A manual for writers of research papers, theses, and dissertations, Ninth edition - Kate L. Turabian 2018

Format requirements for specific elements
Appendix: Paper format and submission

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 will 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 MS) 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 and submitted separately on paper. Consult your local guidelines.

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.

Figure A.1. Title page for a class paper

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.

Figure A.2. Title page for a dissertation. Reprinted with permission from Julia Akinyi Brookins, “Immigrant Settlers and Frontier Citizens: German Texas in the American Empire, 1835—1890” (PhD diss., University of Chicago, 2013).

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 top of this page, usually flush left, in this form:

✵ Copyright © 20XX by Your Name

✵ All rights reserved

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 (17th ed., 2017).

A.2.1.4 ABSTRACT. Most departments and universities require that a thesis or dissertation include an abstract summarizing its contents (including any supplementary materials; see A.2.3.2). Abstracts of papers submitted to ProQuest will be featured as part of its Dissertations and Theses database. Count the first page of the abstract as page iii, and number all pages. Label the first page Abstract at the top of the page. Leave two blank lines between the title and the first line of text. Double-space the text of the abstract, and format it to match the main text. Most departments or universities have specific models for abstracts that you should follow exactly for content, word count, format, placement, and pagination. The abstract may also need to be submitted as a separate document, usually as part of an online submission form (see also A.3.2). At the same time, a list of keywords may be required. Consult your local guidelines.

A.2.1.5 DEDICATION. If your department or university allows dedications, you may include a brief one to acknowledge someone who has been especially important to you. Number the dedication page with a roman numeral. Place the dedication a third of the way down the page, centered, and set it in regular type with no terminal punctuation. You need not include the word dedication or dedicated; simply say to:

✵ To Jamillah

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.2.1.6 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. Number the epigraph page with a roman numeral. 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.2.1.7 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. 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, leave two blank lines. Two blank lines can also intervene between an introduction and the first chapter or between the last chapter and a conclusion.

A table of contents does not list pages that precede it (submission page, title page, copyright page, abstract, 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 (see A.1.5) and subheads match exactly those in the paper.

Give page numbers only for the first page of each listed item (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.

To ensure consistency between the table of contents and the items that it lists, you can use your word processor to generate the table of contents automatically. This will also ensure that the page-number listings remain accurate. Just be sure to double-check for proper formatting and to make sure that no items have been inadvertently omitted.

Figure A.3 shows a sample table of contents for a paper with a simple structure. Chapter titles appear flush left, with page numbers flush right.

Figure A.3. Table of contents. Reprinted with permission from Daniel W. Pratt, “Aesthetic Selves: Non-narrative Constructions of Identity in Central Europe” (PhD diss., University of Chicago, 2014).

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 first page of a long table of contents. To distinguish chapter titles from subheadings, you may indent the subheadings, with each level consistently indented half an inch to the right of the preceding level.

Figure A.4. First page of a table of contents with part number and subheadings. Reprinted with permission from Julia Akinyi Brookins, “Immigrant Settlers and Frontier Citizens: German Texas in the American Empire, 1835—1890” (PhD diss., University of Chicago, 2013).

A.2.1.8 LIST OF FIGURES, TABLES, OR ILLUSTRATIONS. If your thesis or dissertation (or long 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. 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.

Figure A.5. List of tables. Reprinted with permission from Mary Channen Caldwell, “Singing, Dancing, and Rejoicing in the Round: Latin Sacred Songs with Refrains, circa 1000—1582” (PhD diss., University of Chicago, 2013).

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.

Figure A.6. List of illustrations. Reprinted with permission from Julia Akinyi Brookins, “Immigrant Settlers and Frontier Citizens: German Texas in the American Empire, 1835—1890” (PhD diss., University of Chicago, 2013).

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. (Your word processor should allow you to set a right- or decimal-aligned tab stop as needed.)

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 for the entries in the 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.2.1.7) to connect the captions and titles to page numbers.

A.2.1.9 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.2.1.10). Number all pages of this element with roman numerals. Label the first page Preface at the top of the page. 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.2.1.10 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 A.2.1.9) or omit them entirely. Number all pages of the acknowledgments with roman numerals. Label the first page Acknowledgments at the top of the page. 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.

A.2.1.11 LIST OF ABBREVIATIONS. If your thesis or dissertation (or long 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. 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 abbreviations in this sample are italic only because they correspond to titles of published works.)

Figure A.7. List of abbreviations. (The abbreviations are italicized because they correspond to titles of published works.) Reprinted with permission from Mary Channen Caldwell, “Singing, Dancing, and Rejoicing in the Round: Latin Sacred Songs with Refrains, circa 1000—1582” (PhD diss., University of Chicago, 2013).

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 half an inch of space between the longest abbreviation in the first column and the first word in the second column.

A.2.1.12 GLOSSARY. You may need a glossary if your thesis or dissertation (or long class paper) includes many words from other languages 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. 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.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 bold type 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 half an inch.

A.2.1.13 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 all you need to clarify is 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. 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.2.2 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 some long 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.2.1.9.) If you begin with such an introduction, label the first page Introduction at the top of the page. 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 (see A.2.2.3). 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.

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 but Chapter Four). If the chapter has a descriptive title in addition to its number, place this title two lines down, following a blank line. 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.2.1.6).

Figure A.9. First page of a chapter. Reprinted with permission from Mary Channen Caldwell, “Singing, Dancing, and Rejoicing in the Round: Latin Sacred Songs with Refrains, circa 1000—1582” (PhD diss., University of Chicago, 2013).

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. 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 bold 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.

Here is one plan for five levels of subheads.

✵ ▪ First level: centered, boldface or italic type, headline-style capitalization

o 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

o Abstract Expressionism

✵ ▪ Fourth level: flush left, regular type, sentence-style capitalization

o 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 may already be set to stay with the next paragraph by default.)

A.2.2.5 NOTES OR PARENTHETICAL CITATIONS. If you are using notes-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.

Figure A.10. Page of text with footnotes. Reprinted with permission from Julia Akinyi Brookins, “Immigrant Settlers and Frontier Citizens: German Texas in the American Empire, 1835—1890” (PhD diss., University of Chicago, 2013).

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.

Figure A.11. Page of text with parenthetical citations. Reprinted with permission from José Antonio Hernández Company, “The Legacies of Authoritarianism: Party Origins and the Development of Programmatic Capacity in Mexico” (PhD diss., University of Chicago, 2015).

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 see 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.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. Leave two blank lines between the title and the first line of text.

You may also make the conclusion 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 long 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. 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 long 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. 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 two or more appendixes. In this case, give each appendix a number or letter and a descriptive title. The numbers can be 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). Such supplementary materials may also need to be described in your abstract (see A.2.1.4). 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 long class paper) needs a glossary (see A.2.1.12), 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.2.1.12 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 notes-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. 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.

Figure A.14. Endnotes. Reprinted with permission from Mary Channen Caldwell, “Singing, Dancing, and Rejoicing in the Round: Latin Sacred Songs with Refrains, circa 1000—1582” (PhD diss., University of Chicago, 2013).

A.2.3.5 BIBLIOGRAPHY OR REFERENCE LIST. If you are using notes-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. 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.

Figure A.15. Bibliography. Reprinted with permission from Julia Akinyi Brookins, “Immigrant Settlers and Frontier Citizens: German Texas in the American Empire, 1835—1890” (PhD diss., University of Chicago, 2013).

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 clarify 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. Leave two blank lines between the title and the first entry, and one blank line between single-spaced entries. Indent runovers half an inch (use a hanging indent). Figure A.16 shows a sample page of a reference list.

Figure A.16. Reference list. Reprinted with permission from José Antonio Hernández Company, “The Legacies of Authoritarianism: Party Origins and the Development of Programmatic Capacity in Mexico” (PhD diss., University of Chicago, 2015).

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 clarify the arrangement.