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How to Write the List of Figures for a Thesis or Dissertation

• By DiscoverPhDs
• September 20, 2020

A list of figures for your thesis or dissertation is exactly that: it’s a list of the names of all figures you’ve used in your thesis or dissertation, together with the page number that they’re on.

The list of figures is especially useful for a reader to refer to as it (1) gives the reader an overview of the types of figures you’ve included in your document and (2) helps them easily find a particular figure that they’re interested in.

Where Does the List of Figures go?

Write your list of figures and list of tables immediately after your list of contents. Unless specifically asked by a journal, you should not include a separate list of figures in a manuscript for peer-review.

Important Points to Remember

Ensure that the figure title in your list of figures are exactly the same as actually used in the main document. Double check that the page numbering is correct and the font size, margins and all other formatting is correct.

Formatting the List of Figures

Starting off, use Roman Numbers (e.g. iv and viii) to number the sections of the Table of Contents, List of Figures and List of Tables (the title page does not have a number written on it). Arabic numbering (e.g. 1, 2, 3) should start from the Introduction onwards.

Keep your margins consistent with those of the rest of the document, as required by your university. Usually this will be a margin of 4cm on the side of the paper that will be bound and 2cm on the opposing side (e.g. the pages printed that will be on the right hand side of the thesis will have a left margin of 4cm).

While the font size of your figure legends will be slightly smaller than the main text, keep the font style of the list of figures the same as the main text (usually 12 pt).

Title this section in all capital letters as “LIST OF FIGURES”.

List each new figure caption on a new line and capitalise the start of each word. Write the figure number on the left, then caption label and finally the page number the figure corresponds to on the right-hand side.

Apply the same formatting principle to the List of Tables in your thesis of dissertation. That is to insert each table numberon a new line, followed by the table title.

Example of the List of Figures

The example below was created in Microsoft Word. You could also consider incorporating other tools such as Endnote to help automate some of the work of entering a new caption for a figure or table. Be mindful of the Figure labelling convention required by your university. For example, you may need to align the Figure numbers with each chapter (e.g. Figure 1.1, 1.2, 1.3…. for Chapter 1 and Figure 2.1, 2.2, 2.3…. for Chapter 2).

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• Dissertation
• Figure & Table Lists | Word Instructions, Template & Examples

Figure & Table Lists | Word Instructions, Template & Examples

Published on 24 May 2022 by Tegan George . Revised on 25 October 2022.

A list of figures and tables compiles all of the figures and tables that you used in your thesis or dissertation, along with their corresponding page numbers. These lists give your reader an overview of how you have used figures and tables in your document.

While these lists are often not required, you may want to include one as a way to stay organised if you are using several figures and tables in your paper. Your educational institution may require one, so be sure to check their guidelines. Ultimately, if you do choose to add one, it should go directly after your table of contents .

You can download our Microsoft Word template below to help you get started.

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• Table of contents

How to create a list of figures and tables in Word

Example of a list of tables and figures, additional lists to consider, frequently asked questions.

The first step to creating your list of figures and tables is to ensure that each of your figures and tables has a caption . This way, Microsoft Word will be able to find each one and compile them in your list automatically.

To do this, follow these steps:

• Navigate to the References tab, and click ‘Insert Caption’, which you can find in the Captions group.
• Give your caption a name. In the Label list, you can select the label that best describes your figure or table, or make your own by selecting ‘New Label’.

Next, you can insert the list of tables and figures directly by clicking ‘Insert Table of Figures’, which can be found to the right of the ‘Insert Caption’ button. Be careful here – the list will only include items that you have marked using the ‘Insert Caption’ tool!

You can choose the formatting and layout within this menu as well, as you can see below.

There are a few things to remember as you go:

• Figures and tables always need to be numbered, with clear titles.
• If a figure or table is taken from or based on another source, be sure to cite your sources .

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In addition to your list of tables and figures, there are a few other lists to consider for your thesis or dissertation. They can be placed in the following order:

• title=”Abbreviations of a dissertation” Abbreviation list

Copyright information can usually be found wherever the table or figure was published. For example, for a diagram in a journal article , look on the journal’s website or the database where you found the article. Images found on sites like Flickr are listed with clear copyright information.

If you find that permission is required to reproduce the material, be sure to contact the author or publisher and ask for it.

Lists of figures and tables are often not required, and they aren’t particularly common. They specifically aren’t required for APA Style, though you should be careful to follow their other guidelines for figures and tables .

If you have many figures and tables in your thesis or dissertation, include one may help you stay organised. Your educational institution may require them, so be sure to check their guidelines.

APA doesn’t require you to include a list of tables or a list of figures . However, it is advisable to do so if your text is long enough to feature a table of contents and it includes a lot of tables and/or figures .

A list of tables and list of figures appear (in that order) after your table of contents, and are presented in a similar way.

A list of figures and tables compiles all of the figures and tables that you used in your thesis or dissertation and displays them with the page number where they can be found.

Your list of tables and figures should go directly after your table of contents in your thesis or dissertation.

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George, T. (2022, October 25). Figure & Table Lists | Word Instructions, Template & Examples. Scribbr. Retrieved 6 May 2024, from https://www.scribbr.co.uk/thesis-dissertation/list-of-figures-tables/

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Formatting Your Dissertation (or Thesis): List of Figures and Tables

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List of Figures and Tables

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List of Figures and Tables is a separate section in your dissertation or thesis that provides a comprehensive list of all the figures and tables included in your document. It helps readers locate specific figures and tables quickly. 

You can list and organize the figures, pictures, or tables in your Word document by creating a table of figures, much like a table of contents. First add captions to your figures, and then use the  Insert Table of Figures  command on the  References  tab. Word then searches the document for your captions and automatically adds a list of figures, sorted by page number.

Before you create a table of figures, you must add captions to all the figures and tables that you want included in your table of figures. For more information, see  Add, format, or delete captions in Word .

Insert a table of figures

Click in your document where you want to insert the table of figures.

Click  References  >  Insert Table of Figures .

You can adjust your  Format  and  Options  in the  Table of Figures  dialog box. Click  OK .

Add, format, or delete captions in Word

You can add captions to figures, equations, or other objects. A caption is a numbered label, such as "Figure 1", that you can add to a figure, a table, an equation, or another object. It's comprised of customizable text ("Figure", "Table", "Equation" or something else that you type) followed by an ordered number or letter ("1, 2, 3..." or "a, b, c..." typically) which can be optionally followed by some additional, descriptive, text if you like.

1. Text that you select or create.

2. Number that Word inserts for you

If you later add, delete, or move captions, you can easily update the caption numbers all at once.

You can also use those captions to create a table of the captioned items for example, a  table of figures  or a table of equations.

Update a table of figures

If you add, delete, change, or move captions, use  Update Table  so the table of figures reflects your changes.

Click on the table of figures in your document. This will highlight the entire table.

Click  References  >  Update Table .

Note:    Update Table  becomes an option only when you click the table of figures in your document. You can also press F9 to update your table of figures.

Select an  Update  in the in the  Update Table of Figures  dialog box.

Select  Update page numbers  if you need to adjust the page numbers.

Select  Update entire table  if you have moved figures or altered captions.

Click  OK .

Add captions automatically

Word can add captions automatically as you insert tables or other objects.

Select the object (table, equation, figure, or another object) that you want to add a caption to.

On the  References  tab, in the  Captions  group, click  Insert Caption .

On the  Captions  dialog box, click  AutoCaption , and then select the check boxes for the items that you want Word to automatically add captions to. You can also choose which position to add captions to in the  Position  drop-down list.

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List of Figures and Tables in a Dissertation – Examples in Word

Published by Owen Ingram at August 13th, 2021 , Revised On September 20, 2023

“List of tables and figures is a list containing all the tables and figures that you have used in your dissertation paper. Typically, dissertations don’t have many tables and figures unless the research involved is too deep and lengthy.”

Another reason to have an independent list of figures and tables in the dissertation and corresponding page numbers is the research’s nature. For example, research on a topic from physical sciences or engineering could include many figures and tables. Ideally, quantitative research studies tend to contain more tables and/or figures than qualitative ones.

The purpose of presenting the list of figures and tables in the dissertation on a separate page is to help the readers find tables and figures of their interest without looking through the whole dissertation document.

First of all, we need to decide whether we require the figure and table list in the dissertation to begin with.

If your dissertation includes many tables and figures, this list will prove to be helpful for the readers, because the figures will have relative page numbers mentioned with them so they can navigate to the figure or table of their choice with just one click.

A list of table or figures in a dissertation typically follows this simple format:

Also Read: How to Best Use References in a Dissertation

Referencing List of Figures and Tables in the Dissertation

When mentioning tables and figures in the list, one must be sure that they have been clearly numbered and titled. If a figure has been obtained from an external source, that source should be clearly referenced in the text and the references section.

Regardless of the  referencing style , you are using, it is mandatory to provide a reference along with the title. This will help the readers to track the origin of the figure.

Adding Titles and Numbers to Figures and Tables

Adding titles and page numbers in your list of figures and tables within Microsoft Word is very quick and straightforward. Follow the steps mentioned below to generate a Microsoft Word-supported   list of figures and tables in the dissertation with their captions and corresponding page numbers.

• Highlight the table or the figure you want to add title and number to, right-click and click Insert Caption .
• Next, select the Above selected item if you are working with tables. Similarly, choose Below selected items if you want to add the title and page number to a figure.

Also read: How to Write the Abstract for the Dissertation.

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Generating List of Figures and Tables Automatically

After adding all your captions, MS Word will automatically generate the figures and tables list for you. Remember, the list will only contain those you already marked using the Insert Caption … tool.

To generate a list of tables and figures in MS Word automatically:

Step #1 – Decide where to Insert the List

Place your cursor at the point where you wish to insert the tables and figures list. The most suitable spot is always right below the table of contents in your dissertation paper.

Step #2 – Insert the List of Figures and Tables in the Dissertation

• In the Word menu bar, click on References .
• In the dialogue box that appears, click on Insert: Table of figures .
• In the dialogue box caption label, you can choose between a Figure or a Table , as appropriate. Moreover, you will be able to choose a design that appears most suitable for you. The reference provides all information that is required to find the source, e.g., Vinz, S.

Example of list of tables and figures

Other Useful Lists you can add to your Dissertation Paper

Although tables and figures lists can be beneficial, we might need a few more lists, including abbreviations and a glossary in dissertations. We can have a sequence for this which is as follows:

• Table of contents (ToC)
• List of tables and figures
• Abbreviations list

ResearchProspect has helped students with their dissertations and essays for several years, regardless of how urgent and complexes their requirements might be. We have dissertation experts in all academic subjects, so you can be confident of having each of your module requirements met. Learn more about our dissertation writing services and essay writing services .

FAQs About List of Tables and Figures in a Dissertation

Which comes first a list of figures or a list of tables.

Simply put, a list of tables comes first—right after the table of contents page, beginning from a new page—in a dissertation.

Are tables also figures?

No; tables have rows and columns in them, whereas figures in a dissertation can comprise any form of visual element, mostly images, graphs, charts, diagrams, flowcharts, etc. furthermore, tables generally summarise and represent raw data, such as the relationship between two quantitative variables.

Do I need to create a list of tables/figures even if I have only one table or figure in my dissertation?

Typically, yes; dissertation writing guidelines stipulate that we create a list even if we have used only one table and/or figure within our dissertation.

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List of Tables, List of Figures

If even one numbered table or figure appears in your manuscript, then a List of Tables and/or a List of Figures must be included in your manuscript following the Table of Contents. If both are used, arrange the List of Tables before the List of Figures.

NOTE: The templates were created using the 2013 version of Microsoft Word. If a template is downloaded in another version of Word or another word processing program, the formatting may be incorrect. Also, if a template is copied and pasted into another document, the settings of that document (margins, page number settings, font style, etc.) may affect the look of the template.

• List of Tables template (DOC)

This Microsoft Word document can be saved to your computer to use as a template. It was created using Microsoft Office 2013 version of Word. Please email [email protected] if you have problems with the download.

• List of Figures template (DOC)

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Formatting Requirements

Tables, figures and illustrations.

Tables, figures, illustrations, and other such items should be identified with the word "Table", "Figure", or other appropriate descriptor, and include a title and/or caption. The title or caption must be included in the List of Tables, List of Figures, or other list.

You must use a consistent format for titles and captions of tables, figures, illustrations, and other such items throughout the thesis.

• lettering in tables and figures should be at least 2 mm high to ensure that the information is easy to read
• tables, figures, illustrations, and other such items must have titles or captions, and must be numbered
• titles or captions can go either above or below the table, figure, or illustration
• headings must be repeated on the second and subsequent pages of tables that split over two pages or more
• tables should be split at an appropriate place, e.g. just before a new subheading
• the format for titles and captions of tables, figures, illustrations, and other such items must be consistent throughout the thesis.

Tables, figures, illustrations and other such items must be numbered consecutively in order of appearance within the thesis.

There are two methods for numbering Tables, Figures and other items:

• sequentially throughout the thesis, e.g. 1, 2, 3…
• chapter number first, then numbered sequentially within each chapter, e.g.:

Tables in Chapter 1: Table 1.1, 1.2, 1.3…

Figures in Chapter 3: Figure 3.1, 3.2, 3.3…

Whichever method you choose, the numbering style must be the same for all numbered items; for example: Table 1.1 and Figure 1.3, or Table 1 and Figure 3, not Table 1 and Figure 1.3.

Tables and figures in the Appendices may be labelled A1, A2, etc.

There are three acceptable locations for tables and figures:

• within the chapter immediately following first reference to them
• grouped at the end of the relevant chapter
• grouped at the end of the thesis before the bibliography

Whichever method you choose, you must be consistent.

If your tables and figures are grouped at the end of the thesis, you must include an entry in the table of contents that directs the reader to their location.

If the caption for a figure, table, etc., will not fit on the same page as its accompanying illustration, place the illustration on a separate page.

Reproducing and Reducing

Copying and/or reducing the size of figures (e.g. charts, drawings, graphs, photographs, maps, etc.) may make certain images illegible. After reduction, all lettering must be large enough to fulfill the font size requirements, and must be clear and readable.

Copyrighted Material

If you remove copyrighted tables, figures, or illustrations from your thesis you must insert the following at the spot where the table, figure, or illustration previously appeared:

• A statement that the material has been removed because of copyright restrictions
• A description of the material and the information it contained, plus a link to an online source if one is available
• A full citation of the original source of the material

See the Theses and Dissertations Guide “ Unable to get Permission? ”

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Erin Wright Writing

Writing-Related Software Tutorials

How to Create and Update a List of Tables or Figures in Microsoft Word

By Erin Wright

We will also look at how to update the list as you add, move, or delete tables or figures.

Terminology Note: This tutorial uses the terms list of tables and list of figures , which are common terms in the publishing industry. However, Word refers to a list of tables or figures as a table of figures .

This tutorial is also available as a YouTube video showing all the steps in real time.

Watch more than 200 other writing-related software tutorials on my YouTube channel .

The images below are from Word in Microsoft 365 (formerly Office 365). The steps are the same in Word 2021, Word 2019, Word 2016, and Word 2013. However, your interface may look different in those older versions of the software.

How to Create a List of Tables or Figures

Remember that these steps will only work if you used Word’s caption tool to number your tables or figures before creating the list.

• Insert your cursor where you want to place your list.
• Select the References tab in the ribbon.

• Select Insert Table of Figures from the Captions group.

• Select a visual style from the Formats menu in the Table of Figures dialog box. (The From Template option is based on the styles established in your current template.)

• Select Figure or Table from the Caption label menu. (There is no option for listing figures and tables together.)

• Ensure that Include label and number is checked if you want the label (i.e., Figure or Table ) and the number to be included in the list. (Recommended)

• (Optional Step) Select additional options concerning page numbers and the tab leaders, which are the dots, dashes, or lines that appear before the page numbers.

Pro Tip: The Web Preview section shows how your list will look if you convert your Word file to a web page.

• Select the OK button.

• Manually type a title above your list.

• Save your file to save your changes.

The next section shows how to update a list of tables or figures.

How to Update a List of Tables or Figures

Word will not automatically update your list as you add or delete tables or figures. Instead, you can manually trigger updates, as necessary.

• Right-click the list and select Update Field from the shortcut menu.

• Select Update entire table from the Update Table of Figures dialog box.

Your updates should appear immediately.

Important Note: Word’s caption tool, which inserts table titles and figure captions , will automatically number new tables and figures as you add titles and captions (e.g., Table 1, Table 2, Table 3). However, Word will not automatically update the numbering if you move or delete tables or figures.

See “ How to Update Table and Figure Numbers in Microsoft Word ” to learn how to force an update after moving or deleting a table or figure.

Related Resources

How to Create and Customize Charts in Microsoft Word

How to Insert and Modify Images in Microsoft Word

Three Ways to Insert Tables in Microsoft Word

How to Change the Style of Table Titles and Figure Captions in Microsoft Word

How to Cross-Reference Tables and Figures in Microsoft Word

How to Reference Tables and Figures in Text

Updated December 14, 2022

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List Of Figures And Tables For Your Dissertation

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The list of figures and tables in a research paper , thesis, or dissertation provides a structured overview of graphic elements included in the paper. This list guides readers to find specific graphs, images, tables, or charts effortlessly. The process of compiling this list needs more than just listing the captions; it also requires proper formatting and sequencing in line with academic guidelines. This article explores creating a well-structured list of figures and tables with examples.

Inhaltsverzeichnis

• 1 List of Figures and Tables – In a Nutshell
• 2 Definition: List of figures and tables
• 3 Creating the list of figures and tables in Word
• 4 Example list of figures and tables
• 5 List of figures and tables: Additional lists

List of Figures and Tables – In a Nutshell

The American Psychological Association publishes the APA style guide, which aims to:

• Facilitate concise academic and scholarly communication worldwide.
• Act as a reference for the various components and conventions of scientific and technical writing.
• Improve the readability of documents.

Definition: List of figures and tables

Tables show numerical values or text arranged in rows and columns. In contrast, figures typically consist of graphs, illustrations, or drawings.

The APA style guide defines figures as graphical displays other than tables, including photographs, graphics, charts, and non-textual information.

Suppose a dissertation contains one or more tables or figures. In that case, the APA guide specifies including a list of figures and tables as appropriate.

Every list of figures and tables includes a tabulated, numerical enumeration of the titles of each relevant item. This uniform and consistent approach enables dissertation readers – including examiners – to quickly scan and locate the sources, findings, and key points in long documents.

By following APA recommendations to make a list of figures and tables, college and university students can present their dissertations correctly.

List of Tables

Table 1             Title of Table One ……………………………………………………………………………..2 Table 2             Title of Table Two .…………………………………………………………………………….3 Table 3             Title of Table ‘Three ………………………………………………………………………….3

List of Figures

Figure 1            Title of Figure One …………………………………………………………………………..4 Figure 2            Title of Figure Two …………………………………………………………………………..5 Figure 3            Title of Figure Three ………………………………………………………………………..5

This article will delve into how to include a list of figures and tables in APA style in your dissertation.

Creating the list of figures and tables in Word

Creating a list of figures and tables is straightforward in most word processing software, such as Microsoft Word.

• Firstly, we must add captions to each figure or table. The figure number goes in bold above the figure (e.g. Figure 1). Then, the figure title appears as one double-spaced line below the figure number in italics in title case, i.e. with the first letter of major words capitalized.
• Next, use the command on the “References” menu to complete the detailed settings you require. On confirming, the software will create the list sorted by page number and include it in your document.

Note: It is essential to eschew plagiarism if you are creating a list of figures and tables based on copying from another document.

Also, remember that the source document settings and format may affect how the table looks in your new paper: font style, page number conventions, margin widths, etc.

• Firstly, we must add captions to each figure or table. The figure number goes in bold above the figure (e.g., Figure 1). Then, the figure title appears as one double-spaced line below the figure number in italics in title case, i.e., with the first letter of major words capitalized.

Further information on formatting standards for a list of figures and tables are on pages 225 to 250 of the APA Publication Manual 7th Edition (2020).

Example list of figures and tables

List of figures and tables: Additional lists

Other lists you might consider including in a dissertation are:

• A list of abbreviations
• A table of contents

After the title, approval signature, and copyright page(s) as applicable, we recommend you arrange the pages of a dissertation in the following order:

• Table of Contents

Occasionally, research results or lengthy analyses may extend to hundreds of rows. Instead of including all the detail, a clickable link or URL (universal resource locator) to an online version may be preferable.

We recommend opting for a data repository or an arXiv location, as privately hosted websites may change or disappear.

Best practice guidelines advocate the long-term availability of datasets for at least five years after publication. 2 Resources such as nature.com publish details of storage options by scientific field.

How do you list tables in a dissertation?

Your list of figures and tables comes after the table of contents. If both lists are present, the list of titles appears before the list of figures.

What are figure keys?

Figure legends (also known as keys) explain uncommon symbols used in the figure image. They should appear within the borders of the figure.

What are figure notes?

Figure notes explain, describe, clarify, or supplement the information in the image. Only some figures include notes, as and when necessary.

Where do I position notes for figures or tables?

According to the APA style guide, notes appear below the figure or table. Use double line spacing and left justification.

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Thesis / dissertation formatting manual (2024).

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• Include a separate page(s) for each type of list
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Here is an example of a List of Figures from the Template. Note that each List should be its own page.

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Word randomly changed all figure labels to table

Hello everyone,

I am currently finalizing my Ph.D. thesis and have encountered a significant issue. For some unknown reason, Microsoft Word has changed all the captions of my figures to table captions. This is particularly problematic as my thesis also includes actual tables, and I have made numerous references to both figures and tables throughout the text.

I am under a tight deadline as I need to submit my thesis today. Therefore, I am seeking an efficient solution to correct this issue. Is there an automated method to revert the figure captions back to their original state without manually changing each one?

Any assistance would be greatly appreciated.

Thank you in advance.

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If the captions that should be table captions are as few as ten, you can deal with those manually afterwards.

The following should work: Select any table caption that should really be a figure caption. The example below shows examples of captions that are not in English, but the same principles apply. With the caption plus number selected, go to the References tab and click Insert Caption (in the Captions group). In the dialog box, choose the caption label that you really want and click OK. Word should do the conversion instantly.

For the captions that should be table captions, delete the current captions and recreate with the correct type of caption.

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Ku thesis and dissertation formatting: copyright and etd release form.

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One of the graduation requirements at KU is to complete the Electronic Theses and Dissertations (ETD) Release Form .  On that form, you certify that your work does not infringe upon copyrights owned by someone else by checking all of the boxes that apply:

KU Libraries can help students navigate this final stage of the thesis or dissertation process. We offer online resources, individual consultations, and workshop presentations.

A good place to learn more about Fair Use and how to copyrighted materials is our Copyright LibGuide. Clicking on the link below will open the KU Libraries' Copyright LibGuide in this window. Click the back arrow to return to the ETD LibGuide.

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Embargoes of Theses and Dissertations

One of the decisions that the author of a thesis or dissertation must make as they prepare to graduate is whether to delay the release of the thesis or dissertation for a period of time after graduation.  This decision is often a balance between the need to make the work as visible as possible , and the desire to protect the work because the author wants to publish that research in journal articles or books, because of pending patents, or because the research is sensitive.

If an embargo is needed, KU's Embargo Policy for Theses and Dissertations spells out the circumstances under which an embargo may be requested and the process for doing so.

• First, the student must submit the Electronic Thesis and Dissertation (ETD) Release Form to the school/College office. Embargo requests need to be approved by the Director of Graduate Studies in the author's department, the Department Chair, or the Committee Chair.  If an embargo is approved, this form will ensure that the thesis or dissertation file is protected from public view.  Keep in mind that the title, abstract, and keywords entered during the ProQuest submission will be visible, even if the file is protected.
• Second, during the online submission process to ProQuest/UMI , in the Publishing Options section, the student must select I want my work to be available in ProQuest as soon as it is published > No, I have patents pending, or another reason why I need to delay access to the full text of my work , then select the embargo term.  If an embargo has been approved, this step will ensure that public view of the work is temporarily restricted in the ProQuest Dissertations and Theses database.

Embargoes may be renewed before the expiration date by filling out the Embargo Renewal form for the KU ScholarWorks copy AND , for the ProQuest copy, by contacting ProQuest at [email protected] or by phone at 1-800-521-0600 at least one month before the embargo expires .

Additional Information

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2024 OASDI Trustees Report

  The following table presents the plot points for Figure II.D4 —  OASDI Cost and Non-Interest Income as a Percentage of GDP [Under intermediate assumptions], on a calendar year basis, for the historical period (1990-2023) and the projection period (2024-2100).   Plot points Calendar year OASDI cost as % of GDP OASDI non-interest income as % of GDP 1990 4.24% 5.00% 1991 4.45% 5.00% 1992 4.48% 4.87% 1993 4.50% 4.78% 1994 4.43% 4.80% 1995 4.45% 4.77% 1996 4.38% 4.78% 1997 4.30% 4.83% 1998 4.22% 4.85% 1999 4.08% 4.89% 2000 4.05% 4.92% 2001 4.15% 5.00% 2002 4.22% 5.00% 2003 4.18% 4.77% 2004 4.11% 4.66% 2005 4.06% 4.66% 2006 4.02% 4.65% 2007 4.11% 4.66% 2008 4.23% 4.66% 2009 4.74% 4.76% 2010 4.73% 4.41% 2011 4.72% 4.43% 2012 4.83% 4.50% 2013 4.87% 4.46% 2014 4.88% 4.46% 2015 4.90% 4.52% 2016 4.90% 4.62% 2017 4.86% 4.65% 2018 4.84% 4.45% 2019 4.92% 4.56% 2020 5.19% 4.89% 2021 4.85% 4.32% 2022 4.83% 4.49% 2023 5.09% 4.69% 2024 5.18% 4.59% 2025 5.30% 4.56% 2026 5.38% 4.63% 2027 5.45% 4.65% 2028 5.50% 4.68% 2029 5.54% 4.71% 2030 5.59% 4.75% 2031 5.64% 4.78% 2032 5.68% 4.81% 2033 5.71% 4.84% 2034 5.75% 4.84% 2035 5.78% 4.83% 2036 5.81% 4.83% 2037 5.83% 4.82% 2038 5.85% 4.82% 2039 5.87% 4.81% 2040 5.88% 4.80% 2041 5.90% 4.80% 2042 5.91% 4.79% 2043 5.91% 4.78% 2044 5.92% 4.78% 2045 5.92% 4.77% 2046 5.92% 4.76% 2047 5.92% 4.76% 2048 5.93% 4.75% 2049 5.94% 4.75% 2050 5.94% 4.74% 2051 5.95% 4.73% 2052 5.97% 4.73% 2053 5.98% 4.72% 2054 5.99% 4.72% 2055 6.01% 4.71% 2056 6.03% 4.71% 2057 6.05% 4.70% 2058 6.08% 4.70% 2059 6.10% 4.70% 2060 6.12% 4.69% 2061 6.14% 4.69% 2062 6.16% 4.69% 2063 6.17% 4.68% 2064 6.19% 4.68% 2065 6.20% 4.67% 2066 6.22% 4.67% 2067 6.23% 4.66% 2068 6.25% 4.66% 2069 6.26% 4.66% 2070 6.28% 4.65% 2071 6.29% 4.65% 2072 6.31% 4.65% 2073 6.32% 4.64% 2074 6.34% 4.64% 2075 6.35% 4.64% 2076 6.35% 4.63% 2077 6.36% 4.63% 2078 6.36% 4.62% 2079 6.36% 4.62% 2080 6.35% 4.62% 2081 6.34% 4.61% 2082 6.33% 4.61% 2083 6.32% 4.60% 2084 6.30% 4.60% 2085 6.28% 4.59% 2086 6.26% 4.59% 2087 6.23% 4.58% 2088 6.21% 4.58% 2089 6.18% 4.57% 2090 6.16% 4.57% 2091 6.14% 4.56% 2092 6.12% 4.56% 2093 6.11% 4.55% 2094 6.10% 4.55% 2095 6.09% 4.55% 2096 6.09% 4.54% 2097 6.09% 4.54% 2098 6.10% 4.54% 2099 6.10% 4.53% 2100 6.11% 4.53% RETURN TO TRUSTEES REPORT.

Disclaimer: Early release articles are not considered as final versions. Any changes will be reflected in the online version in the month the article is officially released.

Volume 30, Number 6—June 2024

Research Letter

Novel avian influenza a(h5n6) in wild birds, south korea, 2023.

Suggested citation for this article

Infection caused by highly pathogenic avian influenza viruses (HPAIVs) have caused major economic losses in the poultry industry and pose a serious threat to public health. The A/Goose/Guangdong/1/1996 (gs/GD) lineage of H5 HPAIV emerged in China in 1996 and diverged into 10 genetically independent hemagglutinin (HA) clades (0–9) and subclades ( 1 ). The gs/GD lineage of H5 HPAIV has caused outbreaks worldwide, infecting a range of wildlife, poultry, and humans ( 1 ). Clade 2.3.4.4 H5Nx HPAIV containing multiple neuraminidase (NA) subtypes ( 2 ) has dominated outbreaks worldwide from 2014 onwards and further divided into subclades 2.3.4.4a–h ( 3 ). Currently, clade 2.3.4.4b H5N1 HPAIV is predominant globally after causing outbreaks in Europe in the fall of 2020 and in Africa, the Americas, Asia, and Antarctica ( 4 – 7 ).

During October 2022–March 2023, a total of 16 different genotypes of H5N1 2.3.4.4b HPAIV caused outbreaks in South Korea, including 174 cases in wild birds ( 8 ). Based on the available surveillance data, no new virus incursions have occurred in South Korea during summer and fall 2023. National surveillance for HPAIV began in South Korea in the fall of 2023. We isolated 3 H5N6 HPAIVs from wild bird carcasses found in South Korea during December 2023 (A/Whooper Swan/Korea/23WC075/2023[H5N6], A/Whooper Swan/Korea/23WC116/2023[H5N6], and A/Bean goose/Korea/23WC111/2023[H5N6]) ( Appendix Table 1). We conducted next-generation sequencing of the isolates and shared complete genome sequences publicly. We conducted comparative phylogenetic analysis to infer the origin and evolution of the viruses.

All H5N6 isolates were identified as HPAIVs based on the presence of multiple basic amino acids at the HA proteolytic cleavage site (REKRRKR/GLF). BLAST inquiries of the GISAID database ( https://www.gisaid.org ) indicated all 8 genes shared the highest nucleotide sequence identity (99.77%–100%) with a clade 2.3.4.4b H5N6 virus identified from a peregrine falcon in 2023 in Japan (A/peregrine falcon/Saga/4112A002/2023[H5N6]), harboring the same genome constellation as the H5N6 viruses in South Korea ( Table ). The HA gene clustered with the major genotype a of the H5N1 clade 2.3.4.4b HPAIV that circulated during 2022–2023 in South Korea ( 8 ). The NA gene of H5N6 virus clustered with H5N6 HPAIV from China, previously isolated in poultry and humans in 2018, but other internal genes were genetically distinct. Polymerase basic 1 and matrix protein genes also clustered with 2022–2023 H5N1 HPAIVs from South Korea. Polymerase basic 2, polymerase acidic, nucleoprotein, and nonstructural genes clustered with low-pathogenicity avian influenza viruses in Eurasia ( Appendix Figure 2).

Figure . Exploration of most common ancestors for novel reassortant highly pathogenic avian influenza A(H5N6) clade 2.3.4.4 b isolates recovered from wild birds, South Korea. A) Maximum clade credibility tree of viruses...

Estimated time to most recent common ancestor (tMRCA) of each gene of the H5N6 viruses and the A/peregrine falcon/Saga/4112A002/2023(H5N6) ranged from February through November 2023 ( Figure ; Appendix Table 2). On the basis of overlap between the 95% highest posterior density intervals of tMRCA, we assume the novel reassortant H5N6 viruses emerged around August–October 2023 and were introduced into Japan and South Korea. Maximum clade credibility tree of the NA gene revealed the wild bird H5N6 viruses from Japan and South Korea shared a common ancestor with the human infection case of H5N6 virus (A/Changsha/1/2022) from China. Since 2014, a total of 90 human cases of H5N6 infection have been reported in China;w most infections were reported after 2021 ( 9 ; https://iris.who.int/handle/10665/375483 ). The tMRCA of the wild bird H5N6 viruses from Japan and Korea and the human infection H5N6 virus from China is estimated to be June 12, 2022 (95% highest posterior density December 7, 2021–November 10, 2022) ( Figure ; Appendix Table 2). The ancestral H5N6 HPAIV circulating in China potentially donated the NA gene to the clade 2.3.4.4b H5N1 virus in late 2022. The N6 gene of current and ancestral H5N6 HPAIV possessed a stalk deletion potentially acquired during the circulation of viruses in domestic poultry ( 10 ).

The H5N6 viruses possessed molecular markers T188, V210, Q222, and G224 in HA, which are associated with binding affinity to α-2,3 sialic acid receptors. We observed S133A and T156A mutations in HA, known to be associated with increased binding to α-2,6 sialic acid receptors. We observed L89V in polymerase basic 2, but not Q591K, E627K, and D701N. We also observed D622G in polymerase basic 1, N30D and I43M in muscarinic 1, and P42S in nonstructural protein 1, which are associated with increased virulence in mice ( 10 ).

Previous reports suggest the genomes of clade 2.3.4.4b are evolving through frequent genome reassortments, forming transient and diverse genome constellations change with no apparent pattern of gene segment association ( 8 ). Detection of H5N6 HPAIVs from wild birds in South Korea and Japan during the 2023–24 wintering season and our phylogenetic analysis suggest H5N6 HPAIVs most likely descended from clade 2.3.4.4b H5N1 viruses circulating during 2022–2023, evolved from reassortment with other low-pathogenicity avian influenza viruses and HPAIVs, and were introduced into South Korea and Japan by wild birds during the fall migration season. Enhanced genomic surveillance of HPAIVs in wild birds is needed for early detection and monitoring of further evolution and spread of viruses.

Mr. Cho is a PhD candidate at the College of Veterinary Medicine, Konkuk University. His research interests include molecular epidemiology and development of vaccines against avian diseases.

Acknowledgments

This research was financially supported by a grant from National Institute of Wildlife Disease Control and Prevention (NIWDC) (grant no. 2023-016) and the Ministry of Environment, Republic of Korea.

The datasets in this study can be found in online repositories. The names of repositories and accession numbers are available through the GISAID ( https://www.gisaid.org ) EpiFlu database (accession nos. EPI2976997–EPI2977029).

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• Bevins  SN , Shriner  SA , Cumbee  JC Jr , Dilione  KE , Douglass  KE , Ellis  JW , et al. Intercontinental movement of highly pathogenic avian influenza A(H5N1) clade 2.3.4.4 virus to the United States, 2021. Emerg Infect Dis . 2022 ; 28 : 1006 – 11 . DOI PubMed Google Scholar
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• Seo  Y-R , Cho  AY , Si  Y-J , Lee  S-I , Kim  D-J , Jeong  H , et al. Evolution and spread of highly pathogenic avian influenza A(H5N1) clade 2.3.4.4b virus in wild birds, South Korea, 2022–2023. Emerg Infect Dis . 2024 ; 30 : 299 – 309 . DOI PubMed Google Scholar
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• Figure . Exploration of most common ancestors for novel reassortant highly pathogenic avian influenza A(H5N6) clade 2.3.4.4 b isolates recovered from wild birds, South Korea. A) Maximum clade credibility tree of...
• Table . Nucleotide sequence identities between gene segments of novel clade 2.3.4.4b highly pathogenic avian influenza A(H5N6) virus isolate A/Whooper_Swan/Korea/23WC075/2023 from South Korea and nearest top 3 homologs in the GISAID EpiFlu...

Suggested citation for this article : Cho AY, Si Y-J, Kim D-J, Seo Y-R, Lee D-Y, Kim D, et al. Novel avian influenza A(H5N6) in wild birds, South Korea, 2023. Emerg Infect Dis. 2024 June [ date cited ]. https://doi.org/10.3201/eid3006.240192

DOI: 10.3201/eid3006.240192

Original Publication Date: May 03, 2024

1 These authors contributed equally to this article.

Table of Contents – Volume 30, Number 6—June 2024

Please use the form below to submit correspondence to the authors or contact them at the following address:

Dong-Hun Lee Wildlife Health Laboratory, Konkuk University, 120 Neungdong-ro, Gwangjin-gu, Seoul, 05029, South Korea

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