Changes in ALWD Guide 5th Edition

Changes in ALWD Guide 5th Edition
Rule 1

 

Typeface for Citations

  • Rule 1.1 introduces a new typeface that will be used in legal citations in academic footnotes—large and small capital letters.
  • New Rule 1.3(a) identifies underlining as an alternative to italics in practice-based documents.
  • New Chart 1.1 identifies citation components that require italics and provides cross-references to the rules that deal with italics.
  • Selected foreign words and abbreviations not ordinarily italicized have been moved into new Chart 1.2.
  • New Rule 1.4(FN) addresses the basic use of large and small capital letters for certain citation components in academic footnotes.
  • New Chart 1.3 collects all the citation components that will use the large and small caps typeface in academic footnotes and provides cross-references to relevant rules.
Rule 2

 

Abbreviations

  • Rule 2.3 discusses the abbreviation of words in case names in textual sentences, and it lists permissible abbreviations in new Chart 2.1.
Rule 3

 

Spelling and Capitalization

  • Rule 3.1 discusses the reproduction of titles as shown and spelled in the original, and for quotations, indicating errors in text or correcting them.
  • All discussion of capitalization has been moved to Rule 3.2.
  • Rule 3.3 adds new Chart 3.1 to identify and provide examples of specific words that may require capitalization in legal writing.
Rule 4

 

Numbers

  • Rule 4 deletes some subsections dealing with textual number references that are better handled through reference to writer’s chosen style manual.
Rule 5

 

Page numbers

  • Rule 5.3 directs that pages in a span numbered 100 or higher should drop repetitious digits, retaining the last two for the ending page number.
  • New examples
Rule 6

 

Sections and Paragraphs

  • No significant changes in substance
  • Reorganized, new examples
Rule 7

 

Footnotes and Endnotes

  • No significant changes in substance or organization
  • New examples
Rule 8

 

Supplements

  • No significant changes in substance or organization
  • New examples
Rule 9

 

Graphical Material, Appendices, and Other Subdivisions

  • No significant changes in substance or organization
  • New examples
Rule 10

 

Internal Cross-References

 

 

  • While acknowledging potential use of internal cross-references in practice-based documents, Rule 10 alters focus to cross-references in academic documents, including cross-references to specific sections within the document, such as pages, tables, figures, appendices, and footnotes.
Rule 11

 

Full and Short Citation Formats

  • New Rule 11.1(d) addresses the frequency of full citations in documents with academic footnotes.
  • Rule 11.4 has been expanded to explain and illustrate the differences between using the short citation supra in practice-based documents and in academic footnotes.
  • The “hereinafter” designation is treated in new Rule 11.5, with new examples demonstrating its use and format in academic footnotes.
Rule 12

 

Cases

  • New Rules 12.2(a)(2)(FN) and 12.19(g)(FN) deal with the typeface requirements for case names in citations placed in academic footnotes.
  • New Chart 12.1 sets out common business designations and their abbreviations.
  • Former Sidebar 12.3’s explanation and examples of procedural phrases have been moved into Rules 12.2(o) (ex rel.) and 12.2(p) (in re; ex parte).
  • Rule 12.4(b)(4) addresses new requirements for citations to nominative reporters.
  • Rule 12.6(c)(1) directs the omission of references to a state court’s department, division, or other subdivision.
  • New Rule 12.6(c)(2) directs the omission of references to a federal court’s division or unit, with certain exceptions, and omission of reference to the state in which the case originated.
  • New Chart 12.3 collects terminology to use in subsequent history phrases.
  • New Rule 12.8(e) addresses abrogated, overruled, and superseded cases.
  • New Rule 12.8(f) explains how to indicate subsequent history occurring in the same year the case was originally decided.
  • New Chart 12.4 collects abbreviations for prior history designations.
Rule 13

 

Constitutions

  • New Rule 13.2(e)(FN) addresses citation of constitutions in academic footnotes.
Rule 14

 

Statutory Codes and Session Laws

  • Rule 14.1, renamed Sources of Statutory Law, adds a bulleted list showing the order of preference for statutory sources when official sources are not available.
  • New Rule 14.2(a) discusses official and popular names of statutes.
  • New Rule 14.2(e) explains how to cite to a statutory appendix or other subdivision such as a note.
  • New Rule 14.2(f) addresses the contents of the publication parenthetical, including references to commercial database publishers.
  • Rule 14.4, Full Citation Format for State Statutes, has been revised to address analogous components in federal statutes and state subject-matter codes.
  • New Rules 14.2(h)(FN), 14.4(c)(FN), and 14.5(c)(FN) illustrate formatting for statutory citations in academic footnotes, and new Rules 14.6(h)(FN) and 14.9(c)(FN) do the same for session laws.
Rule 15

 

Other Legislative Materials

  • Rule 15 combines former Rules 15 and 16 into a single rule for federal and state legislative materials.
  • Rule 15.7(e) adds a requirement for designating Congress’s session number for older House and Senate reports.
  • Where different formatting for citations to these materials is needed in academic footnotes, it is illustrated in new Rules 15.2(c)(FN), 15.3(b)(3)(FN), 15.4(b)(3)(FN), 15.6(c)(FN), 15.7(g)(FN), 15.8(c)(FN), 15.9(b)(FN), 15.10(a)(6)(FN), 15.10(b)(3)(FN), 15.10(c)(2)(FN), 15.10(d)(3)(FN), 15.11(b)(FN), 15.11(c)(3)(FN), 15.12(b)(FN), 15.14(c)(FN), 15.16(c)(FN), 15.17(g)(FN), 15.18(g)(FN), 15.19(b)(FN), and 15.20(c)(FN).
Rule 16

 

Court Rules, Ethics Opinions, and Jury Instructions

  • Rule 16 covers materials formerly covered in Rule 17. It begins with a brief introduction to the nature and operation of court rules; for local rules, it refers users to Appendix 2, and for uniform or model rules, to Rule 23.
  • New Rules 16.1(e)(FN), 16.3(b)(FN), 16.3(d)(FN), and 16.3(f)(FN) contain examples demonstrating the use of large and small capital letters in full and short citations to court rules or jury instructions in academic footnotes.
Rule 17

 

Ordinances

  • Rule 17 covers materials formerly covered in Rule 18.
  • Under Rule 17.1(a), the state abbreviation now follows the name of the political subdivision.
  • Rule 17.1(c) addresses publication dates both for ordinances cited to print sources and those cited to official and unofficial sources online.
  • Academic footnote formatting is illustrated in new Rules 17.3(FN) and 17.4(c)(FN).
Rule 18

 

Administrative and Executive Materials

  • Rule 18 combines former Rules 19 and 20 into a single rule for federal and state administrative and executive materials; consequently, sections of the former rules have been reorganized and renumbered.
  • Rule 18.1, Code of Federal Regulations, and Sidebar 18.1, Currency of C.F.R. Volumes, have been revised to recognize the official online publication of C.F.R. in PDF format in the Government Printing Office’s Federal Digital System (FDsys).
  • New Rule 18.1(d) addresses the special citation formats used for citing Treasury Regulations and Federal Acquisition Regulations.
  • For citations to the Federal Register, Rule 18.3(a) now requires inclusion of a title in citing a rule or regulation, and Rule 18.3(c) addresses the use of commas in five-digit page reference numbers. New Rule 18.4(b)(FN) addresses appropriate short citation formats for the Federal Register in academic footnotes.
  • Rule 18.5, Federal Agency Decisions, provides an expanded discussion and new examples for citing federal agency decisions to official and unofficial reporters and other sources, such as looseleaf services and the Internet, and addresses the varying types of pinpoint references that may be necessary, depending on the cited source. It adds new subsection 18.5(f) for indicating cases decided by an arbitrator.
  • Rule 18.7, Advisory Opinions, covers full citations to opinions of the U.S. Attorney General or the Justice Department’s Office of Legal Counsel, and it adds new subsection 18.7(a) to require inclusion of the opinion’s title, if available.
  • Rule 18.9, Executive Documents, directs that while the abbreviations for Executive and Number be used in identifying the document, no other words should be abbreviated. New subsection 18.9(f)(FN) demonstrates full citations to executive documents in academic footnotes.
  • State administrative codes, registers, agency decisions, advisory opinions, and executive materials are discussed and illustrated in Rules 18.13–18.18.
Rule 19

 

Treaties, Convention, and Agreements; International and Foreign Law Sources

  • Rule 19 focuses on treaties, conventions, and similar agreements, formerly covered in Rule 21. For citations to international and foreign law sources, including materials from the United Nations, Rule 19.4 of the ALWD Guide recommends consulting Guide to Foreign and International Legal Citations (2d ed. 2009).
  • Under Rule 19.1(e), Signatory Parties, the United States or the United Nations will be listed first in citations to bilateral agreements; names of parties to multilateral agreements will ordinarily be omitted.
  • Under Rule 19.1(f), the date of signing is no longer placed in a parenthetical, but instead, precedes the treaty source component.
  • When the United States is a party, Rule 19.1(g) requires citation to official document sources where available; for agreements to which the United States is not a party, citation should be made to a source published by an international organization.
  • Chart 19.1 categorizes document sources and indicates their citation formats and abbreviations.
  • New Rule 19.3(b)(FN) demonstrates short citation formats for treaties, conventions, and agreements in academic footnotes.
Rule 20

 

Books, Treatises, and Other Nonperiodic Materials

  • Rule 20 covers materials formerly covered in Rule 22, including nonperiodic materials such as books, treatises, works in a series, collected works, and religious works.
  • Under Rule 20.1(a), when the cited source is from a multi-volume set, the citation must begin with the volume number, preceding the author name.
  • New Rule 20.1(e) describes the publication parenthetical, which identifies, at a minimum, the year of publication, but which also may identify components such as editors, translators, second or later editions or printings. Publisher names are omitted unless they represent someone other than the original publisher.
  • Under Rule 20.1(e)(4), citations to works in a series must consider whether the series was issued by a specific author (in which case the series number is included in the title of the work) or by someone else (in which case the series is indicated in the publication parenthetical).
  • While citations typically indicate the most current edition, for works published before 1900, Rule 20.1(e)(5) permits citation to a modern edition or to the original; for original editions, the publication parenthetical should include the original place and date of publication.
  • Rule 20.3, Collected Works, has been revised to incorporate potential components in the publication parenthetical, including names of editors, translators, publishers, and editions.
  • New Rules 20.3(e)(FN) and 20.6(d)(FN) explain and provide examples of citation formats for nonperiodic materials in academic footnotes.
Rule 21

 

Legal and Other Periodicals

  • Rule 21 covers citations to periodical materials, previously addressed in Rule 23.
  • New Rule 21.1 addresses the necessity of determining whether a periodical is consecutively or nonconsecutively paginated, as this determination will affect the type and arrangement of the citation components.
  • New Rule 21.2 addresses full citation format for consecutively paginated periodicals.
  • For citations to works written by student authors, Rule 21.2(b) adds a component designating the type of work, following the author’s name.
  • Rule 21.2(c) requires a comma following all titles, including those ending with a question mark or exclamation mark.
  • New Rule 21.3 covers citations to nonconsecutively paginated periodicals. The most significant changes deal with placement of the publication date and page references.
  • Rule 21.3(f) addresses concerns specific to citations of newspapers, and Rule 21.3(g) does the same for newsletters.
  • New Rules 21.6(FN) and 21.7(b)(FN) demonstrate periodical citations in academic footnotes.
Rule 22

 

Dictionaries, Encyclopedias, and A.L.R. Annotations

  • Rule 22 treats in a single rule the closely-related sources that were previously covered in Rules 24, 25, and 26.
  • Rule 22.1(a) sets out the components of a full citation to a dictionary; it also cross-references the relevant rule for citing multi-volume dictionaries.
  • Rule 22.3 addresses citations to multi-volume encyclopedias without named authors or editors. Encyclopedia abbreviations are covered in Rule 22.3(b) and Chart 22.1; the word “encyclopedia” is no longer abbreviated.
  • Rule 22.4 deals with citations to encyclopedias with named authors or editors; the publication parenthetical drops reference to the publisher.
  • Rule 22.6 describes the components of a full citation to an annotation, including the word “Annotation” following the author’s name.
  • New Rules 22.1(b)(FN), 22.2(b)(FN), 22.3(f)(FN), 22.4(b)(FN), 22.5(d)(FN), 22.6(g)(FN), and 22.7(b)(FN) demonstrate full and short citations to dictionaries, encyclopedias, and annotations in academic footnotes.
Rule 23

 

Restatements, Model Codes, Uniform Laws, and Sentencing Guidelines

  • The sources addressed in Rule 23 were previously covered in Rule 27.
  • Rule 23.1(a) addresses the title, subject matter, and series components of a citation to a Restatement, all rendered in ordinary type, and abbreviating any words that appear in Appendix 3(E).
  • Sidebar 23.1 provides an updated and expanded list of current Restatement subject matters.
  • Under Rule 23.3(a), if a model code or act has been promulgated by an organization other than the American Bar Association, American Law Institute, or National Conference of Commissioners on Uniform State Laws, the abbreviated name of that organization must be added to the date parenthetical.
  • Rule 23.7 addresses citations to sentencing guidelines, including citations to state guidelines. It cross-references relevant rules for pinpoint references and clarifies which year to use in the date parenthetical.
  • New Rules 23.1(e)(FN), 23.2(b)(FN), 23.3(b)(FN), 23.5(c)(FN), 23.7(b)(FN), and 23.8(b)(FN) demonstrate full and short citations to Restatements, model codes, uniform laws, and sentencing guidelines in academic footnotes.
Rule 24

 

Looseleaf Services and Reporters

  • Rule 24 addresses looseleaf services and reporters, previously covered in Rule 28.
  • New Rule 24.1(j)(FN) concerns citations to looseleaf case materials in academic footnotes.
Rule 25

 

Practitioner and Court Documents, Transcripts, and Appellate Records

  • Rule 25 treats practice-based documents previously covered in Rule 29.
  • Under Rules 25.2(c) and 25.3(c), the document’s exact date follows the pinpoint reference but is not enclosed in parentheses.
  • New Rule 25.2(d) describes the case number component of a court document citation, including federal CM/ECF numbers.
Rule 26

 

Speeches, Addresses, and Oral Presentations

  • Rule 26 provides guidance for citing oral presentations such as speeches, covered in former Rule 30. It deletes subsections from the former rule concerning citations to other types of live performances, as such sources are more analogous to visual and audio sources covered in Rule 28 of the fifth edition.
  • The rule adds new components to the citation of an oral presentation, including the speaker’s title and institutional affiliation, if available. It omits the former component requiring the location of the presentation.
  • Rule 26.1(e) adds a new option for indicating online locations for transcripts or recordings of oral presentations.
  • New Rules 26.1(f)(FN) and 26.3(b)(FN) illustrate full and short citation formats for citations to unpublished oral presentations in academic footnotes.
Rule 27

 

Interviews, Letters, and Memoranda

  • Rule 27 combines in a single rule citations to interviews, letters, and memoranda, formerly covered separately in Rules 31 and 32.
  • For citations to interviews, Rule 27.1(d) adds a new location component.
  • Rule 27.3(g) describes how to indicate online locations for copies of unpublished letters or memoranda.
  • New Rule 27.5(b)(FN) illustrates short citation formats for these materials in academic footnotes.
Rule 28

 

Video and Visual Programs; Radio; Audio Recordings; Documents in Microform Collections

  • Rule 28 covers a variety of visual and audio media previously treated in Rules 33 and 34, as well as microformed materials, previously treated in Rule 35. New media sources are now covered along with other electronic sources in Rule 33 of the fifth edition.
  • Rule 28.1 presents revised components differentiating citations to movies, nonepisodic programs, and episodic programs.
  • Rule 28.1(e) adds an option for indicating online locations for program transcripts.
  • Rule 28.3(c) adds a new section on pinpoint references for audio recordings.
  • Rule 28.6(c) demonstrates the addition of parallel citations to microformed sources.
  • New Rules 28.1(f)(FN), 28.5(FN), 28.6(c)(FN), and 28.7(b)(FN) illustrate full and short citation formats for citations to these materials in academic footnotes.
Rule 29

 

Forthcoming Works, Unpublished Works, and Working Papers

  • Rule 29 combines in a single rule citations to forthcoming works, unpublished works, and working papers, formerly covered separately in Rules 36 and 37.
  • Under Rule 29.2(b), titles of unpublished works are now presented in ordinary type.
  • Rule 29.2(e) requires the full name of a school for which a student thesis or dissertation was written.
  • Rule 29.2(f) adds an option for indicating online locations of unpublished works.
  • New Rule 29.4(FN) deals with citation of these materials in academic footnotes.
Rule 30

 

Electronic Sources in General

  • Rule 30 gives an overview of citations to sources in print versus electronic versions, topics that were previously covered in Rule 38. The rule has been expanded, providing additional guidance to writers considering whether to cite print or online sources.
  • New Rule 30.1(b) discusses the desirability of citing authenticated, official, and exact reproduction electronic versions of print sources over other electronic versions, and new Sidebar 30.2 provides additional advice for choosing among various electronic source options.
  • New Chart 30.1 cross-references other citation rules for electronic versions of sources.
Rule 31

 

World Wide Web Sites

  • Rule 31 covers the citation of sources on the World Wide Web (previously addressed in Rule 40), both for sources only available there, and in a new section, in parallel citations to sources also available in print.
  • Rule 31.2 identifies a number of contingencies that may affect a website’s citation.
  • Rule 31.2(b) adds a component for indicating the homepage or domain name of a website.
  • New Chart 31.1 lists common domain name suffixes.
Rule 32

 

Commercial Databases

  • Covering material previously handled in Rule 39 (“Westlaw and LexisNexis”), Rule 32 is re-titled “Commercial Databases” to reflect the existence of commercial databases in addition to those in Westlaw and LexisNexis (e.g., Bloomberg, Fastcase, HeinOnline).
  • New Rule 32.1 provides advice regarding when to cite commercial databases.
  • New Rule 32.2(b) describes the creation of parallel citations to commercial database sources that have unique identifiers.
Rule 33

Electronic Mail and Postings; New Media Sources: E-Readers; CD-ROMs

  • Rule 33 addresses a variety of electronic sources formerly covered separately in Rules 33 (new media sources) 41 (email, listserv postings), and 42 (e-readers, CD-ROMs).
  • For new media sources, Rule 33.4 presents a revised set of components, moving the identification of the type of source (e.g., podcast, vodcast) into the date parenthetical.
Rule 34

 

Citation Placement and Use

  • Rule 34 addresses general principles of citation placement and use, formerly treated in Rule 43.
  • Apart from new Rule 34.1(e)(FN) governing placement of citations in academic footnotes and endnotes, no significant changes in substance or organization
Rule 35

 

Signals

  • Rule 35 treats citation signals, formerly covered in Rule 44.
  • New Chart 35.1 illustrates the four general types of relationships that signals bear to a stated proposition: support, comparison, contradiction, and background.
  • Rule 35.5 illustrates the use of signals with multiple authorities, including those who provide the same type and degree of support and those who provide different types or degrees of support. Subsection 35.5(c)(FN) deals with changing signals in academic footnotes.
Rule 36

 

Order of Cited Authorities

  • Rule 36 guides writers in ordering multiple authorities in a single citation, a topic previously covered in rule 45.
  • Rule 36.3, detailing the order of specific sources, has been significantly revised, particularly with regard to the order of federal and state sources of the same type.
Rule 37

 

Explanatory Parentheticals, Commentary, and Treatment

  • Rule 37 illustrates the uses of explanatory parentheticals, as well as commentary on or treatment of another source. In previous editions, similar materials were addressed in Rule 46.
  • New Sidebar 37.1 provides guidance in ordering multiple parentheticals in a single citation.
  • New Rule 37.3 explains and illustrates the uses of present participles and quotations in explanatory parentheticals.
  • Rule 37.4(b) illustrates the use of italicized phrases describing the treatment of a cited source by another external source.
Rule 38

 

Quotations

  • Rule 38 deals with the basics of formatting and punctuating quotations, whether short (49 or fewer words) or long (50 or more words). These topics were previously covered in Rule 47.
  • While no new topics were added to the rule, it is slightly reorganized, and all subsections have been given topical headings.
Rule 39

 

Altering Quotations

  • Rule 39 explains and illustrates the mechanisms for indicating alterations and substitutions to quoted language, topics previously covered in Rule 48. Its organization is the same as the previous rule, but some topical headings have been revised or added.
Rule 40

 

Indicating Omissions in Quotations

  • Rule 40 guides users in correctly using ellipsis to indicate omissions in quotations, covering topics previously addressed in Rule 49.
  • The rule has been reorganized, and several of its topical headings have been revised or added.
Appendix 1

 

Primary Sources by Jurisdiction

  • Appendix 1 is reorganized and updated, with federal primary sources listed first, followed by primary sources for the states, and then by Native American and territorial primary sources.
  • Appendix 1 adds red triangles to indicate required spaces in component abbreviations to reporters, statutory compilations, session laws, administrative compilations, and administrative registers.
  • The tables in Appendix 1 add URLs, where available, for a jurisdiction’s judicial, legislative, and administrative websites.
Appendix 2

 

Local Court Citation Rules

  • Appendix 2 identifies and briefly describes local rules promulgated by federal and state courts affecting citation. It no longer reproduces the text of these rules, which are frequently amended and updated.
  • For federal courts and each appellate state court, where available, the charts in Appendix 2 provide URLs for court websites and court rules online.
Appendix 3

 

General Abbreviations

  • In Appendix 3, several categories of abbreviations have been added or revised, including abbreviations for major U.S. cities as well as countries and regions in Appendix 3(B), subdivisions in Appendix 3(C), and publishing terms in Appendix 3(D).
  • The abbreviations in Appendix 3(E) are no longer general abbreviations to be used in any type of citation; they are to be used only for case names, names of statutes, or elsewhere where indicated by specific citation rules. Appendix 3(E) has therefore been retitled “Case Names and Statutes.”
  • Appendix 3 features new subsections (F) and (G) for legislative terms and court documents, respectively.
  • Appendix 3 uses red triangles to indicate required spaces in abbreviations.
Appendix 4

 

Court Abbreviations

  • Appendix 4 has been reorganized to present federal courts before state courts.
  • Appendix 4 adds several new abbreviations (e.g., for bankruptcy appellate panels, the Foreign Intelligence Surveillance Court) and revises others (e.g., abbreviations for most state intermediate appellate courts).
Appendix 5

 

Periodical Abbreviations

  • Appendix 5 has been extensively expanded as well as updated. Several of its abbreviations have been revised.
Appendix 6

 

Federal Taxation Materials

  • Appendix 6 updates topics addressed in former Appendix 7, federal taxation materials.
Appendix 7

 

Federal Agencies

  • Appendix 7 expands the coverage of federal agency material addressed in former Appendix 8, and the appendix now features red triangles to indicate required spaces in abbreviations.
  • Appendix 7(A) provides an expanded and revised list of major official administrative publications and their abbreviations.
  • New Appendix 7(B) lists major federal agencies and their abbreviations.