This document provides an overview of the probation assessment process for PhD students at the Centre for Research in Education and Educational Technology. It discusses the purpose and elements of the probation assessment, including the project report, skills audit, mini-viva, and probation form. The document also outlines the probation timeline and process, from developing the research question and literature review to presenting the project plan and undergoing the mini-viva.

1. Preparing for
probation
assessment
Regine Hampel
Director for Postgraduate Studies
Centre for Research in Education and Educational
Technology
Developing as a Researcher, 19–20 March 2013

2. Your expectations
Activity:
Note down three things that you expect to get out of
this session on a post-it note.

3. Overview
 Focus of your own research
 Probation assessment: purpose, elements and process
 Project report
• research question
• literature review
• research proposal
• work plan
 Skills audit and skills development
 Mini viva
 Probation form
 Faculty variations

4. Elevator pitch
Activity: Explain yourself and your
research to a potential funder
who knows nothing about your
research. Try to get the main
points across clearly and
succinctly.
5 minutes: preparation time
2 minutes (each): pair work with partner 1
2 minutes (each): pair work with partner 2

5. Purpose of probation
assessment
 To confirm that you have made satisfactory
progress and to make a recommendation
regarding the upgrade to a PhD degree
 To get feedback from two independent assessors
on research done as well as planned
 To assess your research skills
 Important step on the way to the PhD

7. Probation process
 Probation form: accompanies the process
 Skills audit (with evidence of presentation given e.g. at a
WiP seminar, a departmental seminar or a conference)
 Project report: literature review, research question,
method and work plan
 Submission date: about 4 weeks before the viva
 Project report is the focus of the viva
 Vivas held approx. 10/20 months after registration
(FT/PT)
 Remedial work over the summer
 PGR Director sends final documents to Research School
11 months after registration

8. Project report
The report must contain the following:
A viable research question
A critical literature review which situates the proposed
research
A research proposal
A work plan

9. Elements of a research
question

10. An example research
question
“How do the personal narratives and stories of career
development processes amongst South African
distance learners vary and to what extent are elements
of previous disadvantage the source of that
difference?”
Activity (5 minutes): Discuss the following questions
with your partner
What is the phenomenon this thesis is trying to explain?
What may cause the variation in that phenomenon?
What is the relationship between them (‘how’, ‘why’, ‘to
what extent’)?
What is the context of the research?

12. Your research question
Activity (10 minutes):
Write down your (main) research question(s) on a
post-it note. Explain it/them to the other students in
your group, focusing on the following:
Why is this question relevant?
How does it relate to the literature?
How does it inform your methodology and your methods?

13. Small group activity:
feedback
 Were there any general observations/questions/
issues that arose in your group?
 What is the link between the research question, the
literature review and the methodology?

14. Literature review
“A critical literature review which situates the
proposed research” (Probation form)
Activity (5-10 minutes): Turn to your partner and
discuss how you would evaluate a literature review.
Make a note of some possible criteria.

15. Literature review:
criteria
 Does it take a critical stance in terms of
methodology, validity, conceptual framework?
 What does it cover, i.e. where are the boundaries –
inclusions/exclusions?
 Does it show developments over time?
 Is there a sustained analytical argument?
 What is the significance of the research problem?
 What about the accuracy (including the
bibliography)?

16. Literature review
“A literature review offers an overview of the relevant and
significant literature on a research area. It reviews the critical points
of current knowledge on a particular topic – i.e. a survey of articles,
books, conference papers, theses etc. It […] should include a
description, summary and critical evaluation of the materials
presented. A literature review is not a list describing or summarising
one piece of literature after another.
The purpose of a literature review is: to demonstrate your ability to
identify the relevant information and outline existing knowledge;
identify the ‘gap’ in the research that your work will address;
produce a rationale or justification for your study.
Remember: There is no one single correct method to writing a
literature review.” (UCD Library)

17. Research proposal
“A research proposal, including an outline of
proposed method(s), a critical justification for them,
and where appropriate, preliminary data and
analysis” (Probation form)
Group (and plenary) discussion: Which methods are
you going to use and why?

18. Work plan
“A work plan for the project with a detailed timetable
of dates for completion of component parts and
thesis submission” (Probation form)

19. Work plan example
Oct Jan Apr Jun Oct Jan Apr Jun Oct Jan Apr Jun
yr 1 yr 2 yr 3
Literature
search
Ethics
Questionnaire
design
Questionnaire
administration
Arrange access
(e.g. interviews)
Data collection
Data analysis
Writing up

20. Table of contents
(example)
SECTION 1 Introduction
1.1 Background of the Study
1.2 Aims of the Probation Report
1.3 Clarification of Terms
1.4 Overview of this Probation Report
SECTION 2 Literature Review on Intercultural Communication
2.1 Empirical Studies: Problems in Intercultural Communication
2.2 Methodologically-induced Pessimism?
2.3 Empirical Studies: Successful Intercultural Communication
SECTION 3 Research Questions
3.1 Proposed Aims of the PhD (Post-probation)
3.2 Rationale for the Proposed PhD Study
SECTION 4 Proposed Methodology
4.1 Theoretical and Epistemological Framework
4.2 Methodology as Active Sense-making
4.3 Proposed Methods of Data Collection/Analysis
SECTION 5 Scoping Study
5.1 Canada immigration: History, policies, practices
5.2 The Research Site
5.3 Proposed Areas for Further Investigation: ‘Working’ Hypothesis
5.4 Insights on my Role as Researcher: Reactivity and Reflexivity
5.5 Concluding Remarks

21. PhD WORK PLAN
DEVELOPMENT PLAN: JUNE TO DECEMBER 2009
BIBLIOGRAPHY
APPENDICES
Appendix 1 Research Table
Appendix 2 Request to Undertake a Scoping
Study
Appendix 3 Consent Form
Appendix 4 Information Sheet for Participants
Appendix 5 Excerpt from MRes Dissertation
SUMMARY OF SKILLS
RESEARCH FLYER

22. Skills development
1. Skills audit: Identifying and documenting the skills that
you have
2. Needs analysis: Identifying the skills that you need to
acquire or develop; targeting specific development needs
in the context of a given time period and research
programme
3. Development/Portfolio planning: Specifying how and
when the skills will be developed and how the outcomes
will be documented
4. Evidence Building: Collecting evidence in the Progress
File as competence is gained
5. Assessment: Assessing skills development as a
component of progress

23. Skills audit
 Skills audit: part of probation assessment
 See
http://phdskills.open.ac.uk/skills_audit_menu.php
 Skills development: on-going; included in all 6-
monthly Progress Reports and in the Probation
Report
 See
http://phdskills.open.ac.uk/dev_plan_form.php

24. Skills audit

25. Skills audit

26. Mini-viva
 Centres on the probation report
 Panel:
• 2 independent internal assessors
• Supervisor as observer
• Panel chair (usually PGR Director)
 10-minute presentation
 30-minute discussion
 Feedback by the assessors
 Can also be done online or on the telephone (PT
only)

27. Mini-viva
The mini-viva is designed to assess the following:
Your understanding of what you are doing
The relationship of what you are doing to other work in
the area
Whether the project design is robust
Whether your project is achievable within the time
Whether you are capable of achieving it

28. Typical mini-viva
questions How are you Who do you
dealing with think will want
What attracted any ethical to read about What is new
you to this issues? your research? about it?
project?
How did you
What are the decide what
What are the
gaps in the to include in
key concepts?
literature? your lit.
review?
What is your
central research
What are the How did you question and how What are your
benefits and decide on this did it arise? priorities for
pitfalls of the methodology? the next 6
methodology? months?

29. Possible outcomes
 Confirm registration for PhD
 Require you do specific further work before you
can register for a Phd
 Terminate registration

30. Probation form
 The probation assessment is accompanied by the
Probation form
• Sections A and B are completed by the student in
consultation with the supervisors
• Section C is completed by the supervisors
• Section D is completed by the mini viva assessors
• Section E is completed by the Associate Dean Research
or PGR Director
 Sections A, B and C are completed prior to the
mini viva
 Replaces the October Progress Report

31. Variations by faculty:
HSC
 3,000–4,000 word report; a revised research
proposal and timetable
 7,000–10,000 piece which indicates critical and
writing ability (literature, methodology or policy
review)
 Skills audit (should include a presentation)
 Submit documents 2 weeks prior to viva
 Mini viva about 10 months (FT) and 20 months (PT)
into registration
 Remedial work over the summer if necessary
 For more information, contact Lindsay O’Dell

32. Business and Law
 One report: critical literature review; research
question; proposed method; timetable
 Skills audit (including presentation at PhD day)
 Submit work 2 weeks before the viva
 Vivas held in first two weeks of July
 Remedial work over the summer following
feedback meeting with DRD
 For more information, contact Anne Smith

33. CREET (FELS and IET)
 One report: literature review, research question,
method and work plan
 Skills audit (with evidence of presentations given,
e.g. in WiP seminars)
 Submit work 3–4 weeks before viva
 Vivas held in late June and July
 Remedial work over the summer
 For more information, contact Regine Hampel

34. KMI
 One report: literature review; research proposal
including workplan; description of a piece of
completed (pilot) work (e.g. software that has
been developed or experiment that has been
conducted)
 The report is submitted at least 1 week before the
viva
 The viva is held in around month 9 or 10
 Remedial work is conducted after the viva as
necessary
 For more information, contact Paul Mulholland

35. Social Science
 One report
 Skills audit (including presentation)
 Submit work 2 weeks before the viva
 Please check with your PG Co-ordinator for the
timing of vivas
 Remedial work over the summer
 For more information, contact Deborah Talbot

36. Opportunity to look at
previous probation
reports from various
faculties

37. Thanks for listening and
taking part!
Look back at your
expectations on the post-it
note – what has not been
covered?