Appendix I:

Guidelines to apply on conflict of interest for examination of higher degree by research thesis

In developing these guidelines we acknowledge, with thanks, the input of the Board of the Graduate Research School, University of Western Australia

To ensure independence of the examination process, an examiner should not be nominated to examine a higher degree by research thesis if there is the potential for a conflict of interest with the student, supervisor, university, subject matter or with another examiner. There are a range of circumstances which can lead to a conflict of interest.

1. Conflict of interest with the candidate

1.1 Personal and/or legal relationships between the potential examiner and the candidate which would constitute a conflict of interest:

  • Proposed examiner is related to the candidate
  • Proposed examiner is a friend or mentor of the candidate or has a social relationship with the candidate which could give rise to a conflict of interest
  • Proposed examiner has a personal relationship of enmity with the candidate
  • Proposed examiner and the candidate have an existing or a previous emotional relationship of de facto, are co-residents or are members of a common household
  • Proposed examiner is or was married to the candidate
  • Proposed examiner is legally family to the candidate, for example step-mother or step-father
  • Proposed examiner is a legal guardian of the candidate
  • Proposed examiner is a legal dependent of the candidate ' Proposed examiner has power of attorney for the candidate

1.2 Working and/or professional relationships between the potential examiner and the candidate which would constitute a conflict of interest:

  • Proposed examiner has co-authored a paper with the candidate
  • Proposed examiner has worked with the candidate on matters of analysis or synthesis
  • Proposed examiner has provided funds to the candidate
  • Proposed examiner has edited or refereed a paper published by the candidate
  • Proposed examiner is, has been in the past, or is negotiating to be in the future, the candidate’s direct employer or employee
  • Proposed examiner has acted as a referee for the candidate for employment
  • Proposed examiner has a professional relationship with the candidate, for example shared membership of a Board Committee

2. Conflict of interest with the supervisor

2.1 Personal and/or legal relationships between the potential examiner and the supervisor which would constitute a conflict of interest:

  • Proposed examiner is related to the supervisor
  • Proposed examiner is a friend of the supervisor or has a social relationship with the supervisor which could give rise to a conflict of interest
  • Proposed examiner has a personal relationship of enmity with the supervisor
  • Proposed examiner and the supervisor have an existing or a previous emotional relationship of de facto, are co-residents or are members of a common household
  • Proposed examiner is or was married to the supervisor
  • Proposed examiner is legally family to the supervisor, for example step-mother or step-father
  • Proposed examiner is a legal guardian of the supervisor
  • Proposed examiner is a legal dependent of the supervisor
  • Proposed examiner has power of attorney for the supervisor

2.2 Working and/or professional relationships between the potential examiner and the supervisor which would constitute a conflict of interest:

  • Proposed examiner has co-authored a paper with the supervisor in the last five years
  • Proposed examiner was a student of the supervisor in the last five years
  • Proposed examiner holds a current grant with the supervisor
  • Proposed examiner has co-supervised with the supervisor in the last five years
  • Proposed examiner holds a patent with the supervisor
  • Proposed examiner is, has been in the past, or is negotiating to be in the future, the supervisor’s direct employer or employee
  • Proposed examiner is in a business relationship (past or present) with the supervisor, for example partners in a small business
  • Proposed examiner has a professional relationship with the supervisor, for example shared membership of a Board Committee

3. Conflict of interest with the university

The following situations would constitute a conflict of interest:

  • Proposed examiner has worked for the university in the last five years
  • Proposed examiner is currently in negotiation with the university for a work contract
  • Proposed examiner is currently working for the university pro bono
  • Proposed examiner has examined for the university more than twice in the past 12 months
  • Proposed examiner has a visiting, adjunct or emeritus position with the university
  • Proposed examiner holds a current professional relationship with the university, for example membership of a board or committee
  • Proposed examiner has received an honorary doctorate from the university
  • Proposed examiner has graduated from the university in the last five years
  • Proposed examiner has a current or had a known formal grievance with the university

4. Conflict of interest with the subject matter

The following situations would constitute a conflict of interest:

  • Proposed examiner has published work critical of the candidates approach (naming the candidate/supervisor)
  • Proposed examiner has a direct commercial interest in the outcomes of the work
  • Proposed examiner has spoken publicly in a critical way about the candidates approach (naming the candidate/supervisor)

5. Conflict of interest with other examiners

The following situations would constitute a conflict of interest:
  • Proposed examiner works in the same department and institution as another examiner
  • Proposed examiner is married to, closely related to or has a close personal or professional relationship with another examiner

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