2016
Examinations and Timetable Services Ofﬁ ce
Instructions to
Examiners and Assessors

Deadline dates for submission of information to the Examinations and Timetable
Services Ofﬁ ce
Summer School Sem 1
Sem 2
Q1
Q 2
Q 3
Q 4
Coursework and
11 Dec
26 Feb
15 Jul
18 Dec
25 Mar
17 Jun
09 Sep
Examination Details
(for 2016)
(for 2016)
09 Dec
16 Dec
(for 2017)
(for 2017)
Nominations for
08 Jan
11 Mar
29 Jul
15 Jan
15 Apr
08 Jul
30 Sep
Examiners and Assessors
Question Paper
Submission:
Papers in Week 1
03 Feb
16 May
03 Oct
(Thu–Sat)
Papers in Week 2
23 May
10 Oct
(Mon–Sat)
Papers in Week 3
30 May
17 Oct
(Mon–Mon)
Quarters
09 Mar
08 Jun
31 Aug
23 Nov
Examinations begin
15 Feb
09 Jun
27 Oct
19 Mar
18 Jun
10 Sept
03 Dec
Examinations end
17 Feb
27 Jun
14 Nov
Final deadline for
23 Feb
07 Jul
24 Nov
30 Mar
28 Jun
20 Sep
13 Dec
results submission
Examination staff contacts – City Campus
Darren Woodward
Examinations and Timetabling Services Manager
87407
Mark Thomson
Examination Services Manager
87557
Martin Wilson
Examination Timetable/Supervisors
87749
Victoria Henderson
External Examinations/Supervisors
81373
Sheryl Munro
Examination Papers/Results
81406
Jenna Thorpe
Examination Papers/Results
81403
Chip McKenzie
Out-of-Centre/Out-of-Time Examinations
87176
Sarah Jones
Examinations under Special Conditions/Aegrotats
81405
Examination Centres during the examinations
City Campus
Enquiries
87737
Epsom Campus
Sue Wightman
48209
Manukau Campus
Enquiries
87176
Tai Tokerau Campus
Enquiries
87176
Tāmaki Campus
Derrick McKee /Robyn Marshall
87581/2
Editor: Mark Thomson, Examinations and Timetable Services Ofﬁ ce

Contents
General
3
Purpose
3
Scope
3
Requirement to sit an examination
3
Notiﬁ cation
3
Conﬁ dentiality
3
Security
3
The use of Māori for assessment purposes
3
Roles and responsibilities
5
Coursework 13
Procedure
13
Guidelines
13
Advice to students
13
Format
14
Management
14
Examinations for taught courses
15
Preparation of question papers
15
Layout of question papers
15
Deadlines for submission of question papers
15
Format
15
Questions announced in advance
15
Book details for examinations
16
Electronic calculators
17
Changes to standard format
18
Special examination conditions
18
Out of time and out of centre examinations
18
Music performance examinations
19
Marking and assessing written examinations
19
Collection of scripts
19
Marking the scripts
20
Illegibility of scripts
20
Award of marks and grades
20
Results
21
Submission of ﬁ nal grades
21
Return of results
22
Signing and approving results
22

Individually assessed results
22
Undergraduate Bachelors Honours results
22
Discrepancies
22
Changes to results
23
Deadlines for results submission
23
Disputed results
24
Conceded passes
25
Deferred results
25
Announcement and publication
26
Recount of marks
26
Aegrotat and compassionate consideration
26
Scope
26
Advice to students
27
Sitting examinations
27
Method of application
27
Processing applications
28
Academic requirements for aegrotat and compassionate grades
28
Notiﬁ cation of outcome
29
Reconsideration of applications
29
Written tests
29
Deferred examinations (clinical and performance)
30
Special pass consideration for missed examinations
30
Availability of examination scripts
31
Storage and disposal of examination material
31
Examining theses, dissertations, research portfolios and projects
32
The appointment of examiners, examination committees and assessors for theses, research portfolios,
dissertations and research projects
32
Examining and assessing dissertations and research projects (with a value of 30 to 80 points) and 90
point research components of Bachelor Honours Postgraduate degrees
33
Examining theses and research portfolios (with a value of 90 points or more), except 90 point research
components of Bachelors Honours Postgraduate degrees
36
Determination of result
37
Disputed results procedure
39
Examiners’ reports – theses and research portfolios
39
Submission of ﬁ nal results
40
Other roles and responsibilities
41
Academic forms and responsibilities
47
This booklet is available online at www.auckland.ac.nz/examinations

General
Purpose
The purpose of this booklet is to provide instructions and information for Academic
Heads, examiners and assessors around the roles and responsibilities of coursework,
examinations and assessment at the University of Auckland.
Scope
Assessment of student learning is carried out in a number of ways at the University
of Auckland:
•  By tests and assignments during the teaching of the course concerned, normally
called coursework
•  By practical, aural and oral work
•  By written (or performance) examination normally conducted at the end of the
semester or year
•  By dissertation, thesis or other research projects.
These instructions are primarily concerned with the last two of these categories.
Requirement to sit an examination
In order to pass a course, a student must have completed to the satisfaction of the
examiners any prescribed examination unless eligible for aegrotat or special pass
consideration.
Notiﬁ cation
Assessment requirements and other course information should be notiﬁ ed to students
in course outlines which are signed off by course directors and forwarded to Academic
Heads.
Conﬁ dentiality
Examiners and assessors must observe strict conﬁ dence in the setting of examination
papers and in the whole marking process. This requirement applies to the marking of
theses and dissertations as well as examination scripts.
Security
Strict security must be maintained at all times:
•  In the preparation and storage of examination papers
•  In the storage and handling of examination scripts.
The use of Māori for assessment purposes
The University endorses the right of its students with an appropriate level of language
ﬂ uency to use Te Reo Māori in course assessments, both for coursework and
examinations. It ensures that competent staff are available to assess work submitted
either fully or partially in Te Reo Māori. Ideally such staff are competent in both Te Reo
and the subject matter of the course.
2016 Instructions to Examiners and Assessors |  3

For courses taught in Te Reo Māori coursework and examinations will be assessed in
Te Reo Māori.
A student may not use Te Reo Māori for coursework or examinations where:
•  a course is taught fully or partly in a language other than English or Māori and
the course requires students to demonstrate their knowledge and understanding
in that language, or
•  where knowledge and understanding in the English language is central to the
objectives of all or part of the course.
Where courses are not taught in Te Reo Māori, students who intend to present all
or part of an examination or coursework in Te Reo Māori are required to give notice
in writing to the course coordinator (or appropriate person) in the relevant faculty
or department. This notice is intended to allow the University time to make suitable
arrangements for marking including translation and external assessment. This notice
should be given within the ﬁ rst week of the semester or the ﬁ rst week of the quarter
in which the course is being taught. If inadequate notice is given, assessment tasks
presented in Māori will still be marked. However, processing may be delayed and the
opportunity to have the writing marked in Te Reo Māori may be reduced.
The University will endeavour to make the results of an examination or coursework
presented in Te Reo Māori available to the candidate within the ordinary timeframe.
However, students should be aware that owing to the process of translation, delays in
returning coursework may occur.
In the event that a suitable person is not available to assess the work in Te Reo Māori
a certiﬁ ed translator will be recommended by the Māori Language Advisory Group
in consultation with the Ofﬁ ce of Pro Vice-Chancellor (Māori). It is the intent of the
University that a translator be used only when reasonable efforts to ﬁ nd a competent
examiner or co-examiner capable of assessing the work have been exhausted.
The translator may seek clariﬁ cation from  the  examiner  or  course  coordinator  if
ambiguities occur in the script but he/she must not correct errors in the original script
or make any embellishments.
If the coursework and/or examination script are to be externally assessed, the
external institution undertaking the assessment will be requested to indicate whether
an assessor is available to assess the work in Te Reo Māori. If not, a translation will
be sought as above.
The student’s use of language shall not be improved in the process of translation by
the correction of errors or improvement of sentence structure.
It may be necessary for students to provide a glossary of technical terms to assist the
translator. They will be required to prepare this in advance in consultation with their
examiner.
Te Reo Māori may be used in an oral assessment only when all key participants have
the appropriate ﬂ uency in Te Reo.
Presentation of the PhD in Te Reo Māori is governed by the Statute for the Degree of
Doctor of Philosophy.
A Māori Language Advisory Group, a sub-committee of the Rūnanga, will advise on
the appropriate usage of Te Reo Māori within the University.
4
| 2016 Instructions to Examiners and Assessors

Roles and responsibilities
Academic Head
Head of School, Department, Disciplinary Area or Other Academic Unit
Purpose
Ensuring that the academic unit meets the quality
standards required by the University for assessment
of student learning
Responsibilities
Ensure that there is an adequate and consistent
quality of examinations and other assessment
across all courses in the Academic Unit
Ensure that non-examined assessments and
examination papers are appropriate for the level of
study and the content of the examination papers is
appropriate for the course being examined and the
These items may be delegated  time required to complete
to other academic staff or to
professional staff support
Ensure the quality of the grades that are submitted
and that anomalous issues are dealt with prior to
the submission of grades
Ensure staff are mentored in their career
development, including in the development of
course assessment
Activities
Standards
Ensure all relevant staff
understand their role in this
process and quality expectations
Review department reports of
All assessment activities are carried out in line with
assessment activity
policy:
AS-64 Coursework Details
Assessment of Student Learning
Report
Instructions to Examiners and Assessors
Te Reo Mäori in Teaching, Learning and
Assessment
Address quality issues
Quality Assurance Framework
Approving appointments
Each course has examiners and assessors appointed
of course directors, course
and formal notiﬁ cation forwarded to Examinations
co-ordinators, examiners and
by the appropriate deadline
assessors
Duly constituted examination and postgraduate
Examiners and Assessors
committees are appointed
Nominees Report
AS-44 Changes to Nominations  Examiners and Assessors understand their role and
AS-512R, 512T Postgraduate
responsibilities
Results
2016 Instructions to Examiners and Assessors |  5

Academic Head
Head of School, Department, Disciplinary Area or Other Academic Unit
continued
Activities
Standards
Ensuring assessment and
Assessment is carried out in a manner that is fair,
grading material is reviewed
valid, robust, manageable and contributes to the
and endorsing results for
process of student learning
both undergraduate and
Exam question papers are set at an appropriate
postgraduate students
standard and format relevant to the level of the
course and content
Signing off exceptions such as
These recommendations are made correctly and
aegrotats, compassionates,
promptly
special passes, late changes to
course assessment
AS-49 Aegrotat /
Compassionate
AS-55 Special Pass
AS-43 Changes to Coursework
and Examination Details
AS-58 Request for Changes to
Results
AS-73 Application for Late
Results Submission
6
| 2016 Instructions to Examiners and Assessors

Course Director
Purpose
Overseeing design of assessment processes to
ensure that assessments are relevant and aligned
with learning outcomes; that the assessment
complies with all aspects of policy; that the
assessment criteria is transparent and available to
all students at the start of semester
Criteria for appointment
An appropriate level of expertise in pedagogy and
teaching in relation to the discipline area
Research-active
Not teaching under supervision
Responsibilities
Overseeing course design, including assessment
processes, ensuring assessment is research
informed
Activities
Standards
Acting as one of the Examiners
See Examiner role
for the course
Maintaining oversight of
Ensure that consistent assessment standards are
assessment standards, including maintained and students treated fairly
leading Examiners meetings
Approve course outline
That assessments are appropriate for the course
(including assessment)
Workload for students is appropriate
Assessment complies with regulations (e.g.
coursework not more than 50% for a Stage I course)
Design assessment for group
Design is demonstrably fair and clear to students,
projects
complies fully with all aspects of this policy and is
consistent with the overall assessment regime
Approval of exam question
Examination papers are submitted on time, free
papers, and exam printing and
from errors and at the level appropriate for the
stationery requirements
course

2016 Instructions to Examiners and Assessors | 7

Course Director
continued
Activities
Standards
Signing off ﬁ nal course results:
Final grades are accurate and submitted on time or
Examiners’ Grade Approval
alternative arrangements made
Sheet
AS-41 Final grade for non-
enrolled student
*AS-58 Request for changes to
results
*AS-18a Recount
*AS-73 Late Results Submission
*Also signed by Academic
Head (AS-18a only if ﬁ nal grade
changes)
Course Coordinator
Director and Coordinator roles will often be combined in one person, with
Course Coordinator role here referring only to situations where this is separate
Purpose
The person responsible for the administration and
organisation of the course acting in conjunction
with, and under the supervision of, the Course
Director
Responsibilities
Facilitate the smooth delivery of the course
Activities
Standards
Prepare course outline, including Assessment strategies should recognise the
assessment processes
objectives contained in the relevant Graduate
Proﬁ le; be criterion referenced; minimise the
likelihood of plagiarism occurring; and be spread
as much as possible through the course
Ensuring that all requirements
Students receive their work back with constructive
for examination, assessment and and timely feedback as soon as possible, and no
moderation are met in a timely
later than three teaching weeks after the day the
fashion, including submission of
work was handed in or due, whichever is the later.
approved examination papers,
Internally assessed tasks which count in a ﬁ nal
marking and results
grade for a course which has an examination
must be marked and available to students before
the start of the examination period. Normally,
these tasks should be scheduled for completion or
submission by the end of the second-to-last teaching
week at the latest.
8
| 2016 Instructions to Examiners and Assessors

Examiner - Taught Courses
Purpose
Responsible for setting and marking course
assessment
Criteria for Appointment
Subject knowledge
Expertise in assessment
Appointed on the recommendation of the Academic
Head
Staff teaching under supervision, must not be
examiners
Responsibilities
Preparation of question papers
Conﬁ rm quality and fairness of results through
participation in Examiners’ meeting
Activities
Standards
Set questions for exam papers
Questions are accurate and have no errors
Consistent standards are maintained across across
all questions
Sign off on taught course results
Final grades are accurate and submitted on time or
Examiners’ Grade Approval
alternative arrangements made
Sheet
AS-65 Submission of Results for
Individually Assessed Courses
Participate in Examiners
Standards are clear and consistent
meetings
At least one examiner to be
Examiners must be available at a telephone
available for the duration of the
extension or provide an alternative number to the
examination
Examinations and Timetable Services Ofﬁ ce
Have a secure copy of the examination paper so
that any questions may be answered promptly and
efﬁ ciently
Any intention to attend the start of an examination
for 15 minutes must be communicated in advance
to the Examinations and Timetable Services Ofﬁ ce
Organise the check of
Where book or calculator examinations are required
calculators and books in
to be provided by students, checks must be made in
examinations
all rooms
2016 Instructions to Examiners and Assessors | 9

Examiner - Taught Courses
continued
Activities
Standards
Collection of examination scripts Collect scripts promptly or have informed the
on presentation of staff ID card
Examinations and Timetable Services Ofﬁ ce of a
delegate or a delay in collection
Be responsible for the marking
Where there is more than one examiner they should
the scripts
confer
Provide direction to markers as appropriate
Examiner - Postgraduate Research (non-Doctoral)
For dissertations or research projects with a value of between 30 and 80*
points:
One examiner (who may be the supervisor or part of the supervising team) and
one assessor
For thesis or research portfolios with a value of 90** points or more:
Two examiners (who may not be the supervisor or part of the supervising team),
one of whom must be external to the University
*Where the dissertation or research project is worth 60 points or more, either
the examiner or assessor must be external to the University
**Where postgraduate bachelor’s honours degrees have a 90 point research
component, the requirement is for one examiner rather than two, and one

assessor, one of whom must be external to the University
Purpose
Responsible for examining theses, research
portfolios, dissertations and research projects
Criteria for Appointment
Appointed on the recommendation of the
Academic Head
Responsibilities
Make an independent examination of a
thesis, research portfolio, dissertation or
research project and provide a written report
substantiating a recommended grade and/or
mark
Activities
Standards
Sign off on ﬁ nal results
Adhere to marking scheme and maintain
independence from any other examiner
AS-512R Masters Thesis or
Research Portfolio
Examination Committee agrees on results
AS-512T Research in Postgraduate
Programmes (except Masters
Thesis and Research Portfolio)
10 | 2016 Instructions to Examiners and Assessors

Assessor
Required for all postgraduate and undergraduate courses with only one
Examiner
Purpose
Maintain appropriate and adequate academic
standards for all aspects of the assessment process
Criteria for Appointment
Where required at undergraduate level, normally
appointed from within the University but may be
external
Assessors for Bachelors Honours, Postgraduate
Diploma and Certiﬁ cate 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 ﬁ eld 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)
An assessor should be appointed for any course
which has only one examiner
Staff teaching under supervision may not be
assessors
Responsibilities
To provide an independent review of quality of
assessments and results
Activities
Standards
Review assessment to ensure
Receive from the examiner(s) such information as
it is appropriate and fair by
shall be considered necessary about the marking
signing results
system and the course to ensure adequate fairness
Examiners’ Grade Approval
and consistency of standards is maintained
Sheet
AS-65

AS-512T
Comment on the validity of the
Any issues that arise in the assessment process
recommended result
should be reported to the Academic Head
2016 Instructions to Examiners and Assessors | 11

Moderator
Postgraduate (non-Doctoral)
Purpose
To 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. Moderation should
take place on a one or two year cycle
Criteria for Appointment
Formally appointed by the Academic Head
External to the University
Responsibilities
To report to the Academic Head as to the
appropriateness of the examination and grading
given course content and recognised academic
standards
Activities
Standards
Review the content of course(s)
Fairness and consistency of standards are
to ensure an appropriate and
maintained
accurate assessment has been
set
Review the content and grading
of assessed material, including
exam papers
Each course is to be examined by more
All nominations must be entered by Faculty
than one member of staff or examined
Group Services by:
by one member of staff and assessed
by another. The Academic Head may in
Summer School
08 January
exceptional cases, vary this requirement.
Semester 1
11 March
Examiners, assessors and moderators Semester 2
29 July
appointed from within the university system
Quarter 1
15 January
are not paid a fee.
Changes in nominations of course
Quarter 2
15 April
director, examiner or assessor must
Quarter 3
08 July
be advised to the Examinations and
Quarter 4
30 September
Timetable Services Ofﬁ ce on the
appropriate form (AS-44) by the
Academic Head.
Any arrangements proposed as an
alternative to assessment should also be entered by the dates shown in the table.
12 | 2016 Instructions to Examiners and Assessors

Coursework
Procedure
Coursework may be allocated a percentage of the marks awarded for the course,
the remainder being allocated to the written examination. These allocations are the
responsibility of the Course Directors.
Guidelines
Education Committee has established the following guidelines for coursework:
1  Stage I Courses
At least 50% of course assessment should occur in invigilated settings,
normally achieved through formal
examinations and/or in-course tests
All approved coursework and examination
details must be submitted by Faculty
sat under examination conditions.
Academic Services to the Examinations
Applications for any variation from
and Timetable Services Ofﬁ ce by the
this guidance are to be made to the
following dates:
Education Committee in advance of
Summer School  11 December (2015 for 2016)
preparation of course materials.
Semester 1
26 February
2  Group projects in the context of
collaborative learning
Semester 2
15 July
a  Group projects may contribute to
Quarter 1
18 December (2015 for 2016)
the ﬁ nal coursework percentage
Quarter 2
25 March
awarded in a course.
Quarter 3
17 June
b  The design of group assessment,
including the size of working
Quarter 4
09 September
groups, the mark composition and
Summer School  09 December (for 2017)
the assessment criteria should
be determined by the learning
Quarter 1
16 December (for 2017)
outcomes of the material involved
(with reference to the Groupwork provisions in the University’s Guidelines
for Effective Teaching). Ensuring appropriate assessment design is the
responsibility of the Course Director for each course, with appropriate Faculty
oversight (as for all assessments) by the Academic Head for the course.
c  The ﬁ nal mark may include peer-assessment where students have been
appropriately trained to undertake this.
d  The assessment rating of the project as a percentage of the total course grade
should reﬂ ect the proportional value of the project in determining the learning
outcomes of the course as a whole.
e  Where group projects are included in the assessments for a course, some form
of individually assessed work should also contribute to the total mark.
Advice to students
Before or at the commencement of the course concerned, students are to be informed
of the coursework allocations and other coursework requirements. This advice should
include dates of:
2016 Instructions to Examiners and Assessors |  13

• Tests
•  Submission of assignments.
Such advice should be available to all students in the course information provided in course
books, email communication, on CECIL, or a combination of these methods.
Format
For ease of marking and Turnitin use, students should normally present all coursework
in a typed format.
Management
1 Coursework
When the coursework contributes to a percentage of the ﬁ nal result, towards
which a written examination also contributes, the Course Director may at his/
her discretion make such coursework available to the assessor of the written
examination.
If the coursework contributes 100 percent to the ﬁ nal result and there is no ﬁ nal
examination, coursework must be available to the assessor, either in full or in such
proportion as will permit effective assessment.
2 Tests
Course Directors are expected to make appropriate provision for supervising tests
counted towards the ﬁ nal result for the course, where necessary obtaining the
assistance of the Examinations and Timetable Services Ofﬁ ce. The tests should be
conducted under examination conditions before the pre-examination study break.
3 Assignments
Faculty Group Services must make adequate arrangements for the safe receipt
of essays and assignments etc, in conjunction with the Faculty Student Centres.
4 Illness
a  Illness or misfortune affecting written tests is covered by the aegrotat and
compassionate regulations.
b  Where illness or misfortune prevent a student completing other coursework,
such as assignments or essays, Academic Heads may take the circumstances
into account and extend submission dates or make other arrangements
(including estimating marks) as they see ﬁ t.
5  Return of work
Coursework will normally be handed back to students, but they should be advised
to retain it in case it later needs to be made available to the Course Director before
the ﬁ nal result for the course has been determined, unless a copy is retained by
the faculty.
6 Privacy
Care should be taken to ensure personal privacy in the distribution of student
marks when returning assignments and tests.
14 | 2016 Instructions to Examiners and Assessors

Examinations for taught courses
Preparation of question papers
Where two or more examiners have been appointed in any subject they are to confer
in setting papers.
If any difference of opinion arises in the setting of papers among examiner(s) and/
or assessor, the Academic Head shall, after making due attempt to resolve the
difference, determine the outcome.
Layout of question papers
Instructions regarding the layout, guidelines and the examination paper style guide
may be obtained from www.auckland.ac.nz/examinations.
Deadlines for submission of question papers
The examination period for semesters covers three weeks:
Week 1 – a short week from the ﬁ rst day  Deadlines for receipt of papers
of exams (Thursday) to the ﬁ rst Saturday;
timetabled in:
Week 2  –  from  Monday  to  the  second
Week 1    Week 2   Week 3
Saturday; and
Summer School
03 Feb
Week 3 – from the following Monday to
the next Monday excluding Sunday
Semester 1
16 May  23 May  30 May
Semester 2
03 Oct  10 Oct  17 Oct
Dates for the submission of question
papers to the Examinations and Timetable  Quarter 1
09 Mar
Services  Ofﬁ ce  have  been  set  according  Quarter 2
08 Jun
to  the  week  in  which  each  examination  is  Quarter 3
31 Aug
Quarter 4
23 Nov
timetabled. Departments/Group Services should ensure papers are submitted by the
appropriate dates.
Format
The standard format for a written examination is:
•  A three-hour examination plus ten minutes for reading time, or a two hour
examination plus ten minutes for reading time.
•  Questions are not known by the students in advance of the examination.
•  The students are not permitted to bring any material into the examination.
Variations to the standard format are as follows:
Questions announced in advance
1  Lecturers may announce during lectures, the apportionment of the questions in
the ﬁ nal examination in relation to the material covered in the course.
2016 Instructions to Examiners and Assessors |  15

2  Actual questions may be announced in advance, all or part, only through Course
Director approval.
Lecturers must ensure that any announcements about examinations made under 1
and 2 above are available to all students in the course and that, so far as is possible,
all students receive the same information. The information should be available to
all students in the course information provided, by way of a formal public notice
by written or email communication. Once such information has been made
available, lecturers must ensure that the examination paper follows the format and
arrangements so announced.
Book details for examinations
The designation for the Restricted, Open and Supplied Book examinations must be
approved by the Course Director.
1 Designations
Closed Book – CB
Unless otherwise speciﬁ ed, examinations will be Closed Book. That is, no written
material may be brought into the examination room.
Open Book – OB
Where  an  examination  is  designated  Open  Book,  candidates  may  take  into  the
examination room written or printed material including books, dictionaries, Acts
etc as well as an electronic calculator. There will be no check on such items, but
other electronic devices (including laptops, hand-held computers or smartwatches)
are not allowed. No prepared material taken into the examination room may be
attached to the examination script and submitted for marking as part of that
examination.
Supplied Book – SB
Candidates will be supplied with material speciﬁ ed by the examiner.
Restricted Book – RB, HB, UB
a  Restricted Book: may be written upon – RB. Candidates may take into the
examination room material speciﬁ ed by the examiner. Such material may be
written on and/or marked in a relevant or contextual manner, but no prepared
material may be attached to the examination script and submitted for marking
as part of that examination.
b  Restricted Book: may not be written upon but may be highlighted –
HB.  Candidates may bring into the examination room material speciﬁ ed by
the examiner. Such material may not be written upon but the text may be
underlined, highlighted or tabbed.
c  Restricted Book: unmarked material – UB. Candidates may bring into the
examination room material speciﬁ ed by the examiner. Such material cannot be
written upon or marked in any way.
2  Advice to students
All students must be formally notiﬁ ed as early as possible in the semester as to
which book designation their examination will be.
16 | 2016 Instructions to Examiners and Assessors

3  Publication of book list for
students
Deadlines for receipt of book details by the
Examinations and Timetable Services Ofﬁ ce are:
If  an  examination  is  approved
as Restricted, Supplied or Open
Summer School

Fri 22 Jan
Book these details should be
Semester 1

Fri 01 Apr
supplied to the Examinations
and Timetable Services Ofﬁ ce
Semester 2

Fri 19 Aug
for inclusion in the Examination
Instructions available online to every student before each examination period.
If the examiner is unable to provide details of materials by these dates it will then
be his/her responsibility to inform students and the Examination Ofﬁ ce in writing,
and in good time, of the material which they may take into the examination room.
4  Check by examiners of books and written materials
•  Where restricted written material is permitted in the examination room,
examiners are required to be present at the commencement of the examination
to check material brought into the examination room.
•  It is the responsibility of the department to ensure that the material satisﬁ es
the stated requirements.
•  The department must arrange for the inspection of books and other written
material and ensure this is completed during the reading period at the start of
the examination. This responsibility may not be delegated to the examination
supervisors and inspection must not extend into the examination period.
•  If an examiner discovers unauthorised material, the student must be identiﬁ ed
to the room supervisor. The student may continue to sit the examination using
the materials, but will be required to hand the material to the room supervisor
at the end of the examination. The case will be dealt with under the Examination
Regulations.
Electronic calculators
Calculators may be used in examinations only where explicit approval has been given
by the Course Director.
1 Conditions
A calculator is deﬁ ned as an electronic device capable of processing, storing or
retrieving information, which has a primary purpose of mathematical calculation.
It must be hand-held, self-powered and noiseless. It must not have an audible
alarm or facilities for transmitting or receiving information.
Calculators  must  not  be  shared  or  used  in  a  manner  that  interferes  with  or
distracts another candidate.
2  Advice to students
All  students  must  be  formally  notiﬁ ed  as  early  as  possible  in  the  semester  as
to whether or not calculators will be allowed during an examination and the
permitted and expected features. This information should conform to the details
supplied by the department to the Examinations and Timetable Services Ofﬁ ce.
2016 Instructions to Examiners and Assessors |  17

3 Designations
a  Calculators are permitted – CP
Candidates are permitted to use any calculator which satisﬁ es the general
conditions.
b  Departmental Calculators – DC
Candidates will be supplied with calculators by the department.
c  Restricted non-alphanumeric calculators are permitted – RC
Candidates are permitted to use any calculator which satisﬁ es the general
deﬁ nition and conditions, and which does not provide the alphabet.
d Speciﬁ ed calculators are permitted – SC
Departments may specify other necessary or desirable features as appropriate
to the subject.
4  Calculator inspection by examiners
•  It is the responsibility of the department to ensure that candidates’ calculators
satisfy the stated requirements.
•  The department must arrange for the inspection of calculators during the
reading period, at the start of the examination. This responsibility may not be
delegated to the examination supervisors and inspection must not extend into
the examination period.
•  Departments may make special arrangements for the supply of acceptable
calculators to students.
Changes to standard format
The published duration of an examination, as well as calculator and book details
may only be changed through an Academic Head’s approval. The change should be
submitted to the Examinations and Timetable Services Ofﬁ ce on the AS-43.
Special examination conditions
A student who is permanently or temporarily disabled in a manner which affects their
ability to undertake examinations under the prescribed examination conditions may,
upon production of the appropriate evidence, obtain from University Health Services
or the Student Learning Services, a recommendation which will enable that student
to be examined under conditions which take account of the particular impairment.
Out of time and out of centre examinations
Faculty/departmental staff should not give speciﬁ c advice to students about
sitting examinations out of time or out of centre. Students should be referred to the
Examinations and Timetable Services Ofﬁ ce for advice.
18 | 2016 Instructions to Examiners and Assessors

Music performance examinations
Undergraduate
All students are examined by a panel of two, consisting of:
1  A member of the School of Music staff, normally the Academic Head or nominee,
who shall act as a moderator for all examinations within any one semester. Where
the number of students is high, it may be necessary to divide one semester’s
examination entry into two groups and to appoint two moderators.
2  Another member of the School of Music staff, or if necessary or appropriate, an
external examiner of recognised standing in the instrument.
The teacher will be in attendance to act as adviser to the examiners but will not
participate in the decision-making process.
Part 1 and 2 performance examinations are not open to the public. Part 3 performance
examinations are to be held as public recitals.
Postgraduate
All students are examined by a panel of three, consisting of:
1  A member of the School of Music staff, normally the Academic Head or nominee,
who shall act as a moderator for all examinations within any one semester. Where
the number of students is high, it may be necessary to divide one semester’s
examination entry into two groups and to appoint two moderators.
2  A specialist in the instrumental or vocal area being examined from within the
School, or from outside where necessary. This may not be the teacher of the
candidate.
3  An external examiner with broad experience of tertiary performance examining,
and,  if  possible  with  direct  expertise  in  the  instrumental  or  vocal  area  being
examined.
Performance examinations for all postgraduate  degrees  are  to  be  held  as  public
recitals.
Marking and assessing written examinations
Collection of scripts
Following each examination the scripts will be released for marking from the
Examinations Centre. Scripts will be available half an hour after the completion of the
examination, but it would be helpful if examiners could make arrangements to collect
their scripts between the hours of 9.30am and 11.30am, or 2.30pm and 4.30pm
on the half-day following the examination. Examiners of evening examinations are
asked to contact the Examinations and Timetable Services Ofﬁ ce if they intend to
collect scripts after the evening sessions, otherwise they are asked to collect them the
following day. Staff collecting scripts must present their University of Auckland staff
2016 Instructions to Examiners and Assessors |  19

ID card. Examiners must notify the Examinations and Timetable Services Ofﬁ ce in
writing of an alternative staff member collecting scripts on their behalf.
Marking the scripts
Scripts are available to students on application. Markers must tick or otherwise
indicate that they have read each question, and the ﬁ nal mark for each question
should appear on the script and/or at the front of the script book.
Any comments on the script should not be designed, as with coursework, to provide
advice or feedback to students, but should be limited to non-conﬁ dential aide-
memoires for the examiner(s).
Interim marks and evaluative interchanges with other examiners or assessors taking
place before the ﬁ nal mark is settled must be held in conﬁ dence and not be placed
on the script itself.
Illegibility of scripts
Candidates are warned that where an examination script is illegible, the examiner
may award marks for only such parts of the script as are legible and may leave the
illegible parts unmarked. Every effort must be made to complete the marking of a
script; any parts that are unmarked because of illegibility must be clearly identiﬁ ed
on the script by the examiner.
It is possible, with the approval of the Academic Head, to invite a candidate to
attend the University to read an illegible
script  to  an  examiner.  In  such  cases  a
second member of the academic staff
Grade point scale
is required to be present throughout the
proceedings.
A+
High
ﬁ
rst
9
A
Clear ﬁ rst

8
Award of marks and grades
A–
Bare ﬁ rst

7
1 Pass
Marks
B+ High
second
6
A pass mark is 50 percent or over
B Clear
second   5
2 Grades
B– Bare
second
4
There are ten pass grades and three
fail grades. The pass grades may have
C+ Sound
pass
3
different allocated percentages in
C
Pass
2
different departments.
C– Marginal
Pass
1
3  Ungraded Pass/Fail Results
Conceded
Pass
1
After application to the Education
Committee, a course may be
D+ Marginal
Fail
0
approved to carry an ungraded
D
Clear
Fail
0
pass/fail result provided it meets the
following criteria:
D–
Poor
Fail
0
a  The course involves a substantial
amount of practical work (a minimum of 60 percent). The work will usually be
20 | 2016 Instructions to Examiners and Assessors

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.
or
b  The course is a required part of a programme but carries no points.
Note: Ungraded passes do not carry a grade point and are not included in Grade
Point Average calculations.
4 Scaling
Examiners and Academic Heads should keep records of the scaling or other means by
which marks and ﬁ nal grades are determined for a subject or course.
5 Postgraduate
qualiﬁ cations: Honours, Distinction, Merit
a  The University has adopted a consistent standard across the University for the
award of Honours in postgraduate Bachelors Honours and Masters degrees,
and Distinction and Merit in Postgraduate Diplomas.
b  The standard is:
First Class Honours: GPA of 7.0 or above
Second Class Honours (ﬁ rst division): GPA of 5.5 – 6.9
Second Class Honours (second division): GPA of 4.0 – 5.4
Distinction: GPA of 7.0 or above
Merit: GPA of 5.5 – 6.9
Note: A GPA includes a decimal place only when more than one course is involved.
A 120 point programme comprised of a 120 point thesis or research portfolio only
ever carries a whole GPA numerical. A ‘B+’ result (GPA of 6) in a 120 pt thesis or
research portfolio is, therefore, required for the award of Second Class Honours
(ﬁ rst division) in a 120 point degree. Second Class Honours (ﬁ rst division) cannot
be awarded for a ‘B’ result (GPA of 5).
c  Rounding is permitted to one decimal place in determining the overall GPA of
a qualiﬁ cation (eg, 5.46 may be rounded to 5.5; 5.75 may not be rounded to
6.0).
Results
Submission of ﬁ nal grades
For a single course
a  For each class, enter a grade for each student.
b  Enter NA when the grade is not immediately available but expected at a
later date. The ﬁ nal grade must be submitted within the deadlines for results
submission (see pg 23).
c  Enter DNS in all instances if the student did not sit the exam.
d  DNC (Did Not Complete) is to be entered in the following circumstances:
2016 Instructions to Examiners and Assessors |  21

•  where a student has gained more than 50 percent in a course but has not
completed the approved compulsory coursework
or
•  where a student has gained less than 50 percent in an internally assessed
course because of the failure to complete coursework but the entry of a fail
grade would inappropriately represent the reasons for failure or the level of
achievement.
e  Where a student has applied for aegrotat or compassionate consideration,
the result returned on the result sheet must be for the work actually submitted
at the examination. If the student has been absent for any paper, the result
sheet must record DNS (Did Not Sit) even though the examiner may intend to
recommend an aegrotat or compassionate grade.
f  The Examinations and Timetable Services Ofﬁ ce will enter NAX (Not Available
for Misconduct) on the student record to indicate when the script has been
withheld for misconduct investigation.
Return of results
All  results  must  be  returned  electronically  via  Cecil.    Instructions  on
presentation of results are available from the Examinations website
www.auckland.ac.nz/examinations. The hard copy need not be brought to the
Examinations and Timetable Services Ofﬁ ce and may be used in the departments.
Signing and approving results
Final grades must be reviewed and signed by the examiner(s) and assessor and
approved by the Course Director on the Grade Approval Sheet. In signing, the course
director and examiner(s) are conﬁ rming that the grades are accurate and have been
submitted on time. The assessor, where appointed is conﬁ rming that appropriate and
adequate academic standards are maintained. The Grade Approval Sheet should be
scanned and returned to [email address].
Individually assessed results
Where undergraduate results, and postgraduate results other than for theses,
research portfolios, dissertations and research projects of 30 points or above, are
individually assessed, an AS-65 form is available at www.staff.auckland.ac.nz/forms.
Undergraduate Bachelors Honours results
The class of Honours for students completing Bachelors Honours undergraduate
degrees will be processed by the Records, Enrolments and Fees Ofﬁ ce.
Discrepancies
If a discrepancy is found in the schedule of students listed on the result sheets,
corrections to the list (eg, additions or deletions) should be made directly on the result
sheets.
22 | 2016 Instructions to Examiners and Assessors

Changes to results
Any changes to grades after the results
sheets have been submitted to the
Deadline dates for return of results to the
Examinations and Timetable Services
Examinations and Timetable Services Ofﬁ ce
Ofﬁ ce  are  to  be  provided  on  Form
Summer School
Tuesday 23 February
AS-58. The changes must be signed by
the Academic Head and the examiners
Semester 1
Thursday 07 July
nominated to sign results for that course.
Semester 2
Thursday 24 November
Deadlines for results submission
Quarter 1
Tuesday 29 March
Taught courses:
Quarter 2
Tuesday 28 June
1  Any results not submitted by the
Quarter 3
Tuesday 20 September
deadline speciﬁ ed in the Instructions
Quarter 4
Tuesday 13 December
to Examiners and Assessors will be
notiﬁ ed to Education Committee.
Earlier submission of results is encouraged.
However, the date noted above is the ﬁ nal
2
If, because of exceptional deadline for each semester.
circumstances, a result cannot be
submitted within a fortnight of the deadline, the department must apply through
Faculty Group Services to the Examinations and Timetable Services Ofﬁ ce on
the appropriate form for approval of late submission for a period of up to three
months. The application must state the exceptional circumstances which have
caused this situation and specify the date by which the result will be submitted.
3  Applications  will  be  approved  if  the  result  is  unable  to  be  submitted  for  the
following reasons:
•  Deferred results that are permitted under the Examination Regulations
•  Non-standard coursework dates
•  Late timing of practicums/practical examinations
•  Illness or other incapacity of an examiner or assessor
•  An approved extension awarded to the student for the submission of
coursework
•  Study abroad courses
•  A paper with more than 250 students scheduled in the last three days of the
examination period.
4  The Examinations and Timetable Services Ofﬁ ce will approve applications that
meet the above criteria. Any applications falling outside of these criteria will be
submitted to the Deputy Vice-Chancellor (Academic) for consideration.
5  If the result has not been submitted within three months of the deadline, a DNC
grade will be entered.
2016 Instructions to Examiners and Assessors |  23

Research courses of between 30 and 80 points:
1  The result must be submitted within three months of either the last day of the
semester in which the student was enrolled in the course or the last day of an
approved and enrolled extension.
2  If, because of exceptional circumstances, a result cannot be submitted within
three months, the department must apply through its faculty ofﬁ ce to the
Examinations and Timetable Services Ofﬁ ce on the appropriate form for approval
for late submission for a period of up to one year after the last day of the semester
in  which  the  course  was  enrolled  or  the  last  day  of  an  approved  and  enrolled
extension. The application must state the circumstances and specify the date by
which the result will be submitted.
3  Applications  will  be  approved  if  the  result  is  unable  to  be  submitted  for  the
following reasons:
•  Illness or other incapacity of an examiner or assessor
•  Dispute over the result.
4  The Examinations and Timetable Services Ofﬁ ce will approve applications that
meet the above criteria. Any applications falling outside of these criteria will be
submitted to the Dean of Graduate Studies for consideration.
5  If the result has not been submitted within one year of the deadline for the course,
a DNC grade will be entered.
Disputed results
All written examination papers and coursework subject to formal assessment
The following instructions apply to all written examinations and to coursework
in undergraduate and postgraduate taught courses that are subject to formal
assessment.
1  Disputes among examiners and/or assessors
In the event of a dispute among examiners or examiners and assessors which
cannot be resolved among themselves, the matter should be referred to the
Academic Head for resolution in negotiation with the examiner(s) and assessor(s).
All documents relating to the examination and assessment and to the dispute shall
be made available to the Academic Head. The Academic Head may call for further
written reports from the examiner(s) and any assessor(s). In such a case, all prior
documentation should be made available to each examiner and assessor. The
Academic Head, having considered all the documentation, shall provide a written
report to all parties setting out his/her ﬁ ndings and proposing a resolution. All
parties must agree to this resolution in writing before it can be adopted.
In the event that no agreement can be reached among the Academic Head,
the examiners and any assessor, all documentation relating to the examination,
assessment and dispute, shall be referred by the Academic Head to the Dean of
Faculty.
The Dean of the Faculty or the Dean’s nominee will, after reviewing the
24 | 2016 Instructions to Examiners and Assessors

documentation and making any other enquiries he/she considers necessary and
appropriate, propose a resolution in writing to all parties. All parties must agree
to this proposal in writing before it can be adopted.
2  Disputes where an Academic Head is an examiner or assessor
In cases where the Academic Head is an examiner or assessor, the Dean of the
Faculty or nominee shall act as the Academic Head. If the Dean or the Dean’s
nominee is unable to resolve the dispute, the matter will be referred to a referee
as under 4.
3  Dispute with the Academic Head
An Academic Head may, in pursuit of his/her duty of maintaining standards,
review examination scripts and results. If he/she sees reason to object, the matter
should be discussed with the examiner(s) and assessor(s).
If no agreement is reached, the Academic Head shall call for written reports from
the examiner(s) and assessor(s), and shall state in writing his/her own grounds for
objection. All of these documents shall be made available to the examiner(s) and
assessor(s) for the purpose of further comment which must be in writing.
In the event that no agreement can be reached among the Academic Head, the
examiner(s) and any assessor(s), all documentation relating to the examination,
assessment and dispute shall be referred by the Academic Head to the Dean of
Faculty. The Dean of the Faculty or the Dean’s nominee will, after reviewing the
documentation and making any other enquiries he/she considers necessary and
appropriate, propose a resolution in writing to all parties. All parties must agree
to this proposal in writing before it can be adopted.
4 Referee
In any of the above cases, where there is still no agreement, the Dean shall refer
the matter and all documentation to the Chair of Education Committee who shall
act as referee or appoint an appropriate independent academic as a referee to
consider the script or scripts and documentation and such further information as
he/she shall call for.
The referee shall determine the marks or results to be awarded. This determination
shall be ﬁ nal.
Conceded passes
Refer to the current University of Auckland Calendar under the Examination
Regulations for the regulations regarding Conceded Passes which are awarded
by the relevant faculty www.calendar.auckland.ac.nz/regulations/academic/
examination.html
Deferred results
Please refer to the current University of Auckland Calendar for the regulations
regarding Deferred Results www.calendar.auckland.ac.nz/regulations/academic/
examination.html. For the following degrees, results may be deferred in certain
situations.
2016 Instructions to Examiners and Assessors |  25

Bachelor of Education (Teaching English to Speakers of Other Languages)
Bachelor of Medicine and Bachelor of Surgery: MBChB Parts II, III, IV, V and VI
Bachelor of Nursing: BNurs Parts I, II and III
Bachelor of Optometry
Bachelor of Pharmacy
Bachelor of Physical Education
Bachelor of Social Work
Graduate Diploma in Teaching (Early Childhood Education), Graduate Diploma in
Teaching (Primary), Graduate Diploma in Teaching (Secondary)
Announcement and publication
Results are conﬁ dential until they are posted to the students’ records and are
available online. Students are notiﬁ ed by email when grades are posted.
Where a grade has been lowered after the result has been posted, the department
must advise both the student and the Examinations and Timetable Services Ofﬁ ce in
writing.
Recount of marks
By making application not later than seven weeks after the last day of the examination
period, any student sitting an examination may have the marks awarded for their
script recounted. The fee for such a recount shall be as prescribed in the Fees
Regulations.
A recount of marks covers a careful rechecking of the marks recorded by the examiner
and ensures that no answer or any portion of an answer submitted by a student has
been overlooked. Recounts should always include a careful checking of the accuracy
and inclusion of coursework marks. No information pertaining to the application will
be placed before the examiner.
Students may apply for a recount of marks for written examination papers only.
Aegrotat and compassionate consideration
The regulations are set out in the Examination Regulations in the University Calendar.
These notes should be read in conjunction with those regulations.
Scope
The regulations apply to work which counts towards the ﬁ nal result for a course and
is performed under examination conditions at a speciﬁ ed place and time, with the
exception of performance examinations.
The categories to be considered are:
1 Final written examinations
2 Formal practical or oral examinations
26 | 2016 Instructions to Examiners and Assessors

3  Final submissions in the practical and studio work in the Faculty of Creative Arts
and Industries
4 Written
tests
Advice to students
Students should be advised to enquire about aegrotat or compassionate consideration
if temporary illness or injury, or exceptional circumstances beyond their control, have
prevented them from sitting an examination, or seriously impaired their examination
preparation or their examination performance. They should contact the Examinations
and Timetable Services Ofﬁ ce or the University Health Services or go to the
Examinations website www.auckland.ac.nz/exams for application forms and advice.
The requirements are stringent, and it is essential that students follow the correct
procedures which are fully explained on the forms and in the Examination Instructions
available online to every candidate before each examination period.
Sitting examinations
Students should be encouraged to sit examinations if at all possible. Medical or other
evidence must establish that a student is physically or mentally incapable of sitting
an examination. It is not sufﬁ cient for the student to be unwell or to be faced with
trying circumstances. Even if a student is advised by their lecturer or doctor not to
sit, the University’s medical or counselling advisers will not approve a DNS unless the
evidence justiﬁ es it.
Students with disabilities or temporary conditions affecting their ability to sit
examinations under normal conditions can apply to sit under special conditions,
eg, extra time, a writer, special equipment, separate room. (See pg 18, Special
examination conditions.)
Method of application
1  Aegrotat consideration (temporary illness or injury)
Students should complete the application form and see a registered medical
doctor on the day of the examination, while they are unwell, so that an accurate
diagnosis can be made for the medical certiﬁ cate. If preparation for the
examination is impaired, see a registered medical doctor within the fortnight
before the examination.
2  Compassionate consideration (other exceptional circumstances)
Students should complete the application form and see a counsellor at the
University Health Services on the day of the examination, so that the counsellor
can assess the circumstances, or if preparation for the examination is impaired,
see a counsellor within the fortnight before the examination.
3 Application
deadlines
Completed application forms must be returned to the University Health Services
no later than one week after the examination. If more than one examination
is affected, the closing date is one week after the last examination affected.
2016 Instructions to Examiners and Assessors |  27

Students must not wait for their examination results before submitting their
application.
Processing applications
1  Applications are assessed by the medical or counselling advisers to the University
who consider the medical or compassionate evidence and certify whether or not
it supports the application. The applications and a conﬁ dential report from the
medical doctor or counsellor are sent to the Examinations and Timetable Services
Ofﬁ ce. If the evidence is in order, an academic recommendation form is sent to the
appropriate Academic Head. Medical and compassionate evidence remains with
the University Health Services. Where the medical or compassionate evidence
does not support the application, an academic recommendation is not requested.
2  The Academic Head is asked to provide details of coursework for the course
and examination marks if applicable, and then to make a recommendation
based on the criteria for aegrotat and compassionate grades set out on the
recommendation form. The options include no recommendation.
3  Academic recommendation forms are conﬁ dential and details may not be given
to students. They should be completed and returned to the Examinations and
Timetable Services Ofﬁ ce by the dates shown below, so that recommendations
can be considered by the Senate and students can be advised in time to complete
selection and enrolment processes for the next semester.
Grades recommended as a result
of an application should not be
Deadline dates for academic
submitted in the normal return of
recommendation forms
results process.
Summer School

Fri 26 February
Forms should be returned to the
Semester 1

Fri 08 July
Examinations and Timetable Services
Ofﬁ ce as soon as possible, within a week
Semester 2

Fri 25 November
of receipt.
Academic requirements for aegrotat and compassionate grades
1  To recommend an aegrotat or compassionate grade, the Academic Head must be
able to certify that:
a  the student’s coursework in the course was well above the minimum pass
standard
and
b  for a student who sat the examination, the mark attained in the examination
was lower than expected taking into account the student’s coursework in the
course
and
c  the student is clearly worthy of a pass in the course.
2  Instead of recommending an aegrotat or compassionate grade, the Academic
Head may recommend that the student take another examination which may
28 | 2016 Instructions to Examiners and Assessors

be oral or written. Exceptional circumstances must apply, and these should be
speciﬁ ed on the academic recommendation form, together with the reasons for
the recommendation.
3  All recommendations are referred to the Senate representative who also takes into
account the medical and counselling advisers’ assessment of the evidence, and
may take into account the student’s work in other courses before making a ﬁ nal
decision and awarding a grade (which may differ from that recommended).
4  No more than one third of the total point value credited to a degree or diploma
may be awarded with an aegrotat or compassionate grade.
Notiﬁ cation of outcome
1  Students will be advised in writing of the result of their application in all cases,
whether or not an aegrotat or compassionate grade is approved.
2  Departments will be advised only in those cases where the Senate representative
approves a different grade to that recommended by the department, or the
application is declined. Where the academic recommendation is approved by the
Senate representative, no advice is required.
Reconsideration of applications
A candidate may make an application in writing for reconsideration to the Director,
Academic Services, following the decision of the Senate. An application must be
made within four weeks of receiving notice of the decision and must contain further
evidence to support the application. Reconsideration of medical evidence may be
referred to an independent medical referee.
Written tests
A modiﬁ ed version of the examination procedures for aegrotat and compassionate
consideration applies to written tests which count towards the ﬁ nal result for a course.
1  Students who have been prevented from sitting a test or who consider that their
performance in a test has been seriously impaired, by temporary illness or injury or
exceptional circumstances beyond their control, should contact the Examinations
and Timetable Services Ofﬁ ce, the University Health Services or the Examinations
website www.auckland.ac.nz/exams for application forms and advice.
2  Students should be encouraged to sit the test if at all possible. Medical or other
evidence must be sufﬁ cient to make it clear that the student was unable to attend
or the test performance was seriously impaired.
3  Students must submit the application form and evidence within seven days after
the date of the test.
4  Applications are assessed by the medical or counselling advisers to the University
who consider the evidence and certify whether or not it supports the application.
If the evidence is in order, the application form is sent to the appropriate Academic
Head. This does not include the assessed medical or other evidence, which is held
by the University Health Services.
2016 Instructions to Examiners and Assessors |  29

If the evidence is not in order, the Examinations and Timetable Services Ofﬁ ce
will notify the student, and send a copy of the letter to the appropriate Academic
Head.
5  The Academic Head considers the application by taking into account the medical
and counselling advisers’ assessment of the evidence and then approves one of
the options set out on the form. These options are speciﬁ ed in the Examination
Regulations as permission to:
a  sit another written test
or
b  receive a mark for the test based on the average of marks awarded for other
coursework
or
c  take a viva voce test
or
d  have the percentage of marks allocated to the test reallocated to the
examination.
The options on the form include no change, which may be appropriate for a
student who sits the test but obtains a mark in line with other coursework.
6  The student should be advised of the decision within 21 days of the test.
Deferred examinations (clinical and performance)
Students undertaking performance and clinical examinations who, because of
temporary illness or injury or exceptional circumstances beyond their control, are
unable to sit their examination on the date scheduled, may apply to the Academic
Head or Programme Coordinator for deferment of that examination. The grounds
for claiming illness, injury or exceptional circumstances should correspond with
those used for aegrotat provisions set out under the Examination Regulations in
the University Calendar (12(b & c), p. 53), and should include where appropriate
evidence from University medical and counselling services.
The Academic Head or Programme Coordinator may grant a deferment until
the Friday of the ﬁ rst week of teaching in the following semester. In exceptional
circumstances,  approval  may  be  given  by  the  Dean  on  recommendation  from  the
Academic Head or Programme Coordinator, to extend this period. If, at this time, the
student is unable to undertake the examination, a fail grade of “Did Not Complete”
(DNC) should be recorded.
Special pass consideration for missed
examinations
The regulations are set out in the Examination Regulations of the University Calendar.
1  Students enrolled for a Masters, Bachelors Honours postgraduate degree,
Postgraduate Diploma or Postgraduate Certiﬁ cate, who arrive at the wrong time
30 | 2016 Instructions to Examiners and Assessors

must go immediately to the Examinations and Timetable Services Ofﬁ ce where, if
possible, special arrangements will be made for them to sit the examination within
24 hours.
2  Any other students who miss an examination by arriving at the wrong time (either
too late for admission to the examination room, or for the wrong session) cannot
sit that examination at another time. These students should go to the Examinations
and Timetable Services Ofﬁ ce and complete an application for Special Pass
consideration, which is then forwarded to the appropriate Academic Head who is
asked to provide coursework marks and to make a recommendation.
3  The recommendation is referred to the Senate representative who has
discretionary powers to approve a pass if the student is of at least B+ calibre in
the course, or in that subject, or a particular element of hardship exists.
Availability of examination scripts
1  By making application during the three months after the end of the examination
period for the examination, a candidate may obtain a copy of their examination
script. The fee for such an application shall be as prescribed in the Fees
Regulations.
2  Applications will be made online and a copy sent by email to the student.
3  If it is found that a question or section has not been marked, or there are other
errors of a similar nature, the Academic Head should notify the Examinations
and Timetable Services Ofﬁ ce of the amended grade stating the reason for the
change. The student will then be advised by email of their amended results.
4  Students are not permitted to seek a remarking of the script. If it has been fully
marked, the examiner’s judgement must stand. If a student seeks advice in respect
of the script, that advice must not cover detailed discussion with the examiners of
particular answers. Broad guidance may, however, be given on the general thrust
of the script or on examination technique by the Academic Head or by an examiner
speciﬁ ed by the Academic Head.
Storage and disposal of examination
material
Examiners may keep the scripts for written examinations only for the minimum time
required for marking. They must then hand the scripts over to the department/faculty
to arrange secure storage until at least four months after the examinations and
thereafter be destroyed. In the case of examinations in Fine Arts, Testimonials of Study
need not be so preserved. Masters scripts should be retained until six months after
the assessment has been completed for any thesis, dissertation, or research portfolio
or project required.
2016 Instructions to Examiners and Assessors |  31

Examining theses, dissertations, research
portfolios and projects
The appointment of examiners, examination committees and
assessors for theses, research portfolios, dissertations and research
projects
These instructions apply to theses, research portfolios, dissertations and research
projects, excluding theses for the Degree of Doctor of Philosophy, named and higher
doctorates. The examination regulations for doctoral theses are contained in the
degree regulations in the University Calendar and in the Guidelines for Examiners
available at www.auckland.ac.nz/uoa/cs-pg-doc-exams.
Examiners and the Examination Committee for theses and research portfolios, and
examiners and assessors for dissertations and research projects are appointed by the
Academic Head (except where an acting Head assumes this role, as noted below) .
An examiner is required to make an initial independent examination of the piece of
work and to provide a written report substantiating their recommended grade and/
or mark. Where two examiners are required, reports are produced independently and
the examiners must not confer as to their initial recommendations.
An assessor is required to assess the piece of work in light of the examiner’s report
and to provide a written commentary on the validity of the recommended result.
If the Academic Head was involved in the supervision of a thesis, research portfolio,
dissertation  or  research  project,  or  intends  to  act  as  the  examiner  of  a  thesis  or
research portfolio, or as the examiner or assessor of a dissertation or research project,
or as a member of the Examination Committee for a thesis or research portfolio, then
another member of the Department/School must take on the role of acting Academic
Head with regard to that piece of work. Such a nomination should be made at the
time the examiner(s) (and assessor/Examination Committee) are nominated.
For further information on the responsibilities of examiners and assessors, refer to the
section on examining and assessing theses, dissertations and other research projects
on pg. 33.
Examiners, Examination Committees and Assessors are nominated as follows:
1  For dissertations or research projects with a value of between 30 and 80 points,
and 90 point research components of Bachelor Honours Postgraduate degrees:
•  One examiner (who may be the Supervisor or a member of the supervisory team).
•  One assessor (who may not be the Supervisor or a member of the supervisory
team).
Either the examiner or assessor must be appointed from outside the University
of Auckland where the dissertation or research project is worth 60 points or
more; people holding honorary positions at the University of Auckland are not
considered to be outside the University.
32 | 2016 Instructions to Examiners and Assessors

2  For theses or research portfolios with a value of 90 points or more (except 90 point
research components of Bachelor Honours Postgraduate degrees):
•  Two examiners. Neither examiner would normally have supervised the work nor
been part of the supervisory team. At least one of the examiners must be from
outside the University of Auckland and must not hold an honorary position at
the University of Auckland. Examiners must be appointed according to the
Guidelines for the Appointment of Examiners of Doctoral Theses and Masters
Research Theses/Portfolios (of 90 points or more) available at www.auckland.
ac.nz/uoa/cs-pg-doc-exams.
•  An Examination Committee comprising the Departmental Graduate Adviser or
nominee and at least one other academic from the University of Auckland. One
member of the committee must have knowledge of the general ﬁ eld of the thesis/
research portfolio. The Academic Head (or acting Head) may not be a member
of an Examination Committee. Members of the Examination Committee must
not have been involved in the supervision or supervisory team of the student or
been examiners of the thesis.
Appointment recommendations must be approved by the Academic Head or nominee
on an AS-512 form, Part A, before the work is examined. AS-512 forms are available
at www.staff.auckland.ac.nz/forms
Recommendations for a supervisor or member of a supervisory team to be an
examiner for a masters thesis or research portfolio with a value of 90 points or more
must be made in writing to the Dean of Graduate Studies prior to submission of the
AS-512 form.
Fee for examiners/assessors
Examiners or assessors for theses, research portfolios, dissertations or research
projects appointed from within the New Zealand university system are not paid a fee.
The fee paid to appointees from outside the New Zealand university system is set by
Universities New Zealand at $125 per assignment.
Examining and assessing dissertations and research projects (with
a value of 30 to 80 points) and 90 point research components of
Bachelor Honours Postgraduate degrees
If the Academic Head was involved in the supervision, examination or assessment of
a dissertation or research project then another member of the Department/School
must take on the role of acting Academic Head with regard to that piece of work. Such
a nomination should be made at the time the examiner and assessor are nominated.
The Graduate Adviser (or nominee) may not have supervised, examined or assessed
the work. This role cannot be fulﬁ lled by the Academic Head (or acting Head).
Examining
The examiner will examine the work and provide a recommended grade and/or
mark accompanied by a full report that includes the reasons for the recommended
2016 Instructions to Examiners and Assessors |  33

grade. The examiner must not consult with any other party during this stage of the
examination process.
Assessing
Once completed, the examiner’s report and a copy of the work under examination will
be sent to the assessor. The assessor will assess the work in light of the examiner’s
report and provide a written commentary on the validity of the recommended result.
The assessor may recommend, with substantiation, a grade for the work.
Departmental Postgraduate Subcommittee
If, upon receipt of the examiner’s and assessor’s reports, the Departmental Graduate
Advisor or nominee considers that an examiner or assessor should be replaced, they
must make a recommendation to the Academic Head (or acting Head) in writing,
outlining the basis of their claim. Disqualiﬁ cation of an examiner or assessor may
be warranted in cases where an examiner or assessor claims insufﬁ cient level of
expertise, does not include justiﬁ cation for the recommended grade, or where an
assessor has not assessed the work in light of the examination report. In such cases,
the Academic Head (or acting Head) may request a revised report or appoint a
replacement examiner or assessor.
If the assessor agrees with the examiner’s recommendation, the Graduate Adviser
(or nominee) will normally recommend that grade to the Academic Head as the
ﬁ nal result. If the assessor does not agree with the examiner’s recommendation,
the Graduate Adviser or nominee will convene and chair a subcommittee of the
Departmental Postgraduate Committee. The Subcommittee will usually comprise
the Graduate Advisor (or nominee) and one other staff member. Members of the
Subcommittee must not have supervised, examined or assessed the work. The
Academic Head (or acting Head) must not be a member of the Subcommittee.
Where appropriate, the Subcommittee will recommend a ﬁ nal result to the Academic
Head (or acting Head). The recommended result must be based on the examiner’s
and assessor’s reports.
If the examiner’s and assessor’s recommendations agree to within ten percentage
points and do not cross a class or division of honours or a pass/fail border, the
Subcommittee may average the marks without justiﬁ cation. Otherwise, the
recommended ﬁ nal result must be accompanied by a written rationale.
Where the Subcommittee is unable to recommend a ﬁ nal result due to conﬂ ict
between the examiner’s and assessor’s reports, but considers that the conﬂ ict may
be resolved through consultation between the examiner and assessor, the Chair
of the Subcommittee shall invite the examiner and assessor to review the reports
and to consult and report to the Chair of the Subcommittee on the outcome of that
consultation. The Chair may refer the Subcommittee’s proposed ﬁ nal grade to the
examiner and assessor for consideration as part of their consultation.
• Where the examiner and assessor agree upon a grade, and the Subcommittee
is satisﬁ ed regarding the integrity of the process, the Subcommittee shall
recommend that grade to the Academic Head (or acting Head) as the ﬁ nal result;
34 | 2016 Instructions to Examiners and Assessors

the Chair of the Subcommittee must report in writing to the Academic Head (or
acting Head) on the exchange with the examiner and assessor.
•  Where the examiner and assessor revise their recommendations to within ten
percentage points and the recommendations do not cross a class or division
of honours or a pass/fail border, and the Subcommittee is satisﬁ ed regarding
the integrity of the process, the Subcommittee may average the marks without
justiﬁ cation, or recommend, with justiﬁ cation, a ﬁ nal result within the margin
of the examiner’s and assessor’s revised recommended grades. A report on the
exchange with the examiner and assessor must accompany any recommendation
to the Academic Head (or acting Head).
•  Where neither the examiner nor the assessor alters their original recommendation,
or where revised recommendations do not agree within ten percentage points
without crossing a class or division of honours or a pass/fail border, the Chair of
the Subcommittee must refer all material relating to the examination, including a
report on the exchange with the examiner and assessor, to the Academic Head
(or acting Head). The Academic Head (or acting Head) shall either conclude
that the disputed results procedure should be followed or that a safe result is
determinable by the Academic Head (or acting Head) (see “Determination of
result” below).
•  Where the Subcommittee is not satisﬁ ed regarding the integrity of the
consultation process, the Chair of the Subcommittee must detail this concern
to the Academic Head (or acting Head) in writing and should recommend that
the disputed results procedure be followed. The Academic Head (or acting Head)
may or may not endorse this recommendation (see “Determination of result”
below).
Where the Subcommittee is unable to recommend a ﬁ nal grade to the Academic Head
(or acting Head) due to differences between the examiner’s and assessor’s reports
and considers that consultation between examiner and assessor is not appropriate,
the Chair of the Subcommittee must report this conclusion to the Academic Head
(or acting Head) in writing and recommend that the disputed results procedure be
followed. The Academic Head (or acting Head) may endorse this recommendation
or may require the Chair of the Subcommittee to invite the examiners to consult (see
“Determination of result” below).
Supervisors and Academic Heads (or acting Heads) must not participate in the
Subcommittee’s discussion or decision.
See pg 37 for “Determination of result” and pg 39 for “Disputed results
procedure”.
Examining theses and research portfolios (with a value of 90
points or more), except 90 point research components of Bachelors
2016 Instructions to Examiners and Assessors |  35

Honours Postgraduate degrees
If the Academic Head was involved in the supervision or intends to be involved as
an examiner or as a member of the Examination Committee of a thesis or research
portfolio then another member of the Department/School must take on the role of
acting Academic Head with regard to that piece of work. Such a nomination should
be made at the time the examiners are nominated.
Members of the Examination Committee must not have been involved in the
supervision or supervisory team of the student or been examiners of the thesis.
Examining
Both examiners will provide a recommended grade and/or mark accompanied by a
full report that includes justiﬁ cation for the recommended grade in relation to the
grade descriptors on the Examiner’s report form. Examiners’ reports must be written
independently and there should be no contact between the examiners, including
any discussion intended to produce agreement on a ﬁ nal grade. The only exception
is in cases where the examiners have been invited by the Chair of the Examination
Committee to consult as part of the process detailed below.
Examiners’ reports will be provided in conﬁ dence to the supervisor, who may provide
conﬁ dential comment on them in writing (within one week) to the Examination
Committee. Where provided, the supervisor’s commentary should be restricted to the
academic grounds for consideration of the work; this may include an opinion on an
appropriate grade. Extenuating circumstances (other than those relating to resource
availability) are not relevant to the examination process.
Examination Committee
If, upon receipt of the examination reports, the Examination Committee considers that
an examiner should be replaced, they may make a recommendation to the Academic
Head (or acting Head) in writing, outlining the basis of their claim. Disqualiﬁ cation
of an examiner may be warranted in cases where an examiner does not include
justiﬁ cation for the recommended grade or claims insufﬁ cient level of expertise. In
such cases, the Academic Head (or acting Head) may request a revised report or
appoint a replacement examiner.
Where appropriate, the Examination Committee should recommend a ﬁ nal result
to the Academic Head (or acting Head). The recommended result must be based
on the examiners’ reports. If the examiners’ recommendations agree to within ten
percentage points and do not cross a class or division of honours or a pass/fail
border, the Committee may average the marks without justiﬁ cation. Otherwise, the
recommended ﬁ nal result must be accompanied by a written rationale.
Where the Committee is unable to recommend a ﬁ nal result due to conﬂ ict between
the examiners’ reports, but considers that the conﬂ ict may be resolved through
consultation between the examiners, the Chair of the Committee may invite the
examiners to review the reports and to consult and report to the Chair on the
outcome of that consultation. The Chair may draw upon the supervisor statement in
36 | 2016 Instructions to Examiners and Assessors

the exchange with the examiners and/or refer the Committee’s proposed ﬁ nal grade
to the examiners for consideration as part of their consultation.
•  Where the examiners agree upon a grade, and the Committee is satisﬁ ed
regarding the integrity of the process, the Committee shall recommend that
grade to the Academic Head (or acting Head) as the ﬁ nal result; the Chair of
the Committee must report in writing to the Academic Head (or acting Head)
on the exchange with the examiners.
•  Where the examiners revise their recommendations to within ten percentage
points and the recommendations do not cross a class or division of honours
or a pass/fail border, and the Committee is satisﬁ ed regarding the integrity
of the process, the Committee may average the marks without justiﬁ cation, or
recommend, with justiﬁ cation, a ﬁ nal result within the margin of the examiners’
revised recommendations. A report on the exchange with the examiners must
accompany any recommendation to the Academic Head (or acting Head).
•  Where neither examiner alters their original recommendation, or where revised
recommendations do not agree within ten percentage points without crossing a
class or division of honours or a pass/fail border, the Chair of the Committee must
refer all material relating to the examination, including a report on the exchange
with the examiners, to the Academic Head (or acting Head). The Academic Head
(or acting Head) may conclude that the disputed results procedure should be
followed  or  that  a  safe  result  is  determinable  (see  “Determination  of  result”
below).
•  Where the Examination Committee is not satisﬁ ed regarding the integrity of
the consultation process, the Chair of the Committee must detail this concern
to the Academic Head (or acting Head) in writing and should recommend that
the disputed results procedure be followed. The Academic Head (or acting
Head) may or may not endorse this recommendation (see “Determination of
result”below).
Where the Committee is unable to recommend a ﬁ nal grade to the Academic Head
(or acting Head) due to differences between the examiners’ reports and considers
that consultation between examiners is not appropriate, the Chair of the Committee
must report this conclusion to the Academic Head (or acting Head) in writing and
recommend that the disputed results procedure be followed. The Academic Head
(or acting Head) may endorse this recommendation or may require the Chair of the
Examination Committee to invite the examiners to consult (see “Determination of
result” below).
No person involved in the supervision of the work under examination, or the Academic
Head (or acting Head), should participate in the Committee’s discussion or decision.
Determination of result
Theses, Research Portfolios, Dissertations and Research Projects
Approval of the ﬁ nal result is the responsibility of the Associate Dean (Postgraduate).
If the ﬁ nal grade recommended by the Examination Committee/Departmental
2016 Instructions to Examiners and Assessors |  37

Postgraduate Subcommittee is endorsed by the Academic Head (or acting Head), then
that will be normally the ﬁ nal result for the work. The Associate Dean (Postgraduate)
must afﬁ rm the integrity of the examination process and approve the appropriateness
of the ﬁ nal result. The Associate Dean (Postgraduate) may request further information
from the Examination Committee/Departmental Postgraduate Subcommittee or
Academic Head (or acting Head) or request that the Chair of the (Sub)Committee
invites the examiner(s)/assessor to consult where such consultation has not already
occurred. The Associate Dean (Postgraduate) may refer individual cases to the Dean
of Graduate Studies for review as disputed results.
In cases where the Academic Head does not endorse the ﬁ nal grade recommended
by the (Sub)Committee, and where that grade did not involve consultation between
examiner(s)/assessor, the Academic Head may:
•  discuss the recommended ﬁ nal grade with the (Sub)Commmittee; if further
information is provided by the (Sub)committee or if an alternative ﬁ nal grade is
endorsed as a result of that discussion, the additional information and a report
on that discussion must accompany the endorsed grade
and/or
•  require the chair of the (Sub)Committee to invite the examiner(s)/assessor to
consult with or without reference to the (Sub)Committee’s recommended ﬁ nal
grade
or
•  refer the case to the Dean of Graduate Studies for review as a disputed result. All
material relating to the examination must be forwarded to the Dean of Graduate
Studies and should be accompanied by a report written by the Academic Head
(or acting Head) outlining the reasons why it has not proved possible to endorse
a ﬁ nal recommended grade.
If the recommended ﬁ nal grade involved consultation between examiner(s)/assessor,
but the Academic Head has concerns about the safety of the recommended result,
the case must be referred to the Dean of Graduate Studies for review as a disputed
result. All material relating to the examination must be forwarded to the Dean of
Graduate Studies and should be accompanied by a report written by the Academic
Head (or acting Head) outlining the reasons why it has not proved possible to endorse
a ﬁ nal recommended grade and the substance of the exchange with the examiner(s)/
assessor.
Where a (Sub)Committee has recommended that the disputed results procedure be
followed, or referred an examination to the Academic Head (or acting Head) without
a recommended ﬁ nal grade or with concerns about the integrity of the consultation
process, the Academic Head (or acting Head) may:
•  conclude that the disputed results procedure should be followed, in which case
all material relating to the examination must be referred to the Dean of Graduate
Studies; the material must be accompanied by a report written by the Academic
Head (or acting Head) outlining the reasons why it has not proved possible to
38 | 2016 Instructions to Examiners and Assessors

recommend and endorse a ﬁ nal grade and the substance of any exchange with
the examiner(s)/assessor
or
•  require that the Chair of the (Sub)Committee invite the examiner(s)/assessor
to consult in cases where the (Sub)Committee has concluded that consultation
between examiner(s)/assessor is not appropriate
or
•  identify and/or endorse a ﬁ nal grade where the recommendations of the
examiner(s)/assessor are more than ten percentage points apart and/or cross
a class or division of honours or a pass/fail border, but the Academic Head (or
acting Head) considers that a safe result is determinable, or where concerns
raised by the (Sub)Committee about the integrity of the consultation process have
been considered and dismissed; in both cases, the Academic Head (or acting
Head) must provide the Associate Dean (Postgraduate) with written justiﬁ cation
regarding the safety of the endorsed ﬁ nal grade.
Disputed results procedure
Theses, Research Portfolios, Dissertations and Research Projects
Where it has not been possible to determine a safe ﬁ nal result, the Academic Head
(or acting Head) or the Associate Dean (Postgraduate) must refer the case to the
Dean of Graduate Studies for review as a disputed result. All material relating to the
examination must be forwarded to the Dean of Graduate Studies. The material must
be accompanied by a report written by the forwarding body, outlining the reasons
why it has not proved possible to recommend and endorse or approve a ﬁ nal grade
and the substance of any exchange with the examiner(s)/assessor.
The Dean of Graduate Studies has the power to appoint an external referee, in
consultation with the Academic Head (or acting Head) where appropriate, who will
consider the work under examination and the previous examination/assessment
reports and any other information deemed necessary by the Dean of Graduate
Studies (this may include the supervisor’s written comments on theses/research
portfolios). The external referee will provide a conﬁ dential report on the work under
examination and the examination process and will recommend a grade for the work.
This grade will be the ﬁ nal result. The original examiner(s)/assessor, Associate Dean
(Postgraduate), Academic Head (or acting Head) and Chair of the Examination
Committee/Postgraduate Department Subcommittee will be notiﬁ ed of the outcome.
Referral of a case to the Dean of Graduate Studies does not necessarily mean that an
external referee will be appointed.
Examiners’ reports – theses and research portfolios
Masters thesis and research portfolio candidates will receive the examiners’
evaluations of their work (Part 2 of the Examiners’ reports) when the examination
is complete. The candidate will not be informed of the names, or other identifying
information, of their examiners. The Dean of the Faculty (through the Associate
2016 Instructions to Examiners and Assessors |  39

Dean (Postgraduate)) reserves the right to remove from an examiner’s report made
available to the candidate any material that they consider should not be released.
PhD candidates who are enrolled under the 2011 PhD Statute will receive the
examiners’ evaluations of their work (Part 2 of the Examiner’s Report on Doctoral
Thesis) no fewer than ﬁ ve working days before their oral examination to assist them
with their preparation for the oral examination. The candidate will not be informed
of the names, or other identifying information, of their examiners, except that of the
Oral Examiner, unless this is speciﬁ cally agreed to by the individual examiner on the
examiner’s report. The Board of Graduate Studies (through the Dean of Graduate
Studies) reserves the right to remove from an examiner’s report made available to the
candidate any material that it considers should not be released. Except in the case
of candidates enrolled under the 2011 PhD Statute, examiners’ reports should not be
discussed with candidates until the examination process is completed.
Submission of ﬁ nal results
a  Results for theses and research portfolios should be submitted on an AS-512R
or on an AS-512T form for dissertation and research projects. These forms
consist of two parts:
Part A: appointment of examiners etc.
Part B: recording of grades.
Once both sections are completed, the form must be sent to the Examinations
and Timetable Services Ofﬁ ce.
Academic Heads should ensure that all sections of the form are completed.
Notes:
•  Enter the thesis, dissertation etc, grade, P or F.
•  Obtain signatures of all the appointed examiners and assessors for the thesis
or dissertation etc. (Alternatively, signed and graded Examiners’ Reports may
be attached to the AS-512.)
b  Forms are available at: www.staff.auckland.ac.nz/forms.
40 | 2016 Instructions to Examiners and Assessors

Other roles and responsibilities
Associate Dean
Purpose
Ensuring that all academic teaching units across the
University consistently meet the quality standards
required for assessment of student learning
Responsibilities
Ensuring assessment is consistent across the Faculty
and reliably meets the University’s standards
Activities
Standards
Review assessment regime to
All assessment activities are carried out in line with
ensure consistency in breakdown  policy:
of assessment
Assessment of Student Learning
Instructions to Examiners and Assessors
Third level escalation point for
Te Reo Mäori in Teaching, Learning and
student cases from departments  Assessment
or Student Centre
Develop and report against
University Quality Assurance Framework
quality indicators for assessment
Review reports of faculty-wide
The University’s quality standards are met and
assessment activity
maintained
Provide an overview to Dean at
end of each semester
Associate Dean (Postgraduate)
Afﬁ rm integrity of examination processes and
Approve grades for theses,
approve appropriateness of results for sub-doctoral
research portfolios, dissertations  postgraduate students.

and research projects for sub-
doctoral postgraduate students

2016 Instructions to Examiners and Assessors |  41

Faculty Group Services
Located in academic units
Purpose
To provide services to academic units delivering
courses and programmes. The main focus is
to ensure effective and efﬁ cient administrative
support for the examinations function, coordinating
submission of material to meet process calendar
deadlines and having delegated authority to
manage administrative activities for the Academic
Heads
Responsibilities
To support academic staff in the administration of
assessment processes
Activities
Standards
Provide administrative support
Support is available to examiners / course directors
for preparation of exam question in preparing and formatting papers
papers within departments,
Exam submission is tracked and exceptions (e.g. late
ensuring papers are formatted
papers) are reported to the Academic Head
to the required standard and
submitted to Examinations on
time
Support administration of
Accurate information is available to staff
aegrotat/compassionate
assessing academic information for aegrotat and
applications
compassionate applications [turnaround = three
working days]
Notify aegrotat/compassionate
Where an aegrotat / compassionate decision is to
applicants of outcomes of
resit or hold an oral test, arrangements are made
written test applications
promptly in conjunction with the Examinations and
Timetable Services Ofﬁ ce and the student kept
informed
Consult with academic staff
Nominations are recorded and approved by the
to obtain nominations of
Academic Head by the expected time
examiners, assessors and course
directors and enter data in CS9
Where required, results are
Final results are entered into Cecil accurately and
entered in Cecil for approval by
promptly
Course Director
Results are treated as strictly conﬁ dential
42 | 2016 Instructions to Examiners and Assessors

Faculty Student Centre / Resource Centre
Purpose
Provide services to students to advise, assist
and manage them throughout the student
lifecycle.
Responsibilities
To support students in the administration of
assessment processes
Activities
Standards
Receive hard copy Masters theses
Submission is receipted
and research portfolios
Receive applications for exam
Requests are turned around within three weeks
recounts, access the script, and liaise
with the examiner to conﬁ rm marks
have been added correctly

2016 Instructions to Examiners and Assessors | 43

Faculty Academic Administration Services
Purpose
To coordinate and manage academic
administration processes for the faculty
to support the delivery of the curriculum
associated with core academic processes.
To ensure processes and activities comply with
University policy, and are managed efﬁ ciently,
consistently and meet service expectations.
Responsibilities
To assist with collection and maintenance of
the coursework and examination details to
ensure the data is captured and aligns with
the course books
Timetable requests are made and the draft
examination timetable checked
Activities
Standards
Liaise with course directors to enter
Coursework and exam details are completed
coursework and exam details into CS9 for all courses and entered before the deadline
for submission
Arrange academic head signoff
Late changes are recorded by the
Examinations and Timetable Services Ofﬁ ce
Coordinate checking and approval of
the provisional exam timetable
Provide a list of completing
Ensure timelines are met as per the Guidelines
research Masters students, liaise
for the Administration of Research in Masters
with departments to coordinate
Degrees.
submission and examination. Track
milestones and ensure the ﬁ nal grade
and completion details are recorded
44 | 2016 Instructions to Examiners and Assessors

Examinations and Timetable Services Ofﬁ ce
Purpose
To manage, maintain, co-ordinate, advise and
report on assessment processes and examinations.
Responsibilities
To ensure the integrity of the University’s formal
examination and assessment processes. To provide
academic units with support and guidance on these
processes.
Activities
Standards
Ensure that assessment criteria
Assessment breakdown has been entered by the
is collected
deadline and entered correctly
Build the examination timetable
The optimum timetable with the fewest possible
clashes for students
Faculty requests are taken into consideration and
accommodated where possible
Ensure that the nominations of
Nominations have been received are entered
examiners and assessors are
accurately
collected
Receive, check and print
Examiners have the resources to format and submit
examination papers
examination papers correctly
Organise and advise students
Students adhere to the examination regulations
who are unable to sit their
Examinations sat outside the University of Auckland
examinations at the scheduled
adhere to our standards
time and date
Examination materials are available to students at
the approved time and place
Resource and run examinations
An adequate pool of well-trained examination
supervisors
Appropriate examination conditions are provided
for students
Provide adequate central facilities on all campuses
to run examinations
Accommodate students who
Best possible conditions are provided with
are sitting examinations under
appropriate supervision
special conditions
2016 Instructions to Examiners and Assessors | 45

Examinations and Timetable Services Ofﬁ ce
continued
Activities
Standards
Co-ordinate and process
Adequate support and assistance is provided for
applications for aegrotat,
students and staff in the processing of applications
compassionate and special
passes
Receive and post results to
Accurate information is entered on all students’
students’ records
records in a normal timeframe of 2 working days
Provide evaluations and
Examiners receive results in a timely manner
scanning services for examiners
46 | 2016 Instructions to Examiners and Assessors

Academic forms and responsibilities
AS-64
Coursework and Examination Details
Course Directors (initials)
Academic Head (per ACADORG)
AS-43
Changes to Coursework & Examinations  Academic Head
Details
-
Nominations of Course Directors,
Academic Head
Examiners & Assessors
AS-44
Changes to Nominations
Academic Head
-
Submission of exam papers (online)
Examiner, Assessor or Course
Director
-
Examiners Grade Approval Sheet
Course Director
Examiner (if required)

Assessor
AS-58
Request for Changes to Results
Course Director
Examiner (if applicable)
Academic Head
AS-65
Submission of Results for Individually
Assessed Courses (2-part form)
PART A: Approve nominations of
examiner(s) and assessor
Academic Head
PART B: Submission of grade:
Examiner(s)
Assessor
Grade conﬁ rmation and approval:
Academic Head
AS-512R
Masters Thesis or Research Portfolio
(2-part form)
PART A
Nominations (incl appointment of
Academic Head or Acting Head
Examination Committee): Graduate
Advisor & members:
PART B
Results Recommendation:
Departmental Graduate Advisor
(or nominee)
Endorsement:
Academic Head or Acting Head
Approval:
Dean/Assoc Dean (Postgrad)
2016 Instructions to Examiners and Assessors |  47

AS-512T
Research in Postgraduate Programmes
(except masters thesis and research
portfolio) (2-part form)
PART A
Nominations of examiner and assessor
and graduate advisor:
Academic Head/Acting Head
PART B
Results Recommendation:
Examiner, Assessor and
Graduate Advisor
Endorsement:
Academic Head/Acting Head
Approval:
Dean/Assoc Dean (Postgrad)
AS-18a
Recount Decision form
Examiner
Academic Head*
*Where a change in ﬁ nal grade
is agreed

AS-73
Application for Late Results Submission
Examiner
Academic Head
Assoc Dean (Academic)*
Assoc Dean (Postgrad)*
*Where applicable

AS-49
Aegrotat/Compassionate applications
Recommendation:
Academic Head
Approval:
Senate
AS-55
Special Pass applications
Recommendation:
Academic Head
Approval:
Senate
48 | 2016 Instructions to Examiners and Assessors

Document Outline

revised_Memo EC_2016 Ex & Ass_Sept 2015 - Copy
2016 Examiners-Assessors-proof7a