Research Degrees
Probation
What this form is for
To formally record the outcome of a student’s probation assessment and
to confirm if the student has met the required academic standards in order
to proceed to full registration. It should include an accurate record of the
student’s progress, achievements and areas for development.
Who should complete it
The form must be completed sequentially by the student, their supervisors and
the mini viva assessors.
The final report and recommendation must be endorsed and submitted by
either:

Associate Dean (Research) (or agreed delegate) (directly registered
students)

ARC Research Degree Co-ordinator (ARC students)
Each case will be subject to final scrutiny to ensure due process has been
followed and that the record on the student’s file is accurate and complete. The
Head of Research Degrees will monitor probation pass rates as part of the
regular reporting required by the Research Degrees Committee.
How it should be
submitted
Click in the grey boxes to complete this form.
The final copy of this form must be submitted by email to the Research Degrees
Office by a person in one of the endorsing roles listed above, and copied to each
contributor.
Use the appropriate email address form the list below:
For students in ARCs, use research-degrees-arc-se@open.ac.uk.
For directly registered students, use:
Research-degrees-Arts@open.ac.uk
Research-degrees-CREET@open.ac.uk
Research-degrees-EdD@open.ac.uk
Research-degrees-HSC@open.ac.uk
Research-degrees-KMi@open.ac.uk
Research-degrees-MCT@open.ac.uk
Research-degrees-OUBS@open.ac.uk
Research-degrees-Science@open.ac.uk
Research-degrees-SocSci@open.ac.uk
The probation review should be planned and conducted in good time to meet the
deadlines below:
http://www.open.ac.uk/research/research-degrees/forms-and-guidance-notes.php
Activity
Research Degrees office sends a
prompt, showing individual deadlines
to:
 the student and supervisors, if
directly registered
or
 the ARC Research Degree Coordinator, who provides the
necessary documents to the
student, supervisors and mini viva
assessors
Student, supervisors and mini viva
assessors complete their sections and
submit to the Associate Dean
(Research) or ARC Research Degrees
Co-ordinator
The Associate Dean (Research) or
ARC Research Degrees Coordinator sends the final completed
form to the Research Degrees office
Completion of probationary
assessment
Completion of any remedial work and
notifying Research Degrees Office
Policy
Full-time
students
9 months after
registration
Part-time
students
16 months after
registration
10 months after
registration
22 months after
registration
11 months after
registration
23 months
after
registration
12 months after
registration
14 months after
registration (i.e. 2
months into year
2)
24 months after
registration
28 months after
registration (i.e.
4 months into
Year 3)
All Research Degree students are required to undertake a probationary review
before their registration can be confirmed and they can progress to the second
(full-time) / third (part-time) year of their studies.
Details about the probation process are in the Student Handbooks. ARCs are
required to inform students about the probation assessment requirements at the
beginning of their registration. The process is initiated by a mailing from the
Research Degrees office to prompt the necessary actions. Students and
supervisors should work together to plan and carry out the probation assessment
in line with the timetable above.
Students who fail to meet the required academic standards will be de-registered,
or may choose to withdraw. Students who fall just short of the required
academic standards may be given a short period to undertake remedial action.
At the end of this period the supervisors should inform the Associate Dean
(Research) or ARC Research Degree co-ordinator of the outcome of the
remedial work, for onward communication to the Research Degrees Office.
The probation benchmarks to be achieved and evidenced are:
The student:
Assessment
Must submit a project report which
includes:
• A viable research question
• A critical literature review which
situates the proposed research
• A research proposal, including an
Supervisors must evaluate the report
and indicate whether or not each
element meets the required standard.
If there is any shortfall, supervisors
must state what must be rectified in
order to pass probation.
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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.
ARC Research Degree Co-ordinators
should include a copy of the student’s
project report with this form.
Must provide a concise summary of
their skills audit, training and
development undertaken.
Supervisors must evaluate the skills
audit and indicate whether sufficient
progress has been made. If there is
any shortfall, supervisors must state
what must be rectified before
probation can be passed.
Must give an oral presentation of
their research in a public forum such
as a Research Centre or Department
seminar.
Supervisors must confirm that the
student has given an oral
presentation of a satisfactory
standard.
Must pass a mini-viva – an oral
examination on the project report
The assessors must provide a written
report evaluating the student’s
performance and recommending one
of the possible outcomes. If the
student has not met expectations,
they should explain what is required
for the student to successfully
complete their probation. If the
student has met expectation it is also
acceptable for the assessors to
provide constructive feedback as to
how the student could progress with
their research.
Mini viva assessment
The mini-viva assessment is an oral examination on the project report,
conducted by at least two experienced academic researchers who are not the
student’s supervisors, nor third party monitor, and who can provide a view that is
independent of the student’s research group.
The form of the mini-viva may vay; some faculties or ARCs structure it along the
lines of a PhD defence; others may have review panels or committees.
Whatever the form, the focus of the discussion is on the student’s research skills
and progress so far, as reflected by the probation report. It is the expectation
that the mini-viva assessment will be led by the independent members of the
panel. A supervisor may be in attendance as an observer.
Ethical review
All students must consider and discuss with their supervisor whether their
research requires ethical review. If it does:

directly registered students should have applied for ethical review
and have been granted an Ethics Committee reference number
by the time of the probationary review.

ARC students must provide evidence to the Open University that
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their project has obtained ethical approval from the relevant body
in time for their probationary review at the latest. If this is not
provided, the student will not be permitted to progress to the next
year of registration and will be required to withdraw.
The probation report is completed as follows:




The student consults his/her supervisors and completes Sections A and B,
then emails the report to the supervisors.
The supervisors complete Section C and email the report to the mini viva
assessors. For directly registered students, one supervisor may write and
submit the form but the report must be the result of a joint assessment by all
members of the supervision team. For Affiliated Research Centre students,
where a supervisor is based outside of the ARC, s/he must submit an
additional individual assessment with this form, for example for ARC
students with UK-based supervisors. Where the ARC Research Degree
Co-ordinator is also the Director of Studies, a report from the other
supervisors is required.
The mini viva assessors complete Section D and email the report to the
Associate Dean (Research) or ARC Research Degrees Co-ordinator, giving
their recommendation.
The Associate Dean (Research) or ARC Research Degrees Co-ordinator
reviews the form, completes Section E, comments on the student’s
progress and confirms one of the following possible outcomes:
 The student meets the required probation benchmarks detailed below
and should be registered for a Doctor of Philosophy (PhD);
 The student should remain registered for a Master of Philosophy
(MPhil), giving reasons for non-progression to a PhD if that was the
student’s intended degree;
 The probation benchmarks have not been achieved and remedial action
is required in order to confirm the student’s registration, for which a
short period of time will be granted but the overall submission date will
not change;
 The student should be de-registered on the grounds of insufficient
academic progress.
If the student is required to complete remedial work, they should be encouraged
to start this straight away and not wait for formal notice of the probation outcome
from the Research Degrees Office. A plan and schedule for the work should be
included on this form.
The report will then be sent to the Research Degrees Office, for consideration
and final approval by the Research Degrees Management team (directly
registered students) or the relevant faculty (ARC students). The Research
Degrees office confirms the outcome to the student / ARC Research degrees coordinator, sends directly registered students a copy of the final report, and
updates the student’s record. The ARC Research Degrees Co-ordinator should
communicate the outcome to ARC students.
If remedial action was required, the supervisors must report back to the
Associate Dean (Research) / ARC Research degree co-ordinator, who can then
re-send this form to the Research Degrees Office with the relevant box checked
on page 8.
Guidance notes are available to help ensure academic staff can support any
student failing to make satisfactory academic progress (See ‘Managing
unsatisfactory academic progress’ below). Weak or underperforming students
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will not be permitted to progress to the next year of research degree registration.
Where the student falls short of the probation benchmarks, a programme of
remedial action should be drawn up, and progress closely monitored in
accordance with the procedures for managing unsatisfactory progress. If the
student still fails to achieve the probation benchmarks in the approved
timeframe, the recommended outcome should be de-registration.
Resources
For advice and support on the probation assessment process please contact the
Research Degrees Office on 01908 654882 or email research-degreesteam@open.ac.uk (directly registered students) / research-degrees-arcse@open.ac.uk (ARC students)
This form can be downloaded from http://www.open.ac.uk/research/researchdegrees/forms-and-guidance-notes.php
Information, advice and training on probation assessment are provided for
students at mandatory induction events and in the student handbook at
http://www3.open.ac.uk/res-handbook/index.shtml for directly registered
students, and http://www3.open.ac.uk/arc-handbook/ for ARC students.
Guidelines on managing unsatisfactory academic progress, the submission of a
thesis with a non-book component, and third party monitoring, are all at:
http://www.open.ac.uk/research/research-degrees/directly-registeredstudents/student-progress.php (directly registered students) and
http://www.open.ac.uk/research/research-degrees/affiliated-research-centreprogramme/guidance-notes.php (ARC students)
Guidance for students, supervisors and assessors is also available on the
Research Degrees Skills site at http://rdskills.open.ac.uk
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Research Degrees Probation report form
Name of student
Personal identifier
Affiliated Research Centre (ARC)
(if applicable)
Registration date
Programme of study (check box)
MPhil/PhD
MRes*
*Directly-registered students only
Discipline
Mode of study (check box)
Full time
Part time
Thesis title
Details of any periods of suspended registration
or other absence
Supervisor(s)
Director of Studies (ARC students only)
Third party monitor
Date of last meeting with TPM
Mini viva assessors
Associate Dean (Research) (or delegate)
(directly registered students)
OR
ARC Research Degrees Co-ordinator
(ARC students)
Section A: Progress during probation period
To be completed by the student, in consultation with supervisor(s).
Please summarise your achievements since registration, and areas where you need further development.
It may be helpful to refer back to previous progress reports
Activity
Dates completed
Student’s comments on outputs, benefits and
progress
Formal supervision
meetings
Academic Unit /
Discipline / Research
Group induction
events (if applicable)
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University / ARC
induction events
Meeting with third
party monitor
Project report
Skills audit
Training and
development plan
(cross-reference OU
courses if applicable, e.g.
STM895, U501)
Oral presentation
Mini viva
Section B: Performance objectives and skills development targets
To be completed by the student
What are your key objectives for the next
progress monitoring period? If you are directly
registered with the Open University, this will
cover the next six months. If you are registered
in an ARC, it will be twelve months.
Include:

Research activities

Skills development (based on your training
and development plan)

Agreed performance targets and dates for
completion
Are you intending to include a non-book
component in your thesis?
Yes
No
(Regulation 6.2.2 applies)
If yes, how will the non-book component locate
and exemplify the ideas developed in the thesis?
Directly registered students only
Have any of your personal details (address,
email address, telephone number) changed
since you registered? If so please tell us here.
Now email this form to your supervisors
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Section C: Evaluation of the project report
To be completed by the supervision team. For directly registered students, one supervisor can
write and submit the report, but it must be a result of a collaborative discussion between all
members of the supervision team. For Affiliated Research Centre students, where a supervisor is
based outside of the ARC, s/he must submit an additional individual assessment with this form.
Where the ARC Research Degree Co-ordinator is also the Director of Studies, a report from the
other supervisors is required.
Has the student achieved the probation
benchmarks?
Yes
No
Has the need for ethical review been discussed?
Yes
No
Is ethical approval required for the research?
Yes
No
If Yes, has ethical approval been granted?
Yes
No
If ‘No’, what must he/she do to successfully
complete their probation?
Remedial action must be completed by 14
months (full-time students) / 28 months (parttime students) of registration. The final thesis
submission date is not extended unless a
separate case for suspended registration has
been approved. The student should start work
straight away. Please include an outline plan for
the remedial work and timescales for completion.
Please give an evaluative commentary and any
feedback about their probationary period and
overall achievements / areas for development
which will be useful to the student and which will
be recorded as the formal record of the probation
assessment.
If Yes, please give
Ethics Committee reference number:
OR
Copy of ethical approval:
Attached to this form
Provided previously
Are there any changes to the student’s
registration, e.g. changes to the supervision
team, or the title of the research topic? If Yes,
please give details
Now email this form to the mini viva assessors
Section D: Evaluation of the mini viva
To be completed by the independent mini viva assessors
Has the student achieved satisfactory academic
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Yes – recommended to register for PhD
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Yes – recommended to register for MPhil
progress?
No – recommended remedial action
No – de-registration recommended
If remedial action is required, describe what the
student must do in order to successfully
complete their probation.
Remedial action must be completed by 14
months (full-time students) / 28 months (parttime students) of registration. The final thesis
submission date is not extended unless a
separate case for suspended registration has
been approved. The student should start work
straight away. Please include an outline plan for
the remedial work and timescales for completion.
Please provide a report evaluating the student’s
performance at the mini viva and any feedback
that may be useful to the student
Names of the independent mini-viva assessors
Assessor 1:
Assessor 2:
Now email this form to the Associate Dean (Research) or delegate (directly registered students), or ARC
Research Degrees Co-ordinator (ARC students)
Section E: Recommendation
To be completed by the Associate Dean (Research) or delegate (directly registered students) or
ARC Research Degrees Co-ordinator (ARC students)
Yes – recommend registration for PhD
Please confirm if the student has achieved
satisfactory academic progress
Yes – recommend registration for MPhil
No – recommend remedial action
No – de-registration recommended
Please report on the student’s progress during
probation. If the student has not achieved the
probation benchmarks, please comment on the
remedial action required. The deadline for
remedial action and submission of a revised
probation form is 14 months (full-time) / 28
months (part-time) from registration.
If the student was required to complete
remedial action and you are re-submitting
this form:
Remedial action has now been completed
satisfactorily – recommend registration for PhD
Remedial action has now been completed
satisfactorily – recommend registration for MPhil
Remedial action has not been completed
satisfactorily – de-registration recommended
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Name and position of person endorsing this
recommendation
Associate Dean (Research) or delegate (directly
registered students)
ARC Research Degrees Co-ordinator (ARC students)
Date of submission of final form to Research
Degrees Office
ARC Research degrees co-ordinator please
confirm a final copy of this report has been sent
to the student
Now email this form to the Research Degrees Office.
For students in ARCs, attach a copy of the student’s project report.
All probation reports are subject to final approval by the Research Degrees Office (directly registered
students) or the relevant faculty (ARC students). The Research Degrees office confirms the outcome,
sends directly-registered students a copy of the final report, and updates the student’s record.
FOR RESEARCH DEGREES OFFICE USE
Register for PhD
Register for MPhil
Remedial action required (described above)
De-register student
Name and position of signatory
in Research Degrees Office
Date
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