GUIDANCE ON CITATIONS AND THEIR INCLUSION IN LITERARY AND SCIENTIFIC TEXTS *
I
THE HARVARD (AUTHOR-DATE) SYSTEM
The most widely used system for citing references in literary and scientific texts is the Harvard system. A common
version of it as used by a well known publisher is summarised below. Additional elements of the referencing apparatus
often include numbered footnotes and/or endnotes.
1.0
Citing References in the Text itself
Give the author’s name and the year in parentheses: ‘ … (Smith 1991)’.
Where the author’s name occurs naturally in the sentence, the year is added in parentheses:
‘Finch (1990) found …’.
When the same author has published more than one cited work in the same year, add ‘a’, ‘b’, etc. (in italics) to the year of
publication (in order of appearance in the text): ‘As Jones (1990a) has stated … He went on to show (Jones 1990b) …’.
If there are two authors, the name of each author is given either naturally in the text, or in parentheses, followed by the
year in parentheses.
If there are more than two authors, the name of the first author only should be given, followed by et al. (in italics): ‘Three
investigations (Denker et al. 1987; Ferris and Lindberg 1989; Lloyd et al. 1991) found …’. Note semicolons separating
references.
For unpublished theses use the form: ‘The work of Rogers (unpublished thesis, 1985) has led to … In her unpublished
thesis (1991) Pauling investigated …’. Include details in the List of References.
For personal communications use the form: ‘There is some evidence (Moore, personal communication) …’.
Give further details in the List of References, including the date.*
For works in the process of being published, use the form ‘(Richards, in press)’. Give as many details as possible in the list
of references, including the anticipated publication date where known; it is essential to update at the proof stage.
When citing an anonymous editorial in a journal, cite by using the name of the journal and the date: ‘(Lancet 1989)’, and
list this under ‘L’ in the List of References.
When citing a work produced by an organization (e.g. the World Health Organization) for which the author’s name is not
given, the name of the organization (abbreviated if possible) may be used instead of the author’s name: ‘WHO (World
Health Organization) (1989)’.
When citing a string of references in the text, it is preferable to list them in chronological order: ‘There were three
experiments (Bonnington 1983; Jacobs 1985; Callow 1986 …)’. However, alphabetical order is also acceptable - but a
consistent policy should be adopted throughout the text.
2.0
Listing References at the End
2.1
Order of entries
References are listed in alphabetical order of author. Single-author works are listed first, arranged chronologically; twoauthor works second, in alphabetical order of second author, then chronologically; multiauthor works are listed third, but
these are arranged chronologically - not in alphabetical order of co-author, since ‘et al.’ is used in the text (rather than the
names of co-authors):
Jones, F. (1980)
Jones, F. (1981)
Jones, F. and Smith, P. (1991)
Jones, F. and Thomas, G. (1990)
Jones, F. and Veevers, L. (1984a)
Jones, F. and Veevers, L. (1984b)
Jones, F. and Veevers, L. (1985)
Jones, F., Watts, D., Smith, G. and Brown, M. (1980a)
Jones, F., Barlow D., Low, S. and King, N. (1982b)
Jones, F., Gore, P. and Davies, G. (1991)
*
Adapted from the Oxford Dictionary for Scientific Writers and Editors (1994), in Oxford Reference Shelf, OUP, Oxford, UK
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2.2
References to articles in journals and periodicals
Items should be listed in the following order:
(1) Author’s name/s
- Use the form: ‘Smith, D.G., Brown, A. and Eliot, F.’
- For multiauthor works, give the name of each author. However, if there are more than six authors it is acceptable to name
the first six authors, followed by ‘et al.’.
(2) Year of publication
- Put this in parentheses.
- Follow this by ‘a’, ‘b’ (inside the parentheses) if you are:
(i) citing more than one item published by the same author in the same year, or
(ii) citing the same first author of multiauthor works, published in the same year; note this convention should be
applied, even if the co-authors are different).
- Parentheses should be followed by a full stop.
- If the paper is still in the process of publication, ‘(In press.)’ is added at the end of the whole entry. The
anticipated publication date should be added, where known, e.g. (In press, 2001). It is essential to update this
citation as appropriate at the proof stage.
(3) Title of the paper
- If you prefer to leave out paper titles, do so consistently through the typescript.
- The title should not be in quotation marks.
- Use lower case for all the words in the title except the first word and proper names.
- Treat the spelling in titles of a paper as you would a quotation, i.e. do not change it to house style.
- The title is followed by a full stop.
(4) Title of the journal
- This should be given in abbreviated style, standardised according to the convention for that journal. Alternatively, the
journal title should be given in full. Whichever option is selected, it should be followed consistently for all journals cited.
If however the official journal abbreviation is not known, then the title should be given in full – ad hoc abbreviations must
not be used.
- Underline the journal title (this indicates that, if printed, it would appear in italic type) or print it out in italic form.
- Use capitals for the main words, e.g. American Journal of Physical Anthropology.
(5) Volume number
- This will appear in bold type (e.g. 16); this can be denoted by a wavy underline.
- If letters form part of the volume number these will be in bold too; they are set without a space between the letter and the
volume number, e.g. A135.
(6) Issue number (only if essential)
- Use this only if the pagination of the journal is by issue rather than by volume. Leave it out unless it is essential.
- Use the form: Kovacs, A., Schmitt, B. and Smith, C. (1985). Scientific American, 47, (3), 63–64.
(7) Page numbers
- Inclusive pages should always be cited wherever possible.
- If only one citation from a particular source is given, the inclusive page numbers should be given in the Reference List.
- If several citations are being made, based on different parts of the same reference, the inclusive page numbers should be
given in the text itself, e.g. ‘(Jones 1986, p. 114)’, and also in the List of References.
- Do not use ‘p.’ or ‘pp.’ before the page numbers in the list of references.
2.2.1
Examples
Haile, N.S. (1958). The snakes of Borneo, with a key to their species. Sarawak Museums Journal, 8, 743–71.
Hooijer, D.A. (1957a). A Stegodon from Flores. Treubia, 24, 119–29.
Hooijer, D.A. (1957b). Three new giant prehistoric rats from Flores, Lesser Sunda Islands. Zoologisch Mededeelingen,
Leiden, 35, 229–314.
Jones, F. (1981). J. Chem. Soc. B, 45, 33-38.
Jones, F. and Smith, P. (1991). J. Amer. Chem. Soc., 223, 1341-1344.
Jones, F. and Thomas, G. (1990). Nature, 156, 23 – 30.
Jones, F., Watts, D., Smith, G. and Brown, M. (1980a). Tetrahedron, 45, 557-558.
Jones, F., Barlow D., Low, S. and King, N. (1982b). J. Chromatogr. B, 567, 95-101.
Kovacs, A., Schmitt, B. and Smith, C. (1985). Scientific American, 47, (3), 63–64.
Sprent, P. (1982). Discussion of Dr Atkinson’s paper. Journal of the Royal Statistical Society, 344, 22–24.
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2.3
References to books, pamphlets, etc.
Items should appear in the following order:
(1) Author’s name/s
- Use the form: ‘Smith, D.G., Brown, A. and Eliot, F.’
- If the author or authors are editors, the last name is followed by ‘(ed.)’
- For multiauthor works, give the names of all authors. However, if there are more than six authors, the first six authors
will suffice, followed by ‘et al.’.
(2) Year of publication
- This is to be found on the first title page, and/or on the even (inside) title page, and/or printed on one of the last pages.
- The date should be put in parentheses.
- Follow this by ‘a’, ‘b’, if you are:
(i) citing more than one item published by the same author in the same year, or
(ii) citing multiauthor works with the same first author, published in the same year.
- If the book is still in the process of publication, ‘(In press.)’ is added as the last item (following the place of publication).
The anticipated publication date should be added, where known, e.g. ‘(In press, 2001.)’. It is essential to update this
citation as appropriate at the proof stage.
(3) Title of the chapter
- If you prefer to leave out the chapter title, do so consistently throughout the typescript.
- The title should not be given in quotation marks.
- Use lower case for all words in the title, except for the first word and proper names.
- Treat the spelling of words in the title as a quotation — do not change to house style.
(4) Title of book
- Underline this to denote italic type and use lower case for all words in the title, except first word/proper names.
(5) Volume
- Use the form ‘Vol. 1’. (Note: cap. ‘V’, full stop.)
(6) Edition
- If this is not the first (for which no comment is required), use the form ‘(2nd edn)’ ‘(revised edn)’.
(7) Translator’s name (if any)
- Use the form ‘(trans. A.B. Linguist)’.
(8) Name of the editor/s (if any)
- Use the form ‘(ed. P. Hordern and L. Thomas)’.
- Note the use of lower-case ‘e’ for ‘ed.’, the use of ‘ed.’ whether singular or plural (not ‘eds’), and the fact that the initial/s
precede/s the surname.
(9) Page numbers
- If you are referring to a particular chapter or paper in a book, the inclusive page numbers should be given here.
- Give the inclusive page numbers, e.g. ‘49–50’, not just the first page.
- Insert ‘pp.’ before the inclusive page numbers, e.g. ‘pp. 91–110’, or if a single page ‘p. 33’.
(10) Publisher
- Use the simplest form, e.g. ‘Wiley’ not ‘John Wiley & Sons’.
(11) Place of publication
- As found on the title page of the book and/or on the even (inside) page; sometimes this information is also to be found
printed on one of the last pages.
- If the title page gives, e.g. ‘London–New York–Toronto’, the first mentioned city in this list denotes the actual place of
publication (any others should not be cited in the reference).
- It may be unnecessary to give this if it is obvious from the publisher’s name, e.g. many University presses indicate the
place of publication (but watch for titles published by branches abroad — e.g. OUP, New York — this will be clear from
the title page).
(12) ‘In’
- This is needed only when referring to a chapter or section in a multiauthor work.
- Use capital ‘I’ and follow the format as for a book – viz.
Name/s of author/s– (year). – chapter or section title (if known). – In – Title of book (in italics or underlined) – volume
number (if in a series) – edition if not the first, e.g. ‘(2nd edn)’ – translator’s name if any e.g. ‘(trans. A.B. Linguist)’ –
name of editor/editors (if any) e.g. ‘(ed. A. Redattore and B.C. Herausgeber)’ – inclusive page numbers preceded by ‘pp.’,
or ‘p.’ for a single page - publisher – place of publication – full stop.
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2.3.1
Examples
Benneson, A. (ed.) (1980). Control of communicable diseases, (13th edn). American Public Health Association,
Washington.
Bliss, C.I. (1970). Statistics in biology, Vol. 2. McGraw Hill, New York.
Britter, R.E. (1985). Diffusion and decay in stably-stratified turbulent flows. In Turbulence and diffusion in stable
environments, The Institute of Mathematics and its Application Conference Series, No. 4, (ed. J.C.R. Hunt), pp. 1–13.
Oxford University Press.
Cochrane, S.H., O’Hara, J. and Leslie, J. (1980). The effects of education on health, World Bank Staff Working Paper, No.
405. World Bank, Washington.
Goodall, G. (1980). Stimulus and response learning in signalled punishment. Unpublished D.Phil. thesis. University of
Sussex.
Gorman, M. (1979). Island ecology. Chapman and Hall, London.
Hader, R.J. and Grandage, A.H.E. (1958). Simple and multiple regression analyses. In Experimental designs in industry,
(ed. V. Chew), pp. 108–37. Wiley, New York.
Health Education Council, Cystitis. Leaflet obtainable from: Health Education Council, 78 New Oxford Street, London
W1LA 1AH.
Kimble, J., Sulston, J. and White, J. (1979). In Cell lineage, stem cells and determination, INSERM Symposium, No. 10,
(ed. N. Le Douarin), pp. 73–79. Elsevier, Amsterdam.
Sanders, D. (1983). Premenstrual tension. In Women’s problems in general practice, (ed. A. McPherson and A.
Anderson), pp. 42–62. Oxford University Press.
Takhtajan, A.O. (1969). Flowering plants: origin and dispersal, (trans. C. Jeffrey). Oliver & Boyd, Edinburgh.
II
The Numbered System
In this system, each reference is numbered in order of appearance in each chapter. References are listed at the ends of
chapters (or, by chapter, at the end of the book).
There are certain disadvantages to this system. Each time a reference is added (or removed) at typescript stage, the
numbers of all the other references in the chapter and the list of references will need to be altered (unless a wordprocessing system is used). The same applies if references are added or removed at proof stage, but it should be noted that
in this case, such changes are very expensive. Also, it is difficult at a later date for the reader to find any particular
reference in a numerical list, since they will not normally appear as an additional alphabetical list. Moreover, a number in
the text is less immediately informative to the reader, as it is not usually accompanied by the writer’s name.
There are, however, some advantages in using the numerical sequence system in certain types of literary work. For
example, in scientific bibliographies, historical treatises, collections of lectures, etc. the system can work well, since the
reference numbers (often in superscript form) don’t disrupt the natural flow of the text. This system also permits a list of
references to be expanded seamlessly, to enable inclusion of some additional explanatory comment or extra information.
This can avoid loading the text with unnecessary detail, and may obviate the need for footnotes, which would be the other
route for adding additional comments and information.
1.0
Citing References in the Text itself
In one version of the numbered system, superscript numbers are inserted immediately after the word, sentence or
paragraph to which the citation refers.
It is self-evident that these numbers must be used sequentially and that the citation should appear in the list in precisely the
same order as referred to in the text.
The numbers are inserted outside any punctuation marks, as for example in:
‘First discovered by Jones,1 this phenomenon was later confirmed by Smith,2 who went on to demonstrate its wider
validity.3 ’
When citing two or more references, the numbers are separated by a comma:
‘Jenkins1,5 did further research on the subject, ...’
Please note that this implies that references 2,3 and 4 have already been cited earlier in the text.
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If there is a string of references, a range of numbers is given:
‘Jenkins1,5 did further research on the subject, as noted by other workers in Moscow2-4, 6,7 and Washington8-11.’
In mathematical works, the superscript numbers may be inserted in square brackets in order to differentiate them from
other mathematical notation.
2.0
Listing References at the End
Each reference is preceded by a number, which may be emboldened, with the option of curved or square brackets, and
followed by a full stop. The number is never presented as a superscript.
The order of items within a reference and the typographical style follow that described above for the Harvard system:
2.1
For Journals and Periodicals
Number. Name/s of author/s – (year). – title. – name of journal (in italics), - volume number (bold), - inclusive pagination
– full stop. For example:
1. Grimes, C.M. (1974). Cost effectiveness in diagnostic X-ray departments. Radiography, 40, 285–6.
2.2
For Books and Pamphlets
Number. Name/s of author/s– (year). – chapter or section title (if known). – In – Title of book (in italics or underlined) –
volume number (if in a series) – edition if not the first, e.g. ‘(2nd edn)’ – translator’s name if any e.g. ‘(trans. A.B.
Linguist)’ – name of editor/editors (if any) e.g. ‘(ed. A. Redattore and B.C. Herausgeber)’ – inclusive page numbers
preceded by ‘pp.’, or ‘p.’ for a single page - publisher – place of publication – full stop. For example:
1. Kimble, J., Sulston, J. and White, J. (1979). In Cell lineage, stem cells and determination, INSERM Symposium, No.
10, (ed. N. Le Douarin), pp. 73–79. Elsevier, Amsterdam.
Compiled by Prof. A.F. Fell,
from Oxford Reference Shelf,
May, 2002
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