ASSESSMENT (COURSEWORK, TESTS AND
EXAMINATIONS) POLICY
Application
This policy document applies to all staff members and students in undergraduate and
postgraduate taught courses. Separate policy documents govern the assessment of
postgraduate research and doctoral students.
Purpose
The purpose of this policy is to ensure that the processes of assessment in
undergraduate and postgraduate taught courses align with the University’s principles of
assessment.
This policy should be read with the Assessment (Coursework, Tests and Examinations)
Procedures (the “Procedures”).
Principles of Assessment
1.  Assessment is learning-oriented through tasks which require the understanding,
analysis, synthesis and/or creation of new information, concepts, and/or creative
works.
2.  Assessment design is coherent and supports learning progression within courses
and across programmes.
3.  Assessment tasks are demonstrably aligned with course-level learning outcomes,
and programme and University-level Graduate Profiles.
4.  Assessment is reliable and valid, and is carried out in a manner that is inclusive
and equitable.
5.  Assessment practices are consistent and transparent, and assessment details are
made available to students in a timely manner.
6.  Feedback is timely and provides meaningful guidance to support independent
learning
7.  Assessment design and practices support academic integrity.
8.  Professional development opportunities and guidance related to the design,
implementation and moderation of assessment are available to staff.
9.  Assessment is manageable and quality assured.
10. Assessment items are the property of the University; this includes: examination
papers; students’ completed examination scripts and other items of assessment;
marking guides; and students’ marks.
Policy
Roles and Responsibilities
1.
The Associate Dean Learning and Teaching (ADLT) must ensure that all
academic teaching units in the faculty consistently meet the standards required for
assessment of student learning.
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2.
An academic head must ensure that the academic unit meets the quality
standards required by the University for assessment of student learning; this
includes the nomination of Course Directors, Examiners and Assessors.
•  A Programme Leader may be delegated the responsibilities of an
academic head for courses offered in a specific programme.
3.
A Course Director must oversee design of assessment processes to ensure that
assessments are relevant and aligned with learning outcomes; that the assessment
complies with all aspects of policy; and that:
•  The structure of assessment is available to all students at the start of
semester.
•  Appropriate support and supervision is provided for those in a marking role;
and must ensure the availability of and access to assessment materials and
marking guides, as determined by the academic head.
4.
A Course Coordinator is responsible for the administration and organisation of the
course and its assessment acting in conjunction with, and under the supervision of,
the Course Director.
•  Note: Course Director and Course Coordinator roles will often be combined
in one person; where the Course Coordinator is referred to hereafter this
refers to situations where the roles are held by separate individuals.
5.
An Examiner for undergraduate and postgraduate taught courses is responsible
for: •  Setting course assessment(s), including the preparation of question papers
•  Marking course assessment(s), including supervising other markers such as
tutors and teaching assistants
•  Ensuring that marking guides are accessible to all course examiners and the
assessor
•  Certifying the final grades
•  Confirming the quality and fairness of results through participation in the
examiners’ meeting
Note: The Course Director is simultaneously an Examiner and counts as one of the
Examiners for the course.
6.
An Assessor for undergraduate or postgraduate taught courses is responsible for
maintaining appropriate and adequate academic standards for all aspects of the
assessment process, and provides an independent quality review of assessments
and results.
▪  An Assessor must be appointed for any undergraduate or taught postgraduate
course which has only one Examiner.
▪  Where required at undergraduate level, an Assessor is normally appointed from
within the University but may be external.
▪  Assessors for postgraduate Bachelors Honours, Postgraduate Diploma and
Certificate and Masters courses should normally be external to the University, but
there may be instances where internal appointments are necessary because of
expertise in the field or where the course is subject to a process of external
moderation.
▪  The appointment of an overseas assessor is appropriate where there is no
suitable assessor in New Zealand.
▪  Financial considerations preclude an overseas assessor being invited to visit New
Zealand.
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▪  Course Directors, Course Coordinators and Examiners cannot be appointed as
assessors in the same course.
7.
An external Moderator for postgraduate taught work must undertake, for all or
some postgraduate courses taught by an academic unit, a review of the content
and grading of examination papers and/or (a sample of) other assessed work.
8.
Assessment Services manages, maintains, coordinates, advises and reports on
assessment processes and examinations, and provides academic units with support
and guidance (see Assessment (Coursework, Tests and Examinations) Procedures).
Assessment design
9.
Assessment is criterion-referenced, i.e. judgements about the quality of
students’ performance must be made by reference to explicit or predetermined
criteria and standards.
10.  Assessment design must be considered in the context of:
▪  The course and its learning outcomes.  Assessment in all courses must
demonstrate coherence and a consideration of learning progression
▪  The entire degree programme and programme graduate profiles
▪  University graduate profiles
Note: in programmes where students may choose multiple pathways for progression,
faculties have discretion to determine the ways in which assessment design across
the programme is as holistic as possible.
11.  Assessment tasks will reflect increasing levels of complexity through a programme.
12.  Except where it is necessary to test basic conceptual understanding, assessment
tasks will be authentic and appropriate to disciplinary and/or professional
contexts.
13.  Allowing for disciplinary and or professional contexts, the range and weighting of
assessment tasks must give students an opportunity to develop competence
through formative tasks, and demonstrate mastery through summative tasks.
14.  A variety of assessment tasks including, where appropriate, peer-, self- and group-
assessment, will be used to provide students with a range of appropriate learning
opportunities.
15.  The timing of assessment components, where possible, must consider student
workloads, coherent learning progression, and provide sufficient opportunities to
utilise feedback/feedforward.  Students must have the opportunity to complete
an early appropriately-weighted or formative assessment exercise, which may vary
in scope and type across discipline or class size.  Feedback/feedforward on this
exercise must be received in time to assist students in preparing for their first
substantive assessment in the course.
16.  Assessment tasks must ensure that students with disabilities are provided with
appropriate opportunities to demonstrate their achievement of learning outcomes.
Note: see Inclusive Learning and Teaching of Students with Impairments Guidelines.
17.  Assessment tasks must be designed to develop students’ awareness of and a
capacity for academic integrity.
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18.  Group assessment tasks must be demonstrably fair and clear.  To ensure an
appropriate component of group work assessment is individually assessed: where
an individual group work task has a weighting of higher than 30% of the final
grade, a minimum component of 40% must assess individual contribution; where
group work tasks across a course comprise more than 30% of the final grade, a
minimum component of 40% (calculated across those tasks) must assess individual
contribution.  Exceptions must be approved by Education Committee (see
Assessment (Coursework, Tests And Examinations) Procedures).
19.  Tests which count toward the final result for a course will be conducted under
examination conditions.
20.  For stage one courses at least 50% of course assessment must occur in invigilated
settings, normally achieved through formal examinations and/or tests sat under
examination conditions.  Exceptions must be approved by Education Committee
(see Assessment (Coursework, Tests And Examinations) Procedures).
21.  To ensure diversity of assessment no more than 70% of weighted assessment
tasks may be exams and/or tests conducted under examination conditions.
▪  Forms of plussage should only be used where it is appropriate to the structure of
course assessment and the learning outcomes to which they relate.
▪  The use of plussage in a course must be approved by an Associate Dean Learning
and Teaching.
▪  Where plussage is employed, a minimum of 30% of the final grade must be
derived from coursework unless an exception is approved by an Associate Dean
Learning and Teaching.
22.  Tests with a weighting higher than 20%, including take-home tests, must not be
conducted in the final week of teaching, unless justified by the distinctive
requirements of the course.
▪  Exceptions are subject to the approval of an Associate Dean Learning and
Teaching.
23.  Examinations at stage one will normally be two hours in length.  In determining the
length of the examination Course Directors must consider the needs of students
and the appropriate scope of the examination, relative to course content and the
need for diversity of assessment.
24.  Where different levels of courses are taught concurrently the courses must be
assessed separately, with different assignments and examinations set for each
level using methods and standards appropriate to the level of enrolment.
See Concurrent Teaching Policy
25.  Coursework assessment, tests and examination details must be approved by the
Academic Head (or delegate) and are reviewed and approved through the online
Course View application managed by Assessment Services (see Assessment
(Coursework, Tests And Examinations) Procedures).
Language of assessment
26.  Assessment is conducted in English except where:
▪  The use of another language is a required part of the course.
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▪  Students with an appropriate level of language fluency have made provision to
use te reo Māori in assessments, for coursework, tests and/or examinations.
Note: see Assessing Te Reo Māori in Coursework and Examinations Procedures.

Feedback on coursework
27.  Feedback to students must specifically address performance against the learning
outcomes and criteria of the assessment task.
28.  Feedback must be provided in a timely manner and no later than three weeks after
the day the assessment was submitted, or sooner when the feedback is required to
prepare for subsequent assessments.
Note: this clause does not apply to the early assessment requirement described in
item 15.
29.  Where a coursework task or test result is relevant to the students’ preparation for
the final examination, it must be marked and available to students by the end of
the last teaching week of semester (except where an approved test is conducted in
the last teaching week of semester).
30.  In peer, self or group- assessment exercises staff must provide guidance to
support students’ understanding of their responsibilities when evaluating their own
and others’ work.
Advice to students
31.  Detailed information about assessments for each course must be available in the
Canvas course outline and published no later than two weeks prior to the start of
teaching.  This will include:
▪  The intended learning outcomes to be assessed
▪  An assessment table, with: (i) a description of the assessment tasks (ii) the
weighting of items; (iii) the due date for submission or testing; (iv) the mode of
examination (digital or paper-based); (v) the conditions under which the
examination will be sat (if relevant) and (vi) information about minimum pass
requirements and plussage, where applicable
Note: see item 21 relating to plussage.
▪  The conditions for extensions of time (if any)
▪  Penalties for lateness or violation of assessment specifications (e.g. length)
32.  Students must be provided with the criteria against which performance will be
measured at the time an assessment is set.
33.  Substantive changes to assessment arrangements in a course cannot be made
after the publication of the course on Canvas without approval as specified in the
Assessment (Coursework, Tests And Examinations) Procedures.
34.  Examination papers from previous iterations of a course must be available to
students on the Libraries and Learning Services Exam Papers database unless an
exemption is approved by the Pro Vice-Chancellor (Education).
Examinations for taught courses
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35.  Examinations are prepared, approved and conducted according to the Examination
Regulations and the Assessment (Coursework, Tests And Examination s)
Procedures.
Marking assessment items
36.  Coursework assessment and tests must be marked against the standards and
criteria set for each assessment task.
37.  Marks and grades awarded must align with the University’s grade descriptors.
38.  Adjustment of marks for coursework, tests and examinations in taught courses
may be undertaken where it is evident that the assessment criteria and standards
have not been consistently applied in an individual assessment task.
39.  Students affected by any such adjustments must be advised as to the rationale for
adjustment of marks.  Records must be kept within the academic unit. and the
Associate Dean Academic will report on these instances to Education Committee.
Final marks and grades
40.  Final results will be expressed as a letter grade, with a corresponding numerical
mark, as outlined in the University’s grade descriptors.
41.  A pass mark is 50 percent or more.
42.  Use of a 0.5 rounding scheme is considered a standard practice and must be
applied consistently within programmes.
43.  Final marks on grade or pass/fail boundaries may be reviewed by the Examiners on
a case-by-case basis.
44.  The attainment descriptors may be adapted to different levels of learning or degree
study.
45.  Education Committee must approve a course to carry an ungraded pass/fail result
and may do so where:
▪  The course involves a substantial amount of practical work (a minimum of 60
percent) which is carried out over a period of time in which the student is
expected to acquire knowledge, understanding and skills to a required standard.
A fail indicates that the student’s performance is below the minimum level of
competence.
▪  The course is a required part of a programme but carries no points.
46.  Ungraded passes do not carry a grade point and are not included in Grade Point
Average calculations.
47.  All undergraduate or taught postgraduate coursework and test results must be
returned electronically to students via Canvas.
Moderation
48.  Academic units must have documented processes in place to ensure the
appropriate validity, moderation and approval of results for undergraduate and
postgraduate taught courses, before finalisation of marks and grades.  This may
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include:
▪  The use of marking guides
▪  Reviewing a sample of work
▪  Reviewing borderline results
▪  Statistical analysis
49.  External moderation of postgraduate (non-doctoral) coursework will take place on a
two or three-year cycle. See Assessment (Coursework, Tests And Examinations)
Procedures.
Academic misconduct
50.  Most students starting a new programme at the University of Auckland are required
to complete the online Academic Integrity Course.
Note: see Section 12, Enrolment and Programme Regulations for exclusions.
51.  The following text must be included in all course outlines:
‘The University of Auckland will not tolerate cheating, or assisting others to cheat,
and views cheating in coursework, tests and examinations as a serious academic
offence.  The work that a student submits for grading must be the student's own
work, reflecting their learning.  Where work from other sources is used, it must be
properly acknowledged and referenced.  A student's assessed work may be
reviewed against electronic source material using computerised detection
mechanisms.  Upon reasonable request, students may be required to provide an
electronic version of their work for computerised review’.
52.  All instances where there is evidence of academic misconduct in undergraduate
or taught postgraduate coursework, tests or an examination must be dealt with
under the provisions of the Student Academic Conduct Statute.
Quality assurance of assessment
53.  Academic units must have a process to review and certify course outcomes, and
processes for monitoring assessment standards and consistency in coursework,
tests, and examinations (see Assessment (Coursework, Tests And Examinations)
Procedures).
Storage and retention of coursework
54.  Academic units must have processes to ensure the secure storage of assessment
questions and records.
55.  Academic units must retain coursework assessment and tests until the nominated
period for collection of work, or resolution of disputed marks, has elapsed.
Grievance and appeal procedures
56.  Students have the right to query an assessment process in coursework or in a test
that they believe to be unfair.  See Resolution of Student Academic Complaints and
Disputes Statute.
Definitions
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Academic head means heads of departments, schools and other teaching and research
units; or a delegate such as a programme leader.
Academic integrity means the honesty that is presumed when a student submits their
work for assessment. It is a key foundation to being a member of the University’s
academic community and rests upon shared values such as trust, responsibility, fairness
and respect.
Academic misconduct means dishonest or inappropriate practices occurring in the
preparation and submission of coursework, in a test, or in the context of University
examinations.
Assessment means the ongoing process of: establishing clear, measurable expected
outcomes of student learning; ensuring that students have sufficient opportunities to
achieve those outcomes; systematically gathering, analysing and interpreting evidence
to determine how well student learning matches outcomes or expectations; using the
resulting information to understand and improve student learning. For the purposes of
this Policy, assessment includes:
•  assignments during the teaching of a course, normally called coursework
•  practical, aural and oral work
•  written tests conducted under examination conditions
•  ongoing assessment of competence or performance
•  written (or performance) examination normally conducted at the end of the
semester or year
Associate Dean Academic is responsible for their faculty's academic programmes,
overseeing quality assurance and providing policy and strategic advice on both new and
current academic programmes and qualifications.
Associate Dean Learning and Teaching is responsible for the overall development of
learning and teaching in the faculty, including providing policy and strategic advice to
ensure that the faculty creates and fosters an environment that enables a positive
student experience.
Authentic assessment is a form of assessment in which students are asked to perform
real-world tasks to demonstrate meaningful application of essential knowledge and skills.
Canvas means the University’s Learning Management system.
Course Coordinators are responsible for the administration and organisation of the
course and its assessment acting in conjunction with, and under the supervision of, the
Course Director.
Course Directors are responsible for the overall design and management of the course
to ensure that course design, assessment and delivery support learning outcomes and
are aligned to the relevant programme graduate profile.
Coursework means assessed components (such as assignments) within a unit of study
and does not include tests conducted under examination conditions.  In the case of
practice disciplines, assessment components may involve ongoing assessment of
competence or performance.
Criteria means the properties or characteristics by which the quality of something may
be judged.
Criterion-referenced means that judgements about student performance are based on
pre-determined standards and criteria and linked to specified course learning objectives.
Examination conditions means a formal assessment under a specified mode that is
normally invigilated and without access to any written, printed or digital resources unless
permitted by direction of the Examiner.
Feedback/feedforward means the provision of information in such a manner that
students are able to improve their work, knowledge, or competence in later
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assessments.
Formative assessment means any assessment practice carried out early enough in a
course with the purpose of providing students feedback that enables them to develop
their learning. An important goal is to enable students to develop the capacity to
realistically and verifiably evaluate the effectiveness of their learning strategies and
outcomes. Formative assessment should also alert teachers to any aspects of the course
or approaches to teaching with which students are having difficulties, and permit
modifications that mitigate those difficulties. Formative assessment may be weighted or
unweighted.
Grade descriptors mean the characteristics of performance for assessed items of work
in taught courses. See: University grade descriptors for undergraduate and postgraduate
taught courses.
Grade Point Average means an average calculated using a scale to give each grade
received a numerical value.  ‘Withdrawals’, ‘did not sit’ and ‘did not complete’ results are
counted as zero.
Learning progression means the description of a continuum of skills, knowledge, and
competencies within a course and across a programme that can be mapped to standards
or qualities of learning outcomes.
Marking guides - for the purpose of this policy - include rubrics, assessment criteria,
marking schemes, exemplars, criterion-referenced guides prepared for students, and any
tool or scheme used to assist in the marking of items of assessment.
Moderation (for undergraduate and taught postgraduate courses) means activities
undertaken to provide confirmation that assessment has been conducted reliably, fairly,
and validly and that assessment scores or grades have been dependably calculated or
awarded.
Plussage as defined by this policy is a method of calculating marks a student has
gained in a taught course by counting either: an examination or test mark; or a
combination of exam, test and coursework marks; whichever is to the student’s
advantage.  Additional requirements for eligibility for plussage may apply, including for
example: a minimum result required in the examination; a minimum standard for
completion of coursework; and/or attendance at laboratories or tutorials.
Note  -  an  assessment  arrangement  where  an  agreed  subset  of  coursework  marks  is
counted  towards  the  final  grade  (e.g.  best  eight  of  ten  quiz  results)  is  not  considered
plussage.
Programme leader means a programme director, major or specialisation leader, or an
equivalent with defined responsibilities for a specific programme.
Standards are a definite level of achievement aspired to or attained.
Substantive changes to assessment means a change to an assessment task type,
the weighting of an assessment task, or advancing the deadline of the assessment tasks.
Summative assessment means a judgment regarding each student’s level of
achievement for any given assignment. The results of this type of assessment are
generally expressed as marks, percentages, grades, or qualifications. Summative
assessment may be defined as a measure of a student’s performance or level of
achievement at the end of a unit of study.
Tutors include staff teaching under supervision, such as Graduate Teaching Assistants
and Teaching Assistants.
Teaching staff refers to an individual employed by the University on a full or part-time
basis to provide instruction to students in taught courses.
University means Waipapa Taumata Rau - University of Auckland and includes all
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subsidiaries.
University Graduate Profiles means a set of attributes attainable by graduates of the
University of Auckland.
Weighting (of assessment) means the percentage of the total assessment for the
course allocated to an assessment task.
Key relevant documents
•  Assessment (Coursework, Tests and Examination) Procedures
•  Assessing Te Reo Māori in Coursework and Examinations Procedures
•  Concurrent Teaching Policy
•  Examination Regulations
•  Inclusive Learning and Teaching of Students with Impairments Guidelines
•  Omnibus Amendment Statute 2023
•  Resolution of Student Academic Complaints and Disputes Statute
•  Student Academic Conduct Statute
•  Student Charter
•  Student Retention Policy
•  University grade descriptors for undergraduate and postgraduate taught courses
•  University Graduate Profiles
Document management and control
Owner: Pro Vice-Chancellor Education
Content manager: Manager, Academic Quality Office
Approved by: Council
Date approved: 18 May 2023
Review date: 18 May 2028
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Document Outline