Preparing
for probation
assessment
Lindsay O’Dell
Director for Postgraduate Studies
Faculty of Health and Social Care
Developing as a Researcher, 19–20 March 2014
Your expectations
Activity:
Note down three things that you expect to get out of
this session on a post-it note.
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

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
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
Research
Oral
presentation
Mini viva
Probation
Project
report
Probation
form
Skills
audit
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

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
Elements of a research question
The
phenomenon
you are seeking
to explain
The thing/s
which you think
explain/s
variation in that
phenomenon
The relationship
between them
(‘how’, ‘why’, ‘to
what extent’),
avoiding ‘yes/
no’ questions
The context of
the research
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?
Initial
interest/
observation
Research
gap
Review of
theories +
methods
Research
question
Methodology and
methods
Review of
literature
Choose
research
areas
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?
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?
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.
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)?
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)
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?
Work plan
“A work plan for the project with a detailed timetable
of dates for completion of component parts and
thesis submission” (Probation form)
Work plan example
Oct
yr 1
Literature
search
Ethics
Questionnaire
design
Questionnaire
administration
Arrange access
(e.g. interviews)
Data collection
Data analysis
Writing up
Jan
Apr
Jun
Oct
yr 2
Jan
Apr
Jun
Oct
yr 3
Jan
Apr
Jun
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
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
Skills development
1.
2.
3.
4.
5.
Skills audit: Identifying and documenting the skills that
you have
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
Development/Portfolio planning: Specifying how and
when the skills will be developed and how the outcomes
will be documented
Evidence Building: Collecting evidence in the Progress
File as competence is gained
Assessment: Assessing skills development as a
component of progress
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 6monthly Progress Reports and in the Probation
Report
 See
http://phdskills.open.ac.uk/dev_plan_form.php
Skills audit
Skills audit
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)

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
Typical mini-viva questions
What attracted
you to this
project?
What are the
gaps in the
literature?
What are the
benefits and
pitfalls of the
methodology?
How are you
dealing with
any ethical
issues?
Who do you
think will want
to read about
your research?
What are the
key concepts?
How did you
decide on this
methodology?
What is your
central research
question and
how did it arise?
What is new
about it?
How did you
decide what to
include in your
lit. review?
What are your
priorities for
the next 6
months?
Possible outcomes
 Confirm
registration for PhD
 Require you do specific further work before you
can register for a Phd
 Terminate registration
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
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

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
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
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
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
Opportunity to look at
previous probation reports
from various faculties
Thanks for listening and
taking part!
Look back at your
expectations on the post-it
note – what has not been
covered?