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“PIOUS, AUTONOMOUS, INTELLECTUAL”A THESIS AND DISSERTATION GUIDE(Requirements and Guidelines for the Preparation ofMaster’s Theses and Doctoral Dissertations)GRADUATE SCHOOLYOGYAKARTA STATE UNIVERSITYTHE MINISTRY OF RESEARCH, TECHNOLOGY AND HIGHER EDUCATIONGRADUATE SCHOOLYOGYAKARTA STATE UNIVERSITY2018

SITYNUMBER 18 YEAR 2017ABOUT A THESIS AND DISSERTATION GUIDETHE MINISTRY OF RESEARCH, TECHNOLOGY AND HIGHER EDUCATIONYOGYAKARTA STATE UNIVERSITY2018

ACKNOWLEDGMENTI praise Allah SWT the Almighty, for His blessing, mercy and guidance inthe completion of this thesis and dissertation guide. This publication is made toprovide guidance for the preparation of Master’s Theses and DoctoralDissertations in the Graduate School, Yogyakarta State University.This thesis and dissertation guide sets forth the requirements and guidelinesfor a final assignment established by Yogyakarta State University. It is written toensure that the published theses and dissertations from the Graduate School,Yogyakarta State University are presented in an orderly uniform manner inconjunction with the current curriculum changes, academic regulations, andknowledge and technological advancements.Finally, it is expected that this guide can help the process of thesis anddissertation completion and also serve to aid the students toward a successfulgraduation. I do hope that this publication is beneficial to all parties including thestudents and the thesis and dissertation supervisory committee in the GraduateSchool, Yogyakarta State University.Yogyakarta, August 2018Director of Graduate SchoolYogyakarta State UniversityProf. Dr. Marsigit, M.A.NIP. 19570719 198303 1 004

TABLE OF CONTENTSPageRECTOR REGULATION .TITLE PAGE .ACKNOWLEDGMENT .CHAPTER I. INTRODUCTION .A. Rationale .B. Delimitation .1. Thesis .2. Dissertation .C. Functions and Purposes .CHAPTER II. ADMINISTRATIVE AND ACADEMICREQUIREMENTS .A. ADMINISTRATIVE REQUIREMENTS .B. ACADEMIC REQUIREMENTS .1. Student .2. Coordinator of Thesis and Dissertation .3. Supervisor .4. Validator .5. Board of Examiners .CHAPTER III. PROCEDURES FOR THESIS ANDDISSERTATION WRITING. .A. Proposal Submission.1. Thesis .2. Dissertation .B. Proposal Writing of Thesis and Dissertation .1. Thesis .2. Dissertation .C. Proposal Examination .i

1. Thesis .2. Dissertation .D. Research Instrument Validation and Product DevelopmentE. The Process of Thesis and Dissertation Research and Writing1. Research Permit .a. Research Permit in Yogyakarta .b. Research Permit outside Yogyakarta .2. Data Collection .3. Data Analysis .4. Research Monitoring and Consultation .F. Examination Registration .CHAPTER IV. REPORTING THE RESULT OFTHESIS AND DISSERTATION RESEARCH .A. The Content of Thesis and Dissertation .1. Beginning Part .2. Main Part .3. Ending Part .B. Thesis and Dissertation Format .1. Quantitative Research .2. Qualitative Research .3. Mixed Research (Quantitative and Qualitative) .4. Evaluation Research .5. Institutional Action Research .6. Classroom Action Research .7. Research and Development .8. Document Analysis .CHAPTER V. LANGUAGE AND WRITING FORMATA. LANGUAGE .B. WRITING FORMAT .CHAPTER VI. THESIS AND DISSERTATION EXAMINATION .

A. Examination Regulation .1. Administrative Requirements .2. Academic Requirements .B. Structures, Roles and Authority ofThesis and Dissertation Examiners .C. Preparation and Process of Thesis andDissertation Examination .D. Thesis and Dissertation Assessment .1. Master’s Program (S-2) .2. Doctoral Program (S-3) .3. Scoring Rubric .E. Administration Procedures .CHAPTER VII. PUBLICATION .A. Thesis Article Publication .B. Dissertation Article Publication in ReputableInternational Journals .CHAPTER VIII. ETHICS, MISCONDUCT AND PENALTIES .A. Ethics .B. Misconduct and Penalties .CHAPTER IX. CLOSING .APPENDIXES .

CHAPTER IINTRODUCTIONA. RationaleAs a partial requirement for a study completion, a thesis/dissertation isa compulsory pass subject for all students enrolled in the Graduate School,Yogyakarta State University (YSU). Thesis/dissertation writing is conductedindividually by a student under the supervision of a lecturer who is officiallydesignated based on a Letter of Decree (SK) issued by the Director of GraduateSchool, YSU.In order to complete an acceptable standard thesis or dissertationeffectively and efficiently, there must be guidelines as guidance for students,supervisors/lecturers, reviewers, examiners, program managing staff and otherrelated parties. It is expected that this guide can ensure the uniformality ofperception and understanding of criteria for a good research study and standardprocedures to help students in completing their theses or dissertations.B. Delimitation1. ThesisA thesis is a compulsory pass subject for all students enrolled at theGraduate School, YSU as a partial requirement for their study completion inorder to attain their master’s degree. As a final assignment, a thesis must meetthe following requirements:a. It can be scientifically proven under the supervision of a lecturer.b. It has a high beneficial value to the development of knowledge and practicein education and/or non-education supported with empirical data.c. It is innovative as to develop knowledge, technology and/or arts ineducation or non-education or proffesional practices.

d. It reflects students’ ability in thinking and creating for solving problems inknowledge, technology and/or arts in education and/or non-educationthrough inter or multi-diciplinary approaches.2. DissertationA dissertation is a compulsory pass subject for all students enrolled atthe Graduate School, Yogyakarta State University as a partial requirement fortheir study completion in order to attain their doctoral degree. As a finalassignment, a dissertation must meet the following requirements:a. It can be scientifically proven under the supervision of a lecturer.b. It reflects students’ ability in thinking and producing original and testedscientific work creatively.c. It has a high beneficial value to the development of knowledge andpractice in education and/or non-education supported with empirical data.d. It develops knowledge, technology and/or new arts in fields of study orprofessional practices through research to produce creative, original andtested work.e. It solves problems in knowledge technology and/or new arts in fields ofstudy or professional practices through inter or multi-disciplinaryapproaches.C. Functions and Purposes1. FunctionsThis book provides guidance for students, supervisors, reviewers,examiners, managing staff, and other parties involved in the process of thesisand dissertation completion, including Thesis Proposal Writing Project,Dissertation Proposal Writing Project, Research, Report Writing, Examination,and Assessment. This guidance regulates substantial and technical matters withthe possibility of further development and adjustments in accordance with topicvarieties, approaches, processes, and types of research.

2. PurposesIt is expected that this book can provide guidance for students, thesisand dissertation supervisors, examiners, heads of study programs, and otherparties involved in understanding and using proposal writing procedures, thesisexamination, examination, and assessment. The process of thesis anddissertation completion can therefore run effectively and efficiently resultingtheses and dissertations which meet an acceptable standard for academicwriting.

CHAPTER IIADMINISTRATIVE AND ACADEMIC REQUIREMENTSA. Administrative RequirementsTo take a thesis/dissertation subject, a student must comply with the followingadministrative requirements:1. Being enrolled as a student of the Graduate School, YSU2. Taking a thesis or dissertation subject in the Study Plan (Kartu Rencana Studi KRS) which can be accessed on https://siakad2013.uny.ac.id)B. Academic Requirements1. StudentsIn order to complete a thesis/dissertation, a student must fulfil the followingrequirements:a. Students in master’s programs can take a thesis subject if they havecompleted all theoretical subjects with a GPA of 3.00 minimum.b. Students in doctoral programs can take a thesis subject if they havecompleted all theoretical subjects with a GPA of 3.00 minimum.2. Thesis or Dissertation CoordinatorA thesis or dissertation coordinator of the Graduate School, Yogyakarta StateUniversity is the head of a study program. The head of a study program as athesis or dissertation coordinator is responsible for:a. identifying the students who are eligible to take a thesis or dissertationb. determining thesis/dissertation titles proposed by the studentsc. appointing the thesis/dissertation supervisors together with the programdevelopment team and proposing a Letter of Decree (SK) for a supervisorto the Director of the Graduate School, YSUd. determining the lecturer of Thesis Proposal Writing or DissertationProposal Writing and Thesis Proposal Seminar or Dissertation ProposalSeminar subject

e. monitoring the process of thesis or dissertation writing and thesis ordissertation writing consultations3. Thesis or Dissertation SupervisorFor a thesis, there is only one supervisor while for a dissertation, there are twosupervisors consisting of the first supervisor and the second supervisor. Thethesis and dissertation supervisors must meet the following requirements:a. Academic position and academic qualifications of a thesis supervisor:1) holding a doctoral degree2) possessing a functional position at least as a lektor3) having publication in accredited national journals or reputable internationaljournals in the last five years4) having lecturing experiences at the Graduate School, YSU at least for two yearsb. Academic position and academic qualifications of a dissertation supervisor:1) holding a doctoral degree2) possessing a functional position at least as a senior lecturer3) having published at least two scientific articles in international journalsaccredited by the Ministry of Research, Technology and Higher Education, theRepublic of Indonesiac. Having expertise in relevant subjects/topics as taken by the students for theirthesis or dissertation topicsd. Being designated based on a Letter of Decree (SK) issued by the Director of theGraduate School, YSU4. Validatora. Research Instrument ValidatorInstrument validation is required to conduct for students of masters and doctoralprograms. The validators for thesis or dissertation instruments are lecturers,experts, and experienced practitioners. An instrument validator must fulfil the

following requirements:1) For masters programs, a lecturer as an instrument validator must possess afunctional position at least as a lektor with an academic qualification of a master2) For doctoral programs, a lecturer as an instrument validator must possess afunctional position at least as a senior lecturer with an academic qualification of adoctor.3) An expert and practitioner validators must have experience in relevant expertiseproved by a professional record.4) An instrument validator must have expertise in relevant subjects/topics as takenby the students for their thesis or dissertation topics.5) An instrument validator is proposed by a student in a written letteracknowledged by the thesis or dissertation supervisor.b. Product Validator (in Research and Development)1) For masters programs, a lecturer as a product validator must possess afunctional position at least as a lektor with an academic qualification of a masterat least or an expert.2) For doctoral programs, a lecturer as a product validator must possess afunctional position at least as a senior lecturer with an academic qualification of adoctor or an expert.3) A teacher validator must possess a functional position at least as a juniorteacher with an academic qualification of a master.4) Expert and practitioner validators must have experience in relevant expertiseproved by a professional record.5) A product validator must have expertise in relevant subjects/topics as taken bythe students for their thesis or dissertation topics.6) A product validator is proposed by a student in a written letter acknowledgedby the thesis or dissertation supervisor.

5. Board of ExaminersThe examiners of a thesis or dissertation must fulfil the following requirements.a. For master’s programs, the examiner must possess a functional position at leastas a lektor with an academic qualification of a doctor.b. For doctoral programs, the examiners must possess a functional position at leastas a lektor kepala with an academic qualification of a doctor and one of themmust be from an institution other than YSU.c. The examiners must have expertise in relevant subjects/topics as taken by thestudents for their thesis or dissertation topics.d. For doctoral programs, the examiners must have publication at least onescientific article in an accredited national journal or reputable international journalin the last five years.e. The examiner is designated based on a Letter of Decree (SK) issued by theDirector of the Graduate School, YSU.

CHAPTER IIIPROCEDURES FOR THESIS AND DISSERTATION WRITINGThe thesis or dissertation completion begins with proposal writing andends with the examination and revision. It ends when the students get the result(score) of their thesis or dissertation in their Academic Transcript (Kartu HasilStudi). There are five stages of thesis or dissertation completion that should beundergone by the students including the following: (1) proposing a thesis ordissertation title (2) writing a thesis or dissertation proposal, (3) attending aseminar on thesis or dissertasi proposal lecture for master’s programs and doctoralprograms and taking a proposal examination for doctoral programs, (4)conducting a thesis or dissertation research study and making a thesis ordissertation report, and (5) registering for a thesis or dissertation examination.Each of the stages is explained respectively as follows.A. Proposing a thesis and dissertation title1. ThesisThe student proposes two thesis titles to the head of the study program at thebeginning of their study (semester 1). The titles should be relevant to the researchtheme determined by the head of the study program. They must meet thefollowing requirements:a. They are actual, original and innovative.b. They use an inter- or multi-disciplinary approach in problem solving.c. They show how a theory is used to solve a problem.d. They serve as a valuable contribution to human knowledge.e. They are relevant to the disciplines in the study program.f. They are not a duplicate and/or plagiarized title from the existing one.g. They contain no more than 15 words (excluding function words).h. They use noun phrases.

After all the thesis titles proposed by the students have been accepted, a meetingbetween the head of the study program and thesis supervisors will be conducted todetermine one approved title with one supervisor for each student. The head of thestudy program will then propose a Letter of Decree (SK) for a thesis supervisor tothe Director of the Graduate School, YSU.2. DissertationThe student proposes at least three dissertation titles to the head of the studyprogram to be discussed in the dissertation proposal lecture. The titles should berelevant to the research theme determined by the head of the study program. Theymust fulfil the following requirements:a. The are actual, specific, original, innovative and potential for scientificinventions.b. They use an inter- or multi-disciplinary approach in solving the problem.c. They are relevant to disciplinary substance in the study program.d. They are not a duplicate and/or plagiarized title from the existing one.e. They contain no more than 15 words (excluding function words).h. They use noun phrases.After all the dissertation titles proposed by the students have been accepted, ameeting between the head of the study program and the program developmentteam will be conducted to determine one approved title with two supervisors foreach student. The head of the study program will then propose a Letter of Decree(SK) for a dissertation supervisor to the Director of the Graduate School, YSU.B. Writing a thesis and dissertation proposal1. ThesisAfter a thesis title has been approved, a student writes a theis proposal in a ThesisProposal Writing subject under the supervision of the thesis supervisor and thesubject lecturer. The student then presents the approved proposal in a Thesis

Proposal Seminar subject. This seminar is attended by the class and also the thesissupervisor and the subject lecturer. In order to pass this Thesis Proposal Seminarsubject, the student must attend the class at least 75% of the total meetings,present the proposal draft, accommodate the essential feedback, and submit therevised proposal to the supervisor based on the feedback given in the seminar. Thestudent must score at least B on this subject in order to pass this lecture. Thestructure of the proposal must follow the guidelines of the report format forChapters I, II, and III as required for each type of research studies.2. DissertationAfter a dissertation title has been approved, a student writes a dissertationproposal in a Dissertation Thesis Proposal Writing class under the supervision ofthe dissertation supervisor and the subject lecturer. The student then presents theapproved proposal in a Dissertation Proposal Seminar class. This seminar isattended by the dissertation supervisor and the subject lecturer. In order to passthis Dissertation Proposal Seminar subject, the student must attend the class atleast 75% of the total meetings, presents the proposal draft, accommodates theessential feedback and submits the revised proposal to the supervisor based on thefeedback given in the seminar. The student must score at least B on this subject inorder to pass this lecture. The structure of the proposal must follow the guidelinesof the report format for Chapters I, II, and III as required for each type of researchstudies.C. A proposal examination1. ThesisThe thesis proposal examination is conducted on the Thesis Proposal Seminarsubject.2. Dissertation

The dissertation proposal examination is conducted in Semester 4 after the studenttakes the Dissertation Proposal Seminar subject.D. Developing and validating research instruments and product developmentAfter the thesis or dissertation proposal has met the requirements, the studentdevelops a research instrument for data collection. The procedures of instrumentdevelopment for qualitative research are as follows.1. Reviewing and synthesizing theoretical review2. Determining the instrument construct3. Arranging instrument specifications which contain variables and indicators4. Writing instrument items5. Presenting the instrument in a seminar attended by at least ten students ofmasters program and/or doctoral program (the students are allowed to disseminatetheir instruments after attending instrument seminars at least five times)6. Revising the instrumen draft based on the feedback given in the seminar7. Validating the revised instrument through the following procedures:a. The student writes a request letter to a proposed validator who has relevantexpertise/competence. The letter must be acknowledged by the supervisor and theDeputy Director I of the Graduate School, YSU (An example of the request letterfor research instrument validation is available to the students in the secretary tothe Director of the Graduate School, YSU).b. If the request letter is approved, the student must submit the thesis ordissertation proposal instrument specifications and research instrument to thevalidator.c. The time allocation needed for the research instrument validation is at leastthree weeks.8. Revising the instrumen based on the feedback given by the validator inconsultation with the suporvisor9. Conducting a try-out10. Analyzing the instrumens based on the try-out results to ensure the validity

and estimate the reliability11. Revising the final instrumentThe validator (mentioned in point 7) is proposed by the student to the DeputyDirector I of the Graduate School, YSU and approved by the supervisor and thehead of the study program. To ensure the validity and estimate the reliability ofthe instrument, the validation is conducted by following the standard of scientificprocedures based on the instrument characteristics. If more than one instrument isused in the thesis or dissertation research, the item validation and reliabilityestimation are conducted one by one based on the instrument characteristics.When a student uses an existing instrument, he/she must obtain permission fromthe writer or instrument developer and cite the instrument characteristics. When atranslated instrument (from any foreign language into Indonesian language isused), it is important to double check or even have someone translate it into theoriginal one to ensure that it has semantic equivalence.For a qualitative study, the researcher as the main key instrument must fulfill thevalidity and reliability principles. The researcher needs to understand thesubstantial aspects of the study in order to obtain valid dan reliable data. Besidebeing accurate, objective and truthful, the researcher also needs to use techniquessuch as extending the data collection period, applying a variety of methods fordata collections and using various sources of information. Meanwhile, forsupporting instruments such as a demographic questionnaire, interview guidelinesand observation guidance, the item validation and reliability estimation areconducted one by one based on the instrument characteristics.E. Conducting a research study and writing a thesis or dissertation1. Research permitThe research permit is based on the Regulation of the Home Affairs Minister ofthe Republic of Indonesia Number 64 Year 2011 about Guidelines for Research

Recommendation Issue. For Yogyakarta Special Territory, the research permit isparticularly based on the Regulation of the Governor of Yogyakarta SpecialTerritory Number 18 Year 2009 about Guidelines for Permit Services, SurveyRecommendation, Research, Data Collection, Development, Review and FieldStudies in Yogyakarta Special Territory. The research permit procedures aredivided into two categories namely research permit for institutions withinYogyakarta Special Territory and research permit for institutions outsideYogyakarta Special Territory. The students of the Graduate School YSU who willapply for a research permit for their thesis or dissertation need to follow theseguidelines.a. Research permit for institutions within Yogyakarta Special TerritoryResearch recommendation permit for a study conducted within YogyakartaSpecial Territory is issued by the Local Government of Yogyakarta SpecialTerritory (Pemda DIY) c.q. the Bureau of Development Administration, RegionalSecretariate, Yogyakarta Special Territory (Biro Administrasi Pembangunan,Setda DIY) with the following requirements:1) a research permit letter from the Director of the Graduate School, YSUaddressed to the Head of Badan Kesbangpol dan Linmas Kota/Kabupaten2) a research proposal approved by the Director of the Graduate School, YSUwith an official stamp inside3) a copy of student card (Kartu Tanda Mahasiswa ‘KTM')For a research study conducted at a school, a copy of a permit letter is needed forDisdikpora and Bappeda. If the research involves the local government in otherregions, more copies of a permit letter are needed for all government officialsconcerned. Students in this case are responsible to take and send all of the lettersthey need for their research permit.b. Research permit for institutions outside Yogyakarta Special TerritoryThe research permit for a study conducted outside Yogyakarta Special Territory

needs a research recommendation letter from Kesbanglinmas DIY. Thisrecommendation letter then needs to be sent to the local government (in the regionconcerned) u.p. the Head of Badan Kesbangpol dan Linmas Provinsi with thefollowing requirements:1) a request letter for research permit recommendation from the Director of theGraduate School, YSU to the Head of Badan Kesbanglinmas Provinsi DIY2) a proposal approved by the Director of the Graduate School YSU with anofficial stamp inside3) a copy of student card (Kartu Tanda Mahasiswa ‘KTM')2. Research data collectionThe data collection begins after the research problem and research design havebeen determined (in the proposal). It must be conducted scientifically (systematic,logic, and self-evident), objectively (not only an assumption), truthfully (notreducing or adding more data). In choosing methods for data collection, theresearcher should consider two types of data, namely primary dan secondary data.3. Research data analysisTechniques for data analysis used in a thesis or dissertation depend on the aim ofthe research and type of the data obtained. Quantitative studies can use descriptivestatistics and inferential statistics for the data analysis. A study using descriptivestatistics is not intended for generalization while a study using inferential statisticsis intended for generalization. Inferential statistics are used to test a hypothesisand consist of parametric statistics and non-parametric statistics. Parametricinferential statistics are used when the analysis requirement is fulfilled and/or thedata to be analyzed are interval and/or ratio. Meanwhile, non-parametricinferential statistics are used when the analysis requirement is unfulfilled and/orthe data to be analyzed are ordinal and/or nominal. Parametric inferential statisticsare stronger than non-parametric inferential statistics. It means that the students

should attempt to use parametric statistics. But when the analysis requirement isunfulfilled, they may use non-parametric statistics.In qualitative studies, the data can be fieldnotes, interviews, observations,photographs, pictures, documents, biographies, articles, and so forth. The data areanalyzed by organizing them (arranging, ranking, grouping, coding, andcategorizing) into patterns, categories and description units in order to draw thetheme and formulate prior theoretical

Graduate School, YSU 4. Validator a. Research Instrument Validator Instrument validation is required to conduct for students of masters and doctoral programs. The validators for thesis or dissertation instruments are lecturers, experts, and experienc