OFFICE OF THE DEAN OF

NATURAL AND AGRICULTURAL SCIENCES

EXTENDED FOUR YEAR

B.Sc PROGRAMME

READING PIECES
SCNS1508
LIFELONG LEARNING NATURAL SCIENCES

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 Table of contents

Item Page
Unit 1: Scientific investigation, process skills and scientific 3
argumentation
Unit 2: Scientific and graphical literacy 47
Unit 3: Lifelong learning skills 90

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 Unit 1
Scientific investigation,
process skills
&
scientific argumentation

Reading pieces 1 - 20

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 READING PIECE 1

Philosophy of Science: Scientific Investigation, Research,

Methodology
By Austin Cline,

What is the Philosophy of Science?:

The Philosophy of Science is concerned with how science operates, what the goals of
science should be, what relationship it should have with the rest of society, the differences
between science and other activities, etc. Everything in science has some relationship with
the Philosophy of Science and is predicated upon some philosophical position, even though
that may be rarely evident. A common disagreement between atheists and theists is whether
science can or should address religious issues; atheists argue that no empirical claims are
closed to science and that everything should be tested scientifically.

Philosophy of Science & Scientific Research:

The Philosophy of Science is divided into two areas of concern: the process of scientific
research & discovery and the fruits of that process — the things we discover and the insights
we gain. The first is concerned with the proper procedure for acquiring knowledge which can
justifiably be called “scientific”; the second, is concerned with the ultimate use and purpose
of that which is discovered. Disagreements between atheists and theists occur more often in
the context of the first rather than the second, but even in the second there can be many
debates — for example, whether stem-cell research should be allowed.

Why Should Atheists Care about the Philosophy of Science?:

There are significant disagreements over the nature and process of scientific research which
involve disputes between atheists and theists. There is a strong movement, for example, to
undermine the methodological naturalism which constitutes a primary basis by which
scientific investigation proceeds. Some Christians see this methodology as antithetical to
their theistic beliefs and a barrier to the introduction of those beliefs into school science
classes. How science should be done and why are vital to the long-term health of science
and its ability to continue providing us with reliable answers about our world.

Philosophy of Science & Philosophy:

Because so much of the Philosophy of Science is concerned with questions about
knowledge and knowledge claims, it is often considered a subfield of Epistemology. The
Philosophy of Science also raises important questions touching upon Ethics (should stem-
cell research be allowed, should experiments be performed on embryos) and Metaphysics
(it raises questions about whether or not and how the very substance of reality can be
understood). It is thus impossible to get involved with the Philosophy of Science without
dealing in some depth with several other branches of philosophy at the same time.

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What is an Atheist Philosophy of Science?:
Since the only thing all atheists all agree on is disbelief in the existence of gods, the only
common point for all atheists' philosophy of science is the absence of any gods and probably
anything supernatural. Most atheists in the West, however, will also tend to agree that
science proceeds best when it is done on the basis of methodological naturalism: the
assumption, for the sake of research, that all phenomena are natural, that all have natural
causes, and that these causes can be studied and understood by natural, scientific
investigations. This is what has made science so successful.

Questions asked in the Philosophy of Science:

Is science based upon faith?
What is the scientific method?
How are new scientific discoveries treated?
Is everything reducible to physics and mathematics?
Is science a force for good or evil?

Important Texts in the Philosophy of Science:

Treatise on Human Nature, by David Hume
Structure of Scientific Revolutions, by Thomas Kuhn
Criticism and the Growth of Knowledge, by Imre Lakatos
The Logic of Scientific Discovery, by Karl Popper
Unweaving The Rainbow, by Richard Dawkins

http://atheism.about.com/od/philosophybranches/p/Science.htm

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 READING PIECE 2

Hypothesis, Model, Theory & Law

By Andrew Zimmerman Jones,

In common usage, the words hypothesis, model, theory, and law have different interpretations and are
at times used without precision, but in science they have very exact meanings.

Hypothesis
Perhaps the most difficult and intriguing step is the development of a specific, testable hypothesis. A
useful hypothesis enables predictions by applying deductive reasoning, often in the form of
mathematical analysis. It is a limited statement regarding the cause and effect in a specific situation,
which can be tested by experimentation and observation or by statistical analysis of the probabilities
from the data obtained. The outcome of the test hypothesis should be currently unknown, so that the
results can provide useful data regarding the validity of the hypothesis.
Sometimes a hypothesis is developed that must wait for new knowledge or technology to be testable.
The concept of atoms was proposed by the ancient Greeks, who had no means of testing it. Centuries
later, when more knowledge became available, the hypothesis gained support and was eventually
proven, though it has had to be amended many times over the year. Atoms are not indivisible, as the
Greeks supposed.

Model
A model is used for situations when it is known that the hypothesis has a limitation on its validity. The
Bohr model of the atom, for example, depicts electrons circling the atomic nucleus in a fashion similar
to planets in the solar system. This model is useful in determining the energies of the quantum states
of the electron in the simple hydrogen atom, but it is by no means represents the true nature of the
atom.

Theory & Law

A scientific theory or law represents a hypothesis (or group of related hypotheses) which has been
confirmed through repeated testing, almost always conducted over a span of many years. Generally, a
law uses a handful of fundamental concepts and equations to define the rules governing a set of
phenomena.

Scientific Paradigms
Once a scientific theory is established, it is very hard to get the scientific community to discard it. In
physics, the concept of ether as a medium for light wave transmission ran into serious opposition in
the late 1800s, but it was not disregarded until the early 1900s, when Einstein proposed alternate
explanations for the wave nature of light that did not rely upon a medium for transmission.
The science philosopher Thomas Kuhn developed the term scientific paradigm to explain the working
set of theories under which science operates. He did extensive work on the scientific revolutions that
take place when one paradigm is overturned in favor of a new set of theories. His work suggests that
the very nature of science changes when these paradigms are significantly different. The nature of
physics prior to relativity and quantum mechanics is fundamentally different from that after their
discovery, just as biology prior to Darwin’s Theory of Evolution is fundamentally different from the
biology that followed it. The very nature of the inquiry changes.

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One consequence of the scientific method is to try to maintain consistency in the inquiry when these
revolutions occur and to avoid attempts to overthrow existing paradigms on ideological grounds.

Occam’s Razor
One principle of note in regards to the scientific method is Occam’s Razor (alternately spelled
Ockham's Razor), which is named after the 14th century English logician and Franciscan friar William
of Ockham. Occam did not create the concept - the work of Thomas Aquinas and even Aristotle
referred to some form of it. The name was first attributed to him (to our knowledge) in the 1800s,
indicating that he must have espoused the philosophy enough that his name became associated with
it.
The Razor is often stated in Latin as:
entia non sunt multiplicanda praeter necessitatem

or, translated to English:

entities should not be multiplied beyond necessity

Occam's Razor indicates that the most simple explanation that fits the available data is the one which
is preferable. Assuming that two hypotheses are presented have equal predictive power, the one
which makes the fewest assumptions and hypothetical entities takes precedence. This appeal to
simplicity has been adopted by most of science, and is invoked in this popular quote by Albert
Einstein:

Everything should be made as simple as possible, but not simpler.

It is significant to note that Occam's Razor does not prove that the simpler hypothesis is, indeed, the
true explanation of how nature behaves. Scientific principles should be as simple as possible, but
that's no proof that nature itself is simple.
However, it is generally the case that when a more complex system is at work there is some element
of the evidence which doesn't fit the simpler hypothesis, so Occam's Razor is rarely wrong as it deals
only with hypotheses of purely equal predictive power. The predictive power is more important than the
simplicity.

http://physics.about.com/od/physics101thebasics/a/hypothesis.htm

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 READING PIECE 3

Scientific Hypothesis, Theory, Law Definitions

Learn the Language of Science

By Anne Marie Helmenstine, Ph.D.,

Words have precise meanings in science. For example, 'theory', 'law', and 'hypothesis' don't all mean
the same thing. Outside of science, you might say something is 'just a theory', meaning it's supposition
that may or may not be true. In science, a theory is an explanation that generally is accepted to be
true. Here's a closer look at these important, commonly misused terms.

Hypothesis
A hypothesis is an educated guess, based on observation. Usually, a hypothesis can be supported or
refuted through experimentation or more observation. A hypothesis can be disproven, but not proven
to be true.
Example: If you see no difference in the cleaning ability of various laundry detergents, you might
hypothesize that cleaning effectiveness is not affected by which detergent you use. You can see this
hypothesis can be disproven if a stain is removed by one detergent and not another. On the other
hand, you cannot prove the hypothesis. Even if you never see a difference in the cleanliness of your
clothes after trying a thousand detergents, there might be one you haven't tried that could be different.
Theory
A scientific theory summarizes a hypothesis or group of hypotheses that have been supported with
repeated testing. A theory is valid as long as there is no evidence to dispute it. Therefore, theories can
be disproven. Basically, if evidence accumulates to support a hypothesis, then the hypothesis can
become accepted as a good explanation of a phenomenon. One definition of a theory is to say it's an
accepted hypothesis.
Example: It is known that on June 30, 1908 in Tunguska, Siberia, there was an explosion equivalent to
the detonation of about 15 million tons of TNT. Many hypotheses have been proposed for what caused
the explosion. It is theorized that the explosion was caused by a natural extraterrestrial phenomenon,
and was not caused by man. Is this theory a fact? No. The event is a recorded fact. Is this this theory
generally accepted to be true, based on evidence to-date? Yes. Can this theory be shown to be false
and be discarded? Yes.
Law
A law generalizes a body of observations. At the time it is made, no exceptions have been found to a
law. Scientific laws explain things, but they do not describe them. One way to tell a law and a theory
apart is to ask if the description gives you a means to explain 'why'.
Example: Consider Newton's Law of Gravity. Newton could use this law to predict the behavior of a
dropped object, but he couldn't explain why it happened.
As you can see, there is no 'proof' or absolute 'truth' in science. The closest we get are facts, which
are indisputable observations. Note, however, if you define proof as arriving at a logical conclusion,
based on the evidence, then there is 'proof' in science. I work under the definition that to prove
something implies it can never be wrong, which is different. If you're asked to define hypothesis,
theory, and law, keep in mind the definitions of proof and of these words can vary slightly depending
on the scientific discipline. What is important is to realize they don't all mean the same thing and
cannot be used interchangeably.

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http://chemistry.about.com/od/chemistry101/a/lawtheory.htm

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 READING PIECE 4

What are Hypotheses, Theories, Facts in Science?

Developing Ideas and Explanations in Science

By Austin Cline,

There's a lot of confusion over use of the terms hypothesis, theory and fact in science. We have
popular usage, popular impression of how scientists use the terms, and how the terms actually get
used in science. All three share some things in common, but none match. This confusion is no minor
matter because popular ignorance about how the terms are really used in science makes it easier for
creationists and other religious apologists misrepresent science for their own ideological purposes.

Hypothesis vs. Theory

Popularly, hypothesis and theory are used almost interchangeable to refer to vague or fuzzy ideas
which seem to have a low probability of being true. In many popular and idealistic descriptions of
science, the two are used to refer to the same idea, but in different stages of development. Thus, an
idea is just a "hypothesis" when it is new and relatively untested - in other words, when the probability
of error and correction are high. However, once it has successfully survived repeated testing, has
become more complex, is found to explain a great deal, and has made many interesting predictions, it
achieves the status of "theory."
It makes sense to use terminology to differentiate younger from more established ideas in science, but
such differentiation is difficult to make. How much testing is required to move from hypothesis to
theory? How much complexity is needed to stop being a hypothesis and start being a theory?
Scientists themselves aren't rigorous in their use of the terms. For example, you can readily find
references to the "Steady State Theory" of the universe - it's called a "theory" (even though it has
evidence against it and many consider it disproven) because it has logical structure, is logically
consistent, is testable, etc.
The only consistent differentiation between hypothesis and theory which scientists actually use is that
an idea is a hypothesis when it is being actively tested and investigated, but a theory in other contexts.
It is probably because of this that the confusion described above has developed. While in the process
of testing an idea (now hypothesis), that idea is treated very specifically as a tentative explanation. It
can, then, be easy to conclude that hypothesis always refers to a tentative explanation, whatever the
context.

Scientific Facts
As far as "facts" are concerned, scientists will caution you that even though they will appear to be
using the term in the same way as everyone else, there are background assumptions which are
crucial. When most people refer to a "fact," the are talking about something which is definitely,
absolutely and unquestionably true. For scientists, a fact is something which is assumed to be true, at
least for the purposes of whatever they are doing at the moment, but which might be refuted at some
point.
It is this implicit fallibilism which helps differentiate science from other human endeavors. It is certainly
the case that scientists will act as if something is definitely true and not give much thought to the
possibility that it is wrong - but that doesn't mean that they ignore it completely. This quote from
Stephen Jay Gould illustrates the issue nicely:

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 Moreover, 'fact' doesn't mean 'absolute certainty'; there ain't no such animal in an exciting
and complex world. The final proofs of logic and mathematics flow deductively from stated
premises and achieve certainty only because they are NOT about the empirical world. ...In
science 'fact' can only mean 'confirmed to such a degree that it would be perverse to
withhold provisional consent.' I suppose that apples might start to rise tomorrow, but the
possibility does not merit equal time in physics classrooms.

The key phrase is "provisional consent" - it is accepted as true provisionally, which means only for the
time being. It is accepted as true at this time and for this context because we have every reason to do
so and no reason not to do so. If, however, good reasons to reconsider this position arise, then we
should begin to withdraw our consent.
Note also that Gould introduces another important point: for many scientists, once a theory has been
confirmed and reconfirmed over and over again, we get to the point that it will be treated as a "fact" for
pretty much all contexts and purposes. Scientists may refer to Einstein's Special Theory of Relativity,
but in most contexts Einstein's ideas here are treated as fact - treated as if they are simply true and
accurate descriptions about the world.

Fallibilism in Science
One common feature for facts, theories, and hypotheses in science is that they are all treated as
fallible — the likelihood of error might vary greatly, but they are still regarded as something less than
absolute truth. This is often regarded as a flaw in science, a reason why science can't provide human
what they need — usually in contrast to religion and faith which somehow can allegedly provide
absolute truth.
This is a mistake: the fallibilism of science is precisely what makes it better than the alternatives. By
acknowledging the fallibility of humanity, science always remains open to new information, new
discoveries, and new ideas. The problems in religion can generally be traced back to the fact that they
rely so much on ideas and opinions established centuries or millennia in the past; the success of
science can be traced to the fact that new information forces scientists to revise what they are doing.
Religions don't have hypotheses, theories, or even facts — religions just have dogmas which are
presented as if they were absolute truths regardless of what new information might come along. This
is why religion never created new medical treatments, a radio, an airplane, or anything remotely close.
Science isn't perfect, but scientists know this and that's precisely what makes it so useful, so
successful, and so much better than the alternatives.

http://atheism.about.com/od/philosophyodscience/a/ScienceFacts.htm

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 READING PIECE 5

Scientific Laws, Hypotheses, and

Theories

The Scientific Meaning of the Terms

Lay people often misinterpret the language used by scientists. And for that reason, they
sometimes draw the wrong conclusions as to what the scientific terms mean.
Three such terms that are often used interchangeably are "scientific law," "hypothesis," and
"theory."
In layman’s terms, if something is said to be “just a theory,” it usually means that it is a mere
guess, or is unproved. It might even lack credibility. But in scientific terms, a theory is an
explanation of a phenomenon that is generally accepted as being true because it is based
on large amounts of empirical evidence.
Here is what each of these terms means to a scientist:
Scientific Law: This is a statement of fact meant to describe, in concise terms, an action or
set of actions. It is generally accepted to be true and universal, and can sometimes be
expressed in terms of a single mathematical equation. Scientific laws are similar to
mathematical postulates. They don’t really need any complex external proofs; they are
accepted at face value based upon the fact that they have always been observed to be true.
Specifically, scientific laws must be simple, true, universal, and absolute. They represent the
cornerstone of scientific discovery, because if a law ever did not apply, then all science
based upon that law would collapse.
Some scientific laws, or laws of nature, include the law of gravity, Newton's laws of motion,
the laws of thermodynamics, Boyle's law of gases, the law of conservation of mass and
energy, and Hook’s law of elasticity.
Hypothesis: This is an educated guess based upon observation. It is a rational explanation
of a single event or phenomenon based upon what is observed, but which has not been
proved. Most hypotheses can be supported or refuted by experimentation or continued
observation.
Theory: A theory is what one or more hypotheses become once they have been verified and
accepted to be true. A theory is an explanation of a set of related observations or events
based upon tested hypotheses and verified multiple times by detached groups of
researchers. Unfortunately, even some scientists often use the term "theory" in a more
colloquial sense, when they really mean to say "hypothesis." That makes its true meaning in
science even more confusing to the general public.
In general, both a scientific theory and a scientific law are accepted to be true by the
scientific community as a whole. Both are used to make predictions of events. Both are used
to advance technology.
In fact, some laws, such as the law of gravity, can also be theories when taken more

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generally. The law of gravity is expressed as a single mathematical expression and is
presumed to be true all over the universe and all through time. Without such an assumption,
we can do no science based on gravity's effects. But from the law, we derived the theory of
gravity which describes how gravity works, what causes it, and how it behaves. We also use
that to develop another theory, Einstein's General Theory of Relativity, in which gravity plays
a crucial role. The basic law is intact, but the theory expands it to include various and
complex situations involving space and time.
The biggest difference between a law and a theory is that a theory is much more complex
and dynamic. A law describes a single action, whereas a theory explains an entire group of
related phenomena. And, whereas a law is a postulate that forms the foundation of the
scientific method, a theory is the end result of that same process.
A simple analogy can be made using a slingshot and an automobile.
A scientific law is like a slingshot. A slingshot has but one moving part--the rubber band. If
you put a rock in it and draw it back, the rock will fly out at a predictable speed, depending
upon the distance the band is drawn back.
An automobile has many moving parts, all working in unison to perform the chore of
transporting someone from one point to another point. An automobile is a complex piece of
machinery. Sometimes, improvements are made to one or more component parts. A new set
of spark plugs that are composed of a better alloy that can withstand heat better, for
example, might replace the existing set. But the function of the automobile as a whole
remains unchanged.
A theory is like the automobile. Components of it can be changed or improved upon, without
changing the overall truth of the theory as a whole.
Some scientific theories include the theory of evolution, the theory of relativity, the atomic
theory, and the quantum theory. All of these theories have been tested and verified and are
general accepted by scientists beyond reasonable doubt. Yet scientists continue to tinker
with the component hypotheses of each theory in an attempt to make them more elegant
and concise, or to make them more all-encompassing. Theories can be tweaked, but they
are seldom, if ever, entirely replaced.
A theory is developed only through the scientific method, meaning it is the final result of a
series of rigorous processes. Note that theories do not become laws. Scientific laws must
exist prior to the start of using the scientific method because, as stated earlier, laws are the
foundation for all science. Here is an oversimplified example of the development of a
scientific theory:
Development of a Simple Theory by the Scientific Method:
 Start with an observation that evokes a question: Broth spoils when I leave it out
for a couple of days. Why?
 Using logic and previous knowledge, state a possible ansser, called a
Hypothesis: Tiny organisms floating in the air must fall into the broth and start
reproducing.
 Perform an expierment or Test: After boiling some broth, I divide it into two
containers, one covered and one not covered. I place them on the table for two days
and see if one spoils. Only the uncovered broth spoiled.
 Then publish your findings in a peer-reviewed journal. Publication: "Only broth
that is exposed to the air after two days tended to spoil. The covered specimen did
not."
 Other scientists read about your experiment and try to duplicate it. Verification:
Every scientist who tries your experiment comes up with the same results. So they try

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 other methods to make sure your experiment was measuring what it was supposed
to. Again, they get the same results every time.
 In time, and if experiments continue to support your hypothesis, it becomes a
Theory: Microorganisms from the air cause broth to spoil.

Useful Prediction: If I leave food items open to the air, they will spoil. If I want to keep them
from spoiling, I will keep them covered.
Note, however, that although the prediction is useful, the theory does not absolutely prove
that the next open container of broth will spoil. Thus it is said to be falsifiable. If anyone ever
left a cup of broth open for days and it did not spoil, the theory would have to be modified.
Real scientific theories must be falsifiable. They must be capable of being modified based on
new evidence. So-called "theories" based on religion, such as creationism or intelligent
design are, therefore, not scientific theories. They can never be modified because they don't
depend on new evidence, and they do not follow the scientific method.
Copyright © 2007 - 2012 by Jerry Wilson.

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 READING PIECE 6

Steps of the Scientific Method

Whilst there are always minor variations between different scientific disciplines, they all follow the
same basic path.

General Question

The starting point of most new research is to formulate a general question about an area of research
and begin the process of defining it.
This initial question can be very broad, as the later research, observation and narrowing down will
hone it into a testable hypothesis.
For example, a broad question might ask 'whether fish stocks in the North Atlantic are declining or not',
based upon general observations about smaller yields of fish across the whole area. Reviewing
previous research will allow a general overview and will help to establish a more specialized area.
Unless you have an unlimited budget and huge teams of scientists, it is impossible to research such a
general field and it needs to be pared down. This is the method of trying to sample one small piece of
the whole picture and gradually contribute to the wider question.

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Narrowing Down
The research stage, through a process of elimination, will narrow and focus the research area.
This will take into account budgetary restrictions, time, available technology and practicality, leading to
the proposal of a few realistic hypotheses.
Eventually, the researcher will arrive at one fundamental hypothesis around which the experiment can
be designed.
Designing the Experiment
This stage of the scientific method involves designing the steps that will test and evaluate the
hypothesis, manipulating one or more variables to generate analyzable data.
The experiment should be designed with later statistical tests in mind, by making sure that the
experiment has controls and a large enough sample group to provide statistically valid results.
Observation
This is the midpoint of the steps of the scientific method and involves observing and recording the
results of the research, gathering the findings into raw data.
The observation stage involves looking at what effect the manipulated variables have upon the
subject, and recording the results.
Analysis
The scope of the research begins to broaden again, as statistical analyses are performed on the data,
and it is organized into an understandable form.
The answers given by this step allow the further widening of the research, revealing some trends and
answers to the initial questions.
Conclusions and Publishing
This stage is where, technically, the hypothesis is stated as proved or disproved.
However, the bulk of research is never as clear-cut as that, and so it is necessary to filter the results
and state what happened and why. This stage is where interesting results can be earmarked for
further research and adaptation of the initial hypothesis.
Even if the hypothesis was incorrect, maybe the experiment had a flaw in its design or
implementation. There may be trends that, whilst not statistically significant, lead to further research
and refinement of the process.
The results are usually published and shared with the scientific community, allowing verification of the
findings and allowing others to continue research into other areas.
Cycles
This is not the final stage of the steps of the scientific method, as it generates data and ideas to
recycle into the first stage.
The initial and wider research area can again be addressed, with this research one of the many
individual pieces answering the whole question.
Building up understanding of a large area of research, by gradually building up a picture, is the true
path of scientific advancement. One great example is to look at the work of J J Thomson, who
gradually inched towards his ultimate answer.

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 READING PIECE 7

Research Variables

The research variables, of any scientific experiment or research process, are factors that can be
manipulated and measured.

Any factor that can take on different values is a scientific variable and influences the outcome of
experimental research.
Most scientific experiments measure quantifiable factors, such as time or weight, but this is not
essential for a component to be classed as a variable.
Gender, color and country are all perfectly acceptable variables, because they are inherently
changeable.
As an example, most of us have filled in surveys where a researcher asks questions and asks you to
rate answers. These responses generally have a numerical range, from ‘1 - Strongly Agree’ through to
‘5 - Strongly Disagree’. This type of measurement allows opinions to be statistically analyzed and
evaluated.

Dependent and Independent Variables

The key to designing any experiment is to look at what research variables could affect the outcome.
There are many types of variable but the most important, for the vast majority of research methods,
are the independent and dependent variables.
A researcher must determine which variable needs to be manipulated to generate quantifiable results.
The independent variable is the core of the experiment and is isolated and manipulated by the
researcher. The dependent variable is the measurable outcome of this manipulation, the results of the
experimental design. For many physical experiments, isolating the independent variable and
measuring the dependent is generally easy.
If you designed an experiment to determine how quickly a cup of coffee cools, the manipulated
independent variable is time and the dependent measured variable is temperature.
In other fields of science, the variables are often more difficult to determine and an experiment needs
a robust design. Operationalization is a useful tool to measure fuzzy concepts which do not have one
obvious variable.

The Difficulty of Isolating Variables

In biology, social science and geography, for example, isolating a single independent variable is
more difficult and any experimental design must consider this.
For example, in a social research setting, you might wish to compare the effect of different foods upon
hyperactivity in children. The initial research and inductive reasoning leads you to postulate that
certain foods and additives are a contributor to increased hyperactivity. You decide to create a
hypothesis and design an experiment, to establish if there is solid evidence behind the claim.

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The type of food is an independent variable, as is the amount eaten, the period of time and the gender
and age of the child. All of these factors must be accounted for during the experimental design stage.
Randomization and controls are generally used to ensure that only one independent variable is
manipulated.
To eradicate some of these research variables and isolate the process, it is essential to use various
scientific measurements to nullify or negate them.
For example, if you wanted to isolate the different types of food as the manipulated variable, you
should use children of the same age and gender.
The test groups should eat the same amount of the food at the same times and the children should be
randomly assigned to groups. This will minimize the physiological differences between children. A
control group, acting as a buffer against unknown research variables, might involve some children
eating a food type with no known links to hyperactivity.
In this experiment, the dependent variable is the level of hyperactivity, with the resulting statistical
tests easily highlighting any correlation. Depending upon the results, you could try to measure a
different variable, such as gender, in a follow up experiment.

Converting Research Variables Into Constants

Ensuring that certain research variables are controlled increases the reliability and validity of the
experiment, by ensuring that other causal effects are eliminated. This safeguard makes it easier for
other researchers to repeat the experiment and comprehensively test the results.
What you are trying to do, in your scientific design, is to change most of the variables into constants,
isolating the independent variable. Any scientific research does contain an element of compromise
and inbuilt error, but eliminating other variables will ensure that the results are robust and valid.

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Independent Variable
The independent variable, also known as the manipulated variable, lies at the heart of any quantitative
experimental design.

This is the factor manipulated by the researcher, and it produces one or more results, known as
dependent variables. There are often not more than one or two independent variables tested in an
experiment, otherwise it is difficult to determine the influence of each upon the final results.
There may be more than several dependent variables, because manipulating the independent can
influence many different things.
For example, an experiment to test the effects of a certain fertilizer, upon plant growth, could measure
height, number of fruits and the average weight of the fruit produced. All of these are valid analyzable
factors, arising from the manipulation of one independent variable, the amount of fertilizer.

Potential Complexities of the Independent Variable

The term independent variable is often a source of confusion; many people assume that the name
means that the variable is independent of any manipulation.
The name arises because the variable is isolated from any other factor, allowing experimental
manipulation to establish analyzable results.
Some research papers appear to give results manipulating more than one experimental variable, but
this is usually a false impression.
Each manipulated variable is likely to be an experiment in itself, one area where the words
'experiment' and 'research' differ. It is simply more convenient for the researcher to bundle them into
one paper, and discuss the overall results.
The botanical researcher above might also study the effects of temperature, or the amount of water on
growth, but these must be performed as discrete experiments, with only the conclusion and discussion
amalgamated at the end.

Independent Variables - Examples

As an example of an experiment with easily defined experimental variables, Mendel's famous Pea
Plant Experiment is a good choice.
The Austrian monk cross-pollinated pea plants, trying to establish which characteristics were passed
down through the generations. In this case, the inheritable characteristic of the parent plant was the
independent variable. For example, when plants with green seedpods were crossed with plants with
yellow seedpods, pod color was the independent variable.
In the Bandura Bobo Doll experiment, whether the children were exposed to an aggressive adult, or
to a passive adult, was the independent variable.
This experiment is a prime example of how the concept of experimental variables can become a little
complex. He also studied the differences between boys and girls, with gender as an independent
variable. Surely, this is breaking the rules of only having one manipulated variable!
In fact, this is a prime example of performing multiple experiments at the same time. If you study
carefully the structure of the research design, you will see that the Bobo Doll Experiment should
have been called the Bobo Doll Experiments.
It was actually four experiments, each with their own hypothesis and variables, running concurrently.
It would have been expensive, and possibly unethical, to test the children four times and, if the same

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children were used each time, their behavior may have changed with repetition.
Careful design allowed Bandura to test different hypotheses as part of the same research.

Dependent Variable
In any true experiment, a researcher manipulates an independent variable, to influence a dependent
variable, or variables.

A well-designed experiment normally incorporate one or two independent variables, with every
other possible factor eliminated, or controlled. There may be more than two dependent variables in
any experiment.
For example, a researcher might wish to establish the effect of temperature on the rate of plant
growth; temperature is the independent variable. They could regard growth as height, weight, number
of fruits produced, or all of these. A whole range of dependent variables arises from one independent
variable.
In any experimental design, the researcher must determine that there is a definite causal
link between the independent and dependent variable.
This reduces the risk of ‘correlation and causation’ errors. Controlled variables are used to reduce
the possibility of any other factor influencing changes in the dependent variable, known
as confounding variables.
In the above example, the plants must all be given the same amount of water, or this factor could
obscure any link between temperature and growth.
The relationship between the independent variable and dependent variable is the basis of
most statistical tests, which establish whether there is a real correlation between the two.
The results of these tests allow the researcher to accept or reject the null hypothesis, and draw
conclusions.

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 READING PIECE 8
The Scientific Method Of Problem Solving
The Basic Steps:
1. State the Problem - A problem can't be solved if it
isn't understood.

2. Form a Hypothesis - This is a possible solution to

the problem formed after gathering information
about the problem. The term "research" is properly
applied here.

3. Test the Hypothesis - An experiment is performed

to determine if the hypothesis solves the problem or
not. Experiments are done to gather data. It is very important that good observations and
records are made during an experiment.

4. Collect the Data - This is where you record your observations, measurements, or information
from experiment.

5. Analyze the Data - Just what does all that data indicate about answering the problem you are
solving?

6. Draw Conclusions - After examining the data from the experiment, conclusions can be drawn.
In it's simplest form, the conclusion will be "yes" the hypothesis was correct, or "no" the
hypothesis was not correct.

If the hypothesis is proven to be incorrect, you must find out what was wrong with it. This might lead to
the formation of a hypothesis about the hypothesis!
Scientific Theory - A logical explanation of observed events.
Scientific Law - A theory that has been tested and widely accepted as true.
Controlled Experiment:
 Variable - The factor being tested in an experiment.
 Control - A part of the experiment without the variable.
This part of the experiment is used as a comparison.
 Data - Observations from the experiment.

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 READING PIECE 9

Scientific Method
By Laura Klappenbach,

Definition: The scientific method is a series of steps scientists take to acquire, test, and describe the
natural world.

Step 1: Ask questions in the form of a hypothesis

Zoological research centers around topics such as how animals develop, reproduce, behave, interact,
evolve, and influence their environment. To learn about these subject areas, a scientist poses a
question in the form of a hypothesis—a carefully-constructed, working explanation of a natural
process.
Step 2: Look for patterns in observations
On its simplest level, zoological research centers around topics such as how animals develop,
reproduce, behave, interact, evolve, and influence their environment. To learn about these subject
areas, a scientist poses a question in the form of a hypothesis--a carefully-constructed, working
explanation of a natural process.
Step 3: Formulate a theory
With observations of the natural world in hand, a scientist then adjusts his/her hypothesis and plans
future experiments. After repeated experimentation and adjustment, a set of hypotheses emerge as a
theory--a more formal set of assumptions put forth to explain observations and natural phenomena.
Step 4: Design experiments to test theory
Theory, even after repeated testing, remains subject to continued refinement, adjustment, and
revision. Without such scrutiny, scientific advancement would falter. The heart of scientific study lies
with our willingness to adapt our understanding to our best knowledge of the world around us.

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 READING PIECE 10

Scientific Method
By Regina Bailey

Scientific Method:

The scientific method is a series of steps followed by scientific investigators to answer specific
questions about the natural world. It involves making observations, formulating a hypothesis, and
conducting scientific experiments. Scientific inquiry starts with an observation followed by the
formulation of a question about what has been observed. The steps of the scientific method are as
follows:
 Observation
 Question
 Hypothesis
 Experiment
 Results
 Conclusion

Observation:
The first step of the scientific method involves making an observation about something that interests
you. This is very important if you are doing a science project because you want your project to be
focused on something that will hold your attention. Your observation can be on anything from plant
movement to animal behavior, as long as it is something you really want to know more about.

Question:
Once you've made your observation, you must formulate a question about what you have observed.
Your question should tell what it is that you are trying to discover or accomplish in your experiment.
When stating your question you should be as specific as possible.

Hypothesis:
The hypothesis is a key component of the scientific process. A hypothesis is an educated guess about
the answer to your specific question. It is important to note that a hypothesis must be testable. That
means that you should be able to test your hypothesis through experimentation.

Experiment:
Once you've developed a hypothesis, you must design and conduct an experiment that will test it. You
should develop a procedure that states very clearly how you plan to conduct your experiment. It is
important that you include and identify a controlled variable in your procedure. Controls allow us to test
a single variable in an experiment because they are unchanged. We can then make observations and
comparisons between our controls and our independent variables (things that change in the
experiment) to develop an accurate conclusion.

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Results:
The results are where you report what happened in the experiment. That includes detailing all
observations and data made during your experiment. Most people find it easier to visualize the data by
charting or graphing the information.

Conclusion:
The final step of the scientific method is the conclusion. This is where all of the results from the
experiment are analyzed and a determination is reached about the hypothesis. Did the experiment
support or reject your hypothesis? If your hypothesis was supported, great. If not, repeat the
experiment or think of ways to improve your procedure.

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 READING PIECE 11

Introduction to the Scientific Method

Overview of the Scientific Method

By Andrew Zimmerman Jones

The scientific method is a set of techniques used by the scientific community to investigate natural
phenomena by providing an objective framework in which to make scientific inquiry and analyze the
data to reach a conclusion about that inquiry.

Steps of the Scientific Method

The goals of the scientific method are uniform, but the method itself is not necessarily formalized
among all branches of science. It is most generally expressed as a series of discrete steps, although
the exact number and nature of the steps varies depending upon the source. The scientific method is
not a recipe, but rather an ongoing cycle that is meant to be applied with intelligence, imagination, and
creativity. Frequently, some of these steps will take place simultaneously, in a different order, or be
repeated as the experiment is refined, but this is the most general and intuitive sequence. As
expressed by Shawn Lawrence Otto in Fool Me Twice: Fighting the Assault on Science in America:
There is no one "scientific method"; rather, there is a collection of strategies that have
proven effective in answering our questions about how things in nature really work.

Depending on the source, the exact steps will be described somewhat differently, but the following are
a good general guideline for how the scientific method is often applied.
1. Ask a question – determine a natural phenomenon (or group of phenomena) that you are
curious about and would like to explain or learn more about, then ask a specific question to
focus your inquiry.
2. Research the topic – this step involves learning as much about the phenomenon as you can,
including by studying the previous studies of others in the area.
3. Formulate a hypothesis – using the knowledge you have gained, formulate a hypothesis
about a cause or effect of the phenomenon, or the relationship of the phenomenon to some
other phenomenon.
4. Test the hypothesis – plan and carry out a procedure for testing the hypothesis (an
experiment) by gathering data.
5. Analyze the data – use proper mathematical analysis to see if the results of the experiment
support or refute the hypothesis.
If the data does not support the hypothesis, it must be rejected or modified and re-tested. Frequently,
the results of the experiment are compiled in the form of a lab report (for typical classroom work) or a
paper (in the case of publishable academic research). It is also common for the results of the
experiment to provide an opportunity for more questions about the same phenomenon or related
phenomena, which begins the process of inquiry over again with a new question.

Key Elements of the Scientific Method

The goal of the scientific method is to get results that accurately represent the physical processes
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taking place in the phenomenon. To that end, it emphasizes a number of traits to insure that the results
it gets are valid to the natural world.
 objective – the scientific method intends to remove personal and cultural biases by focusing
on objective testing procedures.
 consistent – the laws of reasoning should be used to make hypotheses that are consistent
with broader, currently known scientific laws; even in rare cases where the hypothesis is that
one of the broader laws is incorrect or incomplete, the hypothesis should be composed to
challenge only one such law at a time.
 observable – the hypothesis presented should allow for experiments with observable and
measurable results.
 pertinent – all steps of the process should be focused on describing and explaining observed
phenomena.
 parsimonious – only a limited number of assumptions and hypothetical entities should be
proposed in a given theory, as stated in Occam's Razor.
 falsifiable – the hypothesis should be something which can be proven incorrect by observable
data within the experiment, or else the experiment is not useful in supporting the hypothesis.
(This aspect was most prominently illuminated by the philosopher of science Karl Popper.)
 reproducible – the test should be able to be reproduced by other observers with trials that
extend indefinitely into the future.
It is useful to keep these traits in mind when developing a hypothesis and testing procedure.

Conclusion
Hopefully this introduction to the scientific method has provided you with an idea of the significant
effort that scientists go to in order to make sure their work is free from bias, inconsistencies, and
unnecessary complications, as well as the paramount feat of creating a theoretical structure that
accurately describes the natural world. When doing your own work in physics, it is useful to reflect
regularly on the ways in which that work exemplifies the principles of the scientific method.

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 READING PIECE 12
Scientific method (Science clarified)
The term scientific method refers in general to the procedures that scientists follow in obtaining true
statements about the natural world. As it happens, scientists actually use all manner of procedures to
obtain the information they want. Some of those procedures are not very objective, not very formal,
and not very systematic. Still, the "ground rules" by which science tends to operate are distinctive and
very different from those by which "true statements" are produced in philosophy, the arts, history,
ethics, and other fields of human endeavor.

"The scientific method"

Many science textbooks begin with an exposition of a system of thought that, at least in the ideal,
describes the way scientists work. The system is actually a cyclical process, one in which it is
impossible to say where the whole process begins.
Certainly one element in the process is the recognition of a problem or the desire to know something
specific about the natural world. For example, one might wonder whether an airplane flies better with
narrow wings or broad wings. In most cases, a scientist poses a question such as this in terms of a
hypothesis. A hypothesis is an idea phrased in the form of a statement that can be tested by
observation and/or experimentation. In this example, the hypothesis might be: "Airplanes with broad
wings fly better than airplanes with narrow wings."
The next step in the procedure is to devise ways of testing that hypothesis. In some cases, one can
simply go out into the real world and collect observations that will confirm or deny the hypothesis. In
most cases, however, a scientist will design one or more experiments to test the hypothesis. An
experiment is really nothing more than a set of procedures designed to test a given hypothesis.
Experiments are generally more productive than observations in the natural world because they deal
with only one specific aspect of the whole world. Confusing factors can be intentionally omitted in
order to concentrate on the one factor in which the scientist is interested.
In the case of airplane wings, one approach would be to design a series of airplanes, each with wings
somewhat broader than the others. Each plane could be flown, and the efficiency of its flight noted.

Words to Know
Experiment: A controlled observation.
Fact: A statement that is widely accepted as being true by scientists.
Hypothesis: An idea phrased in the form of a statement that can be tested by observation and/or
experiment.
Scientific law: A statement that brings together and shows the relationship of many scientific facts.
Scientific theory: A statement that brings together and shows the relationship of many scientific laws;
also, but less commonly, another term for hypothesis.
The results of observations and/or experiments permit scientists to draw conclusions about the
hypothesis. In our example, a scientist might discover that airplanes with broad wings fly better or not
as well as airplanes with narrow wings. Or the results of experimentation may indicate that flying
efficiency seems unconnected to wing width.
Imagine that a scientist, however, discovers that every broad-winged airplane flies better than every
narrow-winged plane tested. Can it then be said that the original hypothesis has been confirmed?
Probably not. One critical aspect of science is that no hypothesis is regarded as true until it has been
tested and re-tested many times. If two dozen scientists all perform the same experiment and get the
same result, then confidence in the truth of that result grows. After a long period of testing, a

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hypothesis may begin to take on the form of a fact. A fact is a statement that is widely accepted as
being true by scientists.
Interestingly enough, it is never possible in science to prove a statement true for all time. The best one
can hope for is that a fact is not proved wrong. That is, maybe the one-hundred-first time a
fact/hypothesis is tested, it is found to be incorrect. That single instance does not necessarily prove
the fact/hypothesis wrong, but it does raise questions. If additional "false" results are obtained, the
hypothesis is likely to be rejected as "not true."
The cycle of the scientific method is completed when a new fact has been learned. In most cases, that
new fact will suggest new questions, new hypotheses in the minds of scientists. For example, if broad-
winged airplanes do fly more efficiently than narrow-wing airplanes, then what is the effect of making
the wings fatter or thinner? As soon as that question (or one like it) occurs to someone, the cycle of
hypothesizing, testing, and concluding begins all over again.

Laws and theories

Obviously, untold numbers of facts exist in science. The process of learning a new science is, to a
large extent, learning the facts that make up that science.
But individual facts in and of themselves are not very useful in science. Their greater importance lies in
the variety of ways in which they can be combined to make more general statements about nature.
For example, it might be possible to make a factual statement about the boiling point of ethyl alcohol,
a second factual statement about the boiling point of propyl alcohol, a third factual statement about the
boiling point of butyl alcohol, and so on. But what is of greater interest to scientists is some general
statement about the boiling points of all alcohols in general. General statements that bring together
many, many related facts are known as scientific laws.
Scientific laws, like individual facts, often suggest new questions, new hypotheses, new experiments,
and, eventually, new facts. These facts tend to make scientists more confident about the truth of a law
or, in some cases, raise questions as to the law's correctness.
One more step of generalization exists in science: scientific theories. A great deal of confusion centers
on the word "theory" in science. Most people use the word theory to suggest a guess about
something: "I have a theory as to who stole that money." Scientists sometimes use the word in the
same sense.
But theory can mean something quite different in science. A scientific theory is a system of
generalization even larger and more comprehensive than a scientific law. Just as a law is a collection
of facts, so a scientific theory is a collection of scientific laws.
This definition explains the misunderstanding that some nonscientists have about the use of the word
theory. Some people may believe that the theory of evolution is only a guess, as the term is used in
everyday life. But the word theory is not used in that sense here. The theory of evolution refers to a
massive system that brings together many, many laws that describe the way organisms change over
time. Biologists are not guessing that these laws are true; they are supremely confident that they are,
in fact, true.

What science can and cannot do

The scientific method has been a powerful tool for learning a great deal about the physical world, but it
is not a system for answering all questions. The only questions science can attack are those that can
be answered by using the five human senses in one way or another. For example, suppose that
someone hypothesizes that the reason earthquakes occur is that tiny invisible demons living under
Earth's surface cause those events. That hypothesis is, by definition, untestable by scientific methods.
If the demons are invisible, there is no way for scientists to observe them. One might look for indirect
evidence of the demons' existence, but the problem is probably beyond scientific investigation.

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It is for this reason that topics such as love, hope, courage, ambition, patriotism, and other emotions
and feelings are probably beyond the scope of scientific research. That statement does not mean
these topics are not worth studying—just that the scientific method is not likely to produce useful
results.
Another question that the scientific method cannot solve is "why?" That statement may startle readers
because most people think that explaining why things happen is at the core of scientific research.
But saying why something happens suggests that we know what is in the mind of someone or
something that makes events occur as they do. A long time ago, scientists decided that such
questions could not be part of the scientific enterprise. We can describe how the Sun rises, how
objects fall, how baseballs travel through the air, and so on. But science will never be able to explain
why these things occur as they do.

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 READING PIECE 13

What is a Real Hypothesis?

A hypothesis is a tentative statement that proposes a possible explanation to some phenomenon or
event. A useful hypothesis is a testable statement which may include a prediction. A hypotheses
should not be confused with a theory. Theories are general explanations based on a large amount of
data. For example, the theory of evolution applies to all living things and is based on wide range of
observations. However, there are many things about evolution that are not fully understood such as
gaps in the fossil record. Many hypotheses have been proposed and tested.

When Are Hypotheses Used?

The key word is testable. That is, you will perform a test of how two variables might be related. This is
when you are doing a real experiment. You are testing variables. Usually, a hypothesis is based on
some previous observation such as noticing that in November many trees undergo color changes in
their leaves and the average daily temperatures are dropping. Are these two events connected? How?
Any laboratory procedure you follow without a hypothesis is really not an experiment. It is just an
exercise or demonstration of what is already known.

How Are Hypotheses Written?

1. Chocolate may cause pimples.
2. Salt in soil may affect plant growth.
3. Plant growth may be affected by the color of the light.
4. Bacterial growth may be affected by temperature.
5. Ultra violet light may cause skin cancer.
6. Temperature may cause leaves to change color.
All of these are examples of hypotheses because they use the tentative word "may.". However, their
form is not particularly useful. Using the word may does not suggest how you would go about proving
it. If these statements had not been written carefully, they may not have even been hypotheses at all.
For example, if we say "Trees will change color when it gets cold." we are making a prediction. Or if
we write, "Ultraviolet light causes skin cancer." could be a conclusion. One way to prevent making
such easy mistakes is to formalize the form of the hypothesis.

Formalized Hypotheses example: If skin cancer is related to ultraviolet light , then people with a
high exposure to uv light will have a higher frequency of skin cancer.
If leaf color change is related to temperature , then exposing plants to low temperatures will result in
changes in leaf color.
Notice that these statements contain the words , if and then. They are necessary in a formalized
hypothesis. But not all if-then statements are hypotheses. For example, "If I play the lottery, then I will
get rich." This is a simple prediction. In a formalized hypothesis, a tentative relationship is stated. For
example, if the frequency of winning is related to frequency of buying lottery tickets. "Then" is followed
by a prediction of what will happen if you increase or decrease the frequency of buying lottery tickets.
If you always ask yourself that if one thing is related to another, then you should be able to test it.
Formalized hypotheses contain two variables. One is "independent" and the other is "dependent." The
independent variable is the one you, the "scientist" control and the dependent variable is the one that
you observe and/or measure the results. In the statements above the dependent variable is blue and
the independent variable is red.

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The ultimate value of a formalized hypothesis is it forces us to think about what results we should look
for in an experiment.
Rewrite the first four hypotheses using the formalized style shown above. Single underline the
dependent variable and double underline the independent variable in the If clause of each hypothesis.
When you are done, write one more original hypothesis of your own using this form.
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
________________________________________________________________________________

Anecdotal Information: This is a writing lesson to lay the foundation for using hypotheses in lab
activities throughout the course. The lesson is guided practice and my approach to it is "guided
lecture." In this technique, I use randomly selected cards with student names on them to answer
questions about what they have read up to the section called "Formalized Hypotheses." Questions I
ask include the meanings of key vocabulary, give examples, and the meaning of selected passages. In
this way I check their understanding as well as develop the foundation for the why and the how of
writing formalized hypotheses. Students then examine and discuss the models, after which I prompt
them to rewrite the first four hypotheses using the model as a guide.
I cruise the classroom and check every student for progress and provide guidance and clarification for
those who struggle. The final product is an original student hypothesis of their choosing. About two-
thirds of the students get it the first time. The others struggle with it sometimes well into the first
several labs in which hypotheses are featured. The most common problem is that students write a
simple statement that is a cause and effect relationship that makes a prediction (example: "If I eat
chocolate, then I will get pimples."). They have to be reminded that what makes a hypothetical
statement is the idea that two things might be, but not necessarily related. In other words they failed to
state a proposed relationship before making the prediction. Literally speaking, cause and effect
statements are based on unstated assumptions. In models for scientific research, minimizing
assumptions first and then stating your hypothesis is how variables are controlled. A lot of difficulties in
writing hypotheses can be traced back to the simple lack of writing skill. I don't let this deter me
because students need to learn how to write in all subjects. Hypothesis writing is just one more
contribution to overall literacy.

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 READING PIECE 14

Writing Tips: What is a Hypothesis?

An important step in the thesis writing (or any other investigation) is the creation and use of a
hypothesis. Learn what a hypothesis is and how it will make your work easier.
Hypothesis - the very word conjures notions of complex mathematical formulas, incomprehensible
social science, or medieval torture devices. It's a word that is charged with a distinct negative feel for
most students and thesis writers.
However, to paraphrase your dorky junior high school teacher, "the hypothesis is your friend!"
Let's take a look at what a hypothesis actually is - let's "demystify it".
Any work that revolves around a hypothesis is, by nature and investigation of some sort. It may be a
thesis, a survey, or any number of other investigative type projects.
It isn't an oversimplification to say that any project that involves investigation is in essence a push and
pull between two elements - the problem statement and the hypothesis. (some very simple
investigations that only try to measure variables and have no interest in their interaction my not include
a hypothesis)
Or put another way, a question and answer. (that was easy enough wasn't it??)
Of course a hypothesis in all it's glory is much more complex than that - but in it's most basic nature it
is simply an answer to a question.
OK, let's look at it in more detail.
Any investigation is motivated by a question - what causes poverty? Have global temperatures
increased?
A very beginning investigator will want to simply respond. Let's go out, collect some data, and answer
the question.

However, once you begin to get into an investigation of any depth, you'll find that there are almost in
innumerable number of things to look at. Take poverty. We could investigate the roll of education, the
roll of abuse, the roll of the world economy, racism, sexism, local zoning policy - the list is virtually
infinite.
But the truth is that we probably already have an idea. If we've read up on our subject (and you better
have read up on your subject if you're going to investigate) then you know quite a lot about it and
already have a hunch or intuition about the correct answer.
You think you know, more or less what the answer is.
In other words, you have a hypothesis.
A potential answer to your question, otherwise known as a hypothesis, is a key to helping you
organize your investigation.
If you think that, most likely, a poor educational system is the cause of poverty, then that limits the
amount of territory that you have to cover to figure out if you're right or not.
That's the deep value of working with a hypothesis. It helps you take an almost infinite list of potential
things to study and investigate and reduces them to one set of structured questions. While a lack of a
strict structure may sound liberating, the truth is that in almost any investigation the lack of a strict
structure is a guarantee that you'll sink neck deep in so much information and so many leads to follow
that you are destined to fail.

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The hypothesis is a potential response to the question that your investigation poses, and as such it
presents you with a very nice and clean set of things to investigate - namely those things that will help
you determine if you hypothesis is in fact the correct answer.
And that leads us the real way most investigations work. Even though it sounds contradictory, they do
not try to answer a question straight away. Most worthwhile questions are just to complex to try to
"answer" flat out. Your goal will be to take a potential answer, one that you think is probably correct,
and see if it is correct or not. That will be the key of most investigations - verifying a hypothesis.
Now you should have a clear idea about what a hypothesis is and how it can help you structure an
investigation.
One final tip - make sure that your hypothesis is well defined. As I mentioned, my example of "what
causes poverty" is very open ended. In any investigation we'll want to set limits in space and time, and
define out terms clearly. In this way a very open question like "what causes poverty" can be clarified to
something like "what caused poverty in the American West during the 18th Century?" Just as this
question needs to be clear, the potential answer (hypothesis) must also be clearly defined in order for
it to be an effective tool for investigating.

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 READING PIECE 15

How to Write a Hypothesis

Often, one of the trickiest parts of designing and writing up any research paper is how to write a
hypothesis.
The entire experiment and research revolves around the research hypothesis (H1) and the null
hypothesis (H0), so making a mistake here could ruin the whole design.
Needless to say, it can all be a little intimidating, and many students find this to be the most difficult
stage of the scientific method.
In fact, it is not as difficult as it looks, and if you have followed the steps of the scientific process and
found an area of research and potential research problem, then you may already have a few ideas.
It is just about making sure that you are asking the right questions and wording your hypothesis
statements correctly.

The Three-Step Process

Often, it is still quite difficult to isolate a testable hypothesis after all of the research and study. The
best way is to adopt a three-step hypothesis; this will help you to narrow things down, and is the most
foolproof guide to how to write a hypothesis.
Step one is to think of a general hypothesis, including everything that you have observed and
reviewed during the information gathering stage of any research design. This stage is often called
developing the research problem.

An Example of How to Write a Hypothesis

A worker on a fish-farm notices that his trout seem to have more fish lice in the summer, when the
water levels are low, and wants to find out why. His research leads him to believe that the amount of
oxygen is the reason - fish that are oxygen stressed tend to be more susceptible to disease and
parasites.
He proposes a general hypothesis.
“Water levels affect the amount of lice suffered by rainbow trout.”

This is a good general hypothesis, but it gives no guide to how to design the research or experiment.
The hypothesis must be refined to give a little direction.
“Rainbow trout suffer more lice when water levels are low.”

Now there is some directionality, but the hypothesis is not really testable, so the final stage is to
design an experiment around which research can be designed, a testable hypothesis.
“Rainbow trout suffer more lice in low water conditions because there is less oxygen in the
water.”

This is a testable hypothesis - he has established variables, and by measuring the amount of oxygen
in the water, eliminating other controlled variables, such as temperature, he can see if there is a
correlation against the number of lice on the fish.
This is an example of how a gradual focusing of research helps to define how to write a hypothesis.

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The Next Stage - What to Do With the Hypothesis
Once you have your hypothesis, the next stage is to design the experiment, allowing a statistical
analysis of data, and allowing you to test your hypothesis.
The statistical analysis will allow you to reject either the null or the alternative hypothesis. If the
alternative is rejected, then you need to go back and refine the initial hypothesis or design a
completely new research program.
This is part of the scientific process, striving for greater accuracy and developing ever more refined
hypotheses.

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 READING PIECE 16
Understanding Science: How science really work
The logic of scientific arguments

Taken together, the expectations generated by a scientific idea and the actual observations relevant
to those expectations form what we'll call a scientific argument. This is a bit like an argument in a
court case — a logical description of what we think and why we think it. A scientific argument uses
evidence to make a case for whether a scientific idea is accurate or inaccurate. For example, the idea
that illness in new mothers can be caused by doctors' dirty hands generates the expectation that
illness rates should go down when doctors are required to wash their hands before attending births.
When this test was actually performed in the 1800s, the results matched the expectations, forming a
strong scientific argument in support of the idea — and hand-washing!

Scientific arguments are logical descriptions of a scientific idea and the evidence for or against it.
Sometimes a scientific idea precedes any evidence relevant to it, and other times the evidence helps
inspire the idea.

Though the elements of a scientific argument (scientific

idea, expectations generated by the idea, and relevant
observations) are always related in the same logical way,
in terms of the process of science, those elements may
be assembled in different orders. Sometimes the idea
comes first and then scientists go looking for the
observations that bear on it. Sometimes the observations
are made first, and they suggest a particular idea.
Sometimes the idea and the observations are already out
there, and someone comes along later and figures out
that the two might be related to one another.

Testing ideas with evidence may seem like plain old

common sense — and at its core, it is! — but there are
some subtleties to the process:

 Ideas can be tested in many ways. Some tests are relatively straightforward (e.g., raising
1000 fruit flies and counting how many have red eyes), but some require a lot of time (e.g.,
waiting for the next appearance of Halley's Comet), effort (e.g., painstakingly sorting through
thousands of microfossils), and/or the development of specialized tools (like a particle
accelerator).

 Evidence can reflect on ideas in many different ways.

 There are multiple lines of evidence and many criteria to consider in evaluating an idea.

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  All testing involves making some assumptions.

Despite these details, it's important to remember that, in the end, hypotheses and theories live and
die by whether or not they work — in other words, whether they are useful in explaining data,
generating expectations, providing satisfying explanations, inspiring research questions, answering
questions, and solving problems. Science filters through many ideas and builds on those that work!

Competing ideas: A perfect fit for the evidence

We've seen that evaluating an idea in science is not Scientists usually weigh many lines
always a matter of one key experiment and a definitive of evidence when evaluating an
result. Scientists often consider multiple ideas at once idea.
and test those ideas in many different ways. This process
generates multiple lines of evidence relevant to each
 Scientific knowledge is
idea. For example, two competing ideas about coral atoll provisional. Scientists are
formation (island subsidence vs. formation on debris- willing to reconsider ideas if
topped underwater mountains) were evaluated based on warranted by the evidence.
multiple lines of evidence, including observations of reef  Scientific ideas are likely to
and atoll shapes, island geology, studies of the be accepted when they
distribution of planktonic debris, and reef drilling.
closely explain evidence,
Furthermore, different lines of evidence are assembled
cumulatively over time as different scientists work on the explain many different lines
problem and as new technologies are developed. of evidence, and help clarify
Because of this, the evaluation of scientific ideas is evidence that didn't
provisional. Science is always willing to resurrect or previously make sense.
reconsider an idea if warranted by new evidence.

It's no wonder then that the evaluation of scientific ideas is iterative and depends upon interactions

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within the scientific community. Ideas that are accepted by that community are the best explanations
we have so far for how the natural world works. But what makes one idea better than another? How
do we judge the accuracy of an explanation? The most important factors have to do with evidence —
how well our actual observations fit the expectations generated by the hypothesis or theory. The
better the match, the more likely the hypothesis or theory is accurate.

 Scientists are more likely to trust ideas that more closely explain the actual
observations. For example, the theory of general relativity explains why Mercury's orbit
around the Sun shifts as much as it does with each lap (Mercury is close enough to the Sun
that it passes through the area where space-time is dimpled by the Sun's mass). Newtonian
mechanics, on the other hand, suggests that this aberration in Mercury's orbit should be much
smaller than what we actually observe. So general relativity more closely explains our
observations of Mercury's orbit than does Newtonian mechanics.

Mercury's orbit around the sun shifts a bit with each lap, which can be explained by the theory of
general relativity.

 Scientists are more likely to trust ideas that explain more disparate observations. For
example, many scientists in the 17th and 18th centuries were puzzled by the presence of
marine fossils high in the Alps of Europe. Some tried to explain their presence with a massive
flood, but this didn't address why these fossils were of animals that had gone extinct. Other
scientists suggested that sea level had risen and dropped several times in the past, but had no
explanation for the height of the mountains. However, the theory of plate tectonics helped
explain all these disparate observations (high mountains,
uplifted chunks of the seafloor, and rocks so ancient that
they contained the fossils of long extinct organisms) and
many more, including the locations of volcanoes and
earthquakes, the shapes of the continents, and huge rifts in
the ocean's floor.

 Scientists are more likely to trust ideas that explain

observations that were previously inexplicable,
unknown, or unexpected. For an example, see Rudolph Marcus's story below.

As chemical reactions go, electron transfers might seem

to be minor players: an electron jumps between molecules Rudoph Marcus
without even breaking a chemical bond. Nevertheless,
such reactions are essential to life. Photosynthesis, for
example, depends on passing electrons from one

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 molecule to another to transfer energy from light to
molecules that can be used by a cell. Some of these
reactions proceed at breakneck speeds, and others are
incredibly slow — but why should two reactions, both
involving a single electron transfer, vary in speed?

In the 1950s, Rudolph Marcus and his colleagues developed a simple mathematical explanation for
how the rate of the reaction changes based on the amount of free energy absorbed or released by the
system. The explanation fit well with actual observations that had been made at the time, but it also
generated an unintuitive expectation — that some reactions, which release a lot of energy, should
proceed surprisingly slowly, and should slow down as the energy released increases. It was a bit like
suggesting that for most ski slopes, a steeper incline means faster speeds, but that on the very
steepest slopes, skiers will slide down slowly! The expectation generated by Marcus's idea was
entirely unanticipated, but nevertheless, almost 25 years later, experiments confirmed the surprising
expectation, supporting the idea and winning Marcus the Nobel Prize.

Summing up scientific arguments

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 READING PIECE 17
Scientific arguments are formed by figuring out what we would expect to observe if a particular idea
were true and then checking those expectations against what we actually observe. A match between
expectations and observations lends support to the idea, while a mismatch helps refute the idea. That
is the simple, but powerful, core of a scientific argument. This core applies across the board, whether
we are investigating broad theories or minute hypotheses, whether we are investigating mechanisms
so small we can't observe them with a microscope, so distant we can't see them with a telescope, so
far in the past that no human was there to observe them, or so commonplace that they must be at
work every time an object falls to the ground. While scientific disciplines vary in their focus of study,
they all take this same approach to forming scientific arguments.

Making a Scientific Argument

Developed by William Prothero.

A scientific argument must persuade the reader that the data you present, and your arguments are
strong enough, to support your theory, model, or proposed action. The effective writer will make it easy
for the reader to understand her/his arguments and the data that support them. This means that
figures must be annotated clearly, irrelevant material must be left out, meanings and descriptions must
be precise, and the conclusion must follow from the arguments that are presented.
It turns out that the elements of a scientific argument consist of 6 kinds of sentences. In a broader
context, there will be variations, but if you master this simple method, you will be able to apply this
method in a wide variety of contexts.
You will read the two papers and classify each sentence according to the six choices listed below. The
quality of the presentation of the data and scientific discussion in the two papers varies widely. The
figures have not been included and we will take it as "given" that the figures are of acceptable quality.
For each of the sentences in the two papers, classify according to whether it:
1. Includes an observation, or description of an observation.
2. Names or classifies an observation in terms of geological features.

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 3. Describes a feature that has been observed and clasified, or that the author implies has been
observed and classified.
4. Describes relationships between different ob served and classified features.
5. Describes or explains a model or theory.
6. Describes relationships between and/or observed features that match (or disagree with) model
features.
After you are finished with the classification exercise, which paper do you think presented the most
effective argument? Can you tell which paper is the most effective by the relative numbers of various
classifications of statements?

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 READING PIECE 18

Rhetoric of science

Rhetoric of science is a body of scholarly literature exploring the notion that the practice of science
is a rhetorical activity. It emerged from a number of disciplines during the late twentieth century,
including the disciplines of sociology, history, and philosophy of science, but it is practiced most
fully by rhetoricians in departments of English, speech, and communication.
Rhetoric is best known as a discipline that studies the means and ends of persuasion. Science,
meanwhile, is typically seen as the discovery and recording of knowledge about the natural world. A
key contention of rhetoric of science is that the practice of science is, to varying degrees, persuasive.
The study of science from this viewpoint variously examines modes of inquiry, logic, argumentation,
the ethos of scientific practitioners, the structures of scientific publications, and the character of
scientific discourse and debates.
For instance, scientists must convince their community of scientists that their research is based on
sound scientific method. From a rhetorical point of view, scientific method involves problem-solution
topoi (the materials of discourse) that demonstrate observational and experimental competence
(arrangement or order of discourse or method), and as a means of persuasion, offer explanatory and
predictive power (Prelli 185-193). Experimental competence is itself a persuasive topos (Prelli 186).
Rhetoric of science is a practice of suasion that is an outgrowth of some of the canons of rhetoric.

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 READING PIECE 19

Toulmin's Argument Model

Stephen Toulmin, an English philosopher and logician, identified elements of a persuasive argument.
These give useful categories by which an argument may be analyzed.

Claim
A claim is a statement that you are asking the other person to accept. This includes information you
are asking them to accept as true or actions you want them to accept and enact.
For example:
You should use a hearing aid.
Many people start with a claim, but then find that it is challenged. If you just ask me to do something, I
will not simply agree with what you want. I will ask why I should agree with you. I will ask you to prove
your claim. This is where grounds become important.

Grounds
The grounds (or data) is the basis of real persuasion and is made up of data and hard facts, plus the
reasoning behind the claim. It is the 'truth' on which the claim is based. Grounds may also include
proof of expertise and the basic premises on which the rest of the argument is built.
The actual truth of the data may be less that 100%, as much data are ultimately based on perception.
We assume what we measure is true, but there may be problems in this measurement, ranging from a
faulty measurement instrument to biased sampling.
It is critical to the argument that the grounds are not challenged because, if they are, they may
become a claim, which you will need to prove with even deeper information and further argument.
For example:
Over 70% of all people over 65 years have a hearing difficulty.
Information is usually a very powerful element of persuasion, although it does affect people differently.
Those who are dogmatic, logical or rational will more likely to be persuaded by factual data. Those
who argue emotionally and who are highly invested in their own position will challenge it or otherwise
try to ignore it. It is often a useful test to give something factual to the other person that disproves their
argument, and watch how they handle it. Some will accept it without question. Some will dismiss it out
of hand. Others will dig deeper, requiring more explanation. This is where the warrant comes into its
own.

Warrant
A warrant links data and other grounds to a claim, legitimizing the claim by showing the grounds to be
relevant. The warrant may be explicit or unspoken and implicit. It answers the question 'Why does that
data mean your claim is true?'
For example:
A hearing aid helps most people to hear better.
The warrant may be simple and it may also be a longer argument, with additional sub-elements
including those described below.
Warrants may be based on logos, ethos or pathos, or values that are assumed to be shared with
the listener.

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In many arguments, warrants are often implicit and hence unstated. This gives space for the other
person to question and expose the warrant, perhaps to show it is weak or unfounded.

Backing
The backing (or support) for an argument gives additional support to the warrant by answering
different questions.
For example:
Hearing aids are available locally.

Qualifier
The qualifier (or modal qualifier) indicates the strength of the leap from the data to the warrant and
may limit how universally the claim applies. They include words such as 'most', 'usually', 'always' or
'sometimes'. Arguments may hence range from strong assertions to generally quite floppy with vague
and often rather uncertain kinds of statement.
For example:
Hearing aids help most people.
Another variant is the reservation, which may give the possibility of the claim being incorrect.
Unless there is evidence to the contrary, hearing aids do no harm to ears.
Qualifiers and reservations are much used by advertisers who are constrained not to lie. Thus they
slip 'usually', 'virtually', 'unless' and so on into their claims.

Rebuttal
Despite the careful construction of the argument, there may still be counter-arguments that can be
used. These may be rebutted either through a continued dialogue, or by pre-empting the counter-
argument by giving the rebuttal during the initial presentation of the argument.
For example:
There is a support desk that deals with technical problems.
Any rebuttal is an argument in itself, and thus may include a claim, warrant, backing and so on. It also,
of course can have a rebuttal. Thus if you are presenting an argument, you can seek to understand
both possible rebuttals and also rebuttals to the rebuttals.

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 READING PIECE 20
Examples of concept maps for scientific arguments

Example 1

EVIDENCE
EVIDENCE
EVIDENCE CLAIM 1 NOT CLAIM 2 because &
REASONING

EVIDENCE

REASONING

Example 2
BACKING QUALIFIER

Provides authority to
Describes

DATA Moves WARRANT Supports CLAIM

through

Presents an exception
REBUTTAL

Example 3

Responds Supports Supports

to

Question Claim Warrant Data

Challenges

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 Unit 2
Scientific & Graphical
Literacy

Reading pieces 1 – 22

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 READING PIECE 1

Historical context of the SI

Brief history of the SI

The creation of the decimal Metric System at the time of the French Revolution and the subsequent
deposition of two platinum standards representing the meter and the kilogram, on 22 June 1799, in
the Archives de la République in Paris can be seen as the first step in the development of the
present International System of Units.
In 1832, Gauss strongly promoted the application of this Metric System, together with the second
defined in astronomy, as a coherent system of units for the physical sciences. Gauss was the first to
make absolute measurements of the earth’s magnetic force in terms of a decimal system based on
the three mechanical units millimeter, gram and second for, respectively, the quantities length, mass
and time. In later years, Gauss and Weber extended these measurements to include electrical
phenomena
These applications in the field of electricity and magnetism were further developed in the 1860s
under the active leadership of Maxwell and Thomson through the British Association for the
Advancement of Science (BAAS). They formulated the requirement for a coherent system of units
with base units and derived units. In 1874 the BAAS introduced the CGS system, a three-
dimensional coherent unit system based on the three mechanical units centimeter, gram and
second, using prefixes ranging from micro to mega to express decimal submultiples and multiples.
The following development of physics as an experimental science was largely based on this system.
The sizes of the coherent CGS units in the fields of electricity and magnetism, proved to be
inconvenient so, in the 1880s, the BAAS and the International Electrical Congress, predecessor of
the International Electrotechnical Commission (IEC), approved a mutually coherent set of practical
units. Among them were the ohm for electrical resistance, the volt for electromotive force, and the
ampere for electric current.
After the establishment of the Meter Convention on May, 20 1875 the CIPM concentrated on the
construction of new prototypes taking the meter and kilogram as the base units of length and mass.
In 1889 the 1st CGPM sanctioned the international prototypes for the meter and the kilogram.
Together with the astronomical second as unit of time, these units constituted a three-dimensional
mechanical unit system similar to the CGS system, but with the base units meter, kilogram and
second.
In 1901 Giorgi showed that it is possible to combine the mechanical units of this meter–kilogram–
second system with the practical electric units to form a single coherent four-dimensional system by
adding to the three base units, a fourth base unit of an electrical nature, such as the ampere or the
ohm, and rewriting the equations occurring in electromagnetism in the so-called rationalized form.
Giorgi’s proposal opened the path to a number of new developments.

After the revision of the Meter Convention by the 6th CGPM in 1921, which extended the scope and
responsibilities of the BIPM to other fields in physics, and the subsequent creation of the CCE (now

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CCEM) by the 7th CGPM in 1927, the Giorgi proposal was thoroughly discussed by the IEC and the
IUPAP and other international organizations. This led the CCE to recommend, in 1939, the adoption
of a four-dimensional system based on the meter, kilogram, second and ampere, a proposal
approved by the ClPM in 1946.

Following an international inquiry by the BIPM, which began in 1948, the 10th CGPM, in 1954,
approved the introduction of the ampere, the kelvin and the candela as base units, respectively, for
electric current, thermodynamic temperature and luminous intensity. The name International System
of Units (SI) was given to the system by the 11th CGPM in 1960. At the 14th CGPM in 1971 the
current version of the SI was completed by adding the mole as base unit for amount of substance,
bringing the total number of base units to seven.

Reproduced with permission from the BIPM web site.

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 READING PIECE 2

Historical context of the SI

Unit of length (meter)
The origins of the meter go back to at least the 18th century. At that time, there were two competing
approaches to the definition of a standard unit of length. Some suggested defining the meter as the
length of a pendulum having a half-period of one second; others suggested defining the meter as one
ten-millionth of the length of the earth's meridian along a quadrant (one fourth the circumference of
the earth). In 1791, soon after the French Revolution, the French Academy of Sciences chose the
meridian definition over the pendulum definition because the force of gravity varies slightly over the
surface of the earth, affecting the period of the pendulum.
Thus, the meter was intended to equal 10-7 or one ten-millionth of the length of the meridian through
Paris from pole to the equator. However, the first prototype was short by 0.2 millimeters because
researchers miscalculated the flattening of the earth due to its rotation. Still this length became the
standard. (The engraving at the right shows the casting of the platinum-iridium alloy called the "1874
Alloy.") In 1889, a new international prototype was made of an alloy of platinum with 10 percent
iridium, to within 0.0001, that was to be measured at the melting point of ice. In 1927, the meter was
more precisely defined as the distance, at 0°, between the axes of the two central lines marked on the
bar of platinum-iridium kept at the BIPM, and declared Prototype of the meter by the 1st CGPM, this
bar being subject to standard atmospheric pressure and supported on two cylinders of at least one
centimeter diameter, symmetrically placed in the same horizontal plane at a distance of 571 mm from
each other.
The 1889 definition of the meter, based upon the artifact international prototype of platinum-iridium,
was replaced by the CGPM in 1960 using a definition based upon a wavelength of krypton-86
radiation. This definition was adopted in order to reduce the uncertainty with which the meter may be
realized. In turn, to further reduce the uncertainty, in 1983 the CGPM replaced this latter definition by
the following definition:
The meter is the length of the path traveled by light in vacuum during a time interval of
1/299 792 458 of a second.
Note that the effect of this definition is to fix the speed of light in vacuum at exactly 299 792 458 m·s-
1. The original international prototype of the meter, which was sanctioned by the 1st CGPM in 1889, is
still kept at the BIPM under the conditions specified in 1889.

Reproduced with permission from the BIPM web site.

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 READING PIECE 3

Historical context of the SI

Unit of mass (kilogram)
At the end of the 18th century, a kilogram was the mass of a cubic decimeter of water. In 1889, the 1st
CGPM sanctioned the international prototype of the kilogram, made of platinum-iridium, and declared:
This prototype shall henceforth be considered to be the unit of mass. The picture at the right shows the
platinum-iridium international prototype, as kept at the International Bureau of Weights and Measures
under conditions specified by the 1st CGPM in 1889.

The 3d CGPM (1901), in a declaration intended to end the ambiguity in popular usage concerning the
word "weight," confirmed that:
The kilogram is the unit of mass; it is equal to the mass of the international prototype of
the kilogram.

Reproduced with permission from the BIPM web site.

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 READING PIECE 4

Historical context of the SI

Unit of time (second)
The unit of time, the second, was defined originally as the fraction 1/86 400 of the mean solar day.
The exact definition of "mean solar day" was left to astronomical theories. However, measurement
showed that irregularities in the rotation of the Earth could not be taken into account by the theory and
have the effect that this definition does not allow the required accuracy to be achieved. In order to
define the unit of time more precisely, the 11th CGPM (1960) adopted a definition given by the
International Astronomical Union which was based on the tropical year. Experimental work had,
however, already shown that an atomic standard of time-interval, based on a transition between two
energy levels of an atom or a molecule, could be realized and reproduced much more precisely.
Considering that a very precise definition of the unit of time is indispensable for the International
System, the 13th CGPM (1967) decided to replace the definition of the second by the following
(affirmed by the CIPM in 1997 that this definition refers to a cesium atom in its ground state at a
temperature of 0 K):

The second is the duration of 9 192 631 770 periods of the radiation corresponding to
the transition between the two hyperfine levels of the ground state of the cesium 133
atom.

Reproduced with permission from the BIPM web site.

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 READING PIECE 5

Historical context of the SI

Unit of electric current (ampere)
Electric units, called "international," for current and resistance were introduced by the International
Electrical Congress held in Chicago in 1893, and the definitions of the "international" ampere and the
"international" ohm were confirmed by the International Conference of London in 1908.

Although it was already obvious on the occasion of the 8th CGPM (1933) that there was a unanimous
desire to replace those "international" units by so-called "absolute" units, the official decision to abolish
them was only taken by the 9th CGPM (1948), which adopted the ampere for the unit of electric
current, following a definition proposed by the CIPM in 1946:
The ampere is that constant current which, if maintained in two straight parallel
conductors of infinite length, of negligible circular cross section, and placed 1 meter
apart in vacuum, would produce between these conductors a force equal to 2 x 10-7
newton per meter of length.
The expression "MKS unit of force" which occurs in the original text has been replaced here by
"newton," the name adopted for this unit by the 9th CGPM (1948). Note that the effect of this definition
is to fix the magnetic constant (permeability of vacuum) at exactly 4 x 10-7 H · m-1.

Reproduced with permission from the BIPM web site.

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 READING PIECE 6

Historical context of the SI

Unit of thermodynamic temperature (kelvin)
The definition of the unit of thermodynamic temperature was given in substance by the 10th CGPM
(1954) which selected the triple point of water as the fundamental fixed point and assigned to it the
temperature 273.16 K, so defining the unit. The 13th CGPM (1967) adopted the name kelvin (symbol
K) instead of "degree Kelvin" (symbol °K) and defined the unit of thermodynamic temperature as
follows:

The kelvin, unit of thermodynamic temperature, is the fraction 1/273.16 of the

thermodynamic temperature of the triple point of water.
Because of the way temperature scales used to be defined, it remains common practice to express
thermodynamic temperature, symbol T, in terms of its difference from the reference temperature T0 =
273.15 K, the ice point. This temperature difference is called a Celsius temperature, symbol t, and is
defined by the quantity equation
t= T- T0.
The unit of Celsius temperature is the degree Celsius, symbol °C, which is by definition equal in
magnitude to the kelvin. A difference or interval of temperature may be expressed in kelvins or in
degrees Celsius (13th CGPM, 1967). The numerical value of a Celsius temperature t expressed in
degrees Celsius is given by
t/°C = T/K - 273.15.
The kelvin and the degree Celsius are also the units of the International Temperature Scale of 1990
(ITS-90) adopted by the CIPM in 1989.

Reproduced with permission from the BIPM web site.

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 READING PIECE 7

Historical context of the SI

Unit of amount of substance (mole)
Following the discovery of the fundamental laws of chemistry, units called, for example, "gram-atom"
and "gram-molecule," were used to specify amounts of chemical elements or compounds. These units
had a direct connection with "atomic weights" and "molecular weights," which were in fact relative
masses. "Atomic weights" were originally referred to the atomic weight of oxygen, by general
agreement taken as 16. But whereas physicists separated isotopes in the mass spectrograph and
attributed the value 16 to one of the isotopes of oxygen, chemists attributed that same value to the
(slightly variable) mixture of isotopes 16, 17, and 18, which was for them the naturally occurring
element oxygen. Finally, an agreement between the International Union of Pure and Applied Physics
(IUPAP) and the International Union of Pure and Applied Chemistry (IUPAC) brought this duality to an
end in 1959/60. Physicists and chemists have ever since agreed to assign the value 12, exactly, to the
"atomic weight," correctly the relative atomic mass, of the isotope of carbon with mass number 12
(carbon 12, 12C). The unified scale thus obtained gives values of relative atomic mass.

It remained to define the unit of amount of substance by fixing the corresponding mass of carbon 12;
by international agreement, this mass has been fixed at 0.012 kg, and the unit of the quantity "amount
of substance" was given the name mole (symbol mol).
Following proposals of IUPAP, IUPAC, and the International Organization for Standardization (ISO),
the CIPM gave in 1967, and confirmed in 1969, a definition of the mole, eventually adopted by the
14th CGPM (1971):

1. The mole is the amount of substance of a system which contains as many elementary
entities as there are atoms in 0.012 kilogram of carbon 12; its symbol is "mol."
2. When the mole is used, the elementary entities must be specified and may be atoms,
molecules, ions, electrons, other particles, or specified groups of such particles.

At its 1980 meeting, the CIPM approved the 1980 proposal by the Consultive Committee on Units of
the CIPM specifying that in this definition, it is understood that unbound atoms of carbon 12, at rest
and in their ground state, are referred to.

Reproduced with permission from the BIPM web site.

(http://www.bipm.org )

55
 READING PIECE 8

Historical context of the SI

Unit of luminous intensity (candela)
Originally, each country had its own, and rather poorly reproducible, unit of luminous
intensity; it was necessary to wait until 1909 to see a beginning of unification on the
international level, when the national laboratories of the United States of America, France,
and Great Britain decided to adopt the international candle represented by carbon filament
lamps. Germany, at the same time, stayed with the Hefner candle, defined by a flame
standard, and equal to about nine-tenths of an international candle. But a standard based on
incandescent lamps, and consequently dependent upon their stability, would never have
been fully satisfactory and could therefore be only provisional; on the other hand, the
properties of a blackbody provided a theoretically perfect solution and, as early as 1933, the
principle was adopted that new photometric units would be based on the luminous emission
of a blackbody at the freezing temperature of platinum (2045 K).

The units of luminous intensity based on flame or incandescent filament standards in use in
various countries before 1948 were replaced initially by the "new candle" based on the
luminance of a Planckian radiator (a blackbody) at the temperature of freezing platinum. This
modification had been prepared by the International Commission on Illumination (CIE) and by
the CIPM before 1937, and was promulgated by the CIPM in 1946. It was then ratified in
1948 by the 9th CGPM which adopted a new international name for this unit, the candela
(symbol cd); in 1967 the 13th CGPM gave an amended version of the 1946 definition.
In 1979, because of the experimental difficulties in realizing a Planck radiator at high
temperatures and the new possibilities offered by radiometry, i.e., the measurement of optical
radiation power, the 16th CGPM (1979) adopted a new definition of the candela:
The candela is the luminous intensity, in a given direction, of a source that emits
monochromatic radiation of frequency 540 x 1012 hertz and that has a radiant
intensity in that direction of 1/683 watt per steradian.

Reproduced with permission from the BIPM web site.

(http://www.bipm.org )

56
 READING PIECE 9

Rules and styles of convention

#1 Only units of the SI and those units recognized for use with the SI
General are used to express the values of quantities. Equivalent values in
other units are given in parentheses following values in acceptable
units only when deemed necessary for the intended audience.

#2 Abbreviations such as sec, cc, or mps are avoided and only standard
Abbreviations unit symbols, prefix symbols, unit names, and prefix names are used.
proper:s or second; cm3 or cubic centimeter; m/s or
meter per second
improper:sec; cc; mps

#3 Unit symbols are unaltered in the plural.

Plurals proper:l = 75 cm
improper:l = 75 cms

#4 Unit symbols are not followed by a period unless at the end of a

Punctuation sentence.
proper:The length of the bar is 75 cm.
The bar is 75 cm long.
improper:The bar is 75 cm. Long.

#5 A space or half-high dot is used to signify the multiplication of units. A

Multiplication solidus (i.e., slash), horizontal line, or negative exponent is used to
& division signify the division of units. The solidus must not be repeated on the
same line unless parentheses are used.
proper:The speed of sound is about 344 m·s-1 (meters
per second)
The decay rate of 113Cs is about 21 ms-
1 (reciprocal milliseconds)
m/s, m·s-2, m·kg/(s3·A), m·kg·s-3·A-1
m/s, m s-2, m kg/(s3 A), m kg s-3 A-1

57
 improper:The speed of sound is about 344 ms-1 (reciprocal
milliseconds)
The decay rate of 113Cs is about 21 m·s-
1 (meters per second)
m ÷ s, m/s/s, m·kg/s3/A

#6 Variables and quantity symbols are in italic type. Unit symbols are in
Typeface roman type. Numbers should generally be written in roman type.
These rules apply irrespective of the typeface used in the
surrounding text.
proper:She exclaimed, "That dog weighs 10 kg!"
t = 3 s, where t is time and s is second
T = 22 K, where T is thermodynamic temperature,
and K is kelvin
improper:He exclaimed, "That dog weighs 10 kg!
t = 3 s, where t is time and s is second
T = 22 K, where T is thermodynamic temperature,
and K is kelvin

#7 Superscripts and subscripts are in italic type if they represent

Typeface variables, quantities, or running numbers. They are in roman type if
they are descriptive.
subscript
typeface proper usage
category
quantity italic cp, specific heat capacity at constant
pressure
descriptive roman mp, mass of a proton
running number italic

#8 The combinations of letters "ppm," "ppb," and "ppt," and the terms
Abbreviations part per million, part per billion, and part per trillion, and the like, are
not used to express the values of quantities.
proper:2.0 µL/L; 2.0 x 10-6 V;
4.3 nm/m; 4.3 x 10-9 l;
7 ps/s; 7 x 10-12 t,
where V, l, and t are the quantity symbols for
volume, length, and time.
improper:"ppm," "ppb," and "ppt," and the terms part per
million, part per billion, and part per trillion, and
the like

58
 #9 Unit symbols (or names) are not modified by the addition of
Unit subscripts or other information. The following forms, for example, are
modifications used instead.
proper:Vmax = 1000 V
a mass fraction of 10 %
improper:V= 1000 Vmax
10 % (m/m) or 10 % (by weight)

#10 The symbol % is used to represent simply the number 0.01.

Percent proper:l1 = l2(1 + 0.2 %), or
D = 0.2 %,
where D is defined by the relation D = (l1 - l2)/l2.
improper:the length l1 exceeds the length l2 by 0.2 %

#11 Information is not mixed with unit symbols or names.

Information proper:the water content is 20 mL/kg
& units improper:20 mL H2O/ kg
20 mL of water/ kg

#12 It is clear to which unit symbol a numerical value belongs and which
Math mathematical operation applies to the value of a quantity.
notation proper:35 cm x 48 cm
1 MHz to 10 MHz or (1 to 10) MHz
20 °C to 30 °C or (20 to 30) °C
123 g ± 2 g or (123 ± 2) g
70 % ± 5 % or (70 ± 5) %
240 x (1 ± 10 %) V

improper:35 x 48 cm
1 MHz-10 MHz or 1 to 10 MHz
20 °C-30 °C or 20 to 30 °C
123 ± 2 g
70 ± 5 %
240 V ± 10 % (one cannot add 240 V and 10 %)

#13 Unit symbols and unit names are not mixed and mathematical
Unit operations are not applied to unit names.
symbols proper:kg/m3, kg · m-3, or kilogram per cubic meter
& names
improper:kilogram/m3, kg/cubic meter, kilogram/cubic
meter, kg per m3, or kilogram per meter3.

#14 Values of quantities are expressed in acceptable units using Arabic

59
Numerals & numerals and symbols for units.
unit proper:m = 5 kg
symbols the current was 15 A
improper:m = five kilograms
m = five kg
the current was 15 amperes

#15 There is a space between the numerical value and unit symbol, even
Unit when the value is used in an adjectival sense, except in the case of
spacing superscript units for plane angle.
proper:a 25 kg sphere
an angle of 2° 3' 4"
If the spelled-out name of a unit is used, the
normal rules of English apply: "a roll of 35-
millimeter film."
improper:a 25-kg sphere
an angle of 2 ° 3 ' 4 "

#16 The digits of numerical values having more than four digits on either
Digit side of the decimal marker are separated into groups of three using a
spacing thin, fixed space counting from both the left and right of the decimal
marker. Commas are not used to separate digits into groups of three.
proper:15 739.012 53
improper:15739.01253
15,739.012 53

#17 Equations between quantities are used in preference to equations

Quantity between numerical values, and symbols representing numerical
equations values are different from symbols representing the corresponding
quantities. When a numerical-value equation is used, it is properly
written and the corresponding quantity equation is given where
possible.
proper:(l/m) = 3.6-1 [v/(km/h)](t/s)
improper:l = 3.6-1 vt, accompanied by text saying,
"where l is in meters, v is in kilometers per hour,
and t is in seconds"

60
 #18 Standardized quantity symbols are used. Similarly, standardized
Standard mathematical signs and symbols are used. More specifically, the
symbols base of "log" in equations is specified when required by writing loga x
(meaning log to the base aof x), lb x (meaning log2 x), ln x (meaning
loge x), or lg x (meaning log10 x).
proper:tan x
R for resistance
Ar for relative atomic mass
improper:tg x for tangent of x
words, acronyms, or ad hoc groups of letters

#19 When the word "weight" is used, the intended meaning is clear. (In
Weight vs. science and technology, weight is a force, for which the SI unit is the
mass newton; in commerce and everyday use, weight is usually a synonym
for mass, for which the SI unit is the kilogram.)

#20 A quotient quantity is written explicitly.

Quotient proper:mass divided by volume
quantity improper:mass per unit volume

#21 An object and any quantity describing the object are distinguished.
Object & (Note the difference between "surface" and "area," "body" and
quantity "mass," "resistor" and "resistance," "coil" and "inductance.")
proper:A body of mass 5 g
improper:A mass of 5 g

#22 The obsolete terms normality, molarity, and molal and their symbols
Obsolete N, M, and m are not used.
Terms proper:amount-of-substance concentration of B (more
commonly called concentration of B), and its
symbol cB and SI unit mol/m3 (or a related
acceptable unit)
molality of solute B, and its symbol bB or mB and
SI unit mol/kg (or a related unit of the SI)

improper:normality and the symbol N, molarity and the

symbol M
molal and the symbol m

61
 READING PIECE 10

What Is A Graph Good For Anyway?

A graph is usually a drawing or a chart, which shows the relationship between changing things.
People also refer graph as a diagram showing the relationship between amounts or numbers. Usual
graphs make use of lines, bars, or parts of a circle to show the data.

In other words, a graph represents facts in an apparent manner. It is a kind of diagram, which shows
the comparative size of statistical quantities. Hence, a graph is termed the simplest method to
compare numbers.

You can use graphs to show several types of data, because they are not just restricted to the simpler
types as such circle, bar, and line graphs. You can liberally use graphs to make facts more apparent
and logical.

Importance of Graphs to have a Clear Idea:

Graphs are undoubtedly a handy way to depict your data in an apparent manner. You just need to
make sure the way to display your results with correct graph form. You can take advice from your
respective math teacher too.

The x and y axes on bar and line graphs ought to be correctly labeled with appropriate units of
measure. You can use metric units to label these axes. The line, bar, and circle graph depicts
different types of data and below mentioned is a general description of these graphs:

Bar Graph:
You can use bar graphs to display the relationship among groups. Any two items that you will be
comparing need not necessarily influence each other in any way. It is also a quickest way to display
huge difference.

Line Graph:
You can use line graphs to depict continuing data, for how one thing is influenced by the other. You
can clearly see how things are progressing by the fluctuations shown in line graph. Such types of
graphs are necessary to display the consequence of independent variables on dependent variables.
For example, pulse rate of a person is clearly viewable in a line graph. Since, the time continues and
the pulse rate keeps on changing.

Pie Graph:
A pie graph or circle graph will help you to display a part of something that relates to the whole.
Usually, circle graphs are a key way to show percentages efficiently.

Points to be Remember:

62
Below mentioned are certain reminders, which you need to carry in mind while working on graphs:

1. First, try to perform all the measurements perfectly and constantly with the use of metrics,
wherever applicable.
2. Try to make diagrams or sketch of different forms of your project, and try to take photographs too.
3. Do not to get dispirited, work attentively and try to repeat the project, if necessary.
4. Try to organize measurements and observations in charts or tables in a clearly labeled manner.
5. Finally, keep a daily record sheet or log book to keep track of problems, modifications,
measurements, and calculations of graphs over time.

Area Graph:
You can use area graphs to display things, which change over time. These graphs have an x-axis
(horizontal) and a y-axis (vertical). Generally, the x-axis denotes the time scale, whereas the y-axis
denotes what you are measuring.
You can use area graphs specifically, when you think to plot data that has ups (peaks) and downs
(valleys) or for data collected over a short period.
One real example of area graph would be the graph required to show percentage of high school
graduates, who have completed advanced English courses over a period.
Some graphs are easy to understand, while some are a bit complicated. You have to be a bit careful
while you work on graphs, as there are several types of graphs with each one having moderate and
definite use.

http://www.mathworksheetscenter.com/mathtips/whataregraphs.html

63
 READING PIECE 11

How to Choose Which Type of Graph to Use?

When to Use . . .

. . . a Bar Graph.
Bar graphs are used to compare things between different groups or to track changes over time.
However, when trying to measure change over time, bar graphs are best when the changes are larger.

. . . a Line graph.
Line graphs are used to track changes over short and long periods of time. When smaller changes
exist, line graphs are better to use than bar graphs. Line graphs can also be used to compare changes
over the same period of time for more than one group.

. . . a Pie Chart.
Pie charts are best to use when you are trying to compare parts of a whole. They do not show
changes over time.

. . . an Area Graph.
Area graphs are very similar to line graphs. They can be used to track changes over time for one or
more groups. Area graphs are good to use when you are tracking the changes in two or more related
groups that make up one whole category (for example public and private groups).

. . . an X-Y Plot.
X-Y plots are used to determine relationships between the two different things. The x-axis is used to
measure one event (or variable) and the y-axis is used to measure the other. If both variables increase
at the same time, they have a positive relationship. If one variable decreases while the other
increases, they have a negative relationship. Sometimes the variables don't follow any pattern and
have no relationship.

http://nces.ed.gov/nceskids/help/user_guide/graph/whentouse.asp

64
 READING PIECE 12
Review of Bar Graphs
Objectives

After completing this unit you should be able to:

 Identify the bar graph title.

 Identify labels for the bar graph axes.
 Identify information given by a designated bar
 Make statements about data trends from a bar graph.

What is a Bar Graph?

A bar graph is a visual display used to compare the amounts or frequency of occurrence of different
characteristics of data.

This type of display allows us to:

 compare groups of data, and

 make generalizations about the data quickly.

A bar graph is on the right. Price of Corn versus Quantity

Demanded
To read a bar graph, pay attention to: the
Title, the two Axes including the Axes’
Labels and Scale, and the Bars. Bar graphs
are used to graph frequencies or amounts of
data in groups.

65
Parts of a Bar Graph

TITLE: The graph title gives information being

presented in the graph. The title is given at the
top of the graph.

AXES and LABELS: Each graph has two

axes. Each axis needs a LABEL to tell us what
information is on the axis. One axis has the
groups and the other has the amounts or
frequency of the data groups.

FREQUENCY DATA AXIS: The scale is a

measure of the frequency or amounts of the
different data groups.
FREQUENCY AXIS SCALE: The scale is the
range of values being presented along the
frequency axis.

BARS: The bars are rectangular blocks that

can have their base at either vertical axis or
horizontal axis (as in this example). Each bar
represents the data for one of the data groups.

Let's look more closely at how the PARTS of a bar graph help present information presented on
a graph.

GRAPH TITLE: provides an overview of the type of information given in the bar graph and indicates
WHAT KIND OF DATA we are looking at.

Price of Corn versus Quantity Demanded

AXES and LABELS: tells what information is on each axis. One axis is labeled Price per Bushel
and the other axis is labeled Quantity Demanded.

66
BAR: the bars may be on either the vertical or horizontal axis. Bars are rectangular in shape and
equidistant from each other.

VERTICAL AXIS: On this graph the vertical axis contains the quantity in units of bushels.

HORIZONTAL AXIS: On this graph, the horizontal axis contains the price per bushel with groups
ranging from $1.00 to $5.00 per bushel.

SCALE: The scale is the range of values determined by the lowest and highest values to be included
on the graph.

The vertical axis is the QUANTITY DEMANDED in units of BUSHELS.

In this case, the frequency scale goes from 0 to 80, and uses an
interval of units of 10. The frequency of our data groups range over
nearly the entire scale so we are able to get a good picture of our data.

Analysis of the Bar Graph (Example)

Enrollment in Introductory Courses at Union University

67
Questions and answers to Example

1. Which course has the most students enrolled in it?

Econ has the most students enrolled.

2. Order the courses by enrollment from lowest to highest.

From lowest to highest: Physics, Chem, Psych, Poly Sci, Econ.

3. The enrollment in Econ is approximately how many times bigger than the enrollment in Chem?
The enrollment is approximately two times larger.

4. Approximately, how many students were enrolled in the course with the most students?
There are approximately 340 students enrolled in the course with the most students, which
is Econ.

5. Approximately how many more students are there in Econ than in Physics?
There are approximately 200 more students in Econ than in Physics.

68
 READING PIECE 13

Building Bar Graphs

Bar graphs can be used to show how something changes over time or to compare different times. Bar
graphs are good for plotting data that spans many years (or days, weeks . . .), has really big changes
from year to year (or day to day . . .), or they can be used for comparing different items in a related
category (for example: comparing something between different states). The following pages describe
the different parts of a bar graph.

The Title
The title offers a short explanation of what is in your graph. This helps the reader identify what they are
about to look at. It can be creative or simple as long as it tells what is in the graph. The title of this
graph tells the reader that the graph contains information about the states with the most elementary
and secondary schools, and how many schools each of those states has.
The Legend
The legend tells us what each bar represents. Just like on a map, the legend helps the reader
understand what they are looking at. This legend tells us that the blue bars represent elementary and
secondary schools. If a graph has more than one color bar, the legend will have more than one entry.
The Source
The source explains where you found the information that is in your graph. It is important to give credit
to those who collected your data! In this graph, the source tells us that we found our information from
the NCES Common Core of Data.
X-Axis
Bar graphs have an x-axis and a y-axis. In most bar graphs, like the one above, the x-axis runs
horizontally (flat). Sometimes bar graphs are made so that the bars are sidewise like in the graph
below. Then the x-axis has numbers representing different time periods or names of things being
compared. In these graphs, the x-axis has names of states.

69
Y-Axis
In most bar graphs, like the one above, the y-axis runs vertically (us and down). Sometimes bar
graphs are made so that the bars are sideways like in the graph to the left. Then the y-axis is
horizontal (flat). Typically, the y-axis has numbers for the amount of stuff being measured. The y-axis
usually starts counting at 0 and can be divided into as many equal parts as you want to. In these bar
graphs, the y-axis is measuring the number of schools.

The Data
The most important part of your graph is the information, or data, it contains. Bar graphs can present
data in many ways and can present more than one group of data at a time. The graph on the left is a
regular bar graph with one group of data. The center graph has two groups of data that are stacked.
The graph on the right is another graph with two groups of data, but they are presented side by side
instead of stacked.

70
 READING PIECE 14
Learning Line Graphs
Line graphs can be used to show how something changes over time. Line graphs are good for plotting
data that has peaks (ups) and valleys (downs), or that was collected in a short time period. The
following pages describe the different parts of a line graph.

The Title
The title offers a short explanation of what is in your graph. This helps the reader identify what they are
about to look at. It can be creative or simple as long as it tells what is in the graph. The title of this
graph tells the reader that the graph contains information about the changes in money spent on
students of elementary and secondary schools from 1961 to 2002.
The Legend
The legend tells what each line represents. Just like on a map, the legend helps the reader understand
what they are looking at. This legend tells us that the green line represents the actual dollar amount
spent on each child and the purple line represents the amount spent when adjusted for inflation.
The Source
The source explains where you found the information that is in your graph. It is important to give credit
to those who collected your data! In this graph, the source tells us that we found our information from
NCES.
Y-Axis
In line graphs, the y-axis runs vertically (up and down). Typically, the y-axis has numbers for the
amount of stuff being measured. The y-axis usually starts counting at 0 and can be divided into as
many equal parts as you want to. In this line graph, the y-axis is measuring the amount of money
spent on individual students for public education.
The Data

71
The most important part of your graph is the information, or data, it contains. Line graphs can present
more than one group of data at a time. In this graph, two sets of data are presented.
X-Axis
In line graphs, like the one above, the x-axis runs horizontally (flat). Typically, the x-axis has numbers
representing different time periods or names of things being compared. In this line graph, the x-axis
measured different school years.

72
 READING PIECE 15

Perfecting Pie Charts

Pie charts can be used to show percentages of a whole, and represents percentages at a set point in
time. Unlike bar graphs and line graphs, pie charts do not show changes over time. The following
pages describe the different parts of a pie chart.

The Title
The title offers a short explanation of what is in your graph. This helps the reader identify what they are
about to look at. It can be creative or simple as long as it tells what is in the chart. The title of this chart
tells the reader that the graph contains information about how money is spent for public education for
the average student.
The Legend
The legend tells what each slice represents. Just like on a map, the legend helps the reader
understand what they are looking at. This legend tells us that the green slice represents money spent
on instruction, the blue slice represents money spent on support services, and the orange slice
represents money spent on non-instruction activities.
The Source
The source explains where you found the information that is in your graph. It is important to give credit
to those who collected your data! In this graph, the source tells us that we found our information from
the NCES Common Core of Data.
The Data
The most important part of your chart is the information, or data, it contains. Pie charts represent data
as part of 100 (a percentage). Each slice represents a different piece of data.

73
 READING PIECE 16

Analyzing Area Graphs

Like line graphs, area graphs can be used to show how something changes over time. They can be
used when you're plotting data that has peaks (ups) and valleys (downs), or that was collected in a
short time period. The following pages describe the different parts of an area graph.

The Title
The title offers a short explanation of what is in your graph. This helps the reader identify what they are
about to look at. It can be creative or simple as long as it tells what is in the graph. The title of this
graph tells the reader that the graph contains information about the changes in enrollment of
elementary and secondary schools from 1970 to 2000.
The Legend
The legend tells what each shaded area represents. Just like on a map, the legend helps the reader
understand what they are looking at. This legend tells us that the blue area represents enrollment in
public schools and the yellow area represents enrollment in private schools.
The Source
The source explains where you found the information that is in your graph. It is important to give credit
to those who collected your data! In this graph, the source tells us that we found our information from
the NCES.
Y-Axis
In area graphs, the y-axis runs vertically (up and down). Typically, the y-axis has numbers for the
amount of stuff being measured. The y-axis usually starts counting at 0 and can be divided into as
many equal parts as you want to. In this area graph, the y-axis is measuring the number of students
enrolled in public and private schools.

74
The Data
The most important part of your graph is the information, or data, it contains. Area graphs can present
more than one group of data at a time. In this graph, two sets of data are presented.
X-Axis
In area graphs, like the one above, the x-axis runs horizontally (flat). Typically, the x-axis has numbers
representing different time periods or names of things being compared. In this area graph, the x-axis
measures different school years.

75
 READING PIECE 17

Examining X-Y (Scatter) Plots

X-Y plots, or scatter plots, can be used to see if one event affects another event. For example, if you
spend more hours studying, will you get better grades? The following pages describe the different
parts of an x-y plot.

The Title
The title offers a short explanation of what is in your graph. This helps the reader identify what they are
about to look at. It can be creative or simple as long as it tells what is in the graph. The title of this
graph tells the reader that the graph contains information about the difference in money spent on
students of elementary and secondary schools from different countries.
The Legend
The legend tells what each point represents. Just like on a map, the legend helps the reader
understand what they are looking at. Each of the colors in this legend represents a different country.
The Source
The source explains where you found the information that is in your graph. It is important to give credit
to those who collected your data! In this graph, the source tells us that we found our information from
the Organization for Economic Cooperation and Development.
Y-Axis
In x-y plots, the y-axis runs vertically (up and down). Typically, the y-axis has numbers for the amount
of stuff being measured. The y-axis usually starts counting at 0 and can be divided into as many equal
parts as you want to. In this line graph, the y-axis is measuring the Gross Domestic Product (GDP) of
each country.
The Data
The most important part of your graph is the information, or data, it contains. Line graphs can present
more than one group of data at a time. In this graph, two sets of data are presented.

76
X-Axis
In x-y plots, like the one above, the x-axis runs horizontally (flat). Typically, the x-axis has numbers
representing different time periods or names of things being measured. In this plot, the x-axis
measures the amount of money spent by a country on elementary and secondary education per child.

77
 READING PIECE 18

Guidelines for Graphing

Often the goal of an experiment is to find the relationship between two variables (pressure and
volume, time and temperature, etc.). As one variable changes, so does the other. Graphing is a useful
way to visualize and describe these relationships. Because the use of graphs is so common in the
sciences, it is important that you know how to construct and interpret graphs. When preparing graphs
as part of chemistry lab reports at the University of Oregon, keep the following guidelines in mind:
1. Computer generated graphs are generally preferable. If drawn by hand, graphs must be
neatly drawn, using a straight edge, French curve, or flexible curve.
2. Tabulate all data to be graphed before beginning.
3. Use the x-axis for the independent variable (that which is experimentally varied; also known
as the manipulated variable) and the y-axis for the dependent variable (that which is a function
of the independent variable; also known as the responding variable).
4. Decide on the limits of the graph (maximum and minimum values) and select the axis. The
lower left corner of the graph does not have to represent zero on either axis unless you have
data in this region.
5. Select divisions on the axes which are easy to read. Common graph paper is divided in units
of tens. Hence one square may equal 1, 2, 5, 10, or 10, 20, 50, 100, but never 3.75 or some
other "odd" number.
6. For greatest accuracy, select scales so that the graph nearly fills the page.
7. Grid lines should be shown on the graph. (If drawn by hand, all graphs are to be drawn on
graph paper with at least 10 squares per inch. The gridded pages (1/4" quadrille) in your lab
book are not adequate.)
8. Label both axes with both quantity and units. For example: "Pressure (torr)"
9. Mark the data points with a small dot. (Pencil may be used before being inked for
permanency.) Draw a small circle around the point or darken to make more visible.
10. A smooth curve should be drawn through the points. The curve should pass as close as
possible to each of the points but should not be connected point-to-point. (The data may be
irregular but nature rarely is.) If the relationship appears to be linear, the smooth curve should
be a straight line. If the line is extended past the range of the measured values, this extension
should be indicated by a dashed rather than a solid line.
11. Title the graph in a descriptive manner.

Linear Relationships
Recognizing a pattern in data is helpful but generally not enough. It is even more useful to develop a
mathematical equation that fits the data. This then allows us to calculate the value of the dependent
variable at any value of the independent variable.
If the plot of the data gives a straight line, we can say that the dependent variable (plotted on the y-
axis) is directly proportional to the independent variable (plotted on the x-axis) In that case, we can
then fit the data to the equation for a straight line,

where m is the slope of the line and b is the y-intercept.

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In some instances, a straight line arises when the data are fitted to the equation

The variables are then said to be inversely proportional. It can be seen that when there is a linear
relationship between the two variables, the slope is the constant factor which relates the variables,
where

(Note: to minimize error when finding the slope, choose two points on the line which are not original
data points.) The y-intercept is simply the value of the dependent variable when the independent
variable is zero. Be aware that this may not necessarily be the point where the curve intercepts the y
axis on your particular graph. Once these two values have been determined, the equation for a
straight line can be used to find the value of y for any value of x.
The values of the slope and y-intercept are generally difficult to obtain directly from the graph. This is
due in part to the difficulty in "eyeballing" the best straight line through the points, and also because
the slope and intercept should represent the same level of precision as the data. (It is frequently
impossible to assign the appropriate number of significant figures to a bet fit line which has been
drawn by hand). A better approach is to apply statistics to define the most probable straight line fit of
the data. For all linear plots prepared for the chemistry laboratory courses, you will be expected to
determine the slope and y-intercept using the method of linear regression analysis (or method of least
squares).
A linear regression analysis determines the best fit straight line through the points by minimizing the
sum of the squares of the deviations of the points from the line. This analysis of the data can be done
quickly using a computer spreadsheet program or graphing calculator. (Instructions are available on
the course web page for performing a linear regression analysis using TI-81, TI-82, and TI-85
calculators.) Remember that your eyes are smarter than your calculator and you must always include
a graph in your lab report. This graphical representation of the data allows you to visualize the
relationship between the variables, see the "scatter" in the data, and consider whether "bad" or
questionable data exists.

Reading the Graph

Remember that the precision of the information obtained from the graph should match the precision of
the data that went into the graph. It is not desirable to lose significant digits when reading the graph,
nor is it possible to generate more. Therefore, if the data used to generate the graph had N significant
figures, numbers read from the graph should also have N significant figures. This rule holds true as
well for values of the slope and y-intercept obtained by linear regression analysis. It will generally be
necessary to round the values obtained from your calculator or computer program to the correct
number of significant figures.

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 READING PIECE 19
Mr. Guch's rules for Good Graph Making
1. Always give your graph a title in the following form: "The dependence of (your dependent
variable) on (your independent variable).
Let's say that you're doing a graph where you're studying the effect of temperature on the speed of
a reaction. In this reaction, you're changing the temperature to known values, so the temperature
is your independent variable. Because you don't know the speed of the reaction and speed
depends on the temperature, the speed of the reaction is your dependent variable. As a result, the
title of your graph will be "The dependence of reaction rate on temperature", or something like that.

2. The x-axis of a graph is always your independent variable and the y-axis is the dependent
variable.
For the graph described above, temperature would be on the x-axis (the one on the bottom of the
graph), and the reaction rate would be on the y-axis (the one on the side of the graph)

3. Always label the x and y axes and give units.

Putting numbers on the x and y-axes is something that everybody always remembers to do (after
all, how could you graph without showing the numbers?). However, people frequently forget to put
a label on the axis that describes what those numbers are, and even more frequently forget to say
what those units are. For example, if you're going to do a chart which uses temperature as the
independent variable, you should write the word "temperature (degrees Celsius)" on that axis so
people know what those numbers stand for. Otherwise, people won't know that you're talking about
temperature, and even if they do, they might think you're talking about degrees Fahrenheit.

4. Always make a line graph

Never, ever make a bar graph when doing science stuff. Bar graphs are good for subjects where
you're trying to break down a topic (such as gross national product) into it's parts. When you're
doing graphs in science, line graphs are way more handy, because they tell you how one thing
changes under the influence of some other variable.

5. Never, EVER, connect the dots on your graph!

Hey, if you're working with your little sister on one of those placemats at Denny's, you can connect
the dots. When you're working in science, you never, ever connect the dots on a graph.
Why? When you do an experiment, you always screw something up. Yeah, you. It's probably not a
big mistake, and is frequently not something you have a lot of control over. However, when you do
an experiment, many little things go wrong, and these little things add up. As a result, experimental
data never makes a nice straight line. Instead, it makes a bunch of dots which kind of wiggle
around a graph. This is normal, and will not affect your grade unless your teacher is a Nobel prize
winner. However, you can't just pretend that your data is perfect, because it's not. Whenever you
have the dots moving around a lot, we say that the data is noisy, because the thing you're looking
for has a little bit of interference caused by normal experimental error.
To show that you're a clever young scientist, your best bet is to show that you KNOW your data is
sometimes lousy. You do this by making a line (or curve) which seems to follow the data as well as
possible, without actually connecting the dots. Doing this shows the trend that the data suggests,
without depending too much on the noise. As long as your line (or curve) does a pretty good job of
following the data, you should be A-OK.

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6. Make sure your data is graphed as large as possible in the space you've been given.
Let's face it, you don't like looking at little tiny graphs. Your teacher doesn't either. If you make
large graphs, you'll find it's easier to see what you're doing, and your teacher will be lots happier.

So, those are the steps you need to follow if you're going to make a good graph in your
chemistry class. I've included a couple of examples of good and bad graphs below so you
know what these things are supposed to look like.

Examples of Good and Bad Graphs

All those rules I gave you above are true and are handy to know, but it's usually a bad idea to give
rules without showing you what they mean. Below are two examples of graphs. One is a bad graph
(which you may be guilty of making) and the other is a good graph (which is what I always make).

A bad graph!

Let's see what's wrong with this graph:

 There's no title. What's it a graph of? Who knows?
 There are no labels on the x or y axis. What are those numbers? Who knows?
 There are no units on the x or y axis. Is this a graph of speed in miles per hour or a graph of
temperature in Kelvins? Who can tell?
 Somebody played "connect the dots". This should be a nice straight line which goes through
the points or a curve that tends to follow them.

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A good graph!

Doesn't the clarity and beauty of this graph just make you want to cry? Well, maybe that's overstating
it a little bit, but it sure does make more sense than the first one, doesn't it? I'm starting to mist up
right now.*

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 READING PIECE 20
Required elements of a graph

An appropriate type of graph ( bar or line ) is used.

Appropriate staring points and intervals are used for each axes.

There is a main title for the graph which clearly states the relationship between the axes.

An appropriate scale is used on each axis depending on the range of data for that axis.

Axes are clearly labeled and include units of measure where needed.

The independent variable is put on the X axis (horizontal) while the dependent variable is put on the Y
(vertical) axis.

The data is plotted accurately.

An appropriate key or legend is part of the graph.

Appropriate techniques such as color, texture, or clarifying labels are used to make the graph easier to
understand,.

The graph uses the entire paper.

The graph is neat and presentable.

Graph Title

2005 Regional Bottled Water Sales

Legend East
Y axis (Dependent Variable)
West
$100 North
$80
Dollars (in
millions)

$60
$40
$20
$0
1st Qtr 2nd Qtr 3rd Qtr 4th Qtr
2005 by Quarter
Axes Labels (with Units) X axis (Independent Variable)

83
 READING PIECE 21
How to select the right graph type

Bar chart or Line? Scatter plot or box plot? These are the questions we ask ourselves when we
set out to make a chart. Because, “Selecting right chart for our data” is very important to tell our
story.
In this article, we will learn how to “select the right chart” based on our data and situation.

Why is it important to make right chart?

Because right charts lead to right decisions. We use charts to tell stories, evaluate alternatives,
understand trends or find-out if everything is normal. So, an incorrect charting choice can lead to poor
judgment of the messages where as a correct chart can lead to right and faster decisions.

The Chart Making Process:

Chart making process can be divided in to 4 steps

1. Find-out what you want to say?

2. (Re)arrange the data
3. Prepare the chart
4. Format the chart

1. Finding out what you want to say

This is the first and most important step in chart preparation. You must ask yourself, “what is the
purpose of this chart?”. Once we know the clear reason why the chart should exist, we will naturally be
able to select the correct chart type for that reason.
But I realize that finding the reason itself can be a bit tedious. So I have listed down 6 common
reasons that we often have to make a chart:
1. to Compare
2.
3. to show the Distribution
4. to explain Parts of the Whole
5. to tell the Trend over time
6. to findout the Deviations
7. to understand the Relationship

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Let us understand these reasons along with the type of charts that go well with these.

1. To Compare:
What it means? You want to compare one set of value(s) with another.
Examples:
 Performance of Product A vs. Product B in 5 regions
 Interview performance of various candidates

Charts that can be used for this reason:

 Bar Charts,
 Column Charts
 Scatter Plots
 Pie Charts
 Line Charts
 Data Tables

2. To Show the Distribution

What it means? You want to show the distribution of a set of values (to understand the outliers,
normal ranges etc.)
Examples:
 Distribution of Call waiting times in a call center
 Distribution of bugs found in 10 week software testing phase

Charts that can be used to show distribution:

 Column Charts
 Scatter Plots
 Line charts
 Box Plots

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3. Parts of Whole
What it means? You want to show how various parts comprise the whole.
Examples:
 Individual product sales as a percentage of whole revenue
 Browser types of customers visiting our website

Charts that can be used to show Parts of Whole:

 Column Charts
 Bar Charts
 Pie Charts
 Data Table

4. Trend over time

What it means? You want to understand the trend over time of some variable(s).
Examples:
 Customer footfalls on the last 365 days
 Share price of MSFT in the last 100 trading sessions

Charts that can be used to show Trend Over Time:

 Column Charts
 Line Charts
 Data Table

5. Deviations
What it means? You want to see which values deviate from the norm.
Examples:
 Failures (or bugs) in the context of Quality Control
 Sales in Various Stores

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Charts that can be used to show Deviations:

 Column Charts
 Bar Charts
 Line Charts
 Data Table

6. Relationship
What it means? You want to establish (or show) relationship between 2 (or more) variables.
Examples:
 Relationship between Search Phrases and Product Purchases in your website
 Relationship between in-store sales and holidays

Charts that can be used to show Relationship:

 Scatter Plot
 Line Chart
 Data Table

What to do when you have more than one reason for the chart?
Simple, use common sense. If I were you, I would either cut down the messages to one or make 2
charts (each conveying one message). If that is not possible, I would consider using dynamic charts or
combination charts.

2. (Re)arranging the Data

Even when we know the message and corresponding chart, sometimes, our data may not support us.
We then have to rearrange the data. Using excel formulas, pivot tables, tables and data cleaning
tools we can easily massage the data.
Once we have the data in required format, we proceed to step 3.

3. Prepare the chart

Since you have already selected the chart type in Step 1, this is very straight forward. Most of the
regular charts are available in MS Excel as default charts. You can insert them with few clicks.
But for some special chart types, you may have to prepare the chart by helper series, formatting etc.

87
4. Format the chart
While most formatting is done as per individual taste, there are some ground rules that apply on
almost all charts. Here they are,
 No non-zero axis scale on bar charts [reasons and discussions]
 Make subtle grid-lines (or remove them) [how to remove grid lines]
 Add labels to important points [labeling techniques]
 Add descriptive, bold titles
 Position axis, scales at the right places (for eg. y-axis to the right on a large time series chart)
 Use simple, easy colors

A final word:
The ideas in this post are meant to be guide lines, not final words in the world of visualization. While
these rules can help you make a good chart, a great chart take so much more. Knowledge of your
data, Passion for what you do and Genuine focus on your audience’ needs can make your chart truly
outstanding. All the best.

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 READING PIECE 22
Ways to make a graph misleading

1. Vertical scale is too big or too small.

2. Vertical axis skips numbers, or does not start at zero.
3. Graph is not labeled properly.
4. Graph does not have a Title to explain what it is about.
5. Data is left out.
6. Scale not starting at zero.
7. Scale made in very small units to make graph look very big.
8. Scale values or labels missing from the graph.
9. Incorrect scale placed on the graph.
10. Pieces of a Pie Chart are not the correct sizes.
11. Oversized volumes of objects that are too big for the vertical scale differences they represent.
12. Size of images used in Pictographs being different for the different categories being graphed.
13. Graph being a non-standard size or shape.

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 Unit 3
Lifelong learning

Reading pieces 1 – 7

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 READING PIECE 1
Problems and problem solving
What is a problem?

Until very recently, a major difficulty in discussing problem solving was a lack of any clear-cut
agreement as to what constituted a “problem. This has finally been resolved; most mathematics
educators accept the following definition of a problem:

Definition: A problem is a situation, quantitative or otherwise, that confronts an individual or group of

individuals, that requires resolution, and for which the individual sees no apparent path to
the solution.

The key to this definition is the phrase “no apparent path.” As children pursue their mathematical
training, what were problems at an early age become exercises and eventually reduce to mere
questions. We distinguish between these three commonly used terms as follows:

 question: a situation that can be resolved by mere recall and memory

 exercise: a situation that involves drill and practice to reinforce a previously
learned skill or algorithm.
 problem: a situation that requires analysis and synthesis of previously learned
knowledge to resolve.

In addition, a problem must be perceived as such by the student, regardless of the reason, in order to
be considered a problem by him or her. If the student refuses to accept the challenge, it is not a
problem for that student at that time. Thus a problem must satisfy the following three criteria:

1. Acceptance: The individual accepts the problem. There is personal involvement, which
may be due to any of a variety of reasons, including internal motivation, external motivation
(peer, parent, and/ or teacher pressure), or simply the desire to experience the enjoyment
of solving a problem.
2. Blockage: The individual’s initial attempts at solution are fruitless. His or her habitual
responses and patterns of attack do not work.
3. Exploration: The personal involvement identified in (1) forces the individual to explore new
methods of attack.

Problems can thus also be defined as having these elements:

Givens Obstacles Goals

 Givens: initial conditions or contexts for the task

 Obstacles: a block such as not knowing the way, process or procedure for
reaching the goal
 Goals: objective, target or desired end
 Efforts:an attempt, activity or conscious effort is needed to find a solution

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Problems can be divided into five categories. The following is an example of a problem that can be
tackled in a variety of ways.

 Real: If you had to deliver leaflets on your own to every house in the surrounding area which
would be the quickest route to take, starting from home or school?

 Realistic: Look at local map to trace and record possible routes.

 Tangible: Create a model of the local road system and try traveling the possible routes with a
model figure.

 Contextual: Read a story to describe or explain why the leaflets are being delivered, where
they are being delivered and what is the best way of delivering them.

 Abstract: Record possible routes through a simplified grid of local roads. Devisew codes of
directions.

What is problem solving?

Problem solving is a (teachable) process. It is the means by which an individual uses previously
acquired knowledge, skills and understanding to satisfy the demands of an unfamiliar situation.

Problem solving is the link between facts and algorithms and the real-life problem situations we all
face.

It is an integral part of the larger area of critical thinking, which is a universally accepted goal for all
education.

What underlies efforts to solve a problem is some form of cognitive processing, in other words thinking
is essential to problem solving. Problem solving is applied thinking and can be contrasted with two
other kinds of thinking, creative (divergent) and critical (analytical) thinking. Creative and critical
thinking are essentially forms of investigative thinking, which may entail forms of enquiry for their own
sake or be applied for a purpose in problem solving.

Kinds of thinking: investigating and problem solving

Creative thinking (divergent)

Problem solving (applied)

critical thinking (analytical)

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What makes a good problem solver?

Although we cannot easily determine what makes some students good problem solvers, there are
certain common characteristics exhibited by good problem solvers. For instance, good problem
solvers know the anatomy of a problem. They know that a problem contains facts, a question, and a
setting. They also know that most problems (with the exception of some word problems in textbooks)
contain distractors, which they can recognize and eliminate.

A good problem solver has a desire to solve problems. Problems interest him or her; they offer a
challenge. Much like a climber of Mt. Everest, a problem solver likes to solve problems because they
exist!

Problem solvers are extremely perseverant when solving problems. They are not easily discouraged
when incorrect or when a particular approach leads to a dead end. They go back and try new
approaches again and again. They refuse to quit! If one method of attacking a problem fails to yield a
satisfactory solution, successful problem solvers try another. A variety of methods of attack are usually
at their disposal. They will often try the opposite of what they have been doing, in the hope that new
information will occur to them. They will ask themselves many “What if . . .“ questions, changing
conditions within the problem as they proceed.

Good problem solvers show an ability to skip some of the steps in the solution process. They make
connections quickly, notice irrelevant detail, and often require only a few examples in order to
generalize. They often show a marked lack of concern about neatness while developing their solution
process.

Above all, good problem solvers are not afraid to guess. They will make “educated guesses” at
solutions and then attempt to verify these guesses. They will gradually refine their guesses on the
basis of what previous guesses have shown them, until they find a satisfactory solution. They rarely
guess wildly but use their own intuition to make carefully thought-through guesses.

We would suggest that good problem solvers are students who hold conversations with themselves.
They know what questions to ask themselves, and what to do with the answers they receive as they
think through the problem.

What makes a good problem?

It should be apparent to the reader that we consider problems to be the basic medium of problem
solving. Furthermore, problem solving is the basic skill of mathematics education. It follows, then, that
without “good” problems, we could not have creative mathematics. What constitutes a good problem?
We suggest that a good problem contains some or all of the following characteristics:

1. The solution to the problem involves the understanding of distinct mathematical concepts or
the use of mathematical skills.
2. The solution of the problem leads to a generalization.
3. The problem is open-ended in that it affords an opportunity for extension.
4. The problem lends itself to a variety of Solutions.
5. The problem should be interesting and challenging to the students.

From: Problem solving: a handbook for senior high school teachers / Massachusetts – Allyn
& Baker

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 READING PIECE 2
Seven steps to problem solving
"The message from the moon... is that no problem need be considered insolvable."
- Norman Cousins

There are seven main steps to follow when trying to solve a problem. These steps are as follows:

1. Define and Identify the Problem

2. Analyze the Problem
3. Identifying Possible Solutions
4. Selecting the Best Solutions
5. Evaluating Solutions
6. Develop an Action Plan
7. Implement the Solution

1. Define and Identify the Problem

This first step is critical. It is essential for each group member to clearly understand the problem so
that all energy will be focused in the same direction. A good way to define the problem is to write down
a concise statement which summarizes the problem, and then write down where you want to be after
the problem has been resolved. The objective is to get as much information about the problem as
possible. It may be helpful to divide the symptoms of the problem into hard and soft data.

Hard Data Includes: Facts, statistics, goals, time factors, history

Soft Data Includes: Feelings, opinions, human factors, attitudes, frustrations, personality conflicts,
behaviors, hearsay, intuition
These steps may not always be pleasant, but after "venting" group participants may feel that the air
has finally cleared and members can be more rational and cooperative.
Sometimes information needs to be gathered via various devices to define the problem. These
devices may include: Interviews, statistics, questionnaires, technical experiments, check sheets,
brainstorming and focus groups.
Develop a Problem Statement

It is essential to develop an objective statement which clearly describes thje current condition your
group wishes to change. Make sure the problem is limited in scope so that it is small enough to
realistically tackle and solve. Writing the statement will ensure that everyone can understand exactly
what the problem is. It is important to avoid including any "implied cause" or "implied solution" in the
problem statement. Remember, a problem well stated is a problem half solved.

State the Goal

Once the problem is defined, it is relatively easy to decide what the goal will be. Stating the goal
provides a focus and direction for the group. A measurable goal will allow the tracking of progress as
the problem is solved.

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Considerations

When defining the problem, ask the following:

 Is the problem stated objectively using only the facts?

 Is the scope of the problem limited enough for the group to handle?
 Will all who read it understand the same meaning of the problem?
 Does the statement include "implied causes" or "implied solutions?"
 Has the "desired state" been described in measurable terms?
 Do you have a target date identified?

2. Analyze the Problem

In this stage of problem solving, questions should be asked and information gathered and sifted. Do
not make the mistake of assuming you know what is causing the problem without an effort to fully
investigate the problem you have defined. Try to view the problem from a variety of viewpoints, not
just how it affects you. Think about how the issue affects others. It is essential to spend some time
researching the problem. Go to the library or develop a survey to gather the necessary information.
Questions to Ask When Analyzing the Problem:

 What is the history of the problem? How long has it existed?

 How serious is the problem?
 What are the causes of the problem?
 What are the effects of the problem?
 What are the symptoms of the problem?
 What methods does the group already have for dealing with the problem?
 What are the limitations of those methods?
 How much freedom does the group have in gathering information and attempting to solve the
problem?
 What obstacles keep the group from achieving the goal?
 Can the problem be divided into sub problems for definition and analysis?

3. Identifying possible solutions

"The best way to have a good idea is to have a lot of ideas."

- Griff Niblack

Identifying possible solutions to the problem is sometimes referred to as finding "Optional Solutions"
because the goal is to complete a list of all conceivable alternatives to the problem. Using a variety of
creative techniques, group participants create an extensive list of possible solutions. Asking each
group member for input ensures that all viewpoints will be considered. When the group agrees that
every course of action on the list will be considered, they will feel some direct ownership in the
decision making process. This may help put the group in the mood of generating consensus later in
the decision making process.

You may already be familiar with some of these topics, but take the time to look through them anyway.
The information you will find is valuable to your group's success.

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Techniques Used in Solving Problems

These idea generation techniques are broken down into easy-to-follow steps that will help keep your
group organized and on the topic at hand. We are basically giving you step-by-step instructions on
how to accomplish each technique with ease and success.

Brainstorming
Brainstorming is a problem solving approach designed to help a group generate several creative
solutions to a problem. It was first developed by Alex Osborn, an advertising executive who felt the
need for a problem solving technique that, instead of evaluating and criticizing ideas, would focus on
developing imaginative and innovative solutions.

Steps
 A group's members are presented with a problem and
all its details.
 Members are encouraged to come up with as many
solutions as possible, putting aside all personal judgments and evaluations. "Piggy-
backing" off another person's idea is useful.
 All ideas are recorded so the whole group can see
them.
 Ideas are evaluated at another session.

Characteristics

 Procedure designed to release a group's creativity in

order to generate multiple imaginative solutions to a problem.
 Separates the idea-creation from the idea-evaluation
process by not allowing any criticism to take place while the group is generating ideas.
 May be more productive for each member to
brainstorm quietly and then share ideas with the group (brain writing).
 Electronic brainstorming puts each member at a
computer terminal and their ideas are projected to a screen so no one knows from whom
an idea came.
 Used by businesses and government to improve the
quality of decision making.

Buzz Groups

Steps
 The facilitator presents a target question to the group.
 If the group is large, divide into smaller groups (approx. six people).
 Each group is given a copy of the target questions on an index card and a
recorder/spokesperson is selected by seating. The individual then writes all ideas on index
cards.
 The group spends a few minutes thinking of and evaluating ideas.
 The group reports its list to the entire assembly.

Characteristics

 A large group is subdivided into smaller groups which discuss an assigned target
question, then report their questions back to the main group.

96
  Encourages participation and involvement that is not feasible in large groups.
 Technique can be used to identify problems or issues, generate questions to study,
compile a list of ideas or solutions, or stimulate personal involvement.
 Used by churches, schools, and company department heads to foster involvement in a
large group assembly.
Nominal Groups

Steps
 The problem, situation, or question is stated clearly
and concisely.
 The coordinator asks participants to generate a list of
the features or characteristics of the problem or question.
 The coordinator gives the group five to fifteen minutes
to work silently.
 Each suggestion is recorded on a chart visible to all
members.
 Members clarify the items, but do not yet evaluate
them.
 Each person chooses his or her top ranked items.
 The group engages in full discussion about the top
rated items.
 A decision is reached.

Characteristics

 Capitalizes on the finding that people working

individually while in the presence of others sometimes generate more ideas than while
interacting as a group.
 Can enable members to reach a decision on a
controversial issue without leaving a residue of bitterness from a win-lose conflict.
 Members work individually in each other's presence by
writing their ideas. They record these ideas on a chart, discuss them as a group, and
finally evaluate them by a ranking procedure until members reach a decision.
 Stifles effect of dominating members of the group.
 Tendency for lazy members to let others carry the ball
is minimized.
 Adds structure to the brainstorming process.

Delphi Methods

Steps
 A Delphi Panel is selected by the facilitator.
 The problem or issue is stated concisely in writing and
sent to each of the Delphi panel for individual work.
 The facilitator compiles another document that details
all the individual positions taken by the panel and distributes a copy to each member
 This procedure, with a facilitator compiling the
individual comments into a single document and distributing it to the group, continues until
a consensus is reached.

Characteristics

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  Not a group decision technique.
 Involves presenting a problem or an issue to the
appropriate individuals, asking them to list their solutions, compiling a master list,
circulating this master list to all participants, and asks them to comment in writing on each
item on the list. The list with comments is then circulate to the participants. The procedure
is continued until a decision is reached.
 Good for when time and distance constraints make it
difficult for group members to meet.

Fantasy Chaining

Steps
 Whenever the group is not talking about the here-and-
now of the problem, it is engaged in fantasy.
 Fantasy chaining is a group story-telling method
wherein everyone in the group adds something to the topic at hand, which may not
necessarily be the primary focus.

Characteristics

 Manifest theme is what the fantasy chain is about at

the surface level.
 Latent theme is the underlying theme (what the group
members are really thinking about).
 Helps the group define itself by creating symbols that
are meaningful and that help determine its values.
 Enables a group to discuss indirectly matters that
might be too painful or difficult to bring out into the open.
 Helps a group deal with emotionally "heavy"
information.
 Effective way in which groups create their shared
images of the world, each other, and what they are about as a group.
 A group's identity converges through these shared
fantasies.

Focus Groups

Steps
 Instructor introduces a topic that is to be discussed by
the group in any way they choose.

Characteristics

 Encourages unstructured thoughts about a given topic.

 Often used to analyze people's interests and values.
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  Universities, large corporations, and political
candidates use focus groups to understand how others perceive their strengths and
weaknesses.

Metaphorical Thinking

A metaphor is a thinking technique connecting two different universes of meaning. The key to
metaphorical thinking is similarity.

Excessive logical thinking can stifle the creative process, so use metaphors as a way of thinking
differently about something. Make and look at metaphors in your thinking, and be aware of the
metaphors you use. Metaphors are wonderful, so long as we remember that they don't constitute a
means of proof. As by definition, a metaphor must break down at some point.

Steps

 State the objectives of thinking in metaphors: to see

comparisons between two ideas, and to gain new insights from comparisons
 Brainstorm possible metaphors for some aspects of
the problem
 "Piggyback" on metaphors; build on them
 Choose the best metaphors to carry further
 Examine all imaginable areas of comparison in the
metaphor
 Ask questions the metaphor might answer
 Look for insights into causes, effects, and solutions for
your problem

Considerations

When identifying possible solutions, it is essential to remember to:

 Hold back from evaluating proposed solutions.
 Make a point of "thinking outside" of your own
experience and expertise.
 Involve everyone in the process.
 Go for quantity - at least 20 or so possible solutions
before narrowing the list to between four and six of the best suggestions.

4. Selecting the best solutions (Six steps to decision making)

"Decision making can be seen as bringing one into an ambivalent relationship

with both power and responsibility."
- Michael Lerner

Define and Identify The Problem

The starting point in any conscious attempt at rational decision making must be the recognition that a
problem exists. While effective meetings are essential to getting work done, most meetings leave us
still looking for a decision. A good group meeting should bring the group members together. It should
facilitate decision making, assist others in taking responsibility, and contribute to building team effort

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within the group.
The group begins with defining the problem. The group members only discuss the definition of terms
and how the problem relates to other issues. Identifying the problem is very crucial. It is important to
not define a problem so broadly that it generates never-ending questions.

Be Alert

Being alert at all times can help you work towards finding a solution in a logical manner. It is essential
to be sensitive to morally charged situations. Everyone in the group must be alert and ready to make
concise decisions if a problem were to arise. Group members should work through a series of steps
designed to force them to reflect on certain aspects of a problem in a rational manner. Being alert is
simply stating the obvious and immediate. For example, an auto accident, burnt out motor, and an
overdrawn account.

Gather Information and Do Not Jump to Conclusions

This is the essence of the decision making process. It is very important to spend time on this step
before suggesting solutions. It is said that successful groups do not jump to the solution stage
quickly. They spend ample amount of time gathering information and analyzing the problem. The
main purpose of this step is to gather as much information on a topic as possible. The group needs to
think about their audience. They need to think about who will be reading it and when. While accuracy
is important, there can be a trade-off between gathering information and letting morally significant
options and information disappear.

State The Case Briefly

In this step, the group needs to come up with relevant facts and circumstances. They need to gather
this information within the decision time available. It does not have to be a lot of information, but all of
the important information needs to be stated in brief context.
What Decisions Have to Be Made?

Life is full of choices and decisions. Even deciding not to decide is, of course, a decision. This stage
is very crucial to overcoming a problem, and, of course, making a group decision. The members of
the group need to put thoughts and ideas into play in order to make good decisions. The group needs
to brainstorm and gather lots of options to come to one final decision.
By Whom?

Remember that there may be more than one decision maker. Their interactions can be very important
and influential in a group decision.
Specify Feasible Alternatives

In this step the group needs to begin defining the problem. The group members need to define the
problem and come up with other ideas so they are not limited to just one final decision. If their first
alternative does not work out, they can make another decision and choose other alternatives. The
following are some steps to follow while finding feasible alternatives:

 Define the problem. Try to phrase it as a question.

 Discuss group goals and options.
 Identify all options available at that time.

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  Determine the importance of the problem.
 Make clear all meeting times and places.
State Live Options at Each Stage

In this step you should be sure to ask many questions. Each decision maker needs to take into
account good or bad consequences. Here, you should ask what the likely consequences are of
various decisions.

Identify Morally Significant Factors in Each Alternative

In this step you need to use your ethical resources to determine what the decision will be. The
following are the most significant factors you should use as a guideline when determining your
decision.

Principles

These are principals that are widely accepted throughout a group or

organization.

Respect Autonomy

Members of the group need to ask themselves questions such as, Would I be
exploiting others? Have promises been made?

Don't Harm

After making the decision, think to yourself whether or not your decision will hurt
anyone.

Be Fair

Be fair and work willingly with the members of your group.

Use Good Context

A decision must be made, but which solution should your group choose? In
identifying the best solutjion or solutions to the problem, the group should
consider from among the four to six suggestions that were decided upon from
the ideas which they had gathered. The different factors, or criteria, that people
use to make their decisions are often unclear or never voiced. This can lead to
misunderstandings and misinterpretations of other people's motives.

Discussion of Possible Resolutions

Gathering Ideas and Information on the Actual Problem

 Determine who exactly is your audience. This allows you to

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 specify a solution that best addresses a specific audience.
 Research and establish the history of the problem to be
solved, as well as what caused the problem to occur. This allows for accuracy within your
solution.
 Discuss how the problem to be solved relates to other issues.
However, be careful not to bring forth any other problems while solving the initial problem.
 Analyze and examine the facts and all of the gathered
information. This allows the group to challenge facts and assumptions, making sure they
can withstand any type of scrutiny or disagreement.
 Make sure that you have gathered enough information on the
problem.

Establish Some Type of Decision Criteria

The discussion of the group should focus on what makes an acceptable decision.

 Examine what an ideal decision consists of and what

should be included and excluded out of that decision.
 Discuss what a reasonable or fairly good solution
would be. This becomes important when the ideal solution can not be reached.
 Decide what standards the group should utilize to
judge a decision.
 Consider what is valid and feasible about the decision
made.

Discuss Possible Solutions

Address such questions as:

 Have all solutions been accounted for?
 What, if any, is the evidence to support each of the
chosen decisions?
 Did the group use brainstorming techniques to produce
ideas?

Selecting or Determining the Best Solution

At this stage in the process the group is working towards an agreement on the final solution. This is
done by testing all previously made solutions using the decision making criteria set forth by the group.
The group goal in this step is to make sure they have found the solution that will best solve the
problem and address any other issues that may have been a consequence of that problem.
During this phase, the group should eliminate any solution that does not meet the requirements and
focus on those that could ultimately be utilized. The group should be concerned with whether or not
the solution chosen solves the problem or just minimizes it.
 Is the solution workable in relation to the problem?
 Are there any limits that the solution presents?
 When looking at the advantages and disadvantages, which are there more of?
 Does the chosen idea live up to the standards of the decision criteria?
 Are the facts and information gathered consistent with the proposed solution?

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Implementing the Solution

In this phase the group should be focusing on two main goals.

 The best way to make the solution apply and function when applied to the problem.

 What resources are needed for the solution to work?

For this to work, complete dedication on the part of all group members is needed. Everyone in the
group has to be willing to work with one another while offering their unique skills and talents. Group
members also have to be willing to take full responsibility for the solution they choose.
Accountability within the group plays a very important part in the decision implementation process.
While in this phase, the group should ask such questions as (Schein, 1969):
 What do we have to do to accomplish our proposed course of
action?
 Who will be responsible for implementing the proposed plan?
 When can our group reasonably expect results?
 What unplanned events or accidents are likely to jeopardize
our actions?
 What people should we consult who can help us with our
proposal?
 What people should we consult who could threaten our
proposal?

Once this is done, the group can implement the solution.

During this final step, it is important to have the support of the entire group. Keep in mind that in case
this primary solution does not work as planned, the group will have to look for alternative solutions.
Tracking the effect of the solution in the long run also serves to be a helpful future model and
determines what is and what is not needed in a solution.

5. Evaluating solutions

There are several ways to evaluate the chosen solutions, and writing them all down will help the group
to choose the best solution to the problem.

Making a T-Chart to Weigh the Pros and Cons of Each Idea

It is often helpful to make a T-chart and ask members of the group to name the pros and cons of each
solution. This method will visually illustrate the strengths and weaknesses of each solution.

Develop and Assign Weights to Criteria

The key to avoiding possible deadlock in the decision making process is to put all criteria people are
thinking about on the table. This way, all group members are clear as to what criteria others are using.

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Prioritize the Criteria

The next step is for the group to agree on how important these criteria are in relation to each other.
For example, is cost the most important criterion, or low resistance by others, etc. The criteria should
then be rated in terms of importance. Assign a number to each criterion so that all criteria together
total 100.

Rate Proposed Solutions Using Criteria

Using the four to six possible solutions, score (on a scale of 1 to 10) each solution against each
criteria. Repeat this for each criterion. Multiply this score to the weighting, then add the weighted
scores for each solution. This exercise will help you to compare alternatives objectively.

Considerations

 What are the advantages of each solution?

 Are there any disadvantages to the solution?
 Do disadvantages outweigh advantages?
 What are the long and short-term effects of this solution if
adopted?
 Would the solution really solve the problem?
 Does the solution conform to the criteria formulated by the
group?
 Should the group modify the criteria?

6. Develop an action plan

An action plan is a chart that lists the tasks that need to be done and identifies who will be responsible
for each, when and what action is necessary, where to start, and how.

Divide the Solution Into Sequential Tasks

Looking at your solution as one task may seem too great an undertaking. It is much more productive
to divide it into sequential tasks which act as measurable steps toward the solution. When dividing the
solution into tasks, be sure to include a timeline, what is to be done, and who will do it.

Develop Contingency Plans

The best laid plans of mice and men...

Even the best of plans get stalled, sidetracked, or must be changed midstream because of something
unforeseen. Most times these circumstances cannot be prevented, but you can and should prepare
for potential kinks by having a contingency plan. Having such a plan will keep the momentum going
instead of having to stop and figure out what to do when an unplanned event occurs.

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Action Planning Question Checklist

The following checklist will be helpful to ensure that all bases are covered in your plan of action:
 What is the overall objective and ideal situation?
 What is needed in order to get there from here?
 What actions need to be done?
 Who will be responsible for each action?
 How long will each step take and when should it be
done?
 What is the best sequence of actions?
 How can we be sure that earlier steps will be done in
time for later steps which depend on them?
 What training is required to ensure that each person
knows how to execute each step in the plan?
 What standards do we want to set?
 What resources are needed and how will we get them?
 How will we measure results?
 How will we follow up each step and who will do it?
 What checkpoints and milestones should be
established?
 What are the make/break vital steps and how can we
ensure they succeed?
 What could go wrong and how will we get around it?
 Who will this plan affect and how will it affect them?
 How can the plan be adjusted without jeopardizing its
results to ensure the best response and impact?
 How will we communicate the plan to ensure support?
 What responses to change and other human factors
are anticipated and how will they be overcome?

Considerations

 Have you considered what resources will be needed?

 Have you developed contingency plans for the most critical
action steps?
 Are the necessary people aware of the contingency plan?

7. Implement the solution

Sometimes the groups who choose the solution are not the ones who will implement it. If this is the
case, members who select the solution should clearly explain why they selected it to the ones who will
implement it. Showing that the problem solving process was an organized and orderly process will
convince others that the solution is valid.

Monitoring

A designated member of the group should monitor whether or not specific tasks are being performed
or short-term targets are being achieved as planned. This monitoring should take place regularly until

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all tasks are completed. Some suggested monitoring techniques are:
 Tickler file
 Compliance reports
 Group meetings
 Individual meetings
 Customer/user interviews
 Surveys and written questionnaires
 Quality control spot checks
 Audit
 Walk through or role play
 Trend graph
 Checkpoints on action plan
 Personal inspection of all work
 Budget controls
 Grapevine

Implement Contingency Plan if Necessary

As conditions change during monitoring and evaluation of the Action Plan, it may become necessary
to implement the contingency plans to continue moving toward the goal.
Try making a three-column chart for your contingency plan listing:
 What could go wrong?
 How can you prevent this from happening?
 How will we fix it if it does happen?

Evaluate Results

This step may involve repeating the initial seven-step problem solving process to address additional
problems as needed. Make certain that the goal has been reached and that a plan is in place to
ensure that the problem will not recur.

Group Problem Solving

Ask the following questions and score each answer on a scale of 1 (no participation at all) to 5
(participated very well) to ascertain how well your group solved the problem:
 How well did the group assess the problem or
decision?
 How well did the group identify its goal?
 How well did the group identify the positive
consequences of the solutions under consideration?
 How well did the group identify the negative
consequences of the solutions under consideration?
 Did the group draw reasonable conclusions from

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 available information?

Considerations

 What role will others play in evaluating progress during

implementation?
 How will you know if the implementation is on track?
 How will you know when to implement the contingency plan?
 Who makes the decision?
 Has the goal been reached?
 Are plans in place to ensure the problem does not recur?

http://www.pitt.edu/~groups/probsolv.html

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 READING PIECE 3
Problem solving
What are problems?

We use the word problem to describe a wide range of situations of different importance, from the
irritation of discovering that the car battery is flat, to the life threatening failure of an aircraft engine in
mid-air.
Problems can be defined broadly as situations in which we experience uncertainty or difficulty in
achieving what we want to achieve, eg

 Stopping smoking is a problem when you decide you want to stop but cannot.
 A computer malfunction is a problem if it prevents you completing work on time.
 An excessive workload is a problem when it interferes with your ability to work effectively.
 Poor communication is a problem when it reduces the efficiency of an organisation.

Problems arise when an obstacle prevents us reaching an objective, eg when a breakdown in a

company's manufacturing plant (the obstacle) prevents it fulfilling orders (the objective).

Objective = something we have decided we need to achieve.

Obstacle = anything that prevents us achieving an objective.

objective + obstacle = PROBLEM

We encounter a large variety of problems during the course of our work, with objectives and obstacles
of different types and importance. Defining these accurately is essential to finding an effective solution.

Problems can be divided broadly into two groups:

Those where the current situation is not what was expected (known as closed or maintenance
problems)

Those where we want to change our current situation in some way but there is an obstacle preventing
us doing so (known as open-ended or achievement problems).

Closed problems occur when something has happened that should not have happened, or
something we expected to happen has not happened, ie there is a deviation from the normal or
expected state of affairs. For example, it could be the unexpected resignation of a key member of
staff, or the failure of the principal speaker to arrive at a conference. The cause (or obstacle) may be
known or unknown, but something needs to be done about it.

Open-ended problems occur when we want to achieve a specific objective but there are certain
obstacles blocking our progress. They can be subdivided into three groups:
 where we are unable to reach our current objective, eg failing to meet a sales target
 where our current objective could be exceeded, eg improved efficiency
 where a., new objective could be achieved through problem solving, eg creating a new product
or service.

Solving a problem involves finding ways to overcome any obstacles and to achieve our objective.

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Although each problem is unique in terms of the information involved, and requires a unique blend of
thought processes to find a solution, all successful problem solving follows a basic pattern.
The stages of problem solving

The problem solving process can be divided in different. ways and the stages have been given various
labels. This has been done to make it easier to understand but how it is divided and the labels that are
used are not important. To be a successful problem solver you need to understand what the stages
involve and follow them methodically whenever you encounter a problem.

To be a successful problem solver you must go

through these stages:
 recognising and defining the problem
 finding possible solutions
 choosing the best solution
 implementing the solution.
These stages are examined in detail in later
articles, but here is a summary of what is involved
at each stage.

1. Recognising and defining the problem

Obviously, before any action can be taken to solve a problem, you need to recognise that a problem
exists. A surprising number of problems go unnoticed or are only recognised when the situation
becomes serious. Opportunities are also missed. There are specific techniques you can use to help
you recognise problems and opportunities.

Once you have recognised a problem you need to give it a label..... a tentative definition. This serves
to focus your search for relevant information, from which you can write an accurate description or
definition of the problem.

The process of definition differs for closed and open-ended problems. With closed problems you need
to define all the circumstances surrounding the deviation from the norm. Sometimes this will provide
strong clues as to the cause of the problem.

Defining open-ended problems involves identifying and defining your objectives and any obstacles
which could prevent you reaching them. The problem definition provides the basis for finding
solutions.

2. Finding possible solutions

Closed problems generally have one or a limited number of possible solutions, while open-ended
problems usually can be solved in a large number of ways. The most effective solution to an open-
ended problem is found by selecting the best from a wide range of possibilities. Finding solutions
involves analysing the problem to ensure that you fully understand it and then constructing courses of
action which will achieve your objective.
Analysing the problem involves identifying and collecting the relevant information and representing it in
a meaningful way. Analysing closed problems helps you to identify all the possible causes and confirm

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the real cause, or obstacle, before looking for a solution. With open-ended problems you are looking
for information which will help to suggest a range of possible ways to solve the problem. Analysis also
helps you to decide what the ideal solution would be, which helps to guide your search for solutions.
Constructing courses of action to solve the problem involves discovering what actions will deal with
any obstacles and achieve your objective. Workable solutions are developed by combining and
modifying ideas and a range of creative techniques are available to help in this process. The more
ideas you have to work with, the better your chances of finding an effective solution.
3. Choosing the best solution
This is the stage at which you evaluate the possible solutions and select that which will be most
effective in solving the problem. It's a process of. decision making based on a comparison of the
potential outcome of alternative solutions. This involves
 identifying all the features of an ideal solution, including the constraints it has to meet
 eliminating solutions which do not meet the constraints
 evaluating the remaining solutions against the outcome required
 assessing the risks associated with the 'best' solution
 making the decision to implement this solution
A problem is only solved when a solution has been implemented. In some situations, before this can
take place, you need to gain acceptance of the solution by other people, or get their authority to
implement it. This may involve various strategies of persuasion.
4. Implementing the solution
This involves three separate stages:
 planning and preparing to implement the solution
 taking the appropriate action and monitoring its effects
 reviewing the ultimate success of the action
Implementing your solution is the culmination of all your efforts and requires very careful planning. The
plan describes the sequence of actions required to achieve the objective, the timescale and the
resources required at each stage. Ways of minimising the risks involved and preventing mistakes have
to be devised and built into the plan. Details of what must be done if things go wrong are also
included.
Once the plan has been put into effect, the situation has to be monitored to ensure that things are
running smoothly. Any problems or potential problems have to be dealt with quickly. When the action is
completed it's necessary to measure its success, both to estimate its usefulness for solving future
problems of this type and to ensure that the problem has been solved. If not, further action may be
required.
These stages provide a very flexible framework which can be adapted to suit all problems. With closed
problems, for example, where there is likely to be only one or a few solutions, the emphasis will be on
defining and analysing the problem to indicate possible causes. Open-ended problems, on the other
hand, require more work at the idea generation stage to develop a large range of possible solutions.
At any stage in solving a problem it may be necessary to go back and adapt work done at an earlier
stage. A variety of techniques and strategies are available to help you at each stage and these are
described in later articles.

The skills of problem solving

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Problem solving requires two distinct types of mental skill, analytical and creative.
Analytical or logical thinking includes skills such as ordering, comparing, contrasting, evaluating and
selecting. It provides a logical framework for problem solving and helps to select the best alternative
from those available by narrowing down the range of possibilities (a convergent process).. Analytical
thinking often predominates in solving closed problems, where the many possible causes have to be
identified and analysed to find the real cause.
Creative thinking is a divergent process, using the
imagination to create a large range of ideas for
solutions. It requires us to look beyond the
obvious, creating ideas which may, at first, seem
unrealistic or have no logical connection with the
problem. There is a large element of creative
thinking in solving open problems.
The creative thinking skills can be divided into
several key elements:
 fluency - producing many ideas
 flexibility - producing a broad range of
ideas . originality - producing uncommon
ideas
 elaboration - developing ideas.
Effective problem solving requires a controlled
mixture of analytical and creative thinking.
Research has shown that, in general terms, each
side or hemisphere of the brain is specialised to
serve one of these groups of skills. The degree of
specialisation of each hemisphere varies from
person to person, but it has given rise to the
terms right-brain thinking and left-brain thinking.
Left-brain thinking is more logical and analytical,
and is predominantly verbal. Right-brain thinking
is more holistic and is concerned with feelings
and impressionistic relationships.
To be a good problem solver you need to be able
to switch from one group of skills to the other and
back again, although this is not always easy.
Traditional education gives far greater
encouragement to the development and use of
left-brain thinking. This is reinforced in the way we
are required to work, where emphasis is placed
on rational, logical analysis of data in drawing
conclusions.

Some other terms which are often used in discussions of creativity include:

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Intuition - the ability to draw conclusions based on impressions and feelings rather than hard facts. It
is a characteristic of right-brain thinking and some people rely on it more than others.
Incubation - the period between stopping conscious work on a problem and the time when we
become aware of a solution or part solution. People struggling with problems often suddenly become
aware of a solution after a period of incubation, during which the mind is occupied by other things.
Invention - the creation of new, meaningful ideas or concepts.
Innovation - putting new ideas or concepts to a practical use, as in the development of a new product
or service.

Why people fail to solve problems effectively

Solving problems is. a complex process and each of us is better at the skills required at some stages
than others.
The following is a list of some of the reasons why people fail to find effective solutions include
not being methodical

 lack of commitment to solving the problem

 misinterpreting the problem
 lack of. knowledge of the techniques and processes involved in problelI1 solving
 inability to use the techniques effectively
 using a method inappropriate to the particular problem
 insufficient or inaccurate information
 inability to combine analytical and creative thinking
 failure to ensure effective implementation.
Remember

 A problem exists when an obstacle prevents you reaching an objective.

 Problem solving can be divided .into stages, which you. must follow methodically. if you want to
be sure of finding an effective solution.
 Solving problems effectively requires a controlled mixture of analytical and creative thinking
skills.

Barriers to finding the best solution

Some of the reasons we do not find the most effective solutions to our problems have been mentioned
already. This article looks at a range of factors known as 'blocks' which can hinder your problem
solving. It will help you to learn to recognise and overcome them.

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What are problem solving blocks?
A block is anything which prevents us finding an
effective solution to a problem. We all experience
them, but of different types and intensities. The
blocks have been grouped in various ways by
different authors according to their cause, eg
 perceptual
 emotional
 intellectual
 expressive
 environmental
 cultural
It's important that you are able to recognise when
blocks are hindering your problem solving so that
you can take action to overcome them.

What causes these blocks?

The labels applied to these blocks give some clues to their origins.
Perceptual blocks arise from the way we have learnt to recognise information from the world around
us. We develop habits of 'seeing' the world, which sometimes can get in the way of finding the best
solution to a problem, eg seeing only the most obvious solution.
Emotional blocks arise when our emotional needs conflict with the situation, eg when we do not
propose a radical. solution to a problem because we feel it might sound ridiculous and make us look
foolish.

Intellectual blocks are caused by us not being able to assimilate information in the ways required to
solve a problem, eg not knowing how to evaluate ideas to select the most effective solution.
Expressive blocks arise when we are unable to communicate in the way required to produce an
effective solution, eg not being able to express our ideas effectively to those who have to implement
the solution.
Environmental blocks are caused by. external obstacles in the social or physical environment, which
prevent us from solving a problem effectively, eg distractions from the task.
Cultural blocks result from our conditioning to accept what is expected or 'normal' in a given
situation, eg when the work ethic says that we must be serious-minded, but finding an effective
solution requires some playful fantasy.
All of the blocks, except those caused by the physical environment, arise through learning or lack of it,
either our own or that of people who influence us.
We can overcome most of our own blocks permanently by re-learning, and overcome other people's
blocks which hinder us by learning ways to sidestep them.

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The following is an explanation of some of the main blocks that exist under each category heading.

A. Perceptual blocks
Perceptual blocks exist when we are unable to clearly perceive a problem or the information needed to
solve it effectively .They include:
Seeing only what you expect to see
To recognise situations we look for patterns of key features which we have learnt by experience
represent a particular situation~ If the key features 'fit' we assume the situations are the same. This
often obscures the "true nature of a problem, either because we exclude relevant information
(because it isn't a key feature or didn't occur in the past), or include information simply because we
assume it is there.
Stereotyping
In recognising situations we automatically apply labels (like door, machine, laziness) which can
prevent us seeing all the features of. the situation. Often we don't look beyond the obvious. For
example, if someone isn't working as hard as we would like and we apply the label 'lazy' to that
person, we might overlook the possibility that boredom with monotonous work is the problem, and not
laziness.
Not recognising problems
A surprising number of problems go unnoticed or are recognised only when the effects have become
severe and emergency action is required.
Not seeing the problem in perspective
This is related to some of the previous blocks, and results from:
 taking too narrow a view of the situation, so that we recognise only part of the problem or the
information required to solve it
 failing to recognise how different parts of the problem are related
 seeing only superficial aspects of the problem, so that the solution is inadequate
 failing to see the problem from the point of view of other people who are involved.
Mistaking cause and effect
Many problems are recognised by their effects or the absence of expected results. If cause and effect
are confused then we are unlikely to find an effective solution. For example, if goods do not arrive and
we assume that the supplier is late in dispatching them when in fact our ordering department has
failed to send out the order, then our search for solutions will be misdirected. In this situation the late
dispatch of the goods is an effect of the problem and not a cause.
B. Emotional blocks
Emotional blocks exist when we perceive a threat to our emotional needs. These needs differ in type
and strength from person to person but include needs for achievement, recognition, order, belonging
and self-esteem. The emotional blocks include:
Fear of making mistakes or looking foolish
This is the most significant emotional block because it affects most of us and is difficult to overcome.
As a result of traditional schooling, the expected reaction when we make a mistake or suggest
radically different ideas is laughter and ridicule. No one likes being laughed at and as a result we learn
to fear making mistakes and to avoid suggesting ideas which are different.
This block becomes more severe in the presence of colleagues of a different rank to our own. With
.those who are more senior we imagine that we will be thought inexperienced or immature. With those

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more junior we want to protect our image as being knowledgeable and experienced.
Impatience
Being impatient to solve a problem may be due either to a desire to succeed quickly or to end the
discomfort or loss caused by the problem. This has two major consequences. We tend to grab the first
solution which comes along, without adequate analysis of the problem, and we evaluate ideas. too
fast, almost instinctively rejecting unusual ideas. Either way, our solution is unlikely to be the most
effective available.
Avoiding anxiety
This is another common block. Some of- us are more susceptible to anxiety and also find it more
unpleasant than others. Many factors can cause anxiety, including high risk, disorder and ambiguity,
long-term stress, and fear for our security. The effects on problem solving include avoiding risks,
indecision in situations which are not 'black and white', excessive reliance on others' judgement, and
avoiding challenging the status quo.
Fear of taking risks
This leads to the avoidance of situations where the outcome is uncertain or could be unpleasant. A
major cause is our desire for security. The consequences include setting objectives within easy reach,
so that there is no risk of failure, and accepting known solutions in preference to the unusual because
their value is certain. A liking for taking risks and over-confidence in being able to avoid unpleasant ,
consequences are more dangerous blocks.
Need for order
This is related to avoiding anxiety. It can lead to an inability to cope with the frustration of situations
which are not clear cut or where ambiguities exist.
Lack of challenge
This may arise when the problem is routine or the benefits/losses are not significant to us. The result is
that either we don't tackle the problem or we take the easiest, quickest route to solution.
C. Intellectual blocks
Intellectual blocks exist when we don't have the necessary thinking skills to find a successful solution,
or are unable to use them effectively. They include:
Lack of knowledge or skill in the problem solving process
This is one of the most common blocks. It includes: inadequate skills in analytical and creative
thinking; an inflexible strategy, using one approach for every type of problem; the inability to use the
various problem solving techniques. They can all lead to ineffective solutions.
Lack of creative thinking
This is always caused by an inability to use the skills rather than their absence, resulting from the
dominance of analytical thinking in our day-to-day lives and a lack of practice.
Inflexible thinking
This is a difficulty in switching from one type of thinking skill to another, such as from analysis to idea
generation or from verbal to visual thinking.
Not being methodical
This is perhaps the most common block. A step-by-step approach is essential to solving problems
effectively.
Lack of knowledge or skill in using the 'Language' of the problem
If a problem involves a language that we cannot understand or cannot use, such as specialist jargon

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or statistical analysis, we will not be able to tackle the problem effectively. Similarly, we may use an
inappropriate language, such as trying to find an error in accounts by describing the situation verbally
rather than analysing it mathematically.
Using inadequate information
This happens when we do not make sufficient effort to collect the relevant information, or do not
understand what information is relevant, where to find it, or how it relates to the problem. Similarly,
using inaccurate information can lead us to the wrong conclusions.
D. Expressive blocks
Expressive blocks exist when we do not have the knowledge or skills necessary to communicate or
record ideas in the ways required. They are caused by an inability to 'use 'languages' effectively, such
as words, drawings, mathematics, scientific symbols, and so on. They include:
Using the wrong language
Some problems are more effectively solved or communicated using one language rather than another.
For example, we are unlikely to get very far if we record data only verbally when the problem requires
quantitative analysis. Similarly, people may find it hard to grasp our meaning if we try to explain our
feelings about a situation using mathematics instead of words.
Unfamiliarity with a particular application of a language
The most obvious example is the difficulty many people have making a speech, even though they can
write their ideas effectively on paper.
Inadequate explanations
These can result from a real lack of information about what you are trying to convey, or from assuming
that your audience already has some of the information when, they don't.
A passive management style
A situation where we are reluctant to or find it difficult to exert influence may prevent us communicating
our ideas effectively. This is particularly important when people need to be convinced of the validity of
ideas.
A dominant management style
This is when we exert oppressive control, either deliberately or unconsciously, and can make those we
are communicating with automatically reluctant to accept what we say or hostile to our ideas.
E. Environmental blocks
Environmental blocks, which exist when the social or physical environment hinders our problem
solving, include:
Management style
The way in which we are managed can influence both our attitude to problem solving and the freedom
we have to .create and implement ideas. For example, if our ideas are dismissed constantly with
comments such as 'No, it wouldn't work because ...', or 'No, we've tried it before and it didn't work', we
soon give up trying.
Distractions
Due to excessive noise and interruptions, these affect some people more than others, but in general
they have a detrimental effect on problem solving.
Physical discomfort
This can create a distraction as well as resulting in stress. or lethargy depending on the
circumstances. For example, poorly designed chairs may create a distraction by giving us backache

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which, in turn, can make us irritable and less interested in any type of work.
Lack of support
This comes in many forms. For example, we may need specialist information, advice, skills or other
resources, or authority to take action. A more pervasive aspect of this block is a lack of
encouragement and the necessary organisational structure to support and exploit people's ideas.
Stress
Stress due to pressure of work and deadlines, affects people differently. For those who are susceptible
to stress it can be a powerful block, hindering creative thinking in particular.
Lack of communication
This has a number of effects, including inability to get the information you require and a lack of
encouragement.
Monotonous work
This can dull enthusiasm for solving problems and put us onto 'automatic pilot', making us blind to
problems when they occur.
Expectations of others
These can influence both our general perf9rmance in problem solving and the objectives we set
ourselves. For example, if our peers and superiors are happy with a regular solution to a problem we
may feel that it's a waste of time looking for anew; more effective solution. On the other hand, if we are
expected to find an innovative solution we are likely to make a greater effort.
F. Cultural blocks
Cultural blocks exist when our problem solving is hindrance by accepting that some things are good or
right and are done, while others are bad or wrong and are not done, So that we become bound by
custom. They include:
Unquestioning acceptance of the status quo
There is a tendency to conform to established ideas an methods of working and not to question them
or express ideas which depart from them. If something is not normal done we tend to look for the
reasons why it can't be done or why it wouldn't work, rather that looking for 'the reasons why it should
be done or why it could work.
Dislike of change
The attitude that tradition is preferable to change can arise, from the need for security. If a situation is
acceptable as it is, any change, which must involve some uncertainty, is felt to be threatening by some
people. However, as we become more and more accustomed to change this block is becoming less
common, but there must be reasons for change. Change for change's sake can be dangerous.
Fantasy and humour are not productive
There is still a widespread belief that fantasy and humour have no place in the serious business of
problem solving. Subjective reports from innovators suggest otherwise. Fantasy and humour are
connected by one common feature - the unlikely combination of ideas (think about it' next time you
hear a good joke - the punch line is always unexpected). Innovative solutions to problems arise in the
same way - by making a link between apparently unrelated ideas.
Feelings, intuition and subjective judgements are unreliable'
There is a strong bias towards reason, logic and quantitative judgements because they can be
measured and communicated in accurate terms. Feelings, intuition and subjective judgements, which
cannot be measured or communicated as effectively, are seen as unrealiable and are mistrusted.

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Even in mathematics, one of the most logical of sciences, intuition is often reported as playing a key
role in, problem solving. A good problem solver needs to be able to use both objective, logical
methods and subjective, intuitive methods in the search for solutions.
Over-emphasis on competition or cooperation
A strongly competitive environment (for recognition, promotion, and so on) can make people unwilling
to listen to the ideas of those with whom they are competing. Similarly, in a strongly cooperative
environment we may avoid expressing new ideas because we don't want to stand out from the crowd.
Taboos
Some actions and ideas are excluded from problem solving because they are regarded as distasteful,
or are harmful, or contravene accepted moral codes. For example, in a test of creativity a group of
students were given a problem to solve using calculus. They had to follow certain rules and the
objective was to see who produced the largest number of different routes to the correct solution. A few
students produced a lot more than the others because they chose to break the rules they were told to
follow.
Although eventually we may not decide to break a taboo, there is no harm in breaking them in thought.
This can often lead to new perspectives on a problem.
The labels given to all of these blocks only serve to help explain them. There is considerable overlap
between some of the blocks and this can make it hard to recognise them if you look for labels. The
most effective way to recognise blocks is to examine your thinking when you are solving problems
and be aware constantly for factors which are hindering your progress.

Overcoming the Blocks to Problem Solving

Perceptual blocks
These are relatively easy to overcome, simply by using the step-by-step approach, eg
 having systems to warn of the occurrence of problems
 defining and analysing problems adequately
 collecting all the relevant information
 questioning whether you have used inaccurate information or made assumptions about what is
and isn't relevant
 asking for other people's points of view
 using models to. represent the relationships between different aspects of the problem.
Emotional blocks

These can be difficult to overcome because they require a change in attitude, which may take some
time to learn. The following methods help to achieve this change:
 accept that if you are looking for new, better ways of doing something, some mistakes are
almost inevitable
 remember that many great thinkers have been , ridiculed for what turned out to be great
inventions eg the heavier-than-air flying machine
 if you still' fear looking foolish, try to develop your ideas into a practical form before you show
them to anyone, or develop a logical argument to prove that they will work
 following a strictly methodical approach will automatically curb impatience
 to avoid anxiety tackle problems in small, easily manageable steps; if necessary, put the
problem aside and come back to it later
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  if you don't want to take risks, identify the worst possible consequences, and how likely they
are to occur, and then try to find ways of preventing them
Intellectual blocks
To overcome the intellectual blocks described in this chapter you need to
 learn to be methodical
 practice using different types of 'language' to tackle problems
 practice using the various analytical and creative techniques.
Expressive blocks

 Overcoming these blocks involves learning to

 identify which 'language' is most likely to help you solve a particular problem
 use languages in different ways, eg diagrams to represent problems normally described
verbally
 ensure that when you explain ideas you have all the relevant information, it is accurate, and
that you convey it all clearly
 develop a style of working with others which is not too forceful (so that people are more willing
to listen to you) and not too passive (so that you learn how to influence people); showing
enthusiasm for your ideas can help by infecting others with enthusiasm.
Environmental blocks
Overcoming these blocks can be done by using some of these methods:
 if there is a climate of ,criticism, develop the strengths of your ideas and ways to overcome
their weaknesses before you propose the being careful how you describe it to others " also
help to avoid premature criticism
 conduct your problem solving in an environment which suits you, ie comfortable and free of
distractions likely to hinder you; this may make setting aside some time when you can move
away from your normal working environment
 if you feel people may not provide the help need, try to identify the benefits to then solving the
problem before you ask for their help
 if pressure of work hinders you, set aside some time when you are free from other work tackle
the problem
 if your work is monotonous, introduce ~ variety by looking for different ways of , the job;
alternatively, look for varied tasks that could be delegated to you. '
Cultural blocks
The following methods can be used to help overcome various cultural blocks:
 critically question existing ideas and me looking for areas for improvement
 identify constraints and question their validity
 if you dislike change, do some 'wishful thinking’ to see what benefits change would bring; ask
yourself what would be the consequences of taking a new approach.
 if you think fantasy and humour have no place in problem solving, practice using your day
dreams to develop your ideas; next time someone cracks a joke about a situation, think about
what new perspectives it creates
 if you think intuition is unreliable, think back over recent problems you have solved; did that
first 'hunch' turn out to be dose to your final solution?
 if you are in a very competitive environment, be careful how you explain your ideas to people
competing with you; emphasise the likely benefits to them
 if there is a strong climate of cooperation, ask members of your group for their ideas and
comments; share the problem with them.

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If you fail to solve a problem effectively, look back over your thoughts and actions to see if a block
hindered you. If it did, next time you can prepare to avoid it. By being constantly aware of the blocks
that can occur and using the techniques described above to overcome them when they hinder your
problem solving, you will find that gradually fewer and fewer blocks occur.
Remember
 There is a range of factors known as blocks which can prevent you finding the most effective
solutions to our problems.
 You can recognise blocks by their specific effects on your thinking and problem solving.
 When you recognise that a block exists you can overcome it by using the appropriate
technique.

Defining problems – closed and open ended problems

Defining closed problems

Defining closed problems involves identifying and recording all aspects of the deviation from the norm,
from which you can begin to deduce the possible causes. A preliminary definition of a closed problem
might be, for example, 'quality control has detected a 15% increase in rejects of component A during
the past week' . This type of definition is of little help in locating the cause of such a problem, but it's a
starting point for making a detailed description of the situation.
A technique widely used for defining closed problems is the Kepner- Tregoe approach, which helps to
systematically analyse and define all aspects of the problem situation. Developed by Drs Kepner and
Tregoe, it was used by Kepner to help find the cause of the explosion on board the Apollo space
capsule in 1968, which killed three American astronauts. The cause of the accident was eventually
isolated in the explosive mixture of gases used. Although this may seem an obvious place to look,
bearing in mind that the lives of other astronauts could have been at risk subsequently, it was essential
that every possibility of other causes or contributing factors was ruled out.

The Kepner- Tregoe approach consists of answering a series of questions about the situation, such
as:

 What is the problem?

 What isn't the problem?
 What is distinctive about it?
 Where is the problem?
 Where isn't the problem?
 Who/what does the problem involve?
 Who/what doesn't the problem involve?
 When did or when does the problem occur?
 When didn't or when doesn't it occur?
The answers help to build a detailed definition of the problem.
Without being able to investigate the situation you can only guess at answers to some of the
questions, but this demonstrates how the method is used to clarify problems and to suggest possible
causes

The questions can be modified to adapt to different situations and a detailed analysis using this

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method would include additional questions such as
 What is the same when the problem occurs?
 What is different when the problem occurs?
 What is the extent of the problem?
 Is the problem getting bigger?
 Is the problem getting smaller?
 What is distinctive about its change in size?
In combination, the answers to these questions build up a detailed picture of the problem which often
suggests possible causes. However, when you use the Kepner-Tregoe method it's important not to
jump to conclusions about the likely causes. You must complete the analysis because you locate the
true cause of the problem later by testing each possibility to see if it fits all the circumstances.
However, you should note any possible causes which occur to you at this stage.
When applying this method to your own problems you will need to investigate the situation carefully in
order answer the questions accurately, and all the information which supports your answers should be
documented so that it can be verified later. Questions may be asked repeatedly, as your
understanding of the problem grows, so that you can define it more precisely.
Although the Kepner-Tregoe method is time consuming and not easy to use at first, it is worth
persevering with because it ensures that you define closed problems carefully and thoroughly.
Defining open-ended problems
An open-ended problem is defined in terms of goals. Write the objectives as a statement of what you
want to achieve by solving the problem. The definition needs to be precise, to give aid and direction to
your search for solutions, but at the same time identify all the possible goals which would contribute
your overall objective. In order to define an open ended problem try the following methods.
First to explore all the possible goals and then to define precisely those which you want achieve.
Defining the problem in terms of a 'How to ... ? statements eg 'How to finance expansion?', focuses
attention on the problem area and provides a basis for suggesting alternative goals and routes to a
solution.
1. Write down a preliminary definition of an open ended problem that you have faced or are facing
currently. Phrase it in terms 'How to ... ?'.
2. Take as much time as you want and complete the following statements.
 There is usually more than one way of looking at a problem.
 You can define this one as ...
 But the main point of the problem is ...
 What I would really like to do is ...
 If I could break all the rules and laws of reality I would try to solve it by...
 The problem put in any other way could be likened to ,..
 Another, even stranger way of looking at it might be ...
Now look at your original definition.. Do any of your redefinitions help you to see the problem in a
different and perhaps more effective way?
If you 'tested' many different open-ended problems you would find that usually they do not have a
single' correct' definition. For example, 'How to increase sales?' could be restated as
How to... make our product more saleable? increase sales outlets? improve our market share? make
our marketing more effective? make our sales team more effective?

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Trying to find a single all-encompassing definition severely limits the scope of possible solutions.
Sometimes what appears to be a single problem is in fact a collection of several smaller, related
problems.
Inaccurate or misleading definitions can result in ineffective solutions.
An effective definition accurately represents' the key features of the problem in a way which gives
direction to your work in solving it,and problem situations have to be investigated thoroughly before
they can be defined effectively.
The more precise the definition, the greater your chances of finding an effective solution.
Use this checklist to review how thoroughly you have defined a problem.
 Can this objective be divided into several sub-goals?
 Is this objective the ultimate goal in solving the problem?
 Is achieving this objective simply a route to achieving another objective?
 Are there other related objectives?
 Can this obstacle be sub-divided?
 Does this obstacle really prevent me reaching this objective?
 Are there other related obstacles?
 Does this obstacle prevent me reaching other objectives?
 Does this definition take account of the needs of others who are involved or who may be
affected?
Open-ended problems are related to a need or desire to improve upon the current situation and there
is an inevitable risk that you may fail to benefit, or even change the situation for the worse. As a
safeguard against this happening you should' make a detailed comparison of the benefits of the
current situation with those you will achieve by reaching your objectives. This will enable you to look
for solutions which retain the good features of the current situation. You should be prepared to forfeit
these only when they are clearly outweighed by the benefits of achieving your objectives. This type of
analysis will also help you to measure the potential gain and estimate the practical limit of your
resources in finding a solution.
Many of the techniques described for defining openended problems can be applied to defining closed
problems once their cause (the obstacle) has been identified.
Defining problems effectively often requires painstaking work.You can't afford to make assumptions or
dive straight into looking for a solution. Sometimes the process of defining a problem reveals that it
doesn't require any action, perhaps because it will disappear and not recur, or because the actual loss
or potential gain is relatively insignificant. On other occasions you may need to decide when it would
be best to act.
Is action necessary, and when?
The effects of some problems are not significant enough to merit time and effort in solving them. Even
when they do, because many objectives and obstacles go through phases of growth and decay,
tackling a problem immediately may not be the best course of action. For example, if rain is preventing
you painting your house you wait until it stops raining rather than trying to erect a huge canopy over
the house. When you have a problem there are a number of options open to you, depending on the
nature of the situation:
 Do nothing: when the problem will solve itself; when its effects are insignificant; when the cost
of solving it is greater than the potential gain.
 Monitor the situation: when it is not urgent; when the problem is diminishing; when you are
unsure of the cause; when you need time to plan what to do; when the obstacle is getting
smaller; when the objective is developing or declining and finding a solution is likely to be
difficult.

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  Deal with the effects: when the cause will subside; when the cost of removing the cause is too
great; when an obstacle is too intractable.
 Try to solve it immediately: when the problem is growing; when it is having serious effects;
when the obstacle is getting larger; when the objective is developing or declining and finding a
solution is likely to be relatively easy; when a deadline has been imposed.
When you have decided to act upon a problem, the search for solutions involves finding ways to close
the gap between your current situation and one where you will have achieved your objective. At any
stage it may be necessary to redefine the problem, or you may decide that, due to new information
you have acquired, ordue to a change in circumstances, the problem does not require further action.
Remember
 To recognise problems efficiently you need to establish and maintain specific methods of
detection.
 To deal with problems effectively you need first to define it as something you can act upon.
 It' s not always appropriate to try to solve a problem immediately
 If you face several problems at once you may need to decide which one to tackle first.

Finding possible solutions

Finding a solution to a problem involves constructing a course of action that will transform your current
situation into one where your objective has been achieved. Some problems require no further analysis
once they have been defined effectively. If the definition confirms that it's a common or routine
problem, such as the failure - of a component in a manufacturing plant or a situation requiring
disciplinary action, it can be solved by implementing the appropriate standard solution.
Less common and more complex problems require further analysis. Even though the definition may
have given you clues to some possible solutions, you should explore all the possibilities. There is
considerable overlap between the stages involved but the process of finding solutions can be
represented as a cycle.
If you have, not already done so, at this stage you must decide who else should be involved in solving
the problem and in what way. This may be people involved with or affected by the problemf with
experience of, or an interest in, this type of situation; the relevant knowledge, or with good problem
solving skills.

The five stages of this problem solving process are:

1. Identifying the relevant information
2. Collecting and recording the information
3. Prepresenting the information
4. Deciding criteria of effectiveness
5. Constructing courses of action
Identifying the relevant information

The purpose of this stage is to give structure to your search for information and ideas relevant to the
problem. You need to decide what information you require, where you can find it, and how you can
gather it most effectively. With open-ended problems this information will help you to deal with
obstacles and find ways to achieve your objectives. For closed problems you need information which
will help you to clarify the problem, identify the cause, and suggest possible solutions
If you have defined the problem adequately you will already have some of the information required,
based on who and what is involved. Your objectives, any obstacles, and your description of the current
and desired situations will help you to identify the type of information you require and possible

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sources. In the case of closed problems you would look first at your answers to the questions in the
Kepner-Tregoe analysis and any possible causes which they suggest.

Two other useful sources of information are past experience of similar problems and people involved
with or affected by the problem who may have relevant information. It's vital to distinguish between
facts, ideas, needs, opinions and prejudices, although you must not ignore any information relevant to
the problem. If several people express the same need, for example, collectively it may represent an
important fador in finding an effective solution.
Your information must be relevant to the problem, accurate and preferably quantified. Ultimately, you
need to answer the following questions:
 What type of information is required, eg financial, strategic, technical, policy, behavioural?
 What specific information is required, eg dates, times, amounts, names, actions?
 Why is this information required, eg to clarify the situation, to identify resources for solving the
problem?
 What are the sources of this information, eg yourself, colleagues, eye-witnesses, records,
specialists, other departments, books, researchers? ,
 What form will it take, eg numerical, statistical, verbal?
 How accurate or reliable are the sources, eg are they biased; is the information in the form of
opinions?
 How can this information be obtained, eg memos, reports, meetings, informal discussions,
observation, listening, testing?
As you answer these questions you should draw up a list of the specific information you require, where
you can find it, and how you can gather it most effectively.
It's often difficult to recall from memory all the important factors relating to a particular problem. You
can use many of the creative techniques described in the next few articles to help you identify relevant
information and the possible causes of closed problems.
Collecting and recording the information
Information should be gathered and recorded systematically, starting with that which is going to take
the longest time to collect, eg advice from an outside expert. The information should be recorded as it
is gathered and not left to the memory. Any information you have not gathered yourself should be
verified eg finding out the original source of the information and how it was collected. It's particularly
important to verify quantified data.
Apart from any errors you may make in the collection and analysis of information, numerical and
statistical data can be manipulated by others to serve their own interests. You must ensure that the
way information is presented to you reflects the true situation and that any conclusions offered about
its relevance are accurate and logical.
Representing the information
Information relevant to the problem now needs to be organised into a meaningful pattern. With
complex problems it's impossible to hold all the information in your mind and to think about it dearly.
Even with simple problems it's invaluable to have a tangible representation or model of the problem
which gives structure to the information. Various types of model are described in later articles. These
help to
 reveal relationships between different aspects of the problem
 highlight gaps in your information and under standing
 stimulate your search for solutions
 communicate understanding to other people
 predict the likely consequences of actions you think may solve the problem.

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At this stage you should have a detailed understanding of the problem. If you are dealing with a closed
problem you should have a list of possible causes, together with all the information supporting or
refuting each cause.
To identify the real cause of the problem you test each possible cause against the effects noted in your
analysis. By a process of elimination the real cause is identified as the one which has precisely the
same effects as those which have occurred. If none of them fits precisely it means that either your
definition is inadequate or you need to look for other causes.
Defining criteria of effectiveness
Before looking for solutions to a problem it is important to decide what will constitute an effective
solution. This involves compiling a detailed list of the characteristics of what you want to achieve and
of the factors which must be taken into account in achieving that objective, ie an 'ideal' solution. These
criteria of effectiveness give direction to your search for solutions, telling you whether you are on the
right track, and will help you later to measure the relative effectiveness of your solutions.
Some of the information you need, though generally not all of it may be stated in the problem
definition. You need to consider a complex mixture of factors. An 'effective' solution must
 provide an acceptable level of benefits in terms of the objective
 deal effectively with obstacles/causes
 meet constraints on time, space, manpower and materials
 be cost effective and affordable
 be acceptable to
◦ those affected by the problem and the solution (eg staff, customers, clients, suppliers)
◦ those who have to agree to the solution
◦ those who will provide the necessary resources
◦ those who have to implement the solution
 involve an acceptable level of risk.
Some of these factors, such as the risks involved, can only be defined accurately when you have
found a specific course of action, although your knowledge of the background to the problem situation
should give. you some guidance. Other factors, such as cost constraints, can be defined broadly
before you look for solutions, even though later you may futd a solution offering benefits which warrant
changing the constraints.
At this stage of problem solving these criteria only serve as a guide in finding solutions which fit the
circumstances and are likely to succeed. You must not allow them to inhibit your search for solutions.
Constructing courses of action to solve the problem
Finding possible solutions now involves constructing courses of action which meet your criteria of
effectiveness as closely as possible. Ineyitably, different approaches to solving a problem will provide
different mixes of advantages and disadvantages.
Although your ideas must eventually meet your criteria of effectiveness, these can inhibit idea
generation. The best approach is to create as many ideas as possible for achieving each of the
changes required and only test them against these criteria once you have explored all the possibilities.
There are basically five sources of ideas for solving a problem and you should use as many of them
as possible:
 past experience of similar situations
 logical deduction from the facts
 other people
 published sources
 creative idea generation techniques

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As you search for solutions, answering the. following questions will help you to explore all the
possibilities:
 Do I really need to achieve this objective?
 Could I substitute a different objective?
 Could I achieve this objective in a different way?
 Would there be any advantage in delaying trying to achieve this objective?
 Would someone else be more effective in achieving this objective?
 Is this really an obstacle?
 Would someone else be more effective in dealing with this obstacle?
 Can I deal with the causes of this obstacle?
 Can I side-step this obstacle?
 Can I use this obstacle to my advantage?
Each action that you propose will be intended to achieve a particular effect. In doing so it may also
have side-effects which can be desirable or undesirable.If possible you should build into your solution
ways to minimise undesirable side-effects and to take advantage of the desirable ones
As you build up different plans of action you can use an appropriate model to represent how each
action contributes to achieving your overall objective. Models also help you to predict the effects of
various actions and to see how they interact. It's important that the actions form a coherent strategy for
tackling the problem. When several actions have to run consecutively, for example, you need to
ensure that together they will meet any time constraints which exist.
Once you have constructed a range of possible solutions you need to consider what could influence
their effectiveness e.g.
 What could go wrong? (e.g. does the person you are relying upon to negotiate the contract
have enough experience?)
 Are there related factors over which I have no control? (e.g. government legislation,
organizational policy changes)
 Could this objective change? (e.g. are new, higher targets likely to be set before this solution\is
implemented?)
 Could this obstacle become more intractable? (e.g. with the imminent reorganisation of the
department could this person become even more uncooperative?)
 Could relevant new obstacles arise? (e.g. a change in market needs, a competitor using the
same solution)
 Might this action create a new opportunity which could be exploited at the same time? (e.g.
could we market some of the information on this new database and offset some of our costs?)
Answers to these questions will help you to modify your solutions to minimize the chances of them
failing and to optimise their benefits. When you have a number of solutions which you feel could
achieve your objective effectively you have to evaluate them.
Remember
 All information relevant to the problem must be identified, collected and recorded in a mean-
ingful way.
 Identifying what constitutes an effective solution helps to guide yow search for solutions.
 Finding solutions involves constructing courses of action which will transform the current
situation into one where your objective is achieved.

The Road to a Solution – Using models to represent a problem

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When we face an important problem our eagerness to solve it often leads us to accept the first
solution that comes to mind, so that we can implement it without delay. Very often this will not be the
most effective solution available. The best approach, particularly with open-ended problems, is to
create a range of possible solutions from which we can subsequently select the best.
These examples highlight two very common difficulties in finding the best solution to a problem:
1. Not seeing all the relationships between different parts of the problem. The human mind can focus
on only a small amount of information at one time, so that we often find it difficult to hold a complete
and detailed mental picture of a problem in our minds. Without this we may overlook important
relationships.
It's vital to know how all the parts of a problem are interrelated, otherwise we can waste time and
perhaps not find the most effective solution. For example, our solution may aggravate the problem
because we overlooked a particular relationship, or there may be a better solution involving two
aspects we didn't relate.
2. Not seeing beyond the most obvious solution.The way we associate ideas and concepts in our
minds, forming patterns which are reinforced by experience, often makes it hard to see common
situations in a new light. Relationships between information which are new or seem 'unlikely', and
ideas which appear irrelevant, may be either consciously excluded or not triggered from memory
because of their weak associations with the situation.
To find creative solutions to our problems we need to escape habitual ways of looking at situations.

Using models to represent problems

Models give shape and structure to information, making it easier to remember, think about and build
on our ideas. They can highlight gaps in our information, help to predict the consequences of our
actions and stimulate ideas. Models are also invaluable for communicating problems and ideas for
their solution to other people.
In most situations you will find it helpful to use a model to represent the parts of a problem in an
appropriate pattern. There are many different types, composed variously of words, graphics,
mathematical formulas, symbols, and so on, as well as physical models.
There are various standard models which can be used to represent problems which have common
elements linked by the same relationships. These can be applied to any problem which fits the model.
Chemical equations and algebraic formulas are examples. So are business games, which represent
details of a variety of business situations and predict the consequences of our actions according to
how aspects of those situations interact in the real world.
Using models to represent problems

Models give shape and structure to information, making it easier to remember, think about and build
on our ideas. They can highlight gaps in our information, help to predict the consequences of our
actions and stimulate ideas. Models are also invaluable for communicating problems and ideas for
their solution to other people.
In most situations you will find it helpful to use a model to represent the parts of a problem in an
appropriate pattern. There are many different types, composed variously of words, graphics,
mathematical formulas, symbols, and so on, as well as physical models.
There are various standard models which can be used to represent problems which have common
elements linked by the same relationships. These can be applied to any problem which fits the model.
Chemical equations and algebraic formulae are examples. So are business games, which represent

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details of a variety of business situations and predict the consequences of our actions according to
how aspects of those situations interact in the real world.
The easiest way to create a word model is to list the main features of a problem, perhaps including
associated ideas that come to mind. This can be updated and expanded as you think of additional
relevant information. Word models can be manipulated easily, reordering the words in sequence or
classifying them into groups, to highlight the relationships arid differences between the information.

Abbreviated notes can be used effectively in the same way although prose, which is often used to
describe a problem, is less effective. The more structure that exists in each descriptive unit, the less
easy it is to add to and manipulate the information to reveal new relationships.
Words are easy to record and act as potent stimuli to the imagination. They are the most common way
of communicating problems to other people. However, there are some drawbacks. The choice of a
particular word or phrase to describe an idea can obscure its relationship with other relevant
information. For example, if you use the word box to describe a 'container' you want to redesign it
could narrow your thinking about different shapes and materials.
Also it is often difficult to give structure to the information contained in word models. Therefore it's a
good idea not to use them alone, but perhaps as a preliminary' to creating other types of model.
Drawings and diagrams
Drawing is an ideal way of beginning to create some kind of structure with your ideas. Unlike words
alone, lines can represent relationships more easily and give concrete form to a problem.
In making a drawing to represent a problem you are not trying to create a work of art. It should be
spontaneous, like doodling, allowing your thoughts to evolve in a visual way. Drawings can suggest
new relationships between ideas, new ways of structuring a problem and new routes to a solution.
A more structured form of drawing is to create a diagram.
Mind maps
This is a visual method of structuring ideas which can take on almost any form. The main idea or
concept is written at the centre of a page and then any related ideas that spring to mind are added as
branches off this central point. As each one triggers more ideas they are added as connecting lines,
branching outwards in all directions.
Ideas are written in block capitals along a line as it is added, so that each one acts as a clear trigger to
the recall of associated ideas. The method capitalises on the brain's power of association, subsequent
branches becoming more and more remote from the central idea.
The process should be spontaneous. You must not consciously think about where to place branches,
whether to exclude an idea, or try to think of ways of extending a particular branch if nothing springs to
mind. The aim is to record everything you can recall which may have the remotest relationship with the
central idea.
Chain diagrams
These are created in a more logical way than mind maps and show clearly how the main elements of
a problem are related. For example, it could show the stages in the manufacture of a product or the
supply of a service, with the labour, time or cost improvement at each stage.
Chain diagrams can be very complicated, with feedback loops and so on, showing the different kinds
of relationships between information. The direction of 'flow' of the process can be represented by
arrows and numbers can be added to quantify what is happening at each stage.
These diagrams can also be used to show the alternative choices that can be made in the system and
the influence of chance events. This forms what is sometimes called a tree diagram. When numbers
are added to show the value of alternative choices and the probability of chance events a decision tree

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is created, which can be used to evaluate alternative courses of action.
Force field diagrams
These are analytical tools for representing the dynamics of situations and suggesting ways of
influencing the forces and pressures which create and maintain them. Creating a force field diagram
involves identifying and representing graphically the equilibrium between two opposing sets of forces.
The driving forces are those which would push the equilibrium in. the direction needed to achieve the
objective. The opposing or restraining forces are those which act against the desired change - the
obstacles to achieving the objective.
To push the equilibrium in the direction needed to achieve the objective you need to find ways of
overcoming or neutralising the restraining or opposing forces, and/or strengthening the driving forces.
Force field analysis can be divided into simple stages:
 Describe the current situation.
 Describe the objective or desired outcome.
 Describe the least desired outcome (a worsening of the problem).
 Draw the basic diagram.
 Identify the driving forces (those acting to push equilibrium towards-the objective).
 Identify the opposing or restraining forces.
 Add these to the diagram. '.
 Identify neutral forces (these are not active now but could become driving or opposing forces'
when action is taken or the equilibrium is disturbed).
 Describe individual forces in detail and rate their relative importance/strength.
 Rate the ease of changing each force.
 Select the forces to be changed.
 Look for ways of influencing these forces in the ways required.
This technique is useful particularly where human factors are important, such as in behavioural
problems and changes to working practices or systems.
Mathematical models
Problems which involve quantitative information need to be represented in mathematical terms, even if
it is only to record the data. Mathematical models can represent the relationships between elements of
a problem and provide a means of manipulating the information, eg a + b = c. In some situations they
may be essential in finding an effective solution, eg in deciding what stress would be put on a newly
designed turbine, before you can select an appropriate material for its manufacture.
Constructing simple mathematical models. is within everyone's ability, but some highly complex
models are available now to the non-mathematician through personal computers. These can help to
solve a large range of problems by analysing a situation and forecasting how various actions, changes
or forces will affect it, e.g. financial modeling.
Representing problems and their possible solutions in quantitative terms is also a powerful way to
persuade people, particularly those who think in an analytical way and favour 'hard facts' .
Using an appropriate model to represent a problem will often suggest some ideas for a solution.
However, there are more powerful techniques for generating ideas.

Evaluating the solutions

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There are various ways of evaluating the possible solutions to a problem
The evaluation process can be divided into six stages:

 defining the 'ideal' solution

 eliminating unviable solutions, ie those which do not meet the constraints
 evaluating the remaining solutions against the results required
 assessing the risks associated with the 'best' solution and, if acceptable
 making the decision.

Defining the ideal solution

The criteria of effectiveness which you defined to guide your search for solutions are inadequate to
make an effective evaluation. Each solution may differ slightly or radically in the way and the extent to
which it achieves your various goals. To be able to evaluate these effectively' you need to construct a
model of the ideal solution against which to measure them.
But' basically you need to identify and compare their relative values. This information must be
recorded and presented in a meaningful way to aid comparison. It can also be used to persuade other
people to accept the decision and help to communicate the solution to those involved in its
implementation.

Obstacles or causes that need addressing?

 If the solution will be acceptable to the relevant stakeholders?

 What are the constraints that exist?
 What resources are available?
 What is the minimum acceptable result?
 What are the maximum level of disadvantages that are acceptable?
 Are there any other factors that must be considered?
Decisions are not always made by choosing the optimum mix of all the criteria of effectiveness.
Instead the following strategies may be used in certain situations:
Satisficing - refers to the selection of any solution which achieves a minimum set of requirements. It
could be used when there is insufficient time for a detailed evaluation of all the options or insufficient
information for a full evaluation.
Maximising - refers to giving preference to one particular evaluation criterion eg employ the individual
with the best telephone manner. This could be used when one criterion has a particular significance
and when there is insufficient time or information for a full evaluation.
Minimising - refers to giving preference to solutions with minimal disadvantage on a particular
criterion eg buy the make of popular car which shows minimum depreciation
You can use the following questions to evaluate your solutions:
 Is it an accurate reflection of what would be ideal under the circumstances?
 Does it take account of the needs of all the people involved?
 Are there any conflicting or inconsistent results required?
 Are the relative values you have given the criteria free from bias or other distortions?
 Do they conform to departmental and organisational policies?
You are now ready to begin evaluating your solutions. The method described below is intended to
reduce the amount of time required for evaluation by first eliminating solutions which do not meet the
constraints.

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Eliminating unviable solutions
At this stage you examine each solution in turn and reject those which do not meet all the constraints
you have.
Evaluating the remaining solutions
Each of the remaining solutions is now examined to see how well it provides the results required.
Assessing the Risks
Although the solution you have chosen offers the best balance of benefits versus disadvantages, you
need to examine the possible risks associated with this solution to ensure that they are acceptable
and to identify areas where risks could be minimised.
Making the decision
When you make a decision. you commit yourself to a particular course of action and take responsibility
for its consequences. If you do not make this commitment you have not made a decision, so you can't
proceed any further and you will not solve the problem.
Remember
 The 'best' solution is often a compromise between conflicting needs and between the
advantages and disadvantages of the various options.
 Solutions which don't meet the constraints of the situation must be rejected.
 The best of the remaining options is generally the one which fits the ideal solution most
closely, although you may use a different selection strategy.
 Before you accept a solution you must decide if any associated risks are acceptable.

Implementing your solution

Implementation is the culmination of all your work in solving a problem and requires careful attention
to detail. There are three basic stages involved:
 planning and preparing to implement the solution
 implementing and monitoring the action
 reviewing and analysing the success of the action.
Planning and preparation
Planning and preparation is the key to successful implementation. The more important the problem, or
the more complex the actions required to solve it, the more thorough your planning and preparation
needs to be to ensure success.
These questions highlight the main features of planning and preparation, which involve:
 constructing a plan of action

◦ the actions required

◦ scheduling the actions

◦ the resources required

◦ measures to counter adverse consequences

◦ management of the action

◦ reviewing the plan

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  selecting, briefing and training those involved.

Basically, the plan of action describes what actions are required and how they will be implemented to
ensure success. Unless the problem is simple or routine, you need to construct a detailed plan of
action. This involves systematically identifying and recording the following elements:
1. The actions required
These must be identified fully and precisely, otherwise the results expected will not be achieved. The
expected effects of these actions must also be identified, so that you will know when they have been
carried out successfully. This part of the plan can be constructed as follows:
 state your objective
 list the individual goals in the order in which they must be achieved to reach that objective
 identify what actions are required to achieve each goal, determine the sequence in which they
need to be carried out, and record them
 define, in measurable terms, what a successful outcome will be for each action and add the
details to the plan.
The sequence you choose for the various actions and goals is determined by a number of factors. In
some situations it may be necessary to complete one action or set of actions before another can
begin, eg laying a foundation before building a wall. Actions also have to run consecutively when they
each use the same resource to its available capacity. On other occasions actions can run concurrently,
such as when each member of a team is assigned a specific piece of equipment to test and evaluate.
With all but the very simplest plans it's wise to use a diagram, to represent the sequence of actions
and how they contribute to the overall objective. This helps to show how the actions interact and to
reveal areas of possible conflict. Actions should be fitted together as closely as possible, to prevent
wastage of resources, while allowing some margin for overrun. To do this you need to prepare a time
schedule for the actions.
2. Scheduling the actions
To create a time schedule for the actions, first you identify the time required to complete each action.
By representing this information on the diagram you can calculate at what stage, relative to the
starting time, each action will commence and finish, and determine the total time required to achieve
the objective. Simple plans can be represented by a chart which uses bars to show the sequence and
duration of the actions.
More complex plans require a more flexible structure, like a chain diagram or flow chart. Diagrams
help you to arrange the actions in a way which makes the best use of time and other resources. In
drawing up a schedule. it's important not to be over-optimistic in the time you allow for each action.
Additional time is required to accommodate delays and unforeseen obstacles, particularly with actions
which must be completed on time or which are susceptible to delays.
3. The resources required
For each action the resources required have to be precisely defined along a number of parameters,
including the type, amount and when they are required. Each resource is considered individually:
Time is sometimes overlooked but it can be a key resource in some situations. These can be defined
by answering some simple questions.
 What time is available before the deadline for achieving each action/goal/the overall objective?
 Are these timings compatible?
 Whose time is required?
 Will this time be spent within normal working hours?
Manpower may come from within and outside the organisation and can be defined by answering
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these questions
 How many people will be required?
 What skills, qualities and knowledge will they need to carry out the actions required of them?
 When and where will they be required?
 Will they be available when and where required?
 Will they be available for the length of time required?
 What briefing and training will they need to be able to carry out their tasks effectively?
Money can be defined by answering the questions
 How much will be needed?
 In what form? (e.g. cash, cheque, foreign currency)
 How will it be acquired? (e.g. loan, grant, endowment)
 What will be the source? (e.g. profits, merchant bank, local or central government)
 How will it be used and is this compatible with the source? (e.g. if it's a development grant
does the plan use it appropriately?)
 When and where will it be required?
 Will it be available when and where required?
 Does it need to be repaid, and when?
 Will it be recouped, how, and when? (eg through increased profits)
 Will there be additional cost in using this money? (eg interest or handling charges)
 Have the costs of all other resources been included?
Materials may fall into a number of categories, including consumables, raw materials, and equipment
(for temporary or permanent use). The material requirements can be defined by answering the
questions
 What type of materials will be required?
 If capital equipment is required, how will it be financed? (e.g. lease, loan)
 What are the specifications' of the materials required? (e.g. quality, size)
 What wastage is likely to occur?
 In what quantities are they required?
 When and where will they be required?
 Will they be available when and where required?
 Will transport be required?
 What handling (human and mechanical) will be required?
 Will storage space be required, where, how much, for how long, and will it be available?
Space can be defined by answering these questions
 What space will be required?
 How much space will be required?
 Where will the space be required?
 Does it have to be of a particular type (eg covered, with amenities) or with particular
dimensions?
 How long will the space be required?
Information may form a part of the manpower resource (eg expert advice or skills) but it can also be a
resource in its own right (eg renting a mailing list for a direct mail campaign). To define this resource
you need to answer these questions
 What specific information will be required?
 Is this information available from within the organisation or does it have to be bought-in?
 Where specifically is it available?
 When and where will it be required?

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  Will it be available when and where required?
 How long will it be required?
When you are calculating the resources required to implement a solution it's vital not to under-
estimate. A shortage could disrupt implementation completely and possibly incur heavy penalties, e.g.
having to pay a consultant for doing nothing while he's waiting for the installation of a piece of
equipment. Sometimes you may have to adapt your plan of action to suit the availability of resources.
Once you have made a complete list of the resource requirements, draw up a schedule of
resources,showing how and when they will be requested, from whom, and when and where they are
to be delivered.
4. Measures to counter adverse consequences
These have to be included in the plan. Although you have considered the areas of risk and possible
side-effects when constructing and evaluating your solution, and adapted it to try to minimise the
adverse consequences, you need to identify everything that could go wrong during implementation
and devise countermeasures. This includes even minor problems such as a key person being sick.
The steps involved are similar to those used to evaluate and minimise the risks associated with the
solution, only more detailed.
There are certain features of a plan of action which can make it more susceptible to something going
wrong. To identify these and make provision in your plan to deal with them, you should examine your
plan step-by-step and follow these stages:
 identify everything that could go wrong; look for areas where, for example,
- timing is crucial (e.g. with delays, could a deadline be missed?)
- a slippage in timing could bring subsequent actions into conflict (e.g. so that they simultan-
eously require the same resource)
- two or more activities coincide (e.g. will they interfere with each other?)
- there is no way of predicting what may happen (e.g. because of lack of knowledge or
experience)
- there is heavy reliance on facilities or equipment (e.g. could they fail?) ,
- there is heavy reliance on the cooperation and efforts of people (e.g. will they perform as
required?)
- all available resources in a particular category are being used (e.g. could an unexpected
event require their more urgent use elsewhere?)
- external factors could affect the actions required (e.g. withdrawal of labour in a national
dispute) or the effectiveness of the results (e.g. a change in market needs)
 analyse and evaluate the consequences, e.g.
- what are the effects if this happens?
- how serious are they?
- what is their relative seriousness?
- what is the probability of them happening (low, medium or high)?
 define how you could recognise trouble as early as possible, eg through the detection of
unexpected changes in predicted events
 devise countermeasures where possible, either to prevent the cause of trouble or minimise its
effects
 incorporate the method of recognition and the appropriate countermeasure into your plan.

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Adverse consequences which have the highest probability of occurring combined with the greatest
seriousness should be tackled first and every effort made to ensure that provision is made in your plan
to counter them effectively. Even if time is short and it requires extensive work, you can only afford to
omit minor adverse consequences with a low probability of occurrence. Although problems may not
arise during Implementation, if they do your plan must contain appropriate countermeasures which
can be taken without jepardising the rest of the plan.
5. Management of the action
Unless the solution is very simple or routine you must specify how the implementation will be
monitored and controlled. This enables the manpower to be appropriately led and managed, their
progress to be measured at specific intervals, and appropriate action to be taken to correct any
variance from the plan. The following steps help to identify how to manage the implementation:
 identify actions which require on-the-job supervision and monitoring (eg where individuals have
no previous experience of the actions required of them)
 identify the stages at which progress should be measured (e.g. upon completion of individual
goals or major activities; at critical phases)
 specify exactly what results are expected to have been achieved at these stages
 specify how and by whom the actual results will be measured
 ensure that appropriate measures to correct any variance between the expected and the actual
results are specified in the plan.
The stages you identify for measuring progress are, in effect, deadlines for achieving specific results.
These must be stated as a specific time or date in the overall time schedule. Unspecific or woolly
deadlines make implementation difficult to manage and can lead to disaster. The frequency of
measuring progress is dependent upon a number of factors:
 what is practical (e.g. economical and not interfering significantly with progress)
 the rate at which the situation is likely to change (e.g. major building works compared with
delicate negotiations over a couple of days)
 the seriousness of potential variances from the plan
Provision should also be made to monitor the solution once it has been implemented, so that any
unforeseen adverse consequences arising in the long term can be detected. For example, has a
change in the system created a bottleneck in processing work, or resulted in undue pressure on one
individual or department?
6. Reviewing the plan
Finally, you need to check the plan to ensure that
 the actions listed will achieve the various goals and the overall objective
 your time schedule is workable and can accommodate unexpected delays
 your estimation of resources is accurate
 the plan for managing the action will enable it to be kept on course.
Drawing up a plan of action is the most crucial stage in ensuring efficient implementation and it must
be accurate and thorough. This plan provides a blueprint for the remaining stages of implementation.

Selecting, briefing and training those involved

Your plan of action provides most of the information you require at this stage.
This situation is very similar to having to get your solution implemented successfully. You need to go
through the following stages:

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  select individuals with the appropriate skills, qualities and knowledge required to carry out the
various actions effectively
 brief these people. so that they know and understand what they are required to do
 give training, if necessary, to individuals who do not meet the exact requirements for carrying
out their assigned tasks effectively.
Selection involves comparing the skills, qualities and knowledge required for specific tasks with those
available amongst individual members of the workforce. By identifying the ideal attributes for carrying
out each action effectively - both what is required and what is to be avoided - you can construct a
model of the ideal candidate. Selection then consists of finding the best match to this ideal amongst
members of the workforce.
Once you have selected appropriate individuals you need to draw up a list of what actions each is
required to carry out, the results they will be expected to achieve, and what responsibilities they have
for achieving these results.
Frequently there will be at least some aspects of your plan for which the individuals available are not
ideally suited. If the discrepancy is large it may be necessary to buy in manpower with the appropriate
attributes. However, frequently the shortfall can he overcome by careful briefing or specific training.
Briefing is often the final step before a plan is implemented. As in any other type of communication, it
must be planned and executed carefully to ensure that it's effective. The following steps will help you
to brief people effectively:
 give individuals reasonable advance warning of what will be required of them
 prepare your briefing carefully so that it is clear, comprehensive and can be understood easily
by everyone
 after the briefing, check that everyone has understood what they are required to do by asking
them to repeat your instructions.
Your instructions should state clearly the responsibilities of each individual and the scope of
their authority in carrying out their task. It's important to give a level of authority which enables
individuals to use their initiative and not be bound rigidly to the plan. For example, if they foresee a
problem arising they need the freedom to act immediately if necessary.
The way you communicate your message is very important. Some individuals may have a different
view of the situation and different attitudes to your own, particularly if they have not been involved in
finding and evaluating solutions.
Training can be expensive and time-consuming. If people with the appropriate skills are not readily
available you need to compare the advantages and disadvantages of training them or buying-in the
necessary skills, eg training may provide individuals with skills which are of value in other aspects of
their work; hiring a consultant may create a valuable business contact.
Once people have been briefed on what they are required to do and other appropriate resources have
been arranged, the plan of action can be implemented.
Implementing and monitoring the action - Once action has been initiated, it has to be supervised
and monitored to ensure that the plan is followed accurately, implementing corrective action when
necessary. The details of this stage are specified in the plan of action.
Supervising the action ensures that individuals carry out their tasks efficiently according to the plan.
Monitoring progress enables you to identify whether or not the results being achieved are meeting the
planned requirements, and if not, why not. A decision can then be made on the action required to put
the plan back on course. Reviewing the overall achievement once the plan has progressed
significantly will indicate how well it is achieving the objective. If there are major discrepancies it
suggests that the plan is inadequate and needs to be revised.
Taking corrective action may involve implementing the appropriate countermeasure laid down in the
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plan, or taking unplanned action to counter unforeseen problems. For example, if time. has been lost
in completing one activity, other activities may have to be completed more quickly than planned in
order to meet a deadline. Minor problems which are unlikely to recur may not require any action. Major
faults in the plan may make it necessary to abandon implementation if no appropriate corrective action
is possible.
These three processes must be maintained until the plan is completed.
Reviewing and analysing the outcome - When the plan has been completed and the solution
implemented it is important to measure and analyse its success. This tells you whether the solution
has been effective in solving the problem and how useful it will be in solving similar problems in the
future. There are three stages
 measure the success of the solution by comparing the outcome of the action with the expected
results
 analyse any discrepancy to identify the reasons for it
 take further action if necessary.
Remember
 The more important the .problem, or the more complex the actions required to solve it, the
more planning and preparation you need to do.
 Action must be monitored to ensure that it is being carried out effectively and having the
desired effects; if not, corrective action must be taken.
 Once the action is completed, the outcome must be measured to check that it has provided an
effective solution; if not, further action may be required.

The Action Plan

The following Action Plan covers the main features of the problem solving process. You can use it as a
guide in tackling the problems you encounter. Remember that these stages often mix and overlap. You
may have noted additional points which are relevant to your particular situation.
Recognising and overcoming problem solving blocks
There is a large range of blocks which can hinder your problem solving. To avoid their effects you
need to
 be constantly aware of the factors which can hinder problem solving
 learn specific techniques for overcoming different types of block
 apply these techniques when you recognise that a block is hindering your problem solving.
answer 'yes' to the following questions, the 'more appropriate it is to tackle the problem as a group:
 Can the problem be defined in many different ways?
 Is information from many different sources required?
 Is it a very specialised problem?
 Does the problem have implications. for many people?
 Is there likely to be many possible solutions?
 Is it a complex problem with many different aspects?
 Will a solution need to be agreed by others?
The deciding question will always be: Are suitable and relevant people available to work together in
solving this problem?' There are a number of techniques designed specifically for solving problems as
a group, including brainstorming and synectics.
Recognising and defining the problem
This is a key stage in solving problems effectively. To recognise problems efficiently you need to

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  be aware of the areas in which problems may arise.
 establish specific methods of detection
- monitor performance against agreed standards
- observe staff to detect behaviour which may reflect an underlying problem.
- listen to staff so that you are aware of their concerns
- regularly review and compare current and past performance and behaviour to detect gradual
deterioration.
To define problems effectively you need to distinguish between open-ended and closed problems and
analyse them differently.
Closed problems:
 identify and record all aspects of the deviation from the norm
 analyse the information to identify- possible causes
 identify the real cause
 define in a similar way to open-ended problems.
Open-ended problems
 identify all the possible objectives that you may want to achieve - in terms of 'How to ...?'
 select the 'How to ...?' statements which most accurately represent your problem
 for each one, list the characteristics of the current and desired situations.
 add details of any obstacles which may prevent you achieving the desired situation
Deciding if and when to act
Not all problems are important enough to merit the resources required to solve them. Even when they
do, it's sometimes better to wait rather than to act immediately. Answering the following questions will
tell you if the problem requires action and whether it would be best to act now or wait.
 Will the problem solve itself?
 Are the effects significant enough to merit the resources that may be required to solve the
problem?
 Is the problem diminishing? (wait)
 Are the obstacles diminishing? (wait)
 Will the cause subside? (wait)
 Is the problem having serious effects? (act)
 Is the problem growing? (act)
 Are the obstacles growing? (act)
 Is there a deadline? (act)
Finding possible solutions
Open-ended problems usually have many possible solutions while closed problems have one or a
limited number of ways to overcome the cause. To find possible solutions you need to follow these
stages, which form a cycle:

Identify the relevant information - Initially based on your problem definition:

 What information is needed?
 Why is it needed?
 Where can it be obtained?
 How reliable will it be?
 How can it be obtained?

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Collect and record the information
This is a systematic process, starting with the information which will take the longest time to collect.
Checking the accuracy of the information is vital.
Represent the information.
Create a model of the problem. This helps to give it structure and helps in your search for solutions. At
this stage it maybe necessary to look for other possible causes of closed problems.
Define criteria of effectiveness
This gives direction to your search for solutions and involves listing the characteristics of an 'ideal'
solution:
 What benefits are you seeking?
 What obstacles/causes have to be dealt with?
 What are the constraints on the situation?
 What will be acceptable to those involved or affected?
 What level of risk is acceptable?
Some of these factors can only be defined once you have found possible solutions.
Construct courses of action to solve the problem
This involves finding ways of achieving the criteria of effectiveness you have defined. There are five
sources of ideas:
 past experience. of similar situations
 logical deduction from the facts
 other people
 published sources
 creative idea generation techniques.
The possible solutions are modified and refined to take account of factors which could influence their
effectiveness, eg
 What could go wrong?
 Are there. factors over which you have no control?
 Could the objectives change?
 Could the obstacles become more intractable?
 Could. new obstacles arise?
 Could this solution create an opportunity that can be exploited at the same time?
Evaluating your solutions
Deciding which of the possible solutions will be most effective in solving the problem is a systematic
process which can be divided into stages:
Involve others
 when you have a formal obligation to consult them
 when you require additional information to help in the evaluation
 when you require their expert skills when you need their commitment.
Define the ideal solution:
 results required
 benefits in terms of the objective
 dealing effectively with obstacles/causes
 acceptance of the solution by other people

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  constraints
 limits of resources
 minimum results acceptable
 maximum disadvantages that can be tolerated.
The results required are given numerical values according to their relative importance. Where, the
outcome is uncertain you need to calculate probabilities.
Eliminate unviable solutions, - those which do not meet the constraints.
Evaluate the remaining solutions, - estimate how well each one fits the ideal solution.
Assess the risks associated with this solution, -
 Is the information used in the construction and evaluation of the solution accurate?
 If not, could this put the success of the solution in jeopardy, and how?
 What could happen if the implementation does not go as planned?
 What are the chances of these things happening?
 What would be the effects?
 How severe would they be?
If the risks are unacceptable and cannot be reduced sufficiently by adapting the solution it must be
rejected. Continue this process until you find an acceptable solution.
Make the decision to implement the solution. Until you commit yourself to taking action you cannot
proceed any further and the problem will remain unsolved.
Getting your solution accepted
To encourage people to accept your solution, and to gain their commitment to its successful
implementation, first you need to draw up a plan for implementing the solution.
Identify areas of possible opposition by considering
 how the solution could adversely affect the people involved
 what they expect or need from the solution and what it will give them
 their feelings about the nature of the problem and your solution
 their relationship with, and perception of, you
 what the solution requires of them.
Prepare a presentation which optimises the chances of your solution being accepted and supported,
e.g.
 incorporate measures to counter opposition
 get people involved and interested
 appeal to their self-interest
 justify your proposed use of resources
 explain your solution effectively
 be prepared to make concessions.

Deliver your presentation effectively, whether in a meeting or a report, e.g.

 choose the right moment
 make it clear and easy to understand
 show your enthusiasm for the solution.
Persevere until you succeed, either by improving your presentation or your solution, presenting it to
someone else, or by looking for a different solution.

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Implementing your solution
To ensure that your solution is implemented successfully, and achieves the results you expect, you
need to
Plan and prepare to implement the solution:
 draw up a plan of action
- the actions required
- a schedule of actions
- the resources required (what and when)
- measures to counter adverse consequences
- management of the action
 review the plan to ensure that it is adequate and accurate
 select, brief and train those involved to ensure that they have the appropriate information, skills
and qualities required to implement the action successfully.
Implement and monitor the action:
 supervise the action
 monitor its-implementation and effects
 keep it on track by countering unexpected delays, faults and obstacles.
Review and analyse the success of the action:
 compare the outcome of the action with the expected results
 identify any discrepancies (positive or negative) and analyse them to identify the causes
 take further action if necessary eg to correct a shortfall or to maintain current results.
HOW TO BECOME A BETTER PROBLEM SOLVER
 have confidence in your ability to learn
 practice being methodical and using the appropriate techniques
 be patient with your progress
 analyse your mistakes and learn from them
 if your working environment is not conducive to effective problem solving, either try to change it
or learn how to avoid its effects
 don't be afraid to ask for help in the form of advice or training
KEY POINTS
Improving your problem solving skills requires
 a methodical approach
 continuous practice
 perseverance
 confidence in being able to succeed.
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 READING PIECE 4

Critical thinking
What is Critical Thinking?
No one always acts purely objectively and rationally. We connive for selfish interests. We gossip,
boast, exaggerate, and equivocate. It is "only human" to wish to validate our prior knowledge, to
vindicate our prior decisions, or to sustain our earlier beliefs. In the process of satisfying our ego,
however, we can often deny ourselves intellectual growth and opportunity. We may not always want to
apply critical thinking skills, but we should have those skills available to be employed when needed.
Critical thinking includes a complex combination of skills. Among the main characteristics are the
following:

Rationality
We are thinking critically when we
 rely on reason rather than emotion,
 require evidence, ignore no known evidence, and follow evidence where it leads, and
 are concerned more with finding the best explanation than being right analyzing apparent
confusion and asking questions.

Self-awareness
We are thinking critically when we
 weigh the influences of motives and bias, and
 recognize our own assumptions, prejudices, biases, or point of view.

Honesty
We are thinking critically when we recognize emotional impulses, selfish motives, nefarious purposes,
or other modes of self-deception.

Open-mindedness
We are thinking critically when we
 evaluate all reasonable inferences
 consider a variety of possible viewpoints or perspectives,
 remain open to alternative interpretations
 accept a new explanation, model, or paradigm because it explains the evidence better, is
simpler, or has fewer inconsistencies or covers more data
 accept new priorities in response to a reevaluation of the evidence or reassessment of our real
interests, and
 do not reject unpopular views out of hand.

Discipline
We are thinking critically when we
 are precise, meticulous, comprehensive, and exhaustive
 resist manipulation and irrational appeals, and
 avoid snap judgments.

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Judgment
We are thinking critically when we
 recognize the relevance and/or merit of alternative assumptions and perspectives
 recognize the extent and weight of evidence
In sum,
 Critical thinkers are by nature skeptical. They approach texts with the same skepticism and
suspicion as they approach spoken remarks.
 Critical thinkers are active, not passive. They ask questions and analyze. They consciously
apply tactics and strategies to uncover meaning or assure their understanding.
 Critical thinkers do not take an egotistical view of the world. They are open to new ideas and
perspectives. They are willing to challenge their beliefs and investigate competing evidence.
Critical thinking enables us to recognize a wide range of subjective analyses of otherwise objective
data, and to evaluate how well each analysis might meet our needs. Facts may be facts, but how we
interpret them may vary.
By contrast, passive, non-critical thinkers take a simplistic view of the world.
 They see things in black and white, as either-or, rather than recognizing a variety of possible
understanding.
 They see questions as yes or no with no subtleties.
 They fail to see linkages and complexities.
 They fail to recognize related elements.
Non-critical thinkers take an egotistical view of the world
 They take their facts as the only relevant ones.
 They take their own perspective as the only sensible one.
 They take their goal as the only valid one.

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When examining the vast literature on critical thinking, various definitions of critical thinking
emerge. Here are some samples:
 "Critical thinking is the intellectually disciplined process of actively and skillfully
conceptualizing, applying, analyzing, synthesizing, and/or evaluating information
gathered from, or generated by, observation, experience, reflection, reasoning, or
communication, as a guide to belief and action" (Scriven, 1996 ).

 "Most formal definitions characterize critical thinking as the intentional application of

rational, higher order thinking skills, such as analysis, synthesis, problem recognition
and problem solving, inference, and evaluation" (Angelo, 1995, p. 6 ).

 "Critical thinking is thinking that assesses itself" ( Center for Critical Thinking, 1996b ).

 "Critical thinking is the ability to think about one's thinking in such a way as 1. To
recognize its strengths and weaknesses and, as a result, 2. To recast the thinking in
improved form" (Center for Critical Thinking, 1996c ).

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 READING PIECE 5

Characteristics of Critical and Uncritical Thinkers

Critical Thinkers…
Uncritical Thinkers
 Are honest with themselves,  Pretend they know more than they do,
acknowledging what they don't know, ignore their limitations, and assume their
recognizing their limitations, and views are error- free.
being watchful of their own errors.  Pretend they know more than they do,
ignore their limitations, and assume their
 Regard problems and controversial views are error- free.
issues as exciting challenges.

 Regard problems and controversial

 Strive for understanding, keep curiosity issues as nuisances or threats to their
alive, remain patient with complexity, ego.
and are ready to invest time to
overcome confusion.  Are inpatient with complexity and thus
would rather remain confused than
 Base judgments on evidence rather than make the effort to understand.
personal preferences, deferring
judgment whenever evidence is
insufficient. They revise judgments when
new evidence reveals error.  Base judgments on first impressions
and gut reactions. They are
unconcerned about the amount or
 Are interested in other people's ideas quality of evidence and cling to their
and so are willing to read and listen views steadfastly.
attentively, even when they tend to
disagree with the other person.  Are preoccupied with themselves and
their own opinions, and so are unwilling
to pay attention to others' views. At the
 Recognize that extreme views (whether first sign of disagreement, they tend to
conservative or liberal) are seldom think, "How can I refute this?"
correct, so they avoid them, practice
fair-mindedness, and seek a balance
 Ignore the need for balance and give
view
preference to views that support their
established views.
 Practice restraint, controlling their
feelings rather than being controlled by
them, and thinking before acting.
 Tend to follow their feelings and act
impulsively.

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In the book, Critical Thinking, Beyer elaborately explains what he sees as essential
aspects of critical thinking. These are:
 Dispositions: Critical thinkers are skeptical, open-minded, value fair-mindedness,
respect evidence and reasoning, respect clarity and precision, look at different
points of view, and will change positions when reason leads them to do so.

 Criteria: To think critically, must apply criteria. Need to have conditions that must
be met for something to be judged as believable. Although the argument can be
made that each subject area has different criteria, some standards apply to all
subjects. "... an assertion must... be based on relevant, accurate facts; based on
credible sources; precise; unbiased; free from logical fallacies; logically consistent;
and strongly reasoned" (p. 12).

 Argument: Is a statement or proposition with supporting evidence. Critical thinking

involves identifying, evaluating, and constructing arguments.

 Reasoning: The ability to infer a conclusion from one or multiple premises. To do

so requires examining logical relationships among statements or data.

 Point of View: The way one views the world, which shapes one's construction of
meaning. In a search for understanding, critical thinkers view phenomena from
many different points of view.

 Procedures for Applying Criteria: Other types of thinking use a general

procedure. Critical thinking makes use of many procedures. These procedures
include asking questions, making judgments, and identifying assumptions.

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aracteristics

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Critical Thinking: Basic Questions & Answers
In this interview for Think magazine (April ’’92), Richard Paul provides a quick overview of critical
thinking and the issues surrounding it: defining it, common mistakes in assessing it,READING
its relation toPIECE 6
communication skills, self-esteem, collaborative learning, motivation, curiosity, job skills for the
future, national standards, and assessment strategies.

Question: Critical thinking is essential to effective learning and productive living. Would you share
your definition of critical thinking?

Paul: First, since critical thinking can be defined in a number of different ways consistent with each
other, we should not put a lot of weight on any one definition. Definitions are at best scaffolding for
the mind. With this qualification in mind, here is a bit of scaffolding: critical thinking is thinking about
your thinking while you’re thinking in order to make your thinking better. Two things are crucial:

1) critical thinking is not just thinking, but thinking which entails self-improvement

2) this improvement comes from skill in using standards by which one appropriately assesses
thinking. To put it briefly, it is self-improvement (in thinking) through standards (that assess
thinking).

To think well is to impose discipline and restraint on our thinking -by means of intellectual standards
- in order to raise our thinking to a level of "perfection" or quality that is not natural or likely in
undisciplined, spontaneous thought. The dimension of critical thinking least understood is that of
"intellectual standards." Most teachers were not taught how to assess thinking through standards;
indeed, often the thinking of teachers themselves is very "undisciplined" and reflects a lack of
internalized intellectual standards.

Question: Could you give me an example?

Paul: Certainly, one of the most important distinctions that teachers need to routinely make, and
which takes disciplined thinking to make, is that between reasoning and subjective reaction.

If we are trying to foster quality thinking, we don't want students simply to assert things; we want
them to try to reason things out on the basis of evidence and good reasons. Often, teachers are
unclear about this basic difference. Many teachers are apt to take student writing or speech which is
fluent and witty or glib and amusing as good thinking. They are often unclear about the constituents
of good reasoning. Hence, even though a student may just be asserting things, not reasoning things
out at all, if she is doing so with vivacity and flamboyance, teachers are apt to take this to be
equivalent to good reasoning.

This was made clear in a recent California state-wide writing assessment in which teachers and
testers applauded a student essay, which they said illustrated "exceptional achievement" in
reasoned evaluation, an essay that contained no reasoning at all, that was nothing more than one
subjective reaction after another.

The assessing teachers and testers did not notice that the student failed to respond to the
directions, did not support his judgment with reasons and evidence, did not consider possible criteria
on which to base his judgment, did not analyze the subject in the light of the criteria, and did not
select evidence that clearly supported his judgment.

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Instead the student:

described an emotional exchange

asserted-without evidence-some questionable claims

expressed a variety of subjective preferences

The assessing teachers were apparently not clear enough about the nature of evaluative reasoning
or the basic notions of criteria, evidence, reasons, and well-supported judgment to notice the
discrepancy. The result was, by the way, that a flagrantly miss-graded student essay was
showcased nationally (in ASCD's Developing Minds), systematically misleading the 150,000 or so
teachers who read the publication.

Question: Could this possibly be a rare mistake, not representative of teacher knowledge?

Paul: I don't think so. Let me suggest a way in which you could begin to test my contention. If you
are familiar with any thinking skills programs, ask someone knowledgeable about it the "Where's the
beef?" question. Namely, "What intellectual standards does the program articulate and teach?" I
think you will first find that the person is puzzled about what you mean. And then when you explain
what you mean, I think you will find that the person is not able to articulate any such standards.
Thinking skills programs without intellectual standards are tailor-made for miss-instruction. For
example, one of the major programs asks teachers to encourage students to make inferences and
use analogies, but is silent about how to teach students to assess the inferences they make and the
strengths and weaknesses of the analogies they use. This misses the point. The idea is not to help
students to make more inferences but to make sound ones, not to help students to come up with
more analogies but with more useful and insightful ones.

Question: What is the solution to this problem? How, as a practical matter, can we solve it?

Paul: Well, not with more gimmicks or quick fixes. Not with more fluff for teachers. Only with quality
long-term staff development that helps the teachers, over an extended period of time, over years not
months, to work on their own thinking and come to terms with what intellectual standards are, why
they are essential, and how to teach for them. The State Department in Hawaii has just such a long-
term, quality, critical thinking program . So that's one model your readers might look at. In addition,
the National Council for Excellence in Critical Thinking Instruction is focused precisely on the
articulation of standards for thinking. I am hopeful that eventually, through efforts such as these, we
can move from the superficial to the substantial in fostering quality student thinking. The present
level of instruction for thinking is very low indeed.

Question: But there are many areas of concern in instruction, not just one, not just critical thinking,
but communication skills, problem solving, creative thinking, collaborative learning, self-esteem, and
so forth. How are districts to deal with the full array of needs? How are they to do all of these rather
than simply one, no matter how important that one may be?

Paul: This is the key. Everything essential to education supports everything else essential to
education. It is only when good things in education are viewed superficially and wrongly that they
seem disconnected, a bunch of separate goals, a conglomeration of separate problems, like so
many bee-bees in a bag. In fact, any well-conceived program in critical thinking requires the
integration of all of the skills and abilities you mentioned above. Hence, critical thinking is not a set
of skills separable from excellence in communication, problem solving, creative thinking, or

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collaborative learning, nor is it indifferent to one's sense of self-worth.

Question: Could you explain briefly why this is so?

Paul: Consider critical thinking first. We think critically when we have at least one problem to solve.
One is not doing good critical thinking, therefore, if one is not solving any problems. If there is no
problem there is no point in thinking critically. The "opposite" is also true. Uncritical problem solving
is unintelligible. There is no way to solve problems effectively unless one thinks critically about the
nature of the problems and of how to go about solving them. Thinking our way through a problem to
a solution, then, is critical thinking, not something else. Furthermore, critical thinking, because it
involves our working out afresh our own thinking on a subject, and because our own thinking is
always a unique product of our self-structured experience, ideas, and reasoning, is intrinsically a
new "creation", a new "making", a new set of cognitive and affective structures of some kind. All
thinking, in short, is a creation of the mind's work, and when it is disciplined so as to be well-
integrated into our experience, it is a new creation precisely because of the inevitable novelty of that
integration. And when it helps us to solve problems that we could not solve before, it is surely
properly called "creative".

The "making" and the "testing of that making" are intimately interconnected. In critical thinking we
make and shape ideas and experiences so that they may be used to structure and solve problems,
frame decisions, and, as the case may be, effectively communicate with others. The making,
shaping, testing, structuring, solving, and communicating are not different activities of a fragmented
mind but the same seamless whole viewed from different perspectives.

Question: How do communication skills fit in?

Paul: Some communication is surface communication, trivial communication--surface and trivial

communication don't really require education. All of us can engage in small talk, can share gossip.
And we don't require any intricate skills to do that fairly well. Where communication becomes part of
our educational goal is in reading, writing, speaking and listening. These are the four modalities of
communication which are essential to education and each of them is a mode of reasoning. Each of
them involves problems. Each of them is shot through with critical thinking needs. Take the
apparently simple matter of reading a book worth reading. The author has developed her thinking in
the book, has taken some ideas and in some way represented those ideas in extended form. Our
job as a reader is to translate the meaning of the author into meanings that we can understand.

This is a complicated process requiring critical thinking every step along the way.

What is the purpose for the book?

What is the author trying to accomplish?

What issues or problems are raised?

What data, what experiences, what evidence are given?

What concepts are used to organize this data, these experiences?

How is the author thinking about the world?

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 Is her thinking justified as far as we can see from our perspective?

And how does she justify it from her perspective?

How can we enter her perspective to appreciate what she has to say?

All of these are the kinds of questions that a critical reader raises. And a critical reader in this sense
is simply someone trying to come to terms with the text.

So if one is an uncritical reader, writer, speaker, or listener, one is not a good reader, writer, speaker,
or listener at all. To do any of these well is to think critically while doing so and, at one and the same
time, to solve specific problems of communication, hence to effectively communicate.

Communication, in short, is always a transaction between at least two logics. In reading, as I have
said, there is the logic of the thinking of the author and the logic of the thinking of the reader. The
critical reader reconstructs (and so translates) the logic of the writer into the logic of the reader's
thinking and experience. This entails disciplined intellectual work. The end result is a new creation;
the writer's thinking for the first time now exists within the reader's mind. No mean feat!

Question: And self esteem? How does it fit in?

Paul: Healthy self-esteem emerges from a justified sense of self-worth, just as self-worth emerges
from competence, ability, and genuine success. If one simply feels good about oneself for no good
reason, then one is either arrogant (which is surely not desirable) or, alternatively, has a dangerous
sense of misplaced confidence. Teenagers, for example, sometimes think so well of themselves that
they operate under the illusion that they can safely drive while drunk or safely take drugs. They often
feel much too highly of their own competence and powers and are much too unaware of their
limitations. To accurately sort out genuine self-worth from a false sense of self-esteem requires, yes
you guessed it, critical thinking.

Question: And finally, what about collaborative learning? How does it fit in?

Paul: Collaborative learning is desirable only if grounded in disciplined critical thinking. Without
critical thinking, collaborative learning is likely to become collaborative mis-learning. It is collective
bad thinking in which the bad thinking being shared becomes validated. Remember, gossip is a form
of collaborative learning; peer group indoctrination is a form of collaborative learning; mass hysteria
is a form of speed collaborative learning (mass learning of a most undesirable kind). We learn
prejudices collaboratively, social hates and fears collaboratively, stereotypes and narrowness of
mind, collaboratively. If we don’t put disciplined critical thinking into the heart and soul of the
collaboration, we get the mode of collaboration which is antithetical to education, knowledge, and
insight.

So there are a lot of important educational goals deeply tied into critical thinking just as critical
thinking is deeply tied into them. Basically the problem in the schools is that we separate things,
treat them in isolation and mistreat them as a result. We end up with a superficial representation,
then, of each of the individual things that is essential to education, rather than seeing how each
important good thing helps inform all the others

Question: One important aim of schooling should be to create a climate that evokes children’s
sense of wonder and inspires their imagination to soar. What can teachers do to "kindle" this spark

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and keep it alive in education?

Paul: First of all, we kill the child's curiosity, her desire to question deeply, by superficial didactic
instruction. Young children continually ask why. Why this and why that? And why this other thing?
But we soon shut that curiosity down with glib answers, answers to fend off rather than to respond to
the logic of the question. In every field of knowledge, every answer generates more questions, so
that the more we know the more we recognize we don't know. It is only people who have little
knowledge who take their knowledge to be complete and entire. If we thought deeply about almost
any of the answers which we glibly give to children, we would recognize that we don't really have a
satisfactory answer to most of their questions. Many of our answers are no more than a repetition of
what we as children heard from adults. We pass on the misconceptions of our parents and those of
their parents. We say what we heard, not what we know. We rarely join the quest with our children.
We rarely admit our ignorance, even to ourselves. Why does rain fall from the sky? Why is snow
cold? What is electricity and how does it go through the wire? Why are people bad? Why does evil
exist? Why is there war? Why did my dog have to die? Why do flowers bloom? Do we really have
good answers to these questions?

Question: How does curiosity fit in with critical thinking?

Paul: To flourish, curiosity must evolve into disciplined inquiry and reflection. Left to itself it will soar
like a kite without a tail, that is, right into the ground! Intellectual curiosity is an important trait of
mind, but it requires a family of other traits to fulfill it. It requires intellectual humility, intellectual
courage, intellectual integrity, intellectual perseverance, and faith in reason. After all, intellectual
curiosity is not a thing in itself — valuable in itself and for itself. It is valuable because it can lead to
knowledge, understanding, and insight; because it can help broaden, deepen, sharpen our minds,
making us better, more humane, more richly endowed persons.

To reach these ends, the mind must be more than curious, it must be willing to work, willing to suffer
through confusion and frustration, willing to face limitations and overcome obstacles, open to the
views of others, and willing to entertain ideas that many people find threatening. That is, there is no
point in our trying to model and encourage curiosity, if we are not willing to foster an environment in
which the minds of our students can learn the value and pain of hard intellectual work. We do our
students a disservice if we imply that all we need is unbridled curiosity, that with it alone knowledge
comes to us with blissful ease in an atmosphere of fun, fun, fun.

What good is curiosity if we don't know what to do next or how to satisfy it? We can create the
environment necessary to the discipline, power, joy, and work of critical thinking only by modeling it
before and with our students. They must see our minds at work. Our minds must stimulate theirs
with questions and yet further question; questions that probe information and experience; questions
that call for reasons and evidence; questions that lead students to examine interpretations and
conclusions, pursuing their basis in fact and experience; questions that help students to discover
their assumptions, questions that stimulate students to follow out the implications of their thought, to
test their ideas, to take their ideas apart, to challenge their ideas, to take their ideas seriously. It is in
the totality of this intellectually rigorous atmosphere that natural curiosity thrives.

Question: It is important for our students to be productive members of the work-force. How can
schools better prepare students to meet these challenges?

Paul: The fundamental characteristic of the world students now enter is ever-accelerating change; a
world in which information is multiplying even as it is swiftly becoming obsolete and out of date; a
world in which ideas are continually restructured, retested, and rethought; where one cannot survive
with simply one way of thinking; where one must continually adapt one's thinking to the thinking of
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others; where one must respect the need for accuracy and precision and meticulousness; a world in
which job skills must continually be upgraded and perfected — even transformed. We have never
had to face such a world before. Education has never before had to prepare students for such
dynamic flux, unpredictability, and complexity for such ferment, tumult, and disarray.

We as educators are now on the firing line.

Are we willing to fundamentally rethink our methods of teaching?

Are we ready for the 21st Century?

Are we willing to learn new concepts and ideas?

Are we willing to learn a new sense of discipline as we teach it to our students?

Are we willing to bring new rigor to our own thinking in order to help our students bring
that same rigor to theirs?

Are we willing, in short, to become critical thinkers so that we might be an example of

what our students must internalize and become?

These are profound challenges to the profession. They call upon us to do what no previous
generation of teachers was ever called upon to do. Those of us willing to pay the price will yet have
to teach side by side with teachers unwilling to pay the price. This will make our job even more
difficult, but not less exciting, not less important, not less rewarding. Critical thinking is the heart of
well-conceived educational reform and restructuring, because it is at the heart of the changes of the
21st Century. Let us hope that enough of us will have the fortitude and vision to grasp this reality
and transform our lives and our schools accordingly.

Question: National standards will result in national accountability. What is your vision for the future?

Paul: Most of the national assessment we have done thus far is based on lower-order learning and
thinking. It has focused on what might be called surface knowledge. It has rewarded the kind of
thinking that lends itself to multiple choice machine-graded assessment. We now recognize that the
assessment of the future must focus on higher – not lower – order thinking; that it must assess more
reasoning than recall; that it must assess authentic performances, students engaged in bona fide
intellectual work.

Our problem is in designing and implementing such assessment. In November of this last year,
Gerald Nosich and I developed and presented, at the request of the U.S. Department of Education,
a model for the national assessment of higher order thinking. At a follow-up meeting of critical
thinking's problem-solving, communication, and testing scholars and practitioners, it was almost
unanimously agreed that it is possible to assess higher-order thinking on a national scale. It was
clear from the commitments of the departments of Education, Labor, and Commerce that such an
assessment is in the cards.

The fact is, we must have standards and assessment strategies for higher-order thinking for a
number of reasons.

First, assessment and accountability are here to stay. The public will not accept less.

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 Second, what is not assessed is not, on the whole, taught.

Third, what is miss-assessed is miss-taught.

Fourth, higher-order thinking, critical thinking abilities, are increasingly crucial to success
in every domain of personal and professional life.

Fifth, critical thinking research is making the cultivation and assessment of higher-order
thinking do-able.

The road will not be easy, but if we take the knowledge, understanding, and insights we have gained
about critical thinking over the last twelve years, there is much that we could do in assessment that
we haven't yet done — at the level of the individual classroom teacher, at the level of the school
system, at the level of the state, and at the national level.

Of course, we want to do this in such a way as not to commit the "Harvard Fallacy;" the mistaken
notion that because graduates from Harvard are very successful, that the teaching at Harvard
necessarily had something to do with it.

It may be that the best prepared and well-connected students coming out of high school are going to
end up as the best who graduate from college, no matter what college they attend. We need to
focus our assessment, in other words, on how much value has been added by an institution. We
need to know where students stood at the beginning, to assess the instruction they received on their
way from the beginning to the end. We need pre-and post-testing and assessment in order to see
which schools, which institutions, which districts are really adding value, and significant value, to the
quality of thinking and learning of their students.

Finally, we have to realize that we already have instruments available for assessing what might be
called the fine-textured micro-skills of critical thinking. We already know how to design prompts that
test students' ability to identify a plausible statement of a writer's purpose; distinguish clearly
between purposes; inferences, assumptions, and consequences; discuss reasonably the merits of
different versions of a problem or question; decide the most reasonable statement of an author's
point of view; recognize bias, narrowness, and contradictions in the point of view of an excerpt;
distinguish evidence from conclusions based on that evidence; give evidence to back up their
positions in an essay; recognize conclusions that go beyond the evidence; distinguish central from
peripheral concepts; identify crucial implications of a passage; evaluate an author's inferences; draw
reasonable inferences from positions stated . . . and so on.

With respect to intellectual standards, we are quite able to design prompts that require students to
recognize clarity in contrast to unclarity; distinguish accurate from inaccurate accounts; decide when
a statement is relevant or irrelevant to a given point; identify inconsistent positions as well as
consistent ones; discriminate deep, complete, and significant accounts from those that are
superficial, fragmentary, and trivial; evaluate responses with respect to their fairness; distinguish
well-evidenced accounts from those unsupported by reasons and evidence; and tell good reasons
from bad.

With respect to large scale essay assessment, we know enough now about random sampling to be
able to require extended reasoning and writing without having to pay for the individual assessment
of millions of essays.

What remains is to put what we know into action: at the school and district level to facilitate long-
term teacher development around higher-order thinking, at the state and national level to provide for
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long-term assessment of district, state, and national performance. The project will take generations
and perhaps in some sense will never end.

After all, when will we have developed our thinking far enough, when will we have enough
intellectual integrity, enough intellectual courage, enough intellectual perseverance, enough
intellectual skill and ability, enough fair mindedness, enough reasonability?

One thing is painfully clear. We already have more than enough rote memorization and uninspired
didactic teaching; more than enough passivity and indifference, cynicism and defeatism,
complacency and ineptness. The ball is in our court. Let's take up the challenge together and make,
with our students, a new and better world.

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 READING PIECE 7

Miniature Guide

to
The Art of

Asking
Essential Questions
by
Dr. Linda Elder and
Dr. Richard Paul

Based on
Critical Thinking Concepts and Socratic Principles

The Foundation for Critical Thinking

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The Quality of
Our Thinking
is Given in the
Quality of Our
Questions

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Introduction: The Power of Essential Questions
It is not possible to be a good thinker and a poor questioner. Questions define tasks, express
problems, and delineate issues. They drive thinking forward. Answers, on the other hand, often
signal a full stop in thought. Only when an answer generates further questions does thought
continue as inquiry. A mind with no questions is a mind that is not intellectually alive. No questions
(asked) equals no understanding (achieved). Superficial questions equal superficial
understanding, unclear questions equal unclear understanding. If your mind is not actively
generating questions, you are not engaged in substantive learning.

Thinking within disciplines is driven, not by answers, but by essential questions. Had no basic
questions been asked by those who laid the foundation for a field — for example, physics or
biology — the field would not have been developed in the first place. Every intellectual field is
born out of a cluster of essential questions that drive the mind to pursue particular facts and
understandings. Biology was born when some humans pursued answers to the questions: “What
are the characteristics of living systems? What structures exist in them? What functions do these
structures serve?” Biochemistry was born when biologists began to ask questions such as: “What
chemical processes underlie living things? How and why do chemical processes within living
things interact and change?”

Every field stays alive only to the extent that fresh questions are generated and taken seriously
as the driving force in thinking. When a field of study is no longer pursuing significant answers to
essential questions, it dies as a field. To think through or rethink anything, one must ask the
questions necessary to thinking through the logic of that thing, clearly and precisely.

In this miniature guide, we introduce essential questions as indispensable intellectual tools. We

focus on principles essential to formulating, analyzing, assessing, and settling primary questions.
You will notice that our categories of question types are not exclusive. There is a great deal of
overlap between them. Deciding what category of question to ask at any point in thinking is a
matter of judgment. Having a range of powerful questions to choose from is a matter of
knowledge.

Because we cannot be skilled at thinking unless we are skilled at questioning, we strive for a
state of mind in which essential questions become second nature. They are the keys to productive
thinking, deep learning, and effective living.

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 Questioning in a live and
“learning” mind never ends

Questions become transformed

Questions generate more

questions

Stimulate new ways to think, new

paths to follow

as we
Analyze Evaluate
thinking thinking

Improve our thinking

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Analytic q uestions implied by the elements of thought

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Asking complex interdisciplinary questions

When addressing a complex question covering more than one domain of thought, target prior questions
by formulating questions according to domain. Does the question, for example, include an economic
dimension? Does it include a biological, sociological, cultural, political, ethical, psychological, religious,
historical, or some other dimension? For each dimension of thinking inherent in the question, formulate
questions that force you to consider complexities you otherwise may miss.

When focusing on domains within questions, consider such questions as:


What are the domains of thinking inherent in this complex question?

Am I dealing with all the relevant domains within the question?
 Are we leaving out some important domains?

This figure shows some of the domains that might be embedded in a complex question:

Domains of Questions
(by discipline)
This diagram was adapted from a diagram created by John Trapasso.

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Questioning the status of disciplines

When studying any discipline, it is important to determine the strengths and weaknesses in it.
To do this you must question the status of knowledge and “expert” information in the field,
rather than blindly accepting what you read and are told about the discipline. Of course, you
must do this through disciplined and responsible thinking, being alert to both strengths and
weaknesses. Some critical questions to ask about a field of study are:

 To what extent do competing schools of thought exist within this field?

 To what extent do experts in this field disagree about the answers they give to important
questions?
 What other fields deal with this same subject, from a different standpoint perhaps? To
what extent do conflicting views exist about this subject in light of these different
standpoints?
 To what extent, if at all, is this field properly called a science?
 To what extent can questions asked in the field be answered definitively? To what extent
are questions in this field matters of (arguable) judgment?
 To what extent does public pressure influence professionals in the field to compromise
their professional practice in light of public prejudice or vested interest?
 To what extent is it likely that professionals within the discipline will act in accordance with
their vested or selfish interest, rather than in a fair-minded way? What types of
“opportunities” exist for professionals within the field to serve their own interest in lieu of
serving those they purport to serve?
 What does the history of the discipline tell us about the status of knowledge in the field?
How old is the field? How common is controversy over fundamental terms, theories, and
orientation?
 How wide is the likely gap between the promised ideal of instruction in the discipline and
the actual results?

Some critical questions to ask about a textbook are:

 If there are competing schools of thought within this field, what is the orientation of the
textbook writers? Do they highlight these competing schools and detail the implications
of that debate?
 Are other textbooks available that approach this field from a significantly different
standpoint? If so, how should we understand the orientation or bias of this textbook?
 Would other experts in this field disagree with any of the answers to important
questions given in this textbook? How would they disagree?
 Are there textbooks in other fields dealing with this same subject, from a different
standpoint perhaps? To what extent do conflicting views exist about this subject in the
light of these different standpoints?
 To what extent does this textbook represent this field as a science? If so, do some
experts in the field disagree with this representation? In what sense is it not a science?
 To what extent do the questions asked in this textbook lead to definitive answers?
Conversely, to what extent are questions in this textbook matters of (arguable)
judgment? And does the textbook help you distinguish between these very different
types of questions?
© 2005 Foundation for Critical Thinking
www.criticalthinking.org
THE END
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