Appendix: Paper Format and Submission
A.1 General Format Requirements
A.2 Format Requirements for Specific Elements
A.3 File Preparation and Submission Requirements
When you are writing a thesis, a dissertation, or a class paper, you must observe certain format and style requirements. For a thesis or dissertation, these requirements are set by your department or your university’s office of theses and dissertations; for a class paper, they are set by your instructor. You may also have to follow specific procedures for submitting the paper, whether in hard copy or electronically. If your paper will be submitted to an electronic repository maintained by a service like Pro-Quest’s Dissertations and Theses or by your university, additional guidelines may apply.
Be particularly aware of these requirements if you are writing a thesis or dissertation. You will be judged on how well you follow the academic conventions of your field. Also, many of the rules for format and submission are intended to make the preserved copy, bound or electronic, as accessible as possible for future readers.
The guidelines presented here are widely accepted for the format and submission of theses and dissertations, but most universities have their own requirements, which are usually available from the office of theses and dissertations. Review the current guidelines of your department or university before you submit your thesis or dissertation. These local guidelines take precedence over the recommendations provided here.
In general, the requirements for a class paper are less extensive and strict than those for a thesis or dissertation. Such papers usually have fewer elements, and since they are not likely to be bound or preserved electronically, there are fewer submission requirements. Even so, you may be expected to follow certain guidelines set by your instructor or department, and those guidelines take precedence over the guidelines suggested here.
This appendix assumes that you will prepare your paper on a computer and submit it as an electronic file, hard copy, or both. Although word-processing programs vary, most can be used to set margin size, number pages, place and number footnotes, and insert tables and figures according to the guidelines in this appendix. If you are following specific guidelines set by your instructor or institution, make sure to check your paper’s format carefully against those guidelines before submitting it; if you are submitting an electronic file and a printout, review the formatting of both.
A.1 General Format Requirements
This section addresses general format issues that apply to your paper as a whole. For discussion of specific elements and their individual format requirements, see A.2. Your instructor, department, or university may have guidelines that differ from the advice offered here. If so, those guidelines take precedence.
A.1.1 Margins
Nearly all papers in the United States are produced on standard pages of 8½ x 11 inches. Leave a margin of at least one inch on all four edges of the page. For a thesis or dissertation intended to be bound, you may need to leave a bigger margin on the left side—usually 1½ inches.
Be sure that any material placed in headers or footers, including page numbers and other identifiers (see A.1.4), falls within the margins specified in your local guidelines.
A.1.2 Typeface
Choose a single, readable, and widely available typeface (also called font), such as Times New Roman, Courier, or Helvetica. If you use a less common typeface, you may need to embed the font in the electronic file. Avoid ornamental typefaces, which can distract readers and make your work seem less serious. (For the characteristics of specific typefaces, see Robert Bringhurst, The Elements of Typographic Style [Point Roberts, WA: Hartley and Marks, 2004].) In general, use at least ten-point and preferably twelve-point type for the body of the text. Footnotes or endnotes, headings, and other elements might require other type sizes; check your local guidelines.
A.1.3 Spacing and Indentation
Double-space all text in papers except the following items, which should be single-spaced:
■ block quotations (see 25.2.2)
■ table titles and figure captions
■ lists in appendixes
The following items should be single-spaced internally but with a blank line between items:
■ certain elements in the front matter (see A.2.1), including the table of contents and any list of figures, tables, or abbreviations
■ footnotes or endnotes
■ bibliographies or reference lists
Some departments or universities allow or require single spacing or one and a half spaces between lines in the body of the text. Check your local guidelines.
Put only one space, not two, following the terminal punctuation of a sentence. Use tabs or indents rather than spaces for paragraph indentation and other content requiring consistent alignment. Block quotations have their own rules for indentation, depending on whether they are prose or poetry (see 25.2.2).
A.1.4 Pagination
A.1.4.1 NUMBERING. If your only front matter is a title page, do not number that page. Number pages in the body of the paper and the back matter with arabic numerals, starting on the first page of text (page 2 if you count the title page).
If you are writing a thesis or dissertation, number front matter separately from the rest of the text. (Many word processors have functions such as section breaks that can accomplish this task.)
■ Front matter includes the title page and various other elements (see A.2.1). Number these pages consecutively with lowercase roman numerals (i, ii, iii, etc.; see table 23.1). Every page of front matter except the submission page is usually counted in numbering, but not all of these pages have numbers displayed on them. Departments and universities often provide specific directions for numbering front matter pages; if yours does not, follow the guidelines described in this appendix.
■ The rest of the text, including back matter (see A.2.3), is numbered consecutively with arabic numerals (usually starting with page 1).
If your thesis or dissertation is very long and a paper copy of it will be bound, your department or university may bind it in multiple volumes. Your local guidelines should indicate the maximum number of pages per volume as well as any special requirements for numbering a multivolume paper.
A.1.4.2 PLACEMENT. Page numbers are usually placed in one of four locations: centered or flush right in the footer (at the bottom of the page) or centered or flush right in the header (at the top of the page). For class papers, choose one of these locations and follow it consistently.
Traditionally, page numbers for theses and dissertations have been placed in different locations depending on the part of the paper (as shown in the samples in this appendix).
■ In the footer: all front matter pages; pages in the text and back matter that bear titles, such as the first page of a chapter or an appendix
■ In the header: all other pages in the text and back matter
Many departments and universities have eliminated these distinctions and now require consistent placement of page numbers throughout a thesis or dissertation. Some specify a location, while others allow you to choose. In any position, the number should be at least half an inch from the edge of the page. Check your local guidelines.
A.1.4.3 OTHER IDENTIFIERS. In some settings you may be allowed or even encouraged to include identifying information besides the page number in the header or footer. For a class paper, your instructor may ask you to include your last name, the date of the paper, or a designation such as “First Draft.” For longer papers, chapter or section titles help readers keep track of their location in the text. The requirements for headers and footers in theses and dissertations vary, so consult your local guidelines.
A.1.5 Titles
Depending on its complexity, your paper may consist of many elements, as listed in A.2, and most of them should have a title.
Use the same typeface, type size, and formatting (boldface, italic, etc.) for the titles of like elements. In general, and unless your local guidelines say otherwise, titles should appear in boldface. A more traditional method calls for full capitalization, but this has the undesirable effect of obscuring the capitalization of individual words in a title.
On the title page, center each element and use headline-style capitalization for all, including the title of your paper. (Your local guidelines may require sentence-style capitalization for the title of your paper; see 22.3.1 for the two styles.)
Titles for the front and back matter are also typically centered, as are chapter number designations and chapter titles. For chapter titles, use headline-style capitalization unless your local guidelines specify sentence style.
All such elements may be in a larger type size than the text of your paper. Check your local guidelines. For subheadings within chapters, see A.2.2.4.
If your local guidelines are flexible, you may use different typography and format from those described here for various types of titles, as long as you are consistent. Titles of larger divisions (parts, chapters) should be more visually prominent than subheadings. In general, titles are more prominent when larger or centered (or both), in boldface or italic type, or capitalized headline style than when flush left, in regular type, or capitalized sentence style.
The most efficient way to ensure consistency in titles is to use your word processor to define and apply a unique style (specifying typeface, size, position, line spacing, and so forth) for each type of title. See also A.3.1.2.
A.2 Format Requirements for Specific Elements
In addition to the general requirements outlined in A.1, specific elements of a paper have specific format requirements. This section describes elements most commonly found in class papers, theses, and dissertations, and it provides samples of many of them. All of the samples except figures A.1 and A.8 are pages drawn from dissertations written at the University of Chicago. As needed, the pages have been edited to match the style and format recommendations in this manual. If your instructor, department, or university has specific guidelines that differ from these samples, they take precedence.
Most long papers and all theses and dissertations have three main divisions: (1) front matter, (2) the text of the paper itself, and (3) back matter. The front and back matter are also divided into elements that vary, depending on your paper.
In a class paper, the front matter will probably be a single title page and the back matter just a bibliography or reference list.
A.2.1 Front Matter
The front matter of your thesis or dissertation may include some or all of the following elements. Departments and universities usually provide specific directions for the order of elements; if yours does not, follow the order given here.
A.2.1.1 SUBMISSION PAGE. Most theses and dissertations include a submission page, usually as the first page of the document. If it appears in this position, it does not bear a page number and is not counted in paginating the front matter.
The submission page states that the paper has been submitted in partial fulfillment of the requirements for an MA or PhD degree (the wording varies), and it includes space for the signatures of the examining committee members. Most departments and universities provide model submission pages that should be followed exactly for wording and form. In electronic submissions the signatures may need to be omitted.
A.2.1.2 TITLE PAGE. Class papers should begin with a title page (but some put the title on the first page of the text; consult your instructor). Place the title of the paper a third of the way down the page, usually centered (see A.1.5). If the paper has both a main title and a subtitle, put the main title on a single line, followed by a colon, and begin the subtitle on a new line with an intervening line space. Several lines below it, place your name along with any information requested by your instructor, such as the course title (including its department and number) and the date. Figure A.1 shows a sample title page for a class paper. For most such papers, this is the only front matter needed.
For a thesis or dissertation, most departments and universities provide model title pages that should be followed exactly for wording and form. Otherwise, use figure A.2 as a model. Count the title page as page i, but do not put that number on it.
If your thesis or dissertation will be submitted as hard copy and bound in more than one volume (see A.1.4.1), you will probably need to provide a separate title page for each volume. Consult your local guidelines.
A.2.1.3 COPYRIGHT PAGE. In a thesis or dissertation, insert a copyright page after the title page. Count this page as page ii, but do not put that number on it unless directed by your local guidelines. Include the copyright notice near the bottom of this page, usually flush left, in this form:
Copyright © 20XX by Your Name
All rights reserved
Figure A.1. Title page for a class paper
Figure A.2. Title page for a dissertation. Reprinted with permission from Fonna Forman-Barzilai, “Adam Smith and the Circles of Sympathy” (PhD diss., University of Chicago, 2001).
You need not apply for a formal copyright. However, in cases of infringement formal registration provides additional protections. For more information, see chapter 4 in The Chicago Manual of Style (16th ed., 2010).
A.2.1.4 DEDICATION. If your department or university allows dedications, you may include a brief one to acknowledge someone who has been especially important to you. Count the dedication page in paginating the front matter, but do not put a page number on it unless directed by your local guidelines. Place the dedication a third of the way down, usually centered, and set it in roman type with no terminal punctuation. You need not include the words dedication or dedicated; simply say to:
To Grace Lenore
You may identify the person to whom you dedicate the work (“To my father, Sebastian Wells”) and give other information such as birth and death dates.
A.2.1.5 EPIGRAPH. If your department or university allows epigraphs, you may include a brief one in addition to or instead of a dedication. An epigraph is a quotation that establishes a theme of the paper. It is most appropriate when its words are especially striking and uniquely capture the spirit of your work. Count the epigraph page in paginating the front matter, but do not put a page number on it unless directed by your local guidelines. You should not include the word epigraph on the page.
Place the epigraph a third of the way down the page, either centered or treated as a block quotation (see 25.2.2). Do not enclose it in quotation marks. Give the source on a new line, set flush right and preceded by an em dash (see 21.7.2). Often the author’s name alone is sufficient, but you may also include the title of the work (see 22.3.2) and, if it seems relevant, the date of the quotation.
Thus out of small beginnings greater things have been produced by His hand … and, as one small candle may light a thousand, so the light here kindled hath shone unto many, yea in some sort to our whole nation.
—William Bradford
Some people think the women are the cause of modernism, whatever that is.
—New York Sun, February 13, 1917
Epigraphs may also appear at the beginning of a chapter or section; see 25.2.2.3 and figure A.9.
A.2.1.6 TABLE OF CONTENTS. All papers divided into chapters require a table of contents. Number all pages of this element with roman numerals. Label the first page Contents at the top of the page. If the table of contents is more than one page, do not repeat the title. Leave two blank lines between the title and the first item listed. Single-space individual items listed, but add a blank line after each item. Between the lists for the front and back matter and the chapters, or between parts or volumes (if any), leave two blank lines.
A table of contents does not list pages that precede it (submission page, title page, copyright or blank page, dedication, epigraph) or the table of contents itself but should begin with the front matter pages that follow it. Following these items, list in order the parts, chapters, or other units of the text, and then the elements of the back matter. If you have subheads in the text (see A.2.2.4), you need not include them in your table of contents. If you do include them, list only the first level unless further levels are specific enough to give readers an accurate overview of your paper. Be sure that the wording, capitalization, number style (arabic, roman, or spelled out), and punctuation of all titles and subheads (see A.1.5) match exactly those in the paper. If you have generated your table of contents automatically with your word processor, check the results.
Give page numbers only for the first page of each element (not the full span of pages), and use lowercase roman or arabic numerals as on the pages themselves. List page numbers flush right and, if you choose, use a line of periods or dots (called leaders, a feature available from the tab setting of most word processors) to lead a reader’s eye from each title to the page number.
Figure A.3 shows a sample table of contents for a paper with a simple structure. Part and chapter titles appear flush left, with page numbers flush right.
For a more complex paper, follow the logic of your paper’s organization unless your local guidelines require a specific format. Figure A.4 shows the second page of a long table of contents. To distinguish chapter titles from subheadings, you may indent the subheadings, with each level consistently indented a half inch to the right of the preceding level.
If your thesis or dissertation will be submitted as hard copy and bound in more than one volume, you may need to repeat the table of contents, or at least the relevant listings from it, in each volume after the first. Consult your local guidelines.
Figure A.3. Table of contents. Reprinted with permission from Fonna Forman-Barzilai, “Adam Smith and the Circles of Sympathy” (PhD diss., University of Chicago, 2001).
Figure A.4. Second page of a complex table of contents. Reprinted with permission from Dana Jean Simmons, “Minimal Frenchmen: Science and Standards of Living, 1840–1960” (PhD diss., University of Chicago, 2004).
A.2.1.7 LIST OF FIGURES, TABLES, OR ILLUSTRATIONS. If your thesis or dissertation (or, in some cases, your class paper) includes figures, tables, or both, you may choose to list them in the front matter. Number all pages of such a list with roman numerals. If your paper includes only figures (see chapter 26 for definitions), label the first page Figures at the top of the page; if it includes only tables, label it Tables instead. If the list is more than one page, do not repeat the title. Leave two blank lines between the title and the first item listed. Single-space individual items listed, but leave a blank line between items. Figure A.5 shows a sample list of tables.
If your paper includes both figures and tables, you may provide a separate list for each, or your local guidelines may allow you to combine them into a single list. In the latter case label the list Illustrations (following the pattern described above), but divide it into two sections labeled Figures and Tables, as in figure A.6.
Give each table or figure number in arabic numerals, and vertically align the list on the last digit. If you are using double numeration (as in fig. A.5), align the numbers on the decimals instead.
Figure captions and table titles should match the wording and capitalization of those in the paper itself, but if they are very long, shorten them in a logical way in this list. (See 26.2.2 and 26.3.2 for more on table titles and figure captions.) List page numbers flush right and, if you choose, use leader dots (see A.2.1.6) to connect the captions and titles to page numbers.
A.2.1.8 PREFACE. In a thesis or dissertation you may include a preface to explain what motivated your study, the background of the project, the scope of the research, and the purpose of the paper. The preface may also include acknowledgments, unless they are so numerous and detailed that they merit their own section (see A.2.1.9). Number all pages of this element with roman numerals. Label the first page Preface at the top of the page. If the preface is more than one page, do not repeat the title. Leave two blank lines between the title and the first line of text. Double-space the text of the preface, and format it to match the main text.
A.2.1.9 ACKNOWLEDGMENTS. In a thesis or dissertation you may have a separate section of acknowledgments in which you thank mentors and colleagues or name the individuals or institutions that supported your research or provided special assistance (such as consultation on technical matters or aid in securing special equipment and source materials). You may also be required to acknowledge the owners of copyrighted material who have given you permission to reproduce their work. If your only acknowledgments are for routine help by an advisor or a committee, include them in the preface (see above) or omit them entirely. Number all pages of the acknowledgments with roman numerals. Label the first page Acknowledgments at the top of the page. If the acknowledgments are more than one page, do not repeat the title. Leave two blank lines between the title and the first line of text. Double-space the text of the acknowledgments, and format it to match the main text.
Figure A.5. List of tables. Reprinted with permission from Mark R. Wilson, “The Business of Civil War: Military Enterprise, the State, and Political Economy in the United States, 1850–1880” (PhD diss., University of Chicago, 2002).
Figure A.6. List of illustrations. Reprinted with permission from Dana Jean Simmons, “Minimal Frenchmen: Science and Standards of Living, 1840–1960” (PhD diss., University of Chicago, 2004).
A.2.1.10 LIST OF ABBREVIATIONS. If your thesis or dissertation (or, in some cases, your class paper) includes an unusual number of abbreviations other than the common types discussed in chapter 24, list them in the front matter. Examples of items to include would be abbreviations for sources cited frequently (see 16.4.3) or for organizations that are not widely known (24.1.2).
Number all pages of such a list with roman numerals. Label the first page Abbreviations at the top of the page. If the list is more than one page, do not repeat the title. Leave two blank lines between the title and the first item listed. Single-space individual items listed, but leave a blank line between items. Figure A.7 shows a sample list of abbreviations. (The items in this sample are italic only because they are titles of published works.)
Note that the items are arranged alphabetically by the abbreviation, not by the spelled-out term. The abbreviations themselves are flush left; spelled-out terms (including runovers) are set on a consistent indent that allows about a half inch of space between the longest abbreviation in the first column and the first word in the second column.
A.2.1.11 GLOSSARY. You may need a glossary if your thesis or dissertation (or, in some cases, your class paper) includes many foreign words or technical terms and phrases that may be unfamiliar to your readers. Some departments and universities allow or require the glossary to be placed in the back matter, after any appendixes and before the endnotes and bibliography or reference list. If you are free to choose, put it in the front matter only if readers must know the definitions before they begin reading. Otherwise, put it in the back matter (see A.2.3.3).
If it appears in the front matter, number all pages of a glossary with roman numerals. Label the first page Glossary at the top of the page. If the glossary is more than one page, do not repeat the title. Leave two blank lines between the title and the first item listed. Single-space individual items listed, but leave a blank line between items. Figure A.8 shows a sample glossary.
Figure A.7. List of abbreviations. (Note that the items in this list are italicized only because they are titles of published works.) Reprinted with permission from Anthony Perron, “Rome and Lund: A Study in the Church History of a Medieval Fringe” (PhD diss., University of Chicago, 2002).
Figure A.8. Glossary
Note that the terms are arranged alphabetically, flush left and followed by a period (a colon or dash is sometimes used). You may put the terms in boldface to make them stand out. The translation or definition follows, with its first word capitalized and a terminal period. If, however, the definitions consist of only single words or brief phrases, do not use terminal periods. If a definition is more than one line, indent the runovers by a half inch.
A.2.1.12 EDITORIAL OR RESEARCH METHOD. If your thesis or dissertation requires an extensive preliminary discussion of your editorial method (such as your choices among variant texts) or research method, include it as a separate element. You can also briefly discuss method in the preface. If you state only that you have modernized capitalization and punctuation in quoted sources, put that in the preface or in a note attached to the first such quotation.
Number all pages of a discussion on method with roman numerals. Label the first page Editorial Method or Research Method at the top of the page. If the section is more than one page, do not repeat the title. Leave two blank lines between the title and the first line of text. Double-space the text of this section, and format it to match the main text.
A.2.1.13 ABSTRACT. Many departments and universities require that a thesis or dissertation include an abstract summarizing its contents. (Sometimes the abstract is submitted as a separate document.) Abstracts of papers submitted to ProQuest will be featured on its Dissertations and Theses database and published in Dissertations and Theses Abstract and Index. Number all pages of this element with roman numerals. Label the first page Abstract at the top of the page. If the abstract is more than one page, do not repeat the title. Leave two blank lines between the title and the first line of text. Most departments or universities have specific models for abstracts that you should follow exactly for content, word count, format, placement, and pagination.
A.2.2 Text
The text of a paper includes everything between the front matter and the back matter. It begins with your introduction and ends with your conclusion, both of which may be as short as a single paragraph or as long as several pages. In a thesis or dissertation, the text is usually separated into chapters and sometimes into parts, sections, and subsections. Many longer class papers are also divided in this way.
Since most of the text consists of paragraphs laying out your findings, there are few format requirements for the body of the text. The only additional issues are how to begin divisions of the text, how to format notes or parenthetical citations, and how to position tables and figures within the text.
Begin the arabic numbering of your paper with the first page of the text (normally page 1 or 2; see A.1.4.1).
A.2.2.1 INTRODUCTION. Many theses and dissertations (and, in some cases, class papers) begin with a section that previews the contents and argument of the entire paper and is so distinct that the writer separates it from the rest of the paper. (The background of the project and any issues that informed the research should be covered in the preface; see A.2.1.8.) If you begin with such an introduction, label the first page Introduction at the top of the page. Do not repeat the title on subsequent pages of the introduction. Leave two blank lines between the title and the first line of text. If the substance of your introductory material is not clearly distinct from the chapters that follow it, consider incorporating it into your first chapter.
A.2.2.2 PARTS. If you divide the text of your thesis or dissertation into two or more parts, each including two or more chapters, begin each part with a part-title page. The first part-title page follows the introduction (even if the introduction is labeled chapter 1). Count a part-title page in paginating, but do not put a page number on it except in the case described below or unless directed by your local guidelines. Label this page Part followed by the part number at the top of the page. Depending on your local guidelines, give the part number either in capitalized roman numerals (II) or spelled out (Two); be sure to number the chapters in a different style. If the part has a descriptive title in addition to its number, place this title two lines down, following a blank line.
If you include text introducing the contents of the part on the part-title page, number the page with an arabic numeral. Leave two blank lines between the title and the first line of text. If the text is more than one page long, do not repeat the part number or title.
Follow a consistent format for all of your part-title pages: if one part has a descriptive title in addition to a number, then give all parts descriptive titles; if one part has introductory text, then include introductory text in all parts.
A.2.2.3 CHAPTERS. Most theses and dissertations, and many long class papers, consist of two or more chapters. Each chapter begins on a new page. Label this page Chapter followed by the chapter number at the top of the page. You may give the chapter number either in arabic numerals (4) or spelled out (Four). If your paper has parts, choose a different style of numbering for the chapter numbers (for example, Part II; Chapter Four). If the chapter has a descriptive title in addition to its number, place this title two lines down, following a blank line. Do not repeat the number or the title on subsequent pages of the chapter. Leave two blank lines between the title and the first line of text. Figure A.9 shows a sample first page of a chapter with an epigraph (see 25.2.2.3 and A.2.1.5).
An alternative format is to omit the word Chapter and use only the chapter number and title, which can then appear on the same line, separated by a colon or a tab space. Do not use this format, however, if your paper has parts as well as chapters, if it does not have chapter titles, or if there is any possibility of confusing a new chapter with any other division of the paper.
A.2.2.4 SECTIONS AND SUBSECTIONS. Long chapters in theses, dissertations, and long class papers may be further divided into sections, which in turn may be divided into subsections, and so on. If your paper, or a chapter within it, has only a few sections, you may signal the division between sections informally by centering three spaced asterisks (* * *) on their own line.
If you create formal sections in a paper or in its chapters, you may give each one its own title, also called a subheading or subhead. You may have multiple levels of subheads, which are designated first-level, second-level, and so on. Unless you are writing a very long and complex paper, think carefully before using more than two or three levels of subheads. Rather than being helpful, they can become distracting. You should have at least two subheads at any level within a chapter; if you do not, your divisions may not be logically structured. Two consecutive subhead levels may appear together without intervening text.
Unless your local guidelines have rules for subheads, you may devise your own typography and format for them. Each level of subhead should be consistent and different from all other levels, and higher-level subheads should be more visually prominent than lower-level ones. In general, subheads are more prominent when centered, in boldface or italic type, or capitalized headline style than when flush left, in regular type, or capitalized sentence style. Except for run-in subheads (see fifth level, below), put more space before a subhead than after (up to two blank lines before and one line, or double line spacing, after) and do not end a subhead with a period. To maintain consistency, use your word processor to define a style for each level.
Figure A.9. First page of a chapter. Reprinted with permission from Fonna Forman-Barzilai, “Adam Smith and the Circles of Sympathy” (PhD diss., University of Chicago, 2001).
Here is one plan for five levels of subheads.
■ First level: centered, boldface or italic type, headline-style capitalization
Contemporary Art
■ Second level: centered, regular type, headline-style capitalization
What Are the Major Styles?
■ Third level: flush left, boldface or italic type, headline-style capitalization
Abstract Expressionism
■ Fourth level: flush left, roman type, sentence-style capitalization
Major painters and practitioners
■ Fifth level: run in at beginning of paragraph (no blank line after), boldface or italic type, sentence-style capitalization, terminal period
Pollock as the leader. The role of leading Abstract Expressionist painter was filled by Jackson Pollock…
Never end a page with a subhead. Set your word processor to keep all headings attached to the ensuing paragraph. (The built-in heading styles in most word processors are set to stay with the next paragraph by default.)
A.2.2.5 NOTES OR PARENTHETICAL CITATIONS. If you are using bibliography-style citations with footnotes, see 16.3 for a discussion of how to format footnotes. Figure A.10 shows a sample page of text with footnotes.
If you are using author-date citations, see 18.3 for a discussion of how to format parenthetical citations. Figure A.11 shows a sample page of text with parenthetical citations.
A.2.2.6 TABLES AND FIGURES. If your paper includes tables or figures, see chapter 26 for a discussion of how to format tables, some types of figures, and figure captions, and A.3.1 for information about inserting these elements into your paper. Figure A.12 shows a sample page of text with a figure positioned on it, and figure A.13 shows a sample of a table in landscape orientation on its own page.
Figure A.10. Page of text with footnotes. Reprinted with permission from Mark R. Wilson, “The Business of Civil War: Military Enterprise, the State, and Political Economy in the United States, 1850–1880” (PhD diss., University of Chicago, 2002).
Figure A.11. Page of text with parenthetical citations. Reprinted with permission from Monica Prasad, “The Politics of Free Markets: The Rise of Neoliberal Economic Policy in Britain, France, and the United States” (PhD diss., University of Chicago, 2000).
Figure A.12. Page with text and a figure. Reprinted with permission from Marjorie Elizabeth Wood, “Emancipating the Child Laborer: Children, Freedom, and the Moral Boundaries of the Market in the United States, 1853–1938” (PhD diss., University of Chicago, 2011).
Figure A.13. Page with a landscape table. Reprinted with permission from Nathaniel Baum-Snow, “Essays on the Spatial Distribution of Population and Employment” (PhD diss., University of Chicago, 2005).
A.2.2.7 CONCLUSION. In a thesis or dissertation (or, in some cases, a long class paper), you will probably end with a conclusion that is long enough to treat as a separate element. If you include such a conclusion, label the first page Conclusion at the top of the page. Do not repeat the title on subsequent pages of the conclusion. Leave two blank lines between the title and the first line of text.
You may also label the conclusion as the last numbered chapter of your paper if you want to emphasize its connection to the rest of your text. If so, treat the word Conclusion as a chapter title (see A.2.2.3).
A.2.3 Back Matter
The back matter of your paper may consist of all or some or none of the following elements. Departments and universities usually provide specific directions for the order of elements; if yours does not, follow the order given here. Number the back matter continuously with the text using arabic numerals.
A.2.3.1 ILLUSTRATIONS. If you group all of your illustrations together at the end of your thesis or dissertation (or, in some cases, your class paper) instead of including them in the text (see 26.1.1), make them the first element in the back matter. Label the first page of such a section Illustrations at the top of the page. If this section is more than one page, do not repeat the title. For information about inserting figures into your paper, see A.3.1.
If some illustrations are placed in the text, however, any that are grouped in the back matter must be placed in an appendix; see A.2.3.2.
A.2.3.2 APPENDIXES. If your thesis or dissertation (or, in some cases, your class paper) includes essential supporting material that cannot be easily worked into the body of your paper, put the material in one or more appendixes in the back matter. (Do not put appendixes at the ends of chapters.) Examples of such material would be tables and figures that are marginally relevant to your topic or too large to put in the text; schedules and forms used in collecting materials; copies of documents not available to the reader; and case studies too long to put into the text.
Label the first page Appendix at the top of the page. If the appendix is more than one page, do not repeat the title. Leave two blank lines between the title and the first line of text or other material.
If the appendix material is of different types—for example, a table and a case study—divide it among more than one appendix. In this case, give each appendix a number or letter and a descriptive title. You may give the numbers in either arabic numerals (1, 2) or spelled out (One, Two), or you may use single letters of the alphabet in sequential order (A, B). Put the number or letter following the word Appendix, and place the descriptive title on the next line. (If your paper has only one appendix, you may also give it a descriptive title, but do not give it a number or letter.)
If the appendix consists of your own explanatory text, double-space it and format it to match the main text. If it is in list form or consists of a primary document or a case study, you may choose to single-space the text, especially if it is long.
Treat supporting material that cannot be presented in print form, such as a large data set or a multimedia file, as an appendix. Include a brief description of the material and its location, including a hyperlink (if relevant). Consult your local guidelines for specific requirements for file format, presentation, and submission; see also A.3.1.
A.2.3.3 GLOSSARY. If your thesis or dissertation (or, in some cases, your class paper) needs a glossary (see A.2.1.11), you may include it in either the front or back matter, where it follows any appendixes and precedes endnotes and the bibliography or reference list. All of the special format requirements described in A.2.1.11 apply, except that the back-matter glossary pages should be numbered with arabic instead of roman numerals. Figure A.8 shows a sample glossary (paginated for the front matter).
A.2.3.4 ENDNOTES. If you are using bibliography-style citations, and unless your local guidelines require footnotes or end-of-chapter notes, you may include notes in the back matter as endnotes. Label the first page of this element Notes at the top of the page. Do not repeat the title on subsequent pages of the endnotes section. Leave two blank lines between the title and the first note, and one blank line between notes. The notes themselves should be single-spaced, with a standard paragraph indent at the start of each one. If you restart numbering for each chapter, add a subheading before the first note to each chapter. Figure A.14 shows a sample page of endnotes for a paper divided into chapters. See also 16.3.3 and A.2.2.4.
If you are using author-date citations, you will not have endnotes.
A.2.3.5 BIBLIOGRAPHY OR REFERENCE LIST. If you are using bibliography-style citations, you will probably include a bibliography in the back matter. Label the first page of this element Bibliography at the top of the page.
Figure A.14. Endnotes. Reprinted with permission from Mark R. Wilson, “The Business of Civil War: Military Enterprise, the State, and Political Economy in the United States, 1850–1880” (PhD diss., University of Chicago, 2002).
Do not repeat the title on subsequent pages of the bibliography. Leave two blank lines between the title and the first entry, and one blank line between entries. The entries themselves should be single-spaced, with runovers indented half an inch. Figure A.15 shows a sample page of a bibliography.
For some types of bibliographies you should use a different title, such as Sources Consulted. If you do not arrange the bibliography alphabetically by author, include a headnote, subheadings (formatted consistently), or both to explain the arrangement. See 16.2 for these variations.
If you are using author-date citations, you must include a reference list in the back matter. Label the first page of the list References at the top of the page. Do not repeat the title on subsequent pages of the reference list. Leave two blank lines between the title and the first entry, and one blank line between single-spaced entries. Indent runovers half an inch. Figure A.16 shows a sample page of a reference list.
In the rare case that you do not arrange the reference list alphabetically by author (see 18.2.1), include a headnote, subheadings (formatted consistently), or both to explain the arrangement.
A.3 File Preparation and Submission Requirements
A.3.1 Preparing Your Files
By following some basic practices for good electronic file management and preparation, you can avoid problems and produce a legible, properly formatted paper. These practices apply whether you will be submitting your paper electronically, as hard copy, or both.
A.3.1.1 FILE MANAGEMENT. Try to minimize the risk that your data will be lost or corrupted at some point.
■ Prepare your paper as a single electronic file, regardless of its length. Working with a single file allows you to search and make changes globally, to use your word processor’s automated numbering functions accurately (for footnotes, pagination, and the like), and to define and apply styles consistently (see A.3.1.2). Papers submitted electronically must almost always be in a single file, but you may divide the file into sections using word processor functions for certain format requirements, such as listing notes at the end of a chapter or changing headers. Large databases or multimedia files may need to be submitted separately as supplemental files.
■ Name the file simply and logically. If you save different versions of the file over time, name them consistently (always ending in the date, for example) to avoid confusion of versions. Before final submission check your local guidelines for naming conventions that apply to the file and any supplemental materials.
Figure A.15. Bibliography. Reprinted with permission from Mark R. Wilson, “The Business of Civil War: Military Enterprise, the State, and Political Economy in the United States, 1850–1880” (PhD diss., University of Chicago, 2002).
Figure A.16. Reference list. Reprinted with permission from Monica Prasad, “The Politics of Free Markets: The Rise of Neoliberal Economic Policy in Britain, France, and the United States” (PhD diss., University of Chicago, 2000).
■ Avoid working on the file in more than one type of software or operating system. Conversions always involve some risk of errors and lost data, even when moving between standard word processors.
■ Save the file often during each writing session.
■ Back up the file in more than one location after each writing session. In addition to your local hard drive, save it to a network or file-hosting service (if available) or to a removable storage medium, such as a flash drive.
■ Print out the file or convert it to the required electronic format before your submission date. Look it over for any software glitches, such as special characters that are not supported by your printer, while there is time to correct them. Label the printout or name the new file “Draft” and keep it at least until you submit the final version. In an emergency (such as a computer malfunction or a serious illness), you can use it to show that you did indeed produce a draft.
For considerations related to citation management software, see 15.6.
A.3.1.2 TEXT COMPONENTS. Present all components of your text clearly and consistently.
■ Format each text component consistently, including regular text, block quotations, footnotes, and each type of title and subhead. The most efficient way to ensure consistency is to use your word processor to define and apply a unique style (specifying typeface, size, position, line spacing, and so forth) for each component.
■ Set your word processor to align text flush left with a ragged right margin unless your local guidelines recommend otherwise, and do not use its automated hyphenation feature (see 20.4.1).
■ Use your word processor’s menu for special characters (also called symbols) to insert letters with accents and other diacritics, characters from Greek and other non-Latin alphabets, mathematical operators (but see below), paragraph or section marks, and the like. If a particular character is not available, you may need to select a different typeface for that character.
■ Supply internal bookmarks and external hyperlinks as your local guidelines recommend.
■ Avoid color fonts. Even if you submit your paper as a PDF or print it on a color printer, it may be printed or copied later on a black-and-white machine, and the color might not reproduce well.
■ Create equations and formulas with the equation editor in your word processor, if possible. If not, create these items in the relevant program and insert them into your file as images (see A.3.1.3). Leave at least one blank line between the equation and the text both above and below.
A.3.1.3 TABLES. Use your software to present tables that are clear, well formatted, and easily readable. For more information, see 8.3.
■ Create tables with the table editor in your word processor, if possible. If not, create them in a spreadsheet program and insert them into your file as unlinked (embedded) tables. Format them to match the surrounding text. See chapter 26 for discussion of table structure, format, and placement in text.
■ Put a table number and title on the line above a table (see 26.2.2). Run the title the full width of the table, and do not indent any runovers.
■ Put table footnotes (if any) under the bottom rule of a table, with a blank line between the rule and the first note, and also between notes. Footnotes may be presented in a smaller typeface than the text of your paper; consult your local guidelines.
■ Leave at least one blank line (and preferably two) between the table title and any text above it on the page, and also between the bottom rule (or last footnote) and any text below it.
■ Use caution in employing shading or color to convey meaning. Even if you print the paper on a color printer or submit it as a PDF, it may be printed or copied later on a black-and-white machine, and if it is a dissertation it may be microfilmed. Shading and color may not reproduce well in any of these forms. If you use shading, make sure it does not obscure the text of the table, and do not use multiple shades, which might not reproduce distinctly.
■ Repeat the stub column and all column heads (see 26.2.4 and 26.2.5) on every page of a multipage table. Omit the bottom rule on all pages except the last.
■ Remain within your paper’s standard margins for a table that takes up an entire page or is in landscape orientation (see 26.1.2). Do not put any regular text on a page containing a landscape table. Set the table title in either landscape or portrait orientation and include a page number, but check your local guidelines for the number’s orientation.
■ Keep a table that cannot be presented in print form, such as one containing a large data set, as a separate file, and treat it as an appendix to your paper (see A.2.3.2).
A.3.1.4 FIGURES. Take care that your graphics are easy to read, accurate, and to the point. For more information, see 8.3.
■ Create charts, graphs, and diagrams with your word processor, if possible. If not, create them in the relevant program and insert them into your file as images. Format them to match the surrounding text. See chapter 26 for discussion of figure types, format, and placement in text.
■ Insert photographs, maps, and other types of figures into your file as images. If the item is available to you only in hard copy, scan and insert it if possible.
■ Put a figure number and caption on the line below a figure (see 26.3.2). (With examples from musical scores only, put these items on the line above a figure.) Run the caption the full width of the figure, and do not indent any runovers. If there is not enough room for both figure and caption within the margins of a page, put the caption at the bottom (or, if necessary, the top) of the nearest preceding text page.
■ Leave at least one blank line (and preferably two) between the figure and any text above it on the page, and also between the caption and any text below it.
■ Use caution in employing shading or color to convey meaning. Even if you print the paper on a color printer or submit it as a PDF, it may be printed or copied later on a black-and-white machine, and if it is a dissertation it may be microfilmed. Shading and color may not reproduce well in any of these forms. If you use shading, make sure it does not obscure any text in the figure, and do not use multiple shades, which might not reproduce distinctly.
■ Consult your local guidelines for any requirements related to resolution, scaling, cropping, and other parameters.
■ Remain within your paper’s standard margins for a figure that takes up an entire page or is in landscape orientation (see 26.1.2). Do not put any regular text on a page containing a landscape figure. Set the figure caption in either landscape or portrait orientation and include a page number, but check your local guidelines for the number’s orientation.
■ Keep a figure that cannot be presented in print form, such as a multimedia file, as a separate file, and treat it as an appendix to your paper (see A.2.3.2).
A.3.2 Submitting Electronic Files
Many departments and universities now require electronic submission of a thesis or dissertation in addition to or instead of hard copy (see A.3.3). Instructors may also request electronic copies of class papers. For class papers, consult your instructor regarding acceptable file types.
The requirements for theses and dissertations are more stringent. Well in advance of the deadline, review the specific guidelines of your department or university regarding any forms or procedures that must be completed before you can submit your paper. If possible, get an official to review your paper for proper format and other requirements before you submit the final copy.
Most dissertations and some theses will be submitted to an electronic repository. Many universities work with ProQuest Dissertations and Theses, a commercial repository; others maintain their own. In either case, follow your university’s guidelines for formatting your paper and creating the electronic file. Most papers will need to be submitted as a single PDF document. If your paper includes supplemental files that cannot be included in the PDF (see A.2.3.2), follow your university’s (or the repository’s) guidelines for preparing and submitting them. At a minimum, perform the following checks:
■ Test any internal bookmarks or external hyperlinks for accuracy.
■ Ensure that all fonts used in a PDF of your paper are embedded, or saved in the file, to preserve the appearance of your paper.
■ Verify all descriptive metadata associated with each file you plan to submit.
Once the full text of your paper is published in an electronic repository, others will have access to your work. You may be given the option to publish “traditionally” or to provide free, open access to your work online. (Papers published without open access are typically available only through a commercial database or a library.) If you are concerned about limiting access to your paper for a specific period, you may be able to apply for an embargo; check your local guidelines.
Whichever publishing option you select, copyright restrictions apply. If you include copyrighted material beyond the conventions of fair use, you must obtain written permission from the copyright holder, and you may be required to submit that documentation with your paper. Failure to provide such material may delay acceptance or publication of your dissertation. Consult your local guidelines and those offered by the repository. For more information, see chapter 4 in The Chicago Manual of Style, 16th ed. (2010), or the booklet “Copyright Law & Graduate Research: New Media, New Rights, and Your Dissertation” by Kenneth D. Crews.
A.3.3 Submitting Hard Copy
Even if you submit your paper electronically (A.3.2), you may also be asked to submit one or more hard copies of the full paper or of specific pages it. In some cases you may be asked to submit only the hard copy. If you are writing a class paper, submitting it may be as simple as printing out a single copy and handing it in to your instructor. Or you may instead be asked to submit multiple copies to multiple individuals (your classmates, or other faculty members). Follow instructions exactly, and always keep both a hard copy and the electronic file for your records. All copies should exactly match the original.
The requirements for theses and dissertations are more stringent, in part because such papers may be preserved in bound form by the university or by a commercial repository. Well in advance of the deadline, review the specific guidelines of your department or university regarding such matters as the number of copies required and any paperwork or procedures that must be completed before you can submit your paper. If possible, get an official to review your paper for proper format before you produce the final copies.
Follow your university’s recommendations for paper stock. Most will specify a paper that is 8½ x 11 inches (in US universities) and suitable for long-term preservation of the work. If the guidelines do not specify the paper stock, follow the American Library Association’s recommendation for twenty-pound weight, neutral-pH (acid-free) paper that is labeled either “buffered” or as having a minimum 2 percent alkaline reserve. Some but not all stock referred to as “dissertation bond” meets these requirements, so be sure to examine the paper specifications before making any copies. Unless your guidelines specify otherwise, print your paper on only one side of each page.
Most universities are served by one or more copy centers, either on or near campus, whose staff is familiar with the requirements for copies of theses and dissertations. Although using their services may be more expensive than producing the copies on your own, it reduces the risk that your paper will be rejected for incorrect paper stock or copy quality problems.