School of Consciousness and Transformation Thesis and Dissertation Policies and Procedures

AY 2010-11

THESIS
Table of Contents
Thesis Option Thesis Proposal Writing of the Proposal Draft Repeated Enrollment in 6900: Proposal Completion Formation of the Thesis Committee Committee Approval Dissertation Paperwork Composition and Responsibilities of the Thesis Committee Thesis Committee Compensation Academic Standards, Scholarly Expectations, and Demonstrating Satisfactory Academic Progress Approval of the Proposal by the Thesis Committee Criteria for Approval of the Proposal Draft Human Research Review Committee (HRRC) Maintaining Active Student Status Time Limits for Degree Completion Thesis Approval Library/UMI Thesis Format Approved Thesis Styles by Program 3 3 3 3 3 3 4 4 4 5 5 5 5 6 6 6 6 7

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Thesis Option In programs offering a thesis option, interested students must consult their academic advisor as this choice will affect their coursework and will likely extend the length of their program. In some programs, students need to receive advisor or program approval before they can begin the thesis process. Thesis Proposal Students who elect the thesis option are required to write a thesis proposal that must meet with the approval of a specially selected thesis committee, the program director, and the Academic Vice-President. Writing of Proposal Draft The student must complete a draft of the proposal following the procedures set by their program. In some programs students will complete their proposal as part of a course, whereas in others, students must join a specific seminar whose objective is to support proposal writing. Students must obtain a passing grade for the course within a semester or are required to repeat the course. A passing grade is given when an acceptable draft of the thesis proposal is completed. Repeated Enrollment in 6900: Proposal Completion Students may enroll in 6900: Proposal Completion for multiple semesters as delineated below by the specific programs; ACSa maximum of two semester PCCa maximum of two semesters WSEa maximum of two semesters If the proposal has not been completed and approved before the end of the allocated time, the student may petition the department chair/program director to enroll for an additional semester. The petition must include a plan and timeline for completion signed by both the student and the dissertation or thesis committee chair. A student who does not have a completed and approved proposal by the end of the additional semester may be placed on probation or dismissed from the program.

Formation of the Thesis Committee When the proposal draft is completed, the student, in collaboration with the advisor and the program director, forms a thesis committee. At this stage, the student is required to register under the flat fee basis and joins a Thesis/Dissertation Proposal Completion seminar offered by an SCT core faculty member who will chair the committee. This gives the student the privilege to work with other faculty towards the approval of the proposal. Committee Approval Dissertation Paperwork When the committee is formed, the student should submit the Committee Approval (Internal) Form which should be signed by core CIIS faculty or approved adjuncts who serve as chair of the committee. When one of the two committee members is a non-core CIIS faculty (this includes CIIS adjuncts as well as faculty from other universities), the student should also submit the External Member or Reviewer Form which should be signed by the external member of the committee. Both forms are available on pathway, http://pathway.ciis.edu . Composition and Responsibilities of the Thesis Committee

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Composition of the Committee The Committee is composed of a minimum of two qualified members. One of the members is designated as the Committee chair and should be a core faculty from the program in which the student is enrolled. The second member could be a core or adjunct faculty at CIIS or drawn from a list of designated adjunct faculty for Theses. The credentials of External Members or Reviewers on a thesis committee should be: (a) A recognized authority in the appropriate field(s), whether through the possession of a Ph.D., some other relevant degree, or demonstrable qualifications that establish expertise. (b) The CV must be submitted to illustrate the qualifications of the External Member or Reviewer. The composition of the committee must meet the approval of the program director and AVP Designate. A Thesis Committee Approval form must be completed to this effect and submitted to the office of the Director of Graduate Studies. Chair Responsibilities The Thesis chair is the primary advisor and is responsible for approving the second member of the committee and assisting the student in coordinating all theses related activities. The Chair has primary responsibility for ensuring that the thesis adheres to scholarly and ethical guidelines accepted in the discipline in general, and at CIIS, in particular. The Chair oversees the final approval process. Member Responsibilities The second committee member is responsible to read and comment on drafts and to appropriately guide the student through the production of the thesis. While the members have direct communication with the candidates, they should keep the chair informed of any major sources of concern regarding students' progress or the quality of their work. Members should assist the Chair in determining the readiness of candidates to graduate. Thesis Committee Compensation CIIS core faculty members who serve on thesis committees do so as part of their work load contracts. Adjunct faculty serving on the thesis committees receive an honorarium. Currently the amount available for honoraria is $600 for serving as member. The amounts are paid in two equal payments, half when the proposal is approved, half when the Thesis is approved and all paperwork is filed, including if applicable, with the CIIS library. Academic Standards, Scholarly Expectations, and Demonstrating Satisfactory Academic Progress At the end of each semester, the chair or the faculty leading the seminar for which the student is registered must evaluate whether or not the student is making satisfactory academic progress (indicated by a passing grade). Students must show progress in two ways: 1. The student must be able to document the steps being taken towards the execution of the thesis. 2. The student must be able to produce written sections of the thesis (or other appropriate medium) which incorporate the feedback of committee members. A student not showing satisfactory progress for a semester will be put on probation for the subsequent semester.

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Approval of the Proposal by the Thesis Committee A draft of the proposal circulates among the members of the committee. The thesis committee may require additional changes, additions or clarifications to be made to the draft. A, Internal Proposal Approval form must be signed by all members of the committee and the Program Director and submitted to the office of the Registrar. Under no circumstances can a student begin to conduct a study or undertake field work involving human participants without full approval of the proposal by the Human Research Review Committee. Criteria for Approval of the Proposal Draft The student should clearly identify a focus for the project or formulate a thesis statement, discuss the goals and objectives of the thesis, as well as the theoretical and practical context (literature review), delineate the relevant methodological or logistical issues if applicable, including choice of method, design and procedures of the study; discuss the ethical considerations if applicable (see also Human Research Review section), and finally, provide adequate references. Human Research Review Committee (HRRC) If the Proposal involves research with human subjects, the student submits an application for review and approval by HRRC. (Applications for approval are available outside the Registrars Office or online at http://pathway.ciis.edu.) Some research activities involving human subjects will qualify for a no-risk exempt status, and this status can be determined by the committee Chair. Examples of research activities can be found in Appendix C. The responsibility and authority of HRRC to review, approve, disapprove, or require changes to proposals is very important because in doing so it assures protection of the human rights of participants in Institute sponsored research. It also assures that all research involving human participants is done in an ethical manner and that CIIS complies with professional, scientific, and governmental standards for research using human subjects. Students may not begin any of their research involving human participants, including piloting and fieldwork, until the research proposal has been approved by the Human Research Review Committee and the student has received the committees letter of approval. Maintaining Active Student Status During the writing phase students are required to maintain active student status. Each semester students should register under the chair of their committee for the flat fee, 7900: Thesis & Dissertation Seminar until the thesis is approved. Active student status allows students to continue working with all committee members, have library privileges, and satisfy the minimal requirements for financial aid. Students must show satisfactory academic progress each semester they are enrolled. Time Limits for Degree Completion M.A. students have 2 years to complete their thesis (see CIIS Student Handbook). The time count begins with the first semester that the student registers for the flat fee, 7900:Thesis & Dissertation Seminar. Thesis Approval Submission of thesis draft and feedback cycle(s)

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Students expecting to graduate in a given semester should submit a complete draft of their thesis as early as possible during the semester. Students should expect a minimum of four weeks of reading time by faculty. Faculty will attempt to be prompt in giving written feedback to the student once they have received a complete draft. The student is expected to be prompt in making changes requested by Committee members. More than one cycle may be necessary. When all committee members have read the Thesis and no major changes are required, the committee is ready to fill in the Thesis Approval Certificate and the Thesis Approval Tracking form. Each student has the primary responsibility to assure the quality of the thesis. The student is expected to work closely with the thesis committee as he or she undertakes the research and writing for the thesis. After the student undertakes the research and writing for thesis, CIIS programs have established certain expectations for the formatting of theses. Students are expected to follow the formatting expectations of the Institute including the requirements for University Microfilms International (UMI) publication. Remember, UMI will reject theses that do not conform, making it even more important to assure that a thesis does not have technical problems. Technical Review Before submitting the final copy, the student must submit his or her manuscript to one of the approved external editors for technical review. Please see the following link for a current listing of CIIS approved Technical Editors: http://library.ciis.edu/information/dissertation.asp. All editorial changes suggested by technical reviewers must be incorporated into the final manuscript before final submission to committee members. The students pay the hourly fee of $40 to the technical reviewer. Students, in discussion with their Chair, must decide if their thesis will eventually be made public by submitting it to the CIIS library and to UMI. A set of precise guidelines is available from the library that provides directives on format, presentation, and copyrights. During the final approval stage, all submitted theses undergo a technical review. Final Approval The Thesis Approval Certificate must be signed when the final accepted draft has been received by the committee. Before the final signatures are given, the student must make all required changes, and the Chair must review these changes. The committee members officially approve the final document when they sign the Thesis Approval Certificate and the Final Approval Tracking Form, indicating that the thesis has been completed to their full satisfaction. Library/UMI Filing the Final Copy with the Library It is the students responsibility to make sure that the final approved copy of the thesis is filed with the library. When filing the manuscript with the library the student must make sure to provide: The thesis manuscript (unbound) in publishable form The Final Approval Tracking form with all signatures The Approval Page with all signatures Two copies of the title page Two copies of the abstract

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The UMI Dissertation Agreement form, UMI copyright registration form, and optional order form, found in the Publishing your Dissertation or Thesis pamphlet available at CIIS, or online at: http://library.ciis.edu/information/umi.asp Reprint permission letters, if applicable Multimedia component (if applicable)

The Library will not accept the theses without all of the necessary paperwork. A student technically graduates when the final copy is accepted by the library. Thesis Format All Thesis proposals and Theses must adhere to the most recent standards of one of the following style manuals: the American Psychological Association Publication Manual (APA), the University of Chicago Manual of Style (Chicago), the Style Manual of the Modern Language Association (MLA), or the AAA Style Guide (American Anthropological Association; www.aaanet.org/pubs/style_guide.htm); students should check with their program about which of these style manuals is to be used. Manuals are available in the library and from the bookstore; detailed guidelines for all four acceptable formats are linked from http://library.ciis.edu/information/dissertation.asp. Approved Thesis Styles by Program Students must use a style approved by their program. East-West Psychology- APA or Chicago Philosophy and Religion, Asian and Comparative Studies- Chicago or MLA Philosophy and Religion, Philosophy, Cosmology, and Consciousness- Chicago or other styles by permission of the program Philosophy and Religion, Womens Spirituality-Chicago with Footnotes Social and Cultural Anthropology- AAA only (note, Chicago not approved style) Transformative Inquiry- APA is the default style; Chicago or MLA by permission of the program (applies to TSD and TLC)

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DISSERTATION
Table of Contents 1 THE PROPOSAL Writing the Proposal Non-completion of the Proposal at the End of the Semester Repeated Enrollment in 6900: Proposal Completion Academic Quality in the Proposal Satisfactory Progress during the Proposal Writing Phase Formation of the Dissertation Committee Approval Process for the Proposal Towards the Final Draft Proposal Defense Meeting Human Research Review Committee (HRRC) THE COMMITTEE Composition of the Committee Approval of Dissertation Committee Chairs Responsibility Member Responsibilities External Committee Members and External Review Dissertation Committee Compensation ADVANCEMENT TO CANDIDACY Requirements for Advancing to Candidacy RESEARCH AND WRITING Keeping Active Student Status Styles and Formats Approved Dissertation Styles by Program Technical Review Ongoing Review of the Dissertation Draft Satisfactory Academic Progress during Research and Writing Phase Time Limits for Dissertation Research, Writing and Approval Requests for Extension Deadlines for Submissions THE DISSERTATION APPROVAL AND DEFENSE Submission of Dissertation Completed Draft and Feedback Determination of Student Readiness for Defense Dissertation Defense Final Draft Approval (After the Defense) Time Limits for Submittal of Final Approved Dissertation Filing the Final Copy with the Library Publishing the Dissertation 9 9 10 10 10 10 11 11 11 11 11 12 12 12 12 12 13 14 15 15 16 16 16 17 17 17 17 17 17 17 18 18 18 18 18 20 20 20 21 22 24

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Appendices A List of Forms Needed for Thesis/Dissertation Process B HRRC Categories C Dissertation Proposal Rubric

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1. THE PROPOSAL
Doctoral students are required to write and defend a dissertation as the culminating academic activity in their degree program. In the dissertation the student is demonstrating that s/he is able to design and complete an independent, original scholarly work. The process begins by writing a paper (the Proposal) which proposes the topic, scope, and method of research. The intent behind the Proposal is that the student shows that s/he has created a project that has the potential to be a successful dissertation. During the preparation of the Proposal, and through the final draft stage of its preparation, the student will search for a faculty member to chair the dissertation committee, and then form the rest of the committee. Students should refer to individual program guidelines to learn the procedure for proposal preparation. WRITING THE PROPOSAL Under the guidelines of the program, a student must first complete a draft of the proposal following the course-based or mentorship procedures. By course (unit based): Students enroll in a course whose objective is to support proposal writing. The course title and name varies by program. Students must obtain a passing grade for the course within a year or are required to repeat the course. A passing grade is given when a draft of the dissertation proposal is completed, pending committee edits and approval. The following is a list of programs offering proposal writing classes and the corresponding courses: East-West Psychology Social & Cultural Anthropology Womens Spirituality EWP 8100: Research Colloquium, 1 unit ANTH 9000: Ph.D. Specialization Seminar, 0 units PARW 7809: Proposal Writing, 3 units

In the Transformative Studies Program, students enroll in two core course Comprehensive Exams in which they complete the Literature Review and Methodology chapters of their proposal. Transformative Studies TSD 9610: Comprehensive Exam: Literature Review TSD 9611: Comprehensive Exam: Research Methodology

By mentorship (no units): Students work independently with their mentor the faculty member who will chair their dissertation committee. Asian & Comparative Studies and Philosophy, Cosmology, and Consciousness concentrations follow this model. Asian & Comparative Studies Philosophy, Cosmology, & Consciousness PARA 6900: Thesis/Dissertation Proposal Completion, 0 units PARP 6900: Thesis/Dissertation Proposal Completion, 0 units

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Non-completion of the Proposal at the End of the Semester If the student does not complete the proposal during the semester in which coursework or work with the mentor is undertaken, s/he must register for and continue to register for one of the following 0-unit, flat fee courses in subsequent semesters until the Proposal is completed. HUMI6900, EWP6900, PARA6900, PARP6900, PARW6900, ANTH6900 and TSD6900: Thesis/ Dissertation Proposal Completion The faculty name on the Registration Form should be the proposed Chair of the committee. Repeated Enrollment in 6900: Proposal Completion Students may enroll in 6900: Proposal Completion for multiple semesters as delineated below by the specific programs; ACSa maximum of two semester EWPa maximum of two semesters PCCa maximum of two semesters IHLa maximum of two semesters SCAa maximum of three semesters TSDa maximum of two semesters WSEa maximum of two semesters If the proposal has not been completed and approved before the end of the allocated time, the student may petition the department chair/program director to enroll for an additional semester. The petition must include a plan and timeline for completion signed by both the student and the dissertation or thesis committee chair. A student who does not have a completed and approved proposal by the end of the additional semester may be placed on probation or dismissed from the program. Academic Quality in the Proposal As the Proposal writing progresses, the student should keep in mind that committee members will be evaluating the Proposal based on the following criteria: clear identification of the research topic or formulation of a thesis statement discussion of the goals and objectives of the study and their significance clear statement of the scope and limits of the study provide a theoretical and empirical context for the study (review of literature) discussion of relevant methodological issues, including when applicable, choice of method, design and procedures of the study, as well as ethical considerations provide adequate references

Satisfactory Progress during the Proposal Writing Phase Students should show satisfactory progress in the completion of their proposal, and must complete their proposal within the general time limit allowed for the completion of course work. Additionally, the Proposal should be completed within one year (see program handbook as guidelines differ). Doctoral students can expect to advance to candidacy when they have completed their course work, comprehensive exams, and dissertation proposal, and met any other requirements of the Program Agreement (Curriculum Contract). The time limit for completion of these activities is four years. Failure to meet the designated time limits may lead to academic probation.

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Formation of the Dissertation Committee When the draft of the proposal is nearing completion, students consult either with their academic advisor, mentor, and/or a dissertation chair to form a dissertation committee. Students must complete the Internal Committee Membership Approval Form as soon as all faculty have agreed to work with them. Curriculum vitae of all proposed members and external reviewers who are not core CIIS faculty members must be attached to the form for the Program Director to review. The Program Director and the Academic Vice President must approve the proposed Committee. Refer to the section two for membership criteria and individual responsibilities. APPROVAL PROCESS FOR THE PROPOSAL Towards the Final Draft In the semester following enrollment in the proposal writing course or work with the mentor to write the proposal, the student registers for one of the 6900 courses in order to continue work with the Committee Chair, as well as other faculty, including the external member. After consulting with the Chair, the student circulates the completed Proposal among all members of the dissertation committee. The committee may require additional changes, additions or clarifications. Committee members may give their feedback directly to students or forward them through the Chair. Proposal Defense Meeting The dissertation Proposal is approved during a Proposal Defense Meeting which is convened by the Chair and is attended by all committee members and the student. At the meeting, the Committee must reach consensus regarding dissertation topic, overall design, and adequacy of methodology. Should consensus not be reached, the student must resubmit a revised proposal and/or form a new committee, upon the recommendation of the Chair. Human Research Review Committee (HRRC) If the proposal involves research with human subjects, the student submits an application for review and approval by HRRC. (Applications for approval are available outside the Registrars Office or online at http://pathway.ciis.edu.) Some research activities involving human subjects will qualify for a no-risk exempt status, and this status can be determined by the committee Chair. Examples of research activities can be found in Appendix C. The responsibility and authority of HRRC to review, approve, disapprove, or require changes to proposals is important because in doing so it assures protection of the human rights of participants in Institute-sponsored research. It also assures that all research involving human participants is done in an ethical manner and that CIIS complies with professional, scientific, and governmental standards for research using human subjects. Students may not begin any of their research involving human participants, including piloting and fieldwork, until the research proposal has been approved by the Human Research Review Committee and the student has received the committees letter of approval.

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2. THE COMMITTEE
Composition of the Committee The committee is composed of a minimum of three qualified members, two from CIIS and one external member. A dissertation committee should consist of three members and cannot exceed four members. No honorarium is offered to the 4th member. The Chair of the committee should be a core faculty in the School of Consciousness and Transformation, preferably within the concentration of the student. A second member can be either a core or adjunct faculty at CIIS, or drawn from a list of designated adjunct faculty for dissertation. The second member should be experienced in mentoring research projects relevant to the dissertation. The third member designated as the external member should not have current affiliation with CIIS. The credentials of both second and third committee members (Adjuncts, External Members or Reviewers) on a dissertation committee should be: (a) A recognized authority in the appropriate field(s), whether through the possession of a Ph.D., some other terminal degree, or demonstrable qualifications, that establish relevant expertise. (b) The CV must be submitted to illustrate the qualifications of the External Member or Reviewer. Approval of Dissertation Committee The composition of the committee must meet the approval of the Academic Vice-President and the program director. Students should complete the Thesis/Dissertation Internal Committee Membership Form and procure the necessary signatures. Chairs Responsibilities The Chair is the primary advisor and is responsible for approving members of the committee and assisting the student in coordinating all dissertation related activities. The Chair has primary responsibility for ensuring that the dissertation adheres to methodological and ethical guidelines accepted in the discipline in general, and at CIIS, in particular. At a later stage the Chair convenes the Dissertation defense and presides over its proceedings. The Chair is in charge of supervising post-defense incorporations of minor changes required by the committee and forwards all appropriate documents to the Program Director who then forwards all documents to the Library Director. Member Responsibilities The Dissertation Committee members are required to read and comment on drafts and to guide the student appropriately through research procedures and the production of the dissertation document. While the members have direct communication with the candidates, they should keep the Chair and other members informed of any major sources of concern regarding students' progress or the quality of their work. Members should assist the Chair in determining the readiness of candidates to defend their work. Members must be present at the defense and are expected to participate in the committee deliberations either in person or by phone.

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External Committee Member/Reviewer All CIIS dissertations require an external academic review, and therefore, each doctoral program requires an External Committee Member or Reviewer. The definition of the two roles: External Committee Member or External Reviewer Only follows. Committee Member. An External Committee member is required to read and comment on drafts and to guide the student appropriately through research procedures and the production of the research document. While the members have direct communication with the candidates, they should keep the Chair and other members informed of any major sources of concern regarding the students progress or quality of work. Members should assist the Chair in determining the readiness of a candidate to defend his/her work. Members must be present at the defense and are expected to participate in the Committee deliberations either in person or by phone. Reviewer. An External Reviewer assesses, reviews, and comments on the students Thesis/ Dissertation Proposal and the Final Draft only. If required, the Reviewer participates in the Oral Defense. The difference in the two roles is that the Committee Member is more involved in the students process from proposal to final dissertation; whereas the Reviewer is only assessing the proposal and final dissertation. The compensation for both roles differs (see Dissertation Committee Compensation section). Both roles have the responsibility to review the proposal according to eight key areas in the CIIS Dissertation Proposal Rubric developed by the Faculty Research Committee in AY 200405. The review of the proposal focuses on eight key domains including: Inquiry/Topic Research Question(s) Intellectual Context, Background & Support for Questions (Review of Literature) Methodology / Ways of Knowing Limitations Expected Outcomes / Results Organization and Form Style / Voice / Esthetics

The External Member or Reviewer also reviews the final draft of the dissertation for (a) soundness of the implementation of the quantitative and/or qualitative data analysis and (b) thoroughness and appropriateness of conclusions and interpretations in the discussion section. For selection of the External Committee Member or Reviewer, see specific program guidelines. External Members should receive the External Member or Reviewer Packet which contains their appropriate forms available at http://pathway.ciis.edu . Finally, see program guidelines for a full description of the role of External Reviewer. The qualifications for serving as an External Committee Member are as follows: (a) A recognized authority in the appropriate field(s), whether through the possession of a Ph.D., some other terminal degree, or demonstrable qualifications that establish relevant expertise. (b) The CV must be submitted to illustrate the qualifications of the External Member or Reviewer.

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The External Committee Member or Reviewer has a minimum of four weeks to conduct a review of the proposal and submits the CIIS Dissertation Proposal Rubric. Comments on the final draft of the dissertation itself are submitted on the External Member or Reviewer, Review and Approval of the Thesis/Dissertation Final Draft form to the Committee Chair who gives a copy to the student and the other committee members. If the Chair and other committee members concur with all queries of the review from the External Committee Member, the Chair then contacts the student with the requirement to make these changes and notes the actions on the specific External Review and Approval of the Thesis/Dissertation Final Draft form. If the Chair seeks clarification of the review, notations are made on the original review report and are communicated to the External Committee Member. When the Chair is clear and satisfied with the points raised in response to queries, the Chair then communicates to the student what changes need to be made. Dissertation Committee Compensation Adjunct members and external members receive an honorarium, disbursed in two equal payments, first paid upon the approval of the proposal and second, following the approval of the dissertation as a result of the defense. Honoraria are now set at $1200 for serving as Chair, $600 for serving as members and $300 for serving as reviewers. CIIS peer members do not receive honoraria.

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3. ADVANCEMENT TO CANDIDACY
Requirements for Advancing to Candidacy In order for students to be considered a Candidate for doctoral research and then to earn the degree, the following conditions must be satisfied: Course work in the program must be completed. Other requirements, if any, must be successfully completed (e.g., language competency requirement). The Comprehensive Exams must be successfully completed. The Dissertation Committee must be accepted by the program director and the Academic Vice-President. The Dissertation Proposal must be accepted by the students Committee. If the dissertation involves research with human subjects, the Dissertation Proposal must be reviewed and approved by the Human Research Review Committee. All forms associated with the above activities must be completed.

Once students have officially advanced to candidacy, they should register in 7900 Thesis/Dissertation Seminar each semester until they graduate. Reaching the advancement to candidacy threshold permits students to apply for teaching positions at most colleges and universities.

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4. RESEARCH AND WRITING

Keeping Active Student Status During the research and writing phase and until the dissertation is successfully completed and fully approved, students are required to register each semester for Thesis/Dissertation Seminar offered by SCT Core faculty (usually the Chair of the committee). This is a 0-unit, flat fee course with the course number designation of 7900. Students who are either working with their chairperson or intending to graduate during the summer semester must register for summer semester. Students who are not working with their chairperson or intending to graduate during the summer semester do not have to register. Maintaining active student status in this way gives the student the right to work with committee members and to use the library and other CIIS facilities. Students must show satisfactory progress each semester that they are enrolled. Styles and Formats CIIS doctoral programs have established certain expectations for the formatting of dissertations. Students are expected to follow these expectations, including the requirements for UMI publication (University Microfilms Incorporated). All dissertations should follow only one of the following styles, as described in most recent edition of these manuals: AAA - American Anthropological Association guidelines as http://www.aaanet.org/pubs/style_guide.pdf APA Publication Manual of the American Psychological Association Chicago Chicago Manual of Style MLA - MLA Style Manual and Guide to Scholarly Publishing published in

Approved Dissertation Styles by Program Students must use a style approved by their program. East-West Psychology- APA or Chicago Philosophy and Religion, Asian and Comparative Studies- Chicago or MLA Philosophy and Religion, Philosophy, Cosmology, and Consciousness- Chicago or other styles by permission of the program Philosophy and Religion, Womens Spirituality-Chicago with Footnotes Social and Cultural Anthropology- AAA only (note, Chicago not approved style) Transformative Inquiry- APA is the default style; Chicago or MLA by permission of the program (applies to TSD and TLC) The style format provides guidelines for general organization of material, including headings, tables and figures, text citations, and references. Detailed information, CIIS requirements, and sample standard pages for each CIIS-approved style format are linked to: http://library.ciis.edu/information/dissertation.asp. Students are strongly encouraged to work closely with the most recent edition of their chosen style manual, which are available in the CIIS library and bookstore.

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Technical Review Before the dissertation defense, the student must submit the manuscript to an external technical reviewer approved by CIIS. The list of approved technical editors is available at All editorial changes suggested by http://library.ciis.edu/information/dissertation.asp. technical reviewers must be incorporated into the final manuscript before final submission to committee members prior to the dissertation defense. Students can reduce the technical review costs by adhering carefully to the format requirements. Technical editors on the Institute list have agreed to charge $40/hr. The technical review can take as little as 3 hours or more than 20 hours, depending on how carefully the dissertation has been prepared. Students are responsible for these expenses, and pay the technical review editor directly. If a dissertation requires more than a technical review, for example, if it needs basic editing or copy editing, the reviewer will contact the student to inform him/her of the additional amount of time required for editing. The student may hire the technical review editor, a copyeditor, do the editing him or herself, or hire another editor. Ongoing Review of the Dissertation Draft The student should consult with the Chair to decide how the material should be submitted to the committee members (e.g., in separate chapters or entire document). Committee members are encouraged to give feedback as promptly as possible to students, but certainly no more than four weeks from the receipt of a chapter. Satisfactory Academic Progress during Research and Writing Phases At the end of each semester, the Chair must evaluate satisfactory progress (indicated by a passing grade). Students must show progress in one of the following two ways: 1. Document steps taken towards implementation or conduct of a study, including but not restricted to: library search and reading, translation, preparation of research instrument or questionnaire, securing the participation of research participants, fieldwork or data gathering (multiple forms), interview transcription, data analysis, and validity check; 2. Production of written (or other appropriate medium) sections of the dissertation and/or incorporation of written feedback by committee members. Students not showing satisfactory progress for two semesters will be put on probation for one semester during which they must show satisfactory progress. Time Limits for Dissertation Research, Writing and Approval Doctoral students have four years to complete all research, writing, and defense of the dissertation (see CIIS Student Handbook). The time count begins with the first semester that the student registers for the flat fee 7900: Thesis & Dissertation Seminar. Requests for Extension With the approval of their Chair, students can apply to the Academic Vice President for an extension of time. The request should include a timeline for completion and an explanation of why the student needs one. Be aware there are financial aid implications for not keeping to the designated time limits and maintaining satisfactory academic progress. Deadlines for Submissions See each semesters published Class Schedule for applicable deadlines pertaining to technical edits, oral defense, and Library submission and approval.

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5. Dissertation Approval and Defense

Submission of Dissertation Completed Draft and Feedback Cycle(s) As a general guideline, students expecting to graduate in a given semester should submit, after consultation with their Chair, a complete final draft of their dissertation to all committee members no later than the first week of class in that semester. Students should expect a reading time of four weeks by faculty, including the External Committee Member. While individual chapters may have been separately reviewed, the entire document may undergo a more comprehensive review. Note: More than one cycle of feedback and corrections/additions is often necessary. Determination of Student Readiness for Dissertation Defense When all committee members have read the dissertation and no major changes are required, the Chair, in consultation with the committee, will determine whether or not the student is ready to defend. It is the responsibility of the Chair to make this determination. Although the Chair is sensitive to students logistical needs, determining the readiness for the defense is based primarily on the satisfactory completion of the work. Students can start preparation for defense scheduling only with the approval of the Chair, and students need to be prepared to register for an additional semester if the committee determines that the document is not ready to defend. Dissertation Defense Each doctoral student must meet with her/his committee for a defense of the final research document. This occurs after all members have agreed to a final draft of the dissertation with only minor changes expected to be made. The defense takes place at CIIS except for online programs (TSD). Should a committee member from out of town not be able to come to CIIS, the committee Chair may allow that member to attend the defense proceedings via a conference telephone call. If a committee member is unexpectedly absent, he/she must submit a written report to the dissertation Chair. No less than three weeks prior to the defense, the student must submit a Dissertation Defense Scheduling Form (available from the Registrars Office or at http://pathway.ciis.edu ). This form serves as notice to the program and also provides documentation. For those defenses occurring at CIIS, program staff members are available to reserve a room for the committee at the appointed time. Interested persons are invited to attend the defense; however, any visitors to the defense must remain respectfully silent during the proceedings and may ask questions only at the invitation of the Chair. The student must bring two forms to the defense: The Dissertation Certificate of Approval Page (Signature Sheet) that becomes part of the finished dissertation. It must follow the CIIS format requirements, linked from http://library.ciis.edu/information/dissertation/asp External Member or Reviewer, Review and Approval of the Thesis/Dissertation Final Draft

Final Draft Approval (After the Defense) The Committee will make one of three judgments after the oral defense: (a) Full Approvalapproval with no changes to the defended document required, (b) Provisional Approvalapproval with only minor revisions required, or in the most unusual of circumstances (c)

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Not Approved-no approval until significant revision(s) to the dissertation is completed. These assessments are documented at the defense on the Thesis/Dissertation Final Approval Tracking Form. When appropriate, the Chair announces the Committees judgment regarding the dissertation, and whether the student will be awarded the title of the Ph.D. pending completion of the final reviews. If there are no changes required by the committee, then the Certificate of Approval Page will be signed by all committee members and the Chair. S/he checks the appropriate box on the Thesis/Dissertation Final Approval Tracking Form. The Chair and student provide a signature on the form verifying that both have agreed on this outcome. The Chair then submits the four items specified above directly to the Program Director. Should changes at the level of minor revisions be required, committee members but not the Chair will sign the Certificate of Approval Page. The Chair describes the nature of the required revisions on the Thesis/Dissertation Final Approval Tracking Form. The student and Chair sign this form verifying that both have agreed on this outcome. Only after the student has fulfilled the revision requirements will the Chair sign the Approval Page and the area of the Thesis/Dissertation Final Approval Tracking Form that verifies satisfactory completion of the dissertation. The Chair is then responsible for submitting the four documents specified above to the Program Director. If there are one or more areas of significant revision required of the student, then no one on the committee will sign the Certificate of Approval Page at the defense. The Chair fills in the appropriate blanks on the Thesis/Dissertation Final Approval Tracking Form, including information on the types of revisions required by the committee. The form specifies if the changes to the dissertation are remedial or non-remedial. If the revisions are remedial, the student may continue in dissertation phase and may be asked to reapply for a second defense at a future time. If the changes required are non-remedial, the student may not apply to defend the same dissertation. The Chair and student both sign this form verifying agreement to this outcome. Only after the student has fulfilled the revision requirements will the Chair sign the appropriate approval section of the Thesis/Dissertation Final Approval Tracking Form. The student is then responsible for securing committee member signatures on the Certificate of Approval Page. The Chair then personally submits the items specified above to the Program Director, and the student submits one copy of the dissertation to the Library Director. The Student is responsible for submitting the following items directly to the Chair: A final, approved copy of the dissertation The signed Final Approval Tracking Form The completed External Member or Reviewer Review and Approval of the Thesis/Dissertation Final Draft Then, the Chair is responsible for submitting these items to the Program Director. The student is also responsible for submitting the following items to the Library Director: A final, approved copy of the dissertation The fully signed Certificate of Approval page The Library Director has 2 weeks to submit feedback to the student, and the student has another 3 weeks to work with the Library Director to complete the edits and submit a publication ready copy to the Library. The Program Director gives feedback to the chair who communicates feedback to the student. If the student does not complete the changes by the

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day before the beginning of the following semester, s/he must register for the next semester. Time Limits for Submitting the Final Approved Dissertation Students need to maintain active student status during the semester/s in which they complete revisions to the dissertation. Deadlines are constructed to allow students 60 days between the defense of the dissertation and the submission of the publication ready copy to the Library. If revisions take longer than the end of the semester, the student will need to register for the next semester. Filing the Final Copy with the Library Filing the Final Copy with the Library It is the students responsibility to make sure that the final approved copy of the dissertation is filed with the library. When filing the manuscript with the library the student must make sure to provide: The thesis/dissertation manuscript (unbound) in publishable form The Thesis/Dissertation Final Approval Tracking form with all signatures The Approval Page with all signatures Two copies of the title page Two copies of the abstract The UMI Dissertation Agreement form, UMI copyright registration form, and optional order form, found in the Publishing your Dissertation or Thesis pamphlet available at CIIS, or online at: http://library.ciis.edu/information/umi.asp Reprint permission letters, if applicable Multimedia component, if applicable A

The Library will not accept the dissertation without all of the necessary paperwork. student technically graduates when the final copy is accepted by the library.

Publishing the Dissertation The CIIS graduation fee includes the UMI publication cost and copyright registration cost, so no additional fees are due at this time. It also includes the cost of a copy of the published dissertation for the student, who may purchase additional copies (optional). Library staff will send dissertations to ProQuest/UMI for publication.

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APPENDIX A

CIIS Forms Associated with the Thesis/Dissertation Process

All forms are located outside the Registrars Office or online at http://pathway.ciis.edu. For Students Inside the Thesis/Dissertation Forms Packet: 1. CIIS Thesis/Dissertation Internal Committee Membership Approval Form (For CIIS core faculty only) 2. CIIS Thesis/Dissertation Internal Proposal Approval Form (For CIIS core faculty only) 3. CIIS Dissertation Defense Scheduling Form (Ph.D. only) 4. Thesis/Dissertation Final Approval Tracking Form For External Committee Members or Reviewers Inside the External Member or Reviewer Forms Packet: 1. Thesis/Dissertation External Member or Reviewer Form (For non CIIS core faculty including CIIS adjuncts) 2. External Review: CIIS Dissertation Proposal Rubric (For non CIIS core faculty including CIIS adjuncts) 3. External Member of Reviewer: Review and Approval of the Dissertation (Final Draft) (For non CIIS core faculty including CIIS adjuncts) For Students Other dissertation related forms: 1. Human Research Review Application 2. Application for Advancement to Candidacy (Ph.D. only) 3. UMI Publishing Your Dissertation Packet (available at http://library.ciis.edu/information/dissertation.asp)

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APPENDIX B

HRRC Categories
The following examples are meant to assist students and committee chairs in determining the need to have student research reviewed by HRRC:

No Risk Exempt Review:

To be reviewed by the HRRC Committee: The single review exception is in research that does not involve human subjects in any way. If this is case, the students research chair may make this determination. All other cases must be reviewed by the HRRC. A Pli-to-English translation of Puggalapannyati Atthakattha (Commentary on Human Types) Translation and commentary of a Buddhist text. Nature and Application of Spiritual Care for the Dying: Perspectives from Mahayana Buddhism and The Western Hospice Tradition A dissertation focusing on the literature in the fields of hospice care, Mahayana Buddhism, and existential psychology. The Psychological Dimension of the Spiritual Heart in the Mystical Poetry of Hafez A dissertation using the hermeneutic method to explain the spiritual transformation implicit in the Sufi mystical poetry of Hafez. How Transpersonal Consciousness Can Evolve Value Systems of Responsibility to Reduce Ethnic- and Gender-based Violence A dissertation which analyzed data which has already been collected from Kosovar participants in three development program evaluations. A Textual Analysis of Reported Changes in Consciousness Induced by Entheogens A dissertation which analyzed archival data that were legally recorded in clinical setting by Stanislav Grof at the Maryland Psychiatric Institute.

Low Risk Review:

To be reviewed by the HRRC Committee: The students research involves human subjects and requires an HRRC low risk review. Stories of Forgiveness: Reweaving the Fabric of the Heart This research used Organic Inquiry as the research methodology. The research participants were chosen based on their having consciously committed themselves to a journey of forgiveness due to a specific incident of circumstance, on being well-known by the researcher, and living within a thirtymile radius of the researchers home. The Experience of Being Called and Following Ones Calling This research used a qualitative combined biographical-case study methodology. Subjects were contacted by the researcher because they were known by the researcher or they had in some way publicly self identified as appropriate for the research topic. The Emerging Role of the Laity Within the Catholic Church A Case Study The subjects interviewed, researched and evaluated consisted of initial participants and later recruits who participated or were continuing to be engaged in the implementing phases of planning process as determined by the Roman Catholic Diocese of Oakland, CA. A Control Mastery Application to Treating Chronic Depressive Disorders Subjects were chosen from the researchers clinical case load with strict guidelines for eligibility and consent process.

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Educating Soul Capacities: Empowering Waldorf Educators Through Transformative Learning This research used qualitative inquiry as the methodology. Subjects were selected from a group of teachers that were actively engaged in Waldorf Education at the current time of research.

High Risk Review:

To be reviewed by the entire HRRC Committee: The students research involves human subjects and requires an HRRC high risk review at one of the monthly HRRC meetings. Effects of Touch Therapy on the Embodied Experience of Incest Survivors The subjects were drawn from women volunteers who had been in psychotherapy for at least two years. They were self-identified and elected a course of touch therapy treatment during the course of their psychotherapy. Asking participants to speak about experiences which could trigger deep, painful emotional responses indicated that a regular review of the proposal was necessary. Psychobiographical Antecedents of the Ecologically Conscious and the Environmentally Concerned A multiple case study which employed interviews of the subjects, direct observations of subjects, and archival materials such as articles, diaries, letters, or photographs. The potential for triggering unconscious psychological material in the interviewees indicated a regular review of the proposal was necessary. The Healing Power of the Curanderos Songs or Icaros: A Phenomenological Study The dissertation interviews individuals in ayahuasca circles about their healing experiences with the songs in the rituals. The interviews had the potential for triggering painful psychological material indicated a regular review of the proposal was necessary. Suicidal Crisis and Life-threatening Illness A Narrative Inquiry Using face-to-face interviews, the dissertation explores psychological and emotional meanings as expressed through story-telling, about experiences and perspectives concerning suicidal crises within the context of life-threatening illnesses. Given the depth and difficulty of the subject matter, and the potential that participants could become overwhelmed or uncomfortable by way of various thoughts and emotions which could emerge at any time during the interview process indicated a regular review of the proposal was necessary. Toward a Deeper Understanding of the Aspects of Long-Term Practice of Ceremonial Sexuality The dissertation used face-to-face interview techniques and audio tape with practitioners of ceremonial sexuality to research the aspects and effects of long-term practice (minimum four years). As psychological issues around sexuality and intimacy could trigger deep emotions such as sadness or anger in the participant, a regular review of the proposal was necessary.

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APPENDIX C
CIIS Faculty Research Committee February 2005

SCT Dissertation Proposal Rubric and Scholarly Expectations

Introduction The School of Consciousness and Transformation supports and encourages a broad vision of scholarship, including the knowledge of existing research methodologies and/or the creative development of new ones. We frame our scholarly expectations within an integral view of education that strives to embody spirit, intellect and wisdom in service to individuals, communities and the Earth. We value excellence in scholarship. A dissertation proposal should demonstrate that the candidate has both a broad and deep knowledge of the students field of study and is able to state clearly and support a thesis and conduct a well-defined and meaningful study. The dissertation should make an original contribution to the students area of scholarship. We recognize that students undertaking a dissertation within integral perspectives may face creative tensions pertaining to the relative importance of varying notions: e.g., innovation and tradition; subjectivity and objectivity; creativity and rigor; disciplinary focus and interdisciplinary connectivity; intuitive insight and rational discourse; social transformation and knowledge for knowledges sake. We encourage students to reflect openly and cogently on challenges as they emerge in their own work: philosophically, theoretically, methodologically and self-reflectively. Attentive to the broader contexts that inform research at CIIS, the rubric is designed to serve as a guide and a learning tool for students. The rubric helps students and faculty assess the quality of dissertation proposals, during proposal writing or at the point of completion.

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DISSERTATION PROPOSAL RUBRIC Faculty Reviewer Name: ___________________________________________ Date____________________ Proposal Submitted by: ____________________________________________

Academic Expectations for Dissertation Proposals INQUIRY/TOPIC Acceptable Makes a contribution. Original. Academic relevance is apparent. Well-defined.

Excellent Significant contribution. Unique & creative. Multiple levels of relevance. Well-defined in multiple contexts. Comments:

Poor Contribution not clear. Lacks originality. Relevance not apparent. Ill-defined, fuzzy.

Excellent Question(s) is/are clearly articulated and thoughtprovoking. Provide(s) original insights to issue. Promise of contribution to discipline(s) and/or communities is clear and compelling. Advances the disciplinary and professional discourse (e.g., by constructing new connections, knowledge, theoretical and methodological frameworks). Comments:

RESEARCH QUESTION(S) Acceptable Poor Clearly articulated and Not clear; too broad; not feasible researchable question(s). for solo project. Feasible/researchable. Obvious theoretical relevancy/ grounded in discipline(s). Clearly connected to current issues and approaches in professional literature. Scattered, incoherent, too many disciplines. Expected contribution not clear.

No coherent relationship with existing literature and (inter/trans-) disciplinary perspectives.

INTELLECTUAL CONTEXT, BACKGROUND & SUPPORT FOR QUESTIONS (REVIEW OF LITERATURE) Excellent Acceptable Poor Critical understanding of Sufficient review of literature Insufficient or missing literature literature is evident in style, relevant to questions and goals. section. Lists of annotations or organization and content. sources without critical commentary or running argument. Mastery of appropriate canon is A mix of primary sources and Exclusive reliance on a restricted evident. Sources cited are rich secondary sources included as set of secondary sources. Not and diverse. appropriate. enough peer-reviewed journals, dissertations or book length studies cited.

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Builds more powerful argument. Articulates sophisticated relationship with the literature (supporting, extending, refuting, etc.). Comprehensive and sweeping in scope. Multiple citations from diverse literatures are woven together cogently. Reframes existing controversies or issues in the literature in novel terms. Shows promise of being cited by other scholars in the future. Clearly articulates rationale and plan for completion of literature review in dissertation.

Research literature is integrated into a coherent context framing the research

Research literature is only sporadically sampled (e.g., only sources that agree with the author) Insufficient scope (too narrow, doesnt span the range of relevant sources). Superficial or light engagement with literature. Talks about rather than with cited sources.

Makes use of multiple sources: literature sampled is sufficiently broad Depth: includes critical and contrary sources, attends to gaps (silences). Builds an argument in conversation with sources. Method of review apparent. Makes distinction between core literature for the proposal and what the actual dissertation will cover.

No clear direction or plan for completion in dissertation. No sense of what is done already and what still must be done.

Comments:

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Excellent Methods are systematically suited to the question and context. High level of critical thinking in evidence; researcher able to bracket own assumptions and/or mindfully question the assumptions of the research community. Cogent, elegant and transparent research design.

METHODOLOGY/WAYS OF KNOWING Acceptable Poor Relevant; research design shows No clear relationship between promise of actually answering the question(s) and proposed question(s). methods. Epistemological No or poor articulation of the bases/context/assumptions operating assumptions, biases and well-articulated. positionality of the researcher.

Proposed research design includes sufficient protection for human subjects. Comments:

Sequence and nature of procedures are clearly laid out. Explication of methods sufficient to task. Proposed research design includes sufficient protection for human subjects.

No clear sense of proposed procedures (i.e., what, where, when, who, how?). Obvious or potential problems with treatment of human subjects (likely not to pass HRRC review)

LIMITATIONS
Acceptable Poor No or inadequate engagement with the limits of what can actually be discovered via the proposed study. No or weak discrimination as to what can actually be discovered by the proposed method(s).

Excellent
Elegant, transparent de-limitation of inquiry, expected results, etc. at all levels and in all sections of the proposal. Mindful and consistent engagement with the limits and promises of the proposed research typical of what one might find in a peer-reviewed journal article. Authors claims as to relevance, truth, significance, etc. are appropriate ( i.e. neither too humble nor too ambitious). Parameters of research design are explicitly addressed, in alignment with recognized practice for a study of this type (re: reliability, validity, generalizability, significance, etc.).

Comments:

EXPECTED OUTCOMES/ RESULTS

Acceptable Poor No or inadequate explanation of expected results or intended

Excellent
Study as proposed promises to contribute significantly and Explicit and coherent discussion of expected results, findings

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originally to at least one field of inquiry or community-ofpractice. Answers the So what? question concisely and convincingly for fields cited in the literature.

and/or outcomes sufficient to the task. Sufficient attention to the larger So what? for a study of this type for at least one scholarly audience.

outcomes.

No sense of why other scholars or communities should care about the expected results of the proposed study.

Comments:

ORGANIZATION AND FORM

Acceptable Poor Sentences are ungrammatical or limited in complexity and variety. Notable presence of grammatical, lexical, orthographic errors. Inappropriate or non-use of professional vocabulary. Limited variety in word choice. Document is disjointed, incomplete or incoherent. Required sections are missing or inadequately developed. Does not adhere to the programs and Institutes expectations re: format and style.

Excellent
Characterized by lucid, mature, idiomatic prose. Sophisticated transitions link well-crafted sentences. Adapts working definitions of professional vocabulary critically and masterfully. Document is cogently and elegantly constructed. Sections adhere as a whole to tell a compelling story. Adheres to programs and Institutes expectations re: obligatory sections, format and appropriate style (MLA, Chicago, APA, etc Sentences demonstrate the authors control over a range of structures appropriate to the task

Uses professional and other vocabulary appropriately. Document is complete and coherent. Proceeds logically and rationally through all required sections. Adheres to programs and Institutes expectations re: obligatory sections, format and appropriate style (MLA, Chicago, APA, etc.).

Comments:

STYLE/VOICE/ESTHETICS
Acceptable Poor Inadequate or incoherent engagement with audience.

Excellent
Compellingly engages multiple scholarly audiences and/or communities-of-practice. Engages at least one specific scholarly audience or community-of-practice effectively.

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Strong evidence of a mature, scholarly voice. Writing sounds like someone already writing in the professional literature. The proposal is exciting, novel and/or beautiful on multiple levels. Comments:

Clear evidence of a developing scholarly voice or style. Shows grasp of the functions and tropes of the proposal genre. The proposal is interesting and/or intriguing on some levels.

No or little evidence of a (developing) scholarly voice or style. Inadequate use of proposal genre and register. The proposal is not interesting or notable in any significant respect.

Meta-comments: How useful have these rubrics been in evaluating the proposal ?

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