Publication Manual of the American Psychological Association , Section 1.16 Planning for Ethical Compliance and Chapter 6

Alphabetizing names. Arrange entries in alphabetical order by the surname of the first author followed by the initials of the author's given name, and use the following rules for special cases:

-Alphabetize by the author's surname. This surname/given name formula is commonly used in Western countries but is less commonly used in many Eastern countries. If you are uncertain about the proper format for a name, check with the author for the preferred form or consult the author's previous publication for the commonly used form (e.g., Chen Zhe may publish under Zhe Chen in the United States). -Alphabetize letter by letter. When alphabetizing surnames, remember that "nothing precedes something": Brown, J. R., precedes Browning, A. R., even though i precedes j in the alphabet. -Singh, Y., precedes Singh Siddhu, N. -López, M. E., precedes López de Molina, G. -Ibn Abdulaziz, T., precedes Ibn Nidal, A. K. M. -Girard, J.-B., precedes Girard-Perregaux, A. S. -Villafuerte, S. A., precedes Villa-Lobos, J. -Benjamin, A. S., precedes ben Yaakov, D. -Alphabetize the prefixes M', Mc, and Mac literally, not as if they were all spelled Mac. Disregard the apostrophe: MacArthur precedes McAllister, and MacNeil precedes M'Carthy. -Alphabetize entries with numerals chronologically (e.g., Macomber, J., II, precedes Macomber, J., III).

Direct Quotations of Online Material Without Pagination:

-Credit direct quotations of online material by giving the author, year, and page number in parentheses. Many electronic sources do not provide page numbers. If paragraph numbers are visible, use them in place of page numbers. Use the abbreviation para. ----Basu and Jones (2007) went so far as to suggest the need for a new "intellectual framework in which to consider the nature and form of regulation in cyberspace" (para. 4). -If the document includes headings and neither paragraph nor page numbers are visible, cite the heading and the number of the paragraph following it to direct the reader to the location of the quoted material. ---In their study, Verbunt, Pernot, and Smeets (2008) found that "the level of perceived disability in patients with fibromyalgia seemed best explained by their mental health condition and less by their physical condition" (Discussion section, para. 1). -In some cases in which no page or paragraph numbers are visible, headings may be too unwieldy to cite in full. Instead, use a short title enclosed in quotation marks for the parenthetical citation: ---"Empirical studies have found mixed results on the efficacy of labels in educating consumers and changing consumption behavior" (Golan, Kuchler, & Krissof, 2007, "Mandatory Labeling Has Targeted," para. 4).

Ethical Compliance Checklist:

-Have you obtained permission for use of unpublished instruments, procedures, or data that other researchers might consider theirs (proprietary)? -Have you properly cited other published work presented in portions of your manuscript? -Are you prepared to answer questions about institutional review of your study or studies? -Are you prepared to answer editorial questions about the informed consent and debriefing procedures you used? -If your study involved animal subjects, are you prepared to answer editorial questions about humane care and use of animals in research? -Have all authors reviewed the manuscript and agreed on responsibility for its content? -Have you adequately protected the confidentiality of research participants, clients-patients, organizations, third parties, or others who were the source of information presented in this manuscript? -Have all authors agreed to the order of authorship? -Have you obtained permission for use of any copyrighted material you have included?

Authors With the Same Surname:

-If a reference list includes publications by two or more primary authors with the same surname, include the first author's initials in all text citations, even if the year of publication differs. Initials help the reader to avoid confusion within the text and to locate the entry in the list of references (see section 6.25 for the order of appearance in the reference list). -References: --Light, I. (2006). Deflecting immigration: Networks, markets, and regulation in Los Angeles. New York, NY: Russell Sage Foundation. --Light, M. A., & Light, I. H. (2008). The geographic expansion of Mexican immigration in the United States and its implications for local law enforcement. Law Enforcement Executive Forum Journal, 8, 73-82. -Text Cites: --Among studies, we review M. A. Light and Light (2008) and I. Light (2006).

Two or More Works Within the Same Parentheses:

-Order the citations of two or more works within the same parentheses alphabetically in the same order in which they appear in the reference list (including citations that would otherwise shorten to et al.). -Arrange two or more works by the same authors (in the same order) by year of publication. Place in-press citations last. Give the authors' surnames once; for each subsequent work, give only the date. ---Training materials are available (Department of Veterans Affairs, 2001, 2003) ---Past research (Gogel, 1990, 2006, in press) -Identify works by the same author (or by the same two or more authors in the same order) with the same publication date by the suffixes a, b, c, and so forth, after the year; repeat the year. The suffixes are assigned in the reference list, where these kinds of references are ordered alphabetically by title (of the article, chapter, or complete work). ---Several studies (Derryberry & Reed, 2005a, 2005b, in press-a; Rothbart, 2003a, 2003b) List two or more works by different authors who are cited within the same parentheses in alphabetical order by the first author's surname. Separate the citations with semicolons. Several studies (Miller, 1999; Shafranske & Mahoney, 1998) -Exception: You may separate a major citation from other citations within parentheses by inserting a phrase, such as see also, before the first of the remaining citations, which should be in alphabetical order: --(Minor, 2001; see also Adams, 1999; Storandt, 2007)

Citing References in Text:

-References in APA publications are cited in text with an author-date citation system and are listed alphabetically in the reference list. This style of citation briefly identifies the source for readers and enables them to locate the source of information in the alphabetical reference list at the end of the article. Each reference cited in text must appear in the reference list, and each entry in the reference list must be cited in text. Make certain that each source referenced appears in both places and that the text citation and reference list entry are identical in spelling of author names and year. -However, two kinds of material are cited only in the text: references to classical works such as the Bible and the Qur'an, whose sections are standardized across editions, and references to personal communications (see sections 6.18 and 6.20). References in a meta-analysis are not cited in text unless they are also mentioned in the text (see section 6.26)

One Work by One Author:

-The author-date method of citation requires that the surname of the author (do not include suffixes such as Jr.) and the year of publication be inserted in the text at the appropriate point: --Kessler (2003) found that among epidemiological samples Early onset results in a more persistent and severe course (Kessler, 2003). -If the name of the author appears as part of the narrative, as in the first example, cite only the year of publication in parentheses. Otherwise, place both the name and the year, separated by a comma, in parentheses (as in the second example). Even if the reference includes month and year, include only the year in the text citation. In the rare case in which both the year and the author are given as part of the textual discussion, do not add parenthetical information: -In 2003, Kessler's study of epidemiological samples showed that Within a paragraph, when the name of the author is part of the narrative (as in the first example above), you need not include the year in subsequent nonparenthetical references to a study as long as the study cannot be confused with other studies cited in the article. Do include the year in all parenthetical citations: Among epidemiological samples, Kessler (2003) found that early onset social anxiety disorder results in a more potent and severe course. Kessler also found. . . . The study also showed that there was a high rate of comorbidity with alcohol abuse or dependence and major depression (Kessler, 2003). -However, when both the name and the year are in parentheses (as in the second example above), include the year in subsequent citations within the paragraph: Early onset results in a more persistent and severe course (Kessler, 2003). Kessler (2003) also found. . . .

Works With No Identified Author or With an Anonymous Author:

-When a work has no identified author, cite in text the first few words of the reference list entry (usually the title) and the year. Use double quotation marks around the title of an article, a chapter, or a web page and italicize the title of a periodical, a book, a brochure, or a report: -on free care ("Study Finds," 2007) the book College Bound Seniors (2008) -Treat references to legal materials like references to works with no author; that is, in text, cite materials such as court cases, statutes, and legislation by the first few words of the reference and the year (see Appendix 7.1 for the format of text citations and references for legal materials). -When a work's author is designated as "Anonymous," cite in text the word Anonymous followed by a comma and the date: (Anonymous, 1998) -In the reference list, an anonymous work is alphabetized by the word Anonymous

One Work by Multiple Authors:

-When a work has two authors, cite both names every time the reference occurs in text. When a work has three, four, or five authors, cite all authors the first time the reference occurs; in subsequent citations, include only the surname of the first author followed by et al. (not italicized and with a period after al) and the year if it is the first citation of the reference within a paragraph. --Kisangau, Lyaruu, Hosea, and Joseph (2007) found [Use as first citation in text.] ---Kisangau et al. (2007) found [Use as subsequent first citation per paragraph thereafter.] ---Kisangau et al. found [Omit year from subsequent citations after first nonparenthetical citation within a paragraph. Include the year in subsequent citations if first citation within a paragraph is parenthetical. See section 6.11.] -Exception: If two references of more than three surnames with the same year shorten to the same form (e.g., both Ireys, Chernoff, DeVet, & Kim, 2001, and Ireys, Chernoff, Stein, DeVet, & Silver, 2001, shorten to Ireys et al., 2001), cite the surnames of the first authors and of as many of the subsequent authors as necessary to distinguish the two references, followed by a comma and et al. ---Ireys, Chernoff, DeVet, and Kim (2001) and Ireys, Chernoff, Stein, et al. (2001) -Precede the final name in a multiple-author citation in running text by the word and. In parenthetical material, in tables and captions, and in the reference list, join the names by an ampersand (&): --as Kurtines and Szapocznik (2003) demonstrated --as has been shown (Jöreskog & Sörbom, 2007) -When a work has six or more authors, cite only the surname of the first author followed by et al. (not italicized and with a period after al) and the year for the first and subsequent citations. (See section 6.27 and Example 2 in Chapter 7 for how to cite works with more than six authors in the reference list.) If two references with six or more authors shorten to the same form, cite the surnames of the first authors and of as many of the subsequent authors as necessary to distinguish the two references, followed by a comma and et al. For example, suppose you have entries for the following references: --Kosslyn, Koenig, Barrett, Cave, Tang, and Gabrieli (1996) --Kosslyn, Koenig, Gabrieli, Tang, Marsolek, and Daly (1996) -In text you would cite them, respectively, as ---Kosslyn, Koenig, Barrett, et al. (1996) and Kosslyn, Koenig, Gabrieli, et al. (1996).

Arabic numerals:

Although some volume numbers of books and journals are given in Roman numerals, APA journals use Arabic numerals (e.g., Vol. 3, not Vol. III) because they use less space and are easier to comprehend than Roman numerals. -A Roman numeral that is part of a title should remain Roman (e.g., Attention and Performance XIII).

Plagiarism:

As stated in Chapter 1, "Authors do not present the work of another as if it were their own work" (p. 16). -Whether paraphrasing, quoting an author directly, or describing an idea that influenced your work, you must credit the source. -To avoid charges of plagiarism, take careful notes as you research to keep track of your sources and cite those sources according to the guidelines presented in this chapter (see also section 1.10).

Construction of an Accurate and Complete Reference List:

Because one purpose of listing references is to enable readers to retrieve and use the sources, reference data must be correct and complete. Each entry usually contains the following elements: author, year of publication, title, and publishing data—all the information necessary for unique identification and library search. The best way to ensure that information is accurate and complete is to check each reference carefully against the original publication. Give special attention to spelling of proper names and of words in foreign languages, including accents or other special marks, and to completeness of journal titles, years, volume and issue numbers, page numbers, and electronic retrieval data. Authors are responsible for all information in their reference lists. Accurately prepared references help establish your credibility as a careful researcher.

Consistency:

Consistency in reference style is important, especially in light of evolving technologies in database indexing, such as automatic indexing by database crawlers. These computer programs use algorithms to capture data from primary articles as well as from the article reference list. If reference elements are out of order or incomplete, the algorithm may not recognize them, lowering the likelihood that the reference will be captured for indexing. With this in mind, follow the general formats for placement of data and use the electronic reference guidelines detailed in this chapter to decide which data are necessary to allow readers to access the sources you used.

Accuracy of Quotations:

Direct quotations must be accurate. Except as noted here and in sections 6.07 and 6.08, the quotation must follow the wording, spelling, and interior punctuation of the original source, even if the source is incorrect. -If any incorrect spelling, punctuation, or grammar in the source might confuse readers, insert the word sic, italicized and bracketed, immediately after the error in the quotation. (See sections 4.08 and 4.10 regarding the use of brackets in quotations.) Always check the manuscript copy against the source to ensure that there are no discrepancies.

Citations Within Quotations:

Do not omit citations embedded within the original material you are quoting. The works cited need not be included in the list of references (unless you happen to cite them as primary sources elsewhere in your paper). -"In the United States, the American Cancer Society (2007) estimated that about 1 million cases of NMSC and 59,940 cases of melanoma would be diagnosed in 2007, with melanoma resulting in 8,110 deaths" (Miller et al., 2009, p. 209)

Citations in Parenthetical Material:

In a citation that appears in parenthetical text, use commas, not brackets, to set off the date: (see Table 3 of U.S. Department of Labor, 2007, for complete data)

Changes From the Source Requiring Explanation:

Omitting material. Use three spaced ellipsis points (. . .) within a sentence to indicate that you have omitted material from the original source. Use four points to indicate any omission between two sentences. The first point indicates the period at the end of the first sentence quoted, and the three spaced ellipsis points follow. Do not use ellipsis points at the beginning or end of any quotation unless, to prevent misinterpretation, you need to emphasize that the quotation begins or ends in midsentence. Inserting material. Use brackets, not parentheses, to enclose material such as an addition or explanation inserted in a quotation by some person other than the original author (see also the second example in section 4.10). Adding emphasis. If you want to emphasize a word or words in a quotation, italicize the word or words. Immediately after the italicized words, insert within brackets the words emphasis added, that is, [emphasis added] (see section 4.08, second example).

Personal Communications:

Personal communications may be private letters, memos, some electronic communications (e.g., e-mail or messages from nonarchived discussion groups or electronic bulletin boards), personal interviews, telephone conversations, and the like. Because they do not provide recoverable data, personal communications are not included in the reference list. Cite personal communications in text only. Give the initials as well as the surname of the communicator, and provide as exact a date as possible: T. K. Lutes (personal communication, April 18, 2001) (V.-G. Nguyen, personal communication, September 28, 1998) Use your judgment in citing other electronic forms as personal communications; online networks currently provide a casual forum for communicating, and what you cite should have scholarly relevance. Some forms of personal communication are recoverable, and these should be referenced as archival materials. See section 7.10 for templates, descriptions, and examples of archival sources in the reference list.

Direct Quotation of Sources:

Reproduce word for word material directly quoted from another author's work or from your own previously published work, material replicated from a test item, and verbatim instructions to participants. -When quoting, always provide the author, year, and specific page citation or paragraph number for nonpaginated material (see section 6.05) in the text and include a complete reference in the reference list (see Citing References in Text, p. 174, for exceptions to this rule). -If the quotation comprises fewer than 40 words, incorporate it into text and enclose the quotation with double quotation marks. -If the quotation appears in midsentence, end the passage with quotation marks, cite the source in parentheses immediately after the quotation marks, and continue the sentence. Use no other punctuation unless the meaning of the sentence requires such punctuation.

Changes From the Source Requiring No Explanation:

The first letter of the first word in a quotation may be changed to an uppercase or a lowercase letter. The punctuation mark at the end of a sentence may be changed to fit the syntax. Single quotation marks may be changed to double quotation marks and vice versa. Any other changes (e.g., italicizing words for emphasis or omitting words; see section 6.08) must be explicitly indicated.

Groups as Authors:

The names of groups that serve as authors (e.g., corporations, associations, government agencies, and study groups) are usually spelled out each time they appear in a text citation. The names of some group authors are spelled out in the first citation and abbreviated thereafter. In deciding whether to abbreviate the name of a group author, use the general rule that you need to give enough information in the text citation for the reader to locate the entry in the reference list without difficulty. If the name is long and cumbersome and if the abbreviation is familiar or readily understandable, you may abbreviate the name in the second and subsequent citations. If the name is short or if the abbreviation would not be readily understandable, write out the name each time it occurs (see examples in Table 6.1).

Order of References in the Reference List:

The principles for arranging entries in a reference list are described next. You may also find it helpful to look at the reference list in Chapter 2 in the sample manuscript and at reference lists in journals that are published in APA Style.

Reference List:

The reference list at the end of a journal article provides the information necessary to identify and retrieve each source. Choose references judiciously and include only the sources that you used in the research and preparation of the article. APA journals and other journals using APA Style generally require reference lists, not bibliographies.1 APA requires that the reference list be double-spaced and that entries have a hanging indent. Because a reference list includes only references that document the article and provide recoverable data, do not include in the list personal communications, such as letters, memoranda, and informal electronic communications. Instead, cite personal communications only in text (see section 6.20 for format).

Citing Specific Parts of a Source:

To cite a specific part of a source, indicate the page, chapter, figure, table, or equation at the appropriate point in text. Always give page numbers for quotations (see section 6.03). Note that page, but not chapter, is abbreviated in such text citations: (Centers for Disease Control and Prevention, 2005, p. 10) (Shimamura, 1989, Chapter 3)

Secondary Sources:

Use secondary sources sparingly, for instance, when the original work is out of print, unavailable through usual sources, or not available in English. Give the secondary source in the reference list; in text, name the original work and give a citation for the secondary source. For example, if Allport's work is cited in Nicholson and you did not read Allport's work, list the Nicholson reference in the reference list. In the text, use the following citation: -Allport's diary (as cited in Nicholson, 2003).

Classical Works:

When a date of publication is inapplicable, such as for some very old works, cite the year of the translation you used, preceded by trans., or the year of the version you used, followed by version. When you know the original date of publication, include it in the citation. (Aristotle, trans. 1931) James (1890/1983) Reference list entries are not required for major classical works, such as ancient Greek and Roman works or classical religious works; simply identify in the first citation in the text the version you used. Parts of classical works (e.g., books, chapters, verses, lines, cantos) are numbered systematically across all editions, so use these numbers instead of page numbers when referring to specific parts of your source: 1 Cor. 13:1 (Revised Standard Version) (Qur'an 5:3-4)

Paraphrasing Material:

When paraphrasing or referring to an idea contained in another work, you are encouraged to provide a page or paragraph number, especially when it would help an interested reader locate the relevant passage in a long or complex text.

Using the Archival Copy or Version of Record:

When using information and data retrieved online, check to see whether you are citing the appropriate version of your reference source. In-progress and final versions of the same work might coexist on the Internet, which can present challenges in determining which version is most current and most authoritative. In most cases, it is best to cite the archival version or version of record, which has been peer-reviewed and may provide additional links to online supplemental material. If the most current version available was an advance release version at the time that you originally cited it, recheck the source and update its publication status as close as possible to the publication date of your work (see section 6.32).

Self-Plagiarism:

Whereas plagiarism refers to the practice of claiming credit for the words, ideas, and concepts of others, self-plagiarism refers to the practice of presenting one's own previously published work as though it were new. -As noted in Chapter 1, "The core of the new document must constitute an original contribution to knowledge, and only the amount of previously published material necessary to understand that contribution should be included, primarily in the discussion of theory and methodology" (p. 16). -Avoid charges of self-plagiarism by familiarizing yourself with the ethical standards regarding duplicate publication and the legal standards of fair use (see also section 1.10).

Permission to Quote, Reprint, or Adapt:

You may need written permission from the owner of copyrighted work if you include lengthy quotations or if you include reprinted or adapted tables or figures. -Reprinting indicates that the material is reproduced exactly as it appeared originally, without modifications, in the way in which it was intended. -Adaptation refers to the modification of material so that it is suitable for a new purpose (e.g., paraphrasing or presenting an original theory or idea discussed in a long passage in a published article in a new way that suits your study; using part of a table or figure in a new table or figure in your manuscript). -Requirements for obtaining permission to quote copyrighted material vary from one copyright owner to another; for example, APA policy permits authors to use, with some exceptions, a maximum of three figures or tables from a journal article or book chapter, single text extracts of fewer than 400 words, or a series of text extracts that total fewer than 800 words without requesting formal permission from APA. -It is important to check with the publisher or copyright owner regarding specific requirements for permission to quote from or adapt copyrighted material. -It is the author's responsibility to find out whether permission is required from the copyright owner and to obtain it for both print and electronic reuse. APA cannot publish previously copyrighted material that exceeds the copyright holder's determination of "fair use" without permission. -If you must obtain written permission from the copyright owner, append a footnote to the quoted material with a superscript number, and in the footnote acknowledge permission from the owner of the copyright. Format the footnote as shown in Chapter 2, section 2.12.

Regardless of the type of article involved, attention to ethical concerns begins long before?

a manuscript is submitted for publication.

Authors submitting a manuscript to an APA journal are required to submit a form stating their?

compliance with ethical standards for publication as well as a form disclosing any conflicts of interest once a manuscript is accepted.

Abbreviations. Acceptable abbreviations in the reference list for parts of books and other publications include the following:

ed.- edition Rev. ed.- Revised edition 2nd ed.-second edition Ed. (Eds.)-Editor (Editors) Trans.-Translator(s) n.d.-no date p. (pp.)-page (pages) Vol.-Volume (as in Vol. 4) Vols.-Volumes (as in Vols. 1-4) No.-Number Pt.-Part Tech. Rep.-Technical Report Suppl.-Supplement

The number of sources you cite in your work will vary by the?

intent of the article. -For most articles, aim to cite one or two of the most representative sources for each key point. -However, because the intent of a review article is to acquaint readers with all that has been written on a topic, authors of literature reviews typically include a more exhaustive list of citations.

Citation of an article implies that you have?

personally read the cited work. -In addition to crediting the ideas of others that you used to build your thesis, provide documentation for all facts and figures that are not common knowledge.

Scientific knowledge represents the accomplishments of many researchers over time. A critical part of the writing process is helping readers place your contribution in context by citing the ?

researchers who influenced you.

In particular, we urge researchers to review?

the following checklist.

We encourage authors to consult these forms before beginning their research project and at regular intervals throughout the entire research process. Whether or not the work will be submitted to an APA journal, issues related to institutional approval, informed consent, deception in research, and participant protections should be carefully considered while?

the research is in the planning stages and may be the basis of questions for editors or reviewers.

Cite the work of those individuals whose ideas, theories, or research have directly influenced?

your work. -They may provide key background information, support or dispute your thesis, or offer critical definitions and data.