School of Earth and Environment

The PhD Transfer/Upgrade Process and Viva

Guidance for Staff and PhD Researchers

INTRODUCTION

  • The transfer process and viva is a critical stage in any PhD researcher’s study. It determines whether or not a researcher has shown sufficient ability, dedication, and drive to have an excellent chance of completing and successfully defending their PhD thesis within the normal time frame allowed for full or part time study.
  • The quality bar which PhDs have to reach must be clearly communicated to each researcher by the supervisory panel and it should be strictly enforced. Supervisors should not permit weak researchers to progress beyond this stage.
  • The date for the transfer viva should be agreed no later than at the 6 months progression meeting.
  • The transfer process should BEGIN 9 MONTHS after the commencement of study for full time researchers (pro rata for part time study).
  • It must be completed WITHIN 12 MONTHS of the commencement of study for full time researchers (pro rata for part-time study).

RESPONSIBILITIES

The Postgraduate Researcher must:

  1. have given a talk on their PhD topic to their Institute prior to their transfer viva;
  2. have submitted a report or a draft of a manuscript/submitted/published paper which clearly demonstrates progress to date. This material must exclusively be a product of the research being conducted by the researcher as part of their PhD. No other material is permissible. The report/manuscript should be submitted on the on-line PDR for access by full Transfer Panel 2 weeks prior to the date of the viva. The ‘Statement of Academic Integrity’ form should be signed and submitted with the report to confirm that the work has been completed by the researcher;
  3. provide a list of training undertaken so far and requirements for the future;
  4. provide a publication plan;
  5. attend the viva.

The Supervisor(s) must:

  1. with reference to the outcomes of the 6 months progression meeting (which should have documented the steps required to ensure a successful transfer), ensure that the researcher is clearly aware of what will be required of them scientifically to pass the transfer viva before the viva itself;
  2. ensure that as many Transfer Panel members as possible attend the researcher’s transfer talk;
  3. read and comment on the researcher’s report or manuscript/paper prior to the viva;
  4. conduct a formal viva which is to be Chaired by an ‘Approved’ Transfer Chair and include a Transfer Examiner (an approved Chair can also act as a Transfer Examiner in a dual role). It is the Transfer Examiner that makes the decision on whether a researcher passes the viva, not the supervisor(s);
  5. provide an opportunity for the researcher to discuss any issues around supervision or other complicating factors which may have a bearing on the outcome of the viva, confidentially, with the Transfer Chair, prior to the viva itself;
  6. complete and sign the transfer viva recommendation form, giving the original to the PGR office no later than 2 weeks after the viva has been held.

THE TRANSFER REPORT

For postgraduate researchers preparing a transfer report the following guidelines should be followed. The report should:

  1. not exceed 5000 words (excluding references, figure and table captions, abbreviations, contents pages and appendices);
  2. clearly state the rationale for the work;
  3. succinctly and clearly state the specific aim and objectives of the project;
  4. for the project aim and objectives, clearly relate to a number of specific and testable hypotheses;
  5. provide a succinct summary of the relevant literature and show evidence of critical ability in the assessment of previous work;
  6. document the methods used or to be used in the project;
  7. present the results to date and summarize their significance and potential weaknesses;
  8. outline a clear pathway for the 2nd year of study and beyond;
  9. include a publication plan;
  10. include a summary of training undertaken and still required.

Set out above is the default solution for transfer reports. If supervisors would like their researchers to prepare a report with a different format or length, the Primary Supervisor should make a case to the PGRT, immediately following the 6 months progression meeting, explaining the reasoning behind this and seeking clearance, in advance of notifying the researcher of a change in requirements.

For more information on the Guidelines on University Procedures and Recommended Best Practice for Members of a Transfer Panel visit

Formal Assessment Reporting

Paperwork to be completed

  1. First Formal Progress Report: Form to be completed by researcher and by supervisor, before being uploaded onto the PDR. This should be completed 6 months after commencement of study for full-time researchers and 9months after commencement of study for part-time study.
  1. Progress Report: Transfer stage: Form to be completed by researcher and by supervisor, before being uploaded onto the PDR, for review by the Transfer panel before the Transfer viva.
  1. Joint Report of the Transfer Assessment Panel: Form to be completed by the Transfer Examiner and the Transfer Chair, signed, and then handed to the PGRA.

All of the above forms are available at: