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Preparing for Probationary
Assessment
Dr Joanna Paul
Lecturer in Classical Studies
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Aims of the session:

To consider the purpose and value of the Probationary Assessment

To consider ways to prepare for the Probationary Assessment

To consider how to move on from the Probationary Assessment
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Probationary assessment – an
overview

See: Research Degrees Student Handbook, Section 3.5 (see also
section 2.3, ‘Your Registration’).

Must take place before you can progress to second year of fulltime study, or third year of part-time study.

Until that point you are registered for an MPhil; the probationary
review is therefore a decision on your registration – you will be
recommended for registration for a PhD if all the conditions are
met.

See also the Guidance notes for the Probation form (under ‘Forms
and Guidance’).
PROJECT REPORT
including research
question, literature review,
research proposal, and
work plan
ORAL PRESENTATION
Requirements
SUMMARY OF SKILLS
AUDIT and training and
development undertaken
MINI-VIVA
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The purpose of probationary
assessment (1)
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.
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The purpose of probationary
assessment (2)
 Provides
a chance for all parties to make a serious
and rigorous assessment of a student’s potential to
complete successfully.
 Remember
- 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 at the required standard.
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‘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?’
A supervisor’s perspective
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Moving towards probationary
assessment
(1) a probation report
(2) a mini-viva
(3) an oral presentation
(4) a summary of PhD skills development.
The assessment needs to be completed by 12 months after initial
registration date (24 P/T); Research Degrees Office sends a prompt
to you and your supervisors 9 (16) months after registration.
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1. THE REPORT
Must include:

A viable research question

A critical literature review, which situates the proposed research.

A research proposal, including an outline of proposed method(s), a
critical justification for them, and where appropriate, preliminary
data and analysis.

A work plan for the project with a detailed timetable of dates for
completion of component parts and thesis submission.
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The report

How long?


This will depend on the discipline and on the subject of the thesis. A
rough guide is between 20 and 40 pages.
Style?

Must be scholarly.
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Must be in clear English.

Must demonstrate ability to use scholarly conventions correctly.
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The report

Articulating a viable research question:

Will be related to your original application but may well show some
development in your thinking.

Should stand as the main focus of your dissertation.

Needs to be a focused line of enquiry that is appropriate in scope and
feasible to execute.
Researchable
Neither too
broad nor too
narrow
Can make an
original
contribution
Questions
should be
linked to one
another
Connected to
existing
theories and
research
Clear and
intelligible
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Exercise
 In
pairs, discuss the research question that you began
your research with.
 Can
you describe to each other in two or three
sentences what your research question is? Is it the
same now as when you wrote your original proposal?
 If
it’s difficult to define your question, can you identify
what you need to do in order to pin it down before you
reach your probationary assessment? (e.g. more
background reading, brainstorming, discussion with
supervisors, more primary research?)
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The report

Writing a literature review:
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

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The existing scholarship or other source material that provides the
intellectual context for your work.
If possible, look at another Ph.D. student’s successful literature review
for inspiration and ideas. (Ask your supervisor for help with this if you
need to, or use the library.)
For the probation report you are not expected to have completed a
comprehensive review, but it should be substantial.
A critical approach to the literature is essential; don’t just summarise
the existing scholarship.
You need to show that you have a grasp of what has been done, and
what opportunities there are to make further contributions.
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The report
A
literature review must

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.
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The report

Articulation of your research proposal and approach



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Builds on the research question and literature review to flesh out how
you will go about your research.
Outlines the research methods and approaches appropriate to your
field of study.
You will not be held to this; but it is useful to think through how you will
approach the rest of your project.
Think of it as an overview that might include key chapter headings,
identification of important themes and primary sources etc. It might
also be appropriate to include any preliminary data and analysis that
you have completed.
Worth thinking through and discussing possible pitfalls and challenges
that lie ahead – and appropriate contingency plans.
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The report

Your work plan

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

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This should cover the remainder of your time as a research student.
Indicate what you’ve completed so far.
Work backwards from the date of submission, and include spans of
time for work on primary sources, when you will need to work in
libraries/archives etc., and when you will complete drafts of each
chapter.
Allow contingency time.
Don’t leave ‘writing up’ until the end – it’s an integral part of the
research process.
You might also include other plans – e.g. presentations, conference
attendance.
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Sample workplan:
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2. THE MINI-VIVA
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Will vary slightly according to discipline.
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Typically 1-1.5 hours.
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In the presence of two assessors, who will have read your report.
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You will usually be asked to give an overview of your research.
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You will be asked questions about the report you have submitted.
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The mini-viva is something between a supervision and a PhD viva.

The assessors write a short report for the Probationary Assessment,
evaluating your performance and recommending an outcome.
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The mini-viva: hints and tips
‘Nobody expects the Spanish inquisition!’

Use this as a valuable opportunity for feedback – your assessors will
probably offer valuable thoughts on what you might do differently and
how the thesis might develop.

Be prepared to be questioned robustly – not to catch you out, but to
ensure that your project is valid and feasible. If assessors ask you lots
of questions, it means they’re interested in your project!

Be prepared to stand your ground – assessors are open to being
persuaded of the merits of your approach, if you believe in it. They
may play devil’s advocate in order to test your convictions.

Ask them questions if you require further guidance or clarification on
anything.

Consider having your supervisor in attendance as an observer.
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“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 stagingpost 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.”
Supervisor’s perspective
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3. THE ORAL PRESENTATION
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Opportunities for this will vary according to discipline; think carefully
about where to gain the experience. A departmental seminar? A
postgraduate conference?
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There is no set format for the kind of presentation that you need to
give – it will depend on the forum, and the audience.

Academic speaking and presentation skills training is highly
recommended.
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Prepare carefully and rehearse.
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Watch other academic speakers and learn from them.
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Your supervisor will confirm on your Probationary Assessment Form
that you have satisfactorily passed this requirement.
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4. SKILLS AUDIT

This is part of the Probationary Assessment Form (Section A,
Progress during Probation Period.) You need to provide dates and
comments (outputs, benefits and progress) in the following areas:
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Formal supervision meetings
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University and departmental induction events
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Project report
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Skills audit and development plan – a concise summary of this aspect
of your Progress File. Your supervisors will evaluate this as part of your
Probationary Assessment Form.
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Oral presentation.
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Mini-viva.
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Skills audit
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You must also complete Section B of the form, Performance
Objectives and Skills Development Targets.
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This asks for your key objectives in the next progress monitoring
period in the following areas:
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Research activities
Skills development (based on your training and development plan)
Agreed performance targets and dates for completion.
You then pass the form to your supervisors, who comment on the
project report. The mini-viva assessors then write their report, before
the form is sent to the Associate Dean (Research) and then the
Research Degrees Office for confirmation of the outcome.
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OUTCOMES
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You meet the required benchmarks and should be registered for a
PhD.
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You should remain registered for an MPhil; reasons for nonprogression to a PhD must be given.

You are required to take some remedial action in order to be
considered for registration for a PhD. A short amount of time will
be given for this, but your overall submission date will not change.

You should be de-registered on the grounds of insufficient
academic progress.
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Final thoughts
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Keep your paperwork up to date.
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Keep good notes from meetings with supervisors.
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If you keep up to date with your tasks, you shouldn’t find the
probation process too challenging.
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Submit drafts of the whole report to your supervision team and act
upon their feedback.

Consider asking to see a recent successful example from a fellow
student.
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Don’t worry! Some nerves (especially in a mini-viva) are a good way
of focusing the mind, but don’t panic. The process is not designed
to catch you out.