The document provides information and guidance on the PhD probation process, which involves submitting a probation report, participating in a mini-viva, giving an oral presentation, and summarizing skills development in order to be formally accepted into PhD candidacy. It outlines the purpose and requirements of probation, describes the key elements that must be included in the probation report, and offers advice from students and supervisors on navigating the probation process.

1. Donna Loftus
Lecturer in History

2. Ph.D. Probation
Find Information on REGULATIONS and GUIDANCE
at:
http://phdskills.open.ac.uk/
The process was new in 2006

3. PhD probation
Supervisor comment:
‘It is a good idea for students to make use of the
experience of those who went through the process
last year – especially those who found efficient and
genuinely useful ways of generating the materials
required for probation.’

4. PhD probation
Student comment:
‘the PhD Probation process was worth it in the
end, as I was successful in being given permission
to continue with my studies. Nothing was wasted
for this year. The training, development and
planning all proved to be useful exercises for what
I’m doing now. Now I know what I am trying to
do! I was able to identify gaps in my training and
knowledge that I could fill with appropriate
courses, reading etc. which have stood me in good
stead for my continued research.’

5. Why probation?
A PhD is assessed through the submission and defence
of a thesis – of an original and significant contribution
to knowledge.
A PhD candidate must demonstrate a range of specific
and generic skills needed to complete a PhD
successfully and to build an effective career.
It is a significant undertaking that requires careful
monitoring to ensure successful completion.

6. PhD probation - purpose
a chance for all parties to make a serious and
rigorous assessment of a student’s potential to
complete successfully.
no one benefits from letting students through
with work that isn’t good enough.
helps students bring research questions into
focus and do some pragmatic project planning.
students benefit from external confirmation that
their work is ‘good enough’.

7. PhD probation - purpose
‘this is an opportunity to bring together what the student
has been studying for a year or more, to focus on the
particular question the student wants to address, to see
whether it is viable in the available time and with the
available resources. Will the student be able to make an
original contribution to knowledge in their chosen area?
How will they best go about it? What is their contingency
plan, if not everything goes to schedule?’

8. Regulations
The four pieces of evidence the student must provide
for the probation assessment are:
(1) a probation report,
(2) a mini-viva,
(3) an oral presentation, and
(4) a summary of PhD skills development.

9. PhD probation – what is required?
Probation Report End of month 9 End of month 18 Assessed by
(f/t) (p/t) probation
assessors
Summary of PhD End of month 9 End of month 18 Assessed by
skills development (f/t) (p/t) supervisors
Mini-viva End of month 10 End of month 20 Assessed by
(f/t) (p/t) probation
assessors
Oral presentation End of month 10 End of month 20 Assessed by
(f/t) (p/t/) supervisors

10. PhD probation - outcomes
1. Pass
There is evidence of sufficient progress of good
standard in each of the key elements. You will be
registered as a PhD student.

11. PhD probation - outcomes
2. Pass subject to conditions
- shortfalls will be identified and will need to be
rectified
- you will be told what you need to do and the
work will normally be completed i) within a
month (f/t) or ii) within 2 months (p/t)

12. PhD probation - outcomes
3. De-registration
- if irresolvable problems are identified, for
example:
- inadequate work for the
assessment
- insufficient progress
- quality of work suggests that a PhD
will not result
- subject proposed not viable

13. PhD probation - outcomes
4. Registration for an M.Phil degree
- If project and/or student is deemed not suitable for
PhD, but there is a viable MPhil project.

14. PhD probation - outcomes
2006-7
95 (Arts 12) students have been through the
process
88 (Arts 11) had PhD registration confirmed; 1 Arts
student registered for MPhil
4 were asked to take remedial action, which was
subsequently deemed satisfactory
2 did not make satisfactory progress; their
registration was terminated

15. PhD probation
Supervisor comment:
‘probation can give students a very useful
calibration of how they are really doing, because
the mini-viva assessors don’t have to worry as
much as the supervisors about maintaining a
supportive and encouraging relationship. It is a
very good dry run for a full viva. More
importantly, it is a good staging-post in the
business of writing a thesis because it obliges the
student to articulate what they are doing and to
take on ownership of their project more fully.’

16. PhD probation
Supervisor comment:
‘in my experience it’s a useful point to reflect on the
working relationship with the student and set new
goals. It gives a new sense of momentum. It can be
overlooked as a mere formality at times.’

17. PhD probation – individual elements
1. Probation report
2. Mini-viva
3. Oral presentation
4. Summary of skills development

18. PhD probation – 1. the report
1. The articulation of a feasible research question
2. A literature review that sets your question in
context
3. A description/justification of the approach you
intend to use
4. A functional work schedule or plan with timeline
5. Contingency plans

19. PhD probation – 1. the report
How long?
This will depend on the discipline and upon the
subject. A rough guide is between 20 and 40 pages.
Style?
Must be scholarly
Must be in clear English
Demonstrate ability to use scholarly conventions
correctly

20. Ph.D. probation – 1. The Report
The contents list of a recent History Ph.D. probation
report:
 CONTENTS
Research Question 3
Literature Review 5
Research Proposal 34
Thesis Work Plan 41
Get the balance right

21. PhD probation – 1. the report
1. Articulation of a feasible research question
Presumably related to your original application
Not necessarily (but hopefully) the question that will be
the main focus of your dissertation
A focussed line of enquiry that is appropriate in scope
and feasible to execute

22. PhD probation – 1. the report
1. Articulation of a feasible question - exercise
What is it?
Why is it significant?
What contribution to knowledge will be made by
answering it?
How will you know when you’ve answered it?

23. PhD probation – 1. the report
1. Articulation of a research question. Reflection:
What kind of question(s) is best? A single broad
question or several specific questions? A hypothesis?
What makes a question worth studying?
How can you show that you can answer the question?

24. PhD probation – 1. the report
2. The literature review
i.e., whatever publications, source material etc provide
the intellectual context for your work
For other scholars’ full literature searches see
http://www.open.ac.uk/library/library-resources/theses-diss
If possible, look at another Ph.D. student’s successful
literature review and use it as a model. (Your supervisor
should help with permissions etc.)

25. PhD probation – 1. the report
2. Literature review
For the probation report you are not expected to have
completed a comprehensive review
The writing does not have to be perfect but should be
clear and scholarly – ask discipline/supervisor for
writing guide
A critical approach to the literature is essential
You need to show that you have a grasp of what has
been done, and what opportunities there are to make
further contributions

26. PhD probation – 1. the report
2. The literature review needs to
Be relevant to the research question
Be accurate
Indicate what is yet to be included
Include a general introduction to the field as a whole
Include more focussed treatment of your particular area
Include critical comment on existing literature

27. PhD probation – 1. the report
3. Articulation of your research proposal and
approach
Research methods and approaches appropriate to your
field of study
i.e. How will you go about your research?
You will not be held to this; but it is useful to think
through how you will approach the rest of your project
A recent successful History student identified the
various chapters, the themes, the sources and the
methods
Include contingency plans – if you run out of time will
you still have a thesis?

28. PhD probation – 1. the report
3. Articulation of your research approach
Exercise:
Can you list the main aspects of that approach now?
What further work will you need to do in order to
decide?
What are the key challenges/pitfalls that you could
encounter?
What could you do to minimise the risks associated
with the above, and what could you do if the worst
happens?

29. PhD probation – 1. the report
4. Your work plan/schedule
This should cover the remainder of your time as a
research student
Work backwards from the date of submission
Allow contingency time
Don’t leave ‘writing up’ until last
Include strategic submission deadlines

30. PhD probation – 1. the report
4. Your work plan should include
Start and finish of research into your principal sources
–give reasonable detail
Finalising of thesis structure
What you’ve accomplished so far
Completion of chapter drafts
Further work in libraries/archives
It may also include such items as
Conference attendance
Presentations
Publication plans

31. PhD probation – 2. the mini-viva
Will vary slightly according to discipline
1-1.5 hours
In the presence of two assessors, who will have read
your report
You will usually be asked to give an overview of your
research
You will be asked questions about the report you
have submitted
The mini-viva is something between a supervision
and a PhD viva

32. PhD probation – 3. The Oral Presentation
Discipline variations
No set format – i.e. Powerpoint NOT obligatory!
Typically 10-30 minutes
Prepare carefully: you need to use time effectively
OK to read, but make sure you address your audience
Rehearse - get your timing right

33. PhD probation – 3. the presentation
Student comment:
‘I can recommend the U500 sessions on preparing
presentations to those who are not used to that
sort of thing (as I was not). I also gave a
presentation at the OU student conference in May
- this made the official presentation in June a
breeze. But I must admit that I got the impression
that Powerpoint was compulsory! I have yet to
develop my own style of presentation, but last
year's experience has given me the confidence to
do this.’

34. PhD probation – 4. Skills Development
Use PhD Skills website
Carry out skills audit NOW
Review every 3 months (FT), 6 months (PT) and
before probation assessment
Summarize process for assessment: i.e.
skills you had before you started;
skills you have developed since registration;
skills that still need development and how you intend
to do so.

35. PhD probation – final comments
1) Keep your portfolio of evidence of research up to date.
2) File the notes from your meetings with your
supervisor(s)
3) Use the 'mini-viva' and the research presentation to try
out hypotheses, and don't be afraid to ask questions of
your audience at them.
4) The presentation in front of other research students
from the rest of the University - or even the rest of the
Faculty - is likely to be good for methodology but bad for
specialist knowledge. Perhaps try and present an aspect of
your research at a more specialised venue. Disciplines
vary.
5) Fill in the form.

36. Ph.D. Probation: Final Comments
If you have kept up to date with your initial research
and writing, you shouldn’t find this probation report
stage too challenging
Submit drafts of the whole report to your supervision
team and act upon what they say about it
If possible use a recent successful example from your
discipline as your model – ask permission
Remember it is your responsibility to co-ordinate the
submission and return it to your Associate Dean
(Research) with the relevant signatures by the
prescribed date.