Week 3 Data Set to create and calculate the following in Excel®:

  1. Estimate the probability that a randomly selected 21 to 49 year old consumer:
    • Would give the phrase a rating of 5
    • Would give the phrase a rating of 3 or higher
    • Is in the 21-24 age group
    • Is a male who gives the phrase a rating of 4
    • Is a 35 to 49 year old who gives the phrase a rating of 1
    • Based on the probabilities for the ratings of 4 and 5, which age/gender demographic would be the best target audience for the new concept? 
  2. Create a probability distribution using the data which shows how many cartons of the wine cooler were bought per customer in a month. 
    • Calculate the mean and the standard deviation of your probability distribution. 
    • Calculate the probability that exactly 3 six packs will be bought in a month.
    • Calculate the probability that between 4 and 8 six packs will be bought in a month.
    • Calculate the probability that at least 5 six packs will be bought in a month.
    • Calculate the probability that no more than 5 six packs will be bought in a month. 
  3. Create a relative frequency distribution based on the wine cooler drinking temperatures. 
    • Create 6 bins with the same interval in each. 
    • Create a histogram
  4. Considering the mean and standard deviation for the ideal drinking temperature: 
    • Calculate z values then refer to Table 6.1 – Cumulative Areas Under the Standard Normal Curve 
    • Calculate the probability of the wine cooler being less than 45 degrees.
    • Calculate the probability of the wine cooler being greater than 60 degrees.
    • Calculate the percentage of wine coolers served at the ideal temperature, between 49 and 55 degrees.

Part 2

Reference your Excel® spreadsheet from Part 1.

Complete the Week 3 Case in Connect.

Note: You have only 1 attempt available to complete assignments.

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fin 370 final exam

1. Which one of the following statements is correct concerning the cash cycle?

Accepting a supplier’s discount for early payment decreases the cash cycle.

Increasing the accounts payable period increases the cash cycle.

The longer the cash cycle, the more likely a firm will need external financing.

The cash cycle can exceed the operating cycle if the payables period is equal to zero.

Offering early payment discounts to customers will tend to increase the cash cycle.

2. Precise Machinery is analyzing a proposed project. The company expects to sell 2100 units give or take 5 percent. The expected variable cost per unit is $260 and the expected fixed costs are $589,000. Cost estimates are considered accurate within a plus or minus 4 percent range. The depreciation expense is $129,000. The sales price is estimated at $750 per unit, give or take 2 percent. The tax rate is 35 percent. The company is conducting a sensitivity analysis on the sales price using a sales price estimate of $755. What is the operating cash flow based on this analysis?






3. You are doing some comparison shopping. Five stores offer the product you want at basically the same price but with differing credit terms. Which one of these terms is best-suited to you if you plan to forgo the discount?

2/10, net 30

2/5, net 30

2/5, net 20

1/10, net 45

1/5, net 15

4. The plowback ratio is:

The dollar increase in net income divided by the dollar increase in sales.

Equal to net income divided by the change in total equity.

Equal to one minus the retention ratio.

The change in retained earnings divided by the dividends paid.

The percentage of net income available to the firm to fund future growth.

5. Which one of the following is the financial statement that summarizes a firm’s revenue and expenses over a period of time?

Statement of cash flows

Market value report

Tax reconciliation statement

Balance sheet

Income statement

6. Kelly’s Corner Bakery purchased a lot in Oil City six years ago at a cost of $278000. Today, that lot has a market value of $264,000. At the time of the purchase, the company spent $6,000 to level the lot and another $8,000 to install storm drains. The company now wants to build a new facility on that site. The building cost is estimated at $1.03 million. What amount should be used as the initial cash flow for this project?






7. Al invested $7200 in an account that pays 4 percent simple interest. How much money will he have at the end of five years?






8. All of the following represent potential gains from an acquisition except the:

Use of surplus funds.

Tax loss carryovers acquired in the acquisition.

Obtainment of a beachhead.

Diseconomies of scale related to increased labor demand.

Lower costs per unit realized.

9. Fresno Salads has current sales of $6000 and a profit margin of 6.5 percent. The firm estimates that sales will increase by 4 percent next year and that all costs will vary in direct relationship to sales. What is the pro forma net income?






10. A news flash just appeared that caused about a dozen stocks to suddenly drop in value by 20 percent. What type of risk does this news flash best represent?






11. Which one of the following terms is defined as the mixture of a firm’s debt and equity financing?

Cash management

Cost analysis

Working Capital Management

Capital Structure

Capital budgeting

12. George and Pat just made an agreement to exchange currencies based on today’s exchange rate. Settlement will occur tomorrow. Which one of the following is the exchange rate that applies to this agreement?

Forward exchange rate

Triangle rate

Cross rate

Current rate

Spot exchange rate

13. Webster United is paying a dividend of $1.32 per share today. There are 350,000 shares outstanding with a market price of $22.40 per share prior to the dividend payment. Ignore taxes. Before the dividend, the company had earnings per share of $1.68. As a result of this dividend, the:

Retained earnings will decrease by $350,000.

Earnings per share will increase to $3.

Total firm value will not change.

Price-earnings ratio will be 12.55.

Retained earnings will increase by $462,000.

14. The common stock of Dayton Repair sells for $43.19 a share. The stock is expected to pay $2.28 per share next year when the annual dividend is distributed. The firm has established a pattern of increasing its dividends by 2.15 percent annually and expects to continue doing so. What is the market rate of return on this stock?

7.67 percent

7.59 percent

7.43 percent

7.14 percent

7.28 percent

15. Which one of the following should earn the most risk premium based on CAPM?

Diversified portfolio with returns similar to the overall market.

Stock with a beta of 1.38.

Portfolio with a beta of 1.01.

U.S. Treasury bill.

Stock with a beta of 0.74.

16. Which one of these actions will increase the operating cycle? Assume all else held constant.

Decreasing the receivables turnover rate.

Decreasing the payables period.

Decreasing the average inventory level.

Increasing the payables period.

Increasing the inventory turnover rate.

17. Oil Wells offers 6.5 percent coupon bonds with semiannual payments and a yield to maturity of 6.94 percent. The bonds mature in seven years. What is the market price per bond if the face value is $1,000?






18. Three Corners Markets paid an annual dividend of $1.37 a share last month. Today, the company announced that future dividends will be increasing by 2.8 percent annually. If you require a return of 11.6 percent, how much are you willing to pay to purchase one share of this stock today?







19. Which one of the following is a source of cash?

Granting credit to a customer

Purchase of inventory

Acquisition of debt

Payment to a supplier

Repurchase of common stock

20. Nadine’s Home Fashions has $2.12 million in net working capital. The firm has fixed assets with a book value of $31.64 million and a market value of $33.9 million. The firm has no long-term debt. The Home Centre is buying Nadine’s for $37.5 million in cash. The acquisition will be recorded using the purchase accounting method. What is the amount of goodwill that The Home Centre will record on its balance sheet as a result of this acquisition?

$5.86 million

$3.34 million

$4.14 million

$1.48 million

$3.74 million

21. Chelsea Fashions is expected to pay an annual dividend of $1.10 a share next year. The market price of the stock is $21.80 and the growth rate is 4.5 percent. What is the firm’s cost of equity?

9.55 percent

10.54 percent

9.24 percent

7.91 percent

9.77 percent

22. Operating leverage is the degree of dependence a firm places on its:

Depreciation tax shield.

Variable costs.

Fixed costs.

Operating cash flows.


23. Phillips Equipment has 75,000 bonds outstanding that are selling at par. Bonds with similar characteristics are yielding 7.5 percent. The company also has 750,000 shares of 6 percent preferred stock and 2.5 million shares of common stock outstanding. The preferred stock sells for $64 a share. The common stock has a beta of 1.21 and sells for $44 a share. The U.S. Treasury bill is yielding 2.3 percent and the return on the market is 11.2 percent. The corporate tax rate is 34 percent. What is the firm’s weighted average cost of capital?

11.56 percent

11.30 percent

11.18 percent

10.64 percent

9.69 percent

24. Andy deposited $3,000 this morning into an account that pays 5 percent interest, compounded annually. Barb also deposited $3,000 this morning into an account that pays 5 percent interest, compounded annually. Andy will withdraw his interest earnings and spend it as soon as possible. Barb will reinvest her interest earnings into her account. Given this, which one of the following statements is true?

Barb will earn more interest the second year than Andy.

Barb will earn more interest the first year than Andy will.

Andy will earn compound interest.

Andy will earn more interest in year three than Barb will.

After five years, Andy and Barb will both have earned the same amount of interest.

25. When utilizing the percentage of sales approach, managers:

I. Estimate company sales based on a desired level of net income and the current profit margin.

II. Consider only those assets that vary directly with sales.

III. Consider the current production capacity level.

IV. Can project both net income and net cash flows.

III and IV only

I, III, and IV only

II and III only

II, III, and IV only

I and II only

26. You are comparing two investment options that each pay 6 percent interest, compounded annually. Both options will provide you with $12,000 of income. Option A pays $2,000 the first year followed by two annual payments of $5,000 each. Option B pays three annual payments of $4,000 each. Which one of the following statements is correct given these two investment options? Assume a positive discount rate.

Option B is a perpetuity.

Option B has a higher present value at time zero.

Both options are of equal value since they both provide $12,000 of income.

Option A has the higher future value at the end of year three.

Option A is an annuity.

27. The condition stating that the interest rate differential between two countries is equal to the percentage difference between the forward exchange rate and the spot exchange rate is called:

Uncovered interest rate parity.

The unbiased forward rates condition.

Purchasing power parity.

Interest rate parity.

The international Fisher effect.

28. The Dry Dock is considering a project with an initial cost of $118,400. The project’s cash inflows for years 1 through 3 are $37,200, $54,600, and $46,900, respectively. What is the IRR of this project?

8.42 percent

7.48 percent

8.56 percent

8.04 percent

8.22 percent

29. The 7 percent bonds issued by Modern Kitchens pay interest semiannually, mature in eight years, and have a $1,000 face value. Currently, the bonds sell for $1,032. What is the yield to maturity?

7.20 percent

6.87 percent

6.48 percent

6.92 percent

6.08 percent

30.  Isaac has analyzed two mutually exclusive projects that have 3-year lives. Project A has an NPV of $81,406, a payback period of 2.48 years, and an AAR of 9.31 percent. Project B has an NPV of $82,909, a payback period of 2.57 years, and an AAR of 9.22 percent. The required return for Project A is 11.5 percent while it is 12 percent for Project B. Both projects have a required AAR of 9.25 percent. Isaac must make a recommendation and justify it in 15 words or less. What should his recommendation be?

Accept both projects because both NPVs are positive.
Accept Project A because it has the shortest payback period.
Accept Project B and reject Project A based on the NPVs.
Accept Project A and reject Project B based on their AARs.
Accept Project A because it has the lower required return.

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which of these keeps prices below equilibrium?

Question 1 (Multiple Choice Worth 4 points)

(01.07 MC)<object:standard:ss.912.e.1.13>

Which of these illustrate the divisibility of money?

Question 2 (Multiple Choice Worth 4 points)

A supply and demand graph, showing quantity on the x axis and price is on y axis. Red supply line S rises up and to the right from 0,0 in positive x and y directions. Blue demand line D descends from x axis origin and upper range of y axis in positive x, negative y direction. A line marked Artificial Price extends from the y axis, roughly one third of the way up from the x axis and below the equilibrium point where S and D lines intersect. The intersection of the Artificial Price line with the S line is marked Quantity Supplied. The intersection of the Artificial Price line with the D line is marked Quantity Demanded.

(04.02 MC)<object:standard:ss.912.e.2.4>

Public Domain

Which of these is an example of the line marked “Artificial Price”?

Question 3 (Multiple Choice Worth 4 points)

(06.03 MC)<object:standard:ss.912.e.3.4>

Sixty-five nations sign a treaty pledging caps on industrial emissions and the development of renewable resource energy production. Which of the following would be a long-term positive externality for global health?

Question 4 (Multiple Choice Worth 4 points)

(04.02 LC)<object:standard:ss.912.e.2.4>

Which of these keeps prices below equilibrium?

Question 5 (Multiple Choice Worth 4 points)

Bar graph entitled 2010 Budget Projected Deficits and Debt Increases. X axis spans years 2007 through 2015. Y axis labeled Billions of Dollars, spanning o to 3,000, in increments of 500. Blue bars note Budget Deficit. Red bars note National Debt Increases. For 2007, blue is 200 billion dollars, and red is 500 billion dollars. For 2008, blue is 450 billion dollars, and red is 1,250 billion dollars. For 2009, blue is 1,750 billion dollars, and red is 2,750 billion dollars. For 2010, blue is 1,150 billion dollars, and red is 1,400 billion dollars. For 2011, blue is 900 billion dollars, and red is 1,200 billion dollars. For 2012, blue is 600 billion dollars, and red is 900 billion dollars. For 2013, blue is 550 billion dollars, and red is 900 billion dollars. For 2014, blue is 600 billion dollars, and red is 950 billion dollars. For 2015, blue is 650 billion dollars, and red is 975 billion dollars.

(04.05 MC)<object:standard:ss.912.e.2.9>

© Farcaster 2009
Creative Commons Attribution-Share Alike 3.0 Unported

Which of the following statements best describes the data shown for 2012 to 2015?

Question 6 (Multiple Choice Worth 4 points)

(04.02 MC)<object:standard:ss.912.e.2.6>

Why is it in the best interest of the government to regulate natural monopolies?

Question 7 (Multiple Choice Worth 4 points)

(04.03 LC)<object:standard:ss.912.e.2.10>

What is the main function of the Federal Open Market Committee?

Question 8 (Multiple Choice Worth 4 points)

(04.05 MC)<object:standard:ss.912.e.1.10>

Economists warn that the nation is slipping into a recession. Which fiscal policies will the federal government most likely take to help the economy grow?

Question 9 (Multiple Choice Worth 4 points)

(06.02 LC)<object:standard:ss.912.e.2.11>

The city council allocates funds for road repair. Which of the following circumstances would be a positive externality?

Question 10 (Multiple Choice Worth 4 points)

(02.05 MC)<object:standard:ss.912.e.1.14>

Andrew is 17 years old and would like to establish credit history. Which of these would be a good first step for him?

Question 11 (Multiple Choice Worth 4 points)

(04.05 MC)<object:standard:ss.912.e.2.9>

Imagine the federal government has a national debt of $10.2 trillion. Congress’s budget for the coming year includes spending projections of $4.2 billion. Tax revenue projects $3.8 billion. Which will be the most likely consequence?

Question 12 (Multiple Choice Worth 4 points)

(06.03 MC)<object:standard:ss.912.e.2.11>

A livestock ranch decides to expand its operations. Which of the following would be a negative externality for the local environment?

Question 13 (Multiple Choice Worth 4 points)

Map showing Tennessee and bordering states, Alabama, Mississippi, Georgia, South Carolina, North Carolina, Virginia, West Virginia, Kentucky, Illinois, Missouri, and Arkansas. Region served by Tennessee Valley Authority includes all of Tennessee and parts of Kentucky, Virginia, North Carolina, Georgia, Mississippi, and Alabama. Forty seven dams are spread throughout region, but concentrated in eastern Tennessee. There are three nuclear power plants, two south of Knoxville, Tennessee, and one near Huntsville, Alabama. There are 19 fossil fuel plants throughout region, the majority in western Tennessee, Mississippi, and southwestern Kentucky.

(06.02 MC)<object:standard:ss.912.g.3.3>

Tennessee Valley Authority (TVA) Sites
Red = water dams
Purple = nuclear power plants
Orange = fossil fuel power plants

Public Domain

Study the map above. Who would object to negative externalities related to the use of renewable and nonrenewable resources in the map?

Question 14 (Multiple Choice Worth 4 points)

(04.01 MC)<object:standard:ss.912.e.1.12>

Following U.S. involvement in the Korean War and the related period of low unemployment and rising prices, the Federal Reserve intervened to curb growth and decrease inflation. At what point in the business cycle did the Federal Reserve take action?

Question 15 (Multiple Choice Worth 4 points)

(04.04 MC)<object:standard:ss.912.e.1.11>

If the United States falls into a recession, which action would the Federal Reserve take to encourage employment?

Question 16 (Multiple Choice Worth 4 points)

(04.01 MC)<object:standard:ss.912.e.1.12>

A period of economic stability began in the 1980s. In 2001, prices began to increase. In 2007, an economic crisis caused prices to fall. Which of these dates would be considered the peak of this cycle?

Question 17 (Multiple Choice Worth 4 points)

Pie chart titled Holly's Hamburgers 2013 Budget. Data are: Rent 30 percent, Supplies 25 percent, Payroll 15 percent, Misc 5 percent, Utilities 10 percent, Repairs 5 percent Training 5 percent Advertising 5 percent.

(02.06 HC)<object:standard:ss.912.e.1.16>

© 2013 FLVS

After creating the 2013 budget for her hamburger restaurant, Holly realizes that she will need to spend 10 percent on training because of a change in food-handling laws. Which of these could represent the numbers in Holly’s new budget?

Question 18 (Multiple Choice Worth 4 points)

(02.04 MC)<object:standard:ss.912.e.1.14>

Tina has $1,500 that she will use to buy a car in four months. In the meantime, she would like to invest it to earn more money. Which of these would yield the greatest return in her time frame?

Question 19 (Multiple Choice Worth 4 points)

(04.04 MC)<object:standard:ss.912.e.1.11>

Economic forecasters predict a long period of job growth and consumer spending. The Federal Reserve is most likely to do which of the following to encourage this expansion?

Question 20 (Multiple Choice Worth 4 points)

(02.04 MC)<object:standard:ss.912.e.1.15>

As an eighth grader, Marliss wins an art competition, and her prize is one thousand dollars. She wants to invest the money for her college fund. Which of these would be a good option?

Question 21 (Multiple Choice Worth 4 points)

Circular flow chart showing connectivity, with blue arrows, from Government to Product Market and Household, from Product Market to Household, Business and Rest of World; from Household to Government and Financial Market, from Business to Factor Market and Product Market, from Factor Market to Rest of World and Household, from Rest of World to Product Market and Factor Market. Letter A marks arrow from Government to Product Market. Letter B marks arrow from Product Market to Business. Letter C marks arrow from Business to Product Market. Letter D marks arrow from Household to Government.

(06.01 MC)<object:standard:ss.912.e.2.12>

© 2013 FLVS

Cardinal Comics produces graphic historical novels and retails them through local shops throughout the United States. The publisher maintains an in-house staff of editors and illustrators but contracts out writing, printing, and distribution. Its printer uses domestically recycled paper but imports ink and much of its printing equipment from overseas. Segment B of the circular flow diagram above reflects which part of this scenario?

Question 22 (Essay Worth 4 points)

Circular flow chart showing connectivity, with blue arrows, from Government to Product Market and Household, from Product Market to Household, Business and Rest of World, from Household to Government and Financial Market; from Business to Factor Market and Product Market, from Factor Market to Rest of World and Household, from Rest of World to Product Market and Factor Market.

(06.05 HC)<object:standard:ss.912.e.2.12>

© 2013 FLVS

Look at the circular flow diagram. Choose and define an environmental issue. Using the diagram as a guide, explain how the environmental issue you chose affects the relationship between product market and rest of world.

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artisan republicanism

In what ways did the emerging industrial economy conflict with artisan republicanism? How did wage laborers respond to the new economy?

In United States, industrialization started in 1760s to 1820s when manufacturers and merchants increased their product output through building factories and re-organizing work. Through these expansion strategies, the price of goods was lowered, and division of labor became more efficient. However, the workers control over conditions and pace of work was eroded. For the tasks that were unsuited to outwork, there was the creation of factories characterized by specialization of responsibilities and tasks (Ilic, 2004).

The manufacturers relied on steam engines to drive the mills and machines that used power in production. Britons feared that the American manufacturers could become involved in exports. As a result, Britain prevented export of textile machinery any exports as well as immigration of the mechanics. However, the introduction of the cotton spinner in America by Samuel Slater marked the beginning of Industrial Revolution. Britain formulated protective legislation that resulted to reduced production rates than in America. As a result, Americans started to improve their machines and embarked on technological innovation (Hodges, 1992).

Industrial revolution changed lives of the workers and the nature of their work. Most craftsmen in America developed an ideology of artisan republican that depended on principles of equality and liberty. They considered themselves equal and free from forced labor. The increased republicanism saw many workers taking more wage earning jobs. Some employees formed unions and their bargaining power with the employers heightened. Most of the artisans facing threats from industrialization started specialized shops. The American and English law illegalized workers from organizing themselves with the aim of getting their wages raised. Nevertheless, the formation of the labor theory of value by union leaders as a mutual benefits society sought for better work conditions and better pay (Hodges, 1992).


Hodges, G. (1992). The Decline and Fall of Artisan Republicanism in Antebellum New York City: Views from the Street and Workshop. Journal of Urban History 18(2), 211-21.

Ilic, B. (2004). The Transition from Industrial (traditional) to New (information) Economy. Ekonomski Anali 49(162) , 99-126.

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feelings of hunger accompany ________ levels of blood glucose and ________ levels of ghrelin.

REFRENCE This Course text book in the assignment many citations thank you

Pinel, J. P. (10/2010). Biopsychology, 8th Edition [VitalSource Bookshelf version]. Retrieved from

12 Hunger, Eating, and Health Why Do Many People Eat Too Much?

12.1 Digestion, Energy Storage, and Energy Utilization

12.2 Theories of Hunger and Eating: Set Points versus Positive Incentives

12.3 Factors That Determine What, When, and How Much We Eat

12.4 Physiological Research on Hunger and Satiety

12.5 Body Weight Regulation: Set Points versus Settling Points

12.6 Human Obesity: Causes, Mechanisms, and Treatments

12.7 Anorexia and Bulimia Nervosa

Eating is a behavior that is of interest to virtually everyone. We all do it, and most of us derive great pleasure from it. But for many of us, it becomes a source of serious personal and health problems.


You Are What You Eat

Most eating-related health problems in industrialized nations are associated with eating too much—the average American consumes 3,800 calories per day, about twice the average daily requirement (see Kopelman, 2000). For example, it is estimated that 65% of the adult U.S. population is either overweight or clinically obese, qualifying this problem for epidemic status (see Abelson & Kennedy, 2004; Arnold, 2009). The resulting financial and personal costs are huge. Each year in the United States, about $100 billion is spent treating obesity-related disorders (see Olshansky et al., 2005). Moreover, each year, an estimated 300,000 U.S. citizens die from disorders caused by their excessive eating (e.g., diabetes, hypertension, cardiovascular diseases, and some cancers). Although the United States is the trend-setter when it comes to overeating and obesity, many other countries are not far behind (Sofsian, 2007). Ironically, as overeating and obesity have reached epidemic proportions, there has been a related increase in disorders associated with eating too little (see Polivy & Herman, 2002). For example, almost 3% of American adolescents currently suffer from anorexia or bulimia, which can be life-threatening in extreme cases.


Thinking about Hunger

The massive increases in obesity and other eating-related disorders that have occurred over the last few decades in many countries stand in direct opposition to most people’s thinking about hunger and eating. Many people—and I assume that this includes you—believe that hunger and eating are normally triggered when the body’s energy resources fall below a prescribed optimal level, or set point. They appreciate that many factors influence hunger and eating, but they assume that the hunger and eating system has evolved to supply the body with just the right amount of energy.

Thinking Creatively

This chapter explores the incompatibility of the set-point assumption with the current epidemic of eating disorders. If we all have hunger and eating systems whose primary function is to maintain energy resources at optimal levels, then eating disorders should be rare. The fact that they are so prevalent suggests that hunger and eating are regulated in some other way. This chapter will repeatedly challenge you to think in new ways about issues that impact your health and longevity and will provide new insights of great personal relevance—I guarantee it.

Before you move on to the body of the chapter, I would like you to pause to consider a case study. What would a severely amnesic patient do if offered a meal shortly after finishing one? If his hunger and eating were controlled by energy set points, he would refuse the second meal. Did he?

The Case of the Man Who Forgot Not to Eat

Clinical Implications

R.H. was a 48-year-old male whose progress in graduate school was interrupted by the development of severe amnesia for long-term explicit memory. His amnesia was similar in pattern and severity to that of H.M., whom you met in Chapter 11, and an MRI examination revealed bilateral damage to the medial temporal lobes.

The meals offered to R.H. were selected on the basis of interviews with him about the foods he liked: veal parmigiana (about 750 calories) plus all the apple juice he wanted. On one occasion, he was offered a second meal about 15 minutes after he had eaten the first, and he ate it. When offered a third meal 15 minutes later, he ate that, too. When offered a fourth meal he rejected it, claiming that his “stomach was a little tight.”

Then, a few minutes later, R.H. announced that he was going out for a good walk and a meal. When asked what he was going to eat, his answer was “veal parmigiana.”

Clearly, R.H.’s hunger (i.e., motivation to eat) did not result from an energy deficit (Rozin et al., 1998). Other cases like that of R.H. have been reported by Higgs and colleagues (2008).

12.1 Digestion, Energy Storage, and Energy Utilization

The primary purpose of hunger is to increase the probability of eating, and the primary purpose of eating is to supply the body with the molecular building blocks and energy it needs to survive and function (see Blackburn, 2001). This section provides the foundation for our consideration of hunger and eating by providing a brief overview of the processes by which food is digested, stored, and converted to energy.


The gastrointestinal tract and the process of digestion are illustrated in Figure 12.1 on page 300. Digestion is the gastrointestinal process of breaking down food and absorbing its constituents into the body. In order to appreciate the basics of digestion, it is useful to consider the body without its protuberances, as a simple living tube with a hole at each end. To supply itself with energy and other nutrients, the tube puts food into one of its two holes—the one with teeth—and passes the food along its internal canal so that the food can be broken down and partially absorbed from the canal into the body. The leftovers are jettisoned from the other end. Although this is not a particularly appetizing description of eating, it does serve to illustrate that, strictly speaking, food has not been consumed until it has been digested.

FIGURE 12.1 The gastrointestinal tract and the process of digestion.

Energy Storage in the Body

As a consequence of digestion, energy is delivered to the body in three forms: (1) lipids (fats), (2) amino acids (the breakdown products of proteins), and (3) glucose (a simple sugar that is the breakdown product of complex carbohydrates, that is, starches and sugars).

The body uses energy continuously, but its consumption is intermittent; therefore, it must store energy for use in the intervals between meals. Energy is stored in three forms: fats, glycogen, and proteins. Most of the body’s energy reserves are stored as fats, relatively little as glycogen and proteins (see Figure 12.2). Thus, changes in the body weights of adult humans are largely a consequence of changes in the amount of their stored body fat.

Why is fat the body’s preferred way of storing energy? Glycogen, which is largely stored in the liver and muscles, might be expected to be the body’s preferred mode of energy storage because it is so readily converted to glucose—the body’s main directly utilizable source of energy. But there are two reasons why fat, rather than glycogen, is the primary mode of energy storage: One is that a gram of fat can store almost twice as much energy as a gram of glycogen; the other is that glycogen, unlike fat, attracts and holds substantial quantities of water. Consequently, if all your fat calories were stored as glycogen, you would likely weigh well over 275 kilograms (600 pounds).

FIGURE 12.2 Distribution of stored energy in an average person.

Three Phases of Energy Metabolism

There are three phases of energy metabolism (the chemical changes by which energy is made available for an organism’s use): the cephalic phase, the absorptive phase, and the fasting phase. The cephalic phase is the preparatory phase; it often begins with the sight, smell, or even just the thought of food, and it ends when the food starts to be absorbed into the bloodstream. The absorptive phase is the period during which the energy absorbed into the bloodstream from the meal is meeting the body’s immediate energy needs. The fasting phase is the period during which all of the unstored energy from the previous meal has been used and the body is withdrawing energy from its reserves to meet its immediate energy requirements; it ends with the beginning of the next cephalic phase. During periods of rapid weight gain, people often go directly from one absorptive phase into the next cephalic phase, without experiencing an intervening fasting phase.

The flow of energy during the three phases of energy metabolism is controlled by two pancreatic hormones: insulin and glucagon. During the cephalic and absorptive phases, the pancreas releases a great deal of insulin into the bloodstream and very little glucagon. Insulin does three things: (1) It promotes the use of glucose as the primary source of energy by the body. (2) It promotes the conversion of bloodborne fuels to forms that can be stored: glucose to glycogen and fat, and amino acids to proteins. (3) It promotes the storage of glycogen in liver and muscle, fat in adipose tissue, and proteins in muscle. In short, the function of insulin during the cephalic phase is to lower the levels of bloodborne fuels, primarily glucose, in anticipation of the impending influx; and its function during the absorptive phase is to minimize the increasing levels of bloodborne fuels by utilizing and storing them.

In contrast to the cephalic and absorptive phases, the fasting phase is characterized by high blood levels of glucagon and low levels of insulin. Without high levels of insulin, glucose has difficulty entering most body cells; thus, glucose stops being the body’s primary fuel. In effect, this saves the body’s glucose for the brain, because insulin is not required for glucose to enter most brain cells. The low levels of insulin also promote the conversion of glycogen and protein to glucose. (The conversion of protein to glucose is called gluconeogenesis.)

On the other hand, the high levels of fasting-phase glucagon promote the release of free fatty acids from adipose tissue and their use as the body’s primary fuel. The high glucagon levels also stimulate the conversion of free fatty acids to ketones, which are used by muscles as a source of energy during the fasting phase. After a prolonged period without food, however, the brain also starts to use ketones, thus further conserving the body’s resources of glucose.

Figure 12.3 summarizes the major metabolic events associated with the three phases of energy metabolism.

FIGURE 12.3 The major events associated with the three phases of energy metabolism: the cephalic, absorptive, and fasting phases.

12.2 Theories of Hunger and Eating: Set Points versus Positive Incentives

One of the main difficulties I have in teaching the fundamentals of hunger, eating, and body weight regulation is the set-point assumption. Although it dominates most people’s thinking about hunger and eating (Assanand, Pinel, & Lehman, 1998a, 1998b), whether they realize it or not, it is inconsistent with the bulk of the evidence. What exactly is the set-point assumption?

Set-Point Assumption

Most people attribute hunger (the motivation to eat) to the presence of an energy deficit, and they view eating as the means by which the energy resources of the body are returned to their optimal level—that is, to the energy set point. Figure 12.4 summarizes this set-point assumption. After a meal (a bout of eating), a person’s energy resources are assumed to be near their set point and to decline thereafter as the body uses energy to fuel its physiological processes. When the level of the body’s energy resources falls far enough below the set point, a person becomes motivated by hunger to initiate another meal. The meal continues, according to the set-point assumption, until the energy level returns to its set point and the person feels satiated (no longer hungry).

FIGURE 12.4 The energy set-point view that is the basis of many people’s thinking about hunger and eating.

Set-point models assume that hunger and eating work in much the same way as a thermostat-regulated heating system in a cool climate. The heater increases the house temperature until it reaches its set point (the thermostat setting). The heater then shuts off, and the temperature of the house gradually declines until it becomes low enough to turn the heater back on. All set-point systems have three components: a set-point mechanism, a detector mechanism, and an effector mechanism. The set-point mechanism defines the set point, the detector mechanism detects deviations from the set point, and the effector mechanism acts to eliminate the deviations. For example, the set-point, detector, and effector mechanisms of a heating system are the thermostat, the thermometer, and the heater, respectively.

All set-point systems are negative feedback systems—systems in which feedback from changes in one direction elicit compensatory effects in the opposite direction. Negative feedback systems are common in mammals because they act to maintain homeostasis—a stable internal environment—which is critical for mammals’ survival (see Wenning, 1999). Set-point systems combine negative feedback with a set point to keep an internal environment fixed at the prescribed point. Set-point systems seemed necessary when the adult human brain was assumed to be immutable: Because the brain couldn’t change, energy resources had to be highly regulated. However, we now know that the adult human brain is plastic and capable of considerable adaptation. Thus, there is no longer a logical imperative for the set-point regulation of eating. Throughout this chapter, you will need to put aside your preconceptions and base your thinking about hunger and eating entirely on the empirical evidence.

Glucostatic and Lipostatic Set-Point Theories of Hunger and Eating

In the 1940s and 1950s, researchers working under the assumption that eating is regulated by some type of set-point system speculated about the nature of the regulation. Several researchers suggested that eating is regulated by a system that is designed to maintain a blood glucose set point—the idea being that we become hungry when our blood glucose levels drop significantly below their set point and that we become satiated when eating returns our blood glucose levels to their set point. The various versions of this theory are collectively referred to as the glucostatic theory. It seemed to make good sense that the main purpose of eating is to defend a blood glucose set point, because glucose is the brain’s primary fuel.

The lipostatic theory is another set-point theory that was proposed in various forms in the 1940s and 1950s. According to this theory, every person has a set point for body fat, and deviations from this set point produce compensatory adjustments in the level of eating that return levels of body fat to their set point. The most frequently cited support for the theory is the fact that the body weights of adults stay relatively constant.

The glucostatic and lipostatic theories were viewed as complementary, not mutually exclusive. The glucostatic theory was thought to account for meal initiation and termination, whereas the lipostatic theory was thought to account for long-term regulation. Thus, the dominant view in the 1950s was that eating is regulated by the interaction between two set-point systems: a short-term glucostatic system and a long-term lipostatic system. The simplicity of these 1950s theories is appealing. Remarkably, they are still being presented as the latest word in some textbooks; perhaps you have encountered them.

Problems with Set-Point Theories of Hunger and Eating

Thinking Creatively

Set-point theories of hunger and eating have several serious weaknesses (see de Castro & Plunkett, 2002). You have already learned one fact that undermines these theories: There is an epidemic of obesity and overweight, which should not occur if eating is regulated by a set point. Let’s look at three more major weaknesses of set-point theories of hunger and eating.

Evolutionary Perspective

• First, set-point theories of hunger and eating are inconsistent with basic eating-related evolutionary pressures as we understand them. The major eating-related problem faced by our ancestors was the inconsistency and unpredictability of the food supply. Thus, in order to survive, it was important for them to eat large quantities of good food when it was available so that calories could be banked in the form of body fat. Any ancestor—human or otherwise—that stopped feeling hungry as soon as immediate energy needs were met would not have survived the first hard winter or prolonged drought. For any warm-blooded species to survive under natural conditions, it needs a hunger and eating system that prevents energy deficits, rather than one that merely responds to them once they have developed. From this perspective, it is difficult to imagine how a set-point hunger and feeding system could have evolved in mammals (see Pinel, Assanand, & Lehman, 2000).

• Second, major predictions of the set-point theories of hunger and eating have not been confirmed. Early studies seemed to support the set-point theories by showing that large reductions in body fat, produced by starvation, or large reductions in blood glucose, produced by insulin injections, induce increases in eating in laboratory animals. The problem is that reductions in blood glucose of the magnitude needed to reliably induce eating rarely occur naturally. Indeed, as you have already learned in this chapter, about 65% of U.S. adults have a significant excess of fat deposits when they begin a meal. Conversely, efforts to reduce meal size by having subjects consume a high-calorie drink before eating have been largely unsuccessful; indeed, beliefs about the caloric content of a premeal drink often influence the size of a subsequent meal more than does its actual caloric content (see Lowe, 1993).

• Third, set-point theories of hunger and eating are deficient because they fail to recognize the major influences on hunger and eating of such important factors as taste, learning, and social influences. To convince yourself of the importance of these factors, pause for a minute and imagine the sight, smell, and taste of your favorite food. Perhaps it is a succulent morsel of lobster meat covered with melted garlic butter, a piece of chocolate cheesecake, or a plate of sizzling homemade french fries. Are you starting to feel a bit hungry? If the homemade french fries—my personal weakness—were sitting in front of you right now, wouldn’t you reach out and have one, or maybe the whole plateful? Have you not on occasion felt discomfort after a large main course, only to polish off a substantial dessert? The usual positive answers to these questions lead unavoidably to the conclusion that hunger and eating are not rigidly controlled by deviations from energy set points.

Positive-Incentive Perspective

The inability of set-point theories to account for the basic phenomena of eating and hunger led to the development of an alternative theoretical perspective (see Berridge, 2004). The central assertion of this perspective, commonly referred to as positive-incentive theory, is that humans and other animals are not normally driven to eat by internal energy deficits but are drawn to eat by the anticipated pleasure of eating—the anticipated pleasure of a behavior is called its positive-incentive value (see Bolles, 1980; Booth, 1981; Collier, 1980; Rolls, 1981; Toates, 1981). There are several different positive-incentive theories, and I refer generally to all of them as the positive-incentive perspective.

Evolutionary Perspective

The major tenet of the positive-incentive perspective on eating is that eating is controlled in much the same way as sexual behavior: We engage in sexual behavior not because we have an internal deficit, but because we have evolved to crave it. The evolutionary pressures of unexpected food shortages have shaped us and all other warm-blooded animals, who need a continuous supply of energy to maintain their body temperatures, to take advantage of good food when it is present and eat it. According to the positive-incentive perspective, it is the presence of good food, or the anticipation of it, that normally makes us hungry, not an energy deficit.

According to the positive-incentive perspective, the degree of hunger you feel at any particular time depends on the interaction of all the factors that influence the positive-incentive value of eating (see Palmiter, 2007). These include the following: the flavor of the food you are likely to consume, what you have learned about the effects of this food either from eating it previously or from other people, the amount of time since you last ate, the type and quantity of food in your gut, whether or not other people are present and eating, whether or not your blood glucose levels are within the normal range. This partial list illustrates one strength of the positive-incentive perspective. Unlike set-point theories, positive-incentive theories do not single out one factor as the major determinant of hunger and ignore the others. Instead, they acknowledge that many factors interact to determine a person’s hunger at any time, and they suggest that this interaction occurs through the influence of these various factors on the positive-incentive value of eating (see Cabanac, 1971).

In this section, you learned that most people think about hunger and eating in terms of energy set points and were introduced to an alternative way of thinking—the positive-incentive perspective. Which way is correct? If you are like most people, you have an attachment to familiar ways of thinking and a resistance to new ones. Try to put this tendency aside and base your views about this important issue entirely on the evidence.

You have already learned about some of the major weaknesses of strict set-point theories of hunger and eating. The next section describes some of the things that biopsychological research has taught us about hunger and eating. As you progress through the section, notice the superiority of the positive-incentive theories over set-point theories in accounting for the basic facts.

12.3 Factors That Determine What, When, and How Much We Eat

This section describes major factors that commonly determine what we eat, when we eat, and how much we eat. Notice that energy deficits are not included among these factors. Although major energy deficits clearly increase hunger and eating, they are not a common factor in the eating behavior of people like us, who live in food-replete societies. Although you may believe that your body is short of energy just before a meal, it is not. This misconception is one that is addressed in this section. Also, notice how research on nonhumans has played an important role in furthering understanding of human eating.

Factors That Determine What We Eat

Certain tastes have a high positive-incentive value for virtually all members of a species. For example, most humans have a special fondness for sweet, fatty, and salty tastes. This species-typical pattern of human taste preferences is adaptive because in nature sweet and fatty tastes are typically characteristic of high-energy foods that are rich in vitamins and minerals, and salty tastes are characteristic of sodium-rich foods. In contrast, bitter tastes, for which most humans have an aversion, are often associated with toxins. Superimposed on our species-typical taste preferences and aversions, each of us has the ability to learn specific taste preferences and aversions (see Rozin & Shulkin, 1990).

Evolutionary Perspective

Learned Taste Preferences and Aversions

Animals learn to prefer tastes that are followed by an infusion of calories, and they learn to avoid tastes that are followed by illness (e.g., Baker & Booth, 1989; Lucas & Sclafani, 1989; Sclafani, 1990). In addition, humans and other animals learn what to eat from their conspecifics. For example, rats learn to prefer flavors that they experience in mother’s milk and those that they smell on the breath of other rats (see Galef, 1995, 1996; Galef, Whishkin, & Bielavska, 1997). Similarly, in humans, many food preferences are culturally specific—for example, in some cultures, various nontoxic insects are considered to be a delicacy. Galef and Wright (1995) have shown that rats reared in groups, rather than in isolation, are more likely to learn to eat a healthy diet.

Learning to Eat Vitamins and Minerals

How do animals select a diet that provides all of the vitamins and minerals they need? To answer this question, researchers have studied how dietary deficiencies influence diet selection. Two patterns of results have emerged: one for sodium and one for the other essential vitamins and minerals. When an animal is deficient in sodium, it develops an immediate and compelling preference for the taste of sodium salt (see Rowland, 1990). In contrast, an animal that is deficient in some vitamin or mineral other than sodium must learn to consume foods that are rich in the missing nutrient by experiencing their positive effects; this is because vitamins and minerals other than sodium normally have no detectable taste in food. For example, rats maintained on a diet deficient in thiamine (vitamin B1) develop an aversion to the taste of that diet; and if they are offered two new diets, one deficient in thiamine and one rich in thiamine, they often develop a preference for the taste of the thiamine-rich diet over the ensuing days, as it becomes associated with improved health.

If we, like rats, are capable of learning to select diets that are rich in the vitamins and minerals we need, why are dietary deficiencies so prevalent in our society? One reason is that, in order to maximize profits, manufacturers produce foods that have the tastes we prefer but lack many of the nutrients we need to maintain our health. (Even rats prefer chocolate chip cookies to nutritionally complete rat chow.) The second reason is illustrated by the classic study of Harris and associates (1933). When thiamine-deficient rats were offered two new diets, one with thiamine and one without, almost all of them learned to eat the complete diet and avoid the deficient one. However, when they were offered ten new diets, only one of which contained the badly needed thiamine, few developed a preference for the complete diet. The number of different substances, both nutritious and not, consumed each day by most people in industrialized societies is immense, and this makes it difficult, if not impossible, for their bodies to learn which foods are beneficial and which are not.

Thinking Creatively

There is not much about nutrition in this chapter: Although it is critically important to eat a nutritious diet, nutrition seems to have little direct effect on our feelings of hunger. However, while I am on the topic, I would like to direct you to a good source of information about nutrition that could have a positive effect on your health: Some popular books on nutrition are dangerous, and even governments, inordinately influenced by economic considerations and special-interest groups, often do not provide the best nutritional advice (see Nestle, 2003). For sound research-based advice on nutrition, check out an article by Willett and Stampfer (2003) and the book on which it is based, Eat, Drink, and Be Healthy by Willett, Skerrett, and Giovannucci (2001).

Factors That Influence When We Eat

Evolutionary Perspective

Collier and his colleagues (see Collier, 1986) found that most mammals choose to eat many small meals (snacks) each day if they have ready access to a continuous supply of food. Only when there are physical costs involved in initiating meals—for example, having to travel a considerable distance—does an animal opt for a few large meals.

The number of times humans eat each day is influenced by cultural norms, work schedules, family routines, personal preferences, wealth, and a variety of other factors. However, in contrast to the usual mammalian preference, most people, particularly those living in family groups, tend to eat a few large meals each day at regular times. Interestingly, each person’s regular mealtimes are the very same times at which that person is likely to feel most hungry; in fact, many people experience attacks of malaise (headache, nausea, and an inability to concentrate) when they miss a regularly scheduled meal.

Premeal Hunger

I am sure that you have experienced attacks of premeal hunger. Subjectively, they seem to provide compelling support for set-point theories. Your body seems to be crying out: “I need more energy. I cannot function without it. Please feed me.” But things are not always the way they seem. Woods has straightened out the confusion (see Woods, 1991; Woods & Ramsay, 2000; Woods & Strubbe, 1994).

According to Woods, the key to understanding hunger is to appreciate that eating meals stresses the body. Before a meal, the body’s energy reserves are in reasonable homeostatic balance; then, as a meal is consumed, there is a homeostasis-disturbing influx of fuels into the bloodstream. The body does what it can to defend its homeostasis. At the first indication that a person will soon be eating—for example, when the usual mealtime approaches—the body enters the cephalic phase and takes steps to soften the impact of the impending homeostasis-disturbing influx by releasing insulin into the blood and thus reducing blood glucose. Woods’s message is that the strong, unpleasant feelings of hunger that you may experience at mealtimes are not cries from your body for food; they are the sensations of your body’s preparations for the expected homeostasis-disturbing meal. Mealtime hunger is caused by the expectation of food, not by an energy deficit.

Thinking Creatively

As a high school student, I ate lunch at exactly 12:05 every day and was overwhelmed by hunger as the time approached. Now, my eating schedule is different, and I never experience noontime hunger pangs; I now get hungry just before the time at which I usually eat. Have you had a similar experience?

Pavlovian Conditioning of Hunger

In a classic series of Pavlovian conditioning experiments on laboratory rats, Weingarten (1983, 1984, 1985) provided strong support for the view that hunger is often caused by the expectation of food, not by an energy deficit. During the conditioning phase of one of his experiments, Weingarten presented rats with six meals per day at irregular intervals, and he signaled the impending delivery of each meal with a buzzer-and-light conditional stimulus. This conditioning procedure was continued for 11 days. Throughout the ensuing test phase of the experiment, the food was continuously available. Despite the fact that the subjects were never deprived during the test phase, the rats started to eat each time the buzzer and light were presented—even if they had recently completed a meal.

Factors That Influence How Much We Eat

The motivational state that causes us to stop eating a meal when there is food remaining is satiety. Satiety mechanisms play a major role in determining how much we eat.

Satiety Signals

As you will learn in the next section of the chapter, food in the gut and glucose entering the blood can induce satiety signals, which inhibit subsequent consumption. These signals depend on both the volume and the nutritive density (calories per unit volume) of the food.

Evolutionary Perspective

The effects of nutritive density have been demonstrated in studies in which laboratory rats have been maintained on a single diet. Once a stable baseline of consumption has been established, the nutritive density of the diet is changed. Some rats learn to adjust the volume of food they consume to keep their caloric intake and body weights relatively stable. However, there are major limits to this adjustment: Rats rarely increase their intake sufficiently to maintain their body weights if the nutritive density of their conventional laboratory feed is reduced by more than 50% or if there are major changes in the diet’s palatability.

Sham Eating

The study of sham eating indicates that satiety signals from the gut or blood are not necessary to terminate a meal. In sham-eating experiments, food is chewed and swallowed by the subject; but rather than passing down the subject’s esophagus into the stomach, it passes out of the body through an implanted tube (see Figure 12.5).

FIGURE 12.5 The sham-eating preparation.

Because sham eating adds no energy to the body, set-point theories predict that all sham-eaten meals should be huge. But this is not the case. Weingarten and Kulikovsky (1989) sham fed rats one of two differently flavored diets: one that the rats had naturally eaten many times before and one that they had never eaten before. The first sham meal of the rats that had previously eaten the diet was the same size as the previously eaten meals of that diet; then, on ensuing days they began to sham eat more and more (see Figure 12.6). In contrast, the rats that were presented with the unfamiliar diet sham ate large quantities right from the start. Weingarten and Kulikovsky concluded that the amount we eat is influenced largely by our previous experience with the particular food’s physiological effects, not by the immediate effect of the food on the body.

FIGURE 12.6 Change in the magnitude of sham eating over repeated sham-eating trials. The rats in one group sham ate the same diet they had eaten before the sham-eating phase; the rats in another group sham ate a diet different from the one they had previously eaten. (Based on Weingarten, 1990.)

Appetizer Effect and Satiety

The next time you attend a dinner party, you may experience a major weakness of the set-point theory of satiety.

Thinking Creatively

If appetizers are served, you will notice that small amounts of food consumed before a meal actually increase hunger rather than reducing it. This is the appetizer effect. Presumably, it occurs because the consumption of a small amount of food is particularly effective in eliciting cephalic-phase responses.

Serving Size and Satiety

Many experiments have shown that the amount of consumption is influenced by serving size (Geier, Rozin, & Doros, 2006). The larger the servings, the more we tend to eat. There is even evidence that we tend to eat more when we eat with larger spoons.

Social Influences and Satiety

Feelings of satiety may also depend on whether we are eating alone or with others. Redd and de Castro (1992) found that their subjects consumed 60% more when eating with others. Laboratory rats also eat substantially more when fed in groups.

In humans, social factors have also been shown to reduce consumption. Many people eat less than they would like in order to achieve their society’s ideal of slenderness, and others refrain from eating large amounts in front of others so as not to appear gluttonous. Unfortunately, in our culture, females are influenced by such pressures more than males are, and, as you will learn later in the chapter, some develop serious eating disorders as a result.

Sensory-Specific Satiety

The number of different tastes available at each meal has a major effect on meal size. For example, the effect of offering a laboratory rat a varied diet of highly palatable foods—a cafeteria diet—is dramatic. Adults rats that were offered bread and chocolate in addition to their usual laboratory diet increased their average intake of calories by 84%, and after 120 days they had increased their average body weights by 49% (Rogers & Blundell, 1980). The spectacular effects of cafeteria diets on consumption and body weight clearly run counter to the idea that satiety is rigidly controlled by internal energy set points.

The effect on meal size of cafeteria diets results from the fact that satiety is to a large degree sensory-specific. As you eat one food, the positive-incentive value of all foods declines slightly, but the positive-incentive value of that particular food plummets. As a result, you soon become satiated on that food and stop eating it. However, if another food is offered to you, you will often begin eating again.

In one study of sensory-specific satiety (Rolls et al., 1981), human subjects were asked to rate the palatability of eight different foods, and then they ate a meal of one of them. After the meal, they were asked to rate the palatability of the eight foods once again, and it was found that their rating of the food they had just eaten had declined substantially more than had their ratings of the other seven foods. Moreover, when the subjects were offered an unexpected second meal, they consumed most of it unless it was the same as the first.

Booth (1981) asked subjects to rate the momentary pleasure produced by the flavor, the smell, the sight, or just the thought of various foods at different times after consuming a large, high-calorie, high-carbohydrate liquid meal. There was an immediate sensory-specific decrease in the palatability of foods of the same or similar flavor as soon as the liquid meal was consumed. This was followed by a general decrease in the palatability of all substances about 30 minutes later. Thus, it appears that signals from taste receptors produce an immediate decline in the positive-incentive value of similar tastes and that signals associated with the postingestive consequences of eating produce a general decrease in the positive-incentive value of all foods.

Rolls (1990) suggested that sensory-specific satiety has two kinds of effects: relatively brief effects that influence the selection of foods within a single meal, and relatively enduring effects that influence the selection of foods from meal to meal. Some foods seem to be relatively immune to long-lasting sensory-specific satiety; foods such as rice, bread, potatoes, sweets, and green salads can be eaten almost every day with only a slight decline in their palatability (Rolls, 1986).

Evolutionary Perspective

The phenomenon of sensory-specific satiety has two adaptive consequences. First, it encourages the consumption of a varied diet. If there were no sensory-specific satiety, a person would tend to eat her or his preferred food and nothing else, and the result would be malnutrition. Second, sensory-specific satiety encourages animals that have access to a variety of foods to eat a lot; an animal that has eaten its fill of one food will often begin eating again if it encounters a different one (Raynor & Epstein, 2001). This encourages animals to take full advantage of times of abundance, which are all too rare in nature.

Thinking Creatively

This section has introduced you to several important properties of hunger and eating. How many support the set-point assumption, and how many are inconsistent with it?

Scan Your Brain

Are you ready to move on to the discussion of the physiology of hunger and satiety in the following section? Find out by completing the following sentences with the most appropriate terms. The correct answers are provided at the end of the exercise. Before proceeding, review material related to your incorrect answers and omissions.

1. The primary function of the ______ is to serve as a storage reservoir for undigested food.

2. Most of the absorption of nutrients into the body takes place through the wall of the ______, or upper intestine.

3. The phase of energy metabolism that is triggered by the expectation of food is the ______ phase.

4. During the absorptive phase, the pancreas releases a great deal of ______ into the bloodstream.

5. During the fasting phase, the primary fuels of the body are ______.

6. During the fasting phase, the primary fuel of the brain is ______.

7. The three components of a set-point system are a set-point mechanism, a detector, and an ______.

8. The theory that hunger and satiety are regulated by a blood glucose set point is the ______ theory.

9. Evidence suggests that hunger is greatly influenced by the current ______ value of food.

10. Most humans have a preference for sweet, fatty, and ______ tastes.

11. There are two mechanisms by which we learn to eat diets containing essential vitamins and minerals: one mechanism for ______ and another mechanism for the rest.

12. Satiety that is specific to the particular foods that produce it is called ______ satiety.

Scan Your Brain answers:

(1) stomach,

(2) duodenum,

(3) cephalic,

(4) insulin,

(5) free fatty acids,

(6) glucose,

(7) effector,

(8) glucostatic,

(9) positiveincentive,

(10) salty,

(11) sodium,

(12) sensory-specific.

12.4 Physiological Research on Hunger and Satiety

Now that you have been introduced to set-point theories, the positive-incentive perspective, and some basic factors that affect why, when, and how much we eat, this section introduces you to five prominent lines of research on the physiology of hunger and satiety.

Role of Blood Glucose Levels in Hunger and Satiety

As I have already explained, efforts to link blood glucose levels to eating have been largely unsuccessful. However, there was a renewed interest in the role of glucose in the regulation of eating in the 1990s, following the development of methods of continually monitoring blood glucose levels. In the classic experiment of Campfield and Smith (1990), rats were housed individually, with free access to a mixed diet and water, and their blood glucose levels were continually monitored via a chronic intravenous catheter (i.e., a hypodermic needle located in a vein). In this situation, baseline blood glucose levels rarely fluctuated more than 2%. However, about 10 minutes before a meal was initiated, the levels suddenly dropped about 8% (see Figure 12.7).

FIGURE 12.7 The meal-related changes in blood glucose levels observed by Campfield and Smith (1990).

Do the observed reductions in blood glucose before a meal lend support to the glucostatic theory of hunger? I think not, for five reasons:

• It is a simple matter to construct a situation in which drops in blood glucose levels do not precede eating (e.g., Strubbe & Steffens, 1977)—for example, by unexpectedly serving a food with a high positive-incentive value.

• The usual premeal decreases in blood glucose seem to be a response to the intention to start eating, not the other way round. The premeal decreases in blood glucose are typically preceded by increases in blood insulin levels, which indicates that the decreases do not reflect gradually declining energy reserves but are actively produced by an increase in blood levels of insulin (see Figure 12.7).

• If an expected meal is not served, blood glucose levels soon return to their previous homeostatic level.

• The glucose levels in the extracellular fluids that surround CNS neurons stay relatively constant, even when blood glucose levels drop (see Seeley & Woods, 2003).

• Injections of insulin do not reliably induce eating unless the injections are sufficiently great to reduce blood glucose levels by 50% (see Rowland, 1981), and large premeal infusions of glucose do not suppress eating (see Geiselman, 1987).

Myth of Hypothalamic Hunger and Satiety Centers

In the 1950s, experiments on rats seemed to suggest that eating behavior is controlled by two different regions of the hypothalamus: satiety by the ventromedial hypothalamus (VMH) and feeding by the lateral hypothalamus (LH)—see Figure 12.8. This theory turned out to be wrong, but it stimulated several important discoveries.

FIGURE 12.8 The locations in the rat brain of the ventromedial hypothalamus and the lateral hypothalamus.

VMH Satiety Center

In 1940, it was discovered that large bilateral electrolytic lesions to the ventromedial hypothalamus produce hyperphagia (excessive eating) and extreme obesity in rats (Hetherington & Ranson, 1940). This VMH syndrome has two different phases: dynamic and static. The dynamic phase, which begins as soon as the subject regains consciousness after the operation, is characterized by several weeks of grossly excessive eating and rapid weight gain. However, after that, consumption gradually declines to a level that is just sufficient to maintain a stable level of obesity; this marks the beginning of the static phase. Figure 12.9 illustrates the weight gain and food intake of an adult rat with bilateral VMH lesions.

The most important feature of the static phase of the VMH syndrome is that the animal maintains its new body weight. If a rat in the static phase is deprived of food until it has lost a substantial amount of weight, it will regain the lost weight once the deprivation ends; conversely, if it is made to gain weight by forced feeding, it will lose the excess weight once the forced feeding is curtailed.

Paradoxically, despite their prodigious levels of consumption, VMH-lesioned rats in some ways seem less hungry than unlesioned controls. Although VMH-lesioned rats eat much more than normal rats when palatable food is readily available, they are less willing to work for it (Teitelbaum, 1957) or to consume it if it is slightly unpalatable (Miller, Bailey, & Stevenson, 1950). Weingarten, Chang, and Jarvie (1983) showed that the finicky eating of VMH-lesioned rats is a consequence of their obesity, not a primary effect of their lesion; they are no less likely to consume unpalatable food than are unlesioned rats of equal obesity.

LH Feeding Center

In 1951, Anand and Brobeck reported that bilateral electrolytic lesions to the lateral hypothalamus produce aphagia—a complete cessation of eating. Even rats that were first made hyperphagic by VMH lesions were rendered aphagic by the addition of LH lesions. Anand and Brobeck concluded that the lateral region of the hypothalamus is a feeding center. Teitelbaum and Epstein (1962) subsequently discovered two important features of the LH syndrome. First, they found that the aphagia was accompanied by adipsia—a complete cessation of drinking. Second, they found that LH-lesioned rats partially recover if they are kept alive by tube feeding. First, they begin to eat wet, palatable foods, such as chocolate chip cookies soaked in milk, and eventually they will eat dry food pellets if water is concurrently available.

Reinterpretation of the Effects of VMH and LH Lesions

Thinking Creatively

The theory that the VMH is a satiety center crumbled in the face of two lines of evidence. One of these lines showed that the primary role of the hypothalamus is the regulation of energy metabolism, not the regulation of eating. The initial interpretation was that VMH-lesioned animals become obese because they overeat; however, the evidence suggests the converse—that they overeat because they become obese. Bilateral VMH lesions increase blood insulin levels, which increases lipogenesis (the production of body fat) and decreases lipolysis (the breakdown of body fat to utilizable forms of energy)—see Powley et al. (1980). Both are likely to be the result of the increases in insulin levels that occur following the lesion. Because the calories ingested by VMH-lesioned rats are converted to fat at a high rate, the rats must keep eating to ensure that they have enough calories in their blood to meet their immediate energy requirements (e.g., Hustvedt & Løvø, 1972); they are like misers who run to the bank each time they make a bit of money and deposit it in a savings account from which withdrawals cannot be made.

FIGURE 12.9 Postoperative hyper-phagia and obesity in a rat with bilateral VMH lesions. (Based on Teitelbaum, 1961.)

The second line of evidence that undermined the theory of a VMH satiety center has shown that many of the effects of VMH lesions are not attributable to VMH damage. A large fiber bundle, the ventral noradrenergic bundle, courses past the VMH and is thus inevitably damaged by large electrolytic VMH lesions; in particular, fibers that project from the nearby paraventricular nuclei of the hypothalamus are damaged (see Figure 12.10). Bilateral lesions of the noradrenergic bundle (e.g., Gold et al., 1977) or the paraventricular nuclei (Leibowitz, Hammer, & Chang, 1981) produce hyperphagia and obesity, just as VMH lesions do.

Most of the evidence against the notion that the LH is a feeding center has come from a thorough analysis of the effects of bilateral LH lesions. Early research focused exclusively on the aphagia and adipsia that are produced by LH lesions, but subsequent research has shown that LH lesions produce a wide range of severe motor disturbances and a general lack of responsiveness to sensory input (of which food and drink are but two examples). Consequently, the idea that the LH is a center specifically dedicated to feeding no longer warrants serious consideration.

FIGURE 12.10 Location of the paraventricular nucleus in the rat hypothalamus. Note that the section through the hypothalamus is slightly different than the one in Figure 12.8.

Role of the Gastrointestinal Tract in Satiety

One of the most influential early studies of hunger was published by Cannon and Washburn in 1912. It was a perfect collaboration: Cannon had the ideas, and Washburn had the ability to swallow a balloon. First, Washburn swallowed an empty balloon tied to the end of a thin tube. Then, Cannon pumped some air into the balloon and connected the end of the tube to a water-filled glass U-tube so that Washburn’s stomach contractions produced a momentary increase in the level of the water at the other end of the U-tube. Washburn reported a “pang” of hunger each time that a large stomach contraction was recorded (see Figure 12.11).

FIGURE 12.11 The system developed by Cannon and Washburn in 1912 for measuring stomach contractions. They found that large stomach contractions were related to pangs of hunger.

Cannon and Washburn’s finding led to the theory that hunger is the feeling of contractions caused by an empty stomach, whereas satiety is the feeling of stomach distention. However, support for this theory and interest in the role of the gastrointestinal tract in hunger and satiety quickly waned with the discovery that human patients whose stomach had been surgically removed and whose esophagus had been hooked up directly to their duodenum (the first segment of the small intestine, which normally carries food away from the stomach) continued to report feelings of hunger and satiety and continued to maintain their normal body weight by eating more meals of smaller size.

In the 1980s, there was a resurgence of interest in the role of the gastrointestinal tract in eating. It was stimulated by a series of experiments that indicated that the gastrointestinal tract is the source of satiety signals. For example, Koopmans (1981) transplanted an extra stomach and length of intestine into rats and then joined the major arteries and veins of the implants to the recipients’ circulatory systems (see Figure 12.12). Koopmans found that food injected into the transplanted stomach and kept there by a noose around the pyloric sphincter decreased eating in proportion to both its caloric content and volume. Because the transplanted stomach had no functional nerves, the gastrointestinal satiety signal had to be reaching the brain through the blood. And because nutrients are not absorbed from the stomach, the bloodborne satiety signal could not have been a nutrient. It had to be some chemical or chemicals that were released from the stomach in response to the caloric value and volume of the food—which leads us nicely into the next subsection.

Hunger and Satiety Peptides

Evolutionary Perspective

Soon after the discovery that the stomach and other parts of the gastrointestinal tract release chemical signals to the brain, evidence began to accumulate that these chemicals were peptides, short chains of amino acids that can function as hormones and neurotransmitters (see Fukuhara et al., 2005). Ingested food interacts with receptors in the gastrointestinal tract and in so doing causes the tract to release peptides into the bloodstream. In 1973, Gibbs, Young, and Smith injected one of these gut peptides, cholecystokinin (CCK), into hungry rats and found that they ate smaller meals. This led to the hypothesis that circulating gut peptides provide the brain with information about the quantity and nature of food in the gastrointestinal tract and that this information plays a role in satiety (see Badman & Flier, 2005; Flier, 2006).

There has been considerable support for the hypothesis that peptides can function as satiety signals (see Gao & Horvath, 2007; Ritter, 2004). Several gut peptides have been shown to bind to receptors in the brain, particularly in areas of the hypothalamus involved in energy metabolism, and a dozen or so (e.g., CCK, bombesin, glucagon, alpha-melanocyte-stimulating hormone, and somatostatin) have been reported to reduce food intake (see Batterham et al., 2006; Zhang et al., 2005). These have become known as satiety peptides (peptides that decrease appetite).

FIGURE 12.12 Transplantation of an extra stomach and length of intestine in a rat. Koopmans (1981) implanted an extra stomach and length of intestine in each of his experimental subjects. He then connected the major blood vessels of the implanted stomachs to the circulatory systems of the recipients. Food injected into the extra stomach and kept there by a noose around the pyloric sphincter decreased eating in proportion to its volume and caloric value.

In studying the appetite-reducing effects of peptides, researchers had to rule out the possibility that these effects are not merely the consequence of illness (see Moran, 2004). Indeed, there is evidence that one peptide in particular, CCK, induces illness: CCK administered to rats after they have eaten an unfamiliar substance induces a conditioned taste aversion for that substance, and CCK induces nausea in human subjects. However, CCK reduces appetite and eating at doses substantially below those that are required to induce taste aversion in rats, and thus it qualifies as a legitimate satiety peptide.

Several hunger peptides (peptides that increase appetite) have also been discovered. These peptides tend to be synthesized in the brain, particularly in the hypothalamus. The most widely studied of these are neuropeptide Y, galanin, orexin-A, and ghrelin (e.g., Baird, Gray, & Fischer, 2006; Olszewski, Schiöth & Levine, 2008; Williams et al., 2004).

The discovery of the hunger and satiety peptides has had two major effects on the search for the neural mechanisms of hunger and satiety. First, the sheer number of these hunger and satiety peptides indicates that the neural system that controls eating likely reacts to many different signals (Nogueiras & Tschöp, 2005; Schwartz & Azzara, 2004), not just to one or two (e.g., not just to glucose and fat). Second, the discovery that many of the hunger and satiety peptides have receptors in the hypothalamus has renewed interest in the role of the hypothalamus in hunger and eating (Gao & Horvath, 2007; Lam, Schwartz, & Rossetti, 2006; Luquet et al., 2005). This interest was further stimulated by the discovery that microinjection of gut peptides into some sites in the hypothalamus can have major effects on eating. Still, there is a general acceptance that hypothalamic circuits are only one part of a much larger system (see Berthoud & Morrison, 2008; Cone, 2005).

Serotonin and Satiety

Evolutionary Perspective

The monoaminergic neurotransmitter serotonin is another chemical that plays a role in satiety. The initial evidence for this role came from a line of research in rats. In these studies, serotonin-produced satiety was found to have three major properties (see Blundell & Halford, 1998):

• It caused the rats to resist the powerful attraction of highly palatable cafeteria diets.

• It reduced the amount of food that was consumed during each meal rather than reducing the number of meals (see Clifton, 2000).

• It was associated with a shift in food preferences away from fatty foods.

This profile of effects suggested that serotonin might be useful in combating obesity in humans. Indeed, serotonin agonists (e.g., fenfluramine, dexfenfluramine, fluoxetine) have been shown to reduce hunger, eating, and body weight under some conditions (see Blundell & Halford, 1998). Later in this chapter, you will learn about the use of serotonin to treat human obesity (see De Vry & Schreiber, 2000).

Prader-Willi Syndrome: Patients with Insatiable Hunger

Prader-Willi syndrome could prove critical in the discovery of the neural mechanisms of hunger and satiety (Goldstone, 2004). Individuals with Prader-Willi syndrome, which results from an accident of chromosomal replication, experience insatiable hunger, little or no satiety, and an exceptionally slow metabolism. In short, the Prader-Willi patient acts as though he or she is starving. Other common physical and neurological symptoms include weak muscles, small hands and feet, feeding difficulties in infancy, tantrums, compulsivity, and skin picking. If untreated, most patients become extremely obese, and they often die in early adulthood from diabetes, heart disease, or other obesity-related disorders. Some have even died from gorging until their stomachs split open. Fortunately, Miss A. was diagnosed in infancy and received excellent care, which kept her from becoming obese (Martin et al., 1998).

Prader-Willi Syndrome: The Case of Miss A.

Clinical Implications

Miss A. was born with little muscle tone. Because her sucking reflex was so weak, she was tube fed. By the time she was 2 years old, her hypotonia (below-normal muscle tone) had resolved itself, but a number of characteristic deformities and developmental delays began to appear.

At 31/2 years of age, Miss A. suddenly began to display a voracious appetite and quickly gained weight. Fortunately, her family maintained her on a low-calorie diet and kept all food locked away.

Miss A. is moderately retarded, and she suffers from psychiatric problems. Her major problem is her tendency to have tantrums any time anything changes in her environment (e.g., a substitute teacher at school). Thanks largely to her family and pediatrician, she has received excellent care, which has minimized the complications that arise with Prader-Willi syndrome—most notably those related to obesity and its pathological effects.

Although the study of Prader-Willi syndrome has yet to provide any direct evidence about the neural mechanisms of hunger and eating, there has been a marked surge in its investigation. This increase has been stimulated by the recent identification of the genetic cause of the condition: an accident of reproduction that deletes or disrupts a section of chromosome 15 coming from the father. This information has provided clues about genetic factors in appetite.

12.5 Body Weight Regulation: Set Points versus Settling Points

One strength of set-point theories of eating is that they explain body weight regulation. You have already learned that set-point theories are largely inconsistent with the facts of eating, but how well do they account for the regulation of body weight? Certainly, many people in our culture believe that body weight is regulated by a body-fat set point (Assanand, Pinel, & Lehman, 1998a, 1998b). They believe that when fat deposits are below a person’s set point, a person becomes hungrier and eats more, which results in a return of body-fat levels to that person’s set point; and, conversely, they believe that when fat deposits are above a person’s set point, a person becomes less hungry and eats less, which results in a return of body-fat levels to their set point.

Set-Point Assumptions about Body Weight and Eating

You have already learned that set-point theories do a poor job of explaining the characteristics of hunger and eating. Do they do a better job of accounting for the facts of body weight regulation? Let’s begin by looking at three lines of evidence that challenge fundamental aspects of many set-point theories of body weight regulation.

Variability of Body Weight

The set-point model was expressly designed to explain why adult body weights remain constant. Indeed, a set-point mechanism should make it virtually impossible for an adult to gain or lose large amounts of weight. Yet, many adults experience large and lasting changes in body weight (see Booth, 2004). Moreover, set-point thinking crumbles in the face of the epidemic of obesity that is currently sweeping fast-food societies (Rosenheck, 2008).

Set-point theories of body weight regulation suggest that the best method of maintaining a constant body weight is to eat each time there is a motivation to eat, because, according to the theory, the main function of hunger is to defend the set point. However, many people avoid obesity only by resisting their urges to eat.

Set Points and Health

One implication of set-point theories of body weight regulation is that each person’s set point is optimal for that person’s health—or at least not incompatible with good health. This is why popular psychologists commonly advise people to “listen to the wisdom of their bodies” and eat as much as they need to satisfy their hunger. Experimental results indicate that this common prescription for good health could not be further from the truth.

Two kinds of evidence suggest that typical ad libitum (free-feeding) levels of consumption are unhealthy (see Brownell & Rodin, 1994). First are the results of studies of humans who consume fewer calories than others. For example, people living on the Japanese island of Okinawa seemed to eat so few calories that their eating habits became a concern of health officials. When the health officials took a closer look, here is what they found (see Kagawa, 1978). Adult Okinawans were found to consume, on average, 20% fewer calories than other adult Japanese, and Okinawan school children were found to consume 38% fewer calories than recommended by public health officials. It was somewhat surprising then that rates of morbidity and mortality and of all aging-related diseases were found to be substantially lower in Okinawa than in other parts of Japan, a country in which overall levels of caloric intake and obesity are far below Western norms. For example, the death rates from stroke, cancer, and heart disease in Okinawa were only 59%, 69%, and 59%, respectively, of those in the rest of Japan. Indeed, the proportion of Okinawans living to be over 100 years of age was up to 40 times greater than that of inhabitants of various other regions of Japan.

Thinking Creatively

The Okinawan study and the other studies that have reported major health benefits in humans who eat less (e.g., Manson et al., 1995; Meyer et al., 2006; Walford & Walford, 1994) are not controlled experiments; therefore, they must be interpreted with caution. For example, perhaps it is not simply the consumption of fewer calories that leads to health and longevity; perhaps in some cultures people who eat less tend to eat healthier diets.

Evolutionary Perspective

Evolutionary Perspective

Controlled experimental demonstrations in over a dozen different mammalian species, including monkeys (see Coleman et al., 2009), of the beneficial effects of calorie restriction constitute the second kind of evidence that ad libitum levels of consumption are unhealthy. Fortunately, the results of such controlled experiments do not present the same problems of interpretation as do the findings of the Okinawa study and other similar correlational studies in humans. In typical calorie-restriction experiments, one group of subjects is allowed to eat as much as they choose, while other groups of subjects have their caloric intake of the same diets substantially reduced (by between 25% and 65% in various studies). Results of such experiments have been remarkably consistent (see Bucci, 1992; Masoro, 1988; Weindruch, 1996; Weindruch & Walford, 1988): In experiment after experiment, substantial reductions in the caloric intake of balanced diets have improved numerous indices of health and increased longevity. For example, in one experiment (Weindruch et al., 1986), groups of mice had their caloric intake of a well-balanced commercial diet reduced by either 25%, 55%, or 65% after weaning. All levels of dietary restriction substantially improved health and increased longevity, but the benefits were greatest in the mice whose intake was reduced the most. Those mice that consumed the least had the lowest incidence of cancer, the best immune responses, and the greatest maximum life span—they lived 67% longer than mice that ate as much as they liked. Evidence suggests that dietary restriction can have beneficial effects even if it is not initiated until later in life (Mair et al., 2003; Vaupel, Carey, & Christensen, 2003).

One important point about the results of the calorie-restriction experiments is that the health benefits of the restricted diets may not be entirely attributable to loss of body fat (see Weindruch, 1996). In some dietary restriction studies, the health of subjects has improved even if they did not reduce their body fat, and there are often no significant correlations between amount of weight loss and improvements in health. This suggests excessive energy consumption, independent of fat accumulation, may accelerate aging with all its attendant health problems (Lane, Ingram, & Roth, 2002; Prolla & Mattson, 2001).

Thinking Creatively

Remarkably, there is evidence that dietary restriction can be used to treat some neurological conditions. Caloric restriction has been shown to reduce seizure susceptibility in human epileptics (see Maalouf, Rho, & Mattson, 2008) and to improve memory in the elderly (Witte et al., 2009). Please stop and think about the implications of all these findings about calorie restriction. How much do you eat?

Regulation of Body Weight by Changes in the Efficiency of Energy Utilization

Implicit in many set-point theories is the premise that body weight is largely a function of how much a person eats. Of course, how much someone eats plays a role in his or her body weight, but it is now clear that the body controls its fat levels, to a large degree, by changing the efficiency with which it uses energy. As a person’s level of body fat declines, that person starts to use energy resources more efficiently, which limits further weight loss (see Martin, White, & Hulsey, 1991); conversely, weight gain is limited by a progressive decrease in the efficiency of energy utilization. Rothwell and Stock (1982) created a group of obese rats by maintaining them on a cafeteria diet, and they found that the resting level of energy expenditure in these obese rats was 45% greater than in control rats.

This point is illustrated by the progressively declining effectiveness of weight-loss programs. Initially, low-calorie diets produce substantial weight loss. But the rate of weight loss diminishes with each successive week on the diet, until an equilibrium is achieved and little or no further weight loss occurs. Most dieters are familiar with this disappointing trend. A similar effect occurs with weight-gain programs (see Figure 12.13 on page 316).

The mechanism by which the body adjusts the efficiency of its energy utilization in response to its levels of body fat has been termed diet-induced thermogenesis. Increases in the levels of body fat produce increases in body temperature, which require additional energy to maintain them—and decreases in the level of body fat have the opposite effects (see Lazar, 2008).

There are major differences among humans both in basal metabolic rate (the rate at which energy is utilized to maintain bodily processes when resting) and in the ability to adjust the metabolic rate in response to changes in the levels of body fat. We all know people who remain slim even though they eat gluttonously. However, the research on calorie-restricted diets suggests that these people may not eat with impunity: There may be a health cost to pay for overeating even in the absence of obesity.

Set Points and Settling Points in Weight Control

The theory that eating is part of a system designed to defend a body-fat set point has long had its critics (see

FIGURE 12.13 The diminishing effects on body weight of a low-calorie diet and a high-calorie diet.

Booth, Fuller, & Lewis, 1981; Wirtshafter & Davis, 1977), but for many years their arguments were largely ignored and the set-point assumption ruled. This situation has been changing: Several prominent reviews of research on hunger and weight regulation generally acknowledge that a strict set-point model cannot account for the facts of weight regulation, and they argue for a more flexible model (see Berthoud, 2002; Mercer & Speakman, 2001; Woods et al., 2000). Because the body-fat set-point model still dominates the thinking of many people, I want to review the main advantages of an alternative and more flexible regulatory model: the settling-point model. Can you change your thinking?

Thinking Creatively

According to the settling-point model, body weight tends to drift around a natural settling point—the level at which the various factors that influence body weight achieve an equilibrium. The idea is that as body-fat levels increase, changes occur that tend to limit further increases until a balance is achieved between all factors that encourage weight gain and all those that discourage it.

The settling-point model provides a loose kind of homeostatic regulation, without a set-point mechanism or mechanisms to return body weight to a set point. According to the settling-point model, body weight remains stable as long as there are no long-term changes in the factors that influence it; and if there are such changes, their impact is limited by negative feedback. In the settling-point model, the negative feedback merely limits further changes in the same direction, whereas in the set-point model, negative feedback triggers a return to the set point. A neuron’s resting potential is a well-known biological settling point—see Chapter 4.


Leaky Barrel

The seductiveness of the set-point mechanism is attributable in no small part to the existence of the thermostat model, which provides a vivid means of thinking about it. Figure 12.14 presents an analogy I like to use to think about the settling-point mechanism. I call it the leaky-barrel model: (1) The amount of water entering the hose is analogous to the amount of food available to the subject; (2) the water pressure at the nozzle is analogous to the positive-incentive value of the available food; (3) the amount of water entering the barrel is analogous to the amount of energy consumed; (4) the water level in the barrel is analogous to the level of body fat; (5) the amount of water leaking from the barrel is analogous to the amount of energy being expended; and (6) the weight of the barrel on the hose is analogous to the strength of the satiety signal.

The main advantage of the settling-point model of body weight regulation over the body-fat set-point model is that it is more consistent with the data. Another advantage is that in those cases in which both models make the same prediction, the settling-point model does so more parsimoniously—that is, with a simpler mechanism that requires fewer assumptions. Let’s use the leaky-barrel analogy to see how the two models account for four key facts of weight regulation.

• Body weight remains relatively constant in many adult animals. On the basis of this fact, it has been argued that body fat must be regulated around a set point. However, constant body weight does not require, or even imply, a set point. Consider the leaky-barrel model. As water from the tap begins to fill the barrel, the weight of the water in the barrel increases. This increases the amount of water leaking out of the barrel and decreases the amount of water entering the barrel by increasing the pressure of the barrel on the hose. Eventually, this system settles into an equilibrium where the water level stays constant; but because this level is neither predetermined nor actively defended, it is a settling point, not a set point.

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the ammonia molecule in the diagram has the observed bond orientation because

Art-based Question Chapter 2 Question 1

Part A

Diagram of an atom with six positive and six neutral particles in the nucleus and two shells with negative subatomic particles orbiting around the nucleus. The inner shell contains two particles and the outer contains four.

What is the mass number of this atom?



Get Ready for A&P Video Tutor: Atomic Structure

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Watch the Video Tutor on Atomic Structure and then answer the questions below.

Part A

Which type(s) of subatomic particles can be located within the nucleus of an atom?

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neutrons only
electrons only
protons and electrons
protons and neutrons

Part B

Which subatomic particles contribute to an atom’s mass number but not its atomic number?

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None of them—atomic number and atomic mass number are essentially the same thing.

Part C

An atom of oxygen has an atomic number of 8 and a mass number of 18. How many of each type of subatomic particle does it contain?

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8 protons, 8 electrons, and 10 neutrons
8 protons, 8 neutrons, and 8 electrons
The atomic number and the mass number do not provide enough information to determine how many of each subatomic particle is present.
26 total subatomic particles

True/False Question 2.108

Part A

Energy is released when ATP is broken down into ADP.



Chemistry Review – Atoms & Molecules: Covalent Bonds

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Review the Covalent Bonds tutorial.

Then answer the questions.

Part A

Covalent bonds hold atoms together because they …


(a) fill shells without giving atoms much charge.
(b) bring electrons closer to protons.
(c) use forces between nuclei as well as forces between electrons.
do all of the above.
do both (a) and (b).

Part B

In molecules, C, H, O, and N atoms usually make __, __, __, and __ bonds respectively.


3, 2, 1, 4
3, 2, 4, 2
4, 1, 2, 3
4, 1, 3, 2
2, 1, 3, 4

Part C

An atom’s atomic number is 7. Its valence is most likely …



Part D

By making two covalent bonds, an O atom (with 8 protons) fills its valence shell. Why does the atom’s charge stay close to zero?


The atom lost electrons from other shells.
The valence shell has 6 electrons.
Shared electrons aren’t always near oxygen.
The atom has 8 electrons.
The charge isn’t near zero; it’s -2.

Part E

In a double covalent bond, a carbon atom shares …


electrons in two orbitals.
electrons in two of its shells.
two electrons.
both valence and nonvalence electrons.
None of the above.

Part F

There is a ball-and-stick model of ammonia, NH3. Three hydrogen atoms are attached to nitrogen.

The ammonia molecule in the diagram has the observed bond orientation because …  


N has four pairs of electrons in the valence shell.
N has 7 protons in its nucleus.
electrons repel one another.
All of the above.
None of the above.

Part G

There is a ball-and-stick model of NH2CH2CH2OH.

Without making or breaking bonds, the pictured molecule can change its shape because … 


some atoms make longer bonds than others.
proximity of other atoms alters bond angles.
rotation can occur around single bonds.
electrons can move from one bond to another.
None of the above.

Part H

Two C atoms form a double bond. Each C is bound to two H atoms. Which statement is true?


The bonds orient in a tetrahedral fashion.
All the atoms lie in a line.
The bonds orient like tripods or pyramids.
The groups rotate around the C=C bond.
All the atoms lie in a plane.

Part I

Partial charges occur when …


(a) a covalent bond links atoms of two kinds.
(b) atoms share electrons unequally.
(c) two ions are close together.
any of the above occur.
both (a) and (b).

Part J

To fill the valence shell, an electrically neutral, unbonded atom with atomic number 8 must add …


8 electrons.
1 electron.
3 electrons.
2 electrons.
Can’t tell without knowing which element it is.

Part K

Which answer helps to explain why carbon atoms tend to make 4 covalent bonds?


The first electron shell has 4 orbitals.
The carbon nucleus has 4 protons.
The valence shell needs 8 electrons.
All of the above.
None of the above; carbon makes 3 covalent bonds.

Part L

An electrically neutral molecule has the formula C3H4O2N. If the carbon atoms form the usual number of bonds, how many covalent bonds will each hydrogen atom have with other atoms in the molecule?



Concept Boost Reading Questions Chapter 2 Question 1

Part A

C2H8 is a(n) __________.


nonpolar covalent molecule
nonpolar ionic molecule
ionic compound
polar covalent molecule

Get ready for A&P Video Tutor: Chemical Bonding Part 2: Ionic Bonds

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Part A

What is an ion?

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an atom that has either gained or lost electron(s)
an atom that is sharing electrons with another atom
an atom that has lost one or more neutrons
an atom that loses all of its protons

Part B

When an ionic bond forms, which part(s) of the atoms are directly involved?

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the neutrons
the outermost electrons
the protons
both the protons and the electrons

Part C

How do ions form ionic bonds?

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One atom swaps all of its negative electrons for all of the other atom’s positive protons.
Ions of opposite electrical charges are attracted to each other to balance the charges.
Two atoms come together to share their electrons.
Ions of the same type are drawn together because they are attracted to their own kind.

Part D

Calcium’s atomic number is 20. It forms ions with 18 electrons. What is the electrical charge of a calcium ion?

You did not open hints for this part.



Multiple Choice Question 2.18

Part A

Two or more atoms of different elements that are chemically bonded together are known as:



True/False Question 2.97

Part A

Hydrogen bonds are strong attractions between nonpolar covalent molecules.



Art-based Question Chapter 2 Question 5

Part A

Graph with y-axis measuring energy and x-axis measuring the progress of reaction in time. Trace begins at the level of energy of the reactants, then runs upwards to a higher energy of the transition state and then runs downwards to the energy of the products. The energy of the products is lower than the energy of the reactants. The area under the curve that runs from the energy level of the reactants, to the energy level of the transition state is highlighted in pink and designated with a question mark.

Which of the following is the appropriate label for the area with the question mark?


Activation energy
Energy released

Chapter 2 Chapter Test Question 6

Part A

A reaction in which the energy of the reactants exceeds the amount of energy required for the reaction to proceed is called __________.



Chemistry Review – Enzymes & Pathways: Controlling Enzymes

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Review the Controlling Enzymes tutorial.

Then answer the questions.

Part A

Which type of control agent never speeds an enzyme’s action?


Protein kinase
Regulatory protein
Substrate analog
Allosteric effector
None of the above.

Part B

Which type of control agent exerts noncompetitive inhibition?


(a) Substrate analog
(b) Protein kinase
(c) Allosteric effector
Both (b) and (c).
(a), (b), and (c).

Part C

In cooperativity, …


two or more enzymes are needed to bind one control agent.
if one substrate is bound, the next binds more easily.
two enzymes cooperate to produce a control agent.
two control agents must bind to affect enzyme action.
two enzymes share a binding site for a control agent.

Part D

Which statement is characteristic of allosteric effectors?


(a) They bind to the active site.
(b) Covalent bonds attach them to the enzyme.
(c) They may not resemble the enzyme’s substrates.
Both (b) and (c).
(a), (b), and (c).

Part E

When allosteric effector X binds to enzyme #1, the enzyme stops working. Nevertheless, the speed of the reaction can be altered by adjusting the concentration of X. How?


There are many copies of the enzyme.
When X detaches from an enzyme, the enzyme regains full activity.
X easily escapes from the allosteric site.
All of the above.
None of the above.

Part F

When a pathway is subject to allosteric feedback inhibition, …


the last enzyme in the pathway is allosteric.
an increase in effector concentration speeds the pathway.
the effector is made by another pathway.
an accumulation of effectors slows the pathway.
the concentration of effectors does not change with time.

Part G

Which statement is true of the control mechanism shown in the animation below? 

Click to launch animation


It involves substrate analogs.
This is a case of protein kinase action.
It’s a case of competitive inhibition.
It’s often used in feedback control.
The enzyme is an allosteric effector.

Multiple Choice Question 2.28

Part A

In the following chemical reaction, what is NaCl? NaOH + HCl  NaCl + H2O



MyReadinessTest for A&P Video Tutor: Chemical Reactions

Watch the video tutor about chemical reactions, and then answer the questions.

Click to launch video

Part A

Which of the following is a product in the following reaction?

glucose + fructose \(\rightarrow\) sucrose + H2O


oxygen (O2)

Part B

Examine the following reactions. Which of the following is true about compound C?

Reaction 1Reaction 2Reaction 3Reaction 4
A + B \(\rightarrow\)C + D \(\rightarrow\)E + F \(\rightarrow\)G + H


Reaction 1Reaction 2Reaction 3Reaction 4
A + B C + D E + F G + H
C is a product for reaction 2 only.
C is the product of reaction 1 and a reactant for reaction 2.
C is a reactant for reaction 1 only.
C is the reactant of reaction 1 and a product for reaction 2.

True/False Question 2.100

Part A

The digestion of food is exergonic since chemical bonds are broken and energy is released.



Art-based Question Chapter 2 Question 6

Part A

Diagram of pH scale from 0 to 14. There is increasing concentration of hydrogen ions shown as you approach 0. Lemon juice is at 2.5, vinegar is at 3, tomatoes are at 4.5, coffee is at 5, milk is at 6.5, pure water is at 7, blood is at 7.4, baking soda is at 8.5, ammonia is at 11, bleach is at 12.5.

The most acidic substance in the figure is __________.


lemon juice
pure water

Chemistry Review – Acids, Bases, & pH: Acids

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Review the Acids tutorial.

Then answer the questions.

Part A

A compound is an acid if it …


contains H.
releases ions into water.
takes H+ from water.
donates H+ to water.
breaks up water molecules.

Part B

In water, every sulfuric acid molecule transfers H+ to water and becomes an HSO4 – ion. Some HSO4 – ions give off another H+ to form SO4 -2 ions. Which statement is true?  \({\rm H_{2}SO_{4}}\;\rightarrow\;{\rm H^{+}}\;+\;{\rm HSO_{4}^{-}}\;\rightleftharpoons\;{\rm H^{+}}\;+\;{\rm SO_{4}^{2-}}\)


H2SO4 is a strong acid and HSO4 – is a weak acid.
H2SO4 and HSO4 – are strong acids.
Both H2SO4 and HSO4 – are weak acids.
H2SO4 is an acid; HSO4 – is not an acid.

Part C

In water, phosphoric acid dissociates according to the chemical reactions written below. Which of the following statements about the dissociation of phosphoric acid is true?  \({\rm H_{3}PO_{4}}\;\rightleftharpoons\;{\rm H_{2}PO_{4}^{-}}\;+\;{\rm H^{+}}\)  \({\rm H_{2}PO_{4}^{-}}\;\rightleftharpoons\;{\rm HPO_{4}^{2-}}\;+\;{\rm H^{+}}\)  \({\rm HPO_{4}^{2-}}\;\rightleftharpoons\;{\rm PO_{4}^{3-}}\;+\;{\rm H^{+}}\)


In water, phosphoric acid dissociates according to the chemical reactions written below. Which of the following statements about the dissociation of phosphoric acid is true?     

H3PO4 is a strong acid and H2PO4 – and HPO4 2- are weak acids.
H3PO4, H2PO4 – and HPO4 2- are all strong acids.
HPO4 2- is a strong acid and H3PO4 and H2PO4 – are weak acids.
H3PO4, H2PO4 – and HPO4 2- are all weak acids.
H2PO4 – is a strong acid and H3PO4 and HPO4 2- are weak acids.

Chemistry Review – Water: The Water Molecule

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Review the The Water Molecule tutorial.

Then answer the questions.

Part A

The water molecule has a bent shape because …


hydrogen atoms attract one another.
covalent bonds are never straight.
oxygen has two unbonded pairs of valence electrons.
hydrogen atoms have a partial negative charge.
None of the above; water molecules are linear.

Part B

Which statement is true of water?


(a) The O atom in water has a partial positive charge.
(b) The H atoms in water have partial positive charges.
(c) Its polarity results from hydrogen’s high electronegativity.
(d) About 50% of the average cell’s mass consists of water.
All of the above except for (a).

Concept Boost Reading Questions Chapter 2 Question 2

Part A

A solution with a hydrogen concentration of 0.0000001 molar has a pH of _____.



Multiple Choice Question 2.39

Part A

Water is most likely to dissolve a solute that is:


a lipid.

Art-based Question Chapter 2 Question 7

Part A

Diagram represents a reaction in which glucose and fructose (two monosaccharides) are combined to yield sucrose (a disaccharide). The structural formulas of glucose and fructose are shown and an OH on the glucose and H on the fructose are highlighted. A molecule of water is shown leaving as the reaction proceeds.

This reaction is an example of __________.


Diagram represents a reaction in which glucose and fructose (two monosaccharides) are combined to yield sucrose (a disaccharide). The structural formulas of glucose and fructose are shown and an OH on the glucose and H on the fructose are highlighted. A molecule of water is shown leaving as the reaction proceeds.

This reaction is an example of __________.

catabolic reaction
dehydration synthesis
exchange reaction

Chapter 2 Chapter Test Question 13

Part A

Which of the following is NOT a component of amino acids?


central oxygen atom
amino group
R group
carboxylic acid group

Chemistry Review – Carbohydrates: Functions of Carbohydrates

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Review the Functions of Carbohydrates tutorial.

Then answer the question.

Part A

Polymers that contain sugars … 


(a) may store hereditary information.
(b) may store energy.
(c) may protect cells.
Both (b) and (c).
(a), (b), and (c).

Chemistry Review – Lipids: Functions of Lipids

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Review the Functions of Lipids tutorial.

Then answer the questions.

Part A

What do fats, steroids, and waxes have in common? 


(a) Moderate polarity.
(b) Low solubility in water.
(c) They occur in membranes.
Both (a) and (c).
Both (b) and (c).

Part B

Dr. Haxton told one of his students, “To move in the bloodstream, fats need the help of phospholipids.” What would a good student say? 


Not so. Fats are small enough to travel easily without help.
Sorry, Dr. Haxton! Help comes from cholesterol, not phospholipids.
Right. Fats are too polar to travel alone in water.
You have it backwards. Fats help phospholipids to travel.
Yes. Nonpolar molecules aren’t compatible with water.

Chemistry Review – Proteins: Functions of Proteins

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Review the Functions of Proteins tutorial.

Then answer the question.

Part A

Which biological activity does NOT directly involve proteins? 


Breaking food polymers into smaller molecules.
Defending cells against viruses.
Changing the shape of a cell.
Sensing light.
None of the above; proteins are involved in all of them.

Multiple Choice Question 2.57

Part A

Building blocks of organic molecules are known as:



True/False Question 2.107

Part A

Polypeptide chains that contribute to a protein’s quaternary structure each have their own primary, secondary, and tertiary structures.



Get Ready for A&P Video Tutor: Chemical Reactions

Launch the video below. 

Part A

Which of the following is an exchange reaction?

You did not open hints for this part.


\(\rm HCl+NaOH\rightarrow NaCl+H_2O\)
\(\rm C_6H_{12}O_6+C_6H_{12}O_6\rightarrow C_{12}H_{22}O_{11}\)

Part B

Hydrolysis is an example of which type of reaction?

You did not open hints for this part.


dehydration synthesis

Part C

In a chemical equation, what are the chemicals on the left side of the arrow called?

You did not open hints for this part.



Part D

Which of the following are especially important for growth and repair processes?

You did not open hints for this part.


exchange reactions
synthesis reactions

Part E

Which of the following best describes dehydration synthesis?

You did not open hints for this part.


A large molecule is broken down, or splits, to produce salt and water.
Two smaller molecules join together after a water molecule is added to split them apart.
Two smaller molecules separate and reorganize into two new molecules after a water molecule is added to them.
Two smaller molecules join together after a water molecule is removed from between them.

Multiple Choice Question 2.1

Part A

Which subatomic particle carries a negative charge?



Art-based Question Chapter 2 Question 2

Part A

Diagram of Sodium Chloride. There is a positively charged sodium atom with eleven protons and ten electrons and a negatively charged chloride with 17 protons and 18 electrons. The two charged atoms are in closed proximity to each other.

This is an example of __________.


nonpolar covalent bond
hydrogen bond
polar covalent bond
ionic bond

Chemistry Review – Acids, Bases, & pH: Bases

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Review the Bases tutorial.

Then answer the questions.

Part A

Ammonia reacts with water as shown below. Which statement best explains why ammonia is considered to be a base? 

\({\rm NH_{3}}\)\(+\)\({\rm H_{2}O}\)\(\rightleftharpoons\)\({\rm NH_{4}^{+}}\)\(+\)\({\rm OH^{-}}\)
AmmoniaWaterAmmonium IonHydroxide Ion


AmmoniaWaterAmmonium IonHydroxide Ion
NH4 + can donate H+ to hydronium.
Bases are defined as compounds that add OH- to the solution.
Bases are compounds that remove H+ from solutions.
The reaction decreases the amount of water in the solution.
None of the above. Ammonia is not a base.

Part B

Which of the following can be considered bases?


(a) Na2CO3
(b) KOH
(c) NaCl
Both (a) and (b).
All of the above.

Part C

Compounds that release OH- are bases because …


(a) OH- combines with H+ and removes it from solution.
(b) bases are defined as compounds that release OH-.
(c) OH- makes solutions more acidic.
Both (a) and (b).
None of the above.

Part D

To determine whether a base is weak or strong, …


look for undissociated molecules of base.
examine the H+ concentration of the solution.
check the OH- concentration of the solution.
look at the acidity of the solution.
All the above.

Part E

Which of the following can be considered strong bases?


All of the above.

True/False Question 2.102

Part A

Due to the low heat capacity of water, the human body is resistant to overheating and cooling down quickly.


we do your essays write my book report writing a literature review

the ____ dialog box provides options for moving charts between worksheets and chart sheets.

with Microsoft®

Office 2010 V O L U M E 1


with M ic roso f t

Office 2010 V O L U M E


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Library of Congress Cataloging-in-Publication Data Townsend, Kris. Skills for success with Office 2010 / by Kris Townsend.

p. cm. ISBN 978-0-13-703257-0 (alk. paper) 1. Microsoft Office. 2. Business—Computer programs. I, Title.

HF5548.4.M525T692 201 I 005.5—dc22 2010016531

Editor in Chief: Michael Payne AVP/Executive Acquisitions Editor: Stephanie Wall Product Development Manager: Eileen Bien Calabro Editorial Project Manager: Virginia Gitariglia Development Editor: Nancy Lamm Editorial Assistant: Nicole Sam AVP/Director of Online Programs, Media: Richard Keaveny AVP/Dircctor of Product Development, Media: Lisa Strife Editor—Digital Learning & Assessment: Paul Gentile Product Development Manager, Media: Calhi Projitko Media Project Manager, Editorial: Alana Coles Media Project Manager, Production: John Cassar Director of Marketing: Kate Valentine Senior Marketing Manager: Tori Olscn Alves Marketing Coordinator SI/<<I« Osterlitz

Marketing Assistant: Darshika Vyas Senior Managing Editor: Cynthia /.onneveld Associate Managing Editor: Camille Trentacoste Production Project Manager: Camille Trentacoste Senior Operations Supervisor: Natacha Moore Senior Art Director: Jonathan Boylan Art Director: Anthony Gemmellaro Text and Cover Designer: Anthony Gemmellaro Manager, Rights and Permissions: Ilessa Albader Supplements Development Editor: Vonda Keator Full-Service Project Management: MPS Content Services, a Macmiilan Company Composition: MPS Content Services, a Macmiilan Company Printer/Binder: Quad/Graphics Taunton Cover Printer: Lchigli/Phocnix Typeface: Minion 10.5/12.5

Credits and acknowledgments borrowed from other sources and reproduced, with permission, in this textbook appear on appropriate page within text. Microsoft’ and Windows* are registered trademarks of the Microsoft Corporation in the U.S.A. and other countries. Screen shots and icons reprinted with permission from the Microsoft Corporation. This book is not sponsored or endorsed by or affiliated with the Microsoft Corporation. Copyright © 2011 Pearson Education, Inc., publishing as Prentice Hall. All lights reserved. Manufactured in the United States of America. This publication is protected by Copyright, and permission should be obtained from the publisher prior to any prohibited reproduction, storage in a retrieval system, or transmission in any form or by any means, electronic, mechanical, photocopying, recording, or likewise. To obtain permission(s) to use material from this work, please submit a written request to Pearson Education, Inc., Permissions Department, Upper Saddle River, New Jersey, 07458 Many of the designations by manufacturers and seller to distinguish their products are claimed as trademarks. Where those designations appear in this book, and the publisher was aware of a trademark claim, the designations have been printed in initial caps or all caps.

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1 0 9 8 7 6 5 4 3 2

1 S B N – I 0 : 0 – 1 3 – 7 0 3 2 5 7 – 9

I S B N – 1 3 : 9 7 8 – 0 – 1 3 – 7 0 3 2 5 7 – 0

Contents in Brief

Common Features Chapter 1 Common Features ot Office 2010 2

More Skills 26

Word Chapter 1 Create Documents with Word 2010 30

More Skills 54 Chapter 2 Format and Organize Text 64

More Skills 88 Chapter 3 Work with Graphics, Tabs, and Tables 98

More Skills 122 Chapter 4 Apply Special Text, Paragraph and

Document Formats 132 More Skills 156

Excel Chapter 1 Create Workbooks with Excel 2010 166

More Skills 190

Chapter 2 Create Charts 200 More Skills 224

Chapter 3 Manage Multiple Worksheets 234 More Skills 258

Chapter 4 Use Excel Functions and Tables 268 More Skills 292

Access Chapter 1 Work with Databases and

Create Tables 302 More Skills 326

Chapter 2 M a n a g e Datasheets and Create Queries 336 More Skills 360

Chapter 3 Create Forms 370 More Skills 394

Chapter 4 Create Reports 404 More Skills 428

PowerPoint Chapter 1 Getting Started with PowerPoint 2010 438

More Skills 462 Chapter 2 Format a Presentation 472

More Skills 496 Chapter 3 Enhance Presentations with Graphics 506

More Skills 530 Chapter 4 Present Data Using Tables, Charts,

and Animation 540 More Skills 564

Integrated Projects Chapter 1 Integrating Word, Excel, A c c e s s ,

and PowerPoint 574 More Skills 598

Chapter 2 More Integrated Projects for Word, Excel, A c c e s s , and PowerPoint 610 More Skills 634

Glossary 646

Index 654

Contents in Brief iii

Table of Contents

C o m m o n Fea tu res C h a p t e r 1 C o m m o n F e a t u r e s of Office 2 0 1 0 2

Skill 1 Start Word and Navigate the Word Window 6 Skill 2 Start Excel and PowerPoint and Work with

Multiple Windows 8 Skill 3 Save Files in New Folders 10 Skill 4 Print and Save Documents 12 Skill 5 Open Student Data Files and Save Copies

Using Save As 14 Skill 6 Type and Edit Text 16 Skill 7 Cut, Copy, and Paste Text 18 Skill 8 Format Text and Paragraphs 20 Skill 9 Use the Ribbon 22

Skill 10 Use Shortcut Menus and Dialog Boxes 24

More Skills More Skills 11 Capture Screens with the Snipping

Tool 26 More Skills 12 Use Microsoft Office Help 26 More Skills 13 Organize Files 26 More Skills 14 Save Documents to Windows Live 26

W o r d C h a p t e r 1 C r e a t e D o c u m e n t s with Word 2 0 1 0 3 0

Skill 1 Create New Documents and Enter Text 34 Skill 2 Edit Text and Use Keyboard Shortcuts 36 Skill 3 Select Text 38 Skill 4 Insert Text from Other Documents 40 Skill 5 Change Fonts, Font Sizes, and Font Styles 42 Skill 6 Insert and Work with Graphics 44 Skill 7 Check Spelling and Grammar 46 Skill 8 Use the Thesaurus and Set Proofing Options 48 Skill 9 Create Document Footers 50

Skill 10 Work with the Print Page and Save Documents in Other Formats 52

More Skills More Skills 11 Split and Arrange Windows 54 More Skills 12 Insert Symbols 54 More Skills 13 Use Collect and Paste to Create a

Document 54 More Skills 14 Insert Screen Shots into Documents 54

C h a p t e r 2 Format a n d O r g a n i z e Text 6 4 Skill 1 Set Document Margins 68 Skill 2 Align Text and Set Indents 70 Skill 3 Modify Line and Paragraph Spacing 72 Skill 4 Format Text Using Format Painter 74 Skill 5 Find and Replace Text 76 Skill 6 Create Bulleted and Numbered Lists 78 Skill 7 Insert and Format Headers and Footers 80 Skill 8 Insert and Modify Footnotes 82 Skill 9 Add Citations 84

Skill 10 Create Bibliographies 86

More Skills More Skills 11 Record AutoCorrect Entries 88 More Skills 12 Use AutoFormat to Create

Numbered Lists 88 More Skills 13 Format and Customize Lists 88 More Skills 14 Manage Document Properties 88

C h a p t e r 3 Work with G r a p h i c s , Tabs , a n d T a b l e s 9 8

Skill 1 Insert Pictures from Files 102 Skill 2 Resize and Move Pictures 104 Skill 3 Format Pictures Using Styles and

Artistic Effects 106 Skill 4 Set Tab Stops 108 Skill 5 Enter Text with Tab Stops 110 Skill 6 Apply Table Styles 112 Skill 7 Create Tables 114 Skill 8 Add Rows and Columns to Tables H6 Skill 9 Format Text in Table Cells 118

Skill 10 Format Tables 120

iv Table of Contents

More Skills More Skills 11 Insert Text Boxes 122 More Skills 12 Format with WordArt 122 More Skills 13 Create Tables from Existing Lists 122 More Skills 14 Insert Drop Caps 122

C h a p t e r 4 A p p l y S p e c i a l T e x t , P a r a g r a p h , a n d D o c u m e n t F o r m a t s 1 3 2

Skill 1 Create Multiple-Column Text 136 Skill 2 Insert a Column Break 138 Skill 3 Apply and Format Text Effects 140 Skill 4 Use and Create Quick Styles 142 Skill 5 Add Borders and Shading to Paragraphs

and Pages 144 Skill 6 Insert and Format Clip Art Graphics 146 Skill 7 Insert SmartArt Graphics 148 Skill 8 Format SmartArt Graphics 150 Skill 9 Create Labels Using Mail Merge 152

Skill 10 Preview and Print Mail Merge Documents 154

More Skil ls More Skills 11 More Skills 12 More Skills 13 More Skills 14

Create Resumes from Templates 156 Create Outlines 156 Prepare Documents for Distribution 156 Preview and Save Documents as Web Pages 156

Exce l C h a p t e r 1 C r e a t e W o r k b o o k s w i t h

Exce l 2 0 1 0 Skill 1 Create and Save New Workbooks Skill 2 Enter Worksheet Data and Merge and

Center Titles Skill 3 Construct Addition and

Subtraction Formulas Skill 4 Construct Multiplication and

Division Formulas Skill 5 Adjust Column Widths and Apply Cell Styles Skill 6 Use the SUM Function Skill 7 Copy Formulas and Functions

Using the Fill Handle

1 6 6 170

Skill 8 Format, Edit, and Check the Spelling of Data 184 Skill 9 Create Footers and Change Page Settings 186

Skill 10 Display and Print Formulas and Scale Worksheets for Printing

More Skil ls More Skills 11

More Skills 12 More Skills 13 More Skills 14

Create New Workbooks from Templates Use Range Names in Formulas Change Themes Manage Document Properties

C h a p t e r 2 Skill 1 Skill 2

Skill 3 Skill 4 Skill 5 Skill 6 Skill 7

Skill 8

Skill 9 Skill 10

C r e a t e C h a r t s Open Existing Workbooks and Align Text Construct and Copy Formulas Containing Absolute Cell References Format Numbers Create Column Charts Format Column Charts Create Pie Charts and Chart Sheets Apply 3-D Effects and Rotate Pie Chart Slices Explode and Color Pie Slices, and Insert Text Boxes Update Charts and Insert WordArt Prepare Chart Sheets for Printing

More Ski l ls More Skills 11 More Skills 12 More Skills 13

Insert and Edit Comments Change Chart Types Copy Excel Data to Word Documents

More Skills 14 Fill Series Data into Worksheet Cells


190 190 190 190

2 0 0 204

206 208 210 212 214


218 220 222

224 224



172 C h a p t e r 3 M a n a g e M u l t i p l e W o r k s h e e t s 2 3 4

172 Skill 1 Work with Sheet Tabs 238

174 Skill 2 Enter and Format Dates 240 174 Skill 3 Clear Cell Contents and Formats 242

176 Skill 4 Move, Copy, Paste, and Paste Options 244

178 Skill 5 Work with Grouped Worksheets 246

180 Skill 6 Use Multiple Math Operators in a Formula 248 Skill 7 Format Grouped Worksheets 250

182 Skill 8 Insert and Move Worksheets 252

Table of Contents v

Skill 9 Construct Formulas That Refer to Cells in Other Worksheets 254

Skill 10 Create Clustered Bar Charts 256

More Skills More Skills 11 Create Organization Charts 258 More Skills 12 Create Line Charts 258 More Skills 13 Set and Clear Print Areas 258 More Skills 14 Insert Hyperlinks 258

C h a p t e r 4 U s e Exce l F u n c t i o n s a n d T a b l e s 2 6 8 Skill 1 Use the SUM and AVERAGE Functions 272 Skill 2 Use the MIN and MAX Functions 274 Skill 3 Move Ranges with Functions,

Add Borders, and Rotate Text 276 Skill 4 Use the IF Function 278 Skill 5 Apply Conditional Formatting with

Custom Formats, Data Bars, and Sparklines 280 Skill 6 Use Find and Replace and Insert

the NOW Function 282 Skill 7 Freeze and Unfreeze Panes 284 Skill 8 Create and Sort Excel Tables 286 Skill 9 Use the Search Filter in Excel Tables 288

Skill 10 Convert Tables to Ranges, Hide Rows and Columns, and Format Large Worksheets 290

More Skills More Skills 11 Apply Conditional Color Scales

with Top and Bottom Rules 292 More Skills 12 Use the Payment (PMT) Function 292 More Skills 13 Create PivotTable Reports 292 More Skills 14 Use Goal Seek 292

A c c e s s C h a p t e r 1 Work with D a t a b a s e s

a n d C r e a t e T a b l e s 3 0 2 Skill 1 Open and Organize Existing Databases 306 Skill 2 Enter and Edit Table Data 308 Skill 3 Create Forms and Enter Data 310 Skill 4 Filter Data in Queries 312 Skill 5 Create, Preview, and Print Reports 314 Skill 6 Create Databases and Tables 316

vi Table of Contents

Skill 7 Change Data Types and Other Field Properties 318

Skill 8 Create Tables in Design View 320 Skill 9 Relate Tables 322

Skill 10 Enter Data in Related Tables 324

More Skills More Skills 11 Compact and Repair Databases 326 More Skills 12 Import Data from Excel 326 More Skills 13 Work with the Attachment Data

Type 326 More Skills 14 Work with the Hyperlink

and Yes/No Data Types 326

C h a p t e r 2 M a n a g e D a t a s h e e t s a n d C r e a t e Q u e r i e s 3 3 6

Skill 1 Find and Replace Data 340 Skill 2 Filter and Sort Datasheets 342 Skill 3 Use the Simple Query Wizard 344 Skill 4 Format Datasheets 346 Skill 5 Add Date and Time Criteria 348 Skill 6 Create Queries in Design View 350 Skill 7 Add Calculated Fields to Queries 352 Skill 8 Work with Logical Criteria 354 Skill 9 Add Wildcards to Query Criteria 356

Skill 10 Group and Total Queries 358

More Skills More Skills 11 Export Queries to Other Fie Formats 360 More Skills 12 Find Duplicate Records 360 More Skills 13 Find Unmatched Records 360 More Skills 14 Create Crosstab Queries 360

C h a p t e r 3 C r e a t e Forms 3 7 0 Skill 1 Use the Form Wizard 374 Skill 2 Format Forms in Layout View 376 Skill 3 Use Forms to Modify Data 378 Skill 4 Use the Blank Form Tool 380 Skill 5 Customize Form Layouts 382 Skill 6 Add Input Masks 384 Skill 7 Apply Conditional Formatting 386 Skill 8 Create One-to-Many Forms 388 Skill 9 Enter Data Using One-to-Many Forms 390

Skill 10 Create Forms from Queries 392

More Skills More Skills 11 Validate Fields 394 More Skills 12 Add Combo Boxes to Forms 394 More Skills 13 Create Multiple Item Forms 394 More Skills 14 Create Macros 394

C h a p t e r 4 C r e a t e R e p o r t s 4 0 4 Skill 1 Create Reports and Apply Themes 408 Skill 2 Modify Report Layouts 410 Skill 3 Prepare Reports for Printing 412 Skill 4 Use the Blank Report Tool 414 Skill 5 Group and Sort Reports 416 Skill 6 Format and Filter Reports 418 Skill 7 Create Label Reports 420 Skill 8 Use the Report Wizard 422 Skill 9 Modify Layouts in Design View 424

Skill 10 Add Totals and Labels to Reports 426

More Skills More Skills 11 Export Reports to Word 428 More Skills 12 Export Reports to HTML Documents 428 More Skills 13 Create Parameter Queries 428 More Skills 14 Create Reports for Parameter Queries 428

PowerPo in t C h a p t e r 1 G e t t i n g S t a r t e d w i t h

P o w e r P o i n t 2 0 1 0 4 3 8 Skill 1 Open, View, and Save Presentations 442 Skill 2 Edit and Replace Text in Normal View 444 Skill 3 Format Slide Text 446 Skill 4 Check Spelling and Use the Thesaurus 448 Skill 5 Insert Slides and Modify Slide Layouts 450 Skill 6 Insert and Format Pictures 452 Skill 7 Organize Slides Using Slide Sorter View 454 Skill 8 Apply Slide Transitions and View Slide Shows 456 Skill 9 Insert Headers and Footers

and Print Presentation Handouts 458 Skill 10 Add Notes Pages and Print Notes 460

More Skil ls More Skills 11 Type Text in the Outline Tab 462 More Skills 12 Use Keyboard Shortcuts 462

More Skills 13 Move and Delete Slides in Normal View 462

More Skills 14 Design Presentations for Audience and Location 462

C h a p t e r 2 F o r m a t a P r e s e n t a t i o n 4 7 2 Skill 1 Create New Presentations 476 Skill 2 Change Presentation Themes 478 Skill 3 Apply Font and Color Themes 480 Skill 4 Format Slide Backgrounds with Styles 482 Skill 5 Format Slide Backgrounds with Pictures

and Textures 484 Skill 6 Format Text with WordArt 486 Skill 7 Change Character Spacing and Font Color 488 Skill 8 Modify Bulleted and Numbered Lists 490 Skill 9 Move and Copy Text and Objects 492

Skill 10 Use Format Painter and Clear All Formatting Commands 494

More Skil ls More Skills 11 Edit Slide Master 496 More Skills 12 Save and Apply Presentation

Template 496 More Skills 13 Create Slides from Microsoft Word

Outline 496 More Skills 14 Design Presentations with Contrast 496

C h a p t e r 3 E n h a n c e P r e s e n t a t i o n s w i t h G r a p h i c s 5 0 6

Skill 1 Insert Slides from Other Presentations 510 Skill 2 Insert, Size, and Move Clip Art 512 Skill 3 Modify Picture Shapes, Borders, and Effects 514 Skill 4 Insert, Size, and Move Shapes 516 Ski l l5 Add Text to Shapes and Insert Text Boxes 518 Skill 6 Apply Gradient Fills and Group

and Align Graphics 520 Skill 7 Convert Text to SmartArt Graphics

and Add Shapes 522 Skill 8 Modify SmartArt Layouts, Colors, and Styles 524 Skill 9 Insert Video Files 526

Skill 10 Apply Video Styles and Adjust Videos 528

More Skil ls More Skills 11 Compress Pictures 530

Table of Contents vii

More Skills 12 Save Groups as Picture Files 530 More Skills 13 Change Object Order 530 More Skills 14 Design Presentations Using

Appropriate Graphics 530

C h a p t e r 4 P r e s e n t D a t a U s i n g T a b l e s , C h a r t s , a n d A n i m a t i o n 5 4 0

Skill 1 Insert Tables 544 Skill 2 Modify Table Layouts 546 Skill 3 Apply Table Styles 548 Skill 4 Insert Column Charts 550 Skill 5 Edit and Format Charts 552 Skill 6 Insert Pie Charts 554 Skill 7 Apply Animation Entrance

and Emphasis Effects 556 Skill 8 Modify Animation Timing

and Use Animation Painter 558 Skill 9 Remove Animation and Modify Duration 560

Skill 10 Navigate Slide Shows 562

More Ski l ls More Skills 11 Prepare Presentations to be Viewed

Using Office PowerPoint Viewer 564 More Skills 12 Insert Hyperlinks in a Presentation 564 More Skills 13 Create Photo Albums 564 More Skills 14 Design Presentations with

Appropriate Animation 564

I n t e g r a t e d Pro jec ts C h a p t e r 1 I n t e g r a t i n g W o r d , E x c e l , A c c e s s ,

a n d P o w e r P o i n t 5 7 4 Skill 1 Move Text between Word Documents 578 Skill 2 Apply Heading Styles in Word 580 Skill 3 Create a PowerPoint Presentation

from a Word Document 582 Skill 4 Insert and Modify a Shape in PowerPoint 584 Skill 5 Import a Word Table into

an Excel Workbook 586 Skill 6 Insert a Shape from PowerPoint into Word

and Excel 588 Skill 7 Create and Work with an Excel Table 590

viii Table of Contents

Skill 8 Link Data between Office Applications Using O L E

Skill 9 Create Envelopes Using Data from Access Skill 10 Create Name Tags Using Data in Excel

More Ski l ls More Skills 11 Insert Subtotals in Excel and

Link Data to a Word Document More Skills 12 Insert Slides from Another

Presentation More Skills 13 Move and Copy Excel Worksheets

and Consolidate Data More Skills 14 Compare Shared Excel Workbooks

C h a p t e r 2

Skill 1 Skill 2 Skill 3 Skill 4

Skill 5

Skill 6 Skill 7

Skill 8 Skill 9

M o r e I n t e g r a t e d P r o j e c t s f o r W o r d , E x c e l , A c c e s s , a n d P o w e r P o i n t Create an Access Append Query Export Data from Access into Excel Create an Excel PivotTable Report Create External References between Excel Workbooks Insert a SmartArt Organization Chart into PowerPoint Insert an Excel PivotTable into PowerPoint Insert a PowerPoint Outline in Word and Create a Cover Page and Table of Contents Link and Embed Data from Excel into Word Export Data from Access to an R T F File and Insert the File into Word Insert Objects from PowerPoint into Word Skill 10

kills More Skills 11 Create an Excel PivotChart

and Link the PivotChart to Word More Skills 12 Create a Hyperlink between

PowerPoint, Word, and Excel Files More Skills 13 Insert a Total Row in an Excel Table

and Link the Table to PowerPoint More Skills 14 Compare Word Documents


592 594 596



598 598

6 1 0 614 616 618


622 624

626 628

630 632



634 634


Index 654

About the Authors Kris Townsend is an Information Systems instructor at Spokane Falls Community College in Spokane, Washington. Kris earned a bachelor’s degree in both Education and Business, and a master’s degree in Education. He has also worked as a public school teacher and as a systems analyst. Kris enjoys working with wood, snowboarding, and camping. He commutes to work by bike and enjoys long road rides in the Palouse country south of Spokane.


Robert L. Ferrett recently retired as the Director of the Center for Instructional Computing at Eastern Michigan University, where he provided computer training and support to faculty. He has authored or co-authored more than 70 books on Access, PowerPoint, Excel, Publisher, WordPerfect, Windows, and Word. He has been designing, developing, and delivering computer workshops for more than two decades.

Catherine Hain is an instructor at Central New Mexico Community College in Albuquerque, New Mexico. She teaches computer applications classes in the Business and Information Technology School, both in the classroom and through the distance learning office. Catherine holds a bachelor’s degree in Management and Marketing and a master’s degree in Business Administration.

f t Alicia Vargas is an Associate Professor of Business Information Technology at Pasadena City College in California. She holds a bachelor’s and a master’s degree in Business Education from California State University, Los Angeles and has authored numerous textbooks and training materials on Microsoft Word, Microsoft Excel, and Microsoft PowerPoint.

A Special Thank You Pearson Prentice Hall gratefully acknowledges the contribution made by Shelley Gaskin to the first edition publication of this series—Skills for Success with Office 2007. The series has truly benefited from her dedication toward developing a textbook that aims to help students and instructors.We thank her for her continued support of this series.

About the Authors ix

Contributors We’d like to thank the following people for their work on Skills for Success:

Instructor Resource Authors Erich Adickes Parkland College Sharon Behrens Northeast Wisconsin Technical College Julie Boyles Portland Community College Barbara Edington St. Francis College Ranida Harris Indiana University Southeast Beth Hendrick Lake Sumter Community College Susan Holland Southeast Community College—Nebraska Andrea Leinbach Harrisburg Area Community College Yvonne Leonard Coastal Carolina Community College

Technical Editors Lisa Bucki Kelly Carling Hilda W i r t h Federico Jacksonville University Tom Lightner Missouri State University Elizabeth Lockley Joyce Nielsen

Reviewers Darrell Abbey Cascadia Community College Bridget I . Archer Oakton Community College Laura Aagard Sierra College John Alcorcha MTI College Barry Andrews Miami Dade College Natalie Andrews Miami Dade College Wilma Andrews Virginia Commonwealth University School

of Business Bridget Archer Oakton Community College Tahir Aziz J. Sargeant Reynolds Greg Balinger Miami Dade College Terry Bass University of Massachusetts, Lowell Lisa Beach Santa Rosa Junior College Rocky Belcher Sinclair Community College Nannette Biby Miami Dade College David Billings Guilford Technical Community College Brenda K. Br i t t Fayetteville Technical Community College Alisa Brown Pulaski Technical College Eric Cameron Passaic Community College

x Contributors

Trina Maurer Anthony Nowakowski Ernest Gines Stacey Gee Hollins John Purcell Ann Rowlette Amanda Shelton Steve St. John Joyce Thompson Karen Wisniewski

Georgia Virtual Technical College Buffalo State College Tarrant County College—Southeast St. Louis Community College—Meramec Castleton State College Liberty University J. Sargeant Reynolds Tulsa Community College Lehigh Carbon Community College County College of Morris

Janet Pickard Linda Pogue Steve Rubin Eric Sabbah Jan Snyder Mara Zebest

Chattanooga State Tech Community College Northwest Arkansas Community College California State University—Monterey Bay

Gene Carbonaro Trey Cherry Kim Childs Pualine Chohonis Lennie Coper Tara Cipriano Paulette Comet

Gail W . Cope Susana Contreras de Finch Chris Corbin Janis Cox Tomi Crawford Martin Cronlund Jennifer Day Ralph DeArazoza Carol Decker Loorna DeDuluc Caroline Delcourt

Long Beach City College Edgecombe Community College Bethany University Miami Dade College Miami Dade College Gateway Technical College Community College of Baltimore

Coun ty—Ca to nsville Sinclair Community College College of Southern Nevada Miami Dade College Tri-County Technical College Miami Dade College Anne Arundel Community College Sinclair Community College Miami Dade College Montgomery College Miami Dade College Black Hawk College

Contributors continued

Michael Discello Kevin Duggan Barbara Edington Donna Ehrhart Hilda Wirth Federico Tushnelda Fernandez Arlene Flerchinger Hedy Fossenkemper Kent Foster Penny Foster-Shiver Arlene Franklin George Gabb Barbara Garrell Deb Geoghan Jessica Gilmore Victor Giol Melinda Glander Linda Glassburn Deb Gross Rachelle Hall Marie Hartlein Diane Hartman Betsy Headrick Patrick Healy

Lindsay Henning Kermelle Hensley Diana Hill Rachel Hinton Mary Carole Hollingsworth Stacey Gee Hollins Bill Holmes Steve Holtz Margaret M. Hvatum Joan Ivey Dr. Dianna D. Johnson Kay Johnston Warren T. Jones, Sr. Sally Kaskocsak Renuka Kumar Kathy McKee Hazel Kates Gerald Kearns

Pittsburgh Technical Institute Midlands Technical Community College St. Francis College Genesee Community College Jacksonville University Miami Dade College Chattanooga State Tech Community College Paradise Valley Community College Withrop University Anne Arundel Community College Bucks County Community College Miami Dade College Delaware County Community College Bucks County Community College Highline Community College Miami Dade College Northmetro Technical College Cuyahoga Community College, West Ohio State University Glendale Community College Montgomery County Community College Utah Valley State College Chattanooga State Northern Virginia Community

College—Woodbridge Yavapai College Columbus Technical College Chesapeake College Broome Community College GA Perimeter St. Louis Community College—Meramec Chandler-Gilbert Community College University of Minnesota Duluth St. Louis Community College Lanier Technical College North Metro Technical College Columbia Basin College University of Alabama at Birmingham Sinclair Community College Community College of Baltimore County North Metro Technical College Miami Dade College Forsyth Technical Community College

Charles Kellermann

John Kidd Chris Kinnard Kelli Kleindorfer Kurt Kominek Dianne Kotokoff Cynthia Krebs Jean Lacoste Gene Laugh rey David LeBron Kaiyang Liang Linda Lindaman Felix Lopez Nicki Maines Cindy Manning Patri Mays Norma McKenzie Lee McKinley Sandy McCormack Eric Meyer Kathryn Miller

Gloria A. Morgan Kathy Morris Linda Moulton Ryan Murphy Stephanie Murre Wolf Jackie Myers Dell Najera

Scott Nason Paula Neal Bethanne Newman Eloise Newsome

Karen Nunan Ellen Orr Carol Ottaway Denise Passero Americus Pavese James Gordon Patterson Cindra Phillips

Northern Virginia Community College—Woodbridge

Tarrant County Community College Miami Dade College American Institute of Business NE State Tech Community College Lanier Technical College Utah Valley University Virginia Tech Northern Oklahoma College Miami Dade College Miami Dade College Black Hawk College Miami Dade College Mesa Community College Big Sandy Community and Technical College Paradise Valley Community College El Paso Community College GA Perimeter Monroe Community College Miami Dade College Big Sandy Community and Technical College,

Pike Ville Campus Monroe Community College University of Alabama, Tuscaloosa Montgomery County Community College Sinclair Community College Moraine Park Technical College Sinclair Community College El Paso Community College, Valle Verde

Campus Rowan Cabarrus Community College Sinclair Community College Paradise Valley Community College Northern Virginia Community

College—Woodbridge Northeast State Technical Community College Seminole Community College Chemeketa Community College Fulton-Montgomery Community College Community College of Baltimore County Paradise Valley Community College Clark State CC


Contributors continued

Janet Pickard Chattanooga State Tech Community College Diane Stark Phoenix College Floyd Pittman Miami Dade College Neil Stenlund Northern Virginia Community College Melissa Prinzing Sierra College Linda Stoudemayer Lamar Institute of Technology Pat Rahmlow Montgomery County Community College Pamela Stovall Forsyth Technical Community College Mary Rasley Lehigh Carbon Community College Linda Switzer Highline Community College Scott Rosen Santa Rosa Junior College Margaret Taylor College of Southern Nevada Ann Rowlette Liberty University Martha Taylor Sinclair Community College Kamaljeet Sanghera George Mason University Michael M. Taylor Seattle Central Community College June Scott County College of Morris Roseann Thomas Fayetteville Tech Community College Janet Sebesy Cuyahoga Community College Ingrid Thompson-Sellers GA Perimeter Jennifer Sedelmeyer Broome Community College Daniel Thomson Keiser University Kelly SellAnne Arundel Community College Astrid Hoy Todd Guilford Technical Community College Teresa Sept College of Southern Idaho Barb Tollinger Sinclair Community College Pat Serrano Scottsdale Community College Cathy Urbanski Chandler Gilbert Community College Amanda Shelton J. Sargeant Reynolds Sue Van Boven Paradise Valley Community College Gary Sibbits St. Louis Community College—Meramec Philip Vavalides Guildford Technical Community College Janet Siert Ellsworth Community College Pete Vetere Montgomery County Community College— Robert Sindt Johnson County Community College West Campus Karen Smith Technical College of the Lowcountry Asteria Villegas Monroe College Robert Smolenski Delaware County Community College Michael Walton Miami Dade College Robert Sindt Johnson County Community College Teri Weston Harford Community College Gary R. Smith Paradise Valley Community College Julie Wheeler Sinclair Community College Patricia Snyder Midlands Technical College Debbie Wood Western Piedmont Community College Pamela Sorensen Santa Rosa Junior College Thomas Yip Passaic Community College Eric Stadnik Santa Rosa Junior College Lindy Young Sierra Community College Mark Stanchfield Rochester Community and Technical College Matt Zullo Wake Technical Community College

xii Contributors

I n s t r u c t o r s – Y o u a s k e d for it s o h e r e it is!

A M i c r o s o f t ® O f f i c e t e x t b o o k t h a t r e c o g n i z e s h o w s t u d e n t s l e a r n t o d a y –

Skills for Success with Microsoft

1 Office 2010 Volume 1

10 X 8.5 F o r m a t – Easy for students to read and type at the same time by simply propping the book up on the desk in front of their monitor

Clear ly Out l ined Sk i l l s – Each skill is presented in a single two-page spread so that students can easily follow along

Numbered S t e p s and Bul le ted Tex t – Students don’t read long paragraphs or text, but they will read information presented concisely

Easy-to-Find S t u d e n t Da ta Fi les – Visual key shows students how to locate and interact with their data files

S t a r t H e r e – Students know exactly where to start and what their starting file will look like


G e t t i n g S t a r t e d w i t h W i n d o w s 7 » YOU BK WINDOW 7 ro «CRK M I »F-JF IOM?«L« LOF RUINR-V.*™ PFLNJMN MO»»T*N>WN

MDAU mi mm • J- : >O-L


Your ilartlng » c r e « n will look Ilk* this: S K I L L !

chapter, you will be

S k i l l s L is t – A visual snapshot of what skills they will complete in the chapter

O u t c o m e – Shows students up front what their completed project will look like

You will tdvo your filoi a t :

T J H N M I M H7_S«II| ‘ ‘

S e q u e n t i a l P a g i n a t i o n – Saves you and your students time in locating topics and assignments I


Skills for Success l ock – Tells how much time students

need to complete the chapter

Introduct ion

• KM US TUNTNW *IR*I fie, 01 FGWRN INTO 4 «IR J .: -I—. IT…. I AIULT :;I N..I..: .:


t Written for T o d a y ‘ s S t u d e n t s – skills are taught with numbered steps and bulleted text so students are less likely to skip valuable information T w o – P a g e S p r e a d s – Each skill is

presented on a two-page spread to help students keep up their momentum

* TITTR.TI bim irii mug], TU L>«

_ J

D a t a Files Are a S n a p – Students can now find their files easier than ever before with this visual map

C o l o r e d Text – Clearly shows what a student types

Hands-On – Students start actually working on their skills from Step 1

D o n e ! – Students always know when they’ve completed a skill


Skills for S u c c e s s

UorsSkJh © U M l d t o m i o C k g c n n f M

End-o f -Chapte r M a t e r i a l – Several levels of assessment so you can assign the material that best fits your students’ needs

M o r e S k i l l s – Additional skills included online

K e y T e r m s O n l i n e H e l p Sk i l ls

Midi .. – .! -.. I – :T.

O n l i n e P r o j e c t – Students practice using Microsoft Help online to help prepare them for using the applications on their own

H > u » i « i i HI

•.m • m •

Visual Walk-Through xv

Skills for S u c c e s s

Al l V i d e o s

a n d I n s t r u c t o r m a t e r i a l s

a v a i l a b l e o n t h e I R C D

Instructor Mater ia ls

I n s t r u c t o r ‘ s M a n u a l – Teaching tips and additional resources for each chapter

A s s i g n m e n t S h e e t s – Lists all the assignments for the chapter, you just add in the course information, due dates and points. Providing these to students ensures they will know what is due and when

S c r i p t e d L e c t u r e s – Classroom lectures prepared for you

A n n o t a t e d S o l u t i o n F i l e s – Coupled with the scoring rubrics, these create a grading and scoring system that makes grading so much easier for you

P o w e r P o i n t L e c t u r e s – PowerPoint presentations for each chapter

P r e p a r e d E x a m s – Exams for each chapter and for each application

S c o r i n g R u b r i c s – Can be used either by students to check their work or by you as a quick check-off for the items that need to be corrected

S y l l a b u s T e m p l a t e s – for 8-week, 12-week, and 16-week courses

T e s t B a n k – Includes a variety of test questions for each chapter

C o m p a n i o n W e b S i t e – Online content such as the More Skills Projects, Online Study Guide, Glossary, and Student Data Files are all at

xvi Visual Walk-Through

with M ic roso f t

Office 2010 V O L U M E 1

C H A P T E R J Common Features of Office 2010 • The programs in Microsoft Office 2010—Word, Excel, PowerPoint, and Access—share common

tools that you use in a consistent, easy-to-learn manner.

• Common tasks include opening and saving files, entering and formatting text, and printing your work.

Your starting screen will look like this: SKILLS SKILLS 1 – 1 0 TRAINING Umt Insert Pjgt 1

C M M mailt – 1 1 – * 41 IT



‘ Items’ “Mo:ca; . rtfacmgl H*jding2 ChtDQt

Past 1 ol I Wmdi 0

A t t h e e n d o f t h i s chapter , y o u w i l l be a b l e t o :

Skill 1 Start Word and Navigate the Word Window Skill 2 Start Excel and PowerPoint and Work with

Multiple Windows Skill 3 Save Files in New Folders Skill 4 Print and Save Documents Skill 5 Open Student Data Files and Save Copies

Using Save As Skill 6 Type and Edit Text Skill 7 Cut, Copy, and Paste Text Skill 8 Format Text and Paragraphs Skill 9 Use the Ribbon Skill 10 Use Shortcut Menus and Dialog Boxes


More Skills 11 Capture Screens with the Snipping Tool More Skills 12 Use Microsoft Office Help More Skills 13 Organize Files More Skills 14 Save Documents to Windows Live


Outcome Using the skills listed to the left will enable you to create documents similar to this:

Visit Aspen Falls! A s p e n F a l l s o v e r l o o k s t h e P a c i f i c O c e a n

a n d is s u r r o u n d e d b y m a n y v i n e y a r d s a n d

w i n e r i e s . O c e a n r e c r e a t i o n is a c c e s s e d

p r i m a r i l y a t D u r a n g o C o u n t y P a r k . T h e

A s p e n L a k e R e c r e a t i o n A r e a p r o v i d e s y e a r

r o u n d f r e s h w a t e r r e c r e a t i o n a n d is t h e

c i t y ‘ s l a r g e s t p a r k .

Local Attractions • W i n e C o u n t r y

o W i n e Tas t ing Tou rs

o Winer ies

• W o r d s w o r t h Fel lowship Museum of A r t

• Du rango C o u n t y M u s e u m of H is to ry

• Conven t ion Center

• A r t Galleries

• Gl ider T o u r s

Aspen Fallc Annual Events • Annua l Starving Artists Sidewalk Sale

• A n n u a l W i n e Festival

• C inco de Mayo

• Vintage Car S h o w

• Her i tage D a y Parade

• Harvest Days

• A m a t e u r Bike Races

• Farmer ‘s Market

• Aspen Lake Nature Cruises

• Aspen Falls T r ia th lon

• Tas te of Aspen Falls

• W i n t e r Blues Festival

Contact Y o u r N a m e for more informat ion.

Common Features of Office 2010

You will save your files as: Lastname_Firstname_cfO 1 _Visit 1 Lastname_Firstname_cfO l_Visit2 Lastname_Firstname_cf01_Visit3

Common Features Chapter 1 | Common Features of Office 2010 3

In t h i s c h a p t e r , y o u w i l l c r e a t e d o c u m e n t s f o r t h e A s p e n F a l l s C i t y

H a l l , w h i c h p r o v i d e s e s s e n t i a l s e r v i c e s f o r t h e c i t i z e n s a n d v i s i t o r s o f

A s p e n F a l l s , C a l i f o r n i a .

C o m m o n Features of Of f ice 2 0 1 0 • Microsoft Office is the most common software used to create and share

personal and business documents.

• Microsoft Office is a suite o f several programs—Word, PowerPoint, Excel, Access, and others—that each have a special purpose.

• Because of the consistent design and layout o f Microsoft Office, when you learn to use one Microsoft Office program, you can use most o f those skil ls when working wi th the other Microsoft Office programs.

• T h e files you create w i t h Microsoft Office need to be named and saved in locations where they can be easily found when you need them.

C o m m o n F e a t u r e s o f O f f i c e 2 0 1 0 | C o m m o n F e a t u r e s C h a p t e r 1

Time to complete all 10 skills – 50 to 90 minutes

Find your student data files here:

Student data files needed for this chapter:

« cf01_Visit

• cf01_Visit_Events

cfOl Visit River


• The Word 2010 program can be launched by clicking the Start button, and then locating and clicking the Microsoft Word 2010 command.

• When you start Word, a new blank document displays in which you can type text.

1. In the lower left corner of the desktop, click the Start button © .

2 . In the lower left corner of the Start menu, click the All Programs command, and then compare your screen with Figure 1 . –

The Microsoft Office folder is located in the All Programs folder. If you have several programs installed on your computer, you may need to scroll to see the Microsoft Office folder.

3 . Click the Microsoft Office folder, and then compare your screen with Figure 2. –

Below the Microsoft Office folder, commands that open various Office 2010 programs display.

4 . From the Start menu, under the Microsoft Office folder, click Microsoft Word 2010, and then wait a few moments for the Microsoft Word window to display.

5 . If necessary, in the upper right corner of the Microsoft Word window, click the Maximize button B| .

• C o n t i n u e t o t h e n e x t p a g e t o c o m p l e t e t h e s

6 Common Features of Office 2010 | Common Features Chapter 1


Ptttuin All Programs folder list

(your list will be different)

Microsoft Office folder

Start button Figure 1

Adobe Acrobat 70 Professional Q Adcbe Designer 7.0 C Dtftuft Program; 9. DesHoe Gadget Gallery tr Internet Eiplorer Cj Window; Anytime Upgrade | | Window! DVD 1 M B . i Window, Fu ind Son

Window, Media Center Q Window! Media Pla/cr ‘ : Window! Update — XPSVI | Accn


MOMSR Cflic SharePoi Startup

Microsoft Office folder

Office 2 0 1 0 programs (your

list may be different)

«•# Window! f a> and Sun • » Window, Media Center B Window! Media Player

Window! Update •4 XPS Viewer

l l l l l l l l l l Game!


Microsoft Office Aj Microsoft Access 2 0 1 0

• M.crcscfl tjcel 2 0 1 0 J3 • ‘ . – WoPath Dowgne. 2 0 1 0 X i r.l;rcsofl Inf cPaal FtCti M 0

N Microsoft OneNcle 2 0 1 0 0 MKicMfl Outlook 2 0 1 0

i_ Mjcroioft PowerPoint 2 3 1 0 _tj Microsoft Publnher 2 0 1 0 1 Microsoft SharePomt Workspace 21 4 lAcrcsoft Wort 2 0 1 0

Mcrosft Olf.ce 2 0 1 0 Tool!

M lhttp://Olf.ce

SKILL 1: Start Word and Navigate the Word Window

^ — — — i i !ni(rt fsgcUrrcut RefcuoM! M*!ingl P*.,f.> \

– CWtmlBon,. • u • A” A ‘ A.- ;=•!=•••> 51 “I V • A • c

AaBbCcOc AaBbCcCX AaBbCi A a B b C c r tioimil ‘ I no Sp»cl… Htadlng I Hf a&ng ? Cnarige

Ribbon tab E –

6 .

St)M» • -< * « ‘ « « •

J –

names h Home tab

– *

fewer! F>g*l»>©ul Rfffmnol ru . i – 3 : vuw f

C . r . » m ( H , . » , – » – A” A – A.- * • E – 1= ‘ * * )l U A a B b C c O < A»BbCcD( AaBbC. A . l B I . C l . ^A. t mi a • * • x. x ‘

•normal I Mo Saxi-. Mraamg 1 ; Hsasing: – Chlnga

* J f ir.3 –


SlyH.”- < S « » a ‘

.7 f jar. j

Youi-Namejfi •

Group names Paragraph mark and insertion point

Quick Access Toolbar

New blank Word document

Figure 3 Heading 1 thumbnail

Styles group Show/Hide button selected Insertion point and paragraph mark

Heading 1 formatting applied Home tab is active

7 .

8 .

9 .

On the Ribbon’s Home tab, in the Paragraph group, click the Show/Hide button H until it displays in gold indicating that it is active. Compare your screen with Figure 3 .

Above the blank Word document, the Quick Access Toolbar and Ribbon display. At the top of the Ribbon, a row of tab names display. Each Ribbon tab has buttons that you click to perform actions. The buttons are organized into groups that display their names along the bottom of the Ribbon.

In the document, the insertion point— a vertical line that indicates where text will be inserted when you start typing—flashes near the top left corner.

The Show/Hide button is a toggle button— a button used to turn a feature both on and off. The paragraph mark (f) indicates the end of a paragraph and will not print.

In the document, type your first and last names. As you type, notice that the insertion point and paragraph mark move to the right.

On the Home tab, in the Styles group, point to—but do not click—the Heading 1 thumbnail to show the Live Preview—a feature that displays the result of a formatting change if you select it.

Click the Heading 1 thumbnail to apply the formatting change as shown in Figure 4. If the Word Navigation Pane displays on the left side of the Word window, click its Close [*] button.

You have completed Skill 1 of 10

Figure 4 6 J 6 P M

C Z 3 / 2 3 1 2

Common Features Chapter 1 | Common Features of Office 2010 7

• When you open more than one Office program, each program displays in its own window.

• When you want to work with a program in a different window, you need to make it the active window.

1 . Click the Start button © , and then compare your screen with F i g u r e 1.

Your computer may be configured in such a way that you can open Office programs without opening the All Programs folder. The Office 2010 program commands may display as shortcuts in the Start menu’s pinned programs area or the recently used programs area. Your computer’s taskbar or desktop may also display icons that start each program.

2 . From the Start menu, locate and then click Microsoft Excel 2010. Depending on your computer, you may need to double-click—not single click—to launch Excel. Compare your screen with F i g u r e 2 . If necessary, click the Maximize – button mm\<

A new blank worksheet displays in a new window. The first cell—the box formed by the intersection of a row and column—is active as indicated by the thick, black border surrounding the cell. When you type in Excel, the text is entered into the active cell.

The Quick Access Toolbar displays above the spreadsheet. The Excel Ribbon has its own tabs and groups that you use to work with an Excel spreadsheet. Many of these tabs, groups, and buttons are similar to those found in Word.

On the taskbar, two buttons display—one for Word and one for Excel.

• C o n t i n u e t o t h e n e x t p a g e t o c o m p l e t e t h e s k i l l

8 C o m m o n F e a t u r e s o f O f f i c e 2 0 1 0 | C o m m o n F e a t u r e s C h a p t e r 1

Iciert * » c r l » – M l fttffrtrKci

» * * » * • l « • A* A” A J –

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3 . From the Start menu <PJ, locate and then click Microsoft PowerPoint 2010.

— Compare your screen with F i g u r e 3 . If necessary, Maximize N = M the Presentation 1 – Microsoft PowerPoint window.

A new, blank presentation opens in a new window. The PowerPoint window contains a slide in which you can type text. PowerPoint slides are designed to be displayed as you talk in front of a group of people.

4. In the upper right corner of the PowerPoint window, click the Close button fcgaj.

5. On the taskbar, click the Word button to make it the active window. With the insertion point flashing to the right of your name, press [Enter], and then type Skills for Success Common Features Chapter

6 . In the upper right corner of the Document 1 – Microsoft Word window, click the Minimize button

The Word window no longer displays, but its button is still available on the taskbar.

7 . With the Excel window active, in the first cell—cell A l — t y p e your first name. Press [Tab], and then type your last name.

Press (Enter), type =TODAY() and then press (Enter) to calculate the current date and to display it in the cell.

In the Excel window, click the Restore Down button |jSU and then compare your screen with F i g u r e 4.

The window remains open, but it no longer fills the entire screen. The Maximize button replaced the Restore Down button.

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8 .

9 .

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• SKILL 3: Sav<

• A new document or spreadsheet is stored in the computer ‘s temporary memory (RAM) until you save it to your hard drive or USB flash drive.

1 . If you are saving your work on a USB flash drive, insert the USB flash drive into the computer now. If the Windows Explorer button [3 flashes on the taskbar, right-click the button, and then on the Jump List, click Close window.

2 . On the taskbar, click the Word button to make it the active window. On the Quick Access Toolbar, click the Save button [y].

For new documents, the first time you click the Save button, the Save As dialog box opens so that you can name the file.

3 . If you are to save your work on a USB drive, in the Navigation pane scroll down to display the list of drives, and then click your USB flash drive as shown in F i g u r e 1 . If you are saving your work to another location, in the Navigation pane, locate and then click that folder or drive.

4. On the Save As dialog box toolbar, click the New folder button, and then immedi­ ately type Common Features Chapter 1

5 . Press [En te r ] to accept the folder name, and then press [En te r ] again to open the new folder as shown in F i g u r e 2 .

The new folder is created and then opened in the Save As dialog box file list.

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6. In the Save As dialog box, click in the File name box one time to highlight all of the existing text.

7. With the text in the File name box still highlighted, type Lastname_Firstname_ cfOl_Visitl

– 8 . Compare your screen with F i g u r e 3 , and then click Save.

After the document is saved, the name of the file displays on the title bar at the top of the window.

9 . On the taskbar, click the Windows Explorer button \^\. In the folder window Navigation pane, open [ft] the drive on which you are saving your work, and then click the Common Features Chapter 1 folder. Verify that Lastname_Firstname_ cpl_Visitl displays in file list.

1 0 . On the taskbar, click the Excel button to make it the active window. On the Excel Quick Access Toolbar, click the Save button § ] .

1 1 . In the Save As dialog box Navigation pane, open 0 the drive where you are saving your work, and then click the Common Features Chapter 1 folder to display its file list.

The Word file may not display because the Save As box typically displays only files created by the program you are using. Here, only Excel files will typically display.

1 2 . Click in the File name box, replace the existing value with Lastname_Firstname_ cf01_Visit2 and then click the Save button.

1 3 . On the taskbar, click the Windows Explorer button, and then compare your screen with F i g u r e 4.

Y o u h a v e c o m p l e t e d S k i l l 3 o f 1 0

F i g u r e 4

C o m m o n F e a t u r e s C h a p t e r 1 | C o m m o n F e a t u r e s o f O f f i c e 2 0 1 0 1 1

• SKILL 4: Print an.

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1 . O n t h e t a s k b a r , c l i c k t h e Excel b u t t o n , a n d t h e n c l i c k t h e Maximize |Uey b u t t o n .

2 . O n t h e R i b b o n , c l i c k t h e View tab, a n d t h e n i n t h e Workbook Views group, c l i c k t h e Page Layout b u t t o n . C o m p a r e y o u r s c r e e n w i t h F i g u r e 1 .

The worksheet displays the cells, the margins, and the edges of the paper as they will be positioned when you print. The cell references—the numbers on the left side and the letters across the top of a spreadsheet that address each cell—will not print.

O n t h e R i b b o n , c l i c k t h e Page Layout tab. I n t h e Page Setup group, c l i c k t h e Margins b u t t o n , a n d t h e n i n t h e Margins g a l l e r y , c l i c k Wide.

C l i c k t h e File tab, a n d t h e n o n t h e l e f t s i d e o f t h e B a c k s t a g e , c l i c k Print. C o m p a r e y o u r s c r e e n w i t h F i g u r e 2.

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The Print tab has commands that affect your print job and a preview of the printed page. Here, the cell references and grid- lines—lines between the cells in a table or spreadsheet—do not display because they will not be printed.

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6. Check with your Course Assignment Sheet or Course Syllabus, or consult with your instructor to determine whether you are to print your work for this chapter. If you are to print your work, at the top left corner of the Print Settings section, click the Print button. If you printed the spreadsheet, retrieve the printout from the printer.

7. On the File tab, click Save.

Because you have already named the file, the Save As dialog box does not display.

O n the File tab, click Exit to close the spreadsheet and exit Excel.

In the Word document, verify that the insertion point is in the second line of text. If not, on the taskbar, click the Word button to make it the active window.

10. On the Home tab, in the Styles group, click the Heading 2 thumbnail. Compare your screen with Figure 3.

11. On the File tab, click Print to display the Print tab. If you are printing your work for this chapter, click the Print button, and then retrieve your printout from the printer.

12. On the File tab, click Exit, and then com- pare your screen with Figure 4.

When you close a window with changes that have not yet been saved, a message will remind you to save your work.

13. Read the displayed message, and then click Save.

• You hove completed Skill 4 of 10

Figure 4 C o m m o n F e a t u r e s C h a p t e r 1 | C o m m o n F e a t u r e s o f O f f i c e 2010 1 3

• This book often instructs you to open a student data file so that you do not need to start the project with a blank document.

• The student data files are located on the student CD that came with this book. Your instructor may have provided an alternate location.

• You use Save As to create a copy of the stu­ dent data file onto your own storage device.

1 . If necessary, insert the student CD that came with this text. If the AutoPlay dialog box displays, click Close U a 4 .

2 . Using the skills practiced earlier, start Microsoft Word 2010.

3 . In the Documentl – Microsoft Word window, click the File tab, and then click Open.

4 . In the Open dialog box Navigation pane, scroll down and then, if necessary, open \V\ Computer. In the list of drives, click the CD/DVD drive to display the contents of the student CD. If your instructor has provided a different location, navigate to that location instead of using the student CD.

5. In the file list, double-click the 01_ student_data_files folder, double-click the 01_common_features folder, and then double-click the chapter_01 folder. Compare your screen with F i g u r e 1 . –

6. In the file list, click cf01_Visit, and then click the Open button. Compare your screen with F i g u r e 2 .

If you opened the file from the student CD, the title bar indicates that the document is in read-only mode—a mode where you cannot save your changes.

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7. If the document opens in Protected View, click the Enable Editing button.

Protected View is a view applied to documents downloaded from the Internet that allows you to decide if the content is safe before working with the document.

8 . Click the File tab, and then click Save As.

Because this file has already been saved with a name in a specific location, you need to use Save As to create a copy with a new name and location.

9. In the Save As dialog box Navigation pane, navigate to the C o m m o n Features Chapter 1 folder that you created previ­ ously—open 0 the drive on which you are saving your work, and then click the C o m m o n Features Chapter 1 folder.

1 0 . In the File n a m e box, replace the existing value with Lastname_Firstname_cf01_ Visit3 Be sure to use your own first and last names.

1 1 . Compare your screen with F i g u r e 3, and then click the Save button.

1 2 . On the title bar, notice the new file name displays and [Read-Only] no longer displays.

1 3 . On the taskbar, click the Windows Explorer button. Verify that the three files you have saved in this chapter display as shown in F i g u r e 4.

1 4 . In the Windows Explorer window, navigate to the s tudent CD, and then display the chapter_01 file list.

1 5 . Notice that the original student data file—cf01_Visit—is still located in the chapter_01 folder, and then Close the Windows Explorer window.

Y o u h o v e c o m p l e t e d S k i l l 5 o f 1 0

F i g u r e 4

C o m m o n F e a t u r e s C h a p t e r 1 | C o m m o n F e a t u r e s o f O f f i c e 2 0 1 0 1 5

• To edit is to insert text, delete text, or replace text in an Office document, spreadsheet, or presentation.

• To edit text, you need to position the insertion point at the desired location or select the text you want to replace.

1 . With the W o r d document as the active window, in the first line, click to the left of the word Aspen. Press (Bksp) 12 times to delete the words the City of. Be sure there is one space between each word as shown in F i g u r e 1 .

The Backspace key deletes one letter at a time moving from right to left.

2 . In the second line of the document, click to the left of the words The City of Aspen Falls. Press [ D e l e t e ] 12 times to delete the phrase The City of.

The Delete key deletes one letter at a time moving from left to right.

3 . In the line Area Attractions, double-click the word Area to select it. Type l o c a l and then compare your screen with F i g u r e 2 . —

When a word is selected, it is replaced by whatever you type next.

• Continue to the next page to complete the skill ̂

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SKILL 6: Type and Edit Text

4. Place the pointer approximately 1 inch to the left of the line Convention Center. When the [21 pointer displays as shown in

— F i g u r e 3, click one time.

Placing the pointer in the Selection bar and then clicking is a way to select an entire line with a single click. After selecting text, the Mini toolbar—a toolbar with common formatting buttons—may display briefly as you move the mouse.

5. With the entire line still selected, press [Delete) to delete the line.

6. On the Quick Access Toolbar, click the Undo button @ one time. Notice the Convention Center line displays again.

When you perform an incorrect action, clicking the Undo button often returns your document to its previous state.

7. At the end of the last line—Glider Tours— click between the last word and the para­ graph formatting mark (If). Press [Enter] to insert a new line.

8 . With the insertion point in the new line, type Contact Your Name for more information. Be sure to use your first and last names in place of Your and Name.

M Compare your screen with F i g u r e 4. 9. On the Quick Access Toolbar, click

Save Q .

When a document has already been saved with the desired name, click the Save button—the Save As dialog box is not needed.

M I N I T O O L B A R ( T H I S


O N Y O U R S C R E E N )



F I G U R E 3

• Y o u h a v e c o m p l e t e d S k i l l 6 o f 1 0


F I G U R E 4

C o m m o n F e a t u r e s C h a p t e r 1 | C O M M O N F E A T U R E S O F O F F I C E 2 0 1 0 1 7

»• The copy command places a copy of the selected text or object in the Clipboard— a temporary storage area that holds text or an object that has been cut or copied.

• You can move text by moving it to and from the Clipboard or by dragging the text.

1 . Click the File tab, and then click Open. In the Open dialog box, if necessary, navigate to the student files and display the contents of the chapter_01 folder. Click cft)l_Visit_Events, and then click Open.

2. On the right side of the Ribbon’s Home tab, in the Editing group, click the Select button, and then click Select All. Compare your screen with F i g u r e 1.

3 . With all of the document text selected, on the left side of the Home tab, in the Clipboard group, click the Copy button 0.

4 . In the upper right corner of the Word window, click Close l U o j . You do not need to save changes—you will not turn in this student data file.

5. In Lastname_Firstname_cf01_Visit3, click to place the insertion point to the left of the line that starts Contact Your Name.

6. On the Home tab, in the Clipboard group, point to—but do not click—the Paste button. Compare your screen with F i g u r e 2 .

cf01 _Visit_Events d o c u m e n t

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P a s t e b u t t o n — L j

P a s t e b u t t o n a r r o w

The Paste button has two parts—the upper half is the Paste button, and the lower half is the Paste button arrow. When you click the Paste button arrow, a list of paste options display.

Continue to the next page to complete the skill ^

18 C o m m o n F e a t u r e s o f O f f i c e 2 0 1 0 | C o m m o n F e a t u r e s C h a p t e r 1

I n s e r t i o n p o i n t

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F i g u r e 2 : * b E I V

SKILL 7: Cut, Copy, and Paste Text


• / D •

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P a s t e d t e x t

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8 .

9 .

7. Click the upper half of the Paste but ton to paste the selected text. Compare your

— screen with F i g u r e 3.

When you paste, you insert a copy of the text or object stored in the Clipboard and the Paste Options button displays near the pasted text.

Press [Esc] to hide the Paste Options button.

Scroll up to display the line Winter Blues Festival. Place the \T\ pointer to the left of the W, and then drag down and to the right to select two lines—Winter Blues Festival and Taste of Aspen Falls.

To drag is to move the mouse while holding down the left mouse button and then to release it at the appropriate time.

1 0 . On the Home tab, in the Clipboard group, click the Cut button 0.

The ait command removes the selected text or object and stores it in the Clipboard.

1 1 . Click to place the insertion point to the left of Contact Your Name, and then in the Clipboard group, click the Paste button to insert the text.

1 2 . Drag to select the text Taste of Aspen Falls, including the paragraph mark.

1 3 . With the [§] pointer, drag the selected text to the left of Winter Blues Festival. When the [¥] pointer displays to the left of Winter as shown in F i g u r e 4, release the mouse button.

1 4 . On the Quick Access Toolbar, click Save m.

• You have completed Skill 7 of 10

F i g u r e 4

C o m m o n F e a t u r e s C h a p t e r 1 | C o m m o n F e a t u r e s o f O f f i c e 2 0 1 0 1 9

• To format is to change the appearance of the text—for example, changing the text color to red.

> Before formatting text, you first need to select the text that will be formatted.

»• Once text is selected, you can apply formatting using the Ribbon or the Mini toolbar.

1 . Scroll to the top of the document, and then click anywhere in the first line, Visit Aspen Falls.

2. O n the Home tab, in the Styles group, click the Heading 1 thumbnail .

When no text is selected, the Heading 1 style is applied to the entire paragraph.

3 . Click in the paragraph, Local Attractions, and then in the Styles group, click the Heading 2 thumbnail . Click in the paragraph, Aspen Falls Annual Events, and then apply the Heading 2 style. Compare your screen with Figure 1.

4 . Drag to select the text Visit Aspen Falls! Immediately point to—but do not click— the Mini toolbar to display it as shown in Figure 2. If necessary, right-click the — selected text to display the Mini toolbar.

C o n t i n u e t o t h e n e x t p a g e t o c o m p l e t e t h e s k i l l >

Heading 1 applied

Heading 2 applied

Figure 1

Mini toolbar (your toolbar location may be different)

lome tnifrt Page layout

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• A s p e n -Fa l l s -Annua l – E v e n t s ?

Figure 2

2 0 C o m m o n F e a t u r e s o f O f f i c e 2 0 1 0 | C o m m o n F e a t u r e s C h a p t e r 1

SKILL 8: F< and Paragraphs

mm ” a w e d ^ P W ^ ” M I V t W H MeaVvgi »

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• / B • * • X. K 1 .. • * • • A • l i i l i : > – J _ – ‘normal MieSpaci… H.adingi Huang 2 .- J J J ‘ J W ^ 5,1,0-

A t W Find • A»BDCCO< AaBbcco< A a B b G A a B b C c . V \ ^ «.„ , , , „ Aspenf alls ovenool(S*hePacr'(C Deeanar.d-:s surrounded(jyrnanvvir-eyards^nav.ineft*s.Ocean

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• – • w « e T » « i J i g T o u n 1

• – WinerHi l

• – • Wordiworihf eHawshipa/useumofArtej

• – • Durargo<oun!ya/u ieumof«l«or i r<

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• – . Art-GafeneiT.

• – » Gilde?Tours«!

• A s p e n – F a l l s – A n n u a l – E v e n t s ?

• – » Annual»tarvingArtists-Sioewalk4alef

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F o n t s i z e

i n c r e a s e d

B u l l e t s a p p l i e d

F i g u r e 3

I n c r e a s e I n d e n t

b u t t o n

I n d e n t e d b u l l e t s

F i g u r e 4

5. On the Mini toolbar, click the Font Size arrow I” •[, and then from the list, click 28 to increase the size of the selected text.

6. Place the pointer approximately 1 inch to the left of the line Wine Country. When the SQ pointer displays, drag straight down. When all the lines between and including Wine Country and Glider Tours are selected, release the left mouse button.

7. On the Ribbon, in the Paragraph group, click the Bullets button IB-I and then compare your screen with F i g u r e 3.

8 . Click to the left of Annual Starving Artists Sidewalk Sale. Scroll down to display the bottom of the page. Press and hold [ S h i f t ] while clicking to the right of Winter Blues Festival to select all of the text between and including Annual Starving Artists Sidewalk Sale and Winter Blues Festival.

9. In the Paragraph group, click the Bullets button |B’L

1 0 . Scroll to the top of the document. Use either technique just practiced to select Wine Tasting Tours and Wineries.

1 1 . In the Paragraph group, click the Increase Indent button [*] one time. Compare your screen with F i g u r e 4.

1 2 . On the Quick Access Toolbar, click Save [H].

• Y o u h o v e c o m p l e t e d S k i l l 8 o f 1 0

C o m m o n F e a t u r e s C h a p t e r 1 | C o m m o n F e a t u r e s o f O f f i c e 2 0 1 0 2 1http://Visit-Aspen-Falls.il*http://vvmar.eshttp://ao-cv.ee

• SKILL 9: Use the Ribbon

• Each Ribbon tab contains commands organized into groups. Some tabs display only when a certain type of object is selected—a graphic, for example.

1. Press and hold [ C t r l ] , and then press [Homel to place the insertion point at the begin­ ning of the document.

2 . On the Ribbon, to the right of the Home tab, click the Insert tab. In the Illustrations group, click the Picture button.

3. In the Insert Picture dialog box, navigate as needed to display the contents of the student files in the chapter_01 folder. Click cf01_Visit_River, and then click the Insert button. Compare your screen with F i g u r e 1.

When a picture is selected, the Format tab displays below Picture Tools. On the Format tab, in the Picture Styles group, a gallery— a visual display of choices from which you can choose—displays thumbnails. The entire gallery can be seen by clicking the More button to the right and below the first row of thumbnails.

4. On the Format tab, in the Picture Styles group, click the More button 0 to display the Picture Styles gallery. In the gallery, point to the fourth thumbnail in the first row—Drop Shadow Rectangle—to display the ScreenTip as shown in F i g u r e 2 .

we do your essays write my book report writing a literature review

natural concepts are mental groupings created naturally through our ________.

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If you’re wondering why we’re bringing you a new edition of Psychology: Core Concepts . . .

1 In the new seventh edition, we feature new cutting-edge research on the neuroscience of social interaction, cul- tural influences on perception, daydreaming, taste, and meditation, as well as updates on bullying, the slower rise of IQ scores (the Flynn effect) in developed coun- tries, the myth of multitasking, and much more. We also introduce readers to a groundbreaking modification of Maslow’s famous hierarchy of needs, newly framed by evolutionary psychologists.

2 Our lead author Philip Zimbardo has recently published a detailed description and analysis of his famous Stanford Prison Experiment in The Lucifer Effect: Understanding How Good People Turn Evil. We are pleased to include in Psychology: Core Concepts some of the insights he presented in Lucifer—particularly the notion of the effect of impersonal social systems, as well as social situations, on human behavior. Ours is the only introductory text in which you will find a discussion of how these social systems, such as organizations and bureaucracies, create a context that can profoundly influence the behavior of groups and individuals.

3 Dr. Zimbardo has also done important new work on the differences among people in their time perspective, re- ferring to a focus on the past, the present, or the future. This text is the only introduction to psychology to dis- cuss the powerful influence of time perspective on our decisions and actions.

4 In this edition, Read on MyPsychLab icons appear in the margins indicating that additional readings are

available for students to explore. For example, one of the Read features in Chapter 3 (Sensation and Percep- tion) deals with the classic study of backward masking. In Chapter 12 (Disorders and Therapy), you can read more about an African perspective on mental disorder.

5 One of our goals in this new edition is, again, to help you learn to “think like psychologists.” To do so, we have placed new emphasis on two kinds of psychological think- ing: (1) problem solving and (2) critical thinking. Every chapter begins with a Problem and ends with a critical analysis of an important psychological question, such as gender differences or repressed memory.

6 We have made a special effort in the seventh edition to provide clues throughout the chapter to help you un- derstand the solution to the chapter-opening Problem— which proved to be a popular feature in the last edition. The Chapter Summary now gives a brief “answer” to the problem as well.

7 We have designed the Critical Thinking applications at the end of each chapter to build upon a set of critical thinking skills introduced in Chapter One. Each of these focuses on an issue that is popularly misunderstood (e.g., the Mozart Effect) or contentious within the field (e.g., the evidence- based practice debate within clinical psychology). In this edition, we have also included the gist of the Critical Thinking section in the Chapter Summary.

8 Reflecting advances in multicultural and cross-cultural research, we have added even more coverage of culture and gender throughout the text. Our goal here is two- fold: We want you to see the relevance of psychology in your life, and we want you to understand that psychol- ogy is the science of behavior and mental processes that both generalizes and differs across cultures.

Why Do You Need This New Edition?

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Philip G. Zimbardo Stanford University

Robert L. Johnson Umpqua Community College

Vivian McCann Portland Community College

Boston Columbus Indianapolis New York San Francisco Upper Saddle River

Amsterdam Cape Town Dubai London Madrid Milan Munich Paris

Montreal Toronto Delhi Mexico City São Paulo Sydney Hong Kong Seoul

Singapore Taipei Tokyo

Seventh Edition

Core Concepts

Student Edition ISBN-10: 0-205-18346-8

ISBN-13: 978-0-205-18346-3 Instructor’s Review Copy

ISBN-10: 0-205-21513-0 ISBN-13: 978-0-205-21513-3

Books à la Carte ISBN-10: 0-205-21505-X

ISBN-13: 978-0-205-21505-8

Editorial Director: Craig Campanella

Editor in Chief: Jessica Mosher

Executive Editor: Stephen Frail

Acquisitions Editor: Amber Chow

Director of Development: Sharon Geary

Senior Development Editor: Deb Hanlon

Editorial Assistant: Madelyn Schricker

VP, Director of Marketing: Brandy Dawson

Executive Marketing Manager: Jeanette Koskinas

Marketing Manager: Brigeth Rivera

Director of Project Management: Lisa Iarkowski

Managing Editor: Maureen Richardson

Project Manager, Production: Shelly Kupperman

Operations Supervisor: Mary Fischer

Senior Operations Specialist: Sherry Lewis

Art Director: Leslie Osher

Interior and Cover Designer: Ximena Tamvakopoulos

Cover Image: nikamataview/iStockphoto

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Printer/Binder: Courier Companies Inc.

Cover Printer: Lehigh-Phoenix

Text Font: SabonLTStd-Roman, 10/12

Credits and acknowledgments borrowed from other sources and reproduced, with permission, in this textbook appear on pages C-1–C-2.

Copyright © 2012, 2009, 2006 by Pearson Education, Inc.

All rights reserved. Printed in the United States of America. This publication is protected by Copyright and permission should be obtained from the

publisher prior to any prohibited reproduction, storage in a retrieval system, or transmission in any form or by any means, electronic, mechanical,

photocopying, recording, or likewise. To obtain permission(s) to use material from this work, please submit a written request to Pearson Education, Inc.,

Permissions Department, One Lake Street, Upper Saddle River, New Jersey 07458 or you may fax your request to 201-236-3290.

Library of Congress Cataloging-in-Publication Data

Zimbardo, Philip G.

Psychology : core concepts / Philip G. Zimbardo, Robert L. Johnson, Vivian McCann. — 7th ed.

p. cm.

Includes bibliographical references and index.

ISBN-13: 978-0-205-18346-3

ISBN-10: 0-205-18346-8

1. Psychology. I. Johnson, Robert L. (Robert Lee) II. McCann, Vivian. III. Title.

BF121.Z53 2012



1 0 9 8 7 6 5 4 3 2 1

1 Mind, Behavior, and Psychological Science 2 2 Biopsychology, Neuroscience, and Human Nature 40 3 Sensation and Perception 86 4 Learning and Human Nurture 132 5 Memory 170 6 Thinking and Intelligence 212 7 Development Over the Lifespan 264 8 States of Consciousness 322 9 Motivation and Emotion 362 10 Personality: Theories of the Whole Person 412 11 Social Psychology 458 12 Psychological Disorders 514 13 Therapies for Psychological Disorders 554 14 From Stress to Health and Well-Being 596 Glossary G-1 References R-1 Answers to Discovering Psychology Program Review Questions A-1 Photo Credits C-1 Name Index I-1 Subject Index I-7



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CHAPTER 1 Mind, Behavior, and Psychological Science 2

PROBLEM: How would psychologists test the claim that sugar makes children hyperactive? 3

1.1 What Is Psychology—And What Is It Not? 4 Psychology: It’s More Than You Think 4 Psychology Is Not Psychiatry 6 Thinking Critically about Psychology

and Pseudo-Psychology 7

PSYCHOLOGY MATTERS: Using Psychology to Learn Psychology 10

1.2 What Are Psychology’s Six Main Perspectives? 11 Separation of Mind and Body and the Modern Biological

Perspective 12 The Founding of Scientific Psychology and the Modern

Cognitive Perspective 13 The Behavioral Perspective: Focusing on Observable

Behavior 16

The Whole-Person Perspectives: Psychodynamic, Humanistic, and Trait and Temperament Psychology 17

The Developmental Perspective: Changes Arising from Nature and Nurture 19

The Sociocultural Perspective: The Individual in Context 19 The Changing Face of Psychology 20

PSYCHOLOGY MATTERS: Psychology as a Major 22

1.3 How Do Psychologists Develop New Knowledge? 23 Four Steps in the Scientific Method 24 Five Types of Psychological Research 27 Controlling Biases in Psychological Research 31 Ethical Issues in Psychological Research 32

PSYCHOLOGY MATTERS: The Perils of Pseudo-Psychology 33

CRITICAL THINKING APPLIED: Facilitated Communication 35

Chapter Summary 36 Discovering Psychology Viewing Guide 38

PROBLEM: What does Jill Bolte Taylor’s experience teach us about how our brain is organized and about its amazing ability to adapt? 42

2.1 How Are Genes and Behavior Linked? 43 Evolution and Natural Selection 43 Genetics and Inheritance 45

PSYCHOLOGY MATTERS: Choosing Your Children’s Genes 48

2.2 How Does the Body Communicate Internally? 49 The Neuron: Building Block of the Nervous System 50 The Nervous System 56 The Endocrine System 58

PSYCHOLOGY MATTERS: How Psychoactive Drugs Affect the Nervous System 60

2.3 How Does the Brain Produce Behavior and Mental Processes? 62 Windows on the Brain 63 Three Layers of the Brain 65 Lobes of the Cerebral Cortex 69 Cerebral Dominance 73

PSYCHOLOGY MATTERS: Using Psychology to Learn Psychology 79

CRITICAL THINKING APPLIED: Left Brain versus Right Brain 80

Chapter Summary 81 Discovering Psychology Viewing Guide 84

CHAPTER 2 Biopsychology, Neuroscience, and Human Nature 40

CHAPTER 3 Sensation and Perception 86

PROBLEM: Is there any way to tell whether the world we “see” in our minds is the same as the external world—and whether we see things as most others do? 88

3.1 How Does Stimulation Become Sensation? 89 Transduction: Changing Stimulation to Sensation 90 Thresholds: The Boundaries of Sensation 91 Signal Detection Theory 93

PSYCHOLOGY MATTERS: Sensory Adaptation 93

3.2 How Are the Senses Alike? How Are They Different? 94 Vision: How the Nervous System Processes Light 94 Hearing: If a Tree Falls in the Forest . . . 100 How the Other Senses Are Like Vision and Hearing 104 Synesthesia: Sensations across the Senses 108

PSYCHOLOGY MATTERS: The Sense and Experience of Pain 109

3.3 What Is the Relationship between Sensation and Perception? 112 Perceptual Processing: Finding Meaning in Sensation 112 Perceptual Ambiguity and Distortion 114 Theoretical Explanations for Perception 117 Seeing and Believing 124

PSYCHOLOGY MATTERS: Using Psychology to Learn Psychology 125

CRITICAL THINKING APPLIED: Subliminal Perception and Subliminal Persuasion 126

Chapter Summary 128 Discovering Psychology Viewing Guide 130 vii

viii C O N T E N T S

CHAPTER 4 Learning and Human Nurture 132

PROBLEM: Assuming Sabra’s fear of flying was a response she had learned, could it also be treated by learning? If so, how? 134

4.1 What Sort of Learning Does Classical Conditioning Explain? 136 The Essentials of Classical Conditioning 137 Applications of Classical Conditioning 139

PSYCHOLOGY MATTERS: Taste Aversions and Chemotherapy 142

4.2 How Do We Learn New Behaviors By Operant Conditioning? 142 Skinner’s Radical Behaviorism 143 The Power of Reinforcement 143 The Problem of Punishment 149 A Checklist for Modifying Operant Behavior 152 Operant and Classical Conditioning Compared 153

PSYCHOLOGY MATTERS: Using Psychology to Learn Psychology 155

4.3 How Does Cognitive Psychology Explain Learning? 156 Insight Learning: Köhler in the Canaries with Chimps 157 Cognitive Maps: Tolman Finds Out What’s on a

Rat’s Mind 158 Observational Learning: Bandura’s Challenge to

Behaviorism 159 Brain Mechanisms and Learning 161 “Higher” Cognitive Learning 162

PSYCHOLOGY MATTERS: Fear of Flying Revisited 162

CRITICAL THINKING APPLIED: Do Different People Have Different “Learning Styles”? 164

Chapter Summary 166 Discovering Psychology Viewing Guide 168

CHAPTER 5 Memory 170

PROBLEM: How can our knowledge about memory help us evaluate claims of recovered memories? 172

5.1 What Is Memory? 172 Metaphors for Memory 173 Memory’s Three Basic Tasks 174

PSYCHOLOGY MATTERS: Would You Want a “Photographic” Memory? 175

5.2 How Do We Form Memories? 177 The First Stage: Sensory Memory 178 The Second Stage: Working Memory 180 The Third Stage: Long-Term Memory 184

PSYCHOLOGY MATTERS: “Flashbulb” Memories: Where Were You When . . . ? 189

5.3 How Do We Retrieve Memories? 190 Implicit and Explicit Memory 190 Retrieval Cues 191 Other Factors Affecting Retrieval 193

PSYCHOLOGY MATTERS: On the Tip of Your Tongue 194

5.4 Why Does Memory Sometimes Fail Us? 195 Transience: Fading Memories Cause Forgetting 196 Absent-Mindedness: Lapses of Attention Cause

Forgetting 198 Blocking: Access Problems 198 Misattribution: Memories in the Wrong Context 199 Suggestibility: External Cues Distort or Create Memories 200 Bias: Beliefs, Attitudes, and Opinions Distort Memories 201 Persistence: When We Can’t Forget 202 The Advantages of the “Seven Sins” of Memory 202 Improving Your Memory with Mnemonics 203

PSYCHOLOGY MATTERS: Using Psychology to Learn Psychology 204

CRITICAL THINKING APPLIED: The Recovered Memory Controversy 206

Chapter Summary 207 Discovering Psychology Viewing Guide 210

C O N T E N T S ix

CHAPTER 7 Development Over the Lifespan 264

PROBLEM: Do the amazing accounts of similarities in twins reared apart indicate we are primarily a product of our genes? Or do genetics and environment work together to influence growth and development over the lifespan? 266

7.1 What Innate Abilities Does the Infant Possess? 268 Prenatal Development 268 The Neonatal Period: Abilities of the Newborn Child 269 Infancy: Building on the Neonatal Blueprint 271

PSYCHOLOGY MATTERS: Not Just Fun and Games: The Role of Child’s Play in Life Success 277

7.2 What Are the Developmental Tasks of Childhood? 279 How Children Acquire Language 279 Cognitive Development: Piaget’s Theory 282 Social and Emotional Development 288


7.3 What Changes Mark the Transition of Adolescence? 296 Adolescence and Culture 296

Physical Maturation in Adolescence 297 Adolescent Sexuality 298 Neural and Cognitive Development in Adolescence 299 Moral Development: Kohlberg’s Theory 300 Social and Emotional Issues in Adolescence 302

PSYCHOLOGY MATTERS: Using Psychology to Learn Psychology: Cognitive Development in College Students 304

7.4 What Developmental Challenges Do Adults Face? 305 Early Adulthood: Explorations, Autonomy, and Intimacy 306 The Challenges of Midlife: Complexity and Generativity 308 Late Adulthood: The Age of Integrity 310

PSYCHOLOGY MATTERS: A Look Back at the Jim Twins and Your Own Development 313


Chapter Summary 316 Discovering Psychology Viewing Guide 320

CHAPTER 6 Thinking and Intelligence 212

PROBLEM: What produces “genius,” and to what extent are the people we call “geniuses” different from others? 214

6.1 What Are the Components of Thought? 215 Concepts 215 Imagery and Cognitive Maps 217 Thought and the Brain 218 Intuition 219

PSYCHOLOGY MATTERS: Schemas and Scripts Help You Know What to Expect 221

6.2 What Abilities Do Good Thinkers Possess? 223 Problem Solving 223 Judging and Making Decisions 227 Becoming a Creative Genius 229

PSYCHOLOGY MATTERS: Using Psychology to Learn Psychology 232

6.3 How Is Intelligence Measured? 233 Binet and Simon Invent a School Abilities Test 234 American Psychologists Borrow Binet and Simon’s Idea 235 Problems with the IQ Formula 236 Calculating IQs “on the Curve” 237 IQ Testing Today 238

PSYCHOLOGY MATTERS: What Can You Do for an Exceptional Child? 239

6.4 Is Intelligence One or Many Abilities? 242 Psychometric Theories of Intelligence 242 Cognitive Theories of Intelligence 243 The Question of Animal Intelligence 247

PSYCHOLOGY MATTERS: Test Scores and the Self-Fulfilling Prophecy 249

6.5 How Do Psychologists Explain IQ Differences Among Groups? 250 Intelligence and the Politics of Immigration 251 What Evidence Shows That Intelligence Is Influenced

by Heredity? 251 What Evidence Shows That Intelligence is Influenced

by Environment? 252 Heritability (Not Heredity) and Group Differences 253 PSYCHOLOGY MATTERS: Stereotype Threat 256

CRITICAL THINKING APPLIED: The Question of Gender Differences 258

Chapter Summary 259 Discovering Psychology Viewing Guide 262

CHAPTER 8 States of Consciousness 322

PROBLEM: How can psychologists objectively examine the worlds of dreaming and other subjective mental states? 324

8.1 How Is Consciousness Related to Other Mental Processes? 324 Tools for Studying Consciousness 326 Models of the Conscious and Nonconscious Minds 327 What Does Consciousness Do for Us? 329 Coma and Related States 330

PSYCHOLOGY MATTERS: Using Psychology to Learn Psychology 331

8.2 What Cycles Occur in Everyday Consciousness? 332 Daydreaming 332

Sleep: The Mysterious Third of Our Lives 333 Dreaming: The Pageants of the Night 338

PSYCHOLOGY MATTERS: Sleep Disorders 341

8.3 What Other Forms Can Consciousness Take? 344 Hypnosis 345 Meditation 347 Psychoactive Drug States 348

PSYCHOLOGY MATTERS: Dependence and Addiction 354

CRITICAL THINKING APPLIED: The Unconscious—Reconsidered 356

Chapter Summary 358 Discovering Psychology Viewing Guide 360

x C O N T E N T S

CHAPTER 10 Personality: Theories of the Whole Person 412

PROBLEM: What influences were at work to produce the unique behavioral patterns, high achievement motivation, and consistency over time and place that we see in the personality of Mary Calkins? 414

10.1 What Forces Shape Our Personalities? 415 Biology, Human Nature, and Personality 416 The Effects of Nurture: Personality and the Environment 416 The Effects of Nature: Dispositions and Mental

Processes 417 Social and Cultural Contributions to Personality 417 PSYCHOLOGY MATTERS: Explaining Unusual People

and Unusual Behavior 418

10.2 What Persistent Patterns, or Dispositions, Make Up Our Personalities? 420

Personality and Temperament 421 Personality as a Composite of Traits 422 PSYCHOLOGY MATTERS: Finding Your Type 426

10.3 Do Mental Processes Help Shape Our Personalities? 428 Psychodynamic Theories: Emphasis on Motivation

and Mental Disorder 428

Humanistic Theories: Emphasis on Human Potential and Mental Health 439

Social-Cognitive Theories: Emphasis on Social Learning 442

Current Trends: The Person in a Social System 445 PSYCHOLOGY MATTERS: Using Psychology to Learn

Psychology 445

10.4 What “Theories” Do People Use to Understand Themselves and Others? 447

Implicit Personality Theories 447 Self-Narratives: The Stories of Our Lives 448 The Effects of Culture on Our Views of Personality 449 PSYCHOLOGY MATTERS: The Personality of Time 450

CRITICAL THINKING APPLIED: The Person–Situation Controversy 453

Chapter Summary 454 Discovering Psychology Viewing Guide 456

CHAPTER 9 Motivation and Emotion 362

PROBLEM: Motivation is largely an internal and subjective process: How can we determine what motivates people like Lance Armstrong to work so hard at becoming the best in the world at what they do? 364

9.1 What Motivates Us? 364 Why People Work: McClelland’s Theory 365 The Unexpected Effects of Rewards on Motivation 367 PSYCHOLOGY MATTERS: Using Psychology to Learn

Psychology 368

9.2 How Are Our Motivational Priorities Determined? 369 Instinct Theory 369 Drive Theory 370 Freud’s Psychodynamic Theory 371 Maslow’s Hierarchy of Needs 372 Putting It All Together: A New Hierarchy of Needs 373

PSYCHOLOGY MATTERS: Determining What Motivates Others 374

9.3 Where Do Hunger and Sex Fit into the Motivational Hierarchy? 375 Hunger: A Homeostatic Drive and a Psychological

Motive 376 The Problem of Will Power and Chocolate Cookies 379

Sexual Motivation: An Urge You Can Live Without 380 Sex, Hunger, and the Hierarchy of Needs 384

PSYCHOLOGY MATTERS: The What and Why of Sexual Orientation 385

9.4 How Do Our Emotions Motivate Us? 387 What Emotions Are Made Of 388 What Emotions Do for Us 389 Counting the Emotions 389 Cultural Universals in Emotional Expression 390

PSYCHOLOGY MATTERS: Gender Differences in Emotion Depend on Biology and Culture 391

9.5 What Processes Control Our Emotions? 392 The Neuroscience of Emotion 393 Arousal, Performance, and the Inverted U 396 Theories of Emotion: Resolving Some Old Issues 397 How Much Conscious Control Do We Have Over Our

Emotions? 399

PSYCHOLOGY MATTERS: Detecting Deception 403

CRITICAL THINKING APPLIED: Do Lie Detectors Really Detect Lies? 405

Chapter Summary 407 Discovering Psychology Viewing Guide 410

C O N T E N T S xi

CHAPTER 11 Social Psychology 458

PROBLEM: What makes ordinary people willing to harm other people, as they did in Milgram’s shocking experiment? 461

11.1 How Does the Social Situation Affect Our Behavior? 462 Social Standards of Behavior 463 Conformity 465 Obedience to Authority 471 Cross-Cultural Tests of Milgram’s Research 475 Some Real-World Extensions of the Milgram Obedience

to Authority Paradigm 477 The Bystander Problem: The Evil of Inaction 478 Need Help? Ask for It! 480

PSYCHOLOGY MATTERS: On Being “Shoe” at Yale U 482

11.2 Constructing Social Reality: What Influences Our Judgments of Others? 483 Interpersonal Attraction 484 Loving Relationships 488

Making Cognitive Attributions 490 Prejudice and Discrimination 492

PSYCHOLOGY MATTERS: Stereotype Lift and Values Affirmations 498

11.3 How Do Systems Create Situations That Influence Behavior? 500 The Stanford Prison Experiment 500 Chains of System Command 502 Preventing Bullying by Systematic Changes and Reframing 504

PSYCHOLOGY MATTERS: Using Psychology to Learn Psychology 507

CRITICAL THINKING APPLIED: Is Terrorism “a Senseless Act of Violence, Perpetrated by Crazy Fanatics”? 508

Chapter Summary 510 Discovering Psychology Viewing Guide 512

PROBLEM: Is it possible to distinguish mental disorder from merely unusual behavior? That is, are there specific signs that clearly indicate mental disorder? 516

12.1 What Is Psychological Disorder? 517 Changing Concepts of Psychological Disorder 518 Indicators of Abnormality 521 A Caution to Readers 522

PSYCHOLOGY MATTERS: The Plea of Insanity 522

12.2 How Are Psychological Disorders Classified in the DSM-IV ? 524 Overview of the DSM-IV Classification System 524 Mood Disorders 526 Anxiety Disorders 530 Somatoform Disorders 534 Dissociative Disorders 535 Schizophrenia 537

Developmental Disorders 541 Personality Disorders 542 Adjustment Disorders and Other Conditions: The Biggest

Category of All 544 Gender Differences in Mental Disorders 544


12.3 What Are the Consequences of Labeling People? 545 Diagnostic Labels, Labeling, and Depersonalization 546 The Cultural Context of Psychological Disorder 546

PSYCHOLOGY MATTERS: Using Psychology to Learn Psychology 547

CRITICAL THINKING APPLIED: Insane Places Revisited—Another Look at the Rosenhan Study 548

Chapter Summary 550 Discovering Psychology Viewing Guide 552

CHAPTER 12 Psychological Disorders 514

xii C O N T E N T S

Glossary G-1 References R-1 Answers to Discovering Psychology Program Review Questions A-1 Photo Credits C-1 Name Index I-1 Subject Index I-7

CHAPTER 14 From Stress to Health and Well-Being 596

PROBLEM: Were the reactions and experiences of the 9/11 firefighters and others at the World Trade Center attacks typical of people in other stressful situations? And what factors explain individual differences in our physical and psychological responses to stress? 598

14.1 What Causes Distress? 600 Traumatic Stressors 601 Chronic Stressors 606

PSYCHOLOGY MATTERS: Student Stress 611

14.2 How Does Stress Affect Us Physically? 613 Physiological Responses to Stress 614 Stress and the Immune System 617

PSYCHOLOGY MATTERS: Cognitive Appraisal of Ambiguous Threats 619

14.3 Who Is Most Vulnerable to Stress? 620 Type A Personality and Hostility 622 Locus of Control 623 Hardiness 624

Optimism 625 Resilience 626

PSYCHOLOGY MATTERS: Using Psychology to Learn Psychology 628

14.4 How Can We Transform Negative Stress Into Positive Life Strategies? 629 Psychological Coping Strategies 630 Positive Lifestyle Choices: A “Two-for-One” Benefit to Your

Health 634 Putting It All Together: Developing Happiness and Subjective

Well-Being 637

PSYCHOLOGY MATTERS: Behavioral Medicine and Health Psychology 639

CRITICAL THINKING APPLIED: Is Change Really Hazardous to Your Health? 641

Chapter Summary 643 Discovering Psychology Viewing Guide 646

CHAPTER 13 Therapies for Psychological Disorders 554

PROBLEM: What is the best treatment for Derek’s depression: psychological therapy, drug therapy, or both? More broadly, the problem is this: How do we decide among the available therapies for any of the mental disorders? 556

13.1 What Is Therapy? 556 Entering Therapy 557 The Therapeutic Alliance and the Goals of Therapy 557 Therapy in Historical and Cultural Context 559

PSYCHOLOGY MATTERS: Paraprofessionals Do Therapy, Too 560

13.2 How Do Psychologists Treat Psychological Disorders? 561 Insight Therapies 562 Behavior Therapies 568 Cognitive–Behavioral Therapy: A Synthesis 571 Evaluating the Psychological Therapies 574

PSYCHOLOGY MATTERS: Where Do Most People Get Help? 576

13.3 How Is the Biomedical Approach Used to Treat Psychological Disorders? 577 Drug Therapy 577

Other Medical Therapies for Psychological Disorders 581 Hospitalization and the Alternatives 583

PSYCHOLOGY MATTERS: What Sort of Therapy Would You Recommend? 584

13.4 How Do the Psychological Therapies and Biomedical Therapies Compare? 585 Depression and Anxiety Disorders: Psychological versus

Medical Treatment 587 Schizophrenia: Psychological versus Medical

Treatment 587 “The Worried Well” and Other Problems: Not Everyone Needs

Drugs 588

PSYCHOLOGY MATTERS: Using Psychology to Learn Psychology 588

CRITICAL THINKING APPLIED: Evidence-Based Practice 589

Chapter Summary 592 Discovering Psychology Viewing Guide 594

P R E FA C E xiii

T O T H E S T U D E N T . . .

There is one simple formula for academic success, and the following demonstration will show you what it is. Study this array of letters for a few seconds: I B M U F O F B I C I A

Now, without peeking, write down as many of the letters as you can (in the correct order).

Most people remember about five to seven letters correctly. A few people get them all. How do these exceptional few do it? They find a pattern. (You may have noticed some familiar initials in the array above: IBM, UFO, FBI, CIA.) Finding the pattern greatly eases the task because you can draw on material that is already stored in mem- ory. In this case, all that needs to be remembered are four “chunks” of information instead of 12 unrelated letters.

The same principle applies to material you study for your psychology class. If you try to remember each piece of information as a separate item, you will have a difficult time. But if instead you look for patterns, you will find your task greatly simplified— and much more enjoyable.

USING PSYCHOLOGY TO LEARN PSYCHOLOGY So, how can you identify the patterns? Your friendly authors have developed several learning features that will make meaningful patterns in the text stand out clearly:

Core Concepts We have organized each major section of every chapter around a single big idea called a Core Concept. For example, one of the four Core Concepts in Chapter 5, Memory, says:

Core Concept 5.4 Human memory is an information-processing system that works constructively to encode, store, and retrieve information.

The Core Concept, then, becomes the central theme around which about 10 pages of material—including several new terms—are organized. As you read each chapter, keep- ing the Core Concept in mind will help you encode the new terms and ideas related to that concept, store them in your memory, and later retrieve them when you are being tested. To borrow an old saying, the Core Concepts become the “forest,” while the details of the chapter become the “trees.”

Key Questions Each Core Concept is introduced by a Key Question that also serves as a main heading in the chapter. Here, for example, is a Key Question from the Memory chapter:

5.4 KEY QUESTION Why Does Memory Sometimes Fail Us?

Key Questions such as this will help you anticipate the most important point, or the Core Concept, in the section. In fact, the Core Concept always provides a brief answer to the Key Question. Think of the Key Question as the high beams on your car, helping


xiv T O T H E S T U D E N T

you focus on what lies ahead. Our Key Questions should also serve as guides for you in posing questions of your own about what you are reading.

Both the Key Questions and the Core Concepts later reappear as organizing fea- tures of the Chapter Summary.

Psychology Matters Psychology has many captivating connections with events in the news and in everyday life, and we have explored one of these connections at the end of each major section in every chapter. To illustrate, here are some examples from the Memory chapter:

• Would You Want a “Photographic” Memory? • “Flashbulb” Memories: Where Were You When . . . ? • On the Tip of Your Tongue

Such connections—practical, down to earth, and fascinating—will help you link your study of psychology with your real-life experiences. They will also help you critically evaluate many of the psychological ideas you encounter in the media—as when you see news stories that begin with “psychological research shows that . . .” By the end of this course, you will become a much wiser consumer of such information.

Psychology Matters: Using Psychology to Learn Psychology A special Psychology Matters section in every chapter explains how you can apply new knowledge from the chapter to make your studying more effective. For example, in Chapter 2, Biopsychology, Neuroscience, and Human Nature, we tell you how to put your understanding of the brain to work for more efficient learning. Similarly, at the end of Chapter 9, Motivation and Emotion, we explain how to use the psychological concept of “flow” to boost your academic motivation. Thus, Using Psychology to Learn Psychology not only reinforces points that you have studied but also brings the material home with immediate and practical applications to your life in college.

Do It Yourself! Throughout the book we have scattered active-learning demonstrations like the one in which you were asked to memorize the letters I B M U F O F B I C I A. Besides being fun, these activities have the serious purpose of illustrating important principles discussed in the text. In Chapter 5, for example, one Do It Yourself! box helps you find the capacity of your short-term memory; another lets you test your “photographic memory” ability.

Check Your Understanding Whether you’re learning psychology, soccer, or the saxophone, you need feedback on your progress, and that’s exactly what you will get from the Check Your Understanding quizzes. These quizzes appear at the end of every major section in the chapter, offering you a quick checkup indicating whether you have assimilated the main points from what you have read. Some questions call for simple recall; others call for deeper analysis or application of material. Some are multiple- choice questions; some are short-answer essay questions. These exercises will help you determine how well you have mastered the material.

MyPsychLab Integration Throughout the text, you will find marginal icons that link to important videos, simulations, podcasts, and activities you can find on MyPsychLab. New to this edition, we have developed reading activities (called Read on MyPsychLab) that will allow you to explore interesting topics more deeply. There are many more resources on MyPsychLab than those highlighted in the text, but the icons draw attention to some of the most high-interest materials. If you did not receive an access code with your text, you can purchase access at

Connection Arrows Links to important topics discussed in other chapters are often cross-referenced with an arrow in the margin, as you can see in the sample here. These links will help you integrate your new knowledge with information you have already learned, or will show you where in a later chapter you can find out more

Study and Review at MyPsychLab

Read the Document at MyPsychLab

Simulate the Experiment at MyPsychLab

Explore the Concept at MyPsychLab

Watch the Video at MyPsychLab

Listen to the Podcast at

T O T H E S T U D E N T xv

about what you are reading. Connecting these concepts in your mind will help you remember them.

Marginal Glossary The most important terms appear in boldface, with their glossary definitions readily accessible in the margin. We list these key terms again in the Chapter Summary. Then, at the end of the book, a comprehensive Glossary gathers together all the key terms and definitions from each chapter in one easy-to-find location.

Chapter Summaries We have written our Chapter Summaries to provide you with an overview of main points in each chapter—to help you preview and review the chapter. The summaries are organized around the Key Questions and Core Concepts introduced within the chapter to facilitate review and mastery of chapter material. But we offer one caution: Reading the Chapter Summary will not substitute for reading the entire chapter! Here’s a helpful hint: We recommend that you read the summary before you read the rest of the chapter to get a flavor of what’s ahead, then reread the summary after you finish the chapter. Reading the summary before will provide a framework for the material so that it can be more easily encoded and stored in your memory. And, naturally, reviewing the summary after reading the chapter will reinforce what you have just learned so that you can retrieve it when needed on an examination.

THINKING LIKE A PSYCHOLOGIST Learning all the facts and definitions of psychology won’t make you a psychologist. Beyond the facts, thinking like a psychologist requires learning some problem-solving skills and critical thinking techniques that any good psychologist should possess. With this goal in mind, we have added two unique features to this book.

Chapter-Opening Problems Each chapter begins with an important problem that you will learn how to solve with the tools you acquire in your reading. Examples of the chapter- opening problems include testing the claim that sweet treats give children a “sugar high,” evaluating claims of recovered memories, and judging the extent to which the people we call “geniuses” are different from the rest of us.

Critical Thinking Applied At the end of each chapter, you will be asked to consider issues disputed among psychologists and issues raised in the media, such as the nature of the unconscious mind and the effects of subliminal persuasion. Each of these issues requires a skeptical attitude and the application of a special set of critical thinking skills that we will introduce in Chapter 1.

DISCOVERING PSYCHOLOGY VIDEOS At the end of each chapter, you will notice viewing guides for Discovering Psychology, a 26-part video series produced by WGBH and Annenberg Media and narrated by the lead author of this textbook, Phil Zimbardo. The videos provide an overview of his- toric and current theories of human behavior and feature many of the researchers and studies introduced in this textbook. You can access the Discovering Psychology videos and additional viewing resources through MyPsychLab (, the online companion to this textbook.

We have one final suggestion to help you succeed in psychology: This book is filled with examples to illustrate the most important ideas, but you will remember these ideas longer if you generate your own examples as you study. This habit will make the information yours as well as ours. And so we wish you a memorable journey through the field we love.

Phil Zimbardo Bob Johnson


T O T H E I N S T R U C T O R . . .

Psychology has undergone remarkable changes since 2008, when we finished writing the previous edition of Psychology: Core Concepts. Here are just a few examples of the new developments we have included in this seventh edition:

• The brain’s “default network,” involving parts of the temporal lobe, the prefrontal cortex, and the cingulate cortex, becomes active when people focus their attention internally—when they are remembering personal events, making plans, or imagin- ing the perspectives of others. Unfortunately, daydreamers activating this default network while studying will probably not remember the material they have just studied.

• New research shows that analgesics such as Tylenol, normally used to treat physical pain, can reduce the painful psychological sensations resulting from social rejection and ruminating about unhappy relationships.

• Also in the realm of sensation, taste researcher Linda Bartoshuk has discovered a “Rosetta Stone,” enabling her to compare objectively the intensities of taste sensations experienced by different individuals.

• Meanwhile, perceptual psychologists have recently used brain scans to confirm the assertion that Americans and Asians perceive scenes differently.

• Brain scans have also enabled researchers to assess patients who have been classi- fied as in persistent vegetative states—and predict which ones might improve.

• In healthy individuals, scans have detected changes in the brains of volunteers who have undergone intensive training in meditation. The changes are most obvious in brain areas associated with memory, emotional processing, attention, and stress reduction.

• As cognitive psychologists continue to puzzle over the Flynn effect, IQ scores con- tinue to rise—but new studies show that the rise is slowing in developed countries of the West.

• Cognitive research also shows that one in four auto accidents results from the driver failing to notice hazardous conditions while using a cell phone—a bad decision probably deriving from a mistaken belief in multitasking. (Perhaps future research will determine whether the IQs of these drivers fall above or below the rising average.)

• New research by our own Phil Zimbardo shows that decisions can also be influenced by a personality trait that he calls time perspective—referring to a past, present, or future orientation.

• However, the ultimate influence on our decisions lies in natural selection, accord- ing to evolutionary psychologists—who have recently proposed a major new and controversial modification of Maslow’s famous hierarchy of needs.

In all, we have included some 350 new references in this new edition—gleaned from literally thousands we have perused. Which is to say that psychological knowledge continues to grow, with no end in sight. As a result, many introductory textbooks have grown to daunting proportions. Meanwhile, our introductory courses remain the same length—with the material ever more densely packed. We cannot possibly introduce students to all the concepts in psychology, nor can our students possibly remember everything.

The problem is not just one of volume and information overload; it is also a prob- lem of meaningfulness. So, while we have aimed to cover less detail than do the more encyclopedic texts, we have not given you a watered-down “brief edition” book. The result is an emphasis on the most important and meaningful ideas in psychology.


T O T H E I N S T R U C T O R xvii

Our inspiration for Psychology: Core Concepts came from psychological research: specifically, a classic study of chess players by Dutch psychologist and chess master Adriaan de Groot (1965). His work, as you may recall, involved remembering the locations of pieces on a chessboard. Significantly, when the pieces were placed on the board at random, chess experts did no better than novices. Only when the pat- terns made sense—because they represented actual game situations—did the experts show an advantage. Clearly, meaningful patterns are easier to remember than random assignments.

In applying de Groot’s findings to Psychology: Core Concepts, our goal has been to present a scientific overview of the field of psychology within meaningful patterns that will help students better remember what they learn so that they can apply it in their own lives. Thus, we have organized each major section of every chapter around a single, clear idea that we call a Core Concept, which helps students focus on the big picture so they don’t become lost in the details.

From the beginning, our intention in writing Psychology: Core Concepts has been to offer students and instructors a textbook that combines a sophisticated introduc- tion to the field of psychology with pedagogy that applies the principles of psychology to the learning of psychology, all in a manageable number of pages. Even with all the new material we have included, the book remains essentially the same size—which, of course, meant making some tough decisions about what to include, what to delete, and what to move into our extensive collection of ancillary resources.

Our goal was to blend great science with great teaching and to provide an alter- native to the overwhelmingly encyclopedic tomes or skimpy “brief edition” texts that have been traditionally offered. We think you will like the introduction to psychol- ogy presented in this book—both the content and the pedagogical features. After all, it’s a text that relies consistently on well-grounded principles of psychology to teach psychology.

NEW TO THIS EDITION This edition of Psychology: Core Concepts is certainly no perfunctory revision or slap- dash update. And here’s why . . .

We have reconceptualized our goal of helping students learn to “think like psychologists.” These days, of course, everyone emphasizes critical thinking. The new edition of Psychology: Core Concepts, however, gives equal weight to that other essen- tial thinking skill: problem solving.

To encourage the sort of problem solving psychologists do, every chapter begins with a Problem, a feature we introduced in the last edition. The Problem grows out of the opening vignette and requires, for its solution, material developed in the chapter. In this edition, we have focused on helping readers discover, throughout each chapter, the “clues” that lead to the solution of the problem.

But we have not neglected critical thinking. Throughout the text, we deal with common psychological misconceptions—such as the notion that venting anger gets it “out of your system” or the belief that punishment is the most effective way of chang- ing behavior. And in our Critical Thinking Applied segment at the end of each chapter, we also focus on an important psychological issue in the popular media or an ongoing debate within the field:

• Can “facilitated communication” help us understand people with autism? • Left vs. right brain: Do most of us use only one side of the brain? • Can our choices be influenced by subliminal messages? • Do people have different “learning styles”? • The recovered memory controversy: How reliable are reports of long-forgotten

memories of sexual abuse? • Gender issues: Are we more alike or more different? • The “Mozart Effect”: Can music make babies smarter?

xviii T O T H E I N S T R U C T O R

• The Unconscious reconsidered: Has modern neuroscience reshaped Freud’s concept of the unconscious mind?

• Do lie detectors really detect lies? • The person-situation controversy: Which is the more important influence on our

behavior? • Is terrorism “a senseless act of violence, perpetrated by crazy fanatics”? • Insane places revisited: Did Rosenhan get it right? • Evidence-based practice: Should clinicians be limited by the tested-and-true? • Is change really hazardous to your health?

But that’s not all. We have made extensive updates to the text (in addition to the new research listed above). And we have improved the pedagogical features for which Psychology: Core Concepts is known and loved. To give a few examples, we have:

• added MyPsychLab icons throughout the margins to highlight important videos, simulations, podcasts, and additional resources for students to explore online. New to this edition, we have created Read on MyPsychLab activities that allow students to read and answer questions about many interesting topics more deeply online.

• shifted the focus of psychology’s six main perspectives to practical applications, giving a concrete example of a real-life problem for each.

• clarified and updated our discussion of the scientific method to reflect more accurately how research is done in a real-world context.

• added material on interpreting correlations—to help students use the notions of correlation and causation more accurately in their everyday lives.

• simplified and consolidated our discussion of the split-brain experiments. • updated material on flashbulb memories, using up-to-date examples. • created a new section on cognitive theories of intelligence. • added a new Psychology Matters piece entitled “Not Just Fun and Games: The

Role of Child’s Play in Life Success,” telling of the growing role of self-control in life success, and how parents and teachers can help nurture this important ability.

• added new material on Vygotsky’s theory, including scaffolding and the zone of proximal development, plus new material on neural development in adolescence.

• revised and expanded the sections on daydreaming and on both REM and NREM sleep to reflect important new research.

• changed the order of topics in the Motivation and Emotion chapter, bringing in new material on practical ways of motivating people, updating the section on sexual orientation, and presenting a revised hierarchy of needs based in evolutionary psychology.

• added new material on cross-cultural differences in shyness, Carol Dweck’s research on mindset, and individual differences in time perspective.

• updated the section on positive psychology. • updated the Heroic Defiance section, including new examples from the recent

Egyptian protests and new material on events at the Abu Ghraib prison. • added new examples of recent replications of Milgram’s obedience experiment. • added new material on bullying, the jigsaw classroom, and stereotype lift. • reconceptualized depression in terms of Mayberg’s model, which emphasizes three

factors: biological vulnerability, external stressors, and abnormality of the mood- regulation circuits in the brain. Also presented the new studies on the value of exercise in combating depression and the anxiety disorders.

• added new material on psychopathy—which is attracting increasing interest but is not a DSM-IV disorder.

• discussed the growing rift within clinical psychology (and between APA and APS) over empirically supported treatments and empirically based practice.

T O T H E I N S T R U C T O R xix

• updated the information on telehealth therapy strategies. • connected the discussion of traumatic stress to the 2011 earthquake in Japan. • added a new Do It Yourself! The Undergraduate Stress Questionnaire: How Stressed

Are You?

We think you will find the seventh edition up-to-date and even more engaging for students than the previous edition. But the changes are not limited to the book itself. Please allow us to toot our horns for the supplements available to adopters.

TEACHING AND LEARNING PACKAGE The following supplements will also enhance teaching and learning for you and your students:

Instructor’s Manual Written and compiled by Sylvia Robb of Hudson County Community College, includes suggestions for preparing for the course, sample syllabi, and current trends and strategies for successful teaching. Each chapter offers integrated teaching outlines, lists the Key Questions, Core Concepts, and Key Terms for each chapter for quick reference, an extensive bank of lecture launchers, handouts, and activities, crossword puzzles, and suggestions for integrating third-party videos, music, and Web resources. The electronic format features click-and-view hotlinks that allow instructors to quickly review or print any resource from a particular chapter. This resource saves prep work and helps you maximize your classroom time.

Test Bank Written by Jason Spiegelman of Community College of Baltimore County, has provided an extensively updated test bank containing more than 2,000 accuracy- checked questions, including multiple choice, completion (fill-in-the-blank and short answer), and critical essays. Test item questions have been also written to test student comprehension of select multimedia assets found with MyPsychLab for instructors who wish to make MyPsychLab a more central component of their course. In addition to the unique questions listed previously, the Test Bank also includes all of the Check Your Understanding questions from the textbook and all of the test questions from the Discovering Psychology Telecourse Faculty Guide for instructors who wish to reinforce student use of the textbook and video materials. All questions include the correct answer, page reference, difficulty ranking, question type designation, and correlations to American Psychological Association (APA) Learning Goal/Outcome. A new feature of the Test Bank is the inclusion of rationales for each correct answer and the key distracter in the multiple- choice questions. The rationales help instructors reviewing the content to further evaluate the questions they are choosing for their tests and give instructors the option to use the rationales as an answer key for their students. Feedback from current customers indicates this unique feature is very useful for ensuring quality and quick response to student queries. A two-page Total Assessment Guide chapter overview makes creating tests easier by listing all of the test items in an easy-to-reference grid. The Total Assessment Guide organizes all test items by text section and question type/level of difficulty. All multiple- choice questions are categorized as factual, conceptual, or applied.

The Test Bank comes with Pearson MyTest, a powerful assessment-generation program that helps instructors easily create and print quizzes and exams. Ques- tions and tests can be authored online, allowing instructors ultimate flexibility and the ability to efficiently manage assessments anytime, anywhere! Instructors can easily access existing questions and then edit, create, and store them using simple drag-and- drop and Word-like controls. Data on each question provide information relevant to dif- ficulty level and page number. In addition, each question maps to the text’s major section and learning objective. For more information, go to

NEW Interactive PowerPoint Slides These slides, available on the Instructor’s Resource DVD (ISBN 0-205-58439-7), bring the Psychology: Core Concepts design right into the classroom, drawing students into the lecture and providing wonderful

xx T O T H E I N S T R U C T O R

activities, visuals, and videos. A video walk-through is available and provides clear guidelines on using and customizing the slides. The slides are built around the text’s learning objectives and offer many links across content areas. Icons integrated throughout the slides indicate interactive exercises, simulations, and activities that can be accessed directly from the slides if instructors want to use these resources in the classroom.

A Set of Standard Lecture PowerPoint Slides Written by Beth M. Schwartz, Randolph College, is also offered and includes detailed outlines of key points for each chapter supported by selected visuals from the textbook. A separate Art and Figure version of these presentations contains all art from the textbook for which Pearson has been granted electronic permissions.

Classroom Response System (CRS) Power Point Slides Classroom Response System questions (“Clicker” questions) are intended to form the basis for class discussions as well as lectures. The incorporation of the CRS questions into each chapter’s slideshow facilitates the use of “clickers”—small hardware devices similar to remote controls, which process student responses to questions and interpret and display results in real time. CRS questions are a great way to get students involved in what they are learning, especially because many of these questions address specific scientific thinking skills highlighted in the text. These questions are available on the Instructor’s Resource DVD (ISBN 0-205-85439-7) and also online at

Instructor’s Resource DVD (ISBN 0-205-85439-7) Bringing all of the Seventh Edition’s instructor resources together in one place, the Instructor’s DVD offers both versions of the PowerPoint presentations, the Classroom Response System (CRS), the electronic files for the Instructor’s Manual materials, and the Test Item File to help instructors customize their lecture notes.

The NEW MyPsychLab The NEW MyPsychLab combines original online materials with powerful online assessment to engage students, assess their learning, and help them succeed. MyPsychLab ensures students are always learning and always improving.

• New video: New, exclusive 30-minute video segments for every chapter take the viewer from the research laboratory to inside the brain to out on the street for real-world applications.

• New experiments: A new experiment tool allows students to experience psychol- ogy. Students do experiments online to reinforce what they are learning in class and reading about in the book.

• New BioFlix animations: Bring difficult-to-teach biological concepts to life with dramatic “zoom” sequences and 3D movement.

• eText: The Pearson eText lets students access their textbook anytime, anywhere, in any way they want it, including listening to it online.

• New concept mapping: A new concept-mapping tool allows students to create their own graphic study aids or notetaking tools using preloaded content from each chapter. Concept maps can be saved, e-mailed, or printed.

• Assessment: With powerful online assessment tied to every video, application, and chapter of the text, students can get immediate feedback. Instructors can see what their students know and what they don’t know with just a few clicks. Instruc- tors can then personalize MyPsychLab course materials to meet the needs of their students.

• New APA assessments: A unique bank of assessment items allows instructors to assess student progress against the American Psychological Association’s Learning Goals and Outcomes. These assessments have been keyed to the APA’s latest pro- gressive Learning Outcomes (basic, developing, advanced) published in 2008.

Proven Results Instructors and students have been using MyPsychLab for nearly ten years. To date, more than 500,000 students have used MyPsychLab. During that time,

T O T H E I N S T R U C T O R xxi

three white papers on the efficacy of MyPsychLab were published. Both the white papers and user feedback show compelling results: MyPsychLab helps students succeed and improve their test scores. One of the key ways MyPsychLab improves student outcomes is by providing continuous assessment as part of the learning process. Over the years, both instructor and student feedback have guided numerous improvements, making MyPsychLab even more flexible and effective.

Please contact your local Pearson representative for more information on MyPsychLab. For technical support for any of your Pearson products, you and your students can contact

NEW MyPsychLab Video Series (17 episodes) This new video series offers instructors and students the most current and cutting-edge introductory psychology video content available anywhere. These exclusive videos take the viewer into today’s research laboratories, inside the body and brain via breathtaking animations, and onto the street for real-world applications. Guided by the Design, Development and Review team, a diverse group of introductory psychology instructors, this comprehensive series features 17 half-hour episodes organized around the major topics covered in the introductory psychology course syllabus. For maximum flexibility, each half-hour episode features several brief clips that bring psychology to life:

• The Big Picture introduces the topic of the episode and provides the hook to draw students fully into the topic.

• The Basics uses the power of video to present foundational topics, especially those that students find difficult to understand.

• Special Topics delves deeper into high-interest and cutting-edge topics, showing research in action.

• In the Real World focuses on applications of psychological research. • What’s in It for Me? These clips show students the relevance of psychological

research to their own lives.

Available in MyPsychLab and also on DVD to adopters of Pearson psychology text- books (ISBN 0-205-03581-7).

Discovering Psychology Telecourse Videos Written, designed, and hosted by Phil Zimbardo and produced by WGBH Boston in partnership with Annenberg Media, this series is a perfect complement to Psychology: Core Concepts. Discovering Psychology is a landmark educational resource that reveals psychology’s contribution not only to understanding the puzzles of behavior but also to identifying solutions and treatments to ease the problems of mental disorders. The video series has won numerous prizes and is widely used in the United States and internationally. The complete set of 26 half-hour videos is available for purchase (DVD or VHS format) from Annenberg Media. The videos are also available online in a streaming format that is free (, and, for the convenience of instructors and students using Psychology: Core Concepts, links to these online videos have been included in the MyPsychLab program that accompanies the textbook. A student Viewing Guide is found at the end of every chapter within Psychology: Core Concepts, with additional Viewing Guide resources also available online within MyPsychLab.

Discovering Psychology Telecourse Faculty Guide (ISBN 0-205-69929-4) The Telecourse Faculty Guide provides guidelines for using Discovering Psychology as a resource within your course. Keyed directly to Psychology: Core Concepts, the faculty guide includes the complete Telecourse Study Guide plus suggested activities; suggested essays; cited studies; instructional resources, including books, articles, films, and websites; video program test questions with answer key; and a key term glossary. Test questions for Discovering Psychology also reappear in the textbook’s test bank and MyTest computerized test bank.

Student Study Guide (ISBN 0-205-25299-0) This robust study guide, written by Jane P. Sheldon of University of Michigan-Dearborn, is filled with guided activities and in-depth exercises to promote student learning. Each chapter includes worksheets thatwww.learner.org

xxii T O T H E I N S T R U C T O R

give students a head start on in-class note taking; a full list of key terms with page references; a collection of demonstrations, activities, exercises, and three short practice quizzes; and one comprehensive chapter exam with critical-thinking essay questions and concept maps to help you study for your quizzes and exams. The appendix includes answers to all of the practice activities, tests, and concept maps.


For a list of all student resources available with Psychology: Core Concepts, Seventh Edition, go to, enter the text ISBN (0-205-18346-8), and check out the “Everything That Goes with It” section under the book cover.

For access to all instructor supplements for Psychology: Core Concepts, Seventh Edition go to and follow the directions to register (or log in if you already have a Pearson user name and password). Once you have registered and your status as an instructor is verified, you will be e-mailed a log-in name and password. Use your log-in name and password to access the catalog. Click on the “online catalog” link, click on “psychology” followed by “introductory psychology,” and then the Zimbardo/Johnson/McCann, Psychology: Core Concepts, Seventh Edition text. Under the description of each supplement is a link that allows you to download and save the supplement to your desktop.

You can request hard copies of the supplements through your Pearson sales representa- tive. If you do not know your sales representative, go to replocator/ and follow the directions. For technical support for any of your Pearson prod- ucts, you and your students can contact

A NOTE OF THANKS Nobody ever realizes the magnitude of the task when taking on a textbook-writing project. Acquisitions Editor Amber Chow and Executive Editor Stephen Frail deftly guided (and prodded) us through this process. The vision of the seventh edition con- fronted reality under the guidance of Deb Hanlon, our tenacious Senior Development Editor, who made us work harder than we had believed possible. Assistant Editor Kerri Hart-Morris managed our spectacular ancillaries package.

The job of making the manuscript into a book fell to Shelly Kupperman, our Production Project Manager at Pearson Education; Andrea Stefanowicz, our Senior Project Manager at PreMediaGlobal; and Kim Husband, our copyeditor. We think they did an outstanding job—as did our tireless photo researcher, Ben Ferrini.

We are sure that none of the above would be offended if we reserve our deepest thanks for our spouses, closest colleagues, and friends who inspired us, gave us the caring support we needed, and served as sounding boards for our ideas. Phil thanks his wonderful wife, Christina Maslach, for her endless inspiration and for modeling what is best in academic psychology. He has recently passed a milestone of 50 years of teaching the introductory psychology course, from seminar size to huge lectures to more than 1,000 students. Phil continues to give lectures and colloquia to college and high school groups throughout the country and overseas. He still gets a rush from lec- turing and from turning students on to the joys and fascination of psychology. His new “psych rock star” status comes mostly from generations of students who have grown up watching him perform on the Discovering Psychology video series in their high school and college psychology courses.

Bob is grateful to his spouse, best friend, and best editor Michelle, who has for years put up with his rants on topics psychological, his undone household chores, and much gratification delayed—mostly without complaint. She has been a wellspring of understand- ing and loving support and the most helpful of reviewers. His thanks, too, go to Rebecca, their daughter, who has taught him the practical side of developmental psychology—and now, much to her own astonishment and an undergraduate lapse into sociology, pos- sesses her own graduate degree in psychology. In addition, he is indebted to many friends,www.mypearsonstore.comhttp://247.pearsoned.com

T O T H E I N S T R U C T O R xxiii

most of whom are not psychologists but who are nevertheless always eager to raise and debate interesting issues about the applications of psychology to everyday life. Readers will find topics they have raised throughout the book and especially in the chapter-opening “problems” and in the critical thinking sections at the end of each chapter.

Vivian’s thanks go first to her husband, Shawn, and their sons, Storm and Blaze. All three of these amazing men are endless sources of love, support, inspiration, fun, and delight. They also generously allow Vivian to use them as examples of a multi- tude of concepts in her classes! Vivian also appreciates the many students, friends, and colleagues who have both encouraged and challenged her over the years.

We would especially like to thank Michelle Billies, Nikita Duncan, George Slavich, and Christina Zimbardo for their exceptional help as we revised and prepared this edition for print.

Many psychological experts and expert teachers of introductory psychology also shared their constructive criticism with us on every chapter and feature of the seventh edition of this text:

Thomas Beckner, Trine University Chris Brill, Old Dominion University Allison Buskirk-Cohen, Delaware Valley

College Christie Chung, Mills College Elizabeth Curtis, Long Beach City College Linda DeKruif, Fresno City College Meliksah Demir, Northern Arizona

University Roger Drake, Western State College of

Colorado Denise Dunovant, Hudson County

Community College Arthur Frankel, Salve Regina University Marjorie Getz, Bradley University Nancy Gup, Georgia Perimeter College Carrie Hall, Miami University Jeremy Heider, Stephen F. Austin State

University Allen Huffcutt, Bradley University Kristopher Kimbler, Florida Gulf Coast

University Sue Leung, Portland Community College Brian Littleton, Kalamazoo Valley

Community College Annette Littrell, Tennessee Tech University Mark Loftis, Tennessee Tech University Lillian McMaster, Hudson County

Community College

Karen Marsh, University of Minnesota–Duluth

Jim Matiya, Florida Gulf Coast University Nancy Melucci, Long Beach City College Jared Montoya, The University of Texas

at Brownsville Suzanne Morrow, Old Dominion

University Katy Neidhart, Cuesta College Donna Nelson, Winthrop University Barbara Nova, Dominican University of

California Elaine Olaoye, Brookdale Community

College Karl Oyster, Tidewater Community

College Sylvia Robb, Hudson County

Community College Nancy Romero, Lone Star College Beverly Salzman, Housatonic

Community College Hildur Schilling, Fitchburg State College Bruce Sherwin, Housatonic Community

College Hilary Stebbins, Virginia Wesleyan

College Doris Van Auken, Holy Cross College Matthew Zagummy, Tennessee Tech


We also thank the reviewers of the previous editions of Psychology: Core Concepts and hope that they will recognize their valued input in all that is good in this text:

Gordon Allen, Miami University Beth Barton, Coastal Carolina

Community College Linda Bastone, Purchase College, SUNY Susan Beck, Wallace State College

Michael Bloch, University of San Francisco Michele Breault, Truman State University John H. Brennecke, Mount San Antonio

College T. L. Brink, Crafton Hills College

xxiv T O T H E I N S T R U C T O R

Jay Brown, Southwest Missouri State University

Sally S. Carr, Lakeland Community College

Saundra Ciccarelli, Gulf Coast Community College

Wanda Clark, South Plains College Susan Cloninger, The Sage Colleges John Conklin, Camosun College (Canada) Michelle L. Pilati Corselli (Rio Hondo

College) Sara DeHart-Young, Mississippi State

University Janet DiPietro, John Hopkins University Diane Finley, Prince George’s

Community College Krista Forrest, University of Nebraska at

Kearney Lenore Frigo, Shasta College Rick Froman, John Brown University Arthur Gonchar, University of LaVerne Peter Gram, Pensacola Junior College Jonathan Grimes, Community College of

Baltimore County Lynn Haller, Morehead State University Mary Elizabeth Hannah, University of

Detroit Jack Hartnett, Virginia Commonwealth

University Carol Hayes, Delta State University Karen Hayes, Guilford College Michael Hillard, Albuquerque TVI

Community College Peter Hornby, Plattsburgh State

University Deana Julka, University of Portland Brian Kelley, Bridgewater College Sheila Kennison, Oklahoma State

University Laurel Krautwurst, Blue Ridge

Community College Judith Levine, Farmingdale State College Dawn Lewis, Prince George’s

Community College Deborah Long, East Carolina University

Margaret Lynch, San Francisco State University

Jean Mandernach, University of Nebraska, Kearney

Marc Martin, Palm Beach Community College

Richard Mascolo, El Camino College Steven Meier, University of Idaho Nancy Mellucci, Los Angeles

Community College District Yozan Dirk Mosig, University of

Nebraska Melinda Myers-Johnson, Humboldt

State University Michael Nikolakis, Faulkner State

College Cindy Nordstrom, Southern Illinois

University Laura O’Sullivan, Florida Gulf Coast

University Ginger Osborne, Santa Ana College Vernon Padgett, Rio Hondo College Jeff Pedroza, Santa Ana College Laura Phelan, St. John Fisher College Faye Plascak-Craig, Marian College Skip Pollock, Mesa Community College Chris Robin, Madisonville Community

College Lynne Schmelter-Davis, Brookdale

County College of Monmouth Mark Shellhammer, Fairmont State

College Christina Sinisi, Charleston Southern

University Patricia Stephenson, Miami Dade

College Mary Ellen Dello Stritto, Western

Oregon University Mario Sussman, Indiana University of

Pennsylvania John Teske, Elizabethtown College Stacy Walker, Kingwood College Robert Wellman, Fitchburg State

University Alan Whitlock, University of Idaho

Finally, we offer our thanks to all of the colleagues whose feedback has improved our book. Thanks also to all instructors of this most-difficult-to-teach course for taking on the pedagogical challenge and conveying to students their passion about the joys and relevance of psychological science and practice.

If you have any recommendations of your own that we should not overlook for the next edition, please write to us! Address your comments to Dr. Robert Johnson,


Philip Zimbardo, PhD, Stanford University professor, has been teaching the introductory psychology course for 50 years and has been writing the basic text for this course, as well as the faculty guides and student workbooks, for the past 35 years. In addition, he has helped to develop and update the PBS-TV series, Discovering Psychol- ogy, which is used in many high school and university courses both nationally and internationally. He has been called “The Face and Voice of Psychology” because of this popular series and his other media presentations. Phil also loves to conduct and publish research on a wide variety of subjects, as well as teach and engage in public and social service activities. He has published more than 400 professional and popular articles and chapters, including 50 books of all kinds. He recently published a trade book on the psychology of evil, The Lucifer Effect, that relates his classic Stanford Prison Experiment to the abuses at Iraq’s Abu Ghraib Prison. His new book is The Time Paradox, but his new passion is helping to create wise and effective everyday heroes as part of his Heroic Imagination Project. Please see these websites for more information:;;;;;

Robert Johnson, PhD, taught introductory psychology for 28 years at Umpqua Community College. He acquired an interest in cross-cultural psychology during a Fulbright summer in Thailand, followed by many more trips abroad to Japan, Korea, Latin America, Britain, and, most recently, to Indonesia. Currently, he is working on a book on the psychology in Shakespeare. Bob is especially interested in applying psy- chological principles to the teaching of psychology and in encouraging linkages be- tween psychology and other disciplines. In keeping with those interests, he founded the Pacific Northwest Great Teachers Seminar, of which he was the director for 20 years. Bob was also one of the founders of Psychology Teachers at Community Colleges (PT@CC), serving as its executive committee chair during 2004. That same year, he also received the Two-Year College Teaching Award given by the Society for the Teaching of Psychology. Bob has long been active in APA, APS, the Western Psychological Association, and the Council of Teachers of Undergraduate Psychology.

Vivian McCann, a senior faculty member in psychology at Portland Community College in Portland, Oregon, teaches a wide variety of courses, including introductory psychology, human relations, intimate relationships, and social psychology. Born and raised in the California desert just 10 miles from the Mexican border, she learned early on the importance of understanding cultural backgrounds and values in effective communication and in teaching, which laid the foundation for her current interest in teaching and learning psychology from diverse cultural perspectives. She loves to travel and learn about people and cultures and to nurture the same passions in her students. She has led groups of students on four trips abroad, and in her own travels has visited 24 countries so far. Vivian maintains a strong commitment to teaching excellence and has developed and taught numerous workshops in that area. She has served on the APA’s Committee for Psychology Teachers at Community Colleges (PT@CC) and is an active member of the Western Psychological Association and APS. She is also the author of Human Relations: The Art and Science of Building Effective Relationships.

Mind, Behavior, and Psychological Science1

Psychology MattersCore ConceptsKey Questions/Chapter Outline

1.1 What Is Psychology—and What Is It NOT ? Psychology: It’s More Than You Think Psychology Is Not Psychiatry Thinking Critically about Psychology and


Psychology is a broad field with many specialties, but fundamentally, psychology is the science of behavior and mental processes.

Using Psychology to Learn Psychology

In this book, Key Questions and Core Concepts help you organize what you learn.

1.2 What Are Psychology’s Six Main Perspectives?

Separation of Mind and Body and the Modern Biological Perspective

The Founding of Scientific Psychology and the Modern Cognitive Perspective

The Behavioral Perspective: Focusing on Observable Behavior

The Whole-Person Perspectives: Psychodynamic, Humanistic, and Trait and Temperament

The Developmental Perspective: Changes Arising from Nature and Nurture

The Sociocultural Perspective: The Individual in Context

The Changing Face of Psychology

Six main viewpoints dominate modern psychology—the biological, cognitive, behavioral, whole-person, developmental, and sociocultural perspectives—each of which grew out of radical new concepts about mind and behavior.

Psychology as a Major

To call yourself a psychologist, you’ll need graduate training.

Psychologists, like all other scientists, use the scientific method to test their ideas empirically.

The Perils of Pseudo-psychology

Critical thinking failures often result in disastrous consequences.

CHAPTER PROBLEM How would psychology test the claim that sugar makes children hyperactive?

CRITICAL THINKING APPLIED Facilitated Communication

1.3 How Do Psychologists Develop New Knowledge?

Four Steps in the Scientific Method Five Types of Psychological Research Controlling Biases in Psychological Research Ethical Issues in Psychological Research


A FTER THE KIDS HAD ALL THAT SUGAR—THE CAKE, ICE CREAM, PUNCH, and candy—they were absolutely bouncing off the walls!” said one of our friends who was describing a birthday party for her 8-year-old daughter.I must have had a skeptical look on my face, because she stopped her story short and asked, “You don’t believe it?” Then she added, “You psychologists just don’t believe

in common sense, do you?”

I responded that what people think of as “common sense” can be wrong, reminding her

that common sense once held that Earth was flat. “Perhaps,” I suggested, “it might be wrong

again—this time about the so-called ‘sugar high’ people think they observe.

“It could have been just the excitement of the party,” I added.

“Think they observe?” my friend practically shouted. “Can you prove that sugar doesn’t

make children hyperactive?”

“No,” I said. “Science doesn’t work that way. But what I could do,” I ventured, “is perform

an experiment to test the idea that sugar makes children ‘hyper.’ Then we could see whether

your claim passes or fails the test.”

My timing wasn’t the best for getting her involved in a discussion of scientific experiments,

so let me pose the problem to you.

PROBLEM: How would psychology test the claim that sugar makes children hyperactive?

We invite you to think about how we might set up such an experiment. We could, for example,

give kids a high-sugar drink and see what happens. But because people often see only what

4 C H A P T E R 1 Mind, Behavior, and Psychological Science

they expect to see, our expectations about sugar and hyperactivity could easily influence our

observations. So how could we design an experiment about sugar and hyperactivity that also

accounts for our expectations? It is not an easy problem, but we will think it through together,

and by the end of this chapter, you will have the tools you need to solve it.

Every chapter in the book will begin with a problem such as this—a problem aimed at

getting you actively involved in learning psychology and thinking critically about some impor-

tant concepts in the chapter. Solving the problem with us, rather than just passively reading

the words, will make the concepts more meaningful to you and more easily remembered (see

Chapter 5 to find out why).

The important concept illustrated by the “sugar high” problem is one of the most fun-

damental concepts in all of psychology: using the scientific method to explore the mind and

behavior. But before we get into the details of the scientific method, let’s clarify what we mean

by the term psychology itself.

1.1 KEY QUESTION What Is Psychology—and What Is It NOT?

“I hope you won’t psychoanalyze me,” says the student at the office door. It is a frequent refrain and an occupational hazard for professors of psychology. But students need not worry about being psychoanalyzed, for two reasons. First, not all psychologists diagnose and treat mental problems—in fact, those who do are actually in the minority among pro- fessors of psychology. Second, only a few psychologists are actually psychoanalysts. The term psychoanalysis refers to a highly specialized and relatively uncommon form of ther- apy. You will learn more about the distinction between psychologists and psychoanalysts later in the chapter—but, in the meantime, don’t fret that your professor will try to find something wrong with you. In fact, your professor is much more likely to be interested in helping you learn the material than in looking for signs of psychological disorder.

So, you might wonder, if psychology is not all about mental disorders and therapy, what is it all about?

The term psychology comes from psyche, the ancient Greek word for “mind,” and the suffix -ology, meaning “a field of study.” Literally, then, psychology means “the study of the mind.” Most psychologists, however, use the broader definition given in our Core Concept for this section of the chapter:

Core Concept 1.1 Psychology is a broad field, with many specialties, but fundamentally psychology is the science of behavior and mental processes.

One important point to note about this definition: Psychology includes not only mental processes but also behaviors. In other words, psychology’s domain covers both internal mental processes that we observe only indirectly (such as thinking, feeling, and desiring) as well as external, observable behaviors (such as talking, smiling, and running). A second important part of our definition concerns the scientific compo- nent of psychology. In brief, the science of psychology is based on objective, verifiable evidence—not just the opinions of experts and authorities, as we often find in non- scientific fields. We will give a more complete explanation of the science of psychol- ogy in the last part of this chapter. For now, though, let’s take a closer look at what psychologists actually do.

Psychology: It’s More Than You Think Psychology covers more territory than most people realize. As we have seen, not all psychologists are therapists. Many work in education, industry, sports, prisons,

psychology The science of behavior and mental processes.

What Is Psychology—and What Is It NOT? 5

government, churches and temples, private practice, human relations, advertising, and in the psychology departments of colleges and universities (see Figure 1.1). Others work for engineering firms, consulting firms, and the courts (both the judicial and the NBA variety). In these diverse settings, psy- chologists perform a wide range of tasks, including teaching, research, testing, and equipment design—as well as psycho- therapy. In fact, psychology’s specialties are too numerous to cover them all here, but we can give you a taste of the field’s diversity by first dividing psychology into three broad groups.

Three Ways of Doing Psychology Broadly speaking, psychologists cluster into three main categories: experi- mental psychologists, teachers of psychology, and applied psychologists. Some overlap exists among these groups, how- ever, because many psychologists take on multiple roles in their work.

Experimental psychologists (sometimes called research psychologists) constitute the smallest of the three groups. Nevertheless, they perform most of the research that creates new psychological knowledge (Frincke & Pate, 2004).1 For example, an experimental psychologist would be well equipped to study the effects of sugar on hyperactivity in children. While some experimental psychologists can be found in in- dustry or private research institutes, the majority work at a college or university, where most also teach.

Teachers of psychology are traditionally found at colleges and universities, where their assignments typically involve not only teaching but also research and publica- tion. Increasingly, however, psychologists can be found at community colleges and high schools, where their teaching load is higher because these institutions generally do not require research (American Psychological Association, 2007b; Johnson & Rudmann, 2004).

Applied psychologists use the knowledge developed by experimental psychologists to tackle human problems of all kinds, such as toy or equipment design, criminal analy- sis, and psychological treatment. They work in a wide variety of places, ranging from schools, clinics, and social service agencies to factories, airports, hospitals, and casinos. All told, about two-thirds of the doctoral-level psychologists in the United States work primarily as applied psychologists (Kohout & Wicherski, 2000; Wicherski et al., 2009).

Applied Psychological Specialties Some of the most popular applied specialties include:

• Industrial and organizational psychologists (often called I/O psychologists) specialize in personnel selection and in tailoring the work environment to maximize productivity and morale. They may, for example, create programs to motivate employees or to improve managers’ leadership skills. I/O psychologists also conduct market research and examine current issues such as attitudes toward pregnancy in the workplace (Shrader, 2001).

• Sports psychologists help athletes improve their performance by planning effective practice sessions, enhancing motivation, and learning to control emotions under pressure. Some focus exclusively on professional athletes, and others work with recreational athletes. Sports psychologists may also, for example, study various types of personalities and their relation to high-risk endeavors such as firefighting, parachuting, or scuba diving.

1Throughout this book, you will find citations in parentheses, calling your attention to a complete bibliographic reference found in the References section, beginning on p. R-1, near the end of this book. These brief in-text citations give the authors’ last names and the publication date. With the complete references in hand, your library can help you find the original source.

experimental psychologists Psychologists who do research on basic psychological processes—as contrasted with applied psychologists. Experimental psychologists are also called research psychologists.

teachers of psychology Psychologists whose primary job is teaching, typically in high schools, colleges, and universities.

applied psychologists Psychologists who use the knowledge developed by experimental psychologists to solve human problems.

FIGURE 1.1 Work Settings of Psychologists

Source: 2009 Doctorate Employment Survey, APA Center for Workforce Studies. March 2011.

Independent practiceOther counseling


Other educational settings


Business, Consulting, Other

Hospitals and HMOs

Universities, colleges, and medical schools

6% 6%





Read MyPsychLab

about I/O Psychology at

6 C H A P T E R 1 Mind, Behavior, and Psychological Science

• School psychologists are experts in teaching and learning. They deal with issues impacting learning, family or personal crises influencing school performance, or social conditions such as gangs, teen pregnancy, or substance abuse. They sometimes diagnose learning or behavioral problems and work with teachers, students, and parents to help students succeed in school. Many school psychologists work for school districts, where their work includes administering, scoring, and interpreting psychological tests.

• Clinical and counseling psychologists help people improve social and emotional adjustment or work through difficult choices in relationships, careers, or education. Almost half of all doctoral-level psychologists list clinical or counseling psychology as their specialty (Wichersky et al., 2009).

• Forensic psychologists provide psychological expertise to the legal and judicial system. One of the most recently recognized specialties in psychology, forensic psychology has gained rapid popularity due in part to such TV shows as

Criminal Minds, Profiler, and CSI. And, while a real day in the life of forensic psychologists may not be as glamorous or fast paced as their television counter- parts, the field is burgeoning with opportunities. Forensic psychologists may test inmates in prisons or forensic hospitals to determine readiness for release or fitness to stand trial, evaluate testimony in cases of rape or child abuse, or help with jury selection (Clay, 2009; Huss, 2001).

• Environmental psychologists aim to improve human interaction with our envi- ronment. They may, for example, study the impact of inner-city garden spaces on children’s academic performance or determine how best to encourage environmen- tally friendly behavior such as recycling. In private practice, environmental psy- chologists sometimes help clients maintain their commitment to sustainability or conduct workshops teaching people the mental health benefits of interacting with nature (Novotney, 2009).

More information on career possibilities in psychology can be found in Careers in Psychology for the Twenty-First Century, published by the American Psychological Association (2003a) and available online at careers.pdf.

Psychology Is Not Psychiatry Just as beginning psychology students may think all psychologists are clinical psychol- ogists, they also may not know the distinction between psychology and psychiatry. So let’s clear up that confusion, just in case you encounter a test question on the topic.

Virtually all psychiatrists, but only some psychologists, treat mental disorders—and there the resemblance ends. Psychiatry is a medical specialty, not part of psychology at all. Psychiatrists hold MD (Doctor of Medicine) degrees and, in addition, have special- ized training in the treatment of mental and behavioral problems, typically with drugs. Therefore, psychiatrists are licensed to prescribe medicines and perform other medical procedures. Consequently, psychiatrists tend to treat patients with more severe mental disorders (such as schizophrenia) and also to view patients from a medical perspective, as persons with mental “diseases.”

By contrast, psychology is a much broader field that encompasses the whole range of human behavior and mental processes, from brain function to social interaction and from mental well-being to mental disorder. For most psychologists, graduate training emphasizes research methods, along with advanced study in a specialty such as those listed earlier. Moreover, while psychologists usually hold doctoral degrees, their train- ing is not usually medical training, and thus they are not generally licensed to prescribe medications (Carlat, 2010; Practice Directorate Staff, 2005). Psychologists, then, work


Clinical psychologists help people deal with mental disorders and other psychological problems (p. 558).

psychiatry A medical specialty dealing with the diagnosis and treatment of mental disorders.

Applying psychological principles of learning and motivation, sports psychologists work with athletes to improve performance.

Explore the Concept Psychologists at Work at

What Is Psychology—and What Is It NOT? 7

in a wide variety of fields, all of which view people from a psychological perspective. This perspective is il- lustrated by clinical and counseling psychologists, who are likely to view the people they are helping as clients rather than patients.

So, now you know that psychiatry is not psychol- ogy. Next, we’ll look at something else that often gets confused with psychology: pseudo-psychology.

Thinking Critically about Psychology and Pseudo-Psychology TV series like Medium and Supernatural continue a long tradition of programs that play on people’s fasci- nation with claims of mysterious powers of the mind and supernatural influences on our personalities. Your daily horoscope does the same thing—never mind that astrology has been thoroughly debunked (Schick & Vaughn, 2001). Neither is there any factual basis for graphology (the bogus science of handwriting analysis), fortune telling, or the supposed power of subliminal messages to influence our behavior. All these fall under the heading of pseudo-psychology: unsupported psychological beliefs masquerading as scientific truth.

Certainly horoscopes and paranormal claims can be fun as pure entertainment, but it is important to know where fact-based reality ends and imagination-based fantasy begins. After all, you wouldn’t want to stake an important decision about your health or welfare on false information, would you? Thus, one of the goals of this text is to help you think critically when you hear extraordinary claims about behavior and mental processes.

What Is Critical Thinking? Those who talk about critical thinking often find them- selves in the position of Supreme Court Justice Potter Stewart, who famously was unable to define pornography but concluded, “I know it when I see it.” Like Justice Stewart, your fearless authors (Phil, Bob, and Vivian) cannot offer a definition of criti- cal thinking with which everyone will agree. Nevertheless, we are willing to jump into the fray with a list of six critical thinking skills we wish to emphasize in this text. Each is based on a specific question we believe should be asked when confronting new ideas.

1. What is the source? Does the person making the claim have real expertise in the field? Suppose, for example, you hear a newscast on which a politician or pundit declares that juvenile lawbreakers can be “scared straight.” The story explains that, in the program, first-time offenders receive near-abusive treatment from felons who try to scare them away from a life of crime with tales of harsh prison life. Such programs have, in fact, been tried in several states (Finckenauer et al., 1999). But does the person making the claim have any real knowledge of the subject? Does the claimant have legitimate credentials, or is he or she merely a self-proclaimed “expert?” One way to find out is to go online and examine the individual’s ref- erences and standing within the field. Also, find out whether the source has something substantial to gain from the claim. If it’s a medical breakthrough, for example, does the claimant stand to make money from a new drug or medical device? In the case of a “scared straight” program, is the source trying to score political points or get votes?

2. Is the claim reasonable or extreme? Life is too short to be critical of everything, of course, so the trick is to be selective. How? As the famous astronomer Carl Sagan once said about reports of alien abductions, “Extraordinary claims require extraordinary evidence” (Nova Online, 1996). Critical thinkers, then, are skeptical

pseudo-psychology Erroneous assertions or practices set forth as being scientific psychology.

critical thinking skills This book emphasizes six critical thinking skills, based on the following ques- tions: What is the source? Is the claim reasonable or extreme? What is the evidence? Could bias contaminate the conclusion? Does the reasoning avoid common fallacies? Does the issue require multiple perspectives?

Fortune tellers, astrologers, and other practitioners of pseudo-psychology don’t bother to verify their claims with careful research—nor do their clients engage in critical thinking about such practices.

8 C H A P T E R 1 Mind, Behavior, and Psychological Science

of claims touted as “breakthroughs” or “revolutionary.” Certainly, there are occasionally breakthroughs or revolutionary new treatments that work—but they are relatively rare. Most new scientific developments are extensions of existing knowledge. So, claims that conflict with well-established knowledge should raise a red flag. For example, beware of ads that promise to help you quit smoking or lose weight with little or no effort. In the case of “scared straight” programs or any other quick fix for a difficult problem, remember that simple solutions to complex problems rarely exist.

3. What is the evidence? This is one of the most important guidelines to critical think- ing, and you will learn more about what constitutes scientific evidence in the last section of this chapter. For now, though, beware of anecdotal evidence or testimoni- als proclaiming the dramatic effects of a new program. These first-hand accounts tend to be quite convincing, so they often lure us into believing them. Testimonials and anecdotes, though—no matter how compelling—are not scientific evidence. They merely represent the experiences of a few carefully selected individuals. It would be risky, and perhaps even dangerous, to assume that what seems true for some people must also be true for everyone.

What does the evidence say about “scared straight” programs? Not only do they not work, but they can also actually inoculate juveniles against fears about prison. Surprising as it may seem, the hard evidence indicates that teens exposed to such treatments, on average, subsequently get into more trouble than do those not given the “scared straight” treatment (Petrosino et al., 2003).

4. Could bias contaminate the conclusion? Critical thinkers know the conditions under which biases are likely to occur and can recognize common types of bias we will examine in this chapter. For example, they would question whether medi- cal researchers who are involved in assessing new drugs can truly remain unbiased if they are receiving money from the companies whose drugs they are testing (McCook, 2006).

The form of bias most applicable to our “scared straight” example is emotional bias: People not only fear crime and criminals but also are often in favor of harsh treatments for criminal behavior, as evidenced by the recent spate of “three strikes” laws (which mandate a lifetime in prison after three felony convictions). Accordingly, the “scared straight” approach may appeal to people simply because of its harshness. Also, people with a loved one who has gotten into some trouble may be especially vulnerable to promises of easy reform: Their desire for help can interfere with clear thinking.

Another common form of bias is confirmation bias, the all-too-human ten- dency to remember events that confirm our beliefs and ignore or forget contra- dictory evidence (Halpern, 2002; Nickerson, 1998). For example, confirmation bias explains why people persist in their beliefs that astrology works: They remember the predictions that seemed accurate and forget the ones that missed the mark. Confirmation bias also explains why gamblers have better recollections for their wins than for their losses, or why we persist in thinking a particular object is our lucky charm. Amazingly, recent research reveals this bias may be partly biological in nature. In a study done before a recent presidential election, people listened to their favorite politicians making statements that contradicted themselves. Upon hearing the contradictory statement, brain circuits associated with reasoning in the listeners suddenly shut down, while brain regions most in- volved with emotion remained active (Shermer, 2006; Westen et al., 2006). It was as though the brain was saying, “I don’t want to hear anything that conflicts with my beliefs.” Thus, we may have to exert extra effort and diligence to overcome this bias.

we do your essays write my book report writing a literature review

Dear Fellow Shareholders:

We are pleased to report the progress we made in 2016, culminating in one of the best years for JetBlue since the airline was founded 17 years ago. We’ve demonstrated that we can produce above average industry margins by offering a quality product at a competitive price. We believe this is a formula that will create value for our shareholders over the years to come.

During 2016, we achieved many notable accomplishments including:

✓ Generated revenues of over $6.6 billion, up 3.4% year over year

✓ Earned net income of $759 million, an annual increase of 12.0%

✓ Reduced total debt to $1.4 billion, achieving a debt to capitalization ratio of 35%

✓ Increased our return on invested capital, or ROIC, by 60 bps to 14.3%

Our Strategy

We continued with our targeted growth strategy, further strengthening our position in our focus cities and offering our over 38 million annual customers a better travel experience at a reasonable price. We also continue to execute on the revenue initiatives we announced in 2014, further developing fare options, our co-branded credit card, and our highly profitable Mint franchise while beginning our cabin restyling effort. We’ve developed a versatile ‘toolkit’ that we believe allows us to profitably grow in markets that have been historically underserved by traditional low cost carrier and legacy airline models.

Cost Initiatives

At our Investor Day in 2016, we launched a structural cost initiative that will further create shareholder value, even as we improve our customer experience. We’ve committed to achieving total cost savings of $250-300 million by 2020. The four areas we outlined include:

Technical operations, focused on driving efficiencies in maintenance

Planning, automation and execution in airport operations

Finding further efficiencies through sourcing and in our support centers

Decreasing our distribution costs

Our cost advantage over larger legacy airlines is what allows for profitable growth with an industry-leading product. We believe our structural cost initiatives will add to the unit cost benefit we expect to generate from our ongoing cabin restyling program. Both efforts underpin our expectations for flat to plus one percent unit cost ex-fuel growth from 2018 to 2020.

Our Product

JetBlue differentiates itself from legacy airlines and other low cost airlines by offering a high-quality product at a reasonable price point. In order to offer this competitive value proposition, we are reconfiguring and modernizing our fleet through a multi-year cabin restyling program. We expect these efforts to further strengthen our product advantage and enhance the JetBlue experience while reducing unit costs.

In 2016, we kicked off this program by converting all core A321 aircraft from 190 to 200 seats. We are proud to continue to offer the most legroom in coach of any airline in North America. The reconfigured cabin includes lighter and more comfortable seats, larger television screens with more entertainment options and power ports accessible to all customers. In 2017, we will begin bringing the same cabin upgrade to our A320 fleet, increasing from 150 to 162 seats and adding the same features our customers love on the A321.

Another significant effort in 2016 was the expansion of our industry-leading Mint premium experience. Mint is a best-in-class experience that serves business travelers and value-driven leisure customers. This product has exceeded expectations and is helping to drive improved margins in key transcontinental routes. We will continue bringing our Mint service to more markets in the next few years to help drive increased margins. In 2016, we accelerated our expansion of Mint, ending the year with 17 Mint aircraft and an additional 14 Mint aircraft to be delivered in 2017.

Lastly, we continue adding value to our ancillary product portfolio. In 2016, we created a strong partnership between TrueBlue, our customer loyalty program, and Amazon, and continued to grow our co-branded credit card business. We continuously seek new ways to improve these and other consumer offerings to create shareholder value.

Targeted Growth

Over the last five years, we’ve targeted our growth on a small number of strategic efforts, particularly Mint, New York, Boston and increasingly Ft. Lauderdale. Boston is now our highest margin focus city and we expect to grow our 150 flights a day to 200 over the coming years. We added our 62nd Boston destination, New York LaGuardia, in 2016. Our Ft. Lauderdale franchise reached 100 flights a day in 2016 as we continue to grow toward becoming the carrier of choice in South Florida. In 2016, we also announced our intention to organically grow our west coast presence by expanding our Mint offering to more transcontinental routes. As a point-to-point carrier, our growing presence is helping drive relevance and customer preference in our focus cities.

Our Culture

Our culture is what differentiates JetBlue from our competitors. Our mission is to Inspire Humanity and our customers recognize us as an airline that cares for them with this goal in mind. We ranked first in customer satisfaction among low cost carriers for the 12th consecutive year by J.D. Power. In addition, in 2016 we were named by Forbes as one of the Top 10 ‘Best Places to Work’ in the United States, and the #1 company in the transportation and logistics category.

These distinctions allow us to succeed in attracting and retaining top talent in a competitive market. We believe that our culture continues to set apart the JetBlue brand and is a powerful asset for shareholders. We are thankful to our over 20,000 JetBlue crewmembers for their hard work in delivering customers the JetBlue experience.

A Look Ahead

Our 2016 performance reflects the strength of an always improving business model. In everything we do, our focus is to be the preferred airline for our customers, which we think in turn results in shareholder value. In 2017, we will take further steps to improve our value proposition to our customers. We will begin the implementation of our structural cost program, take further steps with our on-time performance efforts begun in 2016 and, lastly, continue with our targeted growth strategy.

On behalf of our 20,000 engaged Crewmembers, thank you for your continued support.

Most sincerely,

Robin Hayes President and Chief Executive Officer



Washington, D.C. 20549


For the fiscal year ended December 31, 2016

 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ______________ to ______________

Commission file number 000-49728

JETBLUE AIRWAYS CORPORATION (Exact name of registrant as specified in its charter)

DELAWARE 87-0617894 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.)

27-01 Queens Plaza North, Long Island City, New York 11101 11101 (Address, including zip code, of registrant’s principal executive offices) (Zip Code)

(718) 286-7900 Registrant’s telephone number, including area code:

SECURITIES REGISTERED PURSUANT TO SECTION 12(b) OF THE ACT: Title of each class Name of each exchange on which registered

Common Stock, $0.01 par value The NASDAQ Global Select Market

Indicate by check mark YES NO

if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.

if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. whether the registrant has submitted electronically and posted on its corporate Website, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K (§229.405 of this chapter) is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of ‘’large accelerated filer,” “accelerated filer’’ and “smaller reporting company” in Rule 12b-2 of the Exchange Act.

Large accelerated filer  Accelerated filer  Non-accelerated filer  Smaller reporting company 

whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).

The aggregate market value of the registrant’s common stock held by non-affiliates of the registrant as of June 30, 2016 was approximately $5.3 billion (based on the last reported sale price on the NASDAQ Global Select Market on that date). The number of shares outstanding of the registrant’s common stock as of January 31, 2017 was 337,036,221 shares.


Designated portions of the Registrant’s Proxy Statement for its 2017 Annual Meeting of Stockholders, which is to be filed subsequent to the date hereof, are incorporated by reference into Part III of this Annual Report on Form 10-K, or the Report, to the extent described therein.



Table of Contents


ITEM 1. Business ………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………..6 Overview …………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………6 2016 Operational Highlights ………………………………………………………………………………………………………………………………………………………………………………………………….6 JetBlue Experience……………………………………………………………………………………………………………………………………………………………………………………………………………………………7 Operations and Cost Structure …………………………………………………………………………………………………………………………………………………………………………………………..9 Culture …………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………12 Regulation ……………………………………………………………………………………………………………………………………………………………………………………………………………………………………………….13 Where You Can Find Other Information ……………………………………………………………………………………………………………………………………………………………….14

ITEM 1A. Risk Factors ………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………..15 Risks Related to JetBlue ………………………………………………………………………………………………………………………………………………………………………………………………………..15 Risks Associated with the Airline Industry ………………………………………………………………………………………………………………………………………………………..18

ITEM 1B. Unresolved Staff Comments …………………………………………………………………………………………………………………………………………………………………………………………….19 ITEM 2. Properties ……………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………….19 ITEM 3. Legal Proceedings …………………………………………………………………………………………………………………………………………………………………………………………………………………………….20 ITEM 4. Mine Safety Disclosures ……………………………………………………………………………………………………………………………………………………………………………………………………………20


ITEM 5. Market for Registrant’s Common Equity; Related Stockholder Matters and Issuer Purchases of Equity Securities …………………………………………………………………………………………………………………………………………………….21

ITEM 6. Selected Financial Data …………………………………………………………………………………………………………………………………………………………………………………………………………….23 ITEM 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations ………25

Overview ……………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………25 Results of Operations ………………………………………………………………………………………………………………………………………………………………………………………………………………..26 Liquidity and Capital Resources……………………………………………………………………………………………………………………………………………………………………………………30 Contractual Obligations …………………………………………………………………………………………………………………………………………………………………………………………………………..32 Off-Balance Sheet Arrangements ……………………………………………………………………………………………………………………………………………………………………………….33 Critical Accounting Policies and Estimates ……………………………………………………………………………………………………………………………………………………..33 Regulation G Reconciliations of Non-GAAP Financial Measures ………………………………………………………………………………………….34

ITEM 7A. Quantitative and Qualitative Disclosures About Market Risk ……………………………………………………………………………………………..36 ITEM 8. Financial Statements and Supplementary Data ……………………………………………………………………………………………………………………………………..37

Reports of Independent Registered Public Accounting Firm ……………………………………………………………………………………………………..37 Consolidated Balance Sheets ………………………………………………………………………………………………………………………………………………………………………………………….38 Consolidated Statements of Operations …………………………………………………………………………………………………………………………………………………………….40 Consolidated Statements of Comprehensive Income…………………………………………………………………………………………………………………………41 Consolidated Statements of Cash Flows …………………………………………………………………………………………………………………………………………………………..42 Consolidated Statements of Stockholders’ Equity …………………………………………………………………………………………………………………………………43 Notes to Consolidated Financial Statements ………………………………………………………………………………………………………………………………………………..44


ITEM 9. Changes in and Disagreements with Accountants on Accounting and Financial Disclosure ……..60 ITEM 9A. Controls and Procedures …………………………………………………………………………………………………………………………………………………………………………………………………………60 ITEM 9B. Other Information ………………………………………………………………………………………………………………………………………………………………………………………………………………………………..60


ITEM 10. Directors, Executive Officers and Corporate Governance ………………………………………………………………………………………………………61 ITEM 11. Executive Compensation…………………………………………………………………………………………………………………………………………………………………………………………………………62 ITEM 12. Security Ownership of Certain Beneficial Owners and Management

and Related Stockholder Matters ……………………………………………………………………………………………………………………………………………………………………………….62 ITEM 13. Certain Relationships and Related Transactions, and Director Independence …………………………………………62 ITEM 14. Principal Accounting Fees and Services …………………………………………………………………………………………………………………………………………………………..62


ITEM 15. Exhibits and Financial Statement Schedules ……………………………………………………………………………………………………………………………………………..63 ITEM 16. Form 10-K Summary ……………………………………………………………………………………………………………………………………………………………………………………………………………………..63


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Forward-Looking Information

Statements in this Report (or otherwise made by JetBlue or on JetBlue’s behalf) contain various forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, or the Securities Act, and Section 21E of the Securities Exchange Act of 1934, as amended, or the Exchange Act, which represent our management’s beliefs and assumptions concerning future events. When used in this document and in documents incorporated herein by reference, the words “expects,” “plans,” “anticipates,” “indicates,” “believes,” “forecast,” “guidance,” “outlook,” “may,” “will,” “should,” “seeks,” “targets” and similar expressions are intended to identify forward-looking statements. Forward-looking statements involve risks, uncertainties and assumptions, and are based on information currently available to us. Actual results may differ materially from those expressed in the forward-looking statements due to many factors, including, without limitation, our extremely competitive industry; volatility in financial and credit markets which could affect our ability to obtain debt and/or lease financing or to raise funds through debt or equity issuances; volatility in fuel prices, maintenance costs and interest rates; our ability to implement our growth strategy; our significant fixed obligations and substantial indebtedness; our ability to attract and retain qualified personnel and maintain our culture as we grow; our reliance on high daily aircraft utilization; our dependence on the New York and Boston metropolitan markets and the effect of increased congestion in these markets; our reliance on automated systems and technology; our being subject to potential unionization, work stoppages, slowdowns or increased labor costs; our reliance on a limited number of suppliers; our presence in some international emerging markets that may experience

political or economic instability or may subject us to legal risk; reputational and business risk from information security breaches or cyber-attacks; changes in or additional domestic or foreign government regulation; changes in our industry due to other airlines’ financial condition; acts of war or terrorism; global economic conditions or an economic downturn leading to a continuing or accelerated decrease in demand for air travel; the spread of infectious diseases; adverse weather conditions or natural disasters; and external geopolitical events and conditions. It is routine for our internal projections and expectations to change as the year or each quarter in the year progresses, and therefore it should be clearly understood that the internal projections, beliefs and assumptions upon which we base our expectations may change prior to the end of each quarter or year.

Given the risks and uncertainties surrounding forward-looking statements, you should not place undue reliance on these statements. You should understand that many important factors, in addition to those discussed or incorporated by reference in this Report, could cause our results to differ materially from those expressed in the forward-looking statements. Potential factors that could affect our results include, in addition to others not described in this Report, those described in Item 1A of this Report under “Risks Related to JetBlue” and “Risks Associated with the Airline Industry.” In light of these risks and uncertainties, the forward-looking events discussed in this Report might not occur. Our forward-looking statements speak only as of the date of this Report. Other than as required by law, we undertake no obligation to update or revise forward-looking statements, whether as a result of new information, future events, or otherwise.



ITEM 1. Business Overview

General JetBlue Airways Corporation, or JetBlue, is New York’s Hometown Airline™. In 2016, JetBlue carried over 38 million Customers with an average of 925 daily flights and served 100 destinations in the United States, the Caribbean and Latin America.

JetBlue was incorporated in Delaware in August 1998 and commenced service on February 11, 2000. As of the end of 2016, we are the sixth largest passenger carrier in the U.S. based on available seat miles, or ASMs. We believe our differentiated product and culture combined with our competitive cost structure enables us to compete effectively in the high-value geographies we serve. Looking to the future, we plan to continue to grow in our high-value geographies, invest in industry leading products and provide award winning service by our more than 20,000 dedicated employees, whom we refer to as Crewmembers. Going forward we believe we will continue to differentiate ourselves from other airlines enabling us to continue to attract a greater mix of Customers and to drive further profitable growth. We are focused on driving to deliver solid results for our shareholders, our Customers and our Crewmembers.

As used in this Report, the terms “JetBlue,” the “Company,” “we,” “us,” “our” and similar terms refer to JetBlue Airways Corporation and its subsidiaries, unless the context indicates otherwise. Our principal executive offices are located at 27-01 Queens Plaza North, Long Island City, New York 11101 and our telephone number is (718) 286-7900.

Our Industry and Competition The U.S. airline industry is extremely competitive, challenging and results are often volatile. It is uniquely susceptible to external factors such as downturns in domestic and international economic conditions, weather- related disruptions, the spread of infectious diseases, the impact of airline restructurings or consolidations, military actions or acts of terrorism. We operate in a capital and energy intensive industry that has high fixed costs as well as heavy taxation and fees. Airline returns are sensitive to slight changes in fuel prices, average fare levels and passenger demand. The industry’s principal competitive factors include fares, brand and customer service, route networks, flight schedules, aircraft types, safety records, code-sharing and interline relationships, in-flight entertainment and connectivity systems and frequent flyer programs.

Price competition is intense in our industry. Our ability to operate successfully and grow in this environment depends on, among other things, our ability to operate at costs equal to or lower than our competitors.

Since 2001, the majority of traditional network airlines have undergone significant financial restructuring including bankruptcies, mergers and consolidations. These types of restructurings typically result in a lower cost structure through a reduction of labor costs, restructuring of commitments including debt terms, leases and fleet, modification or termination of pension plans, increased workforce flexibility, and innovative offerings. These actions also have provided the restructuring airline significant opportunities for realignment of route networks, alliances and frequent flyer programs. Each factor has had a significant influence on the industry’s improved profitability.

2016 Operational Highlights

We believe our differentiated product and culture, competitive costs and high-value geography relative to other airlines contributed to our continued success in 2016. Our 2016 operational highlights include:

Product enhancements – Throughout 2016 we continued to invest in industry-leading products which we believe will continue to differentiate our product offering from the other airlines.

– In June 2014, we launched our premium transcontinental product called Mint™. It includes 16 fully lie-flat seats, four of which are in suites with a privacy door, a first in the U.S. domestic market. During 2016, we began Mint™ service from Boston’s Logan International Airport, and we added two seasonal international Mint™ destinations, St. Lucia and St. Maarten. In addition, we also announced plans to further expand Mint™ service to additional domestic routes.

– During 2016, free Fly-Fi™ in-flight internet service became available on our entire fleet. Fly-Fi™ has been available across our Airbus fleet

since 2015. Our first Fly-Fi™ enabled Embraer E190 aircraft made its inaugural commercial flight in October 2015. During 2016, we retrofitted the remaining 53 Embraer E190 aircraft with Fly-Fi™.

– We introduced Fare Options during the second quarter of 2015. 2016 was our first full year with Fare Options, which give our Customers a choice to purchase tickets from three branded fares: Blue, Blue Plus, and Blue Flex. Each fare includes different offerings, such as free checked bags, reduced change fees, and additional TrueBlue® points. Since the introduction of Fare Options, the program has exceeded our initial expectations.

Fleet – In conjunction with our intention to expand our Mint™ experience, we amended our purchase agreement with Airbus in July 2016 to add 30 incremental Airbus A321 aircraft to our order book. These aircraft are scheduled to be delivered between 2017 and 2023. We believe these incremental aircraft will allow us to continue to grow profitably, particularly in the transcontinental market.



ITEM 1 Business


In support of our long-term transcontinental plans we currently expect 15 of the incremental 30 Airbus A321 aircraft to be delivered with the current engine option (A321ceo) beginning in 2017. Our amendment includes flexibility to take these deliveries in our Mint or all-core configuration. We anticipate the remaining 15 aircraft to be Airbus A321 new engine option (A321neo), scheduled to be delivered beginning in 2020. Starting after June 2019, we have the option to take any or all of our A321neo deliveries with the long range configuration, the A321-LR.

During 2016, we took delivery of 10 Airbus A321 aircraft, six of which were equipped with our Mint™ cabin layout. In addition, we finalized lease agreements for two additional Airbus A321 aircraft which we took delivery of during the fourth quarter of 2016. We bought out the leases on nine Airbus A320 aircraft in 2016.

During the second half of 2016, we introduced Airbus’ new innovative galley and lavatory module on our single cabin layout Airbus A321with 200 seats. Our cabin restyling program across our Airbus fleet will enable an improved customer experience while freeing up valuable onboard space. We completed retrofitting our existing Airbus A321 single cabin layout aircraft to the 200 seats configuration during 2016.

Network – We continued to expand and grow in our high-value geography. In 2016, we expanded our network with eight new BlueCities, bringing our total as of the end of December 2016 to 100 BlueCities, and added several connect-the-dot routes.

During 2016, we operated the first commercial U.S. flight to Cuba in 50 years with our inaugural flight from Fort Lauderdale-Hollywood to Santa Clara. We also began service to Camagüey and Holguin. We launched service to our 100th BlueCity, Havana, with the historical first commercial flight to Cuba from the New York area since scheduled service resumed in 2016. This marked the first day of U.S. commercial service to the Cuban capital in more than 50 years. The New York metropolitan area is home to the second-largest Cuban-American population in the U.S.

During 2016, we announced the addition of six daily flights from Boston to LaGuardia, one of the most requested destinations for our Boston business Customers.

TrueBlue® and partnerships – During 2016, we launched a new co-branded credit card partnership with Barclaycard® on the MasterCard® network. We also have separate agreements with American Express® that allows any American Express® cardholder to convert Membership Rewards® points into TrueBlue® points, and new for 2016 we added a partnership agreement with Citibank® to convert Citi ThankYou® Rewards points into TrueBlue® points.

We expanded our portfolio of commercial airline partnerships throughout 2016 and announced code-sharing agreements with Azul Brazilian Airlines and Cape Air.

We are always working to make traveling easier and more affordable, and our 2016 partnership with Lyft is just the latest step. Customers can link their TrueBlue® account with Lyft, to take advantage of unique discounts, travel perks, and earn TrueBlue® loyalty points on any Lyft ride to and from any airport nationwide.

During 2016, we expanded our partnership with Amazon which already delivered Customers unlimited streaming entertainment over JetBlue’s acclaimed free Fly-Fi™. The expanded partnership offers TrueBlue® members who shop on Amazon, in the air or on the ground using a unique JetBlue link, the ability to earn three TrueBlue® points for every eligible dollar spent on

Customer Service – JetBlue and our Crewmembers were recognized in 2016 for industry leading customer service.

– J.D. Power and Associates recognized JetBlue and our Crewmembers for the 12th consecutive year as the “Highest in Airline Customer Satisfaction among Low-Cost Carriers.” JetBlue also achieved the highest scores in the Aircraft and In-Flight Services categories.

– JetBlue also received the top score on the American Customer Satisfaction Index (ACSI) among airlines. Our score of 80 was the best in the domestic airline industry. Additionally, we received 7 out of 7 stars for safety, and 5 out of 5 stars for our product offering from Airline Ratings.

Our Crewmembers – During 2016, our Crewmembers recognized JetBlue as one of America’s “Best Employers” by Forbes. JetBlue ranked #8 through a survey that asked individuals how likely they would be to recommend their employer to someone else. We are proud that for a fifth year we’ve achieved a top score of 100 on the Corporate Equality Index, which rates major U.S. companies and their policies and practices related to the LGBT community, earning us the designation of one of the “Best Places to Work for LGBT Equality.”

During 2016, we announced that effective January 1, 2017, profit sharing eligible Crewmembers would receive an 8% raise and a modified profit sharing plan. We believe this recognition and change to our compensation structure reflects industry trends and ensures that our Crewmember compensation and rewards are fair and competitive.

JetBlue Experience

We offer our Customers a distinctive flying experience which we refer to as the “JetBlue Experience.” We believe we deliver award winning service that focuses on the entire customer experience, from booking their itinerary to arrival at their final destination. Typically, our Customers are neither high-traffic business travelers nor ultra-price sensitive travelers. Rather, we believe we are the carrier of choice for the majority of travelers who have been underserved by other airlines as we offer a differentiated product and award winning customer service.

Differentiated Product and Culture Delivering the JetBlue Experience to our Customers through our differentiated product and culture is core to our mission to inspire humanity. We look to attract new Customers to our brand and provide current Customers reasons to come back by continuing to innovate and evolve the JetBlue Experience. We believe we can adapt to the changing needs of our Customers and a key element of our success is the belief that competitive fares and quality air travel need not be mutually exclusive.

Our award winning service begins from the moment our Customers purchase a ticket through one of our distribution channels such as, our mobile applications or our reservations centers. In the second quarter of 2015, we launched our new pricing model, Fare Options. Customers can now purchase tickets at one of three branded fares: Blue, Blue Plus, and Blue Flex. Each fare includes different offerings such as free checked bags, reduced change fees, and additional TrueBlue® points, with all fares including our core offering of free in-flight entertainment, free brand name snacks and free non-alcoholic beverages. Customers can choose to “buy up” to an option with additional offerings. These fares allow Customers to select the products or services they need or value when they travel, without having to pay for the things they do not need or value.

Upon arrival at the airport, our Customers are welcomed by our dedicated Crewmembers and can choose to purchase one or more of our ancillary options such as Even More™ Speed, allowing them to enjoy an expedited security experience in most domestic JetBlue locations. Customers who select our Blue Flex option or purchase a Mint™ seat receive Even More™ Speed as part of their fare. We additionally have mobile applications for both Apple and Android devices which have robust features including


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real-time flight information updates and mobile check-in for certain routes. Our applications are designed to enhance our Customers’ travel experience and are in keeping with the JetBlue Experience.

During 2016, we launched our self-service initiative in select BlueCities that redesigned the physical layout of the airport lobby and the way our Customers travel through it. Our new user-friendly kiosks are the first point of contact for each Customer traveling through the lobby. While all Customers are encouraged to use the kiosks, our new lobby layout allows them to choose the check-in experience they prefer. For a virtually queue-less experience, the kiosk is the way to go. For Customers who prefer a more traditional experience, our Help Desk offers full-service check-in. The self-service model allows Crewmembers to get out from behind the ticket counter and move through the lobby to guide our Customers through the check-in process. The self-service lobby opens up the opportunity for our Crewmembers to make personal connections with our Customers, to assist with bag tagging, to answer customer questions and direct them to their next step.

Once onboard our aircraft, Customers enjoy seats in a comfortable layout with the most legroom in the main cabin of all U.S. airlines, based on average fleet-wide seat pitch. Our Even More™ Space seats are available for purchase across our fleet, giving Customers the opportunity to enjoy additional legroom. Customers on certain transcontinental or Caribbean flights have the option to purchase our premium service, Mint™, which has 16 fully lie-flat seats, including four suites with privacy doors.

Our in-flight entertainment system onboard our Airbus A320 and Embraer E190 aircraft includes 36 channels of free DIRECTV®, 100 channels of free SiriusXM® satellite radio and premium movie channel offerings from JetBlue Features®. Customers on our Airbus A321 aircraft have access to 100 channels of DIRECTV®, 100+ channels of SiriusXM® radio and premium movie channel offerings from JetBlue Features®. Our Mint™ Customers enjoy 15-inch flat screen televisions to experience our in-flight entertainment offerings. In December 2013, we began to retrofit our Airbus fleet with Fly-Fi™, a broadband product, with connectivity that we believe is significantly faster than airlines featuring KU-band satellites and older ground to air technology. Our entire Airbus fleet was equipped with Fly-Fi™ the entire year and we finished retrofitting our Embraer E190 fleet during 2016. Since 2014, our Customers have enjoyed the Fly-Fi™ Hub, a content portal where Customers can access a wide range of movies, television shows and additional content from their own personal devices.

All Customers may enjoy an assortment of free and unlimited brand name snacks and non-alcoholic beverages and have the option to purchase additional products such as blankets, pillows, headphones, premium beverages and premium food selections. Our Mint™ Customers have access to an assortment of complimentary food, beverages and products including a small-plates menu, artisanal snacks, alcoholic beverages, a blanket, pillows and headphones.

Our cabin restyling program across our Airbus fleet will enable an improved customer experience while freeing up valuable onboard space. As part of our cabin restyling program we expect to increase the seat density on our Airbus A320 fleet. Commencing in 2017, we plan to reconfigure our Airbus A320 aircraft with new seats, larger TV screens with up to 100 channels of free DIRECTV®, and free gate-to-gate Fly-Fi™. Our reconfiguring of our Airbus A320 aircraft will result in 162 seats. During the second half of 2016, we took delivery of single cabin layout Airbus A321 aircraft which introduced Airbus’ new innovative galley and lavatory module with 200 seats. We completed retrofitting our existing Airbus A321 single cabin layout aircraft from 190 seats to the 200 seats configuration during 2016.

Our Airbus A321 aircraft in a single cabin layout have 200 seats and those with our Mint™ offering have 159 seats. Our Airbus A320 aircraft have 150 seats while our Embraer E190 aircraft have 100 seats.

Because of our network strength in leisure destinations, we also sell vacation packages through JetBlue® Vacations, a one-stop, value-priced vacation service for self-directed packaged travel planning. These packages offer competitive fares for air travel on JetBlue along with a selection of JetBlue-recommended hotels and resorts, car rentals and local attractions. During 2016, we rebanded JetBlue Getaways™ to JetBlue® Vacations to communicate more clearly to our Customers our many exciting leisure offerings, especially in our growing network in top leisure destinations like Florida and the Caribbean.

We work to provide a superior air travel experience, including communicating openly and honestly with Customers about delays and service disruptions. We are the only major U.S. airline to have a Customer Bill of Rights. This program was introduced in 2007 to provide compensation to Customers who experience inconveniences. This Customer Bill of Rights commits us to high service standards and holds us accountable if we fall short.

In 2016, we completed 98.7% of our scheduled flights. Unlike most other airlines, we have a policy of not overbooking flights.

Our Customers have repeatedly indicated the distinctive JetBlue Experience is an important reason why they select us over other carriers. We measure and monitor customer feedback regularly which helps us to continuously improve customer satisfaction. One way we do so is by measuring our net promoter score, or NPS. This metric is used by companies in a broad range of industries to measure and monitor the customer experience. Many of the leading consumer brands that are recognized for great customer service receive high NPS scores. We believe a higher NPS score has positive effects on customer loyalty and ultimately leads to increased revenue.

Network/ High-Value Geography We are a predominately point-to-point system carrier, with the majority of our routes touching at least one of our six Focus Cities: New York, Boston, Fort Lauderdale-Hollywood, Orlando, Long Beach and San Juan, Puerto Rico. During 2016, over 94.5% of our Customers flew on non-stop itineraries.

Leisure traveler focused airlines are often faced with high seasonality. As a result, we continually work to manage our mix of Customers to include both business travelers and travelers visiting friends and relatives, or VFR. VFR travelers tend to be slightly less seasonal and less susceptible to economic downturns than traditional leisure destination travelers. Understanding the purpose of our Customers’ travel helps us optimize destinations, strengthen our network and increase unit revenues. All six of our Focus Cities are in regions with a diverse mix of traffic and were profitable in 2016.

As of December 31, 2016, our network served 100 BlueCities in 29 states, the District of Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, and 21 countries in the Caribbean and Latin America. In 2016, we commenced service to eight new BlueCities including four destinations in Cuba and Quito, Ecuador.

We also made changes across our network by announcing new routes between existing BlueCities. We group our capacity distribution based upon geographical regions rather than on a mileage or a length-of-haul basis. The historic distribution of ASMs, or capacity, by region for the years ending December 31 was:

Capacity Distribution 2016 2015 2014 Caribbean & Latin America(1) 30.1% 30.2% 31.4% Florida 29.1 29.2 29.3 Transcontinental 28.8 28.5 26.3 East 5.4 5.7 5.7 Central 4.1 3.8 4.7 West 2.5 2.6 2.6 TOTAL 100.0% 100.0% 100.0% (1) Domestic operations as defined by the U.S. Department of Transport, or DOT, include Puerto Rico and the U.S. Virgin Islands, but for the purposes of the capacity distribution table above we

have included these locations in the Caribbean and Latin America region.


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During the past decade we invested in our network, which had been dominated by the New York area with over half of our ASMs. Our network growth over the past few years has been focused on the business traveler in Boston as well as travelers to the Caribbean and Latin America region. We expect to focus on increasing our presence in Fort Lauderdale-Hollywood where we believe there is an opportunity to increase our operations to destinations throughout the Caribbean and Latin America. Our plan is

supported by significant investment from the Broward County Aviation Department in the airport and surrounding facilities. Our increased focus on Boston and Fort Lauderdale-Hollywood makes our ASMs more balanced and the overall network is stronger.

In 2017, we anticipate further expanding our network and have previously announced service to the following new destination:

Destination Service Commenced or Scheduled to Commence Atlanta, GA March 30, 2017

Airline Commercial Partnerships Airlines frequently participate in commercial partnerships with other carriers in order to increase customer convenience by providing interline-connectivity, code-sharing, coordinated flight schedules, frequent flyer program reciprocity and other joint marketing activities. As of December 31, 2016, we had 48 airline commercial partnerships. Our commercial partnerships typically begin as an interline agreement allowing a customer to book one itinerary with tickets on multiple airlines. During 2016, we entered into five new interline agreements and four new code-sharing agreements. Code-sharing is a practice by which one airline places its name and flight number on flights operated by another airline. In 2017, we expect to continue to seek additional strategic opportunities through new commercial partners as well as assess ways to deepen select current airline partnerships. We plan to do this by expanding code-share relationships and other areas of cooperation such as frequent flyer programs. We believe these commercial partnerships allow us to better leverage our strong network and drive incremental traffic and revenue while improving off-peak travel.

Marketing JetBlue is a widely recognized and respected global brand. JetBlue created a new category in air travel and our brand stands for high service quality at a reasonable cost. This brand has evolved into an important and valuable asset which identifies us as a safe, reliable, high value airline. Similarly, we believe customer awareness of our brand has contributed to the success of our marketing efforts. It enables us to promote ourselves as a preferred marketing partner with companies across many different industries.

We market our services through advertising and promotions in various media forms including popular social media outlets. We engage in large multi-market programs, local events and sponsorships across our route network as well as mobile marketing programs. Our targeted public and community relations efforts reflect our commitment to the communities we serve, as well as promoting brand awareness and complementing our strong reputation.

Distribution Our primary and preferred distribution channel to Customers is through our website,, our lowest cost channel. Our website allows us to more closely control and deliver the JetBlue Experience while also offering the full suite of JetBlue Fare Options, EvenMore™ Space and Speed, and other ancillary services. In the first half of 2015, we introduced a new merchandising platform for with our business partner Datalex in addition to merchandising capabilities on our kiosks and in our self-service channels with our business partner IBM.

Our participation in global distribution systems, or GDS, supports our profitable growth, particularly in the business market. We find business

Customers are more likely to book through a travel agency or a booking product which relies on a GDS platform. Although the cost of sales through this channel is higher than through our website, the average fare purchased through GDS is generally higher and often covers the increased distribution costs. We currently participate in several major GDS and online travel agents, or OTA. Due to the majority of our Customers booking travel on our website, we maintain relatively low distribution costs despite our increased participation in GDS and OTA in recent years.

Customer Loyalty Program TrueBlue® is our customer loyalty program designed to reward and recognize loyal Customers. Members earn points based upon the amount paid for JetBlue flights and services from certain commercial partners. Our points do not expire, the program has no black-out dates or seat restrictions, and any JetBlue destination can be booked if the TrueBlue®

member has enough points to exchange for the value of an open seat. Mosaic® is an additional level for our most loyal Customers who either (1) fly a minimum of 30 times with JetBlue and acquire at least 12,000 base flight points within a calendar year or (2) accumulate 15,000 base flight points within a calendar year. Over 1.6 million TrueBlue® one-way redemption awards were flown during 2016, representing approximately 4% of our total revenue passenger miles.

We currently have co-branded loyalty credit cards available to eligible U.S. residents, as well as co-brand agreements in Puerto Rico and the Dominican Republic to allow cardholders to earn TrueBlue® points. During 2016, we launched a new co-branded credit card partnership with Barclaycard® on the MasterCard® network. To date, our new co-brand offerings exceeded expectations for conversion rates from the former co- branded American Express® cardholders and new member enrollments. We also have co-branded loyalty credit cards issued by Banco Santander Puerto Rico and MasterCard® in Puerto Rico as well as Banco Popular Dominicano and MasterCard® in the Dominican Republic. These credit cards allow Customers in Puerto Rico and the Dominican Republic to take full advantage of our TrueBlue® loyalty program.

We have a separate agreement with American Express® that allows any American Express® cardholder to convert Membership Rewards® points into TrueBlue® points. During 2016, we added a partnership agreement with Citibank® to convert Citi ThankYou® Rewards points into TrueBlue® points. We have various agreements with other loyalty partners, including hotels and car rental companies, that allow their Customers to earn TrueBlue® points through participation in our partners’ programs. Starting in 2016, Customers can link their TrueBlue account with Lyft, to take advantage of unique discounts, travel perks, and earn TrueBlue loyalty points on any Lyft ride to and from any airport nationwide. We intend to continue to develop the footprint of our co-branded credit cards and pursue other loyalty partnerships in the future.

Operations and Cost Structure

Historically, our cost structure has allowed us to price fares lower than many of our competitors and is a principal reason for our profitable growth. Our current cost advantage relative to some of our competitors is due to, among other factors, high aircraft utilization, new and efficient aircraft,

relatively low distribution costs, and a productive workforce. Because our network initiatives and growth plans require a low cost platform, we strive to stay focused on our competitive costs, operational excellence, efficiency improvements and enhancing critical elements of the JetBlue Experience.


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During 2016 we introduced our initiative to reduce our structural cost with the goal of saving $250 to $300 million by 2020. The program aims to cover all categories of our costs including our technical operations, corporate services, airports and our distribution network. Through a combination of strategic sourcing, planning, automation and a review of our distribution channel strategy we anticipate delivering structural cost savings which will continue to allow us to deliver the JetBlue Experience to our Customers while maintaining a competitive cost structure.

Route Structure Our point-to-point system is the foundation of our operational structure, with the majority of our routes touching at least one of our six focus cities. This structure allows us to optimize costs as well as accommodate Customers’ preference for non-stop itineraries. A vast majority of our operations are centered in and around the heavily populated northeast corridor of the U.S., which includes the New York and Boston metropolitan areas. This airspace is some of the world’s most congested and drives certain operational constraints.

Our peak levels of traffic over the course of the year vary by route; the East Coast to Florida/Caribbean routes peak from October through April and the West Coast routes peak in the summer months. Many of our areas of operations in the Northeast experience poor winter weather conditions, resulting in increased costs associated with de-icing aircraft, canceled flights and accommodating displaced Customers. Many of our Florida and Caribbean routes experience bad weather conditions in the summer and fall due to thunderstorms and hurricanes. As we enter new markets we could be subject to additional seasonal variations along with competitive responses by other airlines.

New York metropolitan area – We are New York’s Hometown Airline™. The majority of our flights originate in the New York metropolitan area, the nation’s largest travel market. John F. Kennedy International Airport, or JFK, is New York’s largest airport, and we are the second largest airline at JFK as measured by domestic seats and our 2016 operations accounted for more than 37% of seats offered on domestic routes from JFK. As JFK is a slot controlled airport we have been able to continue to grow our operations by adding more seats per departure with the delivery of 37 Airbus A321 aircraft in total as of December 31, 2016, as well as continuing to optimize routes based upon load factor and costs. We operate from Terminal 5, or T5, and in November 2014 we opened T5i, an international arrivals facility that expands our current T5 footprint. We believe T5i will enable us to increase operational efficiencies, provide savings, streamline our operations and improve the overall travel experience for our Customers arriving from international destinations. We also serve New Jersey’s Newark Liberty International Airport, or Newark, New York City’s LaGuardia Airport, or LaGuardia, Newburgh, New York’s Stewart International Airport and White Plains, New York’s Westchester County Airport. We are the leading carrier in the average number of flights flown per day between the New York metropolitan area and Florida.

Boston – We are the largest carrier in terms of flights and capacity at Boston’s Logan International Airport. By the end of 2016 we flew to 62 non-stop destinations from Boston and served more than twice as many non-stop destinations than any other airline. Our operations accounted for more than 25% of all seats offered. We continue to capitalize on opportunities in the changing competitive landscape by adding routes, frequencies and increasing our relevance to local travelers. Our plan is to grow Boston with a general target of 200 flights per day. In 2016, we launched Boston Mint™ service to San Francisco and Los Angeles, as well as seasonal international service to Barbados. In September 2016, we announced nonstop service will be offered to Atlanta in the first quarter of 2017. With the success of our existing Boston Mint™ routes, we announced additional Mint™ service between Boston and San Francisco in the third quarter of 2017. During 2016, we announced the addition of six daily flights from Boston to LaGuardia, one of the most requested destinations for our Boston business Customers.

In November 2015, we unveiled Phase I of our $50 million Logan Terminal C upgrade which included new kiosks and ticket counters. Twenty-five kiosks and thirty check-in counters are in use in the North Pod of the terminal. Phase II of the upgrade, funded by the Massachusetts Port Authority, or Massport, was completed on the South Pod in 2016 which mirrors the check-in experience of the North Pod. Updated digital flight information displays and a connector between Terminal C and international flights at Terminal E were also completed during 2016.

Caribbean and Latin America – At the end of 2016 we had 37 BlueCities in the Caribbean and Latin America and we expect our presence to continue to grow. San Juan, Puerto Rico is our only focus city outside of the Continental U.S. We are the largest airline in Puerto Rico serving more non-stop destinations than any other carrier. We are also the largest airline in the Dominican Republic, serving five airports in the country in 2016, as we consolidated flying to the Dominican Republic by closing Samana. While the Caribbean and Latin American region is a growing part of our network, operating in this region can present operational challenges, including working with less developed airport infrastructure, political instability and vulnerability to corruption.

During 2016, we operated the first commercial U.S. flight to Cuba in 50 years with our inaugural flight from Fort Lauderdale-Hollywood to Santa Clara. We also began service to Camagüey and Holguin. We launched service to our 100t h BlueCity, Havana, with our historical first scheduled commercial flight to Cuba from the New York area since scheduled service resumed in 2016 marking the first day of U.S. commercial service to the Cuban Capital in more than 50 years. The New York metropolitan area is home to the second-largest Cuban-American population in the U.S.

Fort Lauderdale-Hollywood – We are the largest carrier at Fort Lauderdale-Hollywood International Airport, with approximately 25% of all seats offered in 2016. During 2016, we started service to eleven new destinations and grew departures by approximately 19%. We expect Fort Lauderdale-Hollywood to continue to be our fastest growing focus city in 2017. Flying out of Fort Lauderdale-Hollywood instead of nearby Miami International Airport helps preserve our competitive cost advantage through lower enplanement costs. In 2012, Broward County authorities commenced a multi-year, $2.3 billion refurbishment effort at the airport and surrounding facilities including the construction of a new south runway. We operate primarily out of Terminal 3 which is scheduled to be refurbished and connected to the upgraded and expanded international terminal by 2018. We will have additional facilities in the new international terminal to support our international arrivals. Terminal 3 allows for easy access to the expanded and enhanced airfield. We expect the connection of these terminals to streamline operations for both Crewmembers and Customers. Due to these factors, it’s an ideal location between the U.S. and Latin America as well as South Florida’s high-value geography. We intend to focus on Fort Lauderdale-Hollywood growth going forward. During 2016, we announced that we expect to launch service from Fort Lauderdale-Hollywood to Aruba during the first quarter of 2017, which would allow our Customers easier access to Aruba. We announced an expansion of our successful Mint™ offering to Fort Lauderdale-Hollywood with destinations of LAX and San Francisco expected during 2017.

Orlando – We are the third largest carrier in terms of capacity at Orlando International Airport, or Orlando, with 13% of all seats offered in 2016. Orlando is JetBlue’s fourth largest focus city with 28 non-stop destinations and a growing mix of traffic including leisure, VFR and business travelers. Our centralized training center, known as JetBlue University, is based in Orlando. In 2015, we opened the Lodge at OSC which is adjacent to our training center and is used for lodging our Crewmembers when they attend training.

Los Angeles area – We are the sixth largest carrier in the Los Angeles area measured by seats, operating from Long Beach Airport, or Long Beach, Los Angeles International Airport, or LAX, and Burbank’s Bob Hope Airport. We are the largest carrier in Long Beach, with almost 77% of all seats offered in 2016 being operated by JetBlue. We had


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worked with the city of Long Beach and the community to request the U.S. Customs and Border Protection to add a Federal Inspection Site, or FIS, at the airport, which would have enabled us to serve international destinations from Long Beach. However during January 2017, the Long Beach City Council voted against moving forward with the plans for the FIS facility. Long Beach remains an important BlueCity for JetBlue and is part of our broader strategy. In June 2014, we started operating our premium transcontinental service, Mint™, from LAX, which has continued to grow during 2016. We currently offer ten daily round trips between JFK and LAX and three daily round trips between BOS and LAX. In July 2016, we announced Mint™ will be offered on flights from Fort Lauderdale to LAX expected to begin the first quarter of 2017.

Fleet Structure We currently operate Airbus A321, Airbus A320 and Embraer E190 aircraft types. In 2016, our fleet had an average age of 8.9 years and operated an average of 12.0 hours per day. By scheduling and operating our aircraft more efficiently we are able to spread related fixed costs over a greater number of ASMs.

The reliability of our fleet is essential to ensuring our operations run efficiently and we are continually working with our aircraft and engine manufacturers to enhance our performance.

We are working with the Federal Aviation Administration, or FAA, in efforts towards implementing the Next Generation Air Transportation System, or NextGen, by 2020. NextGen technology is expected to improve operational efficiency in the congested airspaces in which we operate. In 2012, we equipped 35 of our Airbus A320 aircraft to test ADS-B Out, a satellite based technology aimed to facilitate the communication between pilots and air traffic controllers. Even though it is still in the testing phase we have already seen benefits from the ADS-B Out equipment including being able to reroute flights over the Gulf of Mexico to avoid bad weather, an area where the current FAA radar coverage is not complete. In 2012, we also became the first FAA certified Airbus A320 carrier in the U.S. to use satellite-based Special Required Navigation Performance Authorization Required, or RNP AR, approaches at two of JFK’s prime and most used runways, 13L and 13R.

Fleet Maintenance Consistent with our core value of safety, our FAA-approved maintenance programs are administered by our technical operations department. We use qualified maintenance personnel and ensure they have comprehensive training. We maintain our aircraft and associated maintenance records in accordance with, if not exceeding, FAA regulations. Fleet maintenance work is divided into three categories: line maintenance, heavy maintenance and component maintenance.

The bulk of our line maintenance is handled by JetBlue technicians and inspectors. It consists of daily checks, overnight and weekly checks, “A” checks, diagnostics and routine repairs.

Heavy maintenance checks, or “C” checks, consist of a series of more complex tasks taking from one to four weeks to accomplish and are typically performed once every 15 months. All of our aircraft heavy maintenance work is performed by third party FAA-approved facilities such as Embraer, Haeco, Aeromantenimiento S.A. and Lufthansa Technik AG, and are subject to direct oversight by JetBlue personnel. We outsource heavy maintenance as the costs are lower than if we performed the tasks internally.

Component maintenance on equipment such as engines, auxiliary power units, landing gears, pumps and avionic computers are all performed by a number of different FAA-approved third party repair stations. We have maintenance agreements with MTU Maintenance Hannover GmbH, or MTU, for our Airbus aircraft engines and with GE Engine Services, LLC for our Embraer E190 aircraft engines. We also have an agreement with Lufthansa Technik AG for the repair, overhaul, modification and logistics of certain Airbus components. Many of our maintenance service agreements are based on a fixed cost per flight hour. These fixed costs vary based upon the age of the aircraft and other operating factors impacting the related component. Required maintenance not otherwise covered by these agreements is performed on a time and materials basis. All other maintenance activities are sub-contracted to qualified maintenance, repair and overhaul organizations.

Aircraft Fuel Aircraft fuel continues to be one of our largest expenses. Its price and availability has been extremely volatile due to global economic and geopolitical factors which we can neither control nor accurately predict. We use a third party to assist with fuel management service and to procure most of our fuel. Our historical fuel consumption and costs for the years ended December 31 were:

2016 2015 2014 Gallons consumed (millions) 760 700 639 Total cost (millions)(1) $ 1,074 $ 1,348 $ 1,912 Average price per gallon(1) $ 1.41 $ 1.93 $ 2.99 Percent of operating expenses 20.2% 25.9% 36.1% (1) Total cost and average price per gallon each include related fuel taxes as well as effective fuel hedging gains and losses.

We attempt to protect ourselves against the volatility of fuel prices by entering into a variety of derivative instruments. These include swaps, caps, collars, and basis swaps with underlyings of jet fuel, crude and heating oil.

Financial Health We strive to maintain financial strength and a cost structure that enables us to grow profitably and sustainably. In the first years of our history, we relied upon financing activities to fund much of our growth. Starting in 2007, growth has largely been funded through internally generated cash from operations. Since 2012, while we have invested approximately $4.3 billion in capital assets, we have also generated approximately $5.6 billion in cash from operations, resulting in approximately $1.3 billion in free cash flow. Our improved financial results have resulted in better credit ratings, which in turn allows for more attractive financing terms. Since 2012, we have also reduced our total debt balance by nearly $1.5 billion.

JetBlue Technology Ventures In November 2015, JetBlue created a new wholly-owned subsidiary, JetBlue Technology Ventures, LLC, or JTV. JTV incubates, invests in and partners with early stage startups at the intersection of technology, travel and hospitality.

TWA Flight Center Hotel Development In 2015, the Board of Commissioners of the Port Authority of New York & New Jersey, or the PANYNJ approved a construction plan to redevelop the TWA Flight Center at JFK on its nearly six-acre site into a hotel with over 500 rooms, meeting spaces, restaurants, a spa and an observation deck. The complex is planned to feature two six-story hotel towers. As part of the plan, a 75-year lease agreement involves Flight Center Hotel LLC, a partnership of MCR Development, LLC and JetBlue. We estimate


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our ultimate ownership in the hotel to be approximately 5% to 10% of the final total investment. During December 2016, the TWA Flight Center Hotel officially broke ground.

LiveTV LiveTV, LLC, or LiveTV, was formerly a wholly owned subsidiary of JetBlue. It provides in-flight entertainment and connectivity solutions for various commercial airlines including JetBlue. In June 2014, we sold LiveTV and

its subsidiaries LTV Global, Inc., and LiveTV International, Inc., to Thales Holding Corporation, or Thales. In September 2014, following the receipt of regulatory approval, we sold LiveTV Satellite Communications, LLC, a subsidiary of LiveTV, to Thales. Following the completion of these sales, LiveTV operations ceased to be subsidiaries of JetBlue and are no longer presented in our consolidated financial statements. JetBlue, ViaSat Inc. and LiveTV have worked together to develop and support in-flight broadband connectivity for JetBlue which is being marketed as Fly-Fi™. JetBlue expects to continue to be a significant customer of LiveTV through its in-flight entertainment and onboard connectivity products and services.


Our People Our success depends on our Crewmembers delivering a terrific customer experience in the sky and on the ground. One of our competitive strengths is a service orientated culture grounded in our five key values: safety, caring, integrity, passion and fun. We believe a highly productive and engaged workforce enhances customer loyalty. Our goal is to hire, train and retain a diverse workforce of caring, passionate, fun and friendly people who share our mission to inspire humanity.

Our culture is first introduced to new Crewmembers during the screening process and then at an extensive new hire orientation program at JetBlue University, our training center in Orlando. Orientation focuses on the JetBlue strategy and emphasizes the importance of customer service, productivity and cost control. We provide continuous training for our Crewmembers including technical training, a specialized captain leadership training program unique in the industry, a leadership program for current company managers, an emerging managers program, regular training focused on the safety value and front line training for our customer service teams.

Our growth plans necessitate and facilitate opportunities for talent development. In 2008, we launched the University Gateway Program, one of our many pilot recruitment initiatives, which made us the first airline to provide a training program for undergraduate students interested in becoming JetBlue First Officers. During 2016 we launched Gateway Select, a program for prospective pilots to join us for a rigorous, approximately four-year long training program that incorporates classroom learning, extensive real-world flying experience and instruction in full flight simulators.

We believe a direct relationship between Crewmembers and our leadership is in the best interests of our Crewmembers, our Customers and our shareholders. Except for our pilots, our Crewmembers do not have third- party representation. In April 2014, JetBlue pilots elected to be solely represented by the Air Line Pilots Association, or ALPA. The National Mediation Board, or NMB, certified ALPA as the representative body for JetBlue pilots and we are working with ALPA to reach our first collective bargaining agreement. We have individual employment agreements with each of our non-unionized FAA licensed Crewmembers which consist of dispatchers, technicians, inspectors and air traffic controllers. Each employment agreement is for a term of five years and renews for an additional five-year term, unless the Crewmember is terminated for cause or the Crewmember elects not to renew. Pursuant to these employment agreements, Crewmembers can only be terminated for cause. In the event of a downturn in our business, resulting in a reduction of flying and related work hours, we are obligated to pay these Crewmembers a guaranteed level of income and to continue their benefits. We believe that through these agreements we provide what we believe to be industry-leading job protection language. We believe these agreements provide JetBlue and Crewmembers flexibility and allow us to react to Crewmember needs more efficiently than collective bargaining agreements.

A key feature of the direct relationship with our Crewmembers is our Values Committees which are made up of peer-elected frontline Crewmembers from each of our major work groups, other than pilots. They represent the

interests of our workgroups and help us run our business in a productive and efficient way. We believe this direct relationship with Crewmembers drives higher levels of engagement and alignment with JetBlue’s strategy, culture and overall goals.

We believe the efficiency and engagement of our Crewmembers is a result of our flexible and productive work rules. We are cognizant of the competition for productive labor in key industry positions and new government rules requiring higher qualifications as well as more restricted hours that may result in potential labor shortages in the upcoming years.

Our leadership team communicates on a regular basis with all Crewmembers in order to maintain this direct relationship and to keep them informed about news, strategy updates and challenges affecting the airline and the industry. Effective and frequent communication throughout the organization is fostered through various means including email messages from our CEO and other senior leaders at least weekly, weekday news updates to all Crewmembers, employee engagement surveys, a quarterly Crewmember magazine and active leadership participation in new hire orientations. Leadership is also heavily involved in periodic open forum meetings across our network, called “pocket sessions” which are often videotaped and posted on our intranet. By soliciting feedback for ways to improve our service, teamwork and work environment, our leadership team works to keep Crewmembers engaged and makes our business decisions transparent. Additionally we believe cost and revenue improvements are best recognized by Crewmembers on the job.

Our average number of full-time equivalent employees for the year ended December 31, 2016 consisted of 3,037 pilots, 3,670 flight attendants, 4,233 airport operations personnel, 554 technicians (whom other airlines may refer to as mechanics), 1,307 reservation agents, and 2,895 management and other personnel. For the year ended December 31, 2016, we employed an average of 13,566 full-time and 4,840 part-time Crewmembers.

Crewmember Programs We are committed to supporting our Crewmembers through a number of programs including:

Crewmember Resource Groups (CRGs) – These are groups of Crewmembers formed to act as a resource for both the group members as well as JetBlue. The groups serve as an avenue to embrace and encourage different perspectives, thoughts and ideas. At the end of 2016, we had four CRGs in place: JetPride, Women in Flight, Vets in Blue, and BlueConexion.

JetBlue Crewmember Crisis Fund (JCCF) – This organization was formed in 2002 as a non-profit corporation independent from JetBlue and recognized by the IRS as of that date as a tax-exempt entity. JCCF was created to assist JetBlue Crewmembers and their immediate family members (IRS Dependents) in times of crisis. Funds for JCCF grants come directly from Crewmember donations via a tax-deductible payroll deduction. The assistance process is confidential with only the fund administrator and coordinator knowing the identity of the Crewmembers in need.

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G I V E M E L I B E R T Y ! A N A M E R I C A N H I S T O R Y  B r i e f F o u r t h E d i t i o n G I V E M E L I B E R T Y ! A N A M E R I C A N H I S T O R Y  B r i e f F o u r t h E d i t i o n E R I C F O N E R B W . W . N O R T O N & C O M P A N Y N E W Y O R K . L O N D O N For my mother, Liza Foner (1909–2005), an accomplished artist who lived through most of the twentieth century and into the twenty-first W. W. Norton & Company has been independent since its founding in 1923, when William Warder Norton and Mary D. Herter Norton first published lectures delivered at the People’s Institute, the adult education division of New York City’s Cooper Union. The firm soon expanded its program beyond the Institute, publishing books by celebrated academics from America and abroad. By mid-century, the two major pillars of Norton’s publishing program— trade books and college texts—were firmly established. In the 1950s, the Norton family transferred control of the company to its employees, and today—with a staff of 400 and a comparable number of trade, college, and professional titles published each year— W. W. Norton & Company stands as the largest and oldest publishing house owned wholly by its employees. Copyright © 2014, 2012 by Eric Foner All rights reserved Printed in the United States of America Fourth Edition Editor: Steve Forman Associate Editor: Justin Cahill Editorial Assistant: Penelope Lin Managing Editor, College: Marian Johnson Managing Editor, College Digital Media: Kim Yi Project Editor: Diane Cipollone Copy Editor: Elizabeth Dubrulle Marketing Manager: Sarah England Media Editors: Steve Hoge, Tacy Quinn Assistant Editor, Media: Stefani Wallace Production Manager: Sean Mintus Art Director: Rubina Yeh Designer: Chin-Yee Lai Photo Editor: Stephanie Romeo Photo Research: Donna Ranieri Permissions Manager: Megan Jackson Permissions Clearing: Bethany Salminen Composition and Layout: Jouve Manufacturing: Transcontinental Since this page cannot accommodate all of the copyright notices, the Credits pages at the end of the book constitute an extension of the copyright page. Library of Congress Cataloging-in-Publication Data has been applied for. This edition: ISBN 978-0-393-92034-5 (pbk.) W. W. Norton & Company, Inc., 500 Fifth Avenue, New York, NY 10110-0017 W. W. Norton & Company Ltd., Castle House, 75/76 Wells Street, London W1T 3QT 1 2 3 4 5 6 7 8 9 0 A B O U T T H E A U T H O R  E R I C F O N E R is DeWitt Clinton Professor of History at Columbia University, where he earned his B.A. and Ph.D. In his teaching and scholarship, he focuses on the Civil War and Reconstruction, slavery, and nineteenth-century America. Professor Foner’s publi- cations include Free Soil, Free Labor, Free Men: The Ideology of the Republican Party before the Civil War; Tom Paine and Revolutionary America; Nothing but Freedom: Emancipation and Its Legacy; Reconstruction: America’s Unfinished Revolution, 1863–1877; The Story of American Free- dom; and Forever Free: The Story of Emancipation and Reconstruction. His history of Recon- struction won the Los Angeles Times Book Award for History, the Bancroft Prize, and the Parkman Prize. He has served as president of the Organization of American Historians and the American Historical Association. In 2006 he received the Presidential Award for Outstanding Teaching from Columbia University. His most recent book is The Fiery Trial: Abraham Lincoln and American Slavery, winner of the Lincoln Prize, the Bancroft Prize, and the Pulitzer Prize.  C O N T E N T S  A b o u t t h e A u t h o r . . . v L i s t o f M a p s , T a b l e s , a n d F i g u r e s . . . x v i i i P r e f a c e . . . x x 1 5 . “ W H A T I S F R E E D O M ? ” : R E C O N S T R U C T I O N , 1 8 6 5 – 1 8 7 7 . . . 4 4 1 T H E M E A N I N G O F F R E E D O M . . . 443 Families in Freedom … 443  Church and School … 444  Political Freedom … 444  Land, Labor, and Freedom … 445  Masters without Slaves … 445  The Free Labor Vision … 447  The Freedmen’s Bureau … 447  The Failure of Land Reform … 448  The White Farmer … 449 Voices of Freedom: From Petition of Committee in Behalf of the Freedmen to Andrew Johnson (1865), and From A Sharecropping Contract (1866) … 450 Aftermath of Slavery … 453 T H E M A K I N G O F R A D I C A L R E C O N S T R U C T I O N . . . 454 Andrew Johnson … 454  The Failure of Presidential Reconstruction … 454  The Black Codes … 455  The Radical Republicans … 456  The Origins of Civil Rights … 456  The Fourteenth Amendment … 457  The Reconstruction Act … 458  Impeachment and the Election of Grant … 458  The Fifteenth Amendment … 460  The “Great Constitutional Revolution” … 461  The Rights of Women … 461 R A D I C A L R E C O N S T R U C T I O N I N T H E S O U T H . . . 462 “The Tocsin of Freedom” … 462  The Black Officeholder … 464  Carpetbaggers and Scalawags … 464  Southern Republicans in Power … 465  The Quest for Prosperity … 465 T H E O V E R T H R O W O F R E C O N S T R U C T I O N . . . 466 Reconstruction’s Opponents … 466  “A Reign of Terror” … 467  The Liberal Republicans … 469  The North’s Retreat … 470  The Triumph of the Redeemers … 471  The Disputed Election and Bargain of 1877 … 472  The End of Reconstruction … 473 R E V I E W . . . 4 7 4 1 6 . A M E R I C A ’ S G I L D E D A G E , 1 8 7 0 – 1 8 9 0 . . . 4 7 5 T H E S E C O N D I N D U S T R I A L R E V O L U T I O N . . . 476 The Industrial Economy … 477  Railroads and the National Market … 478  The Spirit of Innovation … 479  Competition and Consolidation … 480  The Rise of Andrew Carnegie … 481  The C o n t e n t s v i i Triumph of John D. Rockefeller … 481  Workers’ Freedom in an Industrial Age … 482 T H E T R A N S F O R M A T I O N O F T H E W E S T . . . 483 A Diverse Region … 484  Farming in the Trans-Mississippi West … 485  The Cowboy and the Corporate West … 486  Conflict on the Mormon Frontier … 487  The Subjugation of the Plains Indians … 488  “Let Me Be a Free Man” … 489  Remaking Indian Life … 489  The Dawes Act and Wounded Knee … 490  Settler Societies and Global Wests … 491 Voices of Freedom: From Andrew Carnegie, “Wealth” (1889), and From Ira Steward, “A Second Declaration of Independence” (1879) … 492 P O L I T I C S I N A G I L D E D A G E . . . 494 The Corruption of Politics … 494  The Politics of Dead Center … 495  Government and the Economy … 496  Reform Legislation … 497  Political Conflict in the States … 497 F R E E D O M I N T H E G I L D E D A G E . . . 498 The Social Problem … 498  Social Darwinism in America … 499  Liberty of Contract and the Courts … 500 L A B O R A N D T H E R E P U B L I C . . . 501 “The Overwhelming Labor Question” … 501  The Knights of Labor and the “Conditions Essential to Liberty” … 502  Middle-Class Reformers … 502  Protestants and Moral Reform … 504  A Social Gospel … 504  The Haymarket Affair … 505  Labor and Politics … 506 R E V I E W . . . 5 0 7 1 7 . F R E E D O M ’ S B O U N D A R I E S , A T H O M E A N D A B R O A D , 1 8 9 0 – 1 9 0 0 . . . 5 0 8 T H E P O P U L I S T C H A L L E N G E . . . 510 The Farmers’ Revolt … 510  The People’s Party … 511  The Populist Platform … 512  The Populist Coalition … 513  The Government and Labor … 513  Populism and Labor … 514  Bryan and Free Silver … 515  The Campaign of 1896 … 516 T H E S E G R E G A T E D S O U T H . . . 517 The Redeemers in Power … 517  The Failure of the New South Dream … 517  Black Life in the South … 518  The Kansas Exodus … 518  The Decline of Black Politics … 519  The Elimination of Black Voting … 520  The Law of Segregation … 521  The Rise of Lynching … 522  Politics, Religion, and Memory … 523 R E D R A W I N G T H E B O U N D A R I E S . . . 524 The New Immigration and the New Nativism … 524  Chinese Exclusion and Chinese Rights … 525  The Emergence of v i i i Contents Booker T. Washington … 526  The Rise of the AFL … 527  The Women’s Era … 528 B E C O M I N G A W O R L D P O W E R . . . 529 The New Imperialism … 529  American Expansionism … 529  The Lure of Empire … 530  The “Splendid Little War” … 531  Roosevelt at San Juan Hill … 532  An American Empire … 533  The Philippine War … 535 Voices of Freedom: From Josiah Strong, Our Country (1885), and From “Aguinaldo’s Case against the United States” (1899) … 536 Citizens or Subjects? … 538  Drawing the Global Color Line … 539  “Republic or Empire?” … 539 R E V I E W . . . 5 4 2 1 8 . T H E P R O G R E S S I V E E R A , 1 9 0 0 – 1 9 1 6 . . . 5 4 3 A N U R B A N A G E A N D A C O N S U M E R S O C I E T Y . . . 545 Farms and Cities … 545  The Muckrakers … 546  Immigration as a Global Process … 546  The Immigrant Quest for Freedom … 548  Consumer Freedom … 548  The Working Woman … 549  The Rise of Fordism … 550  The Promise of Abundance … 550 V A R I E T I E S O F P R O G R E S S I V I S M . . . 551 Industrial Freedom … 552  The Socialist Presence and Eugene Debs … 552 Voices of Freedom: From Charlotte Perkins Gilman, Women and Economics (1898), and From John Mitchell, “A Workingman’s Conception of Industrial Liberty” (1910) … 554 AFL and IWW … 556  The New Immigrants on Strike … 556  Labor and Civil Liberties … 557  The New Feminism … 558  The Birth- Control Movement … 558  Native American Progressivism … 559 T H E P O L I T I C S O F P R O G R E S S I V I S M . . . 559 Effective Freedom … 559  State and Local Reforms … 560  Progressive Democracy … 561  Jane Addams and Hull House … 562  The Campaign for Woman Suffrage … 563  Maternalist Reform … 564 T H E P R O G R E S S I V E P R E S I D E N T S . . . 566 Theodore Roosevelt … 566  John Muir and the Spirituality of Nature … 567  The Conservation Movement … 567  Taft in Office … 568  The Election of 1912 … 569  New Freedom and New Nationalism … 569  Wilson’s First Term … 570  The Expanding Role of Government … 571 R E V I E W . . . 5 7 3 C o n t e n t s i x 1 9 . S A F E F O R D E M O C R A C Y : T H E U N I T E D S T A T E S A N D W O R L D W A R I , 1 9 1 6 – 1 9 2 0 . . . 5 7 4 A N E R A O F I N T E R V E N T I O N . . . 576 “I Took the Canal Zone” … 576  The Roosevelt Corollary … 578  Moral Imperialism … 579  Wilson and Mexico … 579 A M E R I C A A N D T H E G R E A T W A R . . . 580 Neutrality and Preparedness … 581  The Road to War … 582  The Fourteen Points … 582 T H E W A R A T H O M E . . . 584 The Progressives’ War … 584  The Wartime State … 584  The Propaganda War … 585  The Coming of Woman Suffrage … 586  Prohibition … 587  Liberty in Wartime … 587 Voices of Freedom: From Eugene V. Debs, Speech to the Jury before Sentencing under the Espionage Act (1918), and From W. E. B. Du Bois, “Returning Soldiers,” The Crisis (1919) … 588 The Espionage Act … 590  Coercive Patriotism … 590 W H O I S A N A M E R I C A N ? . . . 591 The “Race Problem” … 591  The Anti-German Crusade … 592  Toward Immigration Restriction … 593  Groups Apart: Mexicans and Asian-Americans … 593  The Color Line … 594  Roosevelt, Wilson, and Race … 594  W. E. B. Du Bois and the Revival of Black Protest … 595  Closing Ranks … 596  The Great Migration … 596  Racial Violence, North and South … 597  The Rise of Garveyism … 598 1 9 1 9 . . . 599 A Worldwide Upsurge … 599  Upheaval in America … 599  The Red Scare … 600  Wilson at Versailles … 601  The Wilsonian Moment … 602  The Seeds of Wars to Come … 604  The Treaty Debate … 605 R E V I E W . . . 6 0 7 2 0 . F R O M B U S I N E S S C U L T U R E T O G R E A T D E P R E S S I O N : T H E T W E N T I E S , 1 9 2 0 – 1 9 3 2 . . . 6 0 8 T H E B U S I N E S S O F A M E R I C A . . . 610 A Decade of Prosperity … 610  A New Society … 611  The Limits of Prosperity … 612  The Farmers’ Plight … 612  The Image of Business … 613  The Decline of Labor … 613  The Equal Rights Amendment … 615  Women’s Freedom … 615 B U S I N E S S A N D G O V E R N M E N T . . . 616 The Republican Era … 617  Corruption in Government … 617  The Election of 1924 … 618  Economic Diplomacy … 618 T H E B I R T H O F C I V I L L I B E R T I E S . . . 619 A “Clear and Present Danger” … 620  The Court and Civil Liberties … 621 x Contents T H E C U L T U R E W A R S . . . 621 The Fundamentalist Revolt … 621  The Scopes Trial … 622  The Second Klan … 623  Closing the Golden Door … 624  Race and the Law … 625  Promoting Tolerance … 626  The Emergence of Harlem … 627 Voices of Freedom: From André Siegfried, “The Gulf Between,” Atlantic Monthly (March 1928), and From Majority Opinion, Justice James C. McReynolds, in Meyer v. Nebraska (1923) … 628 The Harlem Renaissance … 630 T H E G R E A T D E P R E S S I O N . . . 631 The Election of 1928 … 631  The Coming of the Depression … 632  Americans and the Depression … 633  Resignation and Protest … 635  Hoover’s Response … 636  The Worsening Economic Outlook … 636  Freedom in the Modern World … 637 R E V I E W . . . 6 3 8 2 1 . T H E N E W D E A L , 1 9 3 2 – 1 9 4 0 . . . 6 3 9 T H E F I R S T N E W D E A L . . . 641 FDR and the Election of 1932 … 641  The Coming of the New Deal … 642  The Banking Crisis … 642  The NRA … 643  Government Jobs … 644  Public-Works Projects … 645  The New Deal and Agriculture … 646  The New Deal and Housing … 647  The Court and the New Deal … 648 T H E G R A S S R O O T S R E V O L T . . . 648 Labor’s Great Upheaval … 648  The Rise of the CIO … 649  Labor and Politics … 650  Voices of Protest … 651  Religion on the Radio … 651 T H E S E C O N D N E W D E A L . . . 652 The WPA and the Wagner Act … 653  The American Welfare State: Social Security … 654 A R E C K O N I N G W I T H L I B E R T Y . . . 655 The Election of 1936 … 655 Voices of Freedom: From Franklin D. Roosevelt, “Fireside Chat” (1934), and From John Steinbeck, The Harvest Gypsies: On the Road to the Grapes of Wrath (1938) … 656 The Court Fight … 658  The End of the Second New Deal … 659 T H E L I M I T S O F C H A N G E . . . 660 The New Deal and American Women … 660  The Southern Veto … 661  The Stigma of Welfare … 661  The Indian New Deal … 662  The New Deal and Mexican-Americans … 662  Last Hired, First Fired … 663  Federal Discrimination … 664 A N E W C O N C E P T I O N O F A M E R I C A . . . 665 The Heyday of American Communism … 665  Redefining the People … 666  Challenging the Color Line … 667  Labor and Civil C o n t e n t s x i Liberties … 667  The End of the New Deal … 668  The New Deal in American History … 669 R E V I E W . . . 6 7 1 2 2 . F I G H T I N G F O R T H E F O U R F R E E D O M S : W O R L D W A R I I , 1 9 4 1 – 1 9 4 5 . . . 6 7 2 F I G H T I N G W O R L D W A R I I . . . 674 Good Neighbors … 674  The Road to War … 675  Isolationism … 675  War in Europe … 676  Toward Intervention … 677  Pearl Harbor … 677  The War in the Pacific … 678  The War in Europe … 679 T H E H O M E F R O N T . . . 682 Mobilizing for War … 682  Business and the War … 683  Labor in Wartime … 684  Fighting for the Four Freedoms … 684  The Fifth Freedom … 685  Women at War … 686 V I S I O N S O F P O S T W A R F R E E D O M . . . 687 Toward an American Century … 687  “The Way of Life of Free Men” … 688  The Road to Serfdom … 689 T H E A M E R I C A N D I L E M M A . . . 689 Patriotic Assimilation … 690  The Bracero Program … 690  Indians during the War … 691  Asian-Americans in Wartime … 691  Japanese- American Internment … 692  Blacks and the War … 694  Blacks and Military Service … 695  Birth of the Civil Rights Movement … 695  The Double-V … 696  The War and Race … 696  An American Dilemma … 697 Voices of Freedom: From Henry R. Luce, The American Century (1941), and From Charles H. Wesley, “The Negro Has Always Wanted the Four Freedoms,” in What the Negro Wants (1944) … 698 Black Internationalism … 700 T H E E N D O F T H E W A R . . . 700 “The Most Terrible Weapon” … 701  The Dawn of the Atomic Age … 701  The Nature of the War … 702  Planning the Postwar World … 703  Yalta and Bretton Woods … 703  The United Nations … 704  Peace, but not Harmony … 704 R E V I E W . . . 7 0 6 2 3 . T H E U N I T E D S T A T E S A N D T H E C O L D W A R , 1 9 4 5 – 1 9 5 3 . . . 7 0 7 O R I G I N S O F T H E C O L D W A R . . . 709 The Two Powers … 709  The Roots of Containment … 709  The Truman Doctrine … 710  The Marshall Plan … 711 x i i Contents  The Reconstruction of Japan … 712  The Berlin Blockade and NATO … 713  The Growing Communist Challenge … 713  The Korean War … 715  Cold War Critics … 717  Imperialism and Decolonization … 717 Voices of Freedom: From Will Herberg, Protestant, Catholic, Jew (1955), and From Henry Steele Commager, “Who Is Loyal to America?” in Harper’s (September 1947) … 718 T H E C O L D W A R A N D T H E I D E A O F F R E E D O M . . . 720 Freedom and Totalitarianism … 720  The Rise of Human Rights … 721  Ambiguities of Human Rights … 722 T H E T R U M A N P R E S I D E N C Y . . . 722 The Fair Deal … 722  The Postwar Strike Wave … 723  The Republican Resurgence … 723  Postwar Civil Rights … 724  To Secure These Rights … 725  The Dixiecrat and Wallace Revolts … 725 T H E A N T I C O M M U N I S T C R U S A D E . . . 727 Loyalty and Disloyalty … 728  The Spy Trials … 729  McCarthy and McCarthyism … 730  An Atmosphere of Fear … 731  The Uses of Anticommunism … 731  Anticommunist Politics … 732  Cold War Civil Rights … 733 R E V I E W . . . 7 3 5 2 4 . A N A F F L U E N T S O C I E T Y , 1 9 5 3 – 1 9 6 0 . . . 7 3 6 T H E G O L D E N A G E . . . 738 A Changing Economy … 738  A Suburban Nation … 739  The Growth of the West … 740  The TV World … 741  Women at Work and at Home … 741  A Segregated Landscape … 742  The Divided Society … 743  Religion and Anticommunism … 743  Selling Free Enterprise … 744  The Libertarian Conservatives and the New Conservatives … 744 T H E E I S E N H O W E R E R A . . . 745 Ike and Nixon … 745  The 1952 Campaign … 746  Modern Republicanism … 747  The Social Contract … 748  Massive Retaliation … 749  Ike and the Russians … 749  The Emergence of the Third World … 750  Origins of the Vietnam War … 751  Mass Society and Its Critics … 752  Rebels without a Cause … 753 T H E F R E E D O M M O V E M E N T . . . 754 Origins of the Movement … 755  The Legal Assault on Segregation … 755  The Brown Case … 757  The Montgomery Bus Boycott … 758  The Daybreak of Freedom … 758  The Leadership of King … 759  Massive Resistance … 760  Eisenhower and Civil Rights … 760 C o n t e n t s x i i i Voices of Freedom: From Richard Right, “I Choose Exile” (1950), and From The Southern Manifesto (1956) … 762 T H E E L E C T I O N O F 1 9 6 0 . . . 764 Kennedy and Nixon … 764  The End of the 1950s … 765 R E V I E W . . . 7 6 7 2 5 . T H E S I X T I E S , 1 9 6 0 – 1 9 6 8 . . . 7 6 8 T H E C I V I L R I G H T S R E V O L U T I O N . . . 770 The Rising Tide of Protest … 770  Birmingham … 771  The March on Washington … 772 T H E K E N N E D Y Y E A R S . . . 773 Kennedy and the World … 773  The Missile Crisis … 774  Kennedy and Civil Rights … 775 L Y N D O N J O H N S O N ’ S P R E S I D E N C Y . . . 776 The Civil Rights Act of 1964 … 776  Freedom Summer … 776  The 1964 Election … 777  The Conservative Sixties … 778  The Voting Rights Act … 780  Immigration Reform … 780  The Great Society … 781  The War on Poverty … 781  Freedom and Equality … 782 T H E C H A N G I N G B L A C K M O V E M E N T . . . 782 The Ghetto Uprisings … 783  Malcolm X … 784  The Rise of Black Power … 784 V I E T N A M A N D T H E N E W L E F T . . . 785 Old and New Lefts … 785  The Fading Consensus … 786  America and Vietnam … 787 Voices of Freedom: From Young Americans for Freedom, The Sharon Statement (September 1960), and From Tom Hayden and Others, The Port Huron Statement (June 1962) … 788 Lyndon Johnson’s War … 790  The Antiwar Movement … 792  The Counterculture … 793  Personal Liberation and the Free Individual … 793  Faith and the Counterculture … 794 T H E N E W M O V E M E N T S A N D T H E R I G H T S R E V O L U T I O N . . . 7 9 5 The Feminine Mystique … 795  Women’s Liberation … 796  Personal Freedom … 796  Gay Liberation … 797  Latino Activism … 797  Red Power … 798  Silent Spring … 798  The Rights Revolution … 799  The Right to Privacy … 801 1 9 6 8 . . . 802 A Year of Turmoil … 802  The Global 1968 … 803  Nixon’s Comeback … 804  The Legacy of the Sixties … 804 R E V I E W . . . 8 0 5 x i v Contents 2 6 . T H E T R I U M P H O F C O N S E R V A T I S M , 1 9 6 9 – 1 9 8 8 . . . 8 0 6 P R E S I D E N T N I X O N . . . 807 Nixon’s Domestic Policies … 808  Nixon and Welfare … 808  Nixon and Race … 809  The Burger Court … 809  The Continuing Sexual Revolution … 810  Nixon and Détente … 811 V I E T N A M A N D W A T E R G A T E . . . 813 Nixon and Vietnam … 813  The End of the Vietnam War … 814  Watergate … 815  Nixon’s Fall … 815 T H E E N D O F T H E G O L D E N A G E . . . 816 The Decline of Manufacturing … 816  Stagflation … 818  The Beleaguered Social Compact … 818  Ford as President … 819  The Carter Administration … 820  Carter and the Economic Crisis … 820  The Emergence of Human Rights Politics … 821  The Iran Crisis and Afghanistan … 822 T H E R I S I N G T I D E O F C O N S E R V A T I S M . . . 823 Voices of Freedom: From Redstockings Manifesto (1969), and From Jerry Falwell, Listen, America! (1980) … 824 The Religious Right … 826  The Battle over the Equal Rights Amendment … 827  The Abortion Controversy … 828  The Tax Revolt … 829  The Election of 1980 … 829 T H E R E A G A N R E V O L U T I O N . . . 830 Reagan and American Freedom … 830  Reaganomics … 831  Reagan and Labor … 831  The Problem of Inequality … 832  The Second Gilded Age … 833  Conservatives and Reagan … 834  Reagan and the Cold War … 834  The Iran-Contra Affair … 836  Reagan and Gorbachev … 836  Reagan’s Legacy … 837  The Election of 1988 … 837 R E V I E W . . . 8 3 9 2 7 . G L O B A L I Z A T I O N A N D I T S D I S C O N T E N T S , 1 9 8 9 – 2 0 0 0 . . . 8 4 0 T H E P O S T – C O L D W A R W O R L D . . . 842 The Crisis of Communism … 842  A New World Order? … 844  The Gulf War … 845  Visions of America’s Role … 845  The Election of Clinton … 845  Clinton in Office … 846  The “Freedom Revolution” … 847 Voices of Freedom: From Bill Clinton, Speech on Signing of NAFTA (1993), and From Global Exchange, Seattle, Declaration for Global Democracy (December 1999) … 848 Clinton’s Political Strategy … 850  Clinton and World Affairs … 851  Human Rights … 852 C o n t e n t s x v A N E W E C O N O M Y ? . . . 853 The Computer Revolution … 853  The Stock Market Boom and Bust … 854  The Enron Syndrome … 855  Fruits of Deregulation … 855  Rising Inequality … 856 C U L T U R E W A R S . . . 857 The Newest Immigrants … 858  The New Diversity … 859  African- Americans in the 1990s … 861  The Spread of Imprisonment … 862  The Continuing Rights Revolution … 863  Native Americans … 864  Multiculturalism … 865  “Family Values” in Retreat … 866  The Antigovernment Extreme … 866 I M P E A C H M E N T A N D T H E E L E C T I O N O F 2 0 0 0 . . . 867 The Impeachment of Clinton … 868  The Disputed Election … 868  A Challenged Democracy … 869 F R E E D O M A N D T H E N E W C E N T U R Y . . . 870 Exceptional America … 871 R E V I E W . . . 8 7 3 2 8 . A N E W C E N T U R Y A N D N E W C R I S E S . . . 8 7 4 T H E W A R O N T E R R O R I S M . . . 876 Bush before September 11 … 876  “They Hate Freedom” … 877  The Bush Doctrine … 877  The “Axis of Evil” … 878 A N A M E R I C A N E M P I R E ? . . . 878 Confronting Iraq … 879  The Iraq War … 880  The World and the War … 881 T H E A F T E R M A T H O F S E P T E M B E R 1 1 A T H O M E . . . 883 Security and Liberty … 883  The Power of the President … 883  The Torture Controversy … 884  The Economy under Bush … 885 T H E W I N D S O F C H A N G E . . . 885 The 2004 Election … 885  Bush’s Second Term … 886  Hurricane Katrina … 886  The Immigration Debate … 887  Islam, America, and the “Clash of Civilizations” … 888  The Constitution and Liberty … 889  The Court and the President … 890  The Midterm Elections of 2006 … 890  The Housing Bubble … 891  The Great Recession … 892  “A Conspiracy against the Public” … 893  Bush and the Crisis … 894 T H E R I S E O F O B A M A . . . 895 The 2008 Campaign … 896  The Age of Obama? … 897  Obama’s First Inauguration … 897 Voices of Freedom: From The National Security Strategy of the United States (September 2002), and From President Barack Obama, Speech on the Middle East (2011) … 898 Obama in Office … 900 x v i Contents O B A M A ’ S F I R S T T E R M . . . 902 The Continuing Economic Crisis … 902  Obama and the World … 902  The Republican Revival … 904  The Occupy Movement … 905  The 2012 Campaign … 905 L E A R N I N G F R O M H I S T O R Y . . . 907 R E V I E W . . . 9 0 9 A P P E N D I X D O C U M E N T S The Declaration of Independence (1776) … A-2 The Constitution of The United States (1787) … A-5 From George Washington’s Farewell Address (1796) … A-17 The Seneca Falls Declaration of Sentiments And Resolutions (1848) … A-22 From Frederick Douglass’s “What, To the Slave, Is The Fourth Of July?” Speech (1852) … A-25 The Gettysburg Address (1863) … A-29 Abraham Lincoln’s Second Inaugural Address (1865) … A-30 The Populist Platform of 1892 … A-31 Franklin D. Roosevelt’s First Inaugural Address (1933) … A-34 From The Program For The March On Washington For Jobs And Freedom (1963) … A-37 Ronald Reagan’s First Inaugural Address (1981) … A-38 Barack Obama’s First Inaugural Address (2009) … A-42 T A B L E S A N D F I G U R E S Presidential Elections … A-46 Admission of States … A-54 Population of the United States … A-55 Historical Statistics of The United States: Labor Force—Selected Characteristics Expressed As A Percentage of The Labor Force, 1800–2010 … A-56 Immigration, By Origin … A-56 Unemployment Rate, 1890–2013 … A-57 Union Membership As A Percentage Of Nonagricultural Employment, 1880–2012 … A-57 Voter Participation in Presidential Elections 1824–2012 … A-57 Birthrate, 1820–2011 … A-57 S U G G E S T E D R E A D I N G S … A – 5 9 G L O S S A R Y … A – 6 9 C R E D I T S … A – 9 7 I N D E X … A – 9 9 C o n t e n t s x v i i M A P S Japanese-American Internment, 1942–1945 … 693 C H A P T E R 1 5 C H A P T E R 2 3 The Barrow Plantation … 446 Sharecropping in the South, 1880 … 452 Cold War Europe, 1956 … 714 The Presidential Election of 1868 … 460 The Korean War, 1950–1953 … 716 Reconstruction in the South, 1867–1877 … 471 The Presidential Election of 1948 … 727 The Presidential Election of 1876 … 472 C H A P T E R 2 4 C H A P T E R 1 6 The Interstate Highway System … 740 The Railroad Network, 1880 … 479 The Presidential Election of 1952 … 747 Indian Reservations, ca. 1890 … 491 The Presidential Election of 1960 … 765 Political Stalemate, 1876–1892 … 496 C H A P T E R 2 5 C H A P T E R 1 7 The Presidential Election of 1964 … 778 Populist Strength, 1892 … 512 The Vietnam War, 1964–1975 … 791 The Presidential Election of 1896 … 516 The Spanish-American War: The Pacific … 532 C H A P T E R 2 6 The Spanish-American War: The Caribbean … 532 The Presidential Election of 1980 … 830 American Empire, 1898 … 534 The United States in the Caribbean and Central C H A P T E R 1 8 America, 1954–2004 … 835 Socialist Towns and Cities, 1900–1920 … 553 C H A P T E R 2 7 The Presidential Election of 1912 … 571 Eastern Europe after the Cold War … 844 C H A P T E R 1 9 The Presidential Election of 2000 … 868 The United States in the Caribbean, 1898–1941 … 577 C H A P T E R 2 8 World War I: The Western Front … 583 U.S. Presence in the Middle East, Europe in 1914 … 602 1947–2012 … 882 Europe in 1919 … 603 The Presidential Election of 2012 … 906 C H A P T E R 2 0 T A B L E S A N D F I G U R E S The Presidential Election of 1928 … 632 C H A P T E R 2 1 C H A P T E R 1 6 The Presidential Election of 1932 … 641 Table 16.1 Indicators of Economic Change, The Tennessee Valley Authority … 646 1870–1920 … 477 C H A P T E R 2 2 C H A P T E R 1 7 World War II in the Pacific, 1941–1945 … 679 Table 17.1 States with Over 200 Lynchings, World War II in Europe, 1942–1945 … 681 1889–1918 … 523 x v i i i List of Maps, Tables, and Figures C H A P T E R 1 8 Figure 24.3 The Baby Boom and Its Decline … 742 Table 18.1 Rise of the City, 1880–1920 … 546 Table 18.2 Immigrants and Their Children as C H A P T E R 2 5 Percentage of Population, Ten Major Cities, 1920 … 547 Figure 25.1 Percentage of Population below Table 18.3 Percentage of Women 14 Years and Poverty Level, by Race, 1959–1969 … 782 Older in the Labor Force … 549 Table 18.4 Percentage of Women Workers in C H A P T E R 2 6 Various Occupations … 550 Figure 26.1 Median Age of First Marriage, Table 18.5 Sales of Passenger Cars … 551 1947–1981 … 810 Table 26.1 The Misery Index, 1970–1980 … 817 C H A P T E R 1 9 Figure 26.2 Real Average Weekly Wages, 1955–1990 … 819 Table 19.1 The Great Migration … 597 Figure 26.3 Changes in Families’ Real Income, 1980–1990 … 832 C H A P T E R 2 0 Figure 20.1 Household Appliances, 1900–1930 … C H A P T E R 2 7 611 Figure 27.1 U.S. Income Inequality, 1913–2003 … Table 20.1 Selected Annual Immigration Quotas 856 under the 1924 Immigration Act … 626 Table 27.1 Immigration to the United States, 1960–2010 … 858 C H A P T E R 2 1 Figure 27.2 Birthplace of Immigrants, Figure 21.1 The Building Boom and Its Collapse, 1990–2000 … 860 1919–1939 … 647 Figure 27.3 The Projected Non-White Majority: Figure 21.2 Unemployment, 1925–1945 … 659 Racial and Ethnic Breakdown … 861 Table 27.2 Home Ownership Rates by Group, 1970–2000 … 862 C H A P T E R 2 2 Figure 27.4 Changes in Family Structure, Table 22.1 Labor Union Membership … 684 1970–2010 … 865 Figure 27.5 Women in the Paid Workforce, C H A P T E R 2 4 1940–2000 … 866 Figure 24.1 Real Gross Domestic Product per Capita, 1790–2000 … 738 C H A P T E R 2 8 Figure 24.2 Average Daily Television Viewing … Figure 28.1 Portrait of a Recession … 893 741 L i s t s o f M a p s , Ta b l e s , a n d F i g u r e s x i x P R E F A C E Since it originally appeared late in 2004, Give Me Liberty! An American History has gone through three editions and been adopted for use in survey courses at close to one thousand two- and four-year colleges in the United States, as well as a good number overseas. Of course, I am extremely gratified by this response. The book offers students a clear narra- tive of American history from the earliest days of European exploration and conquest of the New World to the first decade of the twenty-first century. Its central theme is the changing contours of American freedom. The comments I have received from instructors and students encour- age me to think that Give Me Liberty! has worked well in the classroom. These comments have also included many valuable suggestions, ranging from corrections of typographical and factual errors to thoughts about subjects that need more extensive treatment. In preparing new editions of the book I have tried to take these suggestions into account, as well as incorporating the insights of recent historical scholarship. Since the original edition was written, I have frequently been asked to produce a more succinct version of the textbook, which now runs to some 1,200 pages. This Brief Edition is a response to these requests. The text of the current volume is about one-third shorter than the full version. The result, I believe, is a book more suited to use in one-semester survey courses, classes x x Preface where the instructor wishes to supplement the text with additional read- ings, and in other situations where a briefer volume is desirable. Since some publishers have been known to assign the task of reduction in cases like this to editors rather than the actual author, I wish to empha- size that I did all the cutting and necessary rewriting for this Brief Edition myself. My guiding principle was to preserve the coverage, structure, and emphases of the regular edition and to compress the book by eliminating details of secondary importance, streamlining the narrative of events, and avoiding unnecessary repetition. While the book is significantly shorter, no subject treated in the full edition has been eliminated entirely and noth- ing essential, I believe, has been sacrificed. The sequence of chapters and subjects remains the same, and the freedom theme is present and operative throughout. In abridging the textbook I have retained the original interpretive framework as well as the new emphases added when the second and third editions of the book were published. The second edition incorporated new material about the history of Native Americans, an area of American his- tory that has been the subject of significant new scholarship in the past few years. It also devoted greater attention to the history of immigration and the controversies surrounding it—issues of considerable relevance to Amer- ican social and political life today. The most significant change in the third edition reflected my desire to place American history more fully in a global context. In the past few years, scholars writing about the American past have sought to delineate the influ- ences of the United States on the rest of the world as well as the global devel- opments that have helped to shape the course of events here at home. They have also devoted greater attention to transnational processes—the expan- sion of empires, international labor migrations, the rise and fall of slavery, the globalization of economic enterprise—that cannot be understood solely within the confines of one country’s national boundaries. Without seek- ing in any way to homogenize the history of individual nations or neglect the domestic forces that have shaped American development, this edition retains this emphasis. The most significant changes in this Fourth Edition reflect my desire to integrate more fully into the narrative the history of American religion. Today, this is a thriving subfield of American historical writing, partly because of the increased prominence in our own time of debates over the relations between government and religion and over the definition of reli- gious liberty—issues that are deeply rooted in the American experience. The Brief Edition also employs a bright new design for the text and its various elements. The popular Voices of Freedom feature—a pair of excerpts from primary source documents in each chapter that illuminate divergent inter- pretations of freedom—is present here. So too are the useful chapter opening P r e f a c e x x i focus questions, which appear in the running heads of the relevant text pages as well. There are chapter opening chronologies and end-of- chapter review pages with questions and key terms. As a new feature in the Brief Edition there are marginal glosses in the text pages that are meant to highlight key points and indicate the chapter structure for students. They are also useful means for review. The Brief Edition features more than 400 illustrations and over 100 captioned maps in easy to read four-color renditions. The Fur- ther Readings sections appear in the Appendix along with the Glossary and the collection of key documents. The Brief Edition is fully supported by the same array of print and electronic supplements that support the other edi- tions of Give Me Liberty! These materials have been revised to match the con- tent of the Brief Edition. Americans have always had a divided attitude toward history. On the one hand, they tend to be remarkably future-oriented, dismissing events of even the recent past as “ancient history” and sometimes seeing history as a bur- den to be overcome, a prison from which to escape. On the other hand, like many other peoples, Americans have always looked to history for a sense of personal or group identity and of national cohesiveness. This is why so many Americans devote time and energy to tracing their family trees and why they visit historical museums and National Park Service historical sites in ever-increasing numbers. My hope is that this book will help to con- vince readers with all degrees of interest that history does matter to them. The novelist and essayist James Baldwin once observed that history “does not refer merely, or even principally, to the past. On the contrary, the great force of history comes from the fact that we carry it within us, . . . [that] history is literally present in all that we do.” As Baldwin recognized, the power of history is evident in our own world. Especially in a political democracy like the United States, whose government is designed to rest on the consent of informed citizens, knowledge of the past is essential—not only for those of us whose profession is the teaching and writing of history, but for everyone. History, to be sure, does not offer simple lessons or imme- diate answers to current questions. Knowing the history of immigration to the United States, and all of the tensions, turmoil, and aspirations associated with it, for example, does not tell us what current immigration policy ought to be. But without that knowledge, we have no way of understanding which approaches have worked and which have not—essential information for the formulation of future public policy. History, it has been said, is what the present chooses to remember about the past. Rather than a fixed collection of facts, or a group of inter- pretations that cannot be challenged, our understanding of history is con- stantly changing. There is nothing unusual in the fact that each generation rewrites history to meet its own needs, or that scholars disagree among x x i i Preface themselves on basic questions like the causes of the Civil War or the rea- sons for the Great Depression. Precisely because each generation asks dif- ferent questions of the past, each generation formulates different answers. The past thirty years have witnessed a remarkable expansion of the scope of historical study. The experiences of groups neglected by earlier scholars, including women, African-Americans, working people, and others, have received unprecedented attention from historians. New subfields—social history, cultural history, and family history among them—have taken their place alongside traditional political and diplomatic history. Give Me Liberty! draws on this voluminous historical literature to pres- ent an up-to-date and inclusive account of the American past, paying due attention to the experience of diverse groups of Americans while in no way neglecting the events and processes Americans have experienced in common. It devotes serious attention to political, social, cultural, and eco- nomic history, and to their interconnections. The narrative brings together major events and prominent leaders with the many groups of ordinary peo- ple who make up American society. Give Me Liberty! has a rich cast of char- acters, from Thomas Jefferson to campaigners for woman suffrage, from Franklin D. Roosevelt to former slaves seeking to breathe meaning into emancipation during and after the Civil War. The unifying theme of freedom that runs through the text gives shape to the narrative and integrates the numerous strands that make up the American experience. This approach builds on that of my earlier book, The Story of American Freedom (1998), although Give Me Liberty! places events and personalities in the foreground and is more geared to the structure of the introductory survey course. Freedom, and battles to define its meaning, has long been central to my own scholarship and undergraduate teaching, which focuses on the nineteenth century and especially the era of Civil War and Reconstruction (1850–1877). This was a time when the future of slavery tore the nation apart and emancipation produced a national debate over what rights the former slaves, and all Americans, should enjoy as free citizens. I have found that attention to clashing definitions of freedom and the struggles of differ- ent groups to achieve freedom as they understood it offers a way of mak- ing sense of the bitter battles and vast transformations of that pivotal era. I believe that the same is true for American history as a whole. No idea is more fundamental to Americans’ sense of themselves as individuals and as a nation than freedom. The central term in our politi- cal language, freedom—or liberty, with which it is almost always used interchangeably—is deeply embedded in the record of our history and the language of everyday life. The Declaration of Independence lists liberty among mankind’s inalienable rights; the Constitution announces its pur- pose as securing liberty’s blessings. The United States fought the Civil War P r e f a c e x x i i i to bring about a new birth of freedom, World War II for the Four Freedoms, and the Cold War to defend the Free World. Americans’ love of liberty has been represented by liberty poles, liberty caps, and statues of liberty, and acted out by burning stamps and burning draft cards, by running away from slavery, and by demonstrating for the right to vote. “Every man in the street, white, black, red or yellow,” wrote the educator and statesman Ralph Bunche in 1940, “knows that this is ‘the land of the free’ . . . ‘the cradle of liberty.’” The very universality of the idea of freedom, however, can be mislead- ing. Freedom is not a fixed, timeless category with a single unchanging defi- nition. Indeed, the history of the United States is, in part, a story of debates, disagreements, and struggles over freedom. Crises like the American Revo- lution, the Civil War, and the Cold War have permanently transformed the idea of freedom. So too have demands by various groups of Americans to enjoy greater freedom. The meaning of freedom has been constructed not only in congressional debates and political treatises, but on plantations and picket lines, in parlors and even bedrooms. Over the course of our history, American freedom has been both a real- ity and a mythic ideal—a living truth for millions of Americans, a cruel mockery for others. For some, freedom has been what some scholars call a “habit of the heart,” an ideal so taken for granted that it is lived out but rarely analyzed. For others, freedom is not a birthright but a distant goal that has inspired great sacrifice. Give Me Liberty! draws attention to three dimensions of freedom that have been critical in American history: (1) the meanings of freedom; (2) the social conditions that make freedom possible; and (3) the boundaries of free- dom that determine who is entitled to enjoy freedom and who is not. All have changed over time. In the era of the American Revolution, for example, freedom was pri- marily a set of rights enjoyed in public activity—including the right of a com- munity to be governed by laws to which its representatives had consented and of individuals to engage in religious worship without governmental interference. In the nineteenth century, freedom came to be closely identi- fied with each person’s opportunity to develop to the fullest his or her innate talents. In the twentieth, the “ability to choose,” in both public and private life, became perhaps the dominant understanding of freedom. This develop- ment was encouraged by the explosive growth of the consumer marketplace which offered Americans an unprecedented array of goods with which to satisfy their needs and desires. During the 1960s, a crucial chapter in the history of American freedom, the idea of personal freedom was extended into virtually every realm, from attire and “lifestyle” to relations between the sexes. Thus, over time, more and more areas of life have been drawn into Americans’ debates about the meaning of freedom. x x i v Preface A second important dimension of freedom focuses on the social con- ditions necessary to allow freedom to flourish. What kinds of economic institutions and relationships best encourage individual freedom? In the colonial era and for more than a century after independence, the answer centered on economic autonomy, enshrined in the glorification of the inde- pendent small producer—the farmer, skilled craftsman, or shopkeeper— who did not have to depend on another person for his livelihood. As the industrial economy matured, new conceptions of economic freedom came to the fore: “liberty of contract” in the Gilded Age, “industrial freedom” (a say in corporate decision making) in the Progressive era, economic security during the New Deal, and, more recently, the ability to enjoy mass consump- tion within a market economy. The boundaries of freedom, the third dimension of this theme, have inspired some of the most intense struggles in American history. Although founded on the premise that liberty is an entitlement of all humanity, the United States for much of its history deprived many of its own people of free- dom. Non-whites have rarely enjoyed the same access to freedom as white Americans. The belief in equal opportunity as the birthright of all Ameri- cans has coexisted with persistent efforts to limit freedom by race, gender, class, and in other ways. Less obvious, perhaps, is the fact that one person’s freedom has fre- quently been linked to another’s servitude. In the colonial era and nine- teenth century, expanding freedom for many Americans rested on the lack of freedom—slavery, indentured servitude, the subordinate position of women—for others. By the same token, it has been through battles at the boundaries—the efforts of racial minorities, women, and others to secure greater freedom—that the meaning and experience of freedom have been deepened and the concept extended into new realms. Time and again in American history, freedom has been transformed by the demands of excluded groups for inclusion. The idea of freedom as a universal birthright owes much to abolitionists who sought to extend the blessings of liberty to blacks and to immigrant groups who insisted on full recognition as American citizens. The principle of equal protection of the law without regard to race, which became a central element of American freedom, arose from the antislavery struggle and Civil War and was rein- vigorated by the civil rights revolution of the 1960s, which called itself the “freedom movement.” The battle for the right of free speech by labor radicals and birth control advocates in the first part of the twentieth century helped to make civil liberties an essential element of freedom for all Americans. Freedom is the oldest of clichés and the most modern of aspirations. At various times in our history, it has served as the rallying cry of the power- less and as a justification of the status quo. Freedom helps to bind our cul- ture together and exposes the contradictions between what America claims P r e f a c e x x v to be and what it sometimes has been. American history is not a narrative of continual progress toward greater and greater freedom. As the abolitionist Thomas Wentworth Higginson noted after the Civil War, “revolutions may go backward.” While freedom can be achieved, it may also be taken away. This happened, for example, when the equal rights granted to former slaves immediately after the Civil War were essentially nullified during the era of segregation. As was said in the eighteenth century, the price of freedom is eternal vigilance. In the early twenty-first century, freedom continues to play a central role in our political and social life and thought. It is invoked by individuals and groups of all kinds, from critics of economic globalization to those who seek to export American freedom overseas. As with the longer version of the book, I hope that this Brief Edition of Give Me Liberty! will offer begin- ning students a clear account of the course of American history, and of its central theme, freedom, which today remains as varied, contentious, and ever-changing as America itself. x x v i Preface A C K N O W L E D G M E N T S All works of history are, to a considerable extent, collaborative books, in that every writer builds on the research and writing of previous scholars. This is especially true of a textbook that covers the entire American experience, over more than five centuries. My greatest debt is to the innumerable histo- rians on whose work I have drawn in preparing this volume. The Suggested Reading list in the Appendix offers only a brief introduction to the vast body of historical scholarship that has influenced and informed this book. More specifically, however, I wish to thank the following scholars, who gener- ously read portions of this work and offered valuable comments, criticisms, and suggestions: Wayne Ackerson, Salisbury University Mary E. Adams, City College of San Francisco Jeff Adler, University of Florida David Anderson, Louisiana Tech University John Barr, Lone Star College, Kingwood Lauren Braun-Strumfels, Raritan Valley Community College James Broussard, Lebanon Valley College Michael Bryan, Greenville Technical College Stephanie Cole, The University of Texas at Arlington Ashley Cruseturner, McLennan Community College Jim Dudlo, Brookhaven College Beverly Gage, Yale University Monica Gisolfi, University of North Carolina, Wilmington Adam Goudsouzian, University of Memphis Mike Green, Community College of Southern Nevada Vanessa Gunther, California State University, Fullerton David E. Hamilton, University of Kentucky Brian Harding, Mott Community College Sandra Harvey, Lone Star College–Cy Fair April Holm, University of Mississippi David Hsiung, Juniata College James Karmel, Harford Community College Kelly Knight, Penn State University Marianne Leeper, Trinity Valley Community College Jeffrey K. Lucas, University of North Carolina at Pembroke Tina Margolis, Westchester Community College Kent McGaughy, HCC Northwest College James Mills, University of Texas, Brownsville Gil Montemayor, McLennan Community College Jonathan Noyalas, Lord Fairfax Community College Robert M. O’Brien, Lone Star College–Cy Fair P r e f a c e x x v i i Joseph Palermo, California State University, Sacramento Ann Plane, University of California, Santa Barbara Nancy Marie Robertson, Indiana University–Purdue University Indianapolis Esther Robinson, Lone Star College–Cy Fair Richard Samuelson, California State University, San Bernadino Diane Sager, Maple Woods Community College John Shaw, Portland Community College Mark Spencer, Brock University David Stebenne, Ohio State University Judith Stein, City College, City University of New York George Stevens, Duchess Community College Robert Tinkler, California State University, Chico Elaine Thompson, Louisiana Tech University David Weiman, Barnard College William Young, Maple Woods Community College I am particularly grateful to my colleagues in the Columbia University Department of History: Pablo Piccato, for his advice on Latin American his- tory; Evan Haefeli and Ellen Baker, who read and made many suggestions for improvements in their areas of expertise (colonial America and the history of the West, respectively); and Sarah Phillips, who offered advice on treating the history of the environment. I am also deeply indebted to the graduate students at Columbia Univer- sity’s Department of History who helped with this project. Theresa Ventura offered invaluable assistance in gathering material for the new sections plac- ing American history in a global context. April Holm provided similar assis- tance for new coverage in this edition of the history of American religion and debates over religious freedom. James Delbourgo conducted research for the chapters on the colonial era. Beverly Gage did the same for the twenti- eth century. Daniel Freund provided all-round research assistance. Victoria Cain did a superb job of locating images. I also want to thank my colleagues Elizabeth Blackmar and Alan Brinkley for offering advice and encourage- ment throughout the writing of this book. Many thanks to Joshua Brown, director of the American Social History Project, whose website, History Matters, lists innumerable online resources for the study of American history. Nancy Robertson at IUIPUI did a superb job revising and enhancing the in-book pedagogy. Monica Gisolfi (Univer- sity of North Carolina, Wilmington) and Robert Tinkler (California State University, Chico) did excellent work on the Instructor’s Manual and Test Bank. Kathleen Thomas (University of Wisconsin, Stout) helped greatly in the revisions of the companion media packages. x x v i i i Preface At W. W. Norton & Company, Steve Forman was an ideal editor— patient, encouraging, and always ready to offer sage advice. I would also like to thank Steve’s assistants, Justin Cahill and Penelope Lin, for their indispensable and always cheerful help on all aspects of the project; Ellen Lohman and Debbie Nichols for their careful copyediting and proof read- ing work. Stephanie Romeo and Donna Ranieri for their resourceful atten- tion to the illustrations program; Hope Miller Goodell and Chin-Yee Lai for their refinements of the book design; Mike Fodera and Debra Morton-Hoyt for splendid work on the covers for the Fourth Edition; Kim Yi for keep- ing the many threads of the project aligned and then tying them together; Sean Mintus for his efficiency and care in book production; Steve Hoge for orchestrating the rich media package that accompanies the textbook; Jessica Brannon-Wranosky, Texas A&M University–Commerce, our digital media author for the terrific new web quizzes and outlines; Volker Janssen, Cali- fornia State University, Fullerton, for the helpful new online reading exer- cises; Nicole Netherton, Steve Dunn, and Mike Wright for their alert reads of the U.S. survey market and their hard work in helping establish Give Me Liberty! within it; and Drake McFeely, Roby Harrington, and Julia Reidhead for maintaining Norton as an independent, employee-owned publisher ded- icated to excellence in its work. Many students may have heard stories of how publishing companies alter the language and content of textbooks in an attempt to maximize sales and avoid alienating any potential reader. In this case, I can honestly say that W. W. Norton allowed me a free hand in writing the book and, apart from the usual editorial corrections, did not try to influence its content at all. For this I thank them, while I accept full responsibility for the interpretations pre- sented and for any errors the book may contain. Since no book of this length can be entirely free of mistakes, I welcome readers to send me corrections at My greatest debt, as always, is to my family—my wife, Lynn Garafola, for her good-natured support while I was preoccupied by a project that con- sumed more than its fair share of my time and energy, and my daughter, Daria, who while a ninth and tenth grader read every chapter as it was writ- ten and offered invaluable suggestions about improving the book’s clarity, logic, and grammar. Eric Foner New York City July 2013 P r e f a c e x x i x G I V E M E L I B E R T Y ! A N A M E R I C A N H I S T O R Y  B r i e f F o u r t h E d i t i o n 1865 Special Field Order 15 C H A P T E R 1 5 Freedmen’s Bureau established Lincoln assassinated; Andrew Johnson becomes president 1865– Presidential Reconstruction 1867 Black Codes “ W H A T I S 1866 Civil Rights Bill Ku Klux Klan established 1867 Reconstruction Act of 1867 F R E E D O M ? ” Tenure of Office Act 1867– Radical Reconstruction 1877  1868 Impeachment and trial of President Johnson Fourteenth Amendment ratified R E C O N S T R U C T I O N , 1 8 6 5 – 1 8 7 7 1869 Inauguration of Ulysses S. Grant 1870 Hiram Revels, first black U.S. senator Fifteenth Amendment ratified 1870– Enforcement Acts 1871 1872 Liberal Republicans established 1873 Colfax Massacre Slaughterhouse Cases National economic depression begins 1876 United States v. Cruikshank 1877 Bargain of 1877 The Shackle Broken—by the Genius of Freedom. This 1874 lithograph depicts Robert B. Elliott, a black congressman from South Carolina, delivering celebrated speech supporting the bill that became the Civil Rights Act of 1875. F O C U S On the evening of January 12, 1865, less than a month after Union forces captured Savannah, Georgia, twenty leaders of the city’s black community gathered for a discussion with General William T. Sherman and Secretary of War Edwin M. Stanton. The con- Q U E S T I O N S versation revealed that the black leaders brought out of slavery a clear definition of freedom. Asked what he understood by slavery, Garrison s Frazier, a Baptist minister chosen as the group’s spokesman, responded did the former slaves and that it meant one person’s “receiving by irresistible power the work of slaveholders pursue in the another man, and not by his consent.” Freedom he defined as “placing postwar South? us where we could reap the fruit of our own labor, and take care of our- selves.” The way to accomplish this was “to have land, and turn it and till s it by our own labor.” visions of Reconstruction? Sherman’s meeting with the black leaders foreshadowed some of the radical changes that would take place during the era known s as Reconstruction (meaning, literally, the rebuilding of the shattered political effects of Radi- nation). In the years following the Civil War, former slaves and their cal Reconstruction in the white allies, North and South, would seek to redefine the meaning and South? boundaries of American freedom. Previously an entitlement of whites, freedom would be expanded to include black Americans. The laws and s Constitution would be rewritten to guarantee African-Americans, for tors, in both the North and the first time in the nation’s history, recognition as citizens and equality South, for the abandon- before the law. Black men would be granted the right to vote, ushering ment of Reconstruction? in a period of interracial democracy throughout the South. Black schools, churches, and other institutions would flourish, laying the foundation for the modern African-American community. Many of the advances of Reconstruction would prove temporary, swept away during a campaign of violence in the South and the North’s retreat from the ideal of equal- ity. But Reconstruction laid the foundation for future struggles to extend freedom to all Americans. Four days after the meeting, Sherman responded to the black delegation by issuing Special Field Order 15. This set aside the Sea Islands and a large area along the South Carolina and Georgia coasts for the settlement of black families on forty-acre plots of land. He also offered them broken-down mules that the army could no longer use. In Sherman’s order lay the origins of the phrase, “forty acres and a mule,” which would reverberate across the South in the next few years. Among the emancipated slaves, Sherman’s order raised hopes that the end of slavery would be accompanied by the economic independence that they, like other Americans, believed essential to genuine freedom. 442 C h a p t e r 1 5  “What Is Freedom?” What visions of freedom did the former slaves and slaveholders pursue in the postwar South? T H E M E A N I N G O F F R E E D O M “What is freedom?” asked Congressman James A. Garfield in 1865. “Is it the bare privilege of not being chained? If this is all, then freedom is a bitter mockery, a cruel delusion.” Did freedom mean simply the absence of slavery, or did it imply other rights for the former slaves, and if so, which ones? Equal civil rights, the vote, ownership of property? During Reconstruction, freedom became a terrain of conflict, its substance open to different, often contradictory interpretations. Conflicts over freedom African-Americans’ understanding of freedom was shaped by their experiences as slaves and their observation of the free society around them. To begin with, freedom meant escaping the numerous injustices of slavery—punishment by the lash, the separation of families, denial of access to education, the sexual exploitation of black women by their owners—and sharing in the rights and opportunities of American citizens. “If I cannot do like a white man,” Henry Adams, an emancipated slave in Family Record, a lithograph marketed Louisiana, told his former master in 1865, “I am not free.” to former slaves after the Civil War, centers on an idealized portrait of a middle-class black family, with scenes of slavery and freedom. F a m i l i e s i n F r e e d o m With slavery dead, institutions that had existed before the war, like the black family, free blacks’ churches and schools, and the secret slave church, were strength- ened, expanded, and freed from white supervision. The family was central to the postemancipation black community. Former slaves made remarkable efforts to locate loved ones from whom they had been separated under slavery. One northern reporter in 1865 encoun- tered a freedman who had walked more than 600 miles from Georgia to North Carolina, searching for the wife and children from whom he had been sold away before the war. While freedom helped to stabilize family life, it also subtly altered relationships within the family. Immediately after the Civil War, planters complained that freedwomen had “withdrawn” from field labor and work as house servants. Many black women preferred to devote more time to their families than had been pos- sible under slavery, and men considered it a badge of T H E M E A N I N G O F F R E E D O M 443 honor to see their wives remain at home. Eventually, the dire poverty of the black community would compel a far higher proportion of black women than white women to go to work for wages. C h u r c h a n d S c h o o l At the same time, blacks abandoned white-controlled religious institutions to create churches of their own. On the eve of the Civil War, 42,000 black Methodists worshiped in biracial South Carolina churches; by the end of Reconstruction, only 600 remained. As the major institution independent of white control, the church Five Generations of a Black Family, played a central role in the black community. A place of worship, it also an 1862 photograph that suggests housed schools, social events, and political gatherings. Black ministers the power of family ties among came to play a major role in politics. Some 250 held public office during emancipated slaves. Reconstruction. Another striking example of the freedpeople’s quest for individual and community improvement was their desire for education. The thirst for learn- ing sprang from many sources—a desire to read the Bible, the need to prepare for the economic marketplace, and the opportunity, which arose in 1867, to take part in politics. Blacks of all ages flocked to the schools established by Mother and Daughter Reading, Mt. Meigs, Alabama, an 1890 northern missionary societies, the Freedmen’s Bureau, and groups of ex- photograph by Rudolph Eickemeyer. slaves themselves. Reconstruction also witnessed the creation of the nation’s During Reconstruction and for years first black colleges, including Fisk University in Tennessee, Hampton thereafter, former slaves exhibited Institute in Virginia, and Howard University in the nation’s capital. a deep desire for education, and learning took place outside of school as well as within. P o l i t i c a l F r e e d o m In a society that had made political participation a core element of freedom, the right to vote inevitably became central to the former slaves’ desire for empowerment and equality. As Frederick Douglass put it soon after the South’s surrender in 1865, “Slavery is not abolished until the black man has the ballot.” In a “monarchial government,” Douglass explained, no “special” disgrace applied to those denied the right to vote. But in a democ- racy, “where universal suffrage is the rule,” excluding any group meant branding them with “the stigma of inferiority.” Anything less than full citizenship, black spokesmen insisted, would betray the nation’s democratic promise and the war’s meaning. To demon- strate their patriotism, blacks throughout the South organized Fourth of July celebrations. For years after the Civil War, white southerners would 444 C h a p t e r 1 5  “What Is Freedom?” What visions of freedom did the former slaves and slaveholders pursue in the postwar South? The First African Church, Richmond, as depicted in Harper’s Weekly, June 27, 1874. The establishment of independent black churches was an enduring accomplishment of Reconstruction. “shut themselves within doors” on Independence Day, as a white resident of Charleston recorded in her diary, while former slaves commemorated the holiday themselves. L a n d , L a b o r , a n d F r e e d o m Like those of rural people throughout the world, former slaves’ ideas of freedom were directly related to landownership. On the land they would Freedom and landownership develop independent communities free of white control. Many former slaves insisted that through their unpaid labor, they had acquired a right to the land. “The property which they hold,” declared an Alabama black con- vention, “was nearly all earned by the sweat of our brows.” In some parts of the South, blacks in 1865 seized property, insisting that it belonged to them. In its individual elements and much of its language, former slaves’ definition of freedom resembled that of white Americans—self-ownership, Freedom’s meaning for former slaves family stability, religious liberty, political participation, and economic autonomy. But these elements combined to form a vision very much their own. For whites, freedom, no matter how defined, was a given, a birthright to be defended. For African-Americans, it was an open-ended process, a transformation of every aspect of their lives and of the society and cul- ture that had sustained slavery in the first place. Although the freedpeople failed to achieve full freedom as they understood it, their definition did much to shape national debate during the turbulent era of Reconstruction. M a s t e r s w i t h o u t S l a v e s Most white southerners reacted to military defeat and emancipation with The southern white reaction to dismay, not only because of the widespread devastation but also because emancipation they must now submit to northern demands. “The demoralization is T H E M E A N I N G O F F R E E D O M 445 Two maps of the Barrow plantation illustrate the effects of emancipation T H E B A R R O W P L A N T A T I O N on rural life in the South. In 1860, 1860 1881 slaves lived in communal quarters near the owner’s house. Twenty years later, former slaves working as Sabrina sharecroppers lived scattered across Dalton the plantation and had their own Lizzie Dalton iver iver church and school. Frank Maxey Joe Bug Jim Reid ittle R ittle R L W L r Wr Nancy Pope ig i h g t h ‘s t ‘s Cane Pope B Church r B an Gus Barrow ra c School Willis n h c Bryant h Gin House Lem Bryant Gin House Lewis Watson Tom Wright Reuben Barrow Ben Thomas Omy Barrow “Granny” Slave Peter Tom Landlord’s Quarters Master’s Barrow Thomas House House Milly Barrow Handy Barrow Old Isaac Calvin Tom Tang Branch Creek Parker Branch Creek Beckton Barrow Syll’s Fork Syll’s Fork Lem Douglas complete,” wrote a Georgia girl. “We are whipped, there is no doubt about it.” The appalling loss of life, a disaster without parallel in the American Confederate deaths experience, affected all classes of southerners. Nearly 260,000 men died for the Confederacy—more than one-fifth of the South’s adult male white population. The widespread destruction of work animals, farm buildings, and machinery ensured that economic revival would be slow and painful. In 1870, the value of property in the South, not counting that represented by slaves, was 30 percent lower than before the war. Planter families faced profound changes in the war’s aftermath. Many Planters lost not only their slaves but their life savings, which they had patrioti- cally invested in now-worthless Confederate bonds. Some, whose slaves departed the plantation, for the first time found themselves compelled to do physical labor. Southern planters sought to implement an understanding of freedom quite different from that of the former slaves. As they struggled to accept the reality of emancipation, most planters defined black freedom in the narrowest manner. As journalist Sidney Andrews discovered late in 1865, “The whites seem wholly unable to comprehend that freedom for the negro means the same thing as freedom for them.” 446 C h a p t e r 1 5  “What Is Freedom?” What visions of freedom did the former slaves and slaveholders pursue in the postwar South? T h e F r e e L a b o r V i s i o n Along with former slaves and former masters, the victorious Republican North tried to implement its own vision of freedom. Central to its defini- tion was the antebellum principle of free labor, now further strengthened as a definition of the good society by the Union’s triumph. In the free labor Free labor and the good society vision of a reconstructed South, emancipated blacks, enjoying the same opportunities for advancement as northern workers, would labor more productively than they had as slaves. At the same time, northern capital and migrants would energize the economy. The South would eventually come to resemble the “free society” of the North, complete with public schools, small towns, and independent farmers. With planters seeking to establish a labor system as close to slavery as possible, and former slaves demanding economic autonomy and access to land, a long period of conflict over the organization and control of labor followed on plantations throughout the South. It fell to the Freedmen’s Winslow Homer’s 1876 painting , A Bureau, an agency established by Congress in March 1865, to attempt to Visit from the Old Mistress, depicts an imaginary meeting between a establish a working free labor system. southern white woman and her former slaves. Their stance and gaze suggest the tensions arising from the birth T h e F r e e d m e n ’ s B u r e a u of a new social order. Homer places his subjects on an equal footing, Under the direction of O. O. Howard, a graduate of Bowdoin College in yet maintains a space of separation Maine and a veteran of the Civil War, the bureau took on responsibilities between them. He exhibited the that can only be described as daunting. The bureau was an experiment in painting to acclaim at the Paris government social policy that seems to belong more comfortably to the Universal Exposition in 1878. New Deal of the 1930s or the Great Society of the 1960s (see Chapters 21 and 25, respec- tively) than to nineteenth-century America. Bureau agents were supposed to establish schools, provide aid to the poor and aged, settle disputes between whites and blacks and among the freedpeople, and secure for former slaves and white Unionists equal treatment before the courts. “It is not . . . in your power to fulfill one-tenth of the expec- tations of those who framed the Bureau,” General William T. Sherman wrote to Howard. “I fear you have Hercules’ task.” The bureau lasted from 1865 to 1870. Even at its peak, there were fewer than T H E M E A N I N G O F F R E E D O M 447 The Freedmen’s Bureau, an engraving from Harper’s Weekly, July 25, 1868, depicts the bureau agent as a promoter of racial peace in the violent postwar South. Achievements of the 1,000 agents in the entire South. Nonetheless, the bureau’s achievements Freedmen’s Bureau in some areas, notably education and health care, were striking. By 1869, nearly 3,000 schools, serving more than 150,000 pupils in the South, reported to the bureau. Bureau agents also ran hospitals established dur- ing the war and provided medical care and drugs to both black and white southerners. T h e F a i l u r e o f L a n d R e f o r m One provision of the law establishing the bureau gave it the authority to divide abandoned and confiscated land into forty-acre plots for rental and eventual sale to the former slaves. In the summer of 1865, however, President Andrew Johnson and land Andrew Johnson, who had succeeded Lincoln, ordered nearly all land in reform federal hands returned to its former owners. A series of confrontations followed, notably in South Carolina and Georgia, where the army forcibly evicted blacks who had settled on “Sherman land.” When O. O. Howard, head of the Freedmen’s Bureau, traveled to the Sea Islands to inform blacks of the new policy, he was greeted with disbelief and protest. A committee of former slaves drew up petitions to Howard and President Johnson. Land, the freedmen insisted, was essential to the meaning of freedom. Without it, they declared, “we have not bettered our condition” from the days of slavery—“you will see, this is not the condition of really free men.” Because no land distribution took place, the vast majority of rural freedpeople remained poor and without property during Reconstruction. 448 C h a p t e r 1 5  “What Is Freedom?” What visions of freedom did the former slaves and slaveholders pursue in the postwar South? They had no alternative but to work on white-owned plantations, often for their former owners. Far from being able to rise in the social scale through hard work, black men were largely confined to farm work, unskilled labor, and service jobs, and black women to positions in pri- vate homes as cooks and maids. The failure of land reform produced a deep sense of betrayal that survived among the former slaves and their descendants long after the end of Reconstruction. “No sir,” Mary Gaffney, an elderly ex-slave, recalled in the 1930s, “we were not given a thing but freedom.” Out of the conflict on the plantations, new systems of labor emerged in the different regions of the South. Sharecropping came to dominate the Cotton Belt and much of the Tobacco Belt of Virginia and North Carolina. Sharecropping initially arose as a compromise between blacks’ desire for land and planters’ demand for labor discipline. The system allowed each A nursemaid and her charge, from a black family to rent a part of a plantation, with the crop divided between daguerreotype around 1865. worker and owner at the end of the year. Sharecropping guaranteed the planters a stable resident labor force. Former slaves preferred it to gang labor because it offered them the prospect of working without day-to- day white supervision. But as the years went on, sharecropping became more and more oppressive. Sharecroppers’ economic opportunities were severely limited by a world market in which the price of farm products suffered a prolonged decline. T h e W h i t e F a r m e r The plight of the small farmer was not confined to blacks in the postwar South. Wartime devastation set in motion a train of events that perma- nently altered the independent way of life of white yeomen, leading to what they considered a loss of freedom. To obtain supplies from mer- chants, farmers were forced to take up the growing of cotton and pledge a part of the crop as collateral (property the creditor can seize if a debt is not paid). This system became known as the “crop lien.” Since interest rates The crop-lien system were extremely high and the price of cotton fell steadily, many farmers found themselves still in debt after marketing their portion of the crop at year’s end. They had no choice but to continue to plant cotton to obtain new loans. By the mid-1870s, white farmers, who cultivated only 10 percent of the South’s cotton crop in 1860, were growing 40 percent, and many who had owned their land had fallen into dependency as sharecroppers who now rented land owned by others. Both black and white farmers found themselves caught in the share- The burden of debt cropping and crop-lien systems. The workings of sharecropping and the T H E M E A N I N G O F F R E E D O M 449 V O I C E S O F F R E E D O M F r o m P e t i t i o n o f C o m m i t t e e i n B e h a l f o f t h e F r e e d m e n t o A n d r e w J o h n s o n ( 1 8 6 5 ) In the summer of 1865, President Andrew Johnson ordered land that had been distributed to freed slaves in South Carolina and Georgia returned to its former owners. A committee of freedmen drafted a petition asking for the right to obtain land. Johnson did not, however, change his policy. We the freedmen of Edisto Island, South Carolina, have learned from you through Major General O. O. Howard . . . with deep sorrow and painful hearts of the possibility of [the] government restoring these lands to the former owners. We are well aware of the many perplexing and trying questions that burden your mind, and therefore pray to god (the preserver of all, and who has through our late and beloved President [Lincoln’s] proclamation and the war made us a free people) that he may guide you in making your decisions and give you that wisdom that cometh from above to settle these great and important questions for the best interests of the country and the colored race. Here is where secession was born and nurtured. Here is where we have toiled nearly all our lives as slaves and treated like dumb driven cattle. This is our home, we have made these lands what they were, we are the only true and loyal people that were found in possession of these lands. We have been always ready to strike for liberty and humanity, yea to fight if need be to preserve this glorious Union. Shall not we who are freedmen and have always been true to this Union have the same rights as are enjoyed by others? . . . Are not our rights as a free people and good citizens of these United States to be considered before those who were found in rebellion against this good and just government? . . . [Are] we who have been abused and oppressed for many long years not to be allowed the privilege of purchasing land but be subject to the will of these large land owners? God forbid. Land monopoly is injurious to the advancement of the course of freedom, and if government does not make some provision by which we as freedmen can obtain a homestead, we have not bettered our condition. . . . We look to you . . . for protection and equal rights with the privilege of purchasing a homestead—a homestead right here in the heart of South Carolina. 450 C h a p t e r 1 5  “What Is Freedom?” F r o m a S h a r e c r o p p i n g C o n t r a c t ( 1 8 6 6 ) Few former slaves were able to acquire land in the post–Civil War South. Most ended up as sharecroppers, working on white-owned land for a share of the crop at the end of the growing season. This contract, typical of thousands of others, originated in Tennessee. The laborers signed with an X, as they were illiterate. Thomas J. Ross agrees to employ the Freedmen to plant and raise a crop on his Rosstown Plantation. . . . On the following Rules, Regulations and Remunerations. The said Ross agrees to furnish the land to cultivate, and a sufficient number of mules & horses and feed them to make and house said crop and all necessary farming utensils to carry on the same and to give unto said Freedmen whose names appear below one half of all the cotton, corn and wheat that is raised on said place for the year 1866 after all the necessary expenses are deducted out that accrues on said crop. Outside of the Freedmen’s labor in harvesting, carrying to market and selling the same the said Freedmen . . . covenant and agrees to and with said Thomas J. Ross that for and in consideration of one half of the crop before mentioned that they will plant, cultivate, and raise under the management control and Superintendence of said Ross, in good faith, a cotton, corn and oat crop under his management for the year 1866. And we the said Freedmen agrees to furnish ourselves & families in provisions, clothing, medicine and medical bills and all, and every kind of other expenses that we may incur on said plantation for the year 1866 free of charge to said Ross. Should the said Ross furnish us any of the above supplies or any other kind of expenses, during said year, [we] are to settle and pay him out of the net proceeds of our part of the crop the retail price of the county at time of sale or any price we may agree upon—The said Ross shall keep a regular book account, against each and every one or the head of every family to be adjusted and settled at the end of the year. We furthermore bind ourselves to and with said Ross that we will do good work and labor ten hours a day on an average, winter and summer. . . . We further agree that we will lose all lost time, or pay at the rate of one dollar per day, rainy days excepted. In sickness and women lying in childbed are to lose the time and account for it to the other hands out Q U E S T I O N S of his or her part of the crop. . . . We furthermore bind ourselves that we will 1. Why do the black petitioners believe obey the orders of said Ross in all things in carrying that owning land is essential to the out and managing said crop for said year and be enjoyment of freedom? docked for disobedience . . . and are also respon- sible to said Ross if we carelessly, maliciously 2. In what ways does the contract limit maltreat any of his stock for said year to said Ross the freedom of the laborers? for damages to be assessed out of our wages. Samuel (X) Johnson, Thomas (X) Richard, 3. What do these documents suggest Tinny (X) Fitch, Jessie (X) Simmons, Sophe (X) about competing definitions of black Pruden, Henry (X) Pruden, Frances (X) Pruden, freedom in the aftermath of slavery? Elijah (X) Smith. V O I C E S O F F R E E D O M 451 S H A R E C R O P P I N G I N T H E S O U T H , 1 8 8 0 Percentage of farms sharecropped (by county) 35–80% 26–34% 20–25% 13–19% 0–12% VIRGINIA NORTH CAROLINA TENNESSEE ARKANSAS SOUTH CAROLINA GEORGIA TEXAS MISSISSIPPI ALABAMA A t l a n t i c LOUISIANA O c e a n FLORIDA Gulf of Mexico 0 150 200 miles 0 150 200 kilometers By 1880, sharecropping had become crop-lien system are illustrated by the case of Matt Brown, a Mississippi the dominant form of agricultural farmer who borrowed money each year from a local merchant. He began labor in large parts of the South. The system involved both white and black 1892 with a debt of $226 held over from the previous year. By 1893, farmers. although he produced cotton worth $171, Brown’s debt had increased to $402, because he had borrowed $33 for food, $29 for clothing, $173 for supplies, and $112 for other items. Brown never succeeded in getting out of debt. He died in 1905; the last entry under his name in the merchant’s account book is a coffin. Even as the rural South stagnated economically, southern cities expe- Growth of southern cities rienced remarkable growth after the Civil War. As railroads penetrated the interior, they enabled merchants in market centers like Atlanta to trade directly with the North, bypassing coastal cities that had traditionally monopolized southern commerce. A new urban middle class of merchants, railroad promoters, and bankers reaped the benefits of the spread of cotton production in the postwar South. 452 C h a p t e r 1 5  “What Is Freedom?” What visions of freedom did the former slaves and slaveholders pursue in the postwar South? The cotton depot at Guthrie, Texas. Bales of cotton have been loaded onto trains for shipment. After the Civil War, more and more white farmers began growing cotton to support their families, permanently altering their formerly self-sufficient way of life. A f t e r m a t h o f S l a v e r y The United States, of course, was not the only society to confront the prob- lem of the transition from slavery to freedom. Indeed, many parallels exist Emancipation in the Western between the debates during Reconstruction and struggles that followed Hemisphere slavery in other parts of the Western Hemisphere over the same issues of land, control of labor, and political power. Planters elsewhere held the same stereotypical views of black laborers as were voiced by their coun- terparts in the United States—former slaves were supposedly lazy and lacking in ambition, and thought that freedom meant an absence of labor. For their part, former slaves throughout the hemisphere tried to carve Chinese laborers at work on out as much independence as possible, both in their daily lives and in their a Louisiana plantation during Reconstruction. labor. On small Caribbean islands like Barbados, where no unoccupied land existed, former slaves had no alternative but to return to plantation labor. Elsewhere, the plantations either fell to pieces, as in Haiti, or continued operating with a new labor force composed of indentured ser- vants from India and China, as in Jamaica, Trinidad, and British Guiana. Southern planters in the United States brought in a few Chinese laborers in an attempt to replace freedmen, but since the federal government opposed such efforts, the Chinese remained only a tiny proportion of the southern workforce. But if struggles over land and labor united its poste- mancipation experience with that of other societies, in T H E M E A N I N G O F F R E E D O M 453 one respect the United States was unique. Only in the United States were former slaves, within two years of the end of slavery, granted the right Emancipation and the to vote and, thus, given a major share of political power. Few anticipated right to vote this development when the Civil War ended. It came about as the result of one of the greatest political crises of American history—the battle between President Andrew Johnson and Congress over Reconstruction. The struggle resulted in profound changes in the nature of citizenship, the structure of constitutional authority, and the meaning of American freedom. T H E M A K I N G O F R A D I C A L R E C O N S T R U C T I O N A n d r e w J o h n s o n To Lincoln’s successor, Andrew Johnson, fell the task of overseeing the restoration of the Union. Born in poverty in North Carolina, as a youth Johnson’s background Johnson worked as a tailor’s apprentice. Becoming a successful politician after moving to Tennessee, Johnson identified himself as the champion of his state’s “honest yeomen” and a foe of large planters, whom he described as a “bloated, corrupted aristocracy.” A strong defender of the Union, he became the only senator from a seceding state to remain at his post in Washington, D.C., when the Civil War began in 1861. When northern forces occupied Tennessee, Abraham Lincoln named him military gov- ernor. In 1864, Republicans nominated him to run for vice president as a symbol of the party’s hope of extending its organization into the South. Outlook In personality and outlook, Johnson proved unsuited for the respon- sibilities he shouldered after Lincoln’s death. A lonely, stubborn man, he was intolerant of criticism and unable to compromise. He lacked Lincoln’s political skills and keen sense of public opinion. Moreover, while Johnson had supported emancipation once Lincoln made it a goal of the war effort, he held deeply racist views. African-Americans, Johnson believed, had no role to play in Reconstruction. T h e F a i l u r e o f P r e s i d e n t i a l R e c o n s t r u c t i o n A little over a month after Lee’s surrender at Appomattox, and with Congress out of session until December, Johnson in May 1865 outlined his plan for reuniting the nation. He issued a series of proclamations that 454 C h a p t e r 1 5  “What Is Freedom?” What were the competing visions of Reconstruction? began the period of Presidential Reconstruction (1865–1867). Johnson offered a pardon (which restored political and property rights, except for Johnson’s program slaves) to nearly all white southerners who took an oath of allegiance. He excluded Confederate leaders and wealthy planters whose prewar property had been valued at more than $20,000. Most of those exempted, however, soon received individual pardons from the president. Johnson also appointed provisional governors and ordered them to call state con- ventions, elected by whites alone, that would establish loyal governments in the South. Apart from the requirement that they abolish slavery, repu- diate secession, and refuse to pay the Confederate debt—all unavoidable consequences of southern defeat—he granted the new governments a free hand in managing local affairs. The conduct of the southern governments elected under Johnson’s program turned most of the Republican North against the president. By and large, white voters returned prominent Confederates and members of the old elite to power. Reports of violence directed against former slaves and northern visitors in the South further alarmed Republicans. T h e B l a c k C o d e s But what aroused the most opposition to Johnson’s Reconstruction policy were the Black Codes, laws passed by the new southern governments that attempted to regulate the lives of the former slaves. These laws granted Regulating former slaves blacks certain rights, such as legalized marriage, ownership of property, and limited access to the courts. But they denied them the rights to testify Selling a Freedman to Pay His Fine at Monticello, Florida, an engraving from Frank Leslie’s Illustrated Newspaper, January 19, 1867. Under the Black Codes enacted by southern legislatures immediately after the Civil War, blacks convicted of “vagrancy”—often because they refused to sign contracts to work on plantations—were fined and, if unable to pay, auctioned off to work for the person who paid the fine. T H E M A K I N G O F R A D I C A L R E C O N S T R U C T I O N 455 against whites, to serve on juries or in state militias, or to vote. And in response to planters’ demands that the freedpeople be required to work on the plantations, the Black Codes declared that those who failed to sign yearly labor contracts could be arrested and hired out to white landowners. Clearly, the death of slavery did not automatically mean the birth of freedom. But the Black Codes so completely violated free labor principles Reaction to Black Codes that they called forth a vigorous response from the Republican North. In general, few groups of rebels in history have been treated more leniently than the defeated Confederates. A handful of southern leaders were arrested, but most were quickly released. Only one was executed—Henry Wirz, the commander of Andersonville prison, where thousands of Union prisoners of war had died. Most of the Union army was swiftly demobilized. What moti- vated the North’s turn against Johnson’s policies was not a desire to “punish” the white South, but the inability of the South’s political leaders to accept the reality of emancipation as evidenced by the Black Codes. T h e R a d i c a l R e p u b l i c a n s When Congress assembled in December 1865, Johnson announced that with loyal governments functioning in all the southern states, the nation had been reunited. In response, Radical Republicans, who had grown increas- ingly disenchanted with Johnson during the summer and fall, called for the dissolution of these governments and the establishment of new ones with “rebels” excluded from power and black men guaranteed the right to vote. Thaddeus Stevens, leader of Radicals shared the conviction that Union victory created a golden opportu- the Radical Republicans in the nity to institutionalize the principle of equal rights for all, regardless of race. House of Representatives during Reconstruction. The most prominent Radicals in Congress were Charles Sumner, a senator from Massachusetts, and Thaddeus Stevens, a lawyer and iron manufacturer who represented Pennsylvania in the House of Representatives. Before the Civil War, both had been outspoken foes of slavery and defenders of black rights. Stevens’s most cherished aim was to confiscate the land of disloyal planters and divide it among former slaves and northern migrants to the South. But his plan to make “small indepen- dent landholders” of the former slaves proved too radical even for many of his Radical colleagues and failed to pass. T h e O r i g i n s o f C i v i l R i g h t s With the South unrepresented, Republicans enjoyed an overwhelming majority in Congress. Most Republicans were moderates, not Radicals. Moderates believed that Johnson’s plan was flawed, but they desired to 456 C h a p t e r 1 5  “What Is Freedom?” What were the competing visions of Reconstruction? work with the president to modify it. They feared that neither northern Radical Republicans versus nor southern whites would accept black suffrage. Moderates and Radicals moderates joined in refusing to seat the southerners recently elected to Congress, but moderates broke with the Radicals by leaving the Johnson governments in place. Early in 1866, Senator Lyman Trumbull of Illinois proposed two bills that reflected the moderates’ belief that Johnson’s policy required modi- fication. The first extended the life of the Freedmen’s Bureau, which had originally been established for only one year. The second, the Civil Rights Bill, was described by one congressman as “one of the most important bills ever presented to the House for its action.” It defined all persons born in the United States as citizens and spelled out rights they were to enjoy without The Civil Rights Bill of 1866 regard to race. Equality before the law was central to the measure—no longer could states enact laws like the Black Codes discriminating between white and black citizens. So were free labor values. According to the law, no state could deprive any citizen of the right to make contracts, bring lawsuits, or enjoy equal protection of one’s person and property. These, said Trumbull, were the “fundamental rights belonging to every man as a free man.” The bill made no mention of the right to vote for blacks. In President Andrew Johnson, in an constitutional terms, the Civil Rights Bill represented the first attempt to 1868 lithograph by Currier and Ives. define in law the essence of freedom. Because of Johnson’s stubborn To the surprise of Congress, Johnson vetoed both bills. Both, he said, opposition to the congressional would centralize power in the national government and deprive the states Reconstruction policy, one disgruntled citizen drew a crown on of the authority to regulate their own affairs. Moreover, he argued, blacks his head with the words, “I am King.” did not deserve the rights of citizenship. Congress failed by a single vote to muster the two-thirds majority necessary to override the veto of the Freedmen’s Bureau Bill (although later in 1866, it did extend the bureau’s life to 1870). But in April 1866, the Civil Rights Bill became the first major law in American history to be passed over a presidential veto. T h e F o u r t e e n t h A m e n d m e n t Congress now proceeded to adopt its own plan of Reconstruction. In June, it approved and sent to the states for ratification the Fourteenth Amendment, which placed in the Constitution the principle of citizenship for all persons born in the United States, and which empowered the fed- eral government to protect the rights of all Americans. The amendment prohibited the states from abridging the “privileges and immunities” of citizens or denying them the “equal protection of the law.” This broad language opened the door for future Congresses and the federal courts to breathe meaning into the guarantee of legal equality. T H E M A K I N G O F R A D I C A L R E C O N S T R U C T I O N 457 In a compromise between the radical and moderate positions on black suffrage, the amendment did not grant blacks the right to vote. But it did provide that if a state denied the vote to any group of men, that state’s representation in Congress would be reduced. (This provision did not apply when states barred women from voting.) The abolition of slavery Black suffrage and political threatened to increase southern political power, since now all blacks, not power merely three-fifths as in the case of slaves, would be counted in determin- ing a state’s representation in Congress. The Fourteenth Amendment offered the leaders of the white South a choice—allow black men to vote and keep their state’s full representation in the House of Representatives, or limit the vote to whites and sacrifice part of their political power. By writing into the Constitution the principle that equality before the law Significance of the Fourteenth regardless of race is a fundamental right of all American citizens, the amend- Amendment ment made the most important change in that document since the adoption of the Bill of Rights. T h e R e c o n s t r u c t i o n A c t The Fourteenth Amendment became the central issue of the political campaign of 1866. Johnson embarked on a speaking tour of the North. Denouncing his critics, the president made wild accusations that the Radicals were plotting to assassinate him. His behavior further under- mined public support for his policies, as did riots that broke out in Memphis and New Orleans, in which white policemen and citizens killed dozens of blacks. In the northern congressional elections that fall, Republicans op posed to Johnson’s policies won a sweeping victory. Nonetheless, at the president’s urging, every southern state but Tennessee refused to ratify the Fourteenth Amendment. The intransigence of Johnson and the bulk of the white South pushed moderate Republicans toward the Radicals. In March 1867, over Johnson’s veto, Congress adopted the Reconstruction Act, which temporar- ily divided the South into five military districts and called for the creation of new state governments, with black men given the right to vote. Thus began Radical Reconstruction the period of Radical Reconstruction, which lasted until 1877. I m p e a c h m e n t a n d t h e E l e c t i o n o f G r a n t In March 1867, Congress adopted the Tenure of Office Act, barring the president from removing certain officeholders, including cabinet mem- bers, without the consent of the Senate. Johnson considered this an unconstitutional restriction on his authority. In February 1868, he removed 458 C h a p t e r 1 5  “What Is Freedom?” What were the competing visions of Reconstruction? A Democratic Party broadside from the election of 1866 in Pennsylvania uses racist imagery to argue that government assistance aids lazy former slaves at the expense of hardworking whites. Secretary of War Edwin M. Stanton, an ally of the Radicals. The House of Representatives responded by approving articles of impeachment—that is, it presented charges against Johnson to the Senate, which had to decide whether to remove him from office. That spring, for the first time in American history, a president was placed on trial before the Senate for “high crimes and misdemeanors.” By this The trial of Andrew Johnson point, virtually all Republicans considered Johnson a failure as president. But some moderates feared that conviction would damage the constitutional separation of powers between Congress and the executive. Johnson’s lawyers assured moderate Republicans that, if acquitted, he would stop interfering with Reconstruction policy. The final tally was 35-19 to convict Johnson, one vote short of the two-thirds necessary to remove him. Seven Republicans had joined the Democrats in voting to acquit the president. A few days after the vote, Republicans nominated Ulysses S. Grant, Ulysses Grant the Union’s most prominent military hero, as their candidate for president. Grant’s Democratic opponent was Horatio Seymour, the former governor of New York. Reconstruction became the central issue of the bitterly fought 1868 campaign. Democrats denounced Reconstruction as unconstitutional and condemned black suffrage as a violation of America’s political tradi- tions. They appealed openly to racism. Seymour’s running mate, Francis P. Blair Jr., charged Republicans with placing the South under the rule of “a T H E M A K I N G O F R A D I C A L R E C O N S T R U C T I O N 459 semi-barbarous race” who longed to “subject T H E P R E S I D E N T I A L the white women to their unbridled lust.” E L E C T I O N O F 1 8 6 8 T h e F i f t e e n t h A m e n d m e n t 5 5 7 Grant won the election of 1868, although 3 4 8 33 12 by a margin—300,000 of 6 million votes 8 4 cast—that many Republicans found uncom- 26 7 6 3 3 8 21 16 13 3 fortably slim. The result led Congress to 5 5 3 11 7 11 adopt the Fifteenth Amendment, which 10 9 prohibited the federal and state govern- 5 6 8 9 ments from denying any citizen the right to 7 vote because of race. Bitterly opposed by the 3 Democratic Party, it was ratified in 1870. Non-voting territory Although the Fifteenth Amendment opened the door to suffrage restrictions Electoral Vote Popular Vote Party Candidate (Share) (Share) not explicitly based on race—literacy tests, Republican Grant 214 (73%) 3,012,833 (53%) property qualifications, and poll taxes—and Southern Democrat Seymour 80 (27%) 2,703,249 (47%) Not voting due to Reconstruction did not extend the right to vote to women, it State legislature cast the electoral votes for Grant marked the culmination of four decades of abolitionist agitation. “Nothing in all his- tory,” exclaimed veteran abolitionist William Lloyd Garrison, equaled “this wonderful, quiet, sudden transformation of four millions of human beings from . . . the auction-block to the ballot-box.” The Fifteenth Amendment, an 1870 lithograph marking the ratification of the constitutional amendment prohibiting states from denying citizens the right to vote because of race. Surrounding an image of a celebration parade are portraits of Abraham Lincoln; President Ulysses S. Grant and his vice president, Schuyler Colfax; the abolitionists John Brown, Martin R. Delany, and Frederick Douglass; and Hiram Revels, the first black to serve in the U.S. Senate. At the bottom are scenes of freedom—education, family, political representation, and church life. 460 C h a p t e r 1 5  “What Is Freedom?” What were the competing visions of Reconstruction? T h e “ G r e a t C o n s t i t u t i o n a l R e v o l u t i o n ” Effects of Reconstruction The laws and amendments of Reconstruction reflected the intersection amendments of two products of the Civil War era—a newly empowered national state, and the idea of a national citizenry enjoying equality before the law. What Republican leader Carl Schurz called the “great Constitutional revolution” of Reconstruction transformed the federal system and with it, the language of freedom so central to American political culture. Before the Civil War, American citizenship had been closely linked to race. But the laws and amendments of Reconstruction repudiated the idea that citizenship was an entitlement of whites alone. And, as one congress- Race and citizenship man noted, the amendments expanded the liberty of whites as well as blacks, including “the millions of people of foreign birth who will flock to our shores.” The new amendments also transformed the relationship between the federal government and the states. The Bill of Rights had linked civil liberties to the autonomy of the states. Its language—“Congress shall make no law”—reflected the belief that concentrated national power posed the greatest threat to freedom. The authors of the Reconstruction amendments assumed that rights required national power to enforce them. Rather than a threat to liberty, the federal government, in Charles Sumner’s words, had become “the custodian of freedom.” The Reconstruction amendments transformed the Constitution from Constitutional significance a document primarily concerned with federal-state relations and the rights of property into a vehicle through which members of vulnerable minori- ties could stake a claim to freedom and seek protection against misconduct by all levels of government. In the twentieth century, many of the Supreme Court’s most important decisions expanding the rights of American citi- zens were based on the Fourteenth Amendment, perhaps most notably the 1954 Brown ruling that outlawed school segregation (see Chapter 24). T h e R i g h t s o f W o m e n “The contest with the South that destroyed slavery,” wrote the Philadelphia lawyer Sidney George Fisher in his diary, “has caused an immense increase in the popular passion for liberty and equality.” But advocates of women’s rights encountered the limits of the Reconstruction commitment Women and the limits of to equality. Women activists saw Reconstruction as the moment to claim equality their own emancipation. The rewriting of the Constitution, declared suf- frage leader Olympia Brown, offered the opportunity to sever the blessings of freedom from sex as well as race and to “bury the black man and the woman in the citizen.” T H E M A K I N G O F R A D I C A L R E C O N S T R U C T I O N 461 Even Radical Republicans insisted that Reconstruction was the “Negro’s hour” (the hour, that is, of the black male). The Fourteenth Amend ment for the first time introduced the word “male” into the Constitution, in its clause penalizing a state for denying any group of men the right to vote. The Fifteenth Amendment outlawed discrimination in voting based on race but not gender. These measures pro- duced a bitter split both between feminists and Radical Republicans, and within femi- nist circles. Some leaders, like Elizabeth Cady Stanton and Susan B. Anthony, denounced their former abolitionist allies and moved to sever the women’s rights move- A Delegation of Advocates of Woman ment from its earlier moorings in the antislavery tradition. Suffrage Addressing the House Thus, even as it rejected the racial definition of freedom that had Judiciary Committee, an engraving from Frank Leslie’s Illustrated emerged in the first half of the nineteenth century, Reconstruction left the Newspaper, February 4, 1871. The gender boundary largely intact. When women tried to use the rewritten group includes Elizabeth Cady legal code and Constitution to claim equal rights, they found the courts Stanton, seated just to the right of the unreceptive. Myra Bradwell invoked the idea of free labor in challenging speaker, and Susan B. Anthony, at an Illinois stat ute limiting the practice of law to men, but the Supreme the table on the extreme right. Court in 1873 rebuffed her claim. Free labor principles, the justices declared, did not apply to women, since “the law of the Creator” had assigned them to “the domestic sphere.” Despite their limitations, the Fourteenth and Fifteenth Amendments America’s great departure and the Reconstruction Act of 1867 marked a radical departure in American and world history. Alone among the nations that abolished slavery in the nineteenth century, the United States, within a few years of emancipation, clothed its former slaves with citizenship rights equal to those of whites. The Reconstruction Act of 1867 inaugurated America’s first real experi- ment in interracial democracy. R A D I C A L R E C O N S T R U C T I O N I N T H E S O U T H “ T h e T o c s i n o f F r e e d o m ” Among the former slaves, the passage of the Reconstruction Act inspired an Political action by outburst of political organization. At mass political meetings—community African-Americans gatherings attended by men, women, and children—African-Americans 462 C h a p t e r 1 5  “What Is Freedom?” What were the social and political effects of Radical Reconstruction in the South? Electioneering at the South, an engraving from Harper’s Weekly, July 25, 1868, depicts a speaker at a political meeting in the rural South. Women as well as men took part in these grassroots gatherings. staked their claim to equal citizenship. Blacks, declared an Alabama meeting, deserved “exactly the same rights, privileges and immunities as are enjoyed by white men. We ask for nothing more and will be content with nothing less.” Determined to exercise their new rights as citizens, thousands joined the Union League, an organization closely linked to the Republican Party, and the vast majority of eligible African-Americans registered to vote. James K. Green, a former slave in Hale County, Alabama, and a League The First Vote, an engraving from organizer, went on to serve eight years in the Alabama legislature. In Harper’s Weekly, November 16, 1867, the 1880s, Green looked back on his political career. Before the war, he depicts the first biracial elections in declared, “I was entirely ignorant; I knew nothing more than to obey my southern history. The voters represent master; and there were thousands of us in the same attitude. . . . But the key sources of the black political leadership that emerged during tocsin [warning bell] of freedom sounded and knocked at the door and we Reconstruction—the artisan carrying walked out like free men and shouldered the responsibilities.” his tools, the well-dressed city person By 1870, all the former Confederate states had been readmitted to (probably free before the war), and the Union, and in a region where the Republican Party had not existed the soldier. before the war, nearly all were under Republican control. Their new state constitutions, drafted in 1868 and 1869 by the first public bodies in American history with substantial black representation, marked a consid- erable improvement over those they replaced. The constitutions greatly expanded public responsibilities. They established the region’s first state- funded systems of free public education, and they created new peniten- tiaries, orphan asylums, and homes for the insane. The constitutions guaranteed equality of civil and political rights and abolished practices of the antebellum era such as whipping as a punishment for crime, property qualifications for officeholding, and imprisonment for debt. A few states initially barred former Confederates from voting, but this policy was quickly abandoned by the new state governments. R A D I C A L R E C O N S T R U C T I O N I N T H E S O U T H 463 T h e B l a c k O f f i c e h o l d e r Throughout Reconstruction, black voters provided the bulk of the Republican Party’s support. But African-Americans did not control Reconstruction politics, as their opponents frequently charged. The high- est offices remained almost entirely in white hands, and only in South Carolina, where blacks made up 60 percent of the population, did they form a majority of the legislature. Nonetheless, the fact that some 2,000 African-Americans in African-Americans held public office during Reconstruction marked public office a fundamental shift of power in the South and a radical departure in American government. African-Americans were represented at every level of government. Fourteen were elected to the national House of Representatives. Two blacks served in the U.S. Senate during Reconstruction, both repre- senting Mississippi. Hiram Revels, who had been born free in North Carolina, in 1870 became the first black senator in American history. The second, Blanche K. Bruce, a former slave, was elected in 1875. At state and local levels, the presence of black officeholders and their white allies A portrait of Hiram Revels, the first black U. S. senator, by Theodore made a real difference in southern life, ensuring that blacks accused of Kaufmann, a German-born artist who crimes would be tried before juries of their peers and enforcing fairness emigrated to the United States in in such aspects of local government as road repair, tax assessment, and 1855. Lithograph copies sold widely poor relief. in the North during Reconstruction. In South Carolina and Louisiana, homes of the South’s wealthiest and Frederick Douglass, commenting best-educated free black communities, most prominent Reconstruction on the dignified image, noted that African-Americans “so often see officeholders had never experienced slavery. In addition, a number of ourselves described and painted as black Reconstruction officials, like Pennsylvania-born Jonathan J. Wright, monkeys, that we think it a great who served on the South Carolina Supreme Court, had come from the piece of fortune to find an exception North after the Civil War. The majority, however, were former slaves who to this general rule.” had established their leadership in the black community by serving in the Union army; working as ministers, teachers, or skilled craftsmen; or engaging in Union League organizing. C a r p e t b a g g e r s a n d S c a l a w a g s The new southern governments also brought to power new groups of whites. Many Reconstruction officials were northerners who for one reason or another had made their homes in the South after the war. Their opponents dubbed them “carpetbaggers,” implying that they had packed all their belongings in a suitcase and left their homes in order to reap the spoils of office in the South. Some carpetbaggers were undoubtedly corrupt adventurers. The large majority, however, were former Union 464 C h a p t e r 1 5  “What Is Freedom?” What were the social and political effects of Radical Reconstruction in the South? soldiers who decided to remain in the South when the war ended, before there was any prospect of going into politics. Most white Republicans, however, had been born in the South. Southern Republicans Former Confederates reserved their greatest scorn for these “scalawags,” whom they considered traitors to their race and region. Some southern- born Republicans were men of stature and wealth, like James L. Alcorn, the owner of one of Mississippi’s largest plantations and the state’s first Republican governor. Most “scalawags,” however, were non-slaveholding white farmers from the southern upcountry. Many had been wartime Unionists, and they now cooperated with the Republicans in order to pre- vent “rebels” from returning to power. S o u t h e r n R e p u b l i c a n s i n P o w e r In view of the daunting challenges they faced, the remarkable thing is not that Reconstruction governments in many respects failed, but how much they did accomplish. Perhaps their greatest achievement lay in establish- ing the South’s first state-supported public schools. The new educational State-supported public schools systems served both black and white children, although generally in schools segregated by race. Only in New Orleans were the public schools integrated during Reconstruction, and only in South Carolina did the state university admit black students (elsewhere, separate colleges were established). The new governments also pioneered civil rights legislation. Civil rights legislation Their laws made it illegal for railroads, hotels, and other institutions to discriminate on the basis of race. Enforcement varied considerably from locality to locality, but Reconstruction established for the first time at the state level a standard of equal citizenship and a recognition of blacks’ right to a share of public services. Republican governments also took steps to strengthen the position of rural laborers and promote the South’s economic recovery. They passed laws to ensure that agricultural laborers and sharecroppers had the first claim on harvested crops, rather than merchants to whom the landowner owed money. South Carolina created a state Land Commission, which by 1876 had settled 14,000 black families and a few poor whites on their own farms. T h e Q u e s t f o r P r o s p e r i t y Rather than on land distribution, however, the Reconstruction governments Economic development during pinned their hopes for southern economic growth and opportunity for Reconstruction African-Americans and poor whites alike on regional economic development. R A D I C A L R E C O N S T R U C T I O N I N T H E S O U T H 465 A group of black students and their teacher in a picture taken by an amateur photographer, probably a Union army veteran, while touring Civil War battlefields. Railroad construction Railroad construction, they believed, was the key to transforming the South into a society of booming factories, bustling towns, and diversified agriculture. Every state during Reconstruction helped to finance railroad construction, and through tax reductions and other incentives tried to attract northern manufacturers to invest in the region. The program had mixed results. Economic development in general remained weak. To their supporters, the governments of Radical Reconstruction presented a complex pattern of disappointment and accomplishment. A revitalized southern economy failed to materialize, and most African- Biracial democracy Americans remained locked in poverty. On the other hand, biracial demo- cratic government, a thing unknown in American history, for the first time functioned effectively in many parts of the South. The conservative elite that had dominated southern government from colonial times to 1867 found itself excluded from political power, while poor whites, newcomers from the North, and former slaves cast ballots, sat on juries, and enacted and administered laws. It is a measure of how far change had progressed that the reaction against Reconstruction proved so extreme. T H E O V E R T H R O W O F R E C O N S T R U C T I O N R e c o n s t r u c t i o n ’ s O p p o n e n t s The South’s traditional leaders—planters, merchants, and Democratic politicians—bitterly opposed the new governments. “Intelligence, virtue, Sources of opposition and patriotism” in public life, declared a protest by prominent southern 466 C h a p t e r 1 5  “What Is Freedom?” What were the main factors, in both the North and South, for the abandonment of Reconstruction? Democrats, had given way to “ignorance, stupidity, and vice.” Corruption did exist during Reconstruction, but it was con- fined to no race, region, or party. The rapid growth of state budgets and the benefits to be gained from public aid led in some states to a scramble for influence that pro- duced bribery, insider dealing, and a get- rich-quick atmosphere. Southern frauds, however, were dwarfed by those practiced in these years by the Whiskey Ring, which involved high officials of the Grant admin- istration, and by New York’s Tweed Ring, controlled by the Democrats, whose thefts ran into the tens of millions of dollars. (These are discussed in the next chapter.) The rising taxes needed to pay for schools and other new public facilities and to assist railroad development were another cause of opposition to Reconstruction. Many poor whites who had initially supported the Republican Party turned against it when it became clear that their economic situation was not improving. The most basic reason for opposi- tion to Reconstruction, however, was that most white southerners could not accept the idea of former slaves voting, holding office, and enjoying equality before the law. Opponents launched a campaign of violence in an effort to end Republican rule. Their actions posed a fundamental challenge both for Reconstruction A cartoon from around 1870 governments in the South and for policymakers in Washington, D.C. illustrates a key theme of the racist opposition to Reconstruction—that blacks had forced themselves upon “ A R e i g n o f T e r r o r ” whites and gained domination over them. A black school teacher inflicts The Civil War ended in 1865, but violence remained widespread in large punishment on a white student in an integrated classroom, and a racially parts of the postwar South. In the early years of Reconstruction, violence mixed jury judges a white defendant. was mostly local and unorganized. Blacks were assaulted and murdered for refusing to give way to whites on city sidewalks, using “insolent” T H E O V E R T H R O W O F R E C O N S T R U C T I O N 467 language, challenging end-of-year contract settlements, and attempting to buy land. The violence that greeted the advent of Republican governments after 1867, however, was far more pervasive and more directly moti- vated by politics. In wide areas of the South, secret societies sprang Campaigns of violence up with the aim of preventing blacks from voting and destroying the organization of the Republican Party by assassinating local leaders and public officials. The most notorious such organization was the Ku Klux Klan, which in effect served as a military arm of the Democratic Party in the South. From its founding in 1866 in Tennessee, the Klan was a terror- ist organization. It committed some of the most brutal criminal acts in American history. In many counties throughout the South, it launched what one victim called a “reign of terror” against Republican leaders, black and white. A Prospective Scene in the City of The Klan’s victims included white Republicans, among them war- Oaks, a cartoon in the September 1, time Union ists and local officeholders, teachers, and party organizers. 1868, issue of the Independent But African-Americans—local political leaders, those who managed to Monitor, a Democratic newspaper acquire land, and others who in one way or another defied the norms published in Tuscaloosa, Alabama. The cartoon sent a warning to of white supremacy—bore the brunt of the violence. On occasion, vio- the Reverend A. S. Lakin, who lence escalated from assaults on individuals to mass terrorism and even had moved from Ohio to become local insurrections. The bloodiest act of violence during Reconstruction president of the University of took place in Colfax, Louisiana, in 1873, where armed whites assaulted Alabama, and Dr. N. B. Cloud, a the town with a small cannon. Hundreds of former slaves were mur- southern-born Republican serving as Alabama’s superintendent of public dered, including fifty members of a black militia unit after they had education. The Ku Klux Klan forced surrendered. both men from their positions. In 1870 and 1871, Congress adopted three Enforcement Acts, outlawing ter- rorist societies and allowing the presi- dent to use the army against them. These laws continued the expansion of national authority during Reconstruction. In 1871, President Grant dispatched federal mar- shals, backed up by troops in some areas, to arrest hundreds of accused Klansmen. Many Klan leaders fled the South. After a series of well-publicized trials, the Klan went out of existence. In 1872, for the first time since the Civil War, peace reigned in most of the former Confederacy. 468 C h a p t e r 1 5  “What Is Freedom?” What were the main factors, in both the North and South, for the abandonment of Reconstruction? T h e L i b e r a l R e p u b l i c a n s Despite the Grant administration’s effective response to Klan terrorism, Waning commitment to the North’s commitment to Reconstruction waned during the 1870s. the North Northerners increasingly felt that the South should be able to solve its own problems without constant interference from Washington. The federal government had freed the slaves, made them citizens, and given them the right to vote. Now, blacks should rely on their own resources, not demand further assistance. In 1872, an influential group of Republicans, alienated by corruption within the Grant administration and believing that the growth of federal power during and after the war needed to be curtailed, formed their own party. They included Republican founders like Lyman Trumbull and prominent editors and journalists such as E. L. Godkin of The Nation. Calling themselves Liberal Republicans, they nominated Horace Greeley, editor of Liberal Republicans the New York Tribune, for president. Democratic criticisms of Recon struction found a receptive audi- ence among the Liberals. As in the North, they became convinced, the “best men” of the South had been excluded from power while “ignorant” voters controlled politics, producing corruption and mis- government. Greeley had spent most of his career, first as a Whig and then as a Republican, denouncing the Democratic Party. But with the Changes in graphic artist Thomas Nast’s depiction of blacks in Harper’s Weekly mirrored the evolution of Republican sentiment in the North. And Not This Man? August 5, 1865, shows the black soldier as an upstanding citizen deserving of the vote. Colored Rule in a Reconstructed (?) State, March 14, 1874, suggests that Reconstruction legislatures had become travesties of democratic government. T H E O V E R T H R O W O F R E C O N S T R U C T I O N 469 1872 election Republican split presenting an opportunity to repair their political fortunes, Democratic leaders endorsed Greeley as their candidate. But many rank-and-file Democrats, unable to bring themselves to vote for Greeley, stayed at home on election day. As a result, Greeley suffered a devastating defeat by Grant, whose margin of more than 700,000 popular votes was the largest in a nineteenth-century presidential contest. But Greeley’s campaign placed on the northern agenda the one issue on which the Liberal reformers and the Democrats could agree—a new policy toward the South. T h e N o r t h ’ s R e t r e a t The Liberal attack on Reconstruction, which continued after 1872, con- tributed to a resurgence of racism in the North. Journalist James S. Pike, a leading Greeley supporter, in 1874 published The Prostrate State, an influential account of a visit to South Carolina. The book depicted a state engulfed by political corruption, drained by governmental extrava- gance, and under the control of “a mass of black barbarism.” Resurgent racism offered a convenient explanation for the alleged “failure” of Reconstruction. The solution, for many, was to restore leading whites to political power. Factors weakening Other factors also weakened northern support for Reconstruction. Reconstruction In 1873, the country plunged into a severe economic depression. Distracted by economic problems, Republicans were in no mood to devote further attention to the South. The depression dealt the South a severe blow and further weakened the prospect that Republicans could revitalize the region’s economy. Democrats made substantial gains throughout the nation in the elections of 1874. For the first time since the Civil War, their party took control of the House of Representatives. Before the new Congress met, the old one enacted a final piece of Reconstruction legislation, the Civil Rights Act of 1875. This outlawed racial discrimination in places of public accommodation like hotels and theaters. But it was clear that the northern public was retreating from Reconstruction. The Supreme Court and The Supreme Court whittled away at the guarantees of black rights Reconstruction Congress had adopted. In the Slaughterhouse Cases (1873), the justices ruled that the Fourteenth Amendment had not altered traditional fed- eralism. Most of the rights of citizens, it declared, remained under state control. Three years later, in United States v. Cruikshank, the Court gutted 470 C h a p t e r 1 5  “What Is Freedom?” What were the main factors, in both the North and South, for the abandonment of Reconstruction? the Enforcement Acts by throwing out the convictions of some of those responsible for the Colfax Massacre of 1873. T h e T r i u m p h o f t h e R e d e e m e r s By the mid-1870s, Reconstruction was clearly on the defensive. Democrats had already regained control of states with substantial white voting Democratic victories at majorities such as Tennessee, North Carolina, and Texas. The victori- the polls ous Democrats called themselves Redeemers, since they claimed to have “redeemed” the white South from corruption, misgovernment, and north- ern and black control. In those states where Reconstruction governments survived, violence again erupted. This time, the Grant administration showed no desire to intervene. In Mississippi, in 1875, armed Democrats destroyed ballot Return of violence boxes and drove former slaves from the polls. The result was a Democratic landslide and the end of Reconstruction in Mississippi. Similar events R E C O N S T R U C T I O N I N T H E S O U T H , 1 8 6 7 – 1 8 7 7 PENNSYLVANIA COLORADO INDIANA OHIO ILLINOIS MARYLANDDELAWARE KANSAS WEST VIRGINIA MISSOURI VIRGINIA 1870 (1873) KENTUCKY NEW MEXICO NORTH CAROLINA TENNESSEE 1868 (1876) TERRITORY INDIAN 1866 (1870) TERRITORY ARKANSAS 1868 (1874) SOUTH CAROLINA 1868 (1876) MISSISSIPPI ALABAMA GEORGIA 1870 (1875) 1868 (1874) 1870 (1871) TEXAS 1870 (1873) LOUISIANA A t l a n t i c 1868 (1876) O c e a n FLORIDA 1868 (1876) Gulf of Mexico Former Confederate states 1869 Date of readmission to the Union 0 150 300 miles (1873) Date of election that produced Democratic control of legislature 0 150 300 kilometers and governorship T H E O V E R T H R O W O F R E C O N S T R U C T I O N 471 took place in South Carolina in 1876. Democrats nominated for gover- nor former Confederate general Wade Hampton. Hampton promised to respect the rights of all citizens of the state, but his supporters, inspired by Democratic tactics in Mississippi, launched a wave of intimidation. Democrats intended to carry the election, one planter told a black official, “if we have to wade in blood knee-deep.” T h e D i s p u t e d E l e c t i o n a n d B a r g a i n o f 1 8 7 7 Events in South Carolina directly affected the outcome of the presidential campaign of 1876. To succeed Grant, the Republicans nominated Gov- Rutherford B. Hayes ernor Rutherford B. Hayes of Ohio. The Democrats chose as his opponent New York’s governor, Samuel J. Tilden. By this time, only South Carolina, Florida, and Louisiana remained under Republican control. The election turned out to be so close that whoever captured these states—which both parties claimed to have carried—would become the next president. Unable to resolve the impasse on its own, Congress in January 1877 appointed a fifteen-member Electoral Commission, composed of sena- tors, representatives, and Supreme Court justices. Republicans enjoyed an 8-7 majority on the commission, and to no one’s surprise, the members decided by T H E P R E S I D E N T I A L that margin that Hayes had carried the dis- E L E C T I O N O F 1 8 7 6 puted southern states and had been elected president. Even as the commission deliberated, 5 5 7 2 5 however, behind-the-scenes negotiations 1 13 10 35 11 took place between leaders of the two par- 4 3 11 29 6 9 ties. Hayes’s representatives agreed to 3 21 22 15 3 3 5 recognize Democratic control of the entire 6 5 15 11 8 12 10 South and to avoid further intervention 12 6 7 in local affairs. For their part, Democrats 8 10 11 promised not to dispute Hayes’s right to 8 8 office and to respect the civil and political 4 rights of blacks. Non-voting territory Thus was concluded the Bargain of Electoral Vote Popular Vote 1877. Hayes became president and quickly Party Candidate (Share) (Share) ordered federal troops to stop guarding Republican Hayes 185 (50%) 4,036,298 (48%) Democrat Tilden 184 (50%) the state houses in Louisiana and South 4,300,590 (51%) Greenback Cooper 0 (0%) 93,895 (1%) Carolina, allowing Democratic claimants Disputed (assigned to Hayes by electoral commission) to become governors. (Contrary to legend, 472 C h a p t e r 1 5  “What Is Freedom?” What were the main factors, in both the North and South, for the abandonment of Reconstruction? Hayes did not remove the last soldiers from the South—he simply ordered them to return to their barracks.) The triumphant southern Democrats failed to live up to their pledge to recognize blacks as equal citizens. T h e E n d o f R e c o n s t r u c t i o n As a historical process—the nation’s adjustment to the destruction of slavery—Reconstruction continued well after 1877. Blacks continued to vote and, in some states, hold office into the 1890s. But as a distinct era of national history—when Republicans controlled much of the South, blacks exercised significant political power, and the federal government accepted the responsibility for protecting the fundamental rights of all American citizens—Reconstruction had come to an end. Despite its limitations, Reconstruction was a remarkable chapter in the story of American free- dom. Nearly a century would pass before the nation again tried to bring Is This a Republican Form of equal rights to the descendants of slaves. The civil rights era of the 1950s Government?, a cartoon by Thomas and 1960s would sometimes be called the Second Reconstruction. Nast in Harper’s Weekly, September 2, 1876, illustrates his conviction that the overthrow of Reconstruction meant that the United States was not prepared to live up to its democratic ideals or protect the rights of black citizens threatened by violence. T H E O V E R T H R O W O F R E C O N S T R U C T I O N 473 C H A P T E R R E V I E W A N D O N L I N E R E S O U R C E S R E V I E W Q U E S T I O N S K E Y T E R M S 1. In 1865, the former Confederate general Robert Freedmen’s Bureau (p. 447) Richardson remarked that “the emancipated slaves own sharecropping (p. 449) crop-lien system (p. 449) nothing, because nothing but freedom has been given to Black Codes (p. 455) them.” Explain whether this would be an accurate assess- Civil Rights Bill of 1866 (p. 457) ment of Reconstruction twelve years later. Fourteenth Amendment (p. 457) Reconstruction Act (p. 458) 2. The women’s movement split into two separate national Fifteenth Amendment (p. 460) organizations in part because the Fifteenth Amendment women’s rights (p. 461) did not give women the vote. Explain why the two groups carpetbaggers and scalawags (p. 464) split. Ku Klux Klan (p. 468) Colfax Massacre (p. 468) 3. How did black families, churches, schools, and other Enforcement Acts (p. 468) institutions contribute to the development of African- Civil Rights Act of 1875 (p. 470) American culture and political activism in this period? Slaughterhouse Cases (p. 470) Redeemers (p. 471) 4. Why did ownership of land and control of labor become Bargain of 1877 (p. 472) major points of contention between former slaves and whites in the South? 5. By what methods did southern whites seek to limit African-American civil rights and liberties? How did the federal government respond? 6. How did the failure of land reform and continued poverty lead to new forms of servitude for both blacks and whites? 7. What caused the confrontation between President /studyspace Johnson and Congress over Reconstruction policies? VISIT STUDYSPACE FOR THESE RESOURCES AND MORE 8. What national issues and attitudes combined to bring an s end to Reconstruction by 1877? s s 9. By 1877, how did the condition of former slaves in the s United States compare with that of freedmen around the s globe? 474 C h a p t e r 1 5  “What Is Freedom?” C H A P T E R 1 6 1872 Crédit Mobilier Scandal 1873 Mark Twain and Charles Dudley Warner’s Gilded Age 1876 Battle of the Little Bighorn 1877 Reconstruction ends A M E R I C A ’ S Great Railroad Strike 1879 Henry George’s Progress and Poverty 1883 Civil Service Act G I L D E D A G E Railroads create time zones 1886 Knights of Labor’s membership peaks Haymarket affair  1887 Interstate Commerce Commission created Dawes Act 1 8 7 0 – 1 8 9 0 1888 Edward Bellamy’s Looking Backward 1889 Andrew Carnegie’s “Wealth” 1890 Sherman Antitrust Act Jacob Riis’s How the Other Half Lives Massacre at Wounded Knee 1893 Frederick Jackson Turner’s frontier thesis 1894 Henry Demarest Lloyd’s Wealth against Commonwealth 1895 United States v. E. C. Knight Co. 1899 Thorstein Veblen’s The Theory of the Leisure Class 1905 Lochner v. New York Forging the Shaft, a painting from the 1870s by the American artist John Ferguson Weir, depicts workers in a steel factory making a propeller shaft for an ocean liner. Weir illustrates both the dramatic power of the factory at a time when the United States was overtaking European countries in manufacturing, and the fact that industrial production still required hard physical labor. F O C U S An immense crowd gathered in New York Harbor on October 28, 1886, for the dedication of Liberty Enlightening the World, a fitting symbol for a nation now wholly free. The idea for the statue originated in 1865 with Édouard de Laboulaye, a French educator and Q U E S T I O N S the author of several books on the United States, as a response to the assassination of Abraham Lincoln. Measuring more than 150 feet from s torch to toe and standing atop a huge pedestal, the edifice was the tallest make the United States a man-made structure in the Western Hemisphere. mature industrial society In time, the Statue of Liberty, as it came to be called, would become after the Civil War? Americans’ most revered national icon. For over a century it has stood as a symbol of freedom. The statue has welcomed millions of immigrants— s the “huddled masses yearning to breathe free” celebrated in a poem by formed economically and Emma Lazarus inscribed on its base in 1903. In the years since its dedi- socially in this period? cation, the statue’s familiar image has been reproduced by folk artists in every conceivable medium and has been used by advertisers to promote s everything from cigarettes and lawn mowers to war bonds. It has become political system effective a powerful international symbol as well. in meeting its goals? The year of the statue’s dedication, 1886, also witnessed the “great upheaval,” a wave of strikes and labor protests that touched every part s of the nation. The 600 dignitaries (598 of them men) who gathered on development of the Gilded what is now called Liberty Island for the dedication hoped the Statue Age affect American of Liberty would inspire renewed devotion to the nation’s political and freedom? economic system. But for all its grandeur, the statue could not conceal the deep social divisions and fears about the future of American freedom that s accompanied the country’s emergence as the world’s leading industrial the period approach the power. Crucial questions moved to the center stage of American public problems of an industrial life during the 1870s and 1880s and remained there for decades to come: society? What are the social conditions that make freedom possible, and what role should the national government play in defining and protecting the liberty of its citizens? T H E S E C O N D I N D U S T R I A L R E V O L U T I O N Between the end of the Civil War and the early twentieth century, the United States underwent one of the most rapid and profound economic revolutions any country has ever experienced. There were numerous Roots of economic change causes for this explosive economic growth. The country enjoyed abundant natural resources, a growing supply of labor, an expanding market for manufactured goods, and the availability of capital for investment. In 476 C h a p t e r 1 6  America’s Gilded Age What factors combined to make the United States a mature industrial society after the Civil War? addition, the federal government actively promoted industrial and agri- cultural development. It enacted high tariffs that protected American industry from foreign competition, granted land to railroad companies to encourage construction, and used the army to remove Indians from west- ern lands desired by farmers and mining companies. T h e I n d u s t r i a l E c o n o m y The rapid expansion of factory production, mining, and railroad construc- tion in all parts of the country except the South signaled the transition from Lincoln’s America—a world centered on the small farm and artisan A changing America TABLE 16.1 Indicators of Economic Change, 1870–1920 1870 1900 1920 &ARMS 5.7 6.4 Land in farms (million acres) 408 841 956 Wheat grown (million bushels) 254 599 843 %MPLOYMENT 28.5 44.5 In manufacturing (millions) 2.5 5.9 11.2 0ERCENTAGE Agricultural 52 27 Industryb 29 44 Trade, service, administrationc 20 27 2AILROAD Steel produced (thousands of tons) 0.8 11.2 46 ‘.0 18.7 91.5 Per capita (in 1920 dollars) 371 707 920 ,IFE 47 54 a Percentages are rounded and do not total 100 b Includes manufacturing, transportation, mining, construction c Includes trade, finance, public administration T H E S E C O N D I N D U S T R I A L R E V O L U T I O N 477 workshop—to a mature industrial society. By 1913, the United States Industrial growth produced one-third of the world’s industrial output—more than Great Britain, France, and Germany combined. By 1880, for the first time, the U.S. Census Bureau found a majority of the workforce engaged in non- farming jobs. The traditional dream of economic independence seemed obsolete. By 1890, two-thirds of Americans worked for wages, rather than owning a farm, business, or craft shop. Drawn to factories by the promise of employment, a new working class emerged in these years. Between 1870 and 1920, almost 11 million Americans moved from farm to city, and another 25 million immi- grants arrived from overseas. Most manufacturing now took place in industrial cities. The heart- land of what is sometimes called the “second industrial revolution” was The industrial Great Lakes the region around the Great Lakes, with its factories producing iron and region steel, machinery, chemicals, and packaged foods. Pittsburgh had become the world’s center of iron and steel manufacturing. Chicago, by 1900 the nation’s second-largest city with 1.7 million inhabitants, was home to factories producing steel and farm machinery and giant stockyards where cattle were processed into meat products for shipment east in refrigerated rail cars. R a i l r o a d s a n d t h e N a t i o n a l M a r k e t The railroad made possible the second industrial revolution. Spurred by private investment and massive grants of land and money by federal, state, Key role of railroads and local governments, the number of miles of railroad track in the United States tripled between 1860 and 1880 and tripled again by 1920, opening vast new areas to commercial farming and creating a truly national mar- ket for manufactured goods. The railroads even reorganized time itself. In 1883, the major companies divided the nation into the four time zones still in use today. The growing population formed an ever-expanding market for the mass production, mass distribution, and mass marketing of goods, essen- The rise of national brands tial elements of a modern industrial economy. The spread of national brands like Ivory Soap and Quaker Oats symbolized the continuing integration of the economy. So did the growth of national chains, most prominently the Atlantic and Pacific Tea Company, better known as A & P grocery stores. Based in Chicago, the national mail-order firms Montgomery Ward and Sears, Roebuck & Co. sold clothing, jewelry, farm equipment, and numerous other goods to rural families throughout the country. 478 C h a p t e r 1 6  America’s Gilded Age What factors combined to make the United States a mature industrial society after the Civil War? T H E R A I L R O A D N E T W O R K , 1 8 8 0 Pacific Mountain Time Zone Time Zone Central Seattle Time Zone Eastern Time Zone Atlantic Time Zone Portland CANADA Helena Northern Pacific Boise St. Paul Boston Ne Buffalo w York Cen Detroit tral New York Central Pacific Chicago Reno Cleveland U Salt Lake City nion Pacific Pen Omaha n Pittsburgh sylvania Philadelphia San Francisco Il Washington, D.C. l Denver in Baltimore and Ohio o Kansas City is St. Louis C Norfolk entra Los Angeles l Memphis Santa Fe Phoenix A t l a n t i c Atlanta O c e a n Charleston El Paso Dallas So Mobile uthern Pa Houston New Orleans cific MEXICO Gulf of Mexico Pa c i f i c O c e a n 0 250 500 miles Major railroads in 1880 0 250 500 kilometers Time-zone boundaries T h e S p i r i t o f I n n o v a t i o n By 1880, the transnational rail network made possible the creation A remarkable series of technological innovations spurred rapid commu- of a truly national market for goods. nication and economic growth. The opening of the Atlantic cable in 1866 made it possible to send electronic telegraph messages instantaneously between the United States and Europe. During the 1870s and 1880s, the telephone, typewriter, and handheld camera came into use. Scientific breakthroughs poured forth from research laboratories in Menlo Park and Orange, New Jersey, created by the era’s greatest inventor, Edison’s innovations Thomas A. Edison. During the course of his life, Edison helped to establish entirely new industries that transformed private life, public entertainment, and economic activity. Among Edison’s innovations were the phonograph, lightbulb, motion picture, and a system for generating and distributing electric power. The spread of electricity was essential to industrial and Electricity urban growth, providing a more reliable and flexible source of power than water or steam. T H E S E C O N D I N D U S T R I A L R E V O L U T I O N 479 ( Left) Travel became globalized in the second half of the nineteenth century. This advertisement promotes an around-the-world route by railroad and steamboat, beginning in Chicago. ( Right) The cover of the 1897 Sears, Roebuck & Co. catalog. One of the country’s largest mail- order companies, Sears, Roebuck processed 100,000 orders per day at the end of the nineteenth century. The cornucopia at the center suggests the variety of items one could order by mail: furniture, a piano, a bicycle, and farm tools. C o m p e t i t i o n a n d C o n s o l i d a t i o n Economic growth was dramatic but highly volatile. The combination of a market flooded with goods and the federal monetary policies (discussed later) that removed money from the national economy led to a relentless fall in prices. The world economy suffered prolonged downturns in the 1870s and 1890s. Businesses engaged in ruthless competition. Railroads and other The Electricity Building at the Chicago companies tried various means of bringing order to the chaotic market- World’s Fair of 1893, painted by place. They formed “pools” that divided up markets between suppos- Childe Hassam. The electric lighting edly competing firms and fixed prices. They established “trusts”—legal at the fair astonished visitors and devices whereby the affairs of several rival companies were managed by illustrated how electricity was changing the visual landscape. a single director. Such efforts to coordinate the economic activities of independent companies generally proved short lived. To avoid cutthroat competition, more and more corporations battled to control entire industries. Between 1897 and 1904, some 4,000 firms fell by the wayside or were gobbled up by others. By the time the wave of mergers had been completed, giant corpo- rations like U.S. Steel (created by financier J. P. Morgan in 1901 by combining eight large steel companies into the first billion- dollar economic enterprise), Standard Oil, 480 C h a p t e r 1 6  America’s Gilded Age What factors combined to make the United States a mature industrial society after the Civil War? and International Harvester (a manufacturer of agricultural machinery) dominated major parts of the economy. T h e R i s e o f A n d r e w C a r n e g i e In an era without personal or corporate income taxes, some business leaders accumulated enormous fortunes and economic power. During the depression that began in 1873, Andrew Carnegie set out to establish a “vertically integrated” steel company—that is, one that controlled every Vertical integration phase of the business from raw materials to transportation, manufac- turing, and distribution. By the 1890s, he dominated the steel industry and had accumulated a fortune worth hundreds of millions of dollars. Carnegie’s complex of steel factories at Homestead, Pennsylvania, were the most technologically advanced in the world. Believing that the rich had a moral obligation to promote the advance- ment of society, Carnegie denounced the “worship of money” and distrib- uted much of his wealth to various philanthropies, especially the creation Philanthropy of public libraries in towns throughout the country. But he ran his com- panies with a dictatorial hand. His factories operated nonstop, with two twelve-hour shifts every day of the year except the Fourth of July. T h e T r i u m p h o f J o h n D . R o c k e f e l l e r Next!, a cartoon from the magazine If any single name became a byword for enormous wealth, it was John Puck, September 7, 1904, depicts the D. Rockefeller, who began his working career as a clerk for a Cleveland Standard Oil Company as an octopus with tentacles wrapped around merchant and rose to dominate the oil industry. He drove out rival the copper, steel, and shipping firms through cutthroat competition, arranging secret deals with rail- industries, as well as a state house road companies, and fixing prices and production quotas. Like Carnegie, and Congress. One tentacle reaches he soon established a vertically integrated for the White House. monopoly, which controlled the drilling, refining, storage, and distribution of oil. By the 1880s, his Standard Oil Company con- trolled 90 percent of the nation’s oil indus- try. Like Carnegie, Rockefeller gave much of his fortune away, establishing foundations to promote education and medical research. And like Carnegie, he bitterly fought his employees’ efforts to organize unions. These and other industrial leaders inspired among ordinary Americans a com- bination of awe, admiration, and hostility. T H E S E C O N D I N D U S T R I A L R E V O L U T I O N 481 Depending on one’s point of view, they were “captains of industry,” whose energy and vision pushed the economy forward, or “robber barons,” who wielded power without any accountability in an unregulated marketplace. Their dictatorial attitudes, unscrupulous methods, repressive labor poli- cies, and exercise of power without any democratic control led to fears that they were undermining political and economic freedom. Concentrated wealth degraded the political process, declared Henry Demarest Lloyd Henry Demarest Lloyd’s Wealth against in Wealth against Commonwealth (1894), an exposé of how Rockefeller’s Commonwealth Standard Oil Company made a mockery of economic competition and political democracy by manipulating the market and bribing legislators. “Liberty and monopoly,” Lloyd concluded, “cannot live together.” W o r k e r s ’ F r e e d o m i n a n I n d u s t r i a l A g e Striking as it was, the country’s economic growth distributed its benefits very unevenly. For a minority of workers, the rapidly expanding indus- trial system created new forms of freedom. In some industries, skilled workers commanded high wages and exercised considerable control over the production process. A worker’s economic independence now rested on technical skill rather than ownership of one’s own shop and tools as in ear- lier times. Through their union, skilled iron- and steelworkers fixed output quotas and controlled the training of apprentices in the technique of iron rolling. These workers often knew more about the details of production than their employers did. Economic insecurity For most workers, however, economic insecurity remained a basic fact of life. During the depressions of the 1870s and 1890s, millions of workers lost their jobs or were forced to accept reductions of pay. The “tramp” became a familiar figure on the social landscape as thousands of men took to the roads in search of work. Between 1880 and 1900, an average of 35,000 workers perished each year in factory and mine accidents, the highest rate in the industrial world. Much of the working class remained desperately poor and to survive needed income from all family members. By 1890, the richest 1 percent of Americans received the same total income as the bottom half of the population and owned more property than the remaining 99 percent. Many of the wealthiest Americans consciously pursued an aristocratic lifestyle, building palatial homes, attending exclusive social clubs, schools, and colleges, holding fancy- Thorstein Veblen’s The dress balls, and marrying into each other’s families. In 1899, the Theory of the Leisure Class economist and social historian Thorstein Veblen published The Theory 482 C h a p t e r 1 6  America’s Gilded Age What factors combined to make the United States a mature industrial society after the Civil War? A turn-of-the-century photograph of the Casino Grounds, Newport, Rhode of the Leisure Class, a devastating critique of an upper-class culture Island, an exclusive country club for focused on “conspicuous consumption”—that is, spending money not rich socialites of the Gilded Age. on needed or even desired goods, but simply to demonstrate the pos- session of wealth. At the same time much of the working class lived in desperate con- ditions. Jacob Riis, in How the Other Half Lives (1890), offered a shocking account of living conditions among the urban poor, complete with photo- graphs of apartments in dark, airless, overcrowded tenement houses. Jacob Riis and tenements T H E T R A N S F O R M A T I O N O F T H E W E S T Nowhere did capitalism penetrate more rapidly or dramatically than in the trans-Mississippi West, whose “vast, trackless spaces,” as the poet Walt Whitman called them, were now absorbed into the expanding economy. At the close of the Civil War, the frontier of continuous white settlement did not extend far beyond the Mississippi River. To the west lay millions of acres of fertile and mineral-rich land roamed by giant herds of buffalo whose meat and hides provided food, clothing, and shelter for a population of more than 250,000 Indians. Ever since the beginning of colonial settlement in British North America, the West—a region whose definition shifted as the population The West as place of expanded—had been seen as a place of opportunity for those seeking to opportunity improve their condition in life. From farmers moving into Ohio, Indiana, and Illinois in the decades after the American Revolution to prospectors T H E T R A N S F O R M A T I O N O F T H E W E S T 483 who struck it rich in the California gold rush of the mid-nineteenth century, millions of Americans and immigrants from abroad found in the westward move- ment a path to economic opportunity. But the West was hardly a uniform paradise of small, independent farm- ers. Beginning in the eighteenth century, for example, California was the site of forced Indian labor on mis- sions run by members of religious orders, a system that helped establish the pattern of large agricultural landholdings in that region. Landlords, railroads, and mining companies in the West also utilized Mexican migrant and indentured labor, Chinese working on long-term contracts, and, until the end of the Civil War, African-American slaves. A D i v e r s e R e g i o n The West, of course, was hardly a single area. West of the Mississippi River lay a variety of regions, all marked by remarkable physical beauty—the “vast, trackless” Great Plains, the Rocky Mountains, the desert of the Baxter Street Court, 1890, one of Southwest, the Sierra Nevada, and the valleys and coastline of California numerous photographs by Jacob Riis depicting living conditions in New and the Pacific Northwest. It would take many decades before individual York City’s slums. settlers and corporate business enterprises penetrated all these areas. But the process was far advanced by the end of the nineteenth century. The political and economic incorporation of the American West was part of a global process. In many parts of the world, indigenous inhabitants—the Zulu in South Africa, aboriginal peoples in Australia, American Indians—were pushed aside (often after fierce resistance) as The worldwide fate of centralizing governments brought large interior regions under their indigenous peoples control. In the United States, the incorporation of the West required the active intervention of the federal government, which acquired Indian land by war and treaty, administered land sales, regulated territorial politics, and distributed land and money to farmers, railroads, and min- ing companies. In the twentieth century, the construction of federally financed irrigation systems and dams would open large areas to commercial farm- ing. Ironically, the West would become known (not least to its own inhab- itants) as a place of rugged individualism and sturdy independence. But Role of government in without active governmental assistance, the region could never have been the West settled and developed. 484 C h a p t e r 1 6  America’s Gilded Age How was the West transformed economically and socially in this period? Across the Continent, a lithograph from 1868 by the British-born female artist Frances F. Palmer, celebrates post–Civil War westward expansion as the spread of civilization— represented by the railroad, telegraph, school, church, and wagon trains—into a wilderness that appears totally uninhabited except for two Indians in the far distance and a herd of buffalo. F a r m i n g i n t h e T r a n s – M i s s i s s i p p i W e s t Even as sporadic Indian wars raged, settlers poured into the West. Territo- rial and state governments eager for population and railroad companies anx ious to sell the immense tracts of land they had acquired from the gov- ernment flooded European countries and eastern cities with promotional literature promising easy access to land. More land came into cultivation in the thirty years after the Civil War than in the previous two and a half centuries of American history. Hundreds of thousands of families acquired farms under the Homestead Act, and even more purchased land from spec- The new agricultural empire ulators and from railroad companies. A new agricultural empire produc- of the West ing wheat and corn arose on the Middle Border (Minnesota, the Dakotas, Nebraska, and Kansas), whose population rose from 300,000 in 1860 to 5 million in 1900. The farmers were a diverse group, including native-born easterners, blacks escaping the post-Reconstruction South, and immigrants from Canada, Germany, Scandinavia, and Great Britain. In the late nine- teenth century the most multicultural state in the Union was North Dakota. Despite the promises of promotional pamphlets, farming on the Great Plains was not an easy task. Much of the burden fell on women. Farm fami- Farm women lies generally invested in the kinds of labor-saving machinery that would bring in cash, not machines that would ease women’s burdens in the household (like the back-breaking task of doing laundry). A farm woman in Arizona described her morning chores in her diary: “Get up, turn out my chickens, draw a pail of water . . . make a fire, put potatoes to cook, brush and sweep half inch of dust off floor, feed three litters of chickens, then mix T H E T R A N S F O R M A T I O N O F T H E W E S T 485 biscuits, get breakfast, milk, besides work in the house, and this morning had to go half mile after calves.” Despite the emergence of a few “bonanza farms” that covered thou- sands of acres and employed large numbers of agricultural wage work- Family farms ers, family farms still dominated the trans-Mississippi West. Even small farmers, however, became increasingly oriented to national and interna- tional markets, specializing in the production of single crops for sale in faraway places. At the same time, railroads brought factory-made goods to rural people, replacing items previously produced in farmers’ homes. Farm families became more and more dependent on loans to purchase land, machinery, and industrial products, and increasingly vulnerable to Vulnerability to global the ups and downs of prices for agricultural goods in the world market. market prices Agriculture reflected how the international economy was becoming more integrated. The combination of economic depressions and expanding agri- cultural production in places like Argentina, Australia, and the American West pushed prices of farm products steadily downward. Small farmers throughout the world suffered severe difficulties in the last quarter of the nineteenth century. Many joined the migration to cities within their countries or the increasing international migration of labor. The future of western farming ultimately lay with giant agricultural enterprises relying heavily on irrigation, chemicals, and machinery— investments far beyond the means of family farmers. A preview of the agricultural future was already evident in California, where, as far back The family of David Hilton on their as Spanish and Mexican days, landownership had been concentrated in Nebraska homestead in 1887. large units. In the late nineteenth century, California’s giant fruit and veg- The Hiltons insisted on being photographed with their organ, away etable farms, owned by corporations like the Southern Pacific Railroad, from the modest sod house in which were tilled not by agricultural laborers who could expect to acquire land of they lived, to better represent their their own, but by migrant laborers from China, the Philippines, Japan, and aspiration for prosperity. Mexico, who tramped from place to place following the ripening crops. T h e C o w b o y a n d t h e C o r p o r a t e W e s t The two decades following the Civil War also witnessed the golden age of the cattle kingdom. The Kansas Pacific Railroad’s stations at Abilene, Dodge City, and Wichita, Kansas, became destinations for the fabled drives of millions of cattle from Texas. A collection of white, Mexican, and 486 C h a p t e r 1 6  America’s Gilded Age How was the West transformed economically and socially in this period? black men who conducted the cattle drives, the cowboys became symbols of a life of freedom on the open range. Their exploits would later serve as the theme of many a Hollywood movie, and their clothing inspired fash- ions that remain popular today. But there was nothing romantic about the life of the cowboys, most of whom were low-paid wage workers. (Texas cowboys even went on strike for higher pay in 1883.) The days of the long- distance cattle drive ended in the mid-1880s, as farmers enclosed more and more of the open range with barbed-wire fences, making it difficult to graze cattle on the grasslands of the Great Plains, and two terrible winters destroyed millions of cattle. When the industry recuperated, it was reorga- nized in large, enclosed ranches close to rail connections. The West was more than a farming empire. By 1890, a higher percentage of its population lived in cities than was the case in other regions. Large cor- In the late 1800s, California tried to porate enterprises appeared throughout the West. Western mining, from attract immigrants by advertising its Michigan iron ore and copper to gold and silver in California, Nevada, and pleasant climate and the availability of Colorado, fell under the sway of companies that mobilized eastern and land, although large-scale corporate European investment to introduce advanced technology. Gold and silver farms were coming to dominate the rushes took place in the Dakotas in 1876, Idaho in 1883, and Alaska at the state’s agriculture. end of the century. C o n f l i c t o n t h e M o r m o n F r o n t i e r The Mormons had moved to the Great Salt Lake Valley in the 1840s, hop- ing to practice their religion free of the persecution they had encountered in the East. They envisioned their community in Utah as the foundation of a great empire they called Deseret. Given the widespread unpopular- Deseret community ity of Mormon polygamy and the close connection of church and state in Mormon theology, conflict with the growing numbers of non-Mormon settlers moving west became inevitable. When President James Buchanan removed the Mormon leader Brigham Young as Utah’s territorial gov- ernor and Young refused to comply, federal troops entered the Salt Lake Valley, where they remained until the beginning of the Civil War. In 1857, during this time of tension, a group of Mormons attacked a wagon train of non-Mormon settlers traveling through Utah toward California. What came to be called the Mountain Meadows Massacre resulted in the death Mountain Meadows Massacre of all the adults and older children in the wagon train—over 100 persons. Nearly twenty years later, one leader of the assault was convicted of mur- der and executed. After the Civil War, Mormon leaders sought to avoid further antagonizing the federal government. In the 1880s, Utah banned the practice of polygamy (although the practice persists to this day among T H E T R A N S F O R M A T I O N O F T H E W E S T 487 some fundamentalist Mormons living in isolated areas). But sporadic conflict continued between Mormon families, who spread out across the Southwest, and Native Americans as well as other settlers. T h e S u b j u g a t i o n o f t h e P l a i n s I n d i a n s The incorporation of the West into the national economy spelled the doom of the Plains Indians and their world. Their lives had already undergone Spread of horses profound transformations. In the eighteenth century, the spread of horses, originally introduced by the Spanish, led to a wholesale shift from farming and hunting on foot to mounted hunting of buffalo. Most migrants on the Oregon and California Trails before the Civil War encountered little hostility from Indians, often trading with them for food and supplies. But as settlers encroached on Indian lands, bloody conflict between the army and Plains tribes began in the 1850s and contin- ued for decades. In 1869, President Ulysses S. Grant announced a new “peace policy” in the West, but warfare soon resumed. Drawing on methods used to defeat the Confederacy, Civil War generals like Philip H. Sheridan set out to destroy the foundations of the Indian economy—villages, horses, and The buffalo especially the buffalo. Hunting by mounted Indians had already reduced the buffalo population—estimated at 30 million in 1800—but it was army campaigns and the depredations of hunters seeking buffalo hides that ren- dered the vast herds all but extinct. Albert Bierstadt’s 1863 painting, The Rocky Mountains, Lander’s Peak, depicts Indians as an integral part of the majestic landscape of the West. 488 C h a p t e r 1 6  America’s Gilded Age How was the West transformed economically and socially in this period? “ L e t M e B e a F r e e M a n ” The army’s relentless attacks broke the power of one tribe after another. In 1877, troops commanded by former Freedmen’s Bureau commissioner O. O. Howard pursued the Nez Percé Indians on a 1,700-mile chase across the Far West. The Nez Percé (whose name was given them by Lewis and The Nez Percé Clark in 1805 and means “pierced noses” in French) were seeking to escape to Canada after fights with settlers who had encroached on tribal lands in Oregon and Idaho. After four months, Howard forced the Indians to sur- render, and they were removed to Oklahoma. Two years later, the Nez Percé leader, Chief Joseph, delivered a Chief Joseph speech in Washington to a distinguished audience that included President Rutherford B. Hayes. Condemning the policy of confining Indians to res- ervations, Joseph adopted the language of freedom and equal rights before the law so powerfully reinforced by the Civil War and Reconstruction. “Treat all men alike,” he pleaded. “Give them the same law. . . . Let me be a free man—free to travel, free to stop, free to work, free to trade where I choose, free to . . . think and talk and act for myself.” Until his death in 1904, Joseph would unsuccessfully petition successive presidents for his people’s right to return to their beloved Oregon homeland. Indians occasionally managed to inflict costly delay and even defeat on army units. The most famous Indian victory took place in June 1876 at Little Bighorn, when General George A. Custer and his entire command of 250 men perished. The Sioux and Cheyenne warriors, led by Sitting Bull and Crazy Horse, were defending tribal land in the Black Hills of the Sitting Bull, probably the best-known Dakota Territory. Native American of the late nineteenth Events like these delayed only temporarily the onward march of white century, in a photograph from 1885. soldiers, settlers, and prospectors. Between the end of the Civil War and 1890, eight new western states entered the Union (Nebraska, Colorado, North and South Dakota, Montana, Washington, Idaho, and Wyoming). Railroads now crisscrossed the Great Plains, farmers and cattlemen exploited land formerly owned by Indians, and the Plains tribes had been concentrated on reservations, where they lived in poverty, preyed on by unscrupulous traders and government agents. R e m a k i n g I n d i a n L i f e “The life my people want is a life of freedom,” Sitting Bull declared. The Indian idea of freedom, however, which centered on preserving their cul- tural and political autonomy and control of ancestral lands, conflicted with the interests and values of most white Americans. T H E T R A N S F O R M A T I O N O F T H E W E S T 489 In 1871, Congress eliminated the treaty system that dated back to the revolutionary era, by which the federal government negotiated agreements with Indians as if they were independent nations. The federal government also pressed forward with its assault on Indian cul- ture. The Bureau of Indian Affairs established boarding schools where Indian children, removed from the “nega- tive” influences of their parents and tribes, were dressed in non-Indian clothes, given new names, and educated in white ways. T h e D a w e s A c t a n d W o u n d e d K n e e The crucial step in attacking “tribalism” came in 1887 with the passage of the Dawes Act, named for Senator Henry L. Dawes of Massachusetts, chair of the Senate’s Indian Affairs Committee. The act broke up the land A quilt created by a Sioux woman of nearly all tribes into small parcels to be distributed who lived on a reservation in South to Indian families, with the remainder auctioned off to white purchasers. Dakota around 1900, possibly as Indians who accepted the farms and “adopted the habits of civilized life” a gift for a nearby white family. It would become full-fledged American citizens. The policy proved to be a depicts scenes of traditional daily life disaster, leading to the loss of much tribal land and the erosion of Indian cul- among the Indians, including hunting buffalo and cooking game. The bird’s tural traditions. When the government made 2 million acres of Indian land eggs at the top left corner have available in Oklahoma, 50,000 white settlers poured into the territory to hatched at the bottom right. claim farms on the single day of April 22, 1889. Further land rushes followed in the 1890s. In the half century after the passage of the Dawes Act, Indians lost 86 million of the 138 million acres of land in their possession in 1887. Some Indians sought solace in the Ghost Dance, a religious revitaliza- Despite white efforts to remake Indian tion campaign. Its leaders foretold a day when whites disappear, the buffalo life, traditional crafts survived. This would return, and Indians could once again practice their ancestral customs photograph, taken in 1903, depicts a pottery maker in the Isleta Pueblo “free from misery, death, and disease.” Large numbers of Indians gathered for near Albuquerque, New Mexico. days of singing, dancing, and religious observances. Fearing a general upris- ing, the government sent troops to the reservations. On December 29, 1890, soldiers opened fire on Ghost Dancers encamped near Wounded Knee Creek in South Dakota, killing between 150 and 200 Indians, mostly women and children. The Wounded Knee massacre was widely applauded in the press. An army court of inquiry essentially exonerated the troops and their com- mander, and twenty soldiers were later awarded the Medal of Honor, a rec- ognition of exceptional heroism in battle, for their actions at Wounded Knee. The Wounded Knee massacre marked the end of four centuries of armed conflict between the continent’s native population and European 490 C h a p t e r 1 6  America’s Gilded Age Focus Question How was the West transformed economically and socially in this period? I N D I A N R E S E R V A T I O N S , c a . 1 8 9 0 RIBES MANDAN COLVILLE HIDATSA CANADA L T SPOKAN BLACKFEET MINITARI ASTA REE COEUR D’ALENE CHIPPEWA WASHINGTON FLATHEAD SIOUX EST CO CHIPPEWA YAKIMA SIOUX & TRIBES NEZ PERCÉ MONTANA ASSINIBOIN NORTH DAKOTA NORTHW MINNESOTA UMATILLA WARM SPRING CROW NORTHERN SIOUX OREGON CHEYENNE TRIBES WISCONSIN IDAHO KLAMATH SOUTH DAKOTA MICHIGAN RIVER KLAMATH SHOSHONE & BANNOCK SHOSHONE & ARAPAHO SIOUX SIOUX HOOPA VALLEY WYOMING IOWA SHOSHONE PONCA WINNEBAGO & PAIUTE ROUND OMAHA SAC & FOX VALLEY PAIUTE NEBRASKA INDIANA UTE ILLINOIS POMO NEVADA SAC & FOX PAIUTE UTAH KICKAPOO TERRITORY COLORADO POTTAWATOMI KANSAS CHIPPEWA MUNSEE MISSOURI KENTUCKY CALIFORNIA MOAPA UTE JICARILLA TULE RIVER APACHE RIVER SUPPAI NAVAJO HOPI INDIAN TERRITORY HUALPAI MISSION INDIANS MOHAVE ARIZONA PUEBLO Peoria TERRITORY ZUÑI Chilocco Ottawa Quapaw MOHAVE NEW MEXICO Kansas Wyandotte PIMA Modoc APACHE TERRITORY CHEROKEE Tonkawa Shawnee YUMA OUTLET Ponca Osage Seneca PAPAGO MARICOPA Otoe & Missouri MESCALERO Cherokee APACHE Iowa Pawnee PAPAGO Cheyenne & Pa c i f i c TEXAS Arapaho Kickapoo Sac & Fox O c e a n Wichita Creek Caddo Pottawatomie MEXICO Comanche Seminole Kiowa Choctaw Apache Chickasaw 0 200 400 miles Indian reservations 0 200 400 kilometers By 1890, the vast majority of the settlers and their descendants. By 1900, the Indian population had remaining Indian population had been fallen to 250,000, the lowest point in American history. Of that num- removed to reservations scattered ber, 53,000 had become American citizens by accepting land allotments across the western states. under the Dawes Act. The following year, Congress granted citizenship to 100,000 residents of Indian Territory (in present-day Oklahoma). The remainder would have to wait until 1919 (for those who fought in World War I) and 1924, when Congress made all Indians American citizens. S e t t l e r S o c i e t i e s a n d G l o b a l W e s t s The conquest of the American West was part of a global process whereby set- A global process tlers moved boldly into the interior of regions in temperate climates around the world, bringing their familiar crops and livestock and establishing T H E T R A N S F O R M A T I O N O F T H E W E S T 491 V O I C E S O F F R E E D O M F r o m A n d r e w C a r n e g i e , “ W e a l t h ” ( 1 8 8 9 ) One of the richest men in Gilded Age America, Andrew Carnegie promoted what he called the gospel of wealth, the idea that those who accumulated money had an obligation to use it to promote the advancement of society. He explained his outlook in this article in the North American Review, one of the era’s most prominent magazines. The problem of our age is the proper administration of wealth, so that the ties of brotherhood may still bind together the rich and poor in harmonious relationship. The conditions of human life have not only been changed, but revolutionized, within the past few hundred years. . . . The contrast between the palace of the millionaire and the cottage of the laborer with us to-day measures the change which has come with civilization. This change, however, is not to be deplored, but welcomed as highly beneficial. It is well, nay, essential for the progress of the race, that the houses of some should be homes for all that is highest and best in literature and the arts, and for all the refinements of civilization, rather than that none should be so. . . . In bestowing charity, the main consideration should be to help those who will help themselves. . . . He is the only true reformer who is as careful and as anxious not to aid the unworthy as he is to aid the worthy, and, perhaps, even more so, for in alms-giving more injury is probably done by rewarding vice than by relieving virtue. . . . The best means of benefitting the community is to place within its reach the ladders upon which the aspiring can rise—parks, and means of recreation, by which men are helped in body and mind; works of art, certain to give pleasure and improve the public taste, and public institutions of various kinds, which will improve the general condition of the people—in this manner returning their surplus wealth to the mass of their fellows in the forms best calculated to do them lasting good. Thus is the problem of Rich and Poor to be solved. The laws of accumulation will be left free; the laws of distribution free. Individualism will continue, but the millionaire will be but a trustee for the poor. 492 C h a p t e r 1 6  America’s Gilded Age F r o m I r a S t e w a r d , “ A S e c o n d D e c l a r a t i o n o f I n d e p e n d e n c e ” ( 1 8 7 9 ) At a Fourth of July celebration in Chicago in 1879, Ira Steward, the most prominent labor leader associated with the movement for the eight-hour day, invoked the legacy of the Declaration of Independence and the abolition of slavery during the Civil War to discuss labor’s grievances. Resolved, That the practical question for an American Fourth of July is not between freedom and slavery, but between wealth and poverty. For if it is true that laborers ought to have as little as possible of the wealth they produce, South Carolina slaveholders were right and the Massachusetts abolitionists were wrong. Because, when the working classes are denied everything but the barest necessities of life, they have no decent use for liberty. . . . Slavery is . . . the child of poverty, instead of poverty the child of slavery: and freedom is the child of wealth, instead of wealth the child of freedom. The only road, therefore, to universal freedom is the road that leads to universal wealth. Resolved, That while the Fourth of July was heralded a hundred years ago in the name of Liberty, we now herald this day in behalf of the great economic measure of Eight Hours, or shorter day’s work for wageworkers everywhere . . . because more leisure, rest and thought will cultivate habits, customs, and expenditures that mean higher wages: and the world’s highest paid laborers now furnish each other with vastly more occupations or days’ work than the lowest paid workers can give to one another. . . . [And] if the worker’s power to buy increases with his power to do, granaries and warehouses will empty their pockets, and farms and factories fill up with producers. . . . And we call to the workers of the whole civilized world, especially those of France, Germany, and Great Britain, to join hands with Q U E S T I O N S the laborers of the United States in this mighty 1. Why does Carnegie think it is better to movement. . . . build public institutions than to give On the . . . issue of eight hours, therefore, or less hours, we join hands with all, regardless charity to the poor? of politics, nationality, color, religion, or sex; 2. Why does Ira Steward appeal to knowing no friends or foes except as they aid other countries for assistance and or oppose this long-postponed and world-wide understanding? movement. And for the soundness of our political econ- 3. Compare the views of Carnegie and omy, as well as the rectitude of our intentions, Stewart about how the economy should we confidently and gladly appeal to the wiser operate. statesmanship of the civilized world. V O I C E S O F F R E E D O M 493 mining and other industries. Countries such as Argentina, Australia, Canada, and New Zealand, as well as the United States, are often called “settler societies,” because immigrants from overseas quickly outnum- bered and displaced the original inhabitants—unlike in India and most parts of colonial Africa, where fewer Europeans ventured and those who did relied on the labor of the indigenous inhabitants. In many settler societies, native peoples were subjected to cultural reconstruction similar to policies in the United States. In Australia, the government gathered the Aboriginal populations—their numbers devastated by disease—in “reserves” reminiscent of American Indian reservations. Australia went fur- ther than the United States in the forced assimilation of surviving Aboriginal peoples. The government removed large numbers of children from their families to be adopted by whites—a policy abandoned only in the 1970s. A 1911 poster advertising the federal government’s sale of land formerly possessed by Indians. Under the Dawes Act of 1887, Indian families were allotted individual farms and the remaining land P O L I T I C S I N A G I L D E D A G E on reservations, so-called surplus land, was made available to whites. The era from 1870 to 1890 is the only period of American history com- monly known by a derogatory name—the Gilded Age, after the title of an 1873 novel by Mark Twain and Charles Dudley Warner. “Gilded” means covered with a layer of gold, but it also suggests that the glittering surface covers a core of little real value and is therefore deceptive. T h e C o r r u p t i o n o f P o l i t i c s As they had earlier in the nineteenth century, Americans during the Gilded Age saw their nation as an island of political democracy in a world still dominated by undemocratic governments. In Europe, only France and Switzerland enjoyed universal male suffrage. Even in Britain, most of the working class could not vote until the passage of the Reform Act of 1884. The new corporation and Nonetheless, the power of the new corporations, seemingly immune political power to democratic control, raised disturbing questions for the American under- standing of political freedom as popular self-government. Political corrup- tion was rife. In Pennsylvania’s legislature, the “third house” of railroad 494 C h a p t e r 1 6  America’s Gilded Age Was the Gilded Age political system effective in meeting its goals? The Bosses of the Senate, a cartoon from Puck, January 23, 1889, shows well-fed monopolists towering over the obedient senators. Above them, a sign rewrites the closing words of Lincoln’s Gettysburg Address: “This is the Senate of the Monopolists, by the Monopolists, and for the Monopolists.” lobbyists supposedly exerted as much influence as the elected chambers. In the West, many lawmakers held stock or directorships in lumber com- panies and railroads that received public aid. Urban politics fell under the sway of corrupt political machines like New York’s Tweed Ring, which plundered the city of tens of millions of dollars. “Boss” William M. Tweed’s organization reached into every “Boss” Tweed of New York neighborhood. He won support from the city’s immigrant poor by fashion- ing a kind of private welfare system that provided food, fuel, and jobs in hard times. A combination of political reformers and businessmen tired of paying tribute to the ring ousted Tweed in the early 1870s, although he remained popular among the city’s poor, who considered him an urban Robin Hood. At the national level, the most notorious example of corruption came to light during Grant’s presidency. This was Crédit Mobilier, a corporation The Crédit Mobilier scandal formed by an inner ring of Union Pacific Railroad stockholders to oversee the line’s government-assisted construction. Essentially, it enabled the participants to sign contracts with themselves, at an exorbitant profit, to build the new line. The arrangement was protected by the distribution of stock to influential politicians. T h e P o l i t i c s o f D e a d C e n t e r In national elections, party politics bore the powerful imprint of the Civil War. Republicans controlled the industrial North and Midwest and the Republican strength agrarian West and were particularly strong among members of revival- ist churches, Protestant immigrants, and blacks. Organizations of Union P O L I T I C S I N A G I L D E D A G E 495 veterans formed a bulwark of Republican P O L I T I C A L S T A L E M A T E , support. Every Republican candidate for 1 8 7 6 – 1 8 9 2 president from 1868 to 1900 had fought in the Union army. By 1893, a lavish system of pensions for Union soldiers and their widows and children consumed more than 40 percent of the federal budget. Democrats, after 1877, dominated the South and did well among Catholic voters, especially Irish-Americans, in the nation’s cities. The parties were closely divided. In three of the five presidential elections between 1876 and 1892, the margin sepa- rating the major candidates was less than Non-voting territory 1 percent of the popular vote. Twice, in 1876 and 1888, the candidate with an Elections of 1876–1892 electoral-college majority trailed in the Voted Democrat 4–5 times Voted Republican 4–5 times popular vote. Only for brief periods did the Voted more irregularly same party control the White House and both houses of Congress. More than once, Congress found itself paralyzed as important bills shuttled back and forth between House and Senate, and special sessions to complete legislation became necessary. Gilded Age presidents made little effort to mobilize public opinion or extend executive leadership. In some ways, though, American democracy in the Gilded Age seemed Party activism remarkably healthy. Elections were closely contested, party loyalty was intense, and 80 percent or more of eligible voters turned out to cast ballots. G o v e r n m e n t a n d t h e E c o n o m y The nation’s political structure, however, proved ill equipped to deal with the problems created by the economy’s rapid growth. Despite its expanded scope and powers arising from the Civil War, the federal government remained remarkably small by modern standards. The federal workforce in 1880 numbered 100,000 (today, it exceeds 2.5 million). The parties and business Nationally, both parties came under the control of powerful politi- interest cal managers with close ties to business interests. Republicans strongly supported a high tariff to protect American industry, and throughout the 1870s they pursued a fiscal policy based on reducing federal spending, repaying much of the national debt, and withdrawing greenbacks—the paper money issued by the Union during the Civil War—from circulation. Democrats opposed the high tariff, but the party’s national leadership 496 C h a p t e r 1 6  America’s Gilded Age Was the Gilded Age political system effective in meeting its goals? remained closely linked to New York bankers and financiers and resisted demands from debt-ridden agricultural areas for an increase in the money supply. In 1879, for the first time since the war, the United States returned to the gold standard—that is, paper currency became exchangeable for gold at a fixed rate. Republican economic policies strongly favored the interests of eastern industrialists and bankers. These policies worked to the disadvantage of southern and western farmers, who had to pay a premium for manufactured goods while the prices they received for their produce steadily declined. R e f o r m L e g i s l a t i o n Gilded Age national politics did not entirely lack accomplishments. Inspired in part by President Garfield’s assassination by a disappointed office seeker, the Civil Service Act of 1883 created a merit system for fed- eral employees, with appointment via competitive examinations rather than political influence. Although it applied at first to only 10 percent of This political cartoon from the 1884 the more than 100,000 government workers, the act marked the first step presidential campaign depicts Republican nominee James G. Blaine in establishing a professional civil service and removing officeholding as a champion of a high tariff that from the hands of political machines. (However, since funds raised from would protect American workers from political appointees had helped to finance the political parties, civil service cheap foreign labor. Blaine’s attire is reform had the unintended result of increasing politicians’ dependence on a reference to the nominating speech donations from business interests.) at the Republican convention by In 1887, in response to public outcries against railroad practices, Robert G. Ingersoll, who referred to the candidate as a “plumed knight.” Congress established the Interstate Commerce Commission (ICC) to ensure that the rates railroads charged farmers and merchants to trans- port their goods were “reasonable” and did not offer more favorable treat- ment to some shippers over others. The ICC was the first federal agency intended to regulate economic activity, but since it lacked the power to establish rates on its own—it could only sue companies in court—it had little impact on railroad practices. Three years later, Congress passed the Sherman Antitrust Act, which banned all combinations and practices that restrained free trade. But the language was so vague that the act proved almost impossible to enforce. Weak as they were, these laws helped Legacy of economic reform to establish the precedent that the national government could regulate the legislation economy to promote the public good. P o l i t i c a l C o n f l i c t i n t h e S t a t e s At the state and local level the Gilded Age was an era of political ferment and conflict over the proper uses of governmental authority. In the imme- diate aftermath of the Civil War, state governments in the North, like P O L I T I C S I N A G I L D E D A G E 497 those in the Reconstruction South, greatly expanded their responsibility for public health, welfare, and education, and cities invested heavily in public works such as park construction and improved water and gas services. The policies of railroad companies produced a growing chorus of protest, especially in the West. Farmers and local merchants complained of excessively high freight rates, discrimination in favor of large producers and shippers, and high fees charged by railroad-controlled grain Laying Tracks at Union Square warehouses. Critics of the railroads came for a Railroad, an 1890 painting, together in the Patrons of Husbandry, or Grange (1867), which moved to depicts one of the era’s many public establish cooperatives for storing and marketing farm output in the hope works assisted by state and local of forcing the carriers “to take our produce at a fair price.” governments. At the same time, the labor movement, revitalized during the Civil War, demanded laws establishing eight hours as a legal day’s work. Seven northern legislatures passed such laws, but since most lacked strong means of enforcement they remained dead letters. Nevertheless, the efforts of workers, like those of farmers, inspired a far-reaching national debate. F R E E D O M I N T H E G I L D E D A G E T h e S o c i a l P r o b l e m As the United States matured into an industrial economy, Americans struggled to make sense of the new social order. Debates over politi- cal economy engaged the attention of millions of Americans, reaching far beyond the tiny academic world into the public sphere inhabited by self-educated workingmen and farmers, reformers of all kinds, newspaper editors, and politicians. This broad public discussion produced thousands of books, pamphlets, and articles on such technical issues as land taxation and currency reform, as well as widespread debate over the social and ethi- cal implications of economic change. Many Americans sensed that something had gone wrong in the Social unrest nation’s social development. Talk of “better classes,” “respectable classes,” and “dangerous classes,” dominated public discussion, and bitter labor strikes seemed to have become the rule. In 1881, the Massachusetts Bureau 498 C h a p t e r 1 6  America’s Gilded Age How did the economic development of the Gilded Age affect American freedom? of Labor Statistics reported that virtually every worker it interviewed in Fall River, the nation’s largest center of textile production, complained of overwork, poor housing, and tyrannical employers. With factory workers living on the edge of poverty alongside a grow- ing class of millionaires, it became increasingly difficult to view wage Freedom and equality labor as a temporary resting place on the road to economic independence. disconnected Yet given the vast expansion of the nation’s productive capacity, many Americans viewed the concentration of wealth as inevitable, natural, and justified by progress. By the turn of the century, advanced economics taught that wages were determined by the iron law of supply and demand and that wealth rightly flowed not to those who worked the hardest but to men with business skills and access to money. The close link between freedom and equality, forged in the Revolution and reinforced during the Civil War, appeared increasingly out of date. S o c i a l D a r w i n i s m i n A m e r i c a The idea of the natural superiority of some groups to others, which before the Civil War had been invoked to justify slavery in an otherwise free society, now reemerged in the vocabulary of modern science to explain the success and failure of individuals and social classes. In 1859, the British scientist Charles Darwin published On the Origin of Species. One of the most Charles Darwin influential works of science ever to appear, it expounded the theory of evolution whereby plant and animal species best suited to their environ- ment took the place of those less able to adapt. In a highly oversimplified form, language borrowed from Darwin, The misapplication of such as “natural selection,” “the struggle for existence,” and “the survival Darwin’s theory of evolution of the fittest,” entered public discussion of social problems in the Gilded Age. According to what came to be called Social Darwinism, evolution was as natural a process in human society as in nature, and government must not interfere. Especially misguided, in this view, were efforts to uplift those at the bottom of the social order, such as laws regulating conditions of work or public assistance to the poor. The giant industrial corporation, Social Darwinists believed, had emerged because it was better adapted to its environment than earlier forms of enterprise. To restrict its operations by legislation would reduce society to a more primitive level. Even the depressions of the 1870s and 1890s did not shake the widespread view that the poor were essentially responsible for their own fate. Failure to advance in society was widely thought to indicate a lack of character, an absence of self-reliance and determination in the face of adversity. F R E E D O M I N T H E G I L D E D A G E 499 The era’s most influential Social Darwinist was Yale professor William Graham Sumner William Graham Sumner. For Sumner, freedom required frank accep- tance of inequality. Society faced two and only two alternatives: “liberty, inequality, survival of the fittest; not-liberty, equality, survival of the unfit- test.” Government, Sumner believed, existed only to protect “the property of men and the honor of women,” not to upset social arrangements decreed by nature. L i b e r t y o f C o n t r a c t a n d t h e C o u r t s The growing influence of Social Darwinism helped to popularize an idea that A new idea of free labor would be embraced by the business and professional classes in the last quar- ter of the nineteenth century—a “negative” definition of freedom as limited government and an unrestrained free market. Central to this social vision was the idea of contract. So long as labor relations were governed by con- tracts freely arrived at by independent individuals, neither the government nor unions had a right to interfere with working conditions, and Americans had no grounds to complain of a loss of freedom. Thus the principle of free labor, which originated as a celebration of the independent small producer in a society of broad equality and social harmony, was transformed into a defense of the unrestrained operations of the capitalist marketplace. State and federal courts regularly struck down state laws regulating The courts and economic economic enterprise as an interference with the right of the free laborer to freedom choose his employment and working conditions, and of the entrepreneur to utilize his property as he saw fit. For decades, the courts viewed state regulation of business—especially laws establishing maximum hours of work and safe working conditions—as an insult to free labor. The courts generally sided with business enterprises that complained of a loss of economic freedom. In 1885, the New York Court of Appeals invalidated a state law that prohibited the manufacture of cigars in tene- ment dwellings on the grounds that such legislation deprived the worker of Women and work the “liberty” to work “where he will.” Although women still lacked political rights, they were increasingly understood to possess the same economic “lib- erty,” defined in this way, as men. The Illinois Supreme Court in 1895 declared unconstitutional a state law that outlawed the production of garments in sweatshops and established a forty-eight-hour work week for women and E. C. Knight case children. In 1895 in United States v. E. C. Knight Co. , the U.S. Supreme Court ruled that the Sherman Antitrust Act of 1890, which barred combinations in restraint of trade, could not be used to break up a sugar refining monopoly, because the Constitution empowered Congress to regulate commerce but not manufacturing. Their unwillingness to allow regulation of the economy, 500 C h a p t e r 1 6  America’s Gilded Age How did the economic development of the Gilded Age affect American freedom? however, did not prevent the courts from acting to impede labor organization. The Sherman Act, intended to prevent business mergers that stifled competi- tion, was used by judges primarily to issue injunctions prohibiting strikes on the grounds that they illegally interfered with the freedom of trade. In a 1905 case that became almost as notorious as Dred Scott, the Supreme Court in Lochner v. New York voided a state law establishing ten Lochner v. New York hours per day or sixty per week as the maximum hours of work for bak- ers. By this time, the Court was invoking “liberty” in ways that could easily seem absurd. In one case, it overturned as a violation of “personal liberty” a Kansas law prohibiting “yellow-dog” contracts, which made nonmember- ship in a union a condition of employment. In another, it struck down state laws requiring payment of coal miners in money rather than paper usable only at company-owned stores. Workers, observed mine union leader John P. Mitchell, could not but feel that “they are being guaranteed the lib- erties they do not want and denied the liberty that is of real value to them.” L A B O R A N D T H E R E P U B L I C “ T h e O v e r w h e l m i n g L a b o r Q u e s t i o n ” Ruins of the Pittsburgh Round House, As Mitchell’s remark suggests, public debate in the late nineteenth a photograph published in the July century, more than at almost any other moment in American history, 1895 issue of Scribner’s Magazine, divided along class lines. The shift from the slavery controversy to shows the widespread destruction what one politician called “the overwhelming labor question” was dra- of property during the Great Railroad matically illustrated in 1877, the year of both the end of Strike of July 1877. Reconstruction and also the first national labor walkout— the Great Railroad Strike. When workers protesting a pay cut paralyzed rail traffic in much of the country, militia units tried to force them back to work. After troops fired on strikers in Pittsburgh, killing twenty people, workers responded by burning the city’s railroad yards, destroy- ing millions of dollars in property. General strikes para- lyzed Chicago and St. Louis. The strike revealed both a strong sense of solidarity among workers and the close ties between the Republican Party and the new class of industrialists. President Rutherford B. Hayes, who a few months earlier had ordered federal troops in the South to end their involvement in local politics, ordered the army into the North. The workers, the president wrote in his diary, were “put down by force.” L A B O R A N D T H E R E P U B L I C 501 In the aftermath of 1877, the federal government constructed armories in major cities to ensure that troops would be on hand in the event of further labor diffi- culties. Henceforth, national power would be used not to protect beleaguered for- mer slaves but to guarantee the rights of property. T h e K n i g h t s o f L a b o r a n d t h e “ C o n d i t i o n s E s s e n t i a l t o L i b e r t y ” The 1880s witnessed a new wave of labor organizing. At its center stood the Knights The Great Labor Parade of of Labor, led by Terence V. Powderly. The September 1, from Frank Leslie’s Knights were the first group to try to organize unskilled workers as well as Illustrated Newspaper, September 13, skilled, women alongside men, and blacks as well as whites (although even 1884. A placard illustrates how the labor movement identified Gilded Age the Knights excluded the despised Asian immigrants on the West Coast). The employers with the Slave Power of group reached a peak membership of nearly 800,000 in 1886 and involved the pre–Civil War era. millions of workers in strikes, boycotts, political action, and educational and social activities. Labor reformers of the Gilded Age put forward a wide array of pro- grams, from the eight-hour day to public employment in hard times, currency reform, anarchism, socialism, and the creation of a vaguely defined “cooperative commonwealth.” Labor raised the question whether meaning- ful freedom could exist in a situation of extreme economic inequality. M i d d l e – C l a s s R e f o r m e r s Dissatisfaction with social conditions in the Gilded Age extended well beyond aggrieved workers. Alarmed by fear of class warfare and the Social thought in the growing power of concentrated capital, social thinkers offered numerous Gilded Age plans for change. In the last quarter of the century, more than 150 utopian or cataclysmic novels appeared, predicting that social conflict would end either in a new, harmonious social order or in total catastrophe. Of the many books proposing more optimistic remedies for the unequal distribution of wealth, the most popular were Progress and Poverty (1879) by Henry George, The Cooperative Commonwealth (1884) by Laurence Gronlund, and Edward Bellamy’s Looking Backward (1888). All three were among the century’s greatest best-sellers, their extraordinary success tes- 502 C h a p t e r 1 6  America’s Gilded Age How did reformers of the period approach the problems of an industrial society? tifying to what George called “a wide-spread consciousness . . . that there is something radically wrong in the present social organization.” All three writers, though in very different ways, sought to reclaim an imagined golden age of social harmony and American freedom. Henry George’s Progress Progress and Poverty probably commanded more public attention than and Poverty any book on economics in American history. Henry George began with a famous statement of “the problem” suggested by its title—the growth of “squalor and misery” alongside material progress. His solution was the “single tax,” which would replace other taxes with a levy on increases in the value of real estate. No one knows how many of Henry George’s read- ers actually believed in this way of solving the nation’s ills. But millions responded to his clear explanation of economic relationships and his stir- ring account of how the “social distress” long thought to be confined to the Old World had made its appearance in the New. Quite different in outlook was The Cooperative Commonwealth, the first book to popularize socialist ideas for an American audience. Its author, Laurence Gronlund, was a lawyer who had emigrated from Denmark in 1867. Socialism—the belief that private control of economic enterprises Socialism should be replaced by government ownership in order to ensure a fairer dis- tribution of the benefits of the wealth produced—became a major political force in western Europe in the late nineteenth century. In the United States, however, where access to private property was widely considered essential to individual freedom, socialist beliefs were largely confined to immigrants, whose writings, frequently in foreign languages, attracted little attention. Gronlund began the process of socialism’s Americanization. Whereas Edward Bellamy, author of the Karl Marx, the nineteenth century’s most influential socialist theorist, utopian novel Looking Backward. had predicted that socialism would come into being via a working-class revolution, Gronlund portrayed it as the end result of a process of peace- ful evolution, not violent upheaval. He thus made socialism seem more acceptable to middle-class Americans who desired an end to class conflict and the restoration of social harmony. Not until the early twentieth century would socialism become a sig- nificant presence in American public life. As Gronlund himself noted, the most important result of The Cooperative Commonwealth was to prepare an audience for Edward Bellamy’s Looking Backward, which promoted social- ist ideas while “ignoring that name” (Bellamy wrote of nationalism, not socialism). In Looking Backward, his main character falls asleep in the late nineteenth century only to awaken in the year 2000, in a world where cooperation has replaced class strife, “excessive individualism,” and cutthroat competition. Freedom, Bellamy insisted, was a social condition resting on interdependence, not autonomy. L A B O R A N D T H E R E P U B L I C 503 The book inspired the creation of hundreds of nationalist clubs devoted to bringing into existence the world of 2000 and left a profound mark on a generation of reformers and intellectuals. Bellamy held out the hope of retaining the material abundance made possible by industrial capitalism while eliminating inequality. P r o t e s t a n t s a n d M o r a l R e f o r m Mainstream Protestants played a major role in seeking to stamp out sin during the Gilded Age. What one historian calls a “Christian lobby” pro- moted political solutions to what they saw as the moral problems raised by labor conflict and the growth of cities, and threats to religious faith by Darwinism and other scientific advances. Unlike the pre–Civil War period, when “moral suasion” was the pre- ferred approach of many reformers, powerful national organizations like the Women’s Christian Temperance Union, National Reform Association, Legislation on morals and Reform Bureau now campaigned for federal legislation that would “christianize the government” by outlawing sinful behavior. Among the proposed targets were the consumption of alcohol, gambling, prostitu- tion, polygamy, and birth control. In a striking departure from the prewar situation, southerners joined in the campaign for federal regulation of individual behavior, something whites in the region had strongly opposed before the Civil War, fearing it could lead to action against slavery. The key role played by the white South in the campaign for moral legislation The Bible Belt helped earn the region a reputation as the Bible Belt—a place where politi- cal action revolved around religious principles. Although efforts to enact a national law requiring businesses to close on Sunday failed, the Christian lobby’s efforts set the stage for later legislation such as the Mann Act of 1910, banning the transportation of women across state lines for immoral purposes (an effort to suppress prostitution), and Prohibition. A S o c i a l G o s p e l Most of the era’s Protestant preachers concentrated on attacking individual sins like drinking and Sabbath-breaking and saw nothing immoral about the pursuit of riches. But the outlines of what came to be called the Social Rauschenbusch and Gladden Gospel were taking shape in the writings of Walter Rauschenbusch, a Baptist minister in New York City; Washington Gladden, a Congregational clergyman in Columbus, Ohio; and others. They insisted that freedom and spiritual self-development required an equalization of wealth and power and that unbridled competition mocked the Christian ideal of brotherhood. 504 C h a p t e r 1 6  America’s Gilded Age How did reformers of the period approach the problems of an industrial society? The Social Gospel movement originated as an effort to reform Protestant churches by expanding their appeal in poor urban neighbor- hoods and making them more attentive to the era’s social ills. The move- ment’s adherents established missions and relief programs in urban areas that attempted to alleviate poverty, combat child labor, and encour- age the construction of better working-class housing. Within American Catholicism as well, a group of priests and bishops emerged who attempted to alter the church’s traditional hostility to movements for social reform and its isolation from contemporary currents of social thought. With most of its parishioners working men and women, they argued, the church should lend its support to the labor movement. T h e H a y m a r k e t A f f a i r The year of the dedication of the Statue of Liberty, 1886, also witnessed an unprecedented upsurge in labor activity. On May 1, 1886, some 350,000 workers in cities across the country demonstrated for an eight-hour day. Having originated in the United States, May 1, or May Day as it came to The first May Day be called, soon became an annual date of parades, picnics, and protests, celebrated around the world by organized labor. The most dramatic events of 1886 took place in Chicago, a city with a large and vibrant labor movement that brought together native-born and immigrant workers, whose outlooks ranged from immigrant socialism and anarchism to American traditions of equality and anti-monopoly. On May 3, 1886, four strikers were killed by police. The next day, a rally was held in Haymarket Square to protest the killings. Near the end of the Haymarket protests speeches, someone—whose identity has never been determined—threw a bomb into the crowd, killing a policeman. The panicked police opened fire, shooting several bystanders and a number of their own force. Soon after, police raided the offices of labor and radical groups and arrested their leaders. Employers took the opportunity to paint the labor movement as a dangerous and un-American force, prone to violence and controlled by foreign-born radicals. Eight anarchists were charged with plotting and carrying out the bombing. Even though the evidence against them was extremely weak, a jury convicted the “Haymarket martyrs.” Four were hanged, one committed suicide in prison, and the remaining three were imprisoned until John Peter Altgeld, a pro-labor governor of Illinois, com- muted their sentences in 1893. Seven of the eight men accused of plotting the Haymarket bombing were foreign-born—six Germans and an English immigrant. The last was Albert Parsons, a native of Alabama who had served in the Confederate L A B O R A N D T H E R E P U B L I C 505 army in the Civil War, married a black woman, and edited a Republican newspaper in Texas during Reconstruction. Having survived the Ku Klux Klan in Reconstruction Texas, Parsons perished on the Illinois gallows for a crime that he, like the other “Haymarket martyrs,” did not commit. L a b o r a n d P o l i t i c s The Haymarket affair took place amid an outburst of independent labor political activity. In Kansas City, for example, a coalition of black and Irish- American workers and middle-class voters elected Tom Hanna as mayor. He proceeded to side with unions rather than employers in industrial disputes. The most celebrated labor campaign took place in New York City, where in 1886, somewhat to his own surprise, Henry George found him- In this pro-labor cartoon from 1888, a self thrust into the role of labor’s candidate for mayor. George’s aim in workingman rescues liberty from the running was to bring attention to the single tax on land. The labor leaders stranglehold of monopolies and the who organized the United Labor Party had more immediate goals in mind, pro-business major parties. especially stopping the courts from barring strikes and jailing unionists for conspiracy. A few days after the dedication of the Statue of Liberty, New Yorkers flocked to the polls to elect their mayor. Nearly 70,000 voted for George, who finished second, eclipsing the total of the Republican candidate, Theodore Roosevelt, and coming close to defeating Democrat Abram Hewitt. The events of 1886 suggested that labor might be on the verge of establishing itself as a permanent political force. In fact, that year marked the high point of the Knights of Labor. Facing increasing employer hostil- ity and linked by employers and the press to the violence and radicalism Decline of Knights of Labor associated with the Haymarket events, the Knights soon declined. The major parties, moreover, proved remarkably resourceful in appealing to labor voters. In the early twentieth century, reformers would turn to new ways of addressing the social conditions of freedom and new means of increasing ordinary Americans’ political and economic liberty. But before this, in the 1890s, the nation would face its gravest crisis since the Civil War, and the boundaries of freedom would once again be redrawn. 506 C h a p t e r 1 6  America’s Gilded Age C H A P T E R R E V I E W A N D O N L I N E R E S O U R C E S R E V I E W Q U E S T I O N S K E Y T E R M S “great upheaval” of 1886 1. The American economy thrived because of federal (p. 476) involvement, not the lack of it. How did the federal “trusts” (p. 480) government actively promote industrial and agricultural vertical integration (p. 481) development in this period? “captains of industry” vs. “robber barons” (p. 482) “bonanza farms” (p. 486) 2. Why were railroads so important to America’s second Dawes Act (p. 490) industrial revolution? What events demonstrate their Ghost Dance (p. 490) influence on society and politics as well as the economy? gospel of wealth (p. 492) greenbacks (p. 496) 3. Why did organized efforts of farmers, workers, and local Interstate Commerce reformers largely fail to achieve substantive change in the Commission (p. 497) Gilded Age? Sherman Antitrust Act (p. 497) Patrons of Husbandry (p. 498) 4. Describe the involvement of American family farmers Social Darwinism (p. 499) in the global economy after 1870 and its effects on their liberty of contract (p. 500) Knights of Labor (p. 502) independence. Social Gospel (p. 504) Haymarket Affair (p. 505) 5. How successfully did third parties lead movements for reform at the state level? 6. How did American political leaders seek to remake Indians and change the ways they lived? 7. How do the ideas of Henry George, Edward Bellamy, and other authors conflict with Social Darwinism? 8. How did social reformers such as Edward Bellamy, Henry George, and advocates of the Social Gospel movement /studyspace conceive of liberty and freedom differently than the proponents of the liberty of contract ideal and laissez- VISIT STUDYSPACE FOR THESE RESOURCES AND MORE faire? s s 9. In what ways did the West provide a “safety valve” for s the problems in the industrial East? In what ways did it s reveal some of the same problems? s C h a p t e r R e v i e w a n d O n l i n e R e s o u r c e s 507 1867 Alaska purchased C H A P T E R 1 7 1874 Women’s Christian Temperance Union founded 1879– Kansas Exodus 1880 1882 Chinese Exclusion Act 1883 Civil Rights Cases F R E E D O M ’ S 1886 American Federation of Labor established 1890 National American Woman Suffrage Association B O U N D A R I E S , A T organized Alfred T. Mahan’s The Influence of Sea Power upon History H O M E A N D A B R O A D 1892 Homestead strike Populist Party organized  1893 Hawaii’s Queen Liliuokalani overthrown Economic depression 1 8 9 0 – 1 9 0 0 begins 1894 Coxey’s Army marches to Washington Pullman strike Immigration Restriction League established 1895 Booker T. Washington’s Atlanta speech 1896 Plessy v. Ferguson The National Association of Colored Women established 1897 William McKinley inaugurated president 1898 Spanish-American War 1899– Philippine War 1903 1900 Gold Standard Act 1901– Insular Cases 1904 A Trifle Embarrassed, a cartoon from the magazine Puck in 1898, depicts Uncle Sam and a female figure of liberty standing at the gate of a Foundling [Orphan] Asylum and being presented with orphans representing Puerto Rico, Hawaii, Cuba, and the Philippines. These were the territories acquired by the United States during the Spanish-American War. (All but Cuba remained American possessions.) The artist seems to question whether the United States is prepared to assume the role of imperial power. One of the most popular songs of 1892 bore the title “Father Was Killed by a Pinkerton Man.” It was inspired by an incident dur- F O C U S ing a bitter strike at Andrew Carnegie’s steelworks at Home- stead, Pennsylvania, the nineteenth century’s most widely publicized Q U E S T I O N S confrontation between labor and capital. Homestead’s twelve steel mills were the most profitable and techno- logically advanced in the world. The union contract gave the Amalgam- s ated Association a considerable say in their operation, including the right and the significance of to approve the hiring of new workers and to regulate the pace of work. Populism? In 1892, Carnegie and Henry Clay Frick, his local supervisor, decided to operate the plant on a nonunion basis. Henceforth, only workers who s agreed not to join the union could work at Homestead. In response, blacks after 1877 give way the workers blockaded the steelworks and mobilized support from the to legal segregation across local community. The battle memorialized in song took place on July 6, the South? 1892, when armed strikers confronted 300 private policemen from the Pinkerton Detective Agency. Seven workers and three Pinkerton agents s were killed, and the Pinkertons were forced to retreat. Four days later, boundaries of American the governor of Pennsylvania dispatched 8,000 militiamen to open the freedom grow narrower in complex on management’s terms. In the end, the Amalgamated Associa- this period? tion was destroyed. Homestead demonstrated that neither a powerful union nor public s opinion could influence the conduct of the largest corporations. Moreover, emerge as an imperial two American ideas of freedom collided at Homestead—the employers’ power in the 1890s? definition, based on the idea that property rights, unrestrained by union rules or public regulation, sustained the public good; and the workers’ conception, which stressed economic security and independence from what they considered the “tyranny” of employers. During the 1890s, Andrew Carnegie’s ironworks at many Americans came to believe that they were being denied economic Homestead, Pennsylvania. independence and democratic self-government, long central to the popular understanding of freedom. Millions of farmers joined the Populist movement in an attempt to reverse their declining economic pros- pects and to rescue the government from what they saw as control by powerful corporate interests. The 1890s witnessed the imposition of a new racial system in the South that locked African-Americans into the status of second-class citizenship, denying them many of the freedoms white Americans took for granted. Increasing immigration produced heated debates over whether the country should reconsider its traditional self-definition as a refuge for foreigners seeking greater F R E E D O M ’ S B O U N D A R I E S , A T H O M E A N D A B R O A D 509 freedom on American shores. At the end of the 1890s, in the Spanish- American War, the United States for the first time acquired overseas possessions and found itself ruling over subject peoples from Puerto Rico to the Philippines. Was the democratic republic, many Americans won- dered, becoming an empire like those of Europe? Rarely has the country experienced at one time so many debates over both the meaning of free- dom and freedom’s boundaries. T H E P O P U L I S T C H A L L E N G E T h e F a r m e r s ’ R e v o l t Even as labor unrest crested, a different kind of uprising was ripen- ing in the South and the trans-Mississippi West, a response to falling agricultural prices and growing economic dependency in rural areas. In the South, the sharecropping system, discussed in Chapter 15, locked millions of tenant farmers, white and black, into perpetual poverty. The interruption of cotton exports during the Civil War had led to the rapid Causes of unrest expansion of production in India, Egypt, and Brazil. The glut of cotton on the world market led to declining prices, throwing millions of small farmers deep into debt and threatening them with the loss of their land. In the West, farmers who had mortgaged their property to purchase seed, fertilizer, and equipment faced the prospect of losing their farms when unable to repay their bank loans. Farmers increasingly believed that their plight derived from the high freight rates charged by railroad companies, excessive interest rates for loans from merchants and bank- ers, and the fiscal policies of the federal government (discussed in the previous chapter) that reduced the supply of money and helped to push down farm prices. The Farmers’ Alliance Through the Farmers’ Alliance, the largest citizens’ movement of the nineteenth century, farmers sought to remedy their condition. Founded in Texas in the late 1870s, the Alliance spread to forty-three states by 1890. The Alliance proposed that the federal government establish warehouses where farmers could store their crops until they were sold. Using the crops as collateral, the government would then issue loans to farmers at low interest rates, thereby ending their dependence on bankers and mer- chants. Since it would have to be enacted by Congress, the “subtreasury plan,” as this proposal was called, led the Alliance into politics. 510 C h a p t e r 1 7  Freedom’s Boundaries, at Home and Abroad What were the origins and the significance of Populism? T h e P e o p l e ’ s P a r t y In the early 1890s, the Alliance evolved into the People’s Party (or Populists), the era’s greatest political insurgency. Attempting to speak for all “producing classes,” the party did not just appeal to farmers. It achieved some of its greatest successes in states like Colorado and Idaho, where it won the support of miners and industrial workers. But its major base lay in the cotton and wheat belts of the South and West. The Populists embarked on a remarkable effort of community orga- Populist organizing nization and education. To spread their message they published numer- ous pamphlets on political and economic questions, established more than 1,000 local newspapers, and sent traveling speakers throughout rural America. At great gatherings on the western plains, similar in some ways to religious revival meetings, and in small-town southern country stores, one observer wrote, “people commenced to think who had never thought before, and people talked who had seldom spoken.” Here was the last great political expression of the nineteenth-century vision of America as a commonwealth of small producers whose freedom rested on the ownership of productive property and respect for the dignity of labor. But although the Populists used the familiar language of nineteenth- century radicalism, they were hardly a backward-looking movement. They embraced the modern technologies that made large-scale cooperative The Populist message enterprise possible—the railroad, the telegraph, and the national market— while looking to the federal government to regulate those technologies in the public interest. They promoted agricultural education and believed farmers should adopt modern scientific methods of cultivation. A group of Kansas Populists, perhaps on their way to a political gathering, in a photograph from the 1890s. T H E P O P U L I S T C H A L L E N G E 511 T h e P o p u l i s t P l a t f o r m The Populist platform of 1892, adopted at the party’s Omaha convention, remains a classic document of American reform. Written by Ignatius Donnelly, a Minnesota editor, it spoke of a nation “brought to the verge of moral, political, and material ruin” by political corruption and eco- Proposals of reform nomic inequality. The platform put forth a long list of proposals to restore democracy and economic opportunity, many of which would be adopted during the next half-century: the direct election of U.S. senators, govern- ment control of the currency, a graduated income tax, a system of low-cost public financing to enable farmers to market their crops, and recognition of the right of workers to form labor unions. In addition, Populists called for public ownership of the railroads to guarantee farmers inexpensive access to markets for their crops. A generation would pass before a major party offered so sweeping a plan for political action to create the social conditions of freedom. P O P U L I S T S T R E N G T H , 1 8 9 2 WASHINGTON CANADA NEW MONTANA NORTH HAMPSHIRE MAINE DAKOTA VERMONT OREGON MINNESOTA IDAHO SOUTH WISCONSIN NEW MASSACHUSETTS WYOMING DAKOTA MICHIGAN YORK RHODE ISLAND NEBRASKA IOWA PENNSYLVANIA CONNECTICUT NEVADA UTAH INDIANA OHIO NEW JERSEY ILLINOIS WEST DELAWARE CALIFORNIA TERRITORY COLORADO KANSAS VIRGINIA MARYLAND MISSOURI VIRGINIA KENTUCKY NORTH ARIZONA OKLAHOMA TENNESSEE CAROLINA TERRITORY NEW MEXICO TERRITORY ARKANSAS SOUTH TERRITORY CAROLINA ALABAMA GEORGIA Populist share of the MISSISSIPPI presidential vote, 1892 TEXAS (percentage) LOUISIANA Over 48 30–48 FLORIDA 15–30 5–15 0–5 MEXICO 0 250 500 miles Not voting 0 250 500 kilometers 512 C h a p t e r 1 7  Freedom’s Boundaries, at Home and Abroad What were the origins and the significance of Populism? T h e P o p u l i s t C o a l i t i o n In some southern states, the Populists made remarkable efforts to unite black and white small farmers on a common political and economic pro- gram. In general, southern white Populists’ racial attitudes did not differ Populism and race significantly from those of their non-Populist neighbors. Nonetheless, rec- ognizing the need for allies to break the Democratic Party’s stranglehold on power in the South, some white Populists insisted that black and white farmers shared common grievances and could unite for common goals. Tom Watson, Georgia’s leading Populist, worked the hardest to forge a black-white alliance. “You are kept apart,” he told interracial audiences, “that you may be separately fleeced of your earnings.” While many blacks refused to abandon the party of Lincoln, others were attracted by the Populist appeal. In most of the South, however, Democrats fended off the Populist challenge by resorting to the tactics they had used to retain power since the 1870s—mobilizing whites with warnings about “Negro suprem- acy,” intimidating black voters, and stuffing ballot boxes on election day. The Populist movement also engaged the energies of thousands of Women reformers reform-minded women from farm and labor backgrounds. Some, like Mary Elizabeth Lease, a former homesteader and one of the first female lawyers in Kansas, became prominent organizers, campaigners, and strategists. During the 1890s, referendums in Colorado and Idaho approved extending the vote to women, whereas in Kansas and California the proposal went down in defeat. Populists in all these states endorsed woman suffrage. Populist presidential candidate James Weaver received more than 1 million votes in 1892. The party carried five western states. In his inau- Presidential election of 1892 gural address in 1893, Lorenzo Lewelling, the new Populist governor of Kansas, anticipated a phrase made famous seventy years later by Martin Luther King Jr.: “I have a dream. . . . A time is foreshadowed when . . . liberty, equality, and justice shall have permanent abiding places in the republic.” T h e G o v e r n m e n t a n d L a b o r Were the Populists on the verge of replacing one of the two major par- ties? The severe depression that began in 1893 led to increased conflict between capital and labor and seemed to create an opportunity for expanding the Populist vote. Time and again, employers brought state or federal authority to bear to protect their own economic power or put down threats to public order. In May 1894, the federal government T H E P O P U L I S T C H A L L E N G E 513 deployed soldiers to disperse Coxey’s Army—a band of several hundred unemployed men led by Ohio businessman Jacob Coxey, who marched to Washington demanding economic relief. Also in 1894, workers in the company-owned town of Pullman, Illi- nois, where railroad sleeping cars were manufactured, called a strike to protest a reduction in wages. The American Railway Union announced The Pullman Strike that its members would refuse to handle trains with Pullman cars. When the boycott crippled national rail service, President Grover Cleveland’s attorney general, Richard Olney (himself on the board of several railroad companies), obtained a federal court injunction ordering the strikers back to work. Federal troops and U.S. marshals soon occupied railroad centers like Chicago and Sacramento. The strike collapsed when the union’s leaders, including its char- Eugene Debs ismatic president, Eugene V. Debs, were jailed for contempt of court for violating the judicial order. In the case of In re Debs, the Supreme Court unanimously confirmed the sentences and approved the use of injunctions against striking labor unions. On his release from prison in November 1895, more than 100,000 persons greeted Debs at a Chicago railroad depot. P o p u l i s m a n d L a b o r Federal troops pose atop a railroad In 1894, Populists made determined efforts to appeal to industrial work- engine after being sent to Chicago ers. Governor Davis Waite of Colorado, who had edited a labor newspa- to help suppress the Pullman strike per before his election, sent the militia to protect striking miners against of 1894. 514 C h a p t e r 1 7  Freedom’s Boundaries, at Home and Abroad What were the origins and the significance of Populism? company police. In the state and congressional elections of that year, as the economic depression deepened, voters by the millions abandoned the Democratic Party of President Cleveland. In rural areas, the Populist vote increased in 1894. But urban work- ers did not rally to the Populists, whose core issues—the subtreasury plan and lower mortgage interest rates—had little meaning for them. Urban working-class voters instead shifted en masse to the Republicans, Labor votes who claimed that raising tariff rates (which Democrats had recently reduced) would restore prosperity by protecting manufacturers and industrial workers from the competition of imported goods and cheap foreign labor. In one of the most decisive shifts in congressional power in American history, the Republicans gained 117 seats in the House of Representatives. B r y a n a n d F r e e S i l v e r In 1896, Democrats and Populists joined to support William Jennings Bryan for the presidency. A thirty-six-year-old congressman from Nebraska, A cartoon from the magazine Judge, Bryan won the Democratic nomination after delivering to the national con- September 14, 1896, condemns vention an electrifying speech that crystallized the farmers’ pride and griev- William Jennings Bryan and his ances. “Burn down your cities and leave our farms,” Bryan proclaimed, “cross of gold” speech for defiling the symbols of Christianity. Bryan “and your cities will spring up again as if by magic; but destroy our farms tramples on the Bible while holding and grass will grow in the streets of every city in the country.” Bryan called his golden cross; a vandalized church for the “free coinage” of silver—the unrestricted minting of silver money. In is visible in the background. language ringing with biblical imagery, Bryan condemned the gold stan- dard: “You shall not crucify mankind upon a cross of gold.” Bryan’s demand for “free silver” was the latest expression of the view that increasing the amount of currency in circulation would raise the prices farmers received for their crops and make it easier to pay off their debts. His nomination wrested control of the Democratic Party from long- dominant leaders like President Grover Cleveland, who were closely tied to eastern businessmen. There was more to Bryan’s appeal, however, than simply free silver. A devoutly religious man, he was strongly influenced by the Social Gospel movement (discussed in the previous chapter). He championed a vision of the government helping ordinary Americans that anticipated provisions of the New Deal of the 1930s, including a progressive income tax, banking regulation, and the right of workers to form unions. Bryan also broke with tradition and embarked on a nationwide speaking tour, seeking to rally farmers and workers to his cause. T H E P O P U L I S T C H A L L E N G E 515 T h e C a m p a i g n o f 1 8 9 6 Republicans met the silverite challenge head on, insisting that gold was the only “honest” currency. Abandoning the gold standard, they insisted, would destroy business confidence and prevent recovery from the depres- sion by making creditors unwilling to extend loans, because they could not be certain of the value of the money in which they would be repaid. The William McKinley party nominated for president Ohio governor William McKinley, who as a congressman in 1890 had shepherded to passage the strongly protectionist McKinley Tariff. The election of 1896 is sometimes called the first modern presidential campaign because of the amount of money spent by the Republicans and A modern campaign the efficiency of their national organization. Eastern bankers and industrial- ists, thoroughly alarmed by Bryan’s call for monetary inflation and his fiery speeches denouncing corporate arrogance, poured millions of dollars into Republican coffers. (McKinley’s campaign raised some $10 million; Bryan’s around $300,000.) While McKinley remained at his Ohio home, his politi- cal manager Mark Hanna created a powerful national political machine that flooded the country with pamphlets, posters, and campaign buttons. The results revealed a nation as divided along regional lines as in 1860. Bryan carried the South and West and received 6.5 million votes. McKinley swept the more popu- lous industrial states of the Northeast and T H E P R E S I D E N T I A L Midwest, attracting 7.1 million. Industrial E L E C T I O N O F 1 8 9 6 America, from financiers and managers to workers, now voted solidly Republican, 4 a loyalty reinforced when prosperity 3 3 4 4 6 4 9 returned after 1897. 3 4 12 36 15 14 McKinley’s victory shattered the 3 4 32 8 13 6 political stalemate that had persisted 3 10 3 24 15 23 3 8 4 6 since 1876 and created one of the most 10 17 12 8 12 1 11 enduring political majorities in American 1 12 8 9 history. During McKinley’s presidency, 9 11 13 Republicans placed their stamp on eco- 15 8 nomic policy by passing the Dingley 4 Tariff of 1897, raising rates to the highest Non-voting territory level in history, and the Gold Standard Electoral Vote Popular Vote Act of 1900. Not until 1932, in the midst Party Candidate (Share) (Share) of another economic depression, would Republican McKinley 271 (61%) 7,104,779 (51%) Democrat Bryan 176 (39%) 6,502,925 (47%) the Democrats become the nation’s Minor parties 315,398 (2%) majority party. 516 C h a p t e r 1 7  Freedom’s Boundaries, at Home and Abroad How did the liberties of blacks after 1877 give way to legal segregation across the South? T H E S E G R E G A T E D S O U T H T h e R e d e e m e r s i n P o w e r The failure of Populism in the South opened the door for the full imposition of a new racial order. The coalition of merchants, planters, and business entrepreneurs who dominated the region’s politics after 1877 called themselves Redeemers, since they claimed to have redeemed the region from the alleged horrors of misgovernment and “black rule.” Undoing Reconstruction On achieving power, they had moved to undo as much as possible of Reconstruction. Hardest hit were the new public school systems. Louisiana spent so little on education that it became the only state in the Union in which the percentage of whites unable to read and write actu- ally increased between 1880 and 1900. Black schools, however, suffered the most, as the gap between expenditures for black and white pupils widened steadily. New laws authorized the arrest of virtually any person without employment and greatly increased the penalties for petty crimes. As the South’s prison population rose, the renting out of convicts became a Convict labor profitable business. Every southern state placed at least a portion of its convicted criminals, the majority of them blacks imprisoned for minor offenses, in the hands of private businessmen. Railroads, mines, and lumber companies competed for this new form of cheap, involuntary labor. Conditions in labor camps were often barbaric, with disease rife and the death rates high. “One dies, get another” was the motto of the A group of Florida convict laborers. system’s architects. Southern states notoriously used convicts for public labor or leased T h e F a i l u r e o f t h e N e w S o u t h D r e a m them out to work in dire conditions for private employers. During the 1880s, Atlanta editor Henry Grady tirelessly promoted the promise of a New South, an era of prosperity based on industrial expan- sion and agricultural diversification. In fact, while planters, merchants, and industrialists prospered, the region as a whole sank deeper and deeper into poverty. Some industry did develop, such as new upcountry cotton factories that offered jobs to entire families of poor whites from the sur- rounding countryside. But since the main attractions for investors were the South’s low wages and taxes and the availability of convict labor, these enterprises made little contribution to regional economic develop- ment. With the exception of Birmingham, Alabama, which by 1900 had developed into an important center for the manufacture of iron and steel, southern cities were mainly export centers for cotton, tobacco, and rice, T H E S E G R E G A T E D S O U T H 517 with little industry or skilled labor. Overall, the region remained depen- dent on the North for capital and manufactured goods. As late as the 1930s, President Franklin D. Roosevelt would declare the South the nation’s “number one” economic problem. B l a c k L i f e i n t h e S o u t h Black farmers As the most disadvantaged rural southerners, black farmers suffered the most from the region’s condition. In the Upper South, economic develop- ment offered some opportunities—mines, iron furnaces, and tobacco facto- ries employed black laborers, and a good number of black farmers managed to acquire land. In the rice kingdom of coastal South Carolina and Georgia, most of the great plantations had fallen to pieces by the turn of the century, and many blacks acquired land and took up self-sufficient farming. In most Declining landownership of the Deep South, however, African-Americans owned a smaller percent- age of land in 1900 than they had at the end of Reconstruction. In southern cities, the network of institutions created after the Civil War—schools and colleges, churches, businesses, women’s clubs, and the like—served as the foundation for increasingly diverse black urban com- munities. They supported the growth of a black middle class, mostly pro- Coal miners, in a photograph by fessionals like teachers and physicians, or businessmen like undertakers Lewis Hine. 

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tecl2 shape

1. Which of the following has square-planar molecular geometry?

a. SF4

b. XeF4

c. CCl2Br2

d. CCl4

e. PH3

2. Which of the following has a T-shaped structure?

a. NH3

b. BCl3

c. ICl3

d. PCl3

e. SO3

3. Which series correctly identifies the hybridization of the central atom in a molecule of AlCl3?

a. sp

b. sp2

c. sp3

d. sp3d

e. sp3d2

4. The angle between two sp hybrid orbitals is:

a. 109°

b. 120°

c. 180°

d. 60°

e. 90°

5. The fact that the BF3 molecule is planar means that the B atom is:

a. unhybridized

b. sp-hybridized

c. sp3-hybridized

d. sp2-hybridized

6. What type of hybrid orbitals are used by the carbon atoms in C2H6?

a. d2sp3

b. sp3

c. sp2

d. d2sp2

e. sp

7. How many valence electrons does an aluminum atom have?

8. Consider a molecule of NI3.

a. How many bonding electron pairs are there?

b. In NI3, how many lone electron pairs are there?

9. Using VSEPR, predict the shape of the following molecules:

carbon tetrachloride

10. Why don’t all molecules with the general atomic formula AB3 have the same shape?

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watch hotel rwanda

Analyze the movie: After watching the movie, you will write a 4-6 page review, consisting of:

a) intro paragraph noting the relevance of the movie to the course

b) one page description/summary of the contents of the film

-How was the story presented?
——-i.e. flashbacks, sequential, from a particular character’s point of view, etc.

-What was the intention of the film and/or filmmaker?
——-Was this intention fulfilled or met?

-Did the way the movie was produced and presented affect the content?

-Were there specific scenes or occurrences, which stood out as being essential to the development of the story and/or to your understanding of it?

-Major substantive points of the movie?

-Any secondary points made?

-Any ‘unintentional’ results of the movie?

c) 0.5-1 page in which you discuss how popular culture themes were constructed in the movie use at least 3 examples

d) 1-2 pages in which you use at least 4 sociological/pop cultural concepts covered in this course to analyze the movie (cite class materials as you do so)

e) Analyze which issues emerged as the strongest…as the weakest?

f) Briefly compare the popular culture themes in the movie you watched for this assignment to another movie you have previously seen that had similar themes.

The paper should be typed, double-spaced, 12-point font, 1” margins.  

Please be sure to use sources and format citations in the APA citation format (including the movie). 

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canvas colostate edu

11/8/2017 Quiz: HW6.P1.C – Canvas – CSU 1/4


Started: Nov 8 at 7:27pm

Quiz Instruc ons

A gas stream contains 40 mol% isopropanol in air and flows at 240 mol/min, 70 C, and 1 atm. You are to use a condenser operating at a lower temperature to liquefy and recover isopropanol for reuse in the process.

The condenser uses a chilled water coil to cool the gas stream to 25 C and produces a liquid condensate stream that is in equilibrium with the exiting gas stream.



2 ptsQuestion 1

Sketch a process flow sheet for this condenser, assuming air has negligible solubility in the liquid output stream.

Select from the following list the mass balances for both isopropanol (IPA) and air.

Logout Close your browser to end your session. ( ebab)

Mohamed Almeraikhi

11/8/2017 Quiz: HW6.P1.C – Canvas – CSU 2/4

2 ptsQuestion 2

Solve for the mole fraction of IPA in the exiting gas stream.

Hint: The two mass balances above aren’t enough to solve for this mole fraction. There is another equation you can use

to directly solve!

Keep four decimal places in your answer (e.g.: X.XXXX)

2 ptsQuestion 3

Solve for the total flow rate of exiting gas stream in mol/min.

Round to the nearest tenth and do not include units

2 ptsQuestion 4

Calculate the mole percent recovery of isopropanol in the condensate stream.

11/8/2017 Quiz: HW6.P1.C – Canvas – CSU 3/4

Round to the nearest hundredth and do not include the % symbol

2 ptsQuestion 5

Now you wish to change the condenser operating temperature in order to recover 98% of the isopropanol.

Work backward to find the new mole percent air in the exiting gas stream.

Keep three decimal places in your answer and do not include units.

4 ptsQuestion 6

Download the provided MATLAB template (HW6_1_template.m ( verifier=0eDB6ZPdOLGFKW9NYahivu0PuYHMgf9JDmMzmCkz&wrap=1) ( verifier=0eDB6ZPdOLGFKW9NYahivu0PuYHMgf9JDmMzmCkz&wrap=1) (

11/8/2017 Quiz: HW6.P1.C – Canvas – CSU 4/4

No new data to save. Last checked at 9:34am


verifier=0eDB6ZPdOLGFKW9NYahivu0PuYHMgf9JDmMzmCkz&wrap=1) ) and fill in the script to re-solve for the percent recovery of isopropanol while allowing O and N in the air to dissolve into the isopropanol liquid stream.

Assume the 25 C Henry’s Law constants of 43,800 atm for O and 86,400 atm for N .

Upload your completed script below.

2 2

o 2 2

Choose a File

1 ptsQuestion 7



Accounting for solubility of air significantly changes the percent recovery of isopropanol.

Submit Quiz

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kucampus kaplan



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Case Study of Cookie Creations

Elizabeth Ozuna

Kaplan University


This paper contains the application of the principles of financial accounting and financial analysis in the case study of Cookie Creations. The paper gives an analysis of the various challenges the proprietor faces and gives financial solutions based on the applicable financial accounting principles. In the paper, Natalie advises on the choice of the type of business unit, accounting information important to know and business accounts specific for Cookie Creations, whether to open separate bank account and handling personal and business assets. The paper also contains information on analyzing the financial performance of another business (Biscuits) before engaging with Cookie Creations as a Supplier to gauge its ability to pay and sustain the business over a long period of time. Johns’ proposal to assist management of Cookie Creation accounts is also analyzed, and improvements suggested by the proposed system. This paper also provides information on analysis of a customer’s financial statements before extending credit to them, and considerations on the use of credit cards by customers.


Natalie Koebel has decided to start up a business, relying on her cookie making skills. Her idea is to operate a cookie-making school and faces various challenges from starting up the business to running it to profitability. This paper looks into the various challenges Natalie faces, and suggests possible solutions from analysis of the situations. Analysis and proposal of the possible solutions are based on the financial accounting principles and the analysis of financial performance and operations of a business. Through this paper, Natalie is aided in establishing Cookie Creations business and operating it to ensure profitability and growth.

CC 1

Business Unit

In considering the type of business unit to establish, Natalie has to analyze the registration requirements, establishment capital, resources available and the operation costs for each. If she registers the business as a sole proprietorship, she will maintain control of the business, making decisions independently and enjoy all the returns solely. Registration of a sole proprietorship also has minimal legal requirements and hence the start-up costs are minimal. All income accrues to the owner and hence taxed only once. She can consider a partnership which also has minimal legal requirements and low startup costs, enjoys single taxation as income is accrued to the owners (Needles, Powers, & Crosson, 2010). However, sole proprietorship and partnership business units are limited in access to capital and all the costs and loss is borne by the owners, to the extent of personal assets. She can also establish Cookie Creations as a corporation, where capital mobilization will be easier. However, the legal requirements to establish a corporate are many and cost more. She will also lose the control of the business, and face double taxation, from the corporate tax and the dividends.

Accounting Information Needed

To effectively register and run the business, Natalie needs to grasp basic accounting information. She will need to know the procedures and costs of the registration, and how to record the initial costs. She must be able to identify and classify her accounts correctly. Such include returns from sales of the skies, fees from the students, the purchase of materials, expenses such as utility bills, rent and recording of the equipment obtained. She must know how to maintain cash on hand and at bank at appropriate levels for smooth running of the business

Cookie Creations Specific Accounts

Cookie Creations need to create accounts for all the assets it has. One is for the equipment used in preparation of the cookies. If she operates on personally owned premises, then an account of the premises should also be created. All the furniture, shelves or any other fittings bought by Natalie for the business must also be recorded under furniture and fittings account. The Cash account must also be kept, and a bank account if she acquires one for the business. She must create an account to capture the receipts from the sales of the cookie, and another for receipts from the teaching services. She also needs a purchaser’s account from the raw materials purchased for the preparation of the cookies. Expense accounts should be created for utilities such as water and electricity costs. If she operates from rented premises, then another expense account for the rent should be created. Other expenses such as telephone, travelling, and miscellaneous office expenses can also be created. She also needs a debtor’s account for all services or cookies supplied on credit, and a creditor’s account for the services and supplies she receives on credit terms (Elliott & Elliott, 2011).

Bank account

Natalie should open a separate bank account for effective and accurate accounting of the business, to separate her personal cash and that of the business. A bank account will enable secure and varied payments such as checks, debit and credit cards, and direct deposits, easing up the customers’ payment methods. Having a bank account for the business may also enable her to receive credit through overdraft in case of shortage of cash needed, hence enable her to effectively run the business.

Separation of Business and Personal Assets

Keeping personal assets separate from business assets will assist Natalie get accurate records of the performance of the business. However, using the car for both personal and business purposes and recording the fuel, maintenance and depreciation under same business accounts will reduce the income and hence reduce the tax liability (CTI Reviews, 2017). However, she may be denied categorizing the expenses as deductions as they are not separate from her personal business, and the business may just be recognized as a hobby. Therefore, since the car is a personal asset, she should keep a clear record of the expenses incurred for business purposes, and record under travelling expenses (Needles, Powers, & Crosson, 2010). The rest of the expenses should be catered from her pocket.

CC 2

Information in Financial Statements

The balance sheet, referred to as the position of financial position gives the firm’s value of its assets, as well as the liabilities of the firm (Weygandt, Kieso, & Kimmel, 2010). The income statement gives the profits generated by equating the income versus the costs incurred. The cash flow statement gives the cash available and how it flows between the activities of the firm.

Current Ration and Acid Test Analysis of Biscuits

Natalie would need to analyze the statement of financial position to determine whether Biscuits are liquid enough to meet its current liabilities. The current ration and the acid test ration will help precisely determine this ability, by dividing the current assets by the current liabilities and current assets less inventory by the current liabilities respectively. The trend on the net profits made can also give an insight into the ability of the company to pay its liabilities, by comparing the net profits from the recent financial years from the income statements. The cash flow statement will also provide the cash balances of the Company, which also indicates its ability to pay for the current liabilities (Corporate Finance Institute, 2018).

Evaluation of Long-Term Viability of Biscuits

To evaluate the long-term viability of Biscuits, Natalie has to evaluate the going concern and the long-term viability statement, from the directors’ report in the financial statements. Also, should review the risk assessment report from the same financial report, and critically assess the information provided (KPMG, 2015). The financial records can also give an insight into the long-term viability of the business, by evaluating the trend on the profitability of the company by comparing recent financial years’ reports. An increasing financial position of the firm, increasing profitability and stable debt ratios indicate a viable long term of the business.

Evaluation of Biscuits’ Profitability

The income statement is key to evaluating the profitability of Biscuits. The net profit of loss indicates whether a firm is making profits or losses. Further, profitability ratios give further insights into the financial performance of the firm. The net profit margin will explain how much Biscuits earn after taxes, relative to its sales. The return on assets helps to evaluate the earnings per asset of a firm, by dividing the net profits with the firm’s assets (Bragg, 2017). If Biscuits are a listed company, then Natalie will need to evaluate how much are the shareholders gaining from their investment by calculating the returns on equity.

Biscuits Debt Analysis

The statement of financial position gives the information of the long-term liabilities of a firm, from which Natalie can know the amount of long debts owed to Biscuits. However, a debt may be high, but the company has the ability to effectively pay, so Natalie has to evaluate the L everage ratios of Biscuits to get a clear picture of the debt situation. She has to evaluate the ratio of the debt to the equity, and debt to the assets of the company. Lower ratio would indicate that the company is able to comfortably pay for its debt while bigger ratio indicates there could be challenges in fulfilling its debt obligations (Bragg, 2017).

Biscuits’ Debt and Interest Payments

To get information on the amount of principle amount and debt being paid by Biscuits, Natalie will review the income statement, under expenses and get the loan payment, as well as the interest on loan payments. The statement if the financial position under long term liabilities will give the Biscuits outstanding long-term debt value (Elliott & Elliott, 2011).

Biscuits’ Dividend Payments

From the income statement, Natalie can gather information on the amount of dividends paid to the shareholders. For further insights into the value of the dividends paid out, then earnings per share ratios will help evaluate how much of the total dividends paid out were received per each share (Needles, Powers, & Crosson, 2010). The trend on the dividends per share paid out across recent years will signify an improving or declining company.

Other Concerns on Biscuits’ Deal

Natalie should consider Cookie Creations’ ability to supply the required amount of 1500 dozens of cookies to Biscuits without inappropriately stretching its resources. Also, she has to evaluate the debt payment time offered of 30 days, versus that she has offered to her debtors, so that she can determine whether her company will have sufficient cash in hand and sufficient working capital to run her business. She should also inquire about what steps the company is taking to counter the declining number of customers due to manufacture of high sugar content foods.

CC 7

Weaknesses in John’s Internal Control System

John suggests keeping cash in his vehicle until it accumulates enough for deposits. However, such cash will not be secure, can be lost or stolen. Signing checks should also not be delegated to an outside authority, as they lack authenticity. The storage of the accounting records should not be limited to only John’s laptop computer; they can be lost or manipulated easily. Finally, John should not be writing and signing a check to him. The system set up allows Natalie to only view the accounting records as presented by John, and therefore she is not keeping track of the records day in day out, which minimizes her controlling ability.

Improvements to John’s Proposed System

The system should only allow Natalie to authorize payments by writing and signing the checks. The cash collected should be deposited as frequent as possible, maintaining a balance sufficient for the day to day operations of the company. The Johns accounting program should be linked to Natalie’s computer for continuous monitoring of the accounts and backed up online in case of data loss for easy retrieval. Finally, only Natalie should authorize payments for Johns services by writing and signing the check herself.

CC 8

Curtis’ Financial Statements Analysis

Natalie should calculate Curtis’ liquidity to establish that the business is able to pay for its liabilities in the short-term. The current ration, calculated by dividing the current assets by the current liabilities, and the quick ration, obtained by dividing the current assets less the inventory by the current liabilities are able to give the liquidity state of the firm (Bragg, 2017). High ratios will indicate that Curtis has ability to pay its debts while low ratios signify low liquidity, meaning that Curtis cannot meet current liabilities. Further to the financial reports obtained from Curtis, Natalie should get the commercial credit statement of Curtis to easily determine their credit worthiness.

Alternatives to Credit Card Extension

Natalie can decide to offer hire purchase terms to Curtis, where she will receive a deposit payment, and the rest of the amount in installments, which will give higher profits and easy the term of payment for Curtis. Natalie can also offer discount rates for earlier payment made on the transaction, to encourage Curtis to consider early payment. The other option that Natalie can utilize is invoice factoring or invoice discounting, which ha debtor financing options that will enable her to receive her payments earlier than having to bear with the 30 days credit request from Curtis.

Advantages and Disadvantages of Credit Card Payments

Credit cards enable many people to access the services and products of a company, which generally improves the sales of the company. Credit cards enable customers to meet their needs and want at any geographic point, and also increase their impulse buying leading to higher sales revenues. Credit cards also help payment of credit services faster than other conventional methods, hence improving the cash flows of the company. Allowing credit cards improve the competitiveness of a business, placing at a better position for higher profitability. However, the use of credit card imposes higher charges for the service and equipment, which is an additional cost to the company (SecureGlobalPay, 2017). Disputes may also arise, resulting in refunds to the customers, at higher fee charges to the company. Credit cards are prone to fraud, especially when information is accessed by unauthorized persons. To effectively account for credit card services, companies that allow them to have additional bookkeeping to do which adds to the overall costs.


Successful establishment and running of a business demand careful consideration of every step. Decisions made have to be based on valid accounting and business information, and all challenges tackled by proper analysis of every situation and its implication to the profitability of the business. The information presented in this paper offers such an application of financial accounting knowledge in analysis of the challenges of Cookie Creations’ company to its successful and profitable operation.


Bragg, S. (2017). Financial statement analysis. Retrieved from Accounting Tools:

Corporate Finance Institute. (2018). Analysis of financial statements. Retrieved from

CTI Reviews (2017). Intermediate accounting, principle and analysis. New York: Cram101.

Elliott, B., & Elliott, J. (2011). Financial accounting and reporting. Harlow: Pearson Education Limited.

Needles, B. E., Powers, M., & Crosson, S. V. (2010). Principles of accounting. Boston: Cengage Learning. a

Weygandt, J. J., Kimmel, P. D., & Kieso, D. E. (2010). Accounting principles. New Jersey: John Wiley & Sons.

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� HYPERLINK “” ����APA Format/Citations: ��A title page in APA style follows certain formatting conventions with respect to content and its placement on the page. You might wish to review these guidelines before you revise and edit your paper. At the following link, you will find an especially helpful video tutorial, “APA Title Page and Headers”: � HYPERLINK “” ��. ��Sample APA paper/template:


�Please note the content and font of the headers in particular. Thanks!

See: APA Sample Paper: � HYPERLINK “” ����The Basics of APA Style: View the tutorial.


APA Writing Guidelines:



The American Psychological Association (APA) recommends the following structure for empirical essays: Introduction, Method, Results, and Discussion (IMRaD). See the following link from APA for a paper that explains and demonstrates IMRaD:


�Abstract: Make sure that the abstract focuses on the conclusions that you have reached, not what you plan to do in the paper. The abstract should summarize the paper’s main findings.��See: � HYPERLINK “” ����Excerpt:��PP [Professional Psychology ®] prefers abstracts that open with a “reader-oriented sentence” that anchors the topic of the article in the experiential world of the reader’s everyday professional practice. In creating this sentence, one might ask, What would the average practicing professional psychologist have experienced in professional practice yesterday that led him or her to PP for information and advice today? The opening sentence then is written from the perspective of what the reader just experienced or the knowledge that he or she seeks (and not “the issue,” “the literature,” or “previous research”). PP also prefers abstracts that end with a reader-oriented sentence that explicitly names practical and usable implications and applications of the information presented in the article, and it gives the abstract reader a rich sense of “the news I can use” for reading the article. The middle portion of the abstract should provide whatever description of the material in the article that the author believes will be most useful to the potential user in deciding whether to get and read the article. PP prefers to limit abstracts to 250 words.

�Place title here, centered.

�Delete: Redundant

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�Parallelism: Make sure that words, phrases, and clauses in a series have a similar grammatical structure, for example: noun, noun, and noun; prepositional phrase, prepositional phrase, and prepositional phrase; etc. Please find other instances of this problem in your paper and address them accordingly.

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�Introduction: Make sure your introduction addresses a specific audience for whom the paper is written; expressing the purpose for writing to this audience will help focus the paper’s development and organization.��Thesis should contain a list of ordered subtopics, each of which is covered in the body paragraphs, beginning with topic sentences that help the reader transition from topic to topic.

�Body Paragraphs��Make sure that your topics are presented with some organizational strategy in mind, such as chronology, space, importance, or some topical organizational pattern. Please find other instances of this problem in your paper and address them accordingly.��APA Headings and Subheadings: � HYPERLINK “” ����See APA Sample Paper: � HYPERLINK “” ��

Paragraphs should have specific development: use a topic sentence to connect the paragraph’s topic with the thesis. Develop the paragraph with facts, examples, and details based on the paragraph’s connection to the thesis. Please find other instances of this problem in your paper and address them accordingly.

�Mixed Construction: Strive to follow basic patterns of sentence structure used most often in effective written communication. Avoid conversational, choppy, and disjointed phrases. See the resources at the Writing Center for more details. Please find other instances of this problem in your paper and address them accordingly.

�Common knowledge?

Integrate quotations into your own sentences; quote only key words and phrases as you paraphrase and summarize. Avoid quoting or citing common knowledge sources; paraphrase them instead. Use APA in-text citations correctly and where appropriate. Please find other instances of this problem in your paper and address them accordingly.��In-text citations: Readers need predictably formatted citations so they can find the same material you read. Because different professors have different requirements, make sure you check with yours so your citation style adheres to the particular requirements of your course. Typically, a basic APA-style citation includes the author’s last name (or short title if there is no author), the year of publication, and the page number if quoting directly. (Web page citations will have paragraph numbers.) Knowing what to include in a parenthetical citation takes practice, especially because citation formats vary for different kinds of references. Writers rarely memorize these different formats, preferring instead to keep their style guides and tutorials handy. You will want to do the same! Here are two helpful tutorials for you to use (and save if you wish!): � HYPERLINK “” �� and � HYPERLINK “” ��.

This tutorial offers helpful advice for weaving in quotations: � HYPERLINK “” ��. You might wish to read it before revising and editing your work.�


Only double-space between paragraphs: See paragraph menu, and click the box “Don’t add space between paragraphs of the same style.”

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�Short Paragraph: Short paragraphs with only two or three sentences make academic writing seem disjointed, skimpy, or choppy. Because writers don’t want readers to feel uncomfortable, they develop key points in paragraphs that are thorough rather than skimpy. Often, the problem of short paragraphs can be solved by combining a few paragraphs into one, using a single topic sentence to hold them together. If you would like to read about paragraph development, please follow this link: � HYPERLINK “” ��.

�Verb form error: write or sign

�Avoid unnecessary commas.


As the last thing a reader reads, the conclusion is also the first thing he or she remembers. For that reason alone, it is a vital section of any composition. Writers generally restate the thesis in fresh language and help the reader understand the significance of the composition. What final quotation and comment, or call to action, or summarizing thought could you add to flesh out your conclusion and make it original and meaningful? You might find this tutorial helpful: � HYPERLINK “” ��.

Use the conclusion as an opportunity to address your audience and purpose again, and to restate your thesis. The conclusion should not introduce any new information into the essay.


Use CTRL+Enter to create a hard page break between the title page and the first page of text, and between the conclusion and the References page.��This source can provide you with the most commonly cited sources:�� HYPERLINK “” ��� HYPERLINK “” ��

Click on “Common Citations Formats” in the table of contents to find the type of resource you are using.��Basic Citation Guidelines: � HYPERLINK “” \t “_blank” ��

Here is information that can help you when you are citing an article you found using the Kaplan Online Library databases:��If the database entry includes a DOI for the article, use the DOI number at the end of the citation:��All authors (last name(s) and initial(s). (year). Article title. Journal Title, Volume number, pages. doi: number.��Example: (double-spacing, hanging indentation, and italics for journal titles not shown):��Smith, B., & Roach, D. (2010). Adults searching for an answer. Journal of Adult Studies, 307, 72-98, doi:20.1234��If no DOI is available, include the URL for the home page of the journal.��Example: (double-spacing, hanging indentation, and italics for journal titles not shown):��Smith, B. S. (2005). Nursing practices: A view from inside the OR. The Journal of School Nursing, 54, 3-7. Retrieved from��Reference Page Format: Reference pages follow certain conventions. In APA document style, for example, these conventions include use of a separate page for references, alphabetical order of entries by authors’ last names (or titles if there are no authors), centered title (References) in black Normal Style Times New Roman font, Left Alignment of citations with hanging indents to show separate entries, and double-spacing without extra lines between citations. Because different professors and courses require different styles, make sure you follow the directions of the format you must use. ��You might find the “APA Reference Page” video tutorial especially helpful: � HYPERLINK “” ��. Enjoy! ��To learn how to create correct citations, please see this tutorial: � HYPERLINK “” ��. ��You will find this tutorial especially helpful because it contains samples of in-text and reference citations.


�Rely more on academic journal articles, not common knowledge text/references sources.

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luck companies

Luck Companies: Igniting Human Potential


This case is about a family-owned corporation from the perspective of its latest CEO, Charles Luck, IV. It provides an overview of the strategic management processes instituted under his direction, emphasizing the formulation and implementation of value-based leadership initiatives he used to ignite the potential of his workforce and to impact the lives of Luck Companies’ various stakeholder groups.

The case opens with an introduction to Mr. Charles Luck, IV, the conditions in the construction aggregate industry, and the status of his 800-employee company in early 2015. It provides an industry overview and in-depth history and shaping of the four strategic business units that comprise Luck Companies. Charles Luck, IV’s tenure is presented with a heavy focus on the evolution of his value-based leadership system. Following the Value Journey from the inception of the company’s values and initial vision, the key steps to achieve the vision, and the prescribed outcomes, the case progresses through three phases of Luck Companies’ long term planning process, the development of a strategic leadership team, and an unprecedented workforce reduction based on core ideology rather than seniority. As Luck Companies executes the final five-year strategy to achieve Vision 2020, it strives to deepen the company’s impact on lives locally and globally and to achieve the most aspirational expansion goals in the company’s history.

The case is ideal for demonstrating corporate-level strategy on a small scale, multidivisional organizational structures, and strategic leadership concepts. The following prompts are suggested to guide a review and discussion of these principles.

· Characterize the type and level of diversification strategy employed by Luck Companies. Discuss the commonalities and differences of the company’s various divisions.

· Compare the different forms of the multidivisional structure for corporate-level strategies. Explain which form is most suited to meet the needs of Luck Companies.

· Evaluate Charles Luck’s ability to fulfill the strategic leadership responsibilities required of his position. Provide clear examples to support your assessment. Critique his handling of the unexpected events that occurred during the second phase of the company’s Value Journey.

· Describe Luck’s current five-year growth strategy and objectives. What tools and resources are in place to help the company to achieve its aggressive goals? What are the likely challenges the company will face in executing this strategy?


· Characterize the type and level of diversification strategy employed by Luck Companies. Discuss the commonalities and differences of the company’s various divisions.

Luck Companies operates four separate strategic business units (SBU’s), each distinctly different in nature and managed under distinctly different brand identities.

Luck Stone – Luck Companies’ largest business unit operates fifteen crushed stone plants, four distribution yards, and one sand/gravel operation. Located in Virginia and North Carolina (or the mid-Atlantic region of the United States), Luck Stone competes in a highly-fragmented industry. Success in the aggregate industry is directly correlated with the growth and economic stability of the construction industry (both private and public segments); and the ability to acquire desirable locations is a vital competitive advantage. Luck Stone is the most profitable division within the corporation, contributing 80% of total enterprise net sales. It uses a differentiation strategy based on superior customer service and logistical excellence in an industry which sees more cost-leadership strategies amongst major competitors. Luck Stone has long been known as an industry leader in technology and innovation, using in-house engineering resources to build automated production systems and other value-added processes.

Luck Stone Center – Considered a unique enterprise when the company opened its first retail showroom for architectural stone, the division now manages six Architectural Stone Centers, and the builder model is slated for expansion into all target markets. Luck Stone Center also uses a differentiation strategy, sourcing stone internationally and introducing new product offerings through product innovations. Facing increased levels of competition from other contractor stone yards and big-box retailers, the company continues to pursue innovation opportunities to further differentiate and to sustain profitability. In 2007, it rebranded to an up-scale, design-oriented business aimed at attracting affluent homeowners with savvy offerings. As success in this retail sector is 82% correlated with new housing starts, the housing crisis in 2008 significantly impacted Luck Stone Center sales. As the industry recovers, the company has again rebranded, refocusing on middle- to higher-end consumers and adding manufactured products into its product mix.

Luck Development Partners – This division was formed to realize the development and revenue potential of Luck Companies’ land holdings. The real estate development industry is highly dependent on property locations and proximity to population hubs. Because of its relationship with the Luck Stone division, Luck Development Partners operates in the same mid-Atlantic region. The division uses innovative real estate practices to expand potential for long-range sustainable land use, and it strives to create unique settings which incorporate and highlight natural, historical, and environmental elements into its project designs.

HAR-TRU – Luck Companies entered the tennis court surfacing and accessories business by acquiring the industry’s two largest domestic companies, the HAR-TRU brand name, and the manufacturing assets of the original surface material provider associated with some of the finest tennis courts in the world. Now holding an 85-90% market share for U.S. clay tennis courts, the division’s primary competition comes from builders of non-traditional clay substitutes. The smallest of Luck Companies’ divisions, HAR-TRU contributes just 6% of total enterprise net sales. In 2013, the company acquired and integrated Century Sports, adding tennis court equipment to its offerings and enabling HAR-TRU to promote “turn-key” tennis court installations.

The company initially established a diversified portfolio to lessen the impact of the cyclical and mature construction industry. Luck Companies’ corporate-level strategy is a dominant-business diversification strategy, because 80% of its total revenues are generated in a single SBU. As history illustrates, dependence on the health of the construction industry remains a powerful determinant of financial performance. Even with a low level of diversification, the corporate strategy offers opportunities for value creation and for sharing knowledge and resources across divisions — especially regarding the transference of core leadership competencies.

· Compare the different forms of the multidivisional structure for corporate-level strategies. Explain which form is most suited to meet the needs of Luck Companies.

Product diversification increases the information processing, coordination, and control complexities of the firm, as it enters new lines of business. Effective management therefore requires an organizational structure that supports the implementation of distinct SBU strategies and enables corporate leaders to oversee various divisions. A multidivisional structure (M-form) for corporate-level strategies can be devised in three possible ways, including:

· Cooperative Form – facilitates interdivisional cooperation and the sharing of SBU competencies through horizontal integration to develop economies of scope

· SBU Form – is appropriate when few linkages exist between one business unit and another

· Competitive Form – does not promote the sharing of common corporate strengths or utilize integrating devices, but enables independent operations which actually compete for corporate resources and capital allocations

The most suitable structure for Luck Companies is the SBU Form of the multidivisional structure, using a moderate level of integration mechanisms, a mixture of strategic and financial controls, and compensation linkages to both corporate and divisional performance goals.

· Evaluate Charles Luck’s ability to fulfill the strategic leadership responsibilities required of his position. Provide clear examples to support your assessment. Critique his handling of the unexpected events that occurred during the second phase of the company’s Value Journey.

Strategic leadership is the ability to anticipate, envision, maintain flexibility, and empower others to create strategic change as necessary. The capacities to cope with change, attract human capital, manage intellectual capital, and foster internal innovation are crucial leadership skills in today’s complex business environments. Effective strategic leadership responsibilities or actions entail:

· Determining strategic direction

· Managing the firm’s resource portfolio

· exploiting and maintaining core competencies

· developing human and social capital

· Sustaining an effective organizational culture

· Emphasizing ethical practices

· Establishing balanced organizational controls

Evidence suggests that Charles Luck’s performance in each of these categories has been strong.

Luck began his leadership journey by accumulating extensive experience in all levels of the business, building managerial skills and important relationships along the way. He developed a solid understanding of the importance of having sound and innovative business strategies and the role that values and culture play in executing them.

And as he grew the business, he adopted several new management practices.

Luck shared the company’s financial results with the entire organization for the first time, teaching and enabling field employees to produce in terms of growth and profits. He instituted a decentralized management structure to move decision making closer to the customer. Associate duties and responsibilities were changed to help them navigate the growing complexity of sales opportunities. He established the company’s first five-year strategy, using a planning process to enable each division to meet the unique needs of its marketplace and tying specific strategies, brands, and business plans for each division into a coherent whole. To respond to the needs of the rapidly growing business, Luck developed an entirely new management team. And he realigned the firm’s infrastructure to drive future growth.

Under his guidance, the firm set new profit and volume records every year from 1995 to 2006, tripling sales, associates, and profitability. But with record sales and rapid growth, the company soon began to “lose its way”. Decisions were no longer aligning with the firm’s traditional values. With the “We Care” people- and integrity-oriented culture at threat and the executive leadership group not working together effectively, Luck developed a value-based leadership philosophy that would dramatically transform the company. It was based upon integrity, commitment, leadership, and creativity; and, it defined behaviors to ensure that actions were taken to support a stronger values-driven culture. Significant steps were taken to embed the new vision throughout the company, to establish accountability, to ignite the potential of associates, and to make the vision operational. Additional actions to institutionalize the value-based leadership system included:

· Performance evaluations built around values and behaviors

· Director of Values and dedicated associates appointed

· $1-2 million per year in resources injected to support the program

· Personnel changed to keep employees aligned with the vision

Actions were driven by senior leaders, and the company began to see behaviors shift in alignment with company values after about 3 years.

Luck was focused on positively impacting the lives of the company’s customers, associates, suppliers, and community. Intending to drive best-in-class financial performance and organization-wide values alignment, the following additions were made to the organizational structure.

· Chief Growth Officer – through which each business unit would report directly – added to drive differentiated growth and financial results across the entire organization

· Chief Leadership Officer – responsible for overall strategic and tactical support to gain, develop, and retain high performing talent – accountable for bringing the leadership model to life

· Chief Family Officer – to develop the leadership skills and competency levels of family members for succession planning and job fulfillment purposes – and to handle family investment and estate planning business

While Charles ranks high across the spectrum of responsibilities for strategic leaders, he may have lacked in preparedness for unexpected events. Despite Luck’s phenomenal visionary leadership of the company, several unexpected events (of a somewhat serious nature) occurred which presented obstacles in the achievement of organizational objectives during the company’s second phase of its Value Journey.

First, the U.S. economy fell into a deep recession. Eroding demand hit all aspects of the stone industry. At the time, there was no relief in sight. Luck Companies’ financials “fell to pieces”, and revenue could no longer support the size of the company’s workforce. After taking expense reduction steps, putting a freeze on hiring, delaying equipment purchases, and cutting non-essential spending, he still had to reduce the workforce by over 10%, for the first time in the company’s history (although he used core values, not seniority, to determine the dismissals). Ultimately, the firm was not diversified enough to weather the economic storm that hit the stone industry.

Second, the company decided to fire its aggregate division president. Although he had an excellent record of performance, it was determined that this member of the top management team was not aligned with the organization’s values. Details of this assessment are not provided in the case, but the action demonstrates the firm’s commitment to upholding strategic controls to be equally important to the achievement of financial performance targets.

Finally, at the height of these events, Charles fell seriously ill. His temporary absence put a hold on the final leadership initiative steps, but he returned even more determined to achieve his lofty mission (albeit with a shorter timeframe, fewer associates and resources, and in markets experiencing a recession). By 2011, he had instituted behavioral alignment within his leadership model. He had both heightened the purpose of his mission and shortened the time span by 5 years. In addition, he established a Core Ideology and Beliefs statement and a Values-Based Leadership Value Proposition to guide the company in moving forward.

Evidence supports that Luck and his management team were effective in their response to unanticipated challenges which confronted the company during the second phase of its Value Journey. It was due to the strength of its value-driven leadership capabilities and Charles Luck’s strategic leadership abilities that the company was able to regain traction and to overcome the unfortunate events of that period.


· Describe Luck’s current five-year growth strategy and objectives. What tools and resources are in place to help the company to achieve its aggressive goals? What are the likely challenges the company will face in executing this strategy?

Luck Companies’ current five-year strategic objectives are four-pronged and aimed at securing healthy financial performance, optimized leadership, business excellence, and $450 million in sales by 2020. Some of the strengths the company will be able to draw from include:

· a value-driven culture to drive outcomes and performance

· an engaged workforce, aligned with the values and needs of the organization

· the Inner Will organization and resources in place to pursue value-based leadership initiatives within and beyond the borders of the firm

· excess capacity and resources to support expansion

· organizational structure and leadership to support growth (this includes a Chief Growth Officer and Corporate Development Team)

· strong financial position to fund growth initiatives

· untapped potential from investments made in equipment, processes, and human resources

To support and pursue Vision 2020, each business unit has a defined set of goals and a strategic plan formulated with the company’s high-level objectives in mind. As the case states, the organization is “poised for tremendous growth over the next five years”.

Most likely, the company’s greatest challenge will be in its ability to realize $450 million in revenue by 2020. Luck plans to increase sales by $210 million in the next five years primarily through the Luck Stone division. In other words, the sales of aggregate must increase dramatically. One new source of income, engineered soils, is an exciting and innovative product, made more promising by the friendly regulatory environment and the opportunity to use existing resources that currently burden valuable real estate. However, it is an emerging market that has not yet established a reliable pattern of sales and is unlikely to contribute a large share of the sales growth being pursued. Luck Stone can also generate new income by utilizing excess operational capacity; but even at maximum aggregate production levels, internal growth has limitations. It follows that a large share of Luck Companies’ projected growth will need to come from planned horizontal acquisitions of select regional small- to medium-sized family-owned businesses competing in the aggregate industry.

Here, it is valuable to run some hypothetical numbers to assess if the company’s five-year growth objective is realistic. As the case does not provide all of the statistics needed, some assumptions are required for this analysis. Assume:

· 25% excess capacity exists in Luck Stone’s operations

· the other three Luck Companies divisions can fully double their sales through internal measures

· the sales of potential acquired firms are in the range of $30-$50 million

Using these suppositions, the table below presents a possible breakdown of sources of growth for Luck Companies.

Projected Sales (in millions)
Target Sales450
Current Sales Luck Stone (80%)192
Current Sales Other Divisions (20%)48
Current Sales – Total240
Sales Growth Target210
Potential Sources of Growth:
Luck Stones Excess Capacity (estimated 25%)48
Internal Growth at Other Divisions (estimated double)48
Acquisitions (balance to target)114
Average Acquisition Sales (estimated $30 to $50 million)40
Required Number of Acquisitions3

In the company’s favor, Luck Stone has recent acquisition experience in its 2013 purchase of Century Sports. In addition, the company has laid the groundwork for an aggressive acquisition strategy by extensively reviewing and networking with 600 independent aggregate producers from Virginia to Texas. Because it targets firms with similar characteristics (culture, values, human resources, etc.), the company can also anticipate ease of integration and higher performance.

While the outlook for Luck Companies is very positive, there are many concerns that can be raised about its strategic approach. These include:

· The company has limited alliance management experience.

· The Century Sports purchase was not a horizontal acquisition.

· The mechanics of integrating two companies following an acquisition can be quite difficult.

· The market for aggregate in Virginia has not yet returned to the lofty levels of 2006, and the strategy is heavily dependent on growth in its aggregate division.

· It is uncertain that all acquisition costs can be internally funded, and the company’s record of managing debt is uncertain.

· The time it takes to do due diligence once a target is selected can delay the purchase and integration of new firms.

· Management resources to oversee the acquisition and integration process can be extensive.

· Disruption to operations of an acquired firm can occur during the acquisition and integration processes, which may impact the company’s ability to maximize performance.

· It is uncertain that current operations can deliver expected levels of growth through expanded offerings and breadth.

· The company’s varied history of managed growth, rapid growth, and then retrenchment may not parlay into such an aggressive growth strategy.

· Vision 2020 introduces significant change to the company, which can in itself be disruptive and interfere with ongoing performance.

· Unforeseen complications often reduce expected synergies and the achievement of integration objectives in acquisitions.

To overcome some of the potential difficulties associated with an acquisition strategy and to increase its likelihood of success, Luck Companies should seek complementary assets, markets, and products in its acquisition targets, seek to merge with firms that have low to moderate debt positions, sustain its internal emphasis on innovation and research development, and remain adaptable as changes in the company progress. Luck Companies is a high performance organization. And in the final assessment, its lowveHowve

eadership team, structure, and strategies are solidly in place to drive the firm forward toward Vision 2020.

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campbellsville university moodle

BA 606 Team Management

Hybrid Course

Instructor Information

Name: Jane Corbett, PhD

Email: (preferred method of contact)

Office Location: Remote

Dates: October 15, 2018 – March 3, 2019

Course Information

Course Number: BA 606 73 H2

Course Name: Team Management

Credits: 3

Format: This class will be delivered online using Moodle Platform. Class sessions will consist of

discussions, assignments, and exam. Discussions, assignments, cases and exam will

focus on readings, and other professionally/academically reviewed journals.

Course Description:

Course Description: This course will explore the psychological contract between leader and follower that take many forms between two people or between the leader and groups. Students will study group formation and group development as well as the intricacies of coaching, mentoring, and disciplining.

Course Objectives & Learning Outcomes

Upon completion of the course, students should be able to:

1. Analyze the importance of working together collaboratively.

2. Improve your analytic abilities in understanding the behavior of individuals

and groups in organizations.

3. Apply tools for diagnosing and enhancing team effectiveness.

4. Increase your awareness of how successful business executives lead and what separates them from their unsuccessful counterparts.

5. Gain experience in leadership situations, including learning to deal with conflict, time pressure, and different accountability systems

6. Evaluate the stages of team development.

7. Appreciate and adapt to different behavioral styles with a team.

8. Utilize this information to communicate more effectively with team members.

Course Requirements

Computer Literacy

Students are expected to be able to use word processing and presentation software, as well as access E-mail, utilize Moodle (including forums, assignment submissions, quizzes), Google Docs and other technological tools that may enhance the content of this course. Please refer to the CU Distance Education Help Desk for instructions, when necessary.

Required Materials

Required Materials:

Making The Team (5th Edition) by Thompson (ISBN: 9780132968089)

Published by Pearson


Publication Manual of the American Psychological Association (6th Edition) (ISBN-13: 9781433805615)

Internet Access: Some of the course materials and problems will be posted and completed on the internet. It is therefore imperative that you have access to the internet in order to successfully complete this part of the class assignments.

Class Attendance/Participation

As stated in the Campbellsville University catalog, students are expected to attend class regularly. To be counted present, a student in online courses must log-in to their course in the LMS (Moodle) at least once a day and complete those activities as prescribed by the instructor in the syllabus. When the prescribed amount of inactivity has passed or the prescribed number of assignments have been missed (or any combination thereof), the instructor will issue the grade of “WA.” This grade, representing administrative withdrawal, acts as the grade of “F” in the GPA calculation.

Revolving Technical Issues

Contact the helpdesk if you have a technical problem accessing the course.

· Problems logging into Moodle – Contact the CU Distance Education Help Desk at (270) 789-5355.

· Other technical problems within Moodle – Contact the 24/7 Help Center at 800-985-9781 or 24/7 Help Center.

Course Policies

Citations and References

Unless otherwise noted, all written learning activities should include citations and references, as appropriate, using APA format. Students are encouraged to utilize the APA Publication Manual, Sixth Edition for explicit guidance and direction. Failure to cite properly can result in a failing grade. Students with questions or concerns about their writing – particularly how to cite and reference appropriately – should contact the instructor or the writing center .

Submitted Work Naming Convention

Save and submit all your work as a ###instructor insert file type here## file. Make sure to save your files using the convention LAST NAME, FIRST INITIAL, COURSE ABBREVIATION, SEMESTER AND YEAR, AND ACTIVITY NAME OR NUMBER.

Example: Smith_L_BA_495_FA14_CaseStudy1

Time Management and Late Activities

Expect to spend approximately 5-8 hours per week for undergraduate courses and 12-15 hours per week for graduate courses. You should spend approximately 3-4 hours online each week (reading and responding to others) and 1-4 undergraduate hours or 8-11 graduate hours off-line (reading and completing written learning activities). Make sure to give yourself enough time to submit work that represents the best of your abilities and that has been completed without collaboration with other students. Collaboration without instructor knowledge/permission is considered academic dishonesty and can result in a failing grade for the course.

Deadlines are an unavoidable part of being a professional; this course is no exception. Avoid any inclination to procrastinate. To encourage you to stay on schedule, due dates have been established for each learning activity. The late submission policy is as follows:

A. Please review the course schedule for all reading assignments and due dates of quizzes, assignments, discussions, etc.

B. All discussions must be completed each week.

C. Late assignments including discussions will not be accepted.

D. There are no make-up work for all assignments (discussions, papers, quizzes, team assignment, etc).

It is your responsibility to ensure your learning activities are uploaded into Moodle properly and on time. After learning activity upload you can go back into the assignment area in Moodle to ensure your learning activity has been uploaded. It is also your responsibility to allow enough time so that if there is an issue with the upload or a technology glitch, you still have time to upload your learning activity before the due date.

Grading System

The quality of a student’s academic work is indicated by letter grades on a quality point system that determines the grade point average on the 4.0 scale. An explanation of the grades used, the scale, and how grades are calculated follow.

Letter GradeDefinitionQuality Points per Semester Hour
DLowest Passing Grade. This is not an acceptable grade for this class. You must have at least a C grade to pass the class.1
WAWithdraw – Absence0

Evaluation of Learning Activities

Timeline for Submission

Please note: course weeks are from Monday through Sunday. All required activities must be submitted in the appropriate places on Moodle. Specific due date for each activity (discussions, quizzes, exam, papers, cases, etc.) will be posted.


Active participation is a must in this course. Each week one or more key discussion questions, activities, debates, etc. will be posted. Generally, you will be required to respond to the main discussion and then also make comments (a minimum of 3) on the responses of others in the course. Please note that the quantity of responses is not as important as the quality of the responses.

A running dialog about course topics will be maintained via the Moodle discussion forums. It is expected that you will fully participate in the online discussions. This means posting your own thoughts about the weekly topics and properly cited as appropriate, commenting on others’ ideas, and responding to questions about your own postings. Class participation points will be based more on quality than quantity. While it is relatively easy to post numerous, non-substantive comments, it takes more thought and effort to post intelligent, meaningful comments that move the discussion forward. For example, a meaningful post tends to:

· Provide concrete examples, perhaps from your own experience or cited from the reading

· Identify consequences or implications

· Challenge something that has been posted – perhaps by playing devil’s advocate in a professional way

· Pose a related question or issue

· Suggest a different perspective or interpretation

· Pull in related information from other sources with proper citation – books, articles, websites, courses, etc.

Consider your time commitment to our online discussions to be critical to your success as a learner, as well as to the success of the course. Because ongoingparticipation in discussion forums is expected, pointswill be assigned to each activity. Participation scores will be based on three primary criteria:

1. Frequency and timeliness of postings;

2. Content of your discussion forum postings (the thoughtfulness/reflection that goes into your responses and the extent to which they address the topic for the week, including the assigned readings); and

3. Adherence to online protocol.

Discussion (24%)

Each Module, topics for discussion will be found in the discussion area of the course. In-depth discussion is an essential part of online learning, and is also an important factor in your grade as well.

A minimum of four posts is required for each Module. Each post is required to be a significant post. Just agreeing or disagreeing with a student is not a post. Neither is asking a question.

· Significant posts are at least 300 words and require some information from the text, academically reviewed papers, some significant commentary that requires knowledge of the subject matter, a web link to an article or other source in order to be accepted

· Significant posts on all your responses to your classmates’ postings should be at least 150 words and require some information from the text, academically reviewed paper, some significant commentary that requires knowledge of the subject matter, a web link to an article or other source in order to be accepted.

· Provide appropriate APA in-text citations and references.

· You must participate in all discussion topics.

The instructor will determine if a post meets the criteria of a significant post.

Cutting and pasting an article is not a significant post.

The grading scale for discussion is as follows:

Original Discussion:

Your original post (direct response to the discussion topics/questions) is worth 15 points.

Participation (responding to your classmates’ postings):

3 significant posts (5 points each) = 15 pts

2 significant posts (5 points each) = 10 pts

1 significant posts = 5 pts.

No significant posts = 0 pts.

Each Module stands on its own. Thus, you cannot make-up points from a previous week. Please make every effort to participate in all discussions.

Graded Assignments

Team Assignments (24%):

You will be assigned to groups when the course starts, along with a private group discussion forum. You will have four team assignments occurring in Modules 2, 4, 6 and 8. Each team assignment will be made available no later than the beginning of the Module in which the team assignment is due. Additional instructions will be provided when team assignments become available.

Team Power Point Presentations (12%):

As a team, you will be assigned topics every two weeks. You will develop power point presentation on each topic. Use APA format throughout. Include appropriate references. Additional instructions will be provided when topics are assigned.


Quizzes (40%):

Quizzes will be based on reading assignments (textbook). Quizzes will be completed on Moodle. Each quiz is worth 50 points each. Additional instructions will be provided when quiz becomes available.


Discussions (8 @ 30 points each)240 points
Quizzes (8 @ 50 points each)400 points
Team Assignments (4 @ 60 points each)240 points
Team Power Point Presentations (8 @ 15 points each)120 points
Total1000 Points

The following criteria will be used to determine the letter grade you receive.

A90 – 100B80-89C70-79D60-69F59 or Less

Please note that you must earn at least C to receive a passing grade in this class.


1. Discussion topics will be posted no later than the beginning of each Module.

2. Team assignments will be posted no later than the beginning of the Module in which it is due. Additional instructions will be provided when assignment is made available.

3. Quizzes will be made available no later than the beginning of the Module in which the quiz is due. Additional instructions will be available when quiz is made available.

4. The instructor reserves the right to make changes to the course schedule where necessary.

Course Schedule

The course will be structured into weekly modules. Weeks will run from 12:01 am Eastern Standard Time (EST) Monday to 11:55 pm (EST) Sunday.

ModuleTopicLearning ActivitiesDue Dates
Module 1:Weeks 1 and 2:Basics of TeamworkRequired Residency is posted on Moodle1. Teams in Organizations: Chapter 12. discussions (30 points)3. Complete Module 1 Quiz: Chapter 1 (50 points).4. Team Power Point Presentation (15 points)· See due dates on discussions in Module 1 discussion links.· Quiz 1 is due no later than the last day (Sunday) of week 2.· Power Point Presentation due the last day of (Sunday) of week 2
Module 2:Weeks 3 and 4:Basics of Teamwork1. Performance and Productivity: Team Performance Criteria and Threats to Productivity: Chapter 22. Rewarding Teamwork: Chapter 33. Complete Module 2 discussions (30 points)4. Complete Module 2 Quiz: Chapters 2 and 3 (50 points): Due no later than Sunday at 11:50 PM EST5. Complete Team Assignment 1 (60 points)6. Team Power Point Presentation (15 points)· See due dates on discussions in Module 2 discussion links.· Module 2: Quiz 2 is due no later than the last day (Sunday) of week 4.· Team Assignment 1 is due no later than the last day (Sunday) of week 4· Power Point Presentation due the last day of (Sunday) of week 4
Module 3:Weeks 5 and 6:Internal Dynamics1. Designing the Team: Tasks, People, and Processes Chapter 42. Team Identity: Chapter 53. Complete Module 3 discussions (30 points)4. Complete Module 3 Quiz: Chapters 4 and 5 (50 points)5. Team Power Point Presentation (15 points)· See due dates on discussions in Module 3 discussion links.· Quiz 3 is due no later than the last day (Sunday) of week 6.· Power Point Presentation due the last day of (Sunday) of week 6
Module 4:Weeks 7 and 8:Internal Dynamics1. Sharpening the Team Mind: Communication and Collective Intelligence Chapter 62. Team Decision Making: Pitfalls and Solutions Chapter 73. Complete Module 4 discussions (30 points)4. Complete Module 4 Quiz: Chapters 6 and 7 (50 points).5. Complete Team Assignment 2 (60 points)6. Team Power Point Presentation (15 points)· See due dates on discussions in Module 4 discussion links.· Quiz 4 is due no later than the last day (Sunday) of week 8.· Team Assignment 2 is due no later than the last day (Sunday) of week 8· Power Point Presentation due the last day of (Sunday) of week 8
Module 5:Weeks 9 and 10:Internal Dynamics1. Conflict in Teams: Leveraging Differences to Create Opportunity: Chapter 82. Creativity: Mastering Strategies for High Performance: Chapter 93. Complete Module 5 discussions (30 points)4. Complete Module 5 Quiz: Chapters 8 and 9 (50 points):5. Team Power Point Presentation (15 points)· See due dates on discussions in Module 5 discussion links.· Quiz 5 is due no later than the last day (Sunday) of week 10.· Power Point Presentation due the last day of (Sunday) of week 10
Module 6:Weeks 11 and 12:External Dynamics1. Networking, Social Capital, and Integrating across Team: Chapter 102. Complete Module 6 Quiz: Chapter 10 (50 points)3. Complete Team Assignment 3 (60 points)4. Team Power Point Presentation (15 points)· See due dates on discussions in Module 6 discussion links.· Quiz 6 is due no later than the last day (Sunday) of week 12.· Team Assignment 3 is due no later than the last day (Sunday) of week 12· Power Point Presentation due the last day of (Sunday) of week 12
Module 7:Weeks 13 and 14:External Dynamics1. Leadership: Managing the Paradox: Chapter 112. Interteam Relations: Competition and Cooperation: Chapter 123. Complete Module 7 Quiz: Chapters 11 and 12 (50 points)4. Team Power Point Presentation (15 points)· See due dates on discussions in Module 7 discussion links.· Quiz 7 is due no later than the last day (Sunday) of week 14.· Power Point Presentation due the last day of (Sunday) of week 14
Module 8:Weeks 15 and 16:External Dynamics1. Teaming Across Distance and Culture: Chapter 132. Complete Module 8 Quiz: Chapter 13 (50 points)3. Complete Team Assignment 3 (60 points)4. Team Power Point Presentation (15 points)· See due dates on discussions inModule 7 discussion links.· Quiz 8 is due no later than the last day (Sunday) of week 16.· Team Assignment 4 is due no later than the last day (Sunday) of week 16· Power Point Presentation due the last day of (Sunday) of week 16

University Policies

Student Behavioral Expectations

A student attends Campbellsville University voluntarily and is expected, for the sake of the community, to conduct himself or herself with a high standard of personal behavior. While we realize that it is impossible to create an academic community whose behavioral norms will be acceptable to every person, we believe that it is important to identify the ways in which individual and community concerns can be harmoniously balanced. Personal and communal values must be formed by specific behavioral expectations (rules and regulations). Campbellsville University has defined the values, behavioral expectations, rights and responsibilities that we feel will create an environment in which students can grow spiritually, morally, and intellectually. Of course, a student whose conduct violates stated behavioral expectations faces specific disciplinary sanctions. Behavioral expectations are clustered around the following individual and community values: worth of the individual, self-discipline, academic integrity, property and the environment, and respect for authority.

Student Conduct/Netiquette

All students are expected to know and to follow Campbellsville University policy and procedures that govern the entire college student experience (from admission to graduation) as set forth in admissions materials, the CU Bulletin-Catalog, the CU Student Handbook, and other printed/published materials. This includes a unique form of behavior in online courses called “netiquette.”

“Netiquette” stands for “Internet etiquette”, and refers to the set of practices which help make the Internet experience pleasant for everyone. Like other forms of etiquette, netiquette is primarily concerned with matters of courtesy in communications. The following sections provide more information.

General Netiquette for Email, Discussion Boards and Chat Rooms

· Check spelling, grammar, and punctuation before sending your words over the Internet. Chatting and posting are more like speaking, but they are still academic when done for a course. Abbreviated writing that might be appropriate when text messaging might NOT be appropriate in an email. Also, avoid using all lower case words. Clear writing is a form of common courtesy and good manners.

· Write so that the recipient will not attribute unintended nonverbal meanings into the verbal message. Being online will not allow you to use non-verbal cues that are common in face-to-face discussion (i.e. tone of voice, winks, facial expressions). Sarcasm or jokes could be misunderstood. Use your common sense and avoid saying things that MIGHT be offensive to others.

· Emoticons are sometimes acceptable, but if others do not know what they mean, they become useless. Better to use straightforward language. In a formal setting, text-message acronyms should not be used at all (i.e., LOL or AFAIK). And remember, ALL CAPS is often perceived as SHOUTING!

· Think about email, chatting, and posting in the same way as making a verbal comment in a classroom. Any words you post can be made public! When in doubt, leave it out. Decorum is crucial in any online correspondence.

· If you attach documents or photos, be sure they follow the standards of respectful classroom behavior.

· When sending attachments, be sure they can be opened by the recipient of the email (e.g., Word, Excel, PowerPoint, PDF).

Specific Netiquette for Various Communication Tools
Email Netiquette for Academic Purposes

· Always use your CU email account for official or class-related business.

· Always provide the purpose of the email in the subject line.

· Use an appropriate salutation or greeting to begin an email. “Hey, Dude!” may be an appropriate greeting for a friend, but it is not the type of respectful salutation that you should use when emailing a professor. Professors and staff should be addressed with appropriate title: Dr., Professor, Mr./Mrs./Ms., President, Vice President, etc.

· Conclude your message with complete identification and contact information at the bottom of the email.

· Be brief. Separate ideas into clear, concise paragraphs with spaces in between; do not write one long paragraph containing diverse points and information.

· Do not address several issues in one email; limit emails to one, two, or three related points on the topic in your subject line.

· Use distribution lists sparingly, preferring the Notice Board when there is a mass email to the entire campus community.

· Double check the “To” line in your replies to make sure that the email goes to the right party. Avoid “Replying to All” when you do not mean to.

· When appropriate, use the “Options” icon in Outlook to mark messages as personal, private, or urgent or to request that the message has been received or read.

· When you receive an email, reply within 48 hours, excluding weekends or holidays. Set auto response in “Option” to “Out of Office” if away for an extended time period.

Discussion Board and Forum Netiquette for Academic Purposes

· Pay attention to the discussion question posed by the instructor and answer the question in your posting.

· Label your posting appropriately to fit your message; an automatic reply keeps the instructor and class from looking down the list to find your message quickly. For example, if you’re posting your speech topic for approval, could you find your group members’ postings out of a list of 30 subject lines that say “Re: Speech Topic”?

· Respond to other student postings; after all, this is a discussion that is occurring in an on-line format. To engage in the discussion, read other postings and respond to them directly.

· If other students reply to your posting, respond to their questions or comments. As you would in a face-to-face conversation, acknowledge the person speaking to you.

· If you don’t have anything substantial or constructive to say for your reply, please do not reply. Responses like “that’s nice” do not keep the discussion going.

· For long responses, attach a document and type a message in the discussion box indicating what is in the attachment.

Students who choose to violate these policies are subject to disciplinary action which could include denial of access to courses, suspension, and expulsion.

Academic Integrity

Each person has the privilege and responsibility to develop one’s learning abilities, knowledge base, and practical skills. We value behavior that leads a student to take credit for one’s own academic accomplishments and to give credit to other’s contributions to one’s course work. These values can be violated by academic dishonesty and fraud.

Academic honesty is essential to the maintenance of an environment where teaching and learning take place. It is also the foundation upon which students build personal integrity and establish standards of personal behavior. Campbellsville University expects and encourages all students to contribute to such an environment by observing the principles of academic honesty outlined in the Bulletin Catalog and the Online Student Handbook.

Title IX

Campbellsville University and its faculty are committed to assuring a safe and productive educational environment for all students. In order to meet this commitment and to comply with Title IX of the Education Amendments of 1972 and guidance from the Office for Civil Rights, the University requires all responsible employees, which includes faculty members, to report incidents of sexual misconduct shared by students to the University’s Title IX Coordinator. Please contact the Title IX Coordinator, Terry VanMeter, at 270-789-5016 or

Terry VanMeter

1 University Drive

UPO Box 944

Administration Office 8A

Campbellsville, Kentucky 42718

Information regarding the reporting of sexual violence and the resources that are available to victims of sexual violence is set forth at:

Americans with Disabilities Act

No qualified individual with a documented disability shall be excluded from participation in, denied benefits of, or otherwise subjected to discrimination in any of Campbellsville University’s programs, courses, services and/or activities in compliance with the Rehabilitation Act of 1973 and the Americans with Disabilities Act of 1990. Requests for reasonable accommodations in programs, courses, services and/or activities requires current (i.e. within three years) documentation of the disability after acceptance to the University and before registration.

Campbellsville University is committed to reasonable accommodations for students who have documented physical and learning disabilities, as well as medical and emotional conditions. If a student has a documented disability or condition of this nature, he or she may be eligible for disability services. Documentation must be from a licensed professional and current in terms of assessment (within the last 3 years). Please contact the Coordinator of Disability Services, Teresa Elmore, at (270) 789-5192 or Ashley Abner at (270) 789-5450 to inquire about services.

Verification of Disability

The Coordinator of Disability Services will ask for documentation to verify the disability, and if appropriate, will cooperate with instructors and Academic Support services to facilitate and track accommodations and services.

No accommodation will be provided without documentation. In addition, Campbellsville University will be unable to provide accommodations in the classroom if the student does not give permission to notify faculty that accommodations are needed. Information regarding a student’s disability is considered confidential. Information will not be released to anyone without the express written permission of the student.

Reasonable Accommodations:

· Accommodations are provided on an individual basis.

· Accommodations are provided to support the educational development of students with disabilities.

· In addition to the academic support services available to all Campbellsville University students, some examples of reasonable accommodations include extended time for tests, administration of oral test, note-taking assistance, and use of assistive devices such as calculators or computers.

Disability Services

Within the office of Career Services, accommodations are provided for students with disabilities. Helping remove barriers is the goal of Disability Services. Students who have a documented physical, psychological, emotional, and/or learning disability can work with Career Services to receive necessary accommodations. Students who want to inquire about required documentation and possible accommodations may contact the office of Career Services by calling (270) 785-5192 or emailing Teresa Elmore or Ashley Abner at

Official Email

The extension will be considered the official e-mail address for writing and forwarding electronic correspondence.

Academic Appeal and Complaint Process

A student may appeal the fairness of any academic action or register a complaint, including a course grade, to the Academic Council following consultation with his/her advisor, the professor, and the appropriate department chair and/or the dean. Such an appeal must be submitted in writing to the vice president for academic affairs by end of the regular semester after the semester in which the action was taken. The Academic Council will then determine whether a hearing is necessary. The decision of the Academic Council is final. Student complaints other than appeals for course grades should be submitted in writing to the vice president for academic affairs. When the complaint is against the vice president for academic affairs, it should be submitted in writing to the president of the University.

Other Important Matters/Textbook and Technology Issues

It is the responsibility of students to be prepared for class which means they should have all required course materials and texts at the start of class as well as reliable access to required technology tools and the internet for the duration of the course.

In extreme situations, where there is delay in the shipping or procurement of materials, faculty will make reasonable accommodations during the first week of class only. Please make every effort to have all the required materials no later than week 2.

Similarly, I will not accept individual technology issues or internet access as a reason for late work. Be sure to have a back-up plan in case of unexpected glitches, viruses or inaccessibility. Libraries, business centers, friends and family are frequently used alternatives. Additionally, work must be submitted on time and as directed in the course instructions using Microsoft Office software version 2000 or higher. Work submitted in other formats such as Word Perfect or Open Office will not be accepted.

The instructor reserves the right to make changes to class materials and/or syllabus when necessary.

Campbellsville University


Campbellsville University is a comprehensive, Christian institution that offers pre-professional, undergraduate and graduate programs. The University is dedicated to academic excellence solidly grounded in the liberal arts that fosters personal growth, integrity and professional preparation within a caring environment. The University prepares students as Christian servant leaders for life-long learning, continued scholarship, and active participation in a diverse, global society.


· To foster academic excellence through pre-professional certificates, associates, baccalaureate, masters, and doctoral programs through traditional, technical and online systems

· To provide an environment conducive for student success

· To uphold the dignity of all persons and value diverse perspectives within a Christ-centered community

· To model servant leadership through effective stewardship of resources


Campbellsville University, in support of its mission, strives to meet the needs of all students including those who may be unable to participate in the traditional university environment. Greater flexibility in scheduling provided by distance education courses allows CU to draw from a pool of students from all areas of society. These courses provide students with the education and tools that they need to reach their goals, whether these goals are professional or personal. Distance education provides an understanding level of education to everyone by removing the traditional barriers of time and place.

Syllabus Course #Page 1 of 15

Syllabus Course #Page 2 of 15

we do your essays write my book report writing a literature review

a labor efficiency variance resulting from the use of poor quality materials should be charged to:

1. The cash budget must be prepared before you can complete the:
a. production budget.
b. budgeted balance sheet.
c. raw materials purchases budget.
d. schedule of cash disbursements.

2. Which of the following is not a benefit of budgeting?
a. It uncovers potential bottlenecks before they occur.
b. It coordinates the activities of the entire organization by integrating the plans and objectives of the various parts.
c. It ensures that accounting records comply with generally accepted accounting principles.
d. It provides benchmarks for evaluating subsequent performance.

3. The master budget process usually begins with the:
a. production budget.
b. operating budget.
c. sales budget.
d. cash budget.

4. A method of budgeting in which the cost of each program must be justified every year is called:
a. operational budgeting.
b. zero-based budgeting.
c. continuous budgeting.
d. responsibility accounting.

5.Fairmont Inc. uses an accounting system that charges costs to the manager who has been delegated the authority to make decisions concerning the costs. For example, if the sales manager accepts a rush order that will result in higher than normal manufacturing costs, these additional costs are charged to the sales manager because the authority to accept or decline the rush order was given to the sales manager. This type of accounting system is known as:
a. responsibility accounting.
b. contribution accounting.
c. absorption accounting.
d. operational budgeting.

6. Budgeted sales in Allen Company over the next four months are given below:

September October November December
Budgeted sales $100,000 $160,000 $180,000 $120,000
Twenty-five percent of the company’s sales are for cash and 75% are on account. Collections for sales on account follow a stable pattern as follows: 50% of a month’s sales are collected in the month of sale, 30% are collected in the month following sale, and 15% are collected in the second month following sale. The remainder are uncollectible. Given these data, cash collections for December should be:
a. $153,000.
b. $138,000.
c. $120,000.
d. $103,500.

7. The PDQ Company makes collections on credit sales according to the following schedule:
25% in month of sale
70% in month following sale
4% in second month following sale
1% uncollectible

The following sales have been budgeted:
Month Sales
April $100,000
May 120,000
June 110,000

Cash collections in June would be:
a. $113,400.
b. $110,000.
c. $111,000.
d. $115,500.

8. Pardee Company plans to sell 12,000 units during the month of August. If the company has 2,500 units on hand at the start of the month, and plans to have 2,000 units on hand at the end of the month, how many units must be produced during the month?
a. 11,500.
b. 12,500.
c. 12,000.
d. 14,000.

9.Superior Industries’ sales budget shows quarterly sales for the next year as follows:
Quarter Sales (units)
First 10,000
Second 8,000
Third 12,000
Fourth 14,000

Company policy is to have a finished goods inventory at the end of each quarter equal to 20% of the next quarter’s sales. Budgeted production for the second quarter should be:
a. 7,200 units.
b. 8,000 units.
c. 8,800 units.
d. 8,400 units.

10. The Willsey Merchandise Company has budgeted $40,000 in sales for the month of December. The company’s cost of goods sold is 30% of sales. If the company has budgeted to purchase $18,000 in merchandise during December, then the budgeted change in inventory levels over the month of December is:
a. $6,000 increase.
b. $10,000 decrease.
c. $22,000 decrease.
d. $15,000 increase.

11. ABC Company has a cash balance of $9,000 on April 1. The company must maintain a minimum cash balance of $6,000. During April expected cash receipts are $45,000. Expected cash disbursements during the month total $52,000. During April the company will need to borrow:
a. $2,000.
b. $4,000.
c. $6,000.
d. $8,000.
12. Avril Company makes collections on sales according to the following schedule:
30% in the month of sale
60% in the month following sale
8% in the second month following sale
The following sales are expected:

Expected Sales
January $100,000
February 120,000
March 110,000

Cash collections in March should be budgeted to be:
a. $110,000.
b. $110,800.
c. $105,000.
d. $113,000.

13. The Stacy Company makes and sells a single product, Product R. Budgeted sales for April are $300,000. Gross Margin is budgeted at 30% of sales dollars. If the net income for April is budgeted at $40,000, the budgeted selling and administrative expenses are:
a. $133,333.
b. $50,000.
c. $102,000.
d. $78,000.
14. Use the following to answer questions 14-15:
KAB Inc., a small retail store, had the following results for May. The budgets for June and July are also given.
May June July
(actual) (budget) (budget)
Sales $42,000 $40,000 $45,000
Cost of sales 21,000 20,000 22,500
Gross margin 21,000 20,000 22,500
Operating expenses 20,000 20,000 20,000
Operating income $1,000 $0 $2,500

Sales are collected 80% in the month of the sale and the balance in the month following the sale. (There are no bad debts.) The goods that are sold are purchased in the month prior to sale. Suppliers of the goods are paid in the month following the sale. The “operating expenses” are paid in the month of the sale. The amount of cash collected during the month of June should be:
a. $32,000.
b. $40,000.
c. $40,400.
d. $41,000.
15. The cash disbursements during the month of June for goods purchased for resale and for operating expenses should be:
a. $40,000.
b. $41,000.
c. $42,500.
d. $43,500.

16. Use the following to answer questions 16-20: Justin’s Plant Store, a retailer, started operations on January 1. On that date, the only assets were $16,000 in cash and $3,500 in merchandise inventory. For purposes of budget preparation, assume that the company’s cost of goods sold is 60% of sales. Expected sales for the first four months appear below.
January $10,000
February 24,000
March 16,000
April 25,000
The company desires that the merchandise inventory on hand at the end of each month be equal to 50% of the next month’s merchandise sales (stated at cost). All purchases of merchandise inventory must be paid in the month of purchase. Sixty percent of all sales should be for cash; the balance will be on credit. Seventy-five percent of the credit sales should be collected in the month following the month of sale, with the balance collected in the following month. Variable operating expenses should be 10% of sales and fixed expenses (all depreciation) should be $3,000 per month. Cash payments for the variable operating expenses are made during the month the expenses are incurred.
In a budgeted income statement for the month of February, net income would be:
a. $9,000.
b. $1,800.
c. $0.
d. $4,200.

17. In a budgeted balance sheet, the Merchandise Inventory on February 28 would be:
a. $4,800.
b. $7,500.
c. $9,600.
d. $3,200.

18. The Accounts Receivable balance that would appear in the March 31 budgeted balance sheet would be:

a. $15,000.
b. $16,000.
c. $8,800.
d. $12,400.

19. In a budget of cash receipts for March, the total cash receipts would be:
a. $17,800.
b. $8,200.
c. $20,200.
d. $16,000.

20. In a budget of cash disbursements for March, the total cash disbursements would be:
a. $11,200.
b. $13,900.
c. $22,300.
d. $16,900.

21. Use the following to answer questions 21-24: Information on the actual sales and inventory purchases of the Law Company for the first quarter follow:
Sales Purchases
January $120,000 $60,000
February $100,000 $78,000
March $130,000 $90,000
Collections from Law Company’s customers are normally 60% in the month of sale, 30% in the month following sale, and 8% in the second month following sale. The balance is uncollectible. Law Company takes full advantage of the 3% discount allowed on purchases paid for by the end of the following month.
The company expects sales in April of $150,000 and inventory purchases of $100,000. Operating expenses for the month of April are expected to be $38,000, of which $15,000 is salaries and $8,000 is depreciation. The remaining operating expenses are variable with respect to the amount of sales in dollars. Those operating expenses requiring a cash outlay are paid for during the month incurred. Law Company’s cash balance on March 1 was $43,000, and on April 1 was $35,000.
The expected cash collections from customers during April would be:
b. $137,000.
c. $139,000.
d. $117,600.

22. The expected cash disbursements during April for inventory purchases would be:
a. $100,000.
b. $97,000.
c. $90,000.
d. $87,300.

23. The expected cash disbursements during April for operating expenses would be:
a. $38,000.
b. $30,000.
c. $23,000.
d. $15,000.

24. The expected cash balance on April 30 would be:
a. $54,700.
b. $62,700.
c. $19,700.
d. $28,700.

25. Which department is usually held responsible for an unfavorable materials quantity variance?
a. Marketing
b. Purchasing
c. Engineering
d. Production

26. Which of the following is the most probable reason a company would experience an unfavorable labor rate variance and a favorable labor efficiency variance?
a. The mix of workers assigned to the particular job was heavily weighted towards the use of higher paid, experienced individuals.
b. The mix of workers assigned to the particular job was heavily weighted towards the use of new relatively low paid, unskilled workers.
c. Because of the production schedule, workers from other production areas were assigned to assist this particular process.
d. Defective materials caused more labor to be used in order to produce a standard unit.

27. If the actual labor hours worked exceed the standard labor hours allowed, what type of variance will occur?
a. Favorable labor efficiency variance.
b. Favorable labor rate variance.
c. Unfavorable labor efficiency variance.
d. Unfavorable labor rate variance.

28. (Appendix) What does a credit balance in a direct labor efficiency variance account indicate?
a. the average wage rate paid to direct labor employees was less than the standard rate.
b. the standard hours allowed for the units produced were greater than actual direct labor hours used.
c. actual total direct labor costs incurred were less than standard direct labor costs allowed for the units produced.
d. the number of units produced was less than the number of units budgeted for the period.

29. A favorable labor rate variance indicates that
a. actual hours exceed standard hours.
b. standard hours exceed actual hours.
c. the actual rate exceeds the standard rate.
d. the standard rate exceeds the actual rate.

30. An unfavorable labor efficiency variance indicates that:
a. The actual labor rate was higher than the standard labor rate.
b. The labor rate variance must also be unfavorable.
c. Actual labor hours worked exceeded standard labor hours for the production level achieved.
d. Overtime labor was used during the period.

31. If a company follows a practice of isolating variances at the earliest point in time, what would be the appropriate time to isolate and recognize a direct material price variance?
a. When material is issued.
b. When material is purchased.
c. When material is used in production.
d. When production is completed.

32. A favorable material price variance coupled with an unfavorable material usage variance would MOST likely result from:
a. problems with processing machines.
b. the purchase of low quality materials.
c. problems with labor efficiency.
d. changes in the product mix.

Tower Company planned to produce 3,000 units of its single product, Titactium, during November. The standards for one unit of Titactium specify six pounds of materials at $0.30 per pound. Actual production in November was 3,100 units of Titactium. There was a favorable materials price variance of $380 and an unfavorable materials quantity variance of $120. Based on these variances, one could conclude that:
a. more materials were purchased than were used.
b. more materials were used than were purchased.
c. the actual cost per pound for materials was less than the standard cost per pound.
d. the actual usage of materials was less than the standard allowed.

34. A labor efficiency variance resulting from the use of poor quality materials should be charged to:
a. the production manager.
b. the purchasing agent.
c. manufacturing overhead.
d. the engineering department.
35. Throughput time consists of:
a. Process time.
b. Inspection time and move time.
c. Process time, inspection time, and move time.
d. Process time, inspection time, move time, and queue time.

36. Manufacturing Cycle Efficiency (MCE) is computed as:
a. Throughput Time ÷ Delivery Cycle Time
b. Process Time ÷ Delivery Cycle Time
c. Value-Added Time ÷ Throughput Time
d. Value-Added Time ÷ Delivery-Cycle Time

37. (Appendix) Drake Company purchased materials on account. The entry to record the purchase of materials having a standard cost of $1.50 per pound from a supplier at $1.60 per pound would include a:
a. credit to Raw Materials Inventory.
b. debit to Work in Process.
c. credit to Materials Price Variance.
d. debit to Materials Price Variance.

38. (Appendix) Which of the following entries would correctly record the charging of direct labor costs to Work in Process given an unfavorable labor efficiency variance and a favorable labor rate variance?
a. Work in Process
Labor Efficiency Variance
Labor Rate Variance
Wages Payable
b. Work in Process
Wages Payable
c. Work in Process
Labor Efficiency Variance
Labor Rate Variance
Wages Payable
d. Work in Process
Labor Rate Variance
Labor Efficiency Variance
Wages Payable

39. Under a standard cost system, the material price variances are usually the responsibility of the:
a. production manager.
b. sales manager.
c. purchasing manager.
d. engineering manager.

The terms “standard quantity allowed” or “standard hours allowed” mean:
a. the actual output in units multiplied by the standard output allowed.
b. the actual input in units multiplied by the standard output allowed.
c. the actual output in units multiplied by the standard input allowed.
d. the standard output in units multiplied by the standard input allowed.

41. Dahl Company, a clothing manufacturer, uses a standard costing system. Each unit of a finished product contains 2 yards of cloth. However, there is unavoidable waste of 20%, calculated on input quantities, when the cloth is cut for assembly. The cost of the cloth is $3 per yard. The standard direct material cost for cloth per unit of finished product is:
a. $4.80.
b. $6.00.
c. $7.00.
d. $7.50.

42. Cox Company’s direct material costs for the month of January were as follows:

Actual quantity purchased 18,000 kilograms
Actual unit purchase price $3.60 per kilogram
Materials price variance–
unfavorable (based on purchases) $3,600
Standard quantity allowed
for actual production 16,000 kilograms
Actual quantity used 15,000 kilograms

For January there was a favorable direct material quantity variance of:
a. $3,360.
b. $3,375.
c. $3,400.
d. $3,800.

43. The Porter Company has a standard cost system. In July the company purchased and used 22,500 pounds of direct material at an actual cost of $53,000; the materials quantity variance was $1,875 Unfavorable; and the standard quantity of materials allowed for July production was 21,750 pounds. The materials price variance for July was:
a. $2,725 F.
b. $2,725 U.
c. $3,250 F.
d. $3,250 U.

44. Information on Fleming Company’s direct material costs follows:
Actual amount of direct materials used 20,000 pounds
Actual direct material costs $40,000
Standard price of direct materials $2.10 per pound
Direct material efficiency variance–favorable $3,000

What was the company’s direct material price variance?
a. $1,000 favorable.
b. $1,000 unfavorable.
c. $2,000 favorable.
d. $2,000 unfavorable.

45. During March, Younger Company’s direct material costs for product T were as follows:
Actual unit purchase price $6.50 per meter
Standard quantity allowed for actual
production 2,100 meters
Quantity purchased and used for actual
production 2,300 meters
Standard unit price $6.25 per meter

Younger’s material quantity variance for March was:
a. $1,250 unfavorable.
b. $1,250 favorable.
c. $1,300 unfavorable.
d. $1,300 favorable.

46. Yola Company manufactures a product with standards for direct labor of 4 direct labor-hours per unit at a cost of $12.00 per direct labor-hour. During June, 1,000 units were produced using 4,100 hours at $12.20 per hour. The direct labor efficiency variance was:
a. $1,200 favorable.
b. $1,200 unfavorable.
c. $2,020 favorable.
d. $2,020 unfavorable.

47. The following labor standards have been established for a particular product:
Standard labor hours per unit of output 8.3 hours
Standard labor rate $12.10 per hour
The following data pertain to operations concerning the product for the last month:
Actual hours worked 6,100 hours
Actual total labor cost $71,370
Actual output 900 units
What is the labor efficiency variance for the month?
a. $19,017 F
b. $19,017 U
c. $16,029 F
d. $16,577 F

48. Lab Corp. uses a standard cost system. Direct labor information for Product CER for the month of October follows:
Standard direct labor rate $6.00 per hour
Actual direct labor rate paid $6.10 per hour
Standard hours allowed for actual production 1,500 hours
Labor efficiency variance–unfavorable $600
What are the actual hours worked?
a. 1,400.
b. 1,402.
c. 1,598.
d. 1,600.

49. The Reedy Company uses a standard costing system. The following data are available for November:
Actual direct labor hours worked 5,800 hours
Standard direct labor rate $9 per hour
Labor rate variance $1,160 favorable
The actual direct labor rate for November is:

a. $8.80.
b. $8.90.
c. $9.00
d. $9.20.

50. For the month of April, Thorp Co.’s records disclosed the following data relating to direct labor:
Actual cost $10,000
Rate variance $ 1,000 favorable
Efficiency variance $ 1,500 unfavorable
For the month of April, actual direct labor hours amounted to 2,000. In April, Thorp’s standard direct labor rate per hour was:
a. $5.50.
b. $5.00.
c. $4.75.
d. $4.50.

51. The following standards for variable manufacturing overhead have been established for a company that makes only one product:
Standard hours per unit of output 7.8 hours
Standard variable overhead rate $12.55 per hour
The following data pertain to operations for the last month:
Actual hours 2,900 hours
Actual total variable overhead cost $36,975
Actual output 200 units
What is the variable overhead efficiency variance for the month?
a. $17,397 U
b. $16,817 U
c. $312 F
d. $17,085 U

52. The following standards for variable manufacturing overhead have been established for a company that makes only one product:
Standard hours per unit of output 5.6 hours
Standard variable overhead rate $12.00 per hour
The following data pertain to operations for the last month:
Actual hours 2,600 hours
Actual total variable overhead cost $31,330
Actual output 400 units
What is the variable overhead spending variance for the month?
a. $112 F
b. $130 U
c. $4,450 U
d. $4,338 U

53. Use the following to answer questions 53-56:
Appendix) The Dexon Company makes and sells a single product called a Mip and employs a standard costing system. The following standards have been established for one unit of Mip:
Standard Quantity or Hours Standard Cost per Mip
Direct materials 6 board feet $9.00
Direct labor 0.8 hours $9.60
There were no inventories of any kind on August 1. During August, the following events occurred:
Purchased 15,000 board feet at the total cost of $24,000.
Used 12,000 board feet to produce 2,100 Mips.
Used 1,700 hours of direct labor time at a total cost of $20,060.
To record the purchase of direct materials, the general ledger would include what entry to the Materials Price Variance Account?
a. $1,500 credit
b. $1,500 debit
c. $6,000 credit
d. $6,000 debit

54. To record the use of direct materials in production, the general ledger would include what entry to the Materials Quantity Variance account?
a. $3,600 debit
b. $3,600 credit.
c. $900 debit
d. $900 credit

55. To record the incurrence of direct labor cost and its use in production, the general ledger would include what entry to the Labor Rate Variance account?
a. $240 credit
b. $240 debit
c. $340 debit
d. $340 credit
56. To record the incurrence of direct labor costs and its use in production, the general ledger would include what entry to the Labor Efficiency Variance account?
a. $480 credit
b. $240 debit
c. $1,200 debit
d. $1,200 credit

57. A major weakness of flexible budgets is that:
a. they are geared only to a single level of activity.
b. they give subordinates too much flexibility.
c. they force the manager to compare actual costs at one level of activity to budgeted costs at a different level of activity.
d. none of these.

58. Lanta Restaurant compares monthly operating results with a static budget prepared at the beginning of the year. When actual sales are less than budget, would the restaurant usually report favorable variances on variable food costs and fixed supervisory salaries?
Food Costs Supervisory Salaries
Yes Yes
Yes No
No Yes
No No

a. Yes Yes
b. Yes No
c. No Yes
d. No No

59. Overhead cost is applied to units based on direct labor hours. For April, total overhead cost was budgeted at $80,000 based on a denominator activity level of 20,000 direct labor hours for the month. The standard cost card indicates that each unit of finished product requires 2 direct labor-hours. The following data are available for April’s activity:
Number of units produced 9,500
Direct labor hours worked 19,500
Actual total overhead cost incurred $79,500
What amount of total overhead cost would have been applied to production for the month of April?
a. $76,000.
b. $78,000.
c. $79,500.
d. $80,000.

60. Hart Company’s labor standards call for 500 direct labor hours to produce 250 units of product. During October the company worked 625 direct labor hours and produced 300 units. The standard hours allowed for October would be:
a. 625 hours.
b. 500 hours.
c. 600 hours.
d. 250 hours.

61. The Adlake Company makes and sells a single product and uses a standard cost system. During October, the company budgeted $300,000 in manufacturing overhead cost at a denominator activity of 20,000 machine-hours. At standard, each unit of finished product requires 5 machine-hours. The following cost and activity were recorded during October:
Total actual manufacturing overhead cost incurred $294,000
Units of product completed 3,800
Actual machine-hours worked 19,422
The amount of overhead cost that the company applied to work in process for October was:
a. $279,300.
b. $291,330.
c. $294,000.
d. $285,000.

62. Union Company uses a standard cost accounting system. The following overhead costs and production data are available for August:
Standard fixed overhead rate $1.00 per hour
Standard variable overhead rate $4.00 per hour
Denominator activity 40,000 hours
Actual hours 39,500 hours
Standard hours allowed for output 39,000 hours
Overapplied overhead $2,000
The total amount of overhead applied to work in process for August would be:
a. $195,000.
b. $197,000.
c. $197,500.
d. $199,500.

63. Use the following to answer questions 63-66:
The Alpha Company produces toys for national distribution. Standards for a particular toy are:
Materials: 12 ounces per unit at 56¢ per ounce.
Labor: 2 hours per unit at $2.75 per hour.
During the month of December, the company produced 1,000 units. Information for the month follows:
Materials: 14,000 ounces were purchased and used at a total cost of $7,140.
Labor: 2,500 hours worked at a total cost of $8,000.
The materials price variance is:
a. $700 U.
b. $420 U.
c. $420 F.
d. $700 F.

64. The materials quantity variance is:

a. $1,120 U.
b. $1,820 F.
c. $1,820 U.
d. $1,120 F.

65. The labor rate variance is:
a. $2,500 F.
b. $1,125 F.
c. $1,125 U.
d. $2,500 U.

66. The labor efficiency variance is:

a. $1,600 U.
b. $1,375 U.
c. $1,375 F.
d. $1,600 F.

67. Use the following to answer questions 67-70:
The Clark Company makes a single product and uses standard costing. Some data concerning this product for the month of May follow:
Labor rate variance: $ 7,000 F
Labor efficiency variance: $12,000 F
Variable overhead efficiency variance: $ 4,000 F
Number of units produced: 10,000
Standard labor rate per direct labor hour: $ 12
Standard variable overhead rate per direct labor hour: $ 4
Actual labor hours used: 14,000
Actual variable manufacturing overhead costs: $58,290
The standard hours allowed to make one unit of finished product are:

a. 1.0.
b. 1.2.
c. 1.5.
d. 2.0.

68. The total standard cost for variable overhead for May was:
a. $56,000.
b. $40,000.
c. $60,000.
d. $50,000.

69. The total standard cost for direct labor for May was:
a. $168,000.
b. $180,000.
c. $120,000.
d. $161,000.

70. The actual direct labor rate for May in dollars per hour was:
a. $12.50.
b. $12.00.
c. $11.75.
d. $11.50.

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VCL 11-4: Aldol-1

By: Michele Hopkins

Ocean County Community College

Chemistry 284

Virtual Chemistry Lab-Organic


Table of contents

Title Page……………………………………. Page 1

Table of Contents…………………………Page 2

Abstract………………………………………. Page 3

Introduction………………………………….Page 3

Experimental Details …………………..Page 4

Results ……………………………………….Page 5

Discussion………………………………….Page 6-9

Conclusion and Summary ………….Page 10

References…………………………………Page 11


This lab is used to show how to determine when a reaction has reached completion. For this assignment, the target compound that you should synthesize is 2-ethyl-3-hydroxy-hexanal. This is an organometallic addition reaction. Examine the product and identify potential bonds that may be formed. Keep in mind the mechanism and the need to quench the reaction with acid to liberate the neutral product. This lab focuses on determining this using a TLC test, which is performed several times during the reaction, by using an ice bath this time. The TLC is also performed using organic material formed. This lab primary goal is to teach about TLC test, reaction completion, NMR, as well as the IR Spectra and to teach organic chemistry students some basic chemistry principles as applied in this lab.


The purpose of this lab is to prepare a demonstration of the Aldol. I should be able to notice the outcomes of the change in structures on the reaction results.

Experimental Data

1. The starting materials were obtained from the stock room

a. Round Bottom Flask

b. Butanal

c. Et OH

d. (KOH) Potassium Hydroxide

e. H2O

2. The Butanal and Et OH were added to the flask

3. The flask was placed on the stir plate

4. Potassium Hydroxide (KOH) was added to the flask along with the other starting materials

5. Mixture was placed into ice bath so the reaction mixture can be cooled.

6. A TLC measurement was done at the begin of the reaction

7. A TLC test was done 10 minutes after the reaction had begun

8. Various TLC test were on at different time intervals as to record when the reaction came to completion.

9. The reaction mixture was added to a separatory funnel

10. H2O aqueous reagent was added to the funnel

11. Two thin layers of organic and aqueous phase were observed in the funnel

12. A TLC measurement was performed on the organic layer in the funnel 2-ethyl-3-hydroxy-hexanal.

13. All lab materials were cleaned up and put away

14. How long did it take to finish the reaction? 1 hour and 41min.

15. What are the TLC values (Rf) for (a) starting Materials: (b) Products:

16. Write a mechanism for this reaction:



   TLC Measurement – Stirred Mixture

10:15 (Start of Reaction) 10:26 10:46 11:56 (complete)

TLC Measument- Funnel Organic TLC –Stired Complete vs. Organic

Organic Stired Organic

IR Spectra

After completing a reaction and working up the products, it is still necessary to confirm that the correct

product was formed. The most common tools used for this analysis are Infrared (IR) and Nuclear

Magnetic Resonance (NMR) spectroscopy. In the virtual laboratory, only 1H NMR spectra are available.

Details on interpreting IR and NMR spectra are found in your textbook. Your instructor may or may not

ask you to perform this section depending on how your class is structured.

To collect an IR spectrum of your product, click on the IR spectrometer located underneath the

laboratory clock and drag the salt plate icon to the flask on the lab bench. A window containing the

IR spectrum for your product should now open. Identify the relevant peaks in the IR spectrum and

record the position and associated functional group for each in the IR table below. The IR spectrum

can also be saved to the lab book for later analysis.

IR List Position (cm-1) & functional group4.

To collect a 1H NMR spectrum of your product, click on the NMR magnet located to the right of the

chalkboard and drag the NMR sample tube to the flask on the lab bench. A window containing the

NMR spectrum for your product should now open. You can zoom into various portions of the NMR

spectrum by clicking and dragging over the desired area. The Zoom Out button is used to zoom back

out to view the full spectrum. Identify all of the peaks in the NMR spectrum and record the chemical

shift, the splitting, and the number of hydrogens for each peak in the NMR table below. The NMR

spectrum can also be saved to the lab book for later analysis.


1H NMRPeakChemical Shift(δ)Multiplicity†H‡PeakChemical Shift(δ)Multiplicity†H‡

†Specify the multiplicity as a singlet (s), doublet (d), triplet (t), quartet (q), or multiplet (m).

‡Specify the number of hydrogens associated with each peak.

Do the IR and NMR spectra you measured and recorded in the tables above confirm that you

synthesized the assigned target compound? Explain

Conclusions and Summary


Adapted from E. Boschmann & Norman Wells, Chemistry in Action: A Laboratory Manual for General, Organic, and Biological Chemistry, 4th Edition, page 309.

Organic Chemistry, Seventh Edition, Paula Yurkanis Bruice

Organic Qualitative Analysis- Amines. (2013). Retrieved from

Virtual Chemistry Lab: Organic

Virtual ChemLab v2.5 Organic Synthesis and Organic Qualitative Analysis- Laboratory Workbook Student Manual

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________ is a set of function and call programs that allow clients and servers to intercommunicate.

Telecommunications and Networks


• 6 •


■ A telecommunications system and network have many fundamental components.

■ Identify and describe the fundamental compo- nents of a telecommunications system.

■ Identify two broad categories of telecom- munications media and their associated characteristics.

■ Identify several telecommunications hardware devices and discuss their functions.

■ Telecommunications, networks, and their associated applications are essential to organizational success.

■ Describe the benefits associated with the use of a network.

■ Name three distributed processing alterna- tives and discuss their basic features.

■ List and describe several telecommunications applications that organizations benefit from today.

Information Systems in the Global Economy Deloitte, Milan, Italy Unified Communications for Financial Management

Deloitte Touche Tohmatsu, also known as Deloitte & Touche, or just Deloitte, is one of the world’s largest financial services firms. Established more than 150 years ago by William Welch Deloitte, the company grew from a small accountancy office in London to a global network of member firms employing 150,000 professionals in 140 countries with $20 billion in total revenues.

Today’s demanding and competitive business environment requires professionals to extract the most value out of every minute of the workday. This means staying connected to corporate networks, accessing information, and communicating with colleagues from all locations: at the office, in a warehouse, in conference rooms, at airports, in vehicles, and at home. Businesses such as Deloitte realize that the quality of telecommunications systems and the services they deliver can dramatically affect a company’s success.

Recently, Deloitte in Milan, Italy, conducted a major reorganization to consolidate its five branches into one complex. The consolidation was intended to improve communica- tions and service while reducing costs. The reorganization presented the opportunity to replace Deloitte’s telecommunications systems with the most current technologies.

Deloitte decided to invest in a unified communications system that provides voice, video, and data communications over one network. A unified communications system can help companies save money because it can eliminate the need to set up multiple networks for differing uses. However, a unified system can do more than reduce redundancy: A company can design software and hardware to integrate various forms of telecommuni- cations into one powerful and easy-to-use system that is accessible anywhere anytime from a variety of devices.

The unified communications system that Deloitte purchased from Cisco included sev- eral interconnected services, including the following:

• About 1,200 unified communications lines to stream voice, video, and data to computers and videophones

• Videoconferencing services using Internet Protocol (IP) • Television broadcasting service over IP • Call management system • Local area network management system • Wi-Fi wireless networking in all buildings in the complex

Deloitte uses the television broadcasting capabilities of the new system to broadcast regular messages from the CEO. It uses the videophone service to improve communica- tions between employees and to support conferences and meetings while team members are away from the office.

The system also allows Deloitte to make better use of its office space. In most busi- nesses, many offices and desks are often unused throughout the day due to employees that are traveling, in meetings, or otherwise out of the office. Because everything Deloitte em- ployees need is delivered over the network, and the network is available anywhere, employees can use any available space. The Hot-Desks service, provided through the net- work, keeps track of which workstations, desks, and conference rooms are in use and can direct employees to unused space.

Telecommunications and Networks | Chapter 6 223

Deloitte provides notebook PCs with integrated wireless networking capabilities to all employees, making it possible for work to take place in any area of the complex through the Wi-Fi network. The notebooks include a SoftPhone application that employees use to access telephone and videophone services over the local network or over the Internet while traveling. If an employee receives a phone call at the office, he or she can answer the call on the notebook PC from any location. This means Deloitte employees can take the office with them wherever they go.

Deloitte’s unified communications system also includes call center management that routes incoming calls to the proper party. The new system is easily managed and con- trolled through one central interface. This gives the company greater control over its telecommunications at a much lower cost. Deloitte professionals are experiencing a notable increase in collaborative work and improvements to the entire organizational structure. Deloitte provides an ideal example of the important role telecommunications plays in the success of a business.

As you read this chapter, consider the following:

• What services do new telecommunications and network technologies offer to assist individuals and organizations in being more effective?

• What role does telecommunications play in connecting organizations and growing the global economy?

In today’s high-speed global business world, organizations need always-on, always-connected computing for traveling employees and for network connections to their key business partners and customers. As we saw in the opening vignette, forward-thinking companies such as Deloitte hope to save billions of dollars, reduce time to market, and enable collaboration with their business partners by using telecommunications systems. Here are just a few addi- tional examples of organizations using telecommunications and networks to move ahead.

• Wal-Mart, the world’s largest retailer with $345 billion in sales, plans to include RFID tags on products in its 4,068 North American stores to improve inventory accuracy, thereby reducing untracked sales and all but eliminating lost or missing merchandise. The net result is a savings of $287 million per year. Telecommunications between the RFID chips and scanners on forklift trucks and between the trucks and in-store computers is an essential component of achieving these savings.1

• Procter & Gamble (P&G) has implemented 13 of its planned 40 Video Collaboration Studios using the Cisco TelePresence system to empower the P&G community of more

Effective communication is essential to the success of every major human undertak- ing, from building great cities to waging war to running a modern organization. Today we use electronic messaging and networking to shrink the world and enable people everywhere to communicate and interact effectively without requiring face- to-face meetings. Regardless of your chosen major or future career field, you will need the communications capabilities provided by telecommunications and net- works, especially if your work involves the supply chain. Among all business func- tions, supply chain management might use telecommunications and networks the most because it requires cooperation and communications among workers in inbound logistics, warehouse and storage, production, finished product storage, out- bound logistics, and most important, with customers, suppliers, and shippers. All members of the supply chain must work together effectively to increase the value perceived by the customer, so partners must communicate well. Other employees in human resources, finance, research and development, marketing, and sales positions must also use communications technology to communicate with people inside and outside the organization. To be a successful member of any organization, you must be able to take advantage of the capabilities that these technologies offer you. This chapter begins by discussing the importance of effective communications.

224 Part 2 | Information Technology Concepts

Why Learn About Telecommuni- cations and Networks?

than 138,000 employees working in over 80 countries worldwide. The Studios foster a high degree of communication and collaboration without requiring members of a team to physically travel to meet. Use of this telecommunications technology is credited with helping P&G to bring its products to market faster and compete more effectively. Aflac, BT, McKesson, SAP, Verizon, and more than 100 other Cisco customers are also experimenting with the use of this technology.2

• Home appliance manufacturers are adding telecommunications capabilities to their products to make them more appealing and useful. Whirlpool is testing the concept of making refrigerators a central information hub by providing removable digital photo frames capable of displaying digital images and providing news and weather updates with its most advanced models. Future plans call for refrigerators that can play music from MP3 players or satellite radios. Not to be outdone, LG Electronics plans to offer refrigerators with a 15-inch LCD HDTV for TV and video playback.3

• Thousands of companies are employing Webcasts to inform and educate potential customers about their products and services.

• High technology companies such as Boeing use a wide range of telecommunications technologies to support their business and collaborate with people from inside and outside the company. Boeing has created the LabNet to connect the various Boeing Labs and customers that test concepts and features under development. The LabNet enables all participants to visualize live, simulated, and computer-generated fighter jets as they demonstrate their performance under various test scenarios.4


Telecommunications refers to the electronic transmission of signals for communications, by means such as telephone, radio, and television. Telecommunications is creating profound changes in business because it lessens the barriers of time and distance. Advances in telecom- munications technology allow us to communicate rapidly with business partners, clients, and coworkers almost anywhere in the world. Telecommunications also reduces the amount of time needed to transmit information that can drive and conclude business actions. Telecom- munications not only is changing the way organizations operate, but the nature of commerce itself. As networks connect to one another and transmit information more freely, a compet- itive marketplace demands excellent quality and service from all organizations.

Figure 6.1 shows a general model of telecommunications. The model starts with a sending unit (1) such as a person, a computer system, a terminal, or another device that originates the message. The sending unit transmits a signal (2) to a telecommunications device (3). The telecommunications device—a hardware component that facilitates elec- tronic communication—performs many tasks, which can include converting the signal into a different form or from one type to another. The telecommunications device then sends the signal through a medium (4). A telecommunications medium is any material substance that carries an electronic signal to support communications between a sending and receiving device. Another telecommunications device (5) connected to the receiving device (6) receives the signal. The process can be reversed, and the receiving unit (6) can send a message to the original sending unit (1). An important characteristic of telecommunications is the speed at which information is transmitted, which is measured in bits per second (bps). Common speeds are in the range of thousands of bits per second (Kbps) to millions of bits per second (Mbps) and even billions of bits per second (Gbps).

A telecommunications protocol defines the set of rules that governs the exchange of information over a communications medium. The goal is to ensure fast, efficient, error-free communications and to enable hardware, software, and equipment manufacturers and service providers to build products that interoperate effectively. The Institute of Electrical and Elec- tronics Engineers (IEEE) is a leading standards-setting organization whose IEEE 802 network standards are the basis for many telecommunications devices and services. The International Telecommunication Union (ITU) is a specialized agency of the United Nations with

telecommunications medium Any material substance that carries an electronic signal and serves as an interface between a sending device and a receiving device.

telecommunications protocol A set of rules that governs the exchange of information over a com- munications medium.

Telecommunications and Networks | Chapter 6 225

headquarters in Geneva, Switzerland. The international standards produced by the ITU are known as Recommendations and carry a high degree of formal international recognition.

Communications between two people can occur synchronously or asynchronously. With synchronous communications, the receiver gets the message instantaneously, when it is sent. Voice and phone communications are examples of synchronous communications. With asynchronous communications, the receiver gets the message after some delay—sometimes hours or days after the message is sent. Sending a letter through the post office or e-mail over the Internet are examples of asynchronous communications. Both types of communications are important in business.

Using telecommunications can help businesses solve problems, coordinate activities, and capitalize on opportunities. To use telecommunications effectively, you must carefully analyze telecommunications media and devices.

Telecommunications technology enables business people to communicate with coworkers and clients from remote locations.

(Source: © BananaStock / Alamy.)

Basic Telecommunications Channel Characteristics The transmission medium carries messages from the source of the message to its receivers. A transmission medium can be divided into one or more telecommunications channels, each capable of carrying a message. Telecommunications channels can be classified as simplex, half-duplex, or full-duplex.

A simplex channel can transmit data in only one direction and is seldom used for business telecommunications. Doorbells and the radio operate using a simplex channel. A half-duplex channel can transmit data in either direction, but not simultaneously. For example, A can begin transmitting to B over a half-duplex line, but B must wait until A is finished to transmit back to A. Personal computers are usually connected to a remote computer over a half-duplex channel. A full-duplex channel permits data transmission in both directions at the same time, so a full-duplex channel is like two simplex channels. Private leased lines or two standard phone lines are required for full-duplex transmission.

synchronous communications A form of communications where the receiver gets the message instantaneously, when it is sent.

asynchronous communications A form of communications where the receiver gets the message after some delay—sometimes hours or days after the message is sent.

simplex channel A communications channel that can transmit data in only one direction.

half-duplex channel A communications channel that can transmit data in either direction, but not simultaneously.

full-duplex channel A communications channel that permits data transmission in both directions at the same time, so a full-duplex channel is like two sim- plex channels.

Signal (2)

Sending computer system and

equipment (1)

Telecommunications device (3)

Receiving computer system and

equipment (6)

Telecommunications device (5)

Medium (4)

Signal (2)

Signal (2)

Medium (4)

Medium (4)

Figure 6.1

Elements of a Telecommunications System Telecommunications devices relay signals between computer systems and transmission media.

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Channel Bandwidth In addition to the direction of data flow supported by a telecommunications channel, you must consider the speed at which data can be transmitted. Telecommunications channel bandwidth refers to the rate at which data is exchanged, usually measured in bits per second (bps)—the broader the bandwidth, the more information can be exchanged at one time. Broadband communications is a relative term but generally means a telecommunications system that can exchange data very quickly. For example, for wireless networks, broadband lets you send and receive data at a rate greater than 1.5 Mbps.

Telecommunications professionals consider the capacity of the channel when they rec- ommend transmission media for a business. In general, today’s organizations need more bandwidth for increased transmission speed to carry out their daily functions. Another key consideration is the type of telecommunications media to use.

Telecommunications Media Each telecommunications media type can be evaluated according to characteristics such as cost, capacity, and speed. In designing a telecommunications system, the transmission media selected depends on the amount of information to be exchanged, the speed at which data must be exchanged, the level of concern for data privacy, whether the users are stationary or mobile, and many other business requirements. The transmission media are selected to sup- port the goals of the information and organizational systems at the lowest cost, but still allow for possible modifications should your business requirements change. Transmission media can be divided into two broad categories: guided transmission media, in which telecommu- nications signals are guided along a solid medium, and wireless, in which the telecommuni- cations signal is broadcast over airwaves as a form of electromagnetic radiation.

Guided Transmission Media Types Guided transmission media are available in many types. Table 6.1 summarizes the guided media types by physical media type. These guided transmission media types are discussed in the sections following the table.

Twisted-pair wire Twisted pairs of copper wire, shielded or unshielded

Media Type Description

Used for telephone service; widely available

Transmission speed and distance limitations

Advantages Disadvantages

Coaxial cable Inner conductor wire surrounded by insulation

Cleaner and faster data transmission than twisted-pair wire

More expensive than twisted-pair wire

Fiber-optic cable Many extremely thin strands of glass bound together in a sheathing; uses light beams to transmit signals

Diameter of cable is much smaller than coaxial; less distortion of signal; capable of high transmission rates

Expensive to purchase and install

Broadband over power lines

Data is transmitted over standard high- voltage power lines

Can provide Internet service to rural areas where cable and phone service may be nonexistent

Can be expensive and may interfere with ham radios and police and fire communications

Table 6.1

Guided Transmission Media Types

Twisted-Pair Wire Twisted-pair wire contains two or more twisted pairs of wire, usually copper (see Figure 6.2). Proper twisting of the wire keeps the signal from “bleeding” into the next pair and creating electrical interference. Because the twisted-pair wires are insulated, they can be placed close together and packaged in one group. Hundreds of wire pairs can be grouped into one large wire cable.

Twisted-pair wires are classified by category (Category 1, 2, 3, 4, 5, 5E, and 6). The lower categories are used primarily in homes. Higher categories are used in networks and can carry data at higher speeds. For example, 10 Gigabit Ethernet is a standard for transmitting data in full-duplex mode at the speed of 10 billion bits per second for limited distances over category 5 or 6 twisted-pair wire. The 10 Gigabit Ethernet cable can be used for the

channel bandwidth The rate at which data is exchanged over a telecommunications channel, usually measured in bits per second (bps).

broadband communications A telecommunications system in which a very high rate of data exchange is possible.

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high-speed links that connect groups of computers or to move data stored in large databases on large computers to stand-alone storage devices.

The Niagara Falls Bridge Commission (NFBC) is a joint United States and Canadian agency that monitors three border crossings spanning the Niagara River between western New York State and southern Ontario. NFBC also operates a fourth site that processes more than seven million border crossings per year. The NFBC relies on a 10 Gigabit Ethernet network to carry video and other data from border locations to its operations center in Lewiston, New York. Video data from 170 cameras is used to support monitoring for unusual or suspicious activity along the border as well as to manage the flow of traffic.5

Coaxial Cable Figure 6.2 (middle) also shows a typical coaxial cable, similar to that used in cable television installations. When used for data transmission, coaxial cable falls in the middle of the guided transmission media in terms of cost and performance. The cable itself is more expensive than twisted-pair wire but less than fiber-optic cable (discussed next). However, the cost of in- stallation and other necessary communications equipment makes it difficult to compare the total costs of each medium. Coaxial cable offers cleaner and crisper data transmission (less noise) than twisted-pair wire. It also offers a higher data transmission rate.

Cable companies are aggressively courting customers for telephone service, enticing them away from the phone companies by bundling Internet and phone services along with TV. For example, Comcast provides new movies on demand the same day as the DVD release to its more than 24 million subscribers through its Project Infinity.6

Fiber-Optic Cable Fiber-optic cable, consisting of many extremely thin strands of glass or plastic bound together in a sheathing (also known as a jacket), transmits signals with light beams (see Figure 6.2, right). These high-intensity light beams are generated by lasers and are conducted along the transparent fibers. These fibers have a thin coating, called cladding, which effectively works like a mirror, preventing the light from leaking out of the fiber. The much smaller diameter of fiber-optic cable makes it ideal when there is no room for bulky copper wires—for example, in crowded conduits, which can be pipes or spaces carrying both electrical and communica- tions wires. Fiber-optic cable and associated telecommunications devices are more expensive to purchase and install than their twisted-pair wire counterparts, although the cost is decreasing.

Verizon has been building a fiber-optic network since 2004 at a budgeted cost of $18 billion. This has required Verizon crews to remove traditional twisted-pair wires used to carry

Figure 6.2

Types of Guided Transmission Media Twisted-pair wire (left), coaxial cable (middle), fiber-optic cable (right)

(Source: © Greg Pease/Getty Images.)

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phone calls and replace them with hair-thin strands of optical fiber in thousands of towns and cities. When complete, the Verizon Fiber Optic Service (FiOS) network will take fiber directly to subscribers’ homes and provide downstream connection speeds (the speed that data is transmitted to your computer) of 5 Mbps to 50 Mbps. The network will be used to deliver high-speed Internet connection, telephone service, and TV including video on de- mand. Verizon hopes that the new infrastructure will enable it to win customers from the cable companies.7

Broadband over Power Lines Many utilities, cities, and organizations are experimenting with broadband over power lines (BPL) to provide Internet access to homes and businesses over standard high-voltage power lines. This form of BPL is called access BPL. A system called in-premise BPL can be used to create a local area network using the building’s wiring. A potential problem with BPL is that transmitting data over unshielded power lines can interfere with both amateur (ham) radio broadcasts and police and fire radios. However, BPL can provide Internet service in rural areas where broadband access has lagged because electricity is more prevalent in homes than cable or even telephone lines.

The U.S. Transportation Security Administration is testing the use of in-premise BPL at selected airports to connect airport passenger and other screening systems, cameras at ticket counters, and passport readers.8 To access the Internet, BPL users connect their computer to a special hardware device that plugs into any electrical wall socket. Comtrend Corporation offers a PowerGrid 904 adapter that enables data transmission speeds of up to 400 Mbps.9

Wireless Communications Options Wireless communications coupled with the Internet is revolutionizing how and where we gather and share information, collaborate in teams, listen to music or watch video, and stay in touch with our families and coworkers while on the road. With wireless capability, a coffee shop can become our living room and the bleachers at a ball park can become our office. The many advantages and freedom provided by wireless communications are causing many or- ganizations to consider moving to an all-wireless environment. Shopanista, a shuttle for shoppers in Los Angeles, California, made the decision to move to wireless after tiring of the hassles of moving wired devices.10

Wireless transmission involves the broadcast of communications in one of three frequency ranges: radio, microwave, or infrared frequencies, as shown in Table 6.2. In some cases, the use of wireless communications is regulated and the signal must be broadcast within a specific frequency range to avoid interference with other wireless transmissions. For example, radio and TV stations must gain approval to use a certain frequency to broadcast their signals. In those cases where wireless communications are not regulated, there is a high potential for interference between signals.

Technology Description Advantages Disadvantages

Radio frequency range

Operates in the 3KHz–300 MHz range

Supports mobile users; costs are dropping

Signal highly susceptible to interception

Avoids cost and effort to lay cable or wires; capable of high-speed transmission

Must have unobstructed line of sight between sender and receiver; signal highly susceptible to interception

Infrared frequency range

Signals in the 300 GHz–400 THz frequency range sent through air as light waves

Lets you move, remove, and install devices without expensive wiring

Must have unobstructed line of sight between sender and receiver; transmission effective only for short distances

Microwave— terrestrial and satellite frequency range

High-frequency radio signal (300 MHz–300 GHz) sent through atmosphere and space (often involves communications satellites)

Table 6.2

Frequency Ranges Used for Wireless Communications

With the spread of wireless network technology to support devices such as PDAs, mobile computers, and cell phones, the telecommunications industry needed new protocols to define how these hardware devices and their associated software would interoperate on the networks provided by telecommunications carriers. Today more than 70 active groups set standards

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at a regional, national, and global level resulting in a dizzying array of communications stan- dards and options.11 Some of the more widely used wireless communications options are discussed next.

Short Range Wireless Options Many wireless solutions provide communications over very short distances including near field communications, Bluetooth, ultra wideband, infrared transmission, and Zigbee.

Near Field Communication (NFC) Near Field Communication (NFC) is a very short-range wireless connectivity technology designed for cell phones and credit cards. With NFC, consumers can wave their credit cards or even cell phones within a few inches of point-of-sale terminals to pay for purchases. Con- sumers are using the technology in Germany and Austria, and pilot projects are being conducted in London, Singapore, the Netherlands, and Finland. In the United States, MasterCard and Visa are testing devices with embedded NFC and are looking for partners to explore the widespread use of NFC technology in phones and credit cards.12

Bluetooth Bluetooth is a wireless communications specification that describes how cell phones, com- puters, personal digital assistants, printers, and other electronic devices can be interconnected over distances of 10–30 feet at a rate of about 2 Mbps. Bluetooth enables users of multi- functional devices to synchronize with information in a desktop computer, send or receive faxes, print, and, in general, coordinate all mobile and fixed computer devices. The Bluetooth technology is named after the tenth century Danish King Harald Blatand, or Harold Blue- tooth in English. He had been instrumental in uniting warring factions in parts of what is now Norway, Sweden, and Denmark—just as the technology named after him is designed to allow collaboration between differing devices such as computers, phones, and other elec- tronic devices.

All types of businesses find Bluetooth technology helpful. For example, MedicMate is a mobile software developer with an application designed for medical professionals who can’t carry patient files from one patient or facility to another. The application is also intended for institutions who want to provide electronic patient or pharmaceutical data wirelessly, but have not implemented broadband infrastructure. The application runs on any mobile handset with a touch screen and the Windows Mobile 2003 operating system. With it, the user can create or display patient data, problem lists, sticky notes, and patient alarms. The application works with infrared or Bluetooth technology to send and receive data wirelessly.13

Ultra Wideband (UWB) Ultra wideband (UWB) is a wireless communications technology that transmits large amounts of digital data over short distances of up to 30 feet using a wide spectrum of fre- quency bands and very low power. Ultra wideband has the potential to replace Bluetooth’s 2 Mbps transmission speed with 400 Mbps rates for wirelessly connecting printers and other devices to desktop computers or enabling completely wireless home multimedia networks.14 The manufacturers of electronic entertainment devices are particularly interested in the use of UWB. With UWB, a digital camcorder could play a just-recorded video on an HDTV without anyone having to fiddle with wires. A portable MP3 player could stream audio to high-quality surround-sound speakers anywhere in the room. A mobile computer user could wirelessly connect to a digital projector in a conference room to deliver a presentation.

Infrared Transmission Infrared transmission sends signals at a frequency of 300 GHz and above. Infrared trans- mission requires line-of-sight transmission and short distances—such as a few yards. Infrared transmission allows handheld computers to transmit data and information to larger com- puters within the same room and to connect a display screen, printer, and mouse to a computer.

Near Field Communication (NFC) A very short-range wireless connec- tivity technology designed for cell phones and credit cards.

Bluetooth A wireless communications specifi- cation that describes how cell phones, computers, faxes, personal digital assistants, printers, and other electronic devices can be interconnected over distances of 10–30 feet at a rate of about 2 Mbps.

ultra wideband (UWB) A wireless communications tech- nology that transmits large amounts of digital data over short distances of up to 30 feet using a wide spectrum of frequency bands and very low power.

infrared transmission A wireless communications tech- nology that operates at a frequency of 300 GHz and above that requires line-of-sight transmission and operates over short distances— such as a few yards.

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The Apple Remote is a remote control device made for use with Apple infrared products. It has six buttons: Menu, Play/Pause, Volume Up, Volume Down, Previous/Rewind, and Next/Fast-Forward. The new Mac Mini features an infrared port designed to work with the Apple Remote and support Front Row, a multimedia application that allows users to access shared iTunes and iPhoto libraries and video throughout their homes.

Zigbee Zigbee is a form of wireless communications frequently used in security systems and heating and cooling control systems. Zigbee is a relatively low-cost technology and requires little power, which allows longer life with smaller batteries.

Energy Optimizers, Ltd, a company in the United Kingdom, has developed a plug-in electricity meter called the Plogg that can monitor the energy usage of appliances. The device uses the Zigbee protocol to collect data from refrigerators, air conditioners, and other appli- ances and relay it to a central server via the Internet. Should an appliance be left on after hours, the Plogg can alert someone or turn the device down or off.15

Medium Range Wireless Options Wi-Fi is a wireless telecommunications technology brand owned by the Wi-Fi Alliance, which consists of about 300 technology companies including AT&T, Dell, Microsoft, Nokia, and Qualcomm. The alliance exists to improve the interoperability of wireless local area network products