File preparation and submission requirements - Appendix: Paper format and submission

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

File preparation and submission requirements
Appendix: Paper format and submission

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 makes it easier to use your word processor to number pages, footnotes, and the like and to define and apply styles consistently (see A.3.1.2). Working in a single file will also make it easier to search and make global changes. Papers submitted electronically must almost always consist of a single file (though certain supplementary materials may need to be prepared and submitted as separate files; see A.2.3.2). You may need to use your word processor to divide your document into sections to meet certain formatting requirements, such as presenting notes at the end of a chapter (as chapter endnotes) or changing the way page numbers display in headers or footers in different parts of the document.

✵ ▪ 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 any confusion. Before final submission, check your local guidelines for naming conventions that apply to the file for the paper and to any supplemental materials.

✵ ▪ If possible, stick with the same application to draft and edit your paper. Conversions always involve some risk of formatting errors and lost data, even when moving between word processors that are supposed to be compatible.

✵ ▪ Save your work often during each writing session.

✵ ▪ Back up your work in more than one location after each writing session. In addition to a local drive, save it to a network or cloud storage service.

✵ ▪ Print out the file for your paper or convert it to the required electronic format before your submission date. Look it over carefully for any formatting glitches, such as special characters that are not displaying properly, 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 problem or a serious illness), you can use it to show that you did indeed produce a draft.

For considerations related to citation management tools, 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 font, 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).

✵ ▪ To avoid stranding headings at the bottom of the page, use your word processor to define them to keep with the next element. And to avoid stranding single lines of text at the top or bottom of the page, use your word processor’s option for widow and orphan control.

✵ ▪ 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 symbols, and the like. If a particular character is not available, you may need to select a different font for that character.

✵ ▪ Insert any linked cross-references (for the table of contents, figure references, or other elements) and external hyperlinks (for cited sources and the like) that your local guidelines recommend.

✵ ▪ Avoid font colors other than black. Even if you submit your paper as a PDF or print it on a color printer, it may be printed or copied later in black and white, 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 another application 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.

✵ ▪ Place a table number and title on the line above each numbered table (see 26.2.2). Run the title the full width of the table.

✵ ▪ Put any source notes, general notes, or footnotes under the bottom rule of a table, with a blank line between the rule and the first note, and also between notes. Notes to tables may be presented in a smaller font 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 note) 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 in black and white. 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 (preferably in portrait orientation, so that it lines up with the rest of the page numbers in your paper).

✵ ▪ 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.

✵ ▪ Some charts, graphs, and diagrams can be created with the tools built in to your word processor. If you create them in a different application, 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 an 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 the figure (see 26.3.2). (An exception: with examples from musical scores, put the number and caption on the line above the figure rather than below.) Run the caption the full width of the figure. 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 in black and white. 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 (preferably in portrait orientation, so that it lines up with the rest of the page numbers in your paper).

✵ ▪ 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

Most departments and universities now require electronic submission of a thesis or dissertation instead of or in addition to 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. To ensure that all text displays correctly for other readers, make sure that all fonts used in your paper have been embedded according to the guidelines provided by ProQuest or your university. If a copy of your abstract will be submitted separately, double-check formatting and special characters to make sure they have been maintained in the copy. If your paper includes supplemental files that cannot be included in the PDF (see A.2.3.2), follow all applicable guidelines for preparing and submitting them.

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, sometimes in conjunction with a Creative Commons license that specifies how others may use or distribute your work. If you choose a traditional publishing option, your paper may still be visible to search engines, and readers may have free access to your abstract and in some cases a portion of your text; full access is typically provided through a subscription 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, 17th ed. (2017), or Copyright and Your Dissertation or Thesis: Ownership, Fair Use, and Your Rights and Responsibilities, by Kenneth D. Crews, available online from ProQuest.

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. 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 your thesis or dissertation is very long, your department or university may bind it in multiple volumes. Check your local guidelines.) 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 × 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.


1. A thesis is a paper submitted as part of the requirements for a master’s-level or undergraduate degree. A dissertation, which is typically longer than a thesis, is a paper submitted toward fulfillment of a doctoral degree.