Category Archives: capitalization

Check out the updated article at ENCORE – The State of Capitalizing State

I need to clarify something in a blog post published in 2014 on Capitalization in Legal Documents. The capitalization of the word “state” is obviously very confusing depending on your preferred resource.

According to the Gregg Reference Manual, “state” should be capitalized:

• When it is part of the full name of the state as in the State of Arizona
• When the word it modifies is capitalized as in the State Corrections Director
• When referring to the state as a party to litigation or a governmental actor as in “The State filed a Motion to Dismiss”

Most other sources I’ve found disagree with Gregg’s first example and say that “state” should not be capitalized when used as a proper noun but is capitalized when used in place of a particular state or referring to a specific governmental body:

• The residents of the state of California have a reputation for being healthier than most.
• The corporation, registered to do business in the state of California, is actually an Arizona corporation.

According to another favorite resource of attorneys, the Chicago Manual of Style, “where the government rather than the place is meant, the words state, city, and the like are usually capitalized.”

• The State of Florida’s statutes regarding corporations are codified at Title XXXVI.

Another resource simplifies it as when you are using “state” as a common noun, you would not capitalize it:

• She loved visiting the Northwestern states because she loved the rain.
• The state of California has a beautiful coastline.

But do capitalize “state” if it is part of a proper name

• I love visiting Washington State (as opposed to Washington, D.C.—although I love visiting there too).
• I have visited New York City, but not the rest of New York State (capitalized to differentiate between New York City and New York State).

All resources agree that “state” should be capitalized when it is a party to litigation.

• The response to the Motion to Dismiss was filed by the State yesterday.

The only comfort in all this confusion is that obviously everyone is confused. In fact, in many recent U.S. Supreme Court cases, “state” is capitalized in different instances, which may be a holdover from style from the 18^th Century when many common nouns are capitalized.

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Copyright: alexmillos / 123RF Stock Photo

There is some confusion over when to capitalize personal titles. Here are the “rules”:

• Capitalize official titles of honor and respect when they precede a personal name
  • Personal Titles—Mr. John Jones
  • Executive Titles—President Hank Brown
  • Professional Titles—Professor Sue Allen
  • Civic Titles—Councilman Frank Thomas
  • Military Titles—Sergeant Sharon Smith
  • Religious Titles—Bishop Samuel Stone
• Do not capitalize these titles when the personal name follows, set off by commas, as a description of the title
  • The professor, Sue Allen, teaches on Wednesdays and Thursdays.
  • The president, Hank Brown, is in meetings all day today.
• Do not capitalize occupational titles when they precede a name.
  • The work of attorney John Jones is full of grammatical errors.

To determine whether it is an official title as opposed to an occupational title, decide if you can use the title with just the last name. You would not say “Lawyer Jones,” “Director of Marketing Smith,” etc. Do not use a title before a person’s name unless it is short and you would actually say the title when you address that person. For instance, you might say Professor Allen, but you would not say Professor of Literary Arts Allen. Instead, that sentence would start “Sue Allen, professor of literary arts, . . .”

• When you have a title that would be capitalized, be careful not to confuse it with a more generic expression that would not be capitalized:
  • Judge John Jones
  • BUT NOT: Federal Judge John Jones or federal Judge John Jones
• Generally, you would not capitalize titles of honor and respect when they follow a personal name or are in place of a personal name:
  • Hank Brown, president of XYZ Corporation, attended the meeting this morning.
  • The president of XYZ Corporation attended the meeting.
  • Jerry Hawkins, director of ABC Corporation, was the only dissenting vote of the board of directors.
  • The directors of ABC Corporation voted on the CEO’s pay increase.

However, when that title is for a high-ranking national, state, or international official and follows or replaces the personal name, it is capitalized:

• Chuck Hagel, Secretary of Defense
• Ambassador John Phillips

Modern usage is even changing parts of this rule. Some sources now recommend that these titles not be capitalized when they follow or replace a proper name of a high-ranking official as in “The queen will visit the prime minister of Australia during her visit there.” If you will use this style, remember to give both officials the same treatment so that “queen” and “prime minister” are both not capitalized. The same rule applies when using two high-ranking officials with their position and name, i.e. “Queen Elizabeth will meet with President Obama in Washington, D.C.” NOT “Queen Elizabeth will meet with the president.” Just use equal treatment.

• Titles of organizational officials are generally not capitalized when they follow or replace the officer’s name EXCEPT in formal minutes, rules, and bylaws.
  • The director of membership is responsible for greeting new members.
  • The President called the meeting to order at 6:45 p.m. (In formal minutes.)
• Do not capitalize job titles when they stand alone. In someintercompany memos and announcements, the title may be capitalized for special emphasis.
  • Please join us in congratulating John Jones, who was promoted to Paralegal Manager today. (Interoffice announcement.)
  • Please see the paralegal manager for your next assignment.
• Do not capitalize titles when you are using it as a general term of classification
  • all of the senators
  • the kings

HOWEVER, because of the special position of the President of the United States, that title is always capitalized even when used as a general term of classification

• all U.S. Presidents

In a letter’s inside address, writer’s signature block, envelope, and on business cards, the titles are ALWAYS capitalized whether they are before or after the proper name.

I hope this helps clear up some confusion in using personal titles correctly.

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A reader asked about capitalization in legal documents. It sounds like it should be simple but research shows lots of people have their own ideas about what should be capitalized. The Gregg Reference Manual says there is no uniform style for capitalization in legal documents, but common practice is to capitalize key terms such as the parties and the type of document you are working on. Since we’re talking about legal documents, I checked The Bluebook (19th ed.). Here is a quick breakdown of capitalization “rules” according to both sources:

Court – The word “court” is capitalized in these instances:

• Always when referring to the United States Supreme Court
• Always when the name of the court is spelled out, i.e., the United States District Court.
• When your document is talking about the specific court that will rule, i.e., “We ask the Court to rule in favor of the Plaintiff”
• Do not capitalize the word “court” when talking about a ruling in another case, i.e., “The court in Roe ruled . . .”

Parties – When referring to the parties in your particular document, capitalize their designation:

• “The Plaintiff files this Reply in Support of Motion to Dismiss.”
• However, “The defendant in Smith v. Jones used the unclean hands defense.”

State – Capitalize the word “state” in these instances:

• When it is part of the full name of the state, i.e., the State of California
• When the word it modifies is capitalized, i.e., the State Education Director
• When referring to the state as a party to the litigation or as a governmental actor, i.e., “The State filed its Answer on January 14, 2014.”

Titles of Documents – When referring to a document that has been filed in the same matter in which you are filing your document:

• In the Motion to Dismiss, Plaintiff alleges . . .
• Under the Court’s February 10, 2014, Order . . .

As for other defined terms in legal documents, I personally think it is much clearer if a term is defined and then capitalized throughout:

• ABC Corporation (“Corporation”) hereby agrees . . .
• The doctors employed by St. Joseph’s Hospital (“Doctors”) . . .

This can be tricky when a defined term is used in describing another case. Only capitalize the defined term in YOUR case. If you can substitute the full name of the defined term, you can capitalize it. For instance, using our definition of “Corporation” above:

• “At all times relevant hereto, Corporation was engaged in business in the state of Arizona.” Here, “. . . ABC Corporation was engaged in business . . .” is correct since you are talking about the defined Corporation.
• HOWEVER–“In Smith, the corporation was engaged in the business of providing license plate holders through Internet sales.” Note that in this example, the corporation you are referring to is a corporation in the Smith case, not ABC Corporation.

The same basic rule applies to defined documents:

• In its Motion for Summary Judgment (“Motion”), Plaintiff is attempting . . .. The Motion is untimely.

One thing I did learn is that in legal documents using Bluebook style, words in headings are capitalized except for articles, conjunctions, or prepositions of four or fewer letters unless they begin the heading. This is different than the Gregg style for regular writing. See Things Are Coming to a Head[ing]!

What rules do you have for capitalization in legal documents? Please share them in the comments.

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