REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT

February 2005

This document covers the general guidelines for formatting your document in APA style for a
masters’ thesis at CIIS. Students are strongly advised to frequently consult the latest edition (fifth
edition) of the Publication Manual of the American Psychological Association. There have been
several relevant changes between this and earlier editions, so it’s a false economy to buy a used,
older edition of the Publication Manual.
In a few cases the CIIS guidelines vary from the Publication Manual, all of which are all
noted in this document. In those instances students should follow the CIIS guidelines.
Any variation from these formatting guidelines needs to be explained in the Dissertation
Proposal, approved by the committee chair, and listed in detail in a stylesheet that is signed by
the committee chair and submitted to the technical reviewer along with the manuscript.

1. FORMATTING THE ENTIRE DOCUMENT

a. Top Margins: should be between one inch (1”) and one and a half inches (1.5”). The margin
must be the same amount for both top and bottom, and used consistently throughout the
document.

b. Side Margins: should be one and a half inches (1.5”) for the right and left sides, to allow for
binding. They should be the same amount on both left and right sides; and used consistently
throughout the document.

c. Document titles: do not use a running header on your document (i.e., don’t include the title on
each page).

d. Page numbers: should be centered, on either the top or bottom of the document, and placed
inside the margins. They should appear at the same place consistently throughout the document.
Use a “header” or ”footer” to print these slightly outside the text margin (we recommend at .75
inches). See the sample pages for an explanation of which pages are numbered, and with lower-
case Roman numerals or with Arabic numbers.

e. Font and font size: The entire text, including page numbers, must be produced with the same
font or typeface. Exceptions are made only for tables and figures produced by different
technology or by graphic artists, and for passages in other scripts. Keep the font size between 11
points and 14 points – we recommend 12 points for the body of the text.
Any clean, legible, proportionally-spaced font is acceptable. The following commonly-
available fonts and font sizes fit those criteria:
Arial 12
Bookman 12
Helvetica 12
Palatino 12
New Century Schoolbook 12
Times New Roman 12
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005

f. Diacritical characters, symbols, and non-Roman scripts: whenever possible print your
diacritics (ex., Ķŗşņa, vévé) instead of writing them in by hand. Do likewise if you use scientific
symbols (ex. ∞) or currency symbols (ex. ¥, £). Look for these under “symbols” in your word
processing software.
If you have extensive quotations from languages other than English, consider using the
original characters (e.g., Chinese ideograms, Japanese kanji, Sanscrit script) rather than a
Romanized transliteration. Add-on fonts are available for standard word-processing applications.
But if you only occasionally use terms (ex. abhidhamma, mudra) or names (ex. Shōbōgenzō,
Hemmawihio) in a language other than English, use the transliterated term, in Roman characters.
You may italicize the term or not -- just be consistent throughout the document.
All special characters, subscripts and superscripts must be large enough to be read once
UMI processes your document. To check, photocopy a test page using a 27% text reduction. If
the symbols, characters, sub- or superscripts are still legible, then they are probably large
enough.

g. Spelling and capitalization: Use standard American English spelling, capitalization,

grammar, usage, etc. (There are several dictionaries and guides to English usage in the Library if
you have questions.) Do not use all capital letters for emphasis – instead, use italic letters.
Follow APA’s guidelines for hyphens, abbreviations, punctuation, etc. on pp. 77-111 of the
Publication Manual.

f. Line Spacing: The thesis must be double-spaced throughout the body of the text - except for
block quotes (see section 3.b for more details).
Items in the References list are single-spaced within each entry, but must be double-spaced
between each entry.
The Table of Contents, List of Tables, List of Figures, and lengthy tables may also be
single-spaced within each entry, but double-spaced between each entry.

g. Justification: Do not right-justify any of your text. All text should be flush with the left
margin (except for indentations, headings, and graphic images). Do not use columns or sidebars,
and do not wrap text around images or figures.

h. Indentations: Begin each paragraph with a half-inch (.5”) indentation. Block quotes are
indented one inch (1”); see section 3.b for more details. Tables, figures, and graphic images can
be either centered on the page or flush with the left margin.

i. Continuing from one page to the next: make sure that you don’t have only the first line of a
paragraph on the last line of a page, or a heading title all by itself. If this happens, add extra
blank lines so the next page begins with the top of the paragraph and/or the heading and the text
associated with it. Your word processing software may automate some of this process (called
“widow / orphan protection”).
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005

j. Page breaks: Chapters begin on new pages. However, there should not be a page break
between sections or before tables or figures, unless they occur naturally.

k. Corrections: Strike-overs, correction fluid, and correction tape are not acceptable in the final
copy.

l. Paper: The final document should be printed on one-side of clean white paper. It does not
have to be archival-quality paper, however, and recycled paper content is fine as long as the
letters print cleanly.
The paper must not have any holes or binding. (To keep pages together it is wise to put
them in a box or folder instead.)

m. Naming conventions, translations and transliterations, chronological conventions: When

referring to people who are not named according to European conventions, it is preferable (but
not required) to use the indigenous form of their names. However, whatever style you use, be
consistent throughout the thesis. When using transliterated words or terms, explicitly state which
transliteration schema you are using (e.g., Wade-Giles or Pinyin, for Chinese) and be consistent.
Also be consistent throughout the thesis when using date schemes (e.g., BC vs BCE, Chinese or
Islamic or Mayan date computations, etc.). Capitalization of terms, use of italics and
abbreviations should follow APA’s guidelines (pp. 94-111 in the Publication Manual).
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005

2. GRAPHIC IMAGES

a. Non-original images: If you are using an image that is not your individual, personal creation,
you will need to get permission from the original artist or copyright holder. See section 3.j for
more details.

b. Legibility: if you include a map or graph, make sure that any text (including labels and
captions) will be legible when UMI reduces the size in publishing. The font used must be 11-
point type or larger.
Indicate different areas with line-art (hatch lines, dots or other black-and-white texture),
not by shading or different densities of grey or color, as in the examples below. When UMI
prints your thesis, the latter will become a blur of black ink, losing all your detail.
Use this: Not this:

volume volume

400 400
350 350
300 300
250 250
200 200
150 150
100 100
50 50
0 0
year 1 year 2 year 3 year 1 year 2 year 3

c. Color: If color images are essential to understand your data, consider submitting your thesis
electronically (see section 10. for explanation). Otherwise, convert these to black-and-white line
art.

d. Photographs: For the same reasons, outlines reproduce far better than photographs - so line
drawings are preferred instead. If you must include photographs, screen the image (which
converts shades of grey to different densities of dots, as is done for newspapers), then print on
matte-finish paper.

e. Captions: all graphic images – tables, figures, graphs, photographs, etc. – must have a caption
that includes the title of the image and the source of the image. If the graphic image is your
work, write “Author’s image”; if it is from a printed source or an internet source: a) cite it and b)
obtain the copyright holder’s permission to reprint the image (see section 3.j for details). The
caption title is then included in the List of Tables and Figures in the front matter. Graphic images
– whether tables, figures, photographs, etc. – should be numbered consecutively.
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005

f. Tables: Follow the guidelines on pp. 147-175 of the Publication Manual.

g. Figures: Follow the guidelines on pp. 176-186 of the Publication Manual.

h. Numbered sections, lists, and bullet points: In general your text should be written as a
narrative, in paragraphs, and not as a PowerPoint presentation. Avoid lists of any kind (using
bullet points, numbers, etc.) unless they are absolutely necessary.

i. Maps : Except in certain for with U. S. Government publications, maps are considered creative
works - so you must obtain a letter of permission to reprint from the copyright holder to include a
copy in your dissertation. It is permissible to create your own map, as a derivative work. In those
circumstances state “Based upon…” and give a full citation to the original work.
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005

3. QUOTATIONS AND CITATIONS

a. Citing quotations: All quotes – even an epigram or framing quote – must have a complete
citation, formatted according to the directions on pp. 117-122 and pp. 207-214 in the Publication
Manual.

b. Block quotes: all quotations of 40 or more words do not use quotation marks; instead these
are set apart from the body of your text by indenting the quote one inch (1”) from the left margin.
Text within the quote is single-spaced, but there are two line spaces between it and your words
above and below the quote (CIIS’ format supercedes APA’s format on this point). The citation is
included within the block (see p. 121 of the Publication Manual).

c. Intact quotations: If you delete any words from the quotation, use ellipses to indicate this.
Use square brackets [ ] to indicate your words added to a quote. See pp. 119-120 of the
Publication Manual. There should be no ‘widows or orphans” within the body of a quote, so if
only one line appears on the bottom of the page, move the entire quote to the top of the next
page.

d. Secondary quotations: these are when author A is quoting author B. In the text, use double
quotes ( " ) to mark what author B writes. Within that, use single quotes ( ' ) where author B uses
" to show what author A wrote. Follow directions on p. 247 of the Publication Manual on how to
phrase the in-text citation and the References entry.

e. Internet resources: Cite to the exact webpage where the information appeared. These
citations need to include: title (both of the specific web page and of the broader work, when
applicable); author; copyright owner (when different from the author); date of creation or of
latest update; a direct URL to that specific resource, and the latest date accessed. See
http://www.apastyle.org/elecref.html for specific format. If you cannot find the date you first saw
this URL, then check it again and, if found, use today’s date. If it is not found, check to see if it
has been cached on Google or some other repository and cite the cached version of the webpage
(ask a Reference librarian for details).

f. Dissertations: Dissertation references are to the printed DAI (so include volume and page
numbers) but they also must include DAI accession numbers (see pp. 260-261 in the Publication
Manual). These details can be found by searching Dissertation Abstracts or Digital Dissertations
from the CIIS Library website. Do not use the format for unpublished dissertation unless it truly
was unpublished.

g. Media: Citations to broadcast media (television or radio programs) or to film / video must be
formatted according to pp. 266-268 in the Publication Manual.
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005
h. Lectures: If you are citing notes you took from an unrecorded talk or lecture, treat this as a
personal communication (see p. 214 in the Publication Manual) except label it “lecture” instead
of “personal communication,” and include the place as well as the date of the talk. If the lecture
was recorded, use the media format for the citation (in other words, cite to the audiocassette or
video).

i. Email messages: citations to personal email messages are treated like personal
communications (see p. 214 in the Publication Manual) but – any quotations from these require a
written letter of permission to reprint from the author. Citations to messages posted on a
discussion list or newsgroup must be properly cited (pp. 277-278 in the Publication Manual);
however, quotes from these do not need a written letter of permission to reprint.

j. Reprint Permissions for published work: A quote becomes a reprint (and requires proof of
permission to republish) when:
o it includes more than one-third of any entire published poem or song (written by someone
else) you must include with your thesis a written, signed letter of permission from the
copyright holder.
o you reprint more than one third of an entire work that has been published elsewhere you
also need a letter of permission from the copyright holder (most often the publisher). This
holds true even if it your own work.

k. Reprint Permission for Creative Works: when you include any graphic image created by
someone other than yourself (including photograph, or icon, or line art), or any unpublished
poem or song or creative writing, you must have a written, signed letter of permission to reprint.
The only exception to this is when the creative work(s) were created as part of the
research for the thesis study and if the release from each participant specifies that creative works
resulting from this study may be printed in the thesis and published by UMI. If the creative
works produced as part of the research study need to be kept confidential and if permission to
reprint / publish was not included in the participants’ signed releases, then the thesis also needs
signed letters of permission from the authors / artists, including their full name. However, in
these circumstances the letters of permission are not reprinted with the thesis but kept separately
by UMI, to maintain confidentiality.

l. Translations: All translations must be fully cited (see pp. 246-7, 251, and 253-5 in the
Publication Manual). If it is your work, append the statement: (author’s translation) to your
translated text.

m. Footnotes: Use these very sparingly, if at all; if a footnote contains more than a few
sentences consider either incorporating it into the body of the text or as an appendix. Thesiss use
only content and/or copyright footnotes (see p. 300 in the Publication Manual). The entire text of
the footnote must fit on the same page as the reference appears, so adjust the bottom margin of
this page accordingly. All footnotes must be numbered accordingly. Any citations in a footnote
must also be included in the Reference list.
REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005

4. REFERENCE LIST

a. One List: there should be only one reference list, arranged alphabetically (not broken into
sections).

b. Format: Reference entries should follow guidelines on pp. 222-281 of the Publication
Manual.

c. Correspondence with Text: All sources cited in text must appear in the references list, and all
entries in the Reference list must be cited in the text. The citations must match exactly. Do not,
however, cite works that were not directly cited.

d. Arrangement: Follow pp. 219-222 of the Publication Manual on how to alphabetize entries.
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005

5. TABLE OF CONTENTS & HEADINGS

a. Headings: Follow APA’s structure for headings and sub-headings on pp. 113-5 of the
Publication Manual. Figure out how many sub-headings and sub-sub-headings your document
uses or will need (generally three, four, or five levels of heading will be sufficient for a thesis).
Based on your most detailed chapter, determine which level (level 5 or level 1) to use for your
chapter heading.

b. Correspondence between Table of Contents and Headings: Headings must be worded

identically in both text and Table of Contents. The Table of Contents needs to include all
headings and subheadings used in the text.

c. List of Figures and Tables: If the thesis includes any graphics, then there should be a
separate List of Figures and Tables which follows after the Table of Contents. This can be one
combined list if there are 5 or fewer each, for figures and tables; if there are more than 5 tables or
figures then make two separate Lists (e.g., a List of Figures and a List of Tables). If there is only
figures or tables, then title this appropriately (e.g., List of Figures or List of Tables).

d. Table of Contents: This includes:

o Abstract
o Acknowledgements [if any]
o Dedication [if any]
o not the Table of Contents itself but the List of Tables [if used]
o all headings and subheadings used in the body of your thesis
o References
o Appendices listed individually [if any]

e. Page Numbers in the Table of Contents: These must be accurate. If you are entering these
manually (instead of using an automatic feature like Word StyleSheets to create the Table of
Contents), then wait until the entire thesis is complete before typing them.

f. Thesis Pagination: The first elements of the thesis – title page, Certificate of Approval
copyright page, and reprint permission letters (if necessary) – have no page numbers at all. They
are counted, however, and the Abstract uses a lower-case Roman numeral that reflects its order.
The rest of the front matter (everything leading up to the first page of Chapter 1) continues with
lower-case Roman numerals. The first page of Chapter 1 is Arabic number 1, and all the
remaining text continues this numbering scheme. See the sample pages in this document for an
example.
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005

6. STANDARD PAGES

a. Required pages: Each CIIS thesis should include the following, in this order:
o Title page
o Certificate of Approval
o Copyright page
o Abstract
o Table of Contents, followed by a List of Figures or Tables, if graphic images are used.
o Thesis text
o References
Other sections are optional, depending on your work. The correct order of these sections and
their page numbers are indicated on the Sample Pages below.

b. Title page: This page should contain the following information – and only this information:
o thesis title in all capital letters
o your legal name (the one you use for contracts and/or voter registration)
o the phrase: A Thesis Submitted to the Faculty of the California Institute of Integral
Studies in Partial Fulfillment of the Requirements for a Master of Arts Degree in
o program (see section 6 c. below)
o California Institute of Integral Studies
o San Francisco, CA
o year

This text should be centered on the page, and evenly distributed top & bottom; use the standard
margins. This page has no number.

c. Degree and Program names: Currently CIIS gives the following MA degrees. Check with
your advisor on which exact one to use for your work.

o Counseling Psychology with a concentration in Drama Therapy

o Counseling Psychology with a concentration in Expressive Arts Therapy
o Counseling Psychology with a concentration in Integral Counseling
o Counseling Psychology with a concentration in Somatic Psychology
o Cultural Anthropology and Social Transformation with a concentration in Gender,
Ecology, and Society
o Cultural Anthropology and Social Transformation with a concentration in Human and
Organizational Transformation
o East-West Psychology
o Philosophy and Religion with a concentration on Asian and Comparative Studies
o Philosophy and Religion with a concentration on Philosophy, Cosmology, and
Consciousness
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005
o Philosophy and Religion with a concentration on Women’s Spirituality
o Integrative Health
o Transformative Leadership

d. Certificate of Approval: This is a legal document, so it must appear exactly as it does in the
Sample Pages section. The original of this document – that is, the version with your committee
members’ signatures and not a photocopy or fax - needs to be included with the final copy of
your thesis. (It’s a good idea to get your committee members’ signatures on more than one copy
at the thesis defense, to avoid more work later.) Print a signature line for each member of your
committee, including your Reader (if you have one). List the type of faculty appointment for
each CIIS faculty member; for committee members outside CIIS, list their highest academic
degree and their school or other relevant affiliation. This page has no number.

e. Copyright Page: This page includes only: either the symbol: © or the word “copyright”; your
legal name; and the year you completed the thesis. Should you include in your thesis any
portions of your work that you had copyrighted separately, then underneath state: Except
[describe portion], copyright [year]. If you include works by other that require reprint
permission, there is no need to include those details on this page. This page is not numbered.

f. Abstract: On this page list at the top, all flush with the left margin and single-spaced, and
filling in the sections in square brackets [ ]:
o [your legal name]
o [chair’s name] [chair’s academic degree], Committee Chair
o California Institute of Integral Studies, [year of graduation]
Then double-space the next section, center the text, and use all capital letters:
o [YOUR TITLE in all capital letters, exactly as it appears on the title page]
o ABSTRACT
After another two lines, begin the text of your abstract. Each paragraph should be indented. Do
not include any graphic image, chart, table, or bulleted list in this narrative. Thesis abstracts are
cut off abruptly at 200 words, so please keep yours to less than this amount. These pages should
be numbered, using lower-case Roman numerals starting with the first page of the Abstract as iv
(unless there are letter(s) of permission to reprint, when it becomes v or vi, etc.)

7. SAMPLE STANDARD PAGES

See the following pages. The sections inside [ ] indicate where to place your particular
information; don not use the brackets themselves in your finished document.
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005
SAMPLE TITLE PAGE

[THESIS TITLE, IN ALL CAPITAL LETTERS, double-spaced]

by

[Your legal name]

A Thesis Submitted to the Faculty of the California Institute of Integral Studies

in Partial Fulfillment of the Requirements for a Master of Arts Degree in

[Your Program Here]

California Institute of Integral Studies

San Francisco, CA
[year]
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005
SAMPLE CERTIFICATE OF APPROVAL

CERTIFICATE OF APPROVAL

I certify that I have read [YOUR TITLE, exactly as it appears on the title page] by [your name],

and that in my opinion this work meets the criteria for approving a thesis submitted in partial

fulfillment of the requirements for the Master of Arts degree at the California Institute of Integral

Studies.

_________________________________________________
[chair’s name, chair’s academic degree], Chair
[Professor / Program Director / Faculty] [CIIS program name]

_________________________________________________
[committee member’s name, committee member’s academic degree]
[Professor / Program Director / Faculty] [CIIS program name]

_________________________________________________
[Reader’s name or committee member’s name, their academic degree]
[Professor / Program Director / Faculty] [CIIS program name or school, if not CIIS]
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005
SAMPLE COPYRIGHT PAGE
This page should contain the following information – and only the following information. It
should begin at three inches from the bottom of the page, and be centered, using the standard
margins. Items in [ ] are specific to your work. This page is not numbered.
Use this sample if none of the text of your thesis or thesis has been copyrighted before (by
anyone, including yourself). If a portion of the text has been copyrighted, by someone else or by
yourself, check with the Library Director for the correct format.

© [year] [your name]

 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005

SAMPLE ABSTRACT PAGE – fill in [ ] sections

[Your name, flush with the left margin and at the first line of the page]
California Institute of Integral Studies, [year of graduation]
[chair’s name] [chair’s academic degree], Committee Chair

TITLE OF YOUR THESIS IN ALL CAPITAL LETTERS AND CENTERED, EXACTLY THE
SAME AS IT APPEARS ON THE TITLE PAGE AND THE SIGNATURE PAGE

ABSTRACT

The text of your abstract starts three lines below the heading. Each paragraph should be

indented, and the text should be double-spaced. It should be no more than 200 words; within

that limit, it can extend onto a second page.

Good abstracts start with a succinct statement of the problem, issue, or question you

studied. Follow with a brief description of your methodology and an explanation of how you

collected your data. (If your work involves collecting information from a group of people,

include a short description of how you defined and selected the respondents.) Finish with a

summary of your findings, but leave out discussions of the importance or relevance of your

results. Do not include any graphic image, chart, table, or bullet points list in this narrative.

These pages should be numbered using lower-case Roman numerals, starting with the

first page of the abstract as iv (unless there are letter(s) of permission to reprint, when it becomes

v or vi, etc.).
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005

SAMPLE TABLE OF CONTENTS

CIIS specifies that all chapter titles, section headings, subheadings, sub-subheadings etc. in your
text should be listed in your Table of Contents. But don’t list the table of contents in the Table of
Contents (do include list of tables or figures, though). You can use indentations to reflect
organization, as in this example –
TABLE OF CONTENTS

Abstract ……………….………………………………………………………… iv

Acknowledgements [optional] …………………..………………………….. vi [or later]

List of tables …………………………………………………………………… xi

List of figures ….………………………………………………………………... xi

Chapter 1 ………………………………………………………………………… 1

Introduction [first section heading] ……………………………………………… 1

Context of this inquiry [subheading] ………………………………. 2

How my research question evolved (subheading] ……………….......... 5

Research question [second section heading] …………………………………… 7

Chapter 2 ………………………………………………………………………... 9

Historical background [first section heading] ………………………………….. 9

First era [subheading] …………………………………………………... 10

Transition between first and second era [sub-subheading] …….. 14

Second era [subheading] ………………………………………………… 18

etc.
References ………………………………………………………………………. 189

Appendix A [title] ……………………………………………………………… 201

Appendix B [title] ……………………………………………………………… 203

 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005

SAMPLE LIST OF TABLES AND/OR FIGURES

LIST OF TABLES AND FIGURES

Table 1
Study participants and their demographic characteristics ………………………. 36

Table 2
Table of relevant factors, based on the work of So-and-so and That-other-one ... 42

Figure 1
Diagram of our process …………………………………………………………… 49

Figure 2
Photograph of first two study participants in action ………………………………. 51
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005
8. CIIS THESIS DEADLINES

See the timelines and deadlines published online at:

http://library.ciis.edu/information/dissertation.asp

9. SUBMITTING PRINTED THESIS

The last step in the CIIS thesis process is to submit the camera-ready thesis to the Library Office
(which forwards it to ProQuest/UMI for publication). This requires:
o Final version of your thesis, with the signed Certificate of Approval
o Another copy of the Title page
o Another copy of the Abstract page
o ProQuest/UMI form
o Signed ProQuest/UMI Agreement to Register Copyright and Agreement to Publish forms
(despite what these forms indicate, there is no need to pay extra fees)
o CIIS Thesis Tracking Form
Optional, but not required, is ProQuest/UMI’s Author Discount form to purchase copies. Your
CIIS graduation fee includes one hardbound copy for you; use this form if you with to purchase
additional copies at this time. ProQuest/UMI forms are available in the Library

10. SUBMITTING ELECTRONIC THESIS OR DISSERTATION

You may choose to submit your dissertation or thesis to ProQuest /UMI for publication using an
electronic format. There are two options:
1) submitting the document as an Adobe Acrobat file (.pdf) on a cd-rom disk; or
2) submitting a portion of the document in paper and other sections on a cd-rom disk (called
a “compound” dissertation or thesis).
There are important distinctions between these two options.

a. Submitting in Adobe PDF format

How: the entire text of the thesis or dissertation, once complete, is converted to an Adobe
Acrobat PDF file.

Advantages: graphic images are more legible to your readers; color images are available to
readers who download the version published by ProQuest/UMI in “Digital Dissertations”.
Reproduction errors (pages out of order, etc.) are also less likely to occur.
Disadvantages: the entire text must be converted to an Adobe Acrobat PDF file, making it more
complex for last-minute changes or corrections; some pages may need to be scanned to one of
the acceptable formats.
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005
File formats: all text must be in Adobe Acrobat .pdf format, so it may need to be converted from
whatever word processing software was used. Some items - like the Certificate of Approval –
will need to be scanned. All fonts used should be embedded in the document; for the .pdf format,
use Type 1 PostScript fonts. If the document includes links to multimedia files, the files should
be included on the same disk; the multimedia file formats also need to be identified, both name
and file type, in the body of the text and in the abstract. In addition to Adobe Acrobat .pdf
format, the following are acceptable for linked or embedded files:
Images: .gif, .jpeg, or .tiff formats
Video: Apple Quick Time (.mov), Microsoft Audio Video Interleaved (.avi), or
.mpeg formats.
Audio: .aif, .midi, .snd, .mpeg-2, or .wav formats,

How ProQuest/UMI receives and publishes the document: the PDF file should be written on a
cd-rom disk, which is then mailed to ProQuest/UMI along with the supporting documents (see
below). The PDF file is loaded directly into “Digital Dissertations” (but not any external files). A
printout of this file is microfilmed, archived, and used to create any printed copies of your work.

Supporting paper documents: in addition to the file, dissertations or theses submitted

electronically need to be accompanied by the following printed (paper) documents:
Title page
Abstract
Completed ProQuest/UMI Agreement form
Reprint permission letters to reproduce all copyrighted images, video, graphics, ani-
mation, sound clips, data, text or images of individuals (when applicable)
Third-party software licenses (when required)
Completed ProQuest/UMI author discount order form (when desired)

b. Submitting a compound document

What: ProQuest/UMI calls a dissertation or thesis which contains both printed text and
electronic files a “compound document”.

How: In addition to producing the thesis or dissertation in print, you provide the electronic files
on a cd-rom which meets ISO 96-60 standards for disk creation. Floppy disks will not be
accepted.

Advantages: Your work incorporates data files, interactive media, audio and/or video
information – and a wider range of applications and file types are permitted than when
submitting in Adobe PDF format.
Disadvantages: Your dissertation or thesis will not be available through “Digital Dissertations”
(so readers outside CIIS will have to purchase a copy from ProQuest/UMI instead of obtaining it
from a library). The electronic files will be able to be read or used only as long as its application
programs are available – if technology changes, or the application goes out of print, your readers
cannot use those files.

File formats: this option gives greater leeway with the applications and types of files possible.
However, a copy of the application(s) used to display, play or read the files must be included on
the cd-rom which contains the files. These applications must either be either documented free
ware or, if not, fully licensed for commercial distribution (including the right to be copied and
 REQUIREMENTS FOR MASTERS THESES AT CIIS IN APA-FORMAT
February 2005
installed on a reader’s machine). ProQuest/UMI requires documentation of all third-party
applications, either written permission or written license, for this use. If an application is your
work (author-created programming), then it must be able to be copied at an operating system
prompt.

How ProQuest/UMI receives and publishes the document: The paper segment of the thesis or
dissertation is microfilmed and archived. The microfilm master is used to create any printed
copies of your work, which will be sold with a copy of the files and applications on a cd-rom
disk. Your thesis or dissertation will be listed in the ProQuest/UMI’s online sources but the text
will not be included in “Digital Dissertations”.

Supporting paper documents: in addition to the printed text and the cd-rom disk containing files
and applications, compound dissertations or theses submitted electronically need to be
accompanied by the following printed (paper) documents:
Title page
Abstract
Completed ProQuest/UMI Agreement form
Specific hardware and software (including version numbers) required to run files
A list of files and file sizes on the cd-rom disk
Reprint permission letters to reproduce all copyrighted images, video, graphics, ani-
mation, sound clips, data, text or images of individuals (when applicable)
Third-party software licenses or documentation of freeware
Completed ProQuest/ UMI author discount order form (when desired).

Revised 2/7/05