2018 Instructions to Examiners and Assessors.pdf

Examinations and Timetable Services Offi ce
2018
Instructions to
Examiners and Assessors
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5Deadline dates for submission of information to the Examinations and
Timetable Services Oﬃ
ce
Summer
Sem 1
Sem 2
Q1
Q2
Q3
Q4
School
Coursework and
08 Dec
23 Feb
13 Jul
15 Dec (for  06 Apr
29 Jun
21 Sep
Examination
(for 2018)
2018)
Details
07 Dec
14 Dec (for
(for 2019)
2019)
Nominations for
12 Jan
09 Mar
27 Jul
19 Jan
20 Apr
13 Jul
05 Oct
Examiners and
Assessors
Question Paper
Submission:
Papers in Week
31 Jan
14 May
01 Oct
1 (Thu–Sat) and
Week 2 (Mon-Sat)
Papers in Week 3
21 May
08 Oct
(Mon–Mon)
Quarters
14 Mar
13 Jun
05 Sep
28 Nov
Examinations
12 Feb
07 Jun
25 Oct
24 Mar
23 Jun
15 Sept
25 Nov
begin
Examinations end
14 Feb
25 Jun
12 Nov
Final deadline for
20 Feb
05 Jul
22 Nov
03 Apr
03 Jul
25 Sep
18 Dec
results submission
Examination staﬀ  contacts – City Campus
Helen Howard-Jones
Examinations and Timetabling Services Manager
87407
Mark Thomson
Examination Services Manager
87557
Victoria Henderson
Examinations Operations
81373
Sheryl Munro
Examination Papers/Results
81406
Erin Stieler
Examination Papers/Results
81403
Anna Li
Out-of-Centre/Out-of-Time Examinations
87176
Sarah Jones
Examinations under Special Conditions/Aegrotats
81405
Examination Centres during the examinations
City Campus
Room 101, The ClockTower
Epsom Campus
Music Resource Centre, Room G19/G20. D1 Block
Grafton Campus
Student Centre, Building 503
Manukau Campus
NO, Room 231
Tai Tokerau Campus
13 Alexander Street, Whangarei

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Contents
General ................................................................................................................ 3
Purpose ...............................................................................................................3
Scope ..................................................................................................................3
Examination conditions .........................................................................................3
Requirement to sit an examination ..........................................................................3
Notiﬁ cation ..........................................................................................................3
Conﬁ dentiality ......................................................................................................3
Security ...............................................................................................................3
Language of assessment ........................................................................................4
The use of Māori for assessment purposes ...............................................................4
Roles and responsibilities ...................................................................................... 5
Coursework .........................................................................................................13
Procedure ...........................................................................................................13
Guidelines ..........................................................................................................13
Advice to students .............................................................................................. 14
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 .............................................................................................................. 16
Questions announced in advance .......................................................................... 16
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 .......................................................... 19
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
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Individually assessed results ................................................................................ 22
Undergraduate Bachelors Honours results ............................................................. 22
Changes to results .............................................................................................. 22
Deadlines for results submission .......................................................................... 23
Disputed results ................................................................................................. 24
Conceded passes ................................................................................................ 25
Deferred results ................................................................................................. 25
Announcement and publication ............................................................................ 25
Recount of marks ................................................................................................ 26
Aegrotat and compassionate consideration ........................................................... 26
Scope ................................................................................................................ 26
Advice to students .............................................................................................. 26
Sitting examinations ............................................................................................ 26
Method of application ......................................................................................... 27
Processing applications ....................................................................................... 27
Academic requirements for aegrotat and compassionate grades .............................. 28
Notiﬁ cation of outcome ....................................................................................... 28
Reconsideration of applications ............................................................................ 28
Written tests ...................................................................................................... 29
Deferred examinations (clinical and performance) .................................................. 29
Special pass consideration for missed examinations............................................... 30
Availability of examination scripts ........................................................................ 30
Storage and disposal of examination material ........................................................ 30
Examining theses, dissertations, research portfolios and projects ...........................31
The appointment of examiners, examination committees and assessors for theses,
research portfolios, dissertations and research projects ..........................................31
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 32
Examining theses and research portfolios (with a value of 90 points or more), except 90
point research components of Bachelors Honours Postgraduate degrees ................... 35
Determination of result ....................................................................................... 37
Disputed results procedure .................................................................................. 38
Examiners’ reports – theses and research portfolios ................................................ 39
Submission of ﬁ nal results ................................................................................... 39
Other roles and responsibilities ............................................................................40
Academic forms and responsibilities ..................................................................... 44
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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.
Examination conditions
Written tests and formal examinations should be conducted under examination conditions.
All assessments conducted under examination conditions will occur at a speciﬁ ed place and
time, in invigilated settings and without access to any written or printed matter or any blank
paper unless permitted by direction of the examiner.
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.
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Language of assessment
Examination Regulation 2 conﬁ rms expectations and eliminates uncertainty around the
language students must use for assessment and examination. It states that ‘except in
courses where students are required to demonstrate their knowledge and understanding of
languages other than English or Māori, or where a student has made provision to complete
an assessment task in Te Reo Māori under the University of Auckland Te Reo Māori in
Teaching, Learning and Learning and Assessment Policy, all assessment tasks must be
completed in English’.
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.
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 eﬀ orts 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.
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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.
Roles and responsibilities
Academic Head or nominee
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 time required to complete
These items may be delegated to
Ensure the quality of the grades that are submitted and that
other academic staﬀ
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 as-
All assessment activities are carried out in line with
sessment activity
policy:
AS-64 Coursework Details Report
Assessment of Student Learning
Instructions to Examiners and Assessors
Te Reo Māori in Teaching, Learning and Assessment
Address quality issues
Quality Assurance Framework
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Academic Head or nominee (continued)
Activities
Standards
Approving appointments of course
Each course has examiners and assessors appointed and
directors, course co-ordinators,
formal notiﬁ cation forwarded to Examinations by the
examiners and assessors
appropriate deadline
Examiners and Assessors Nominees
Duly constituted examination and postgraduate commit-
Report
tees are appointed
AS-43 Changes to Coursework &
Examiners and Assessors understand their role and
Examinations Details
responsibilities
AS-44 Changes to Nominations
AS-512R, 512T Postgraduate Results
Ensuring assessment and grading
Assessment is carried out in a manner that is fair, valid,
material is reviewed and endorsing
robust, manageable and contributes to the process of
results for both undergraduate and
student learning
postgraduate students
Exam question papers are set at an appropriate standard
and format relevant to the level of the course and con-
tent
Signing oﬀ  exceptions such as
These recommendations are made correctly and prompt-
aegrotats, compassionates, special
ly
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

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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 teach-
ing in relation to the discipline area
Research-active or active in advancing knowledge about
teaching*
Not teaching under supervision
* “Active in advancing knowledge about teaching” means that
academics at this level are required to “have led the develop-
ment and evaluation of innovations in teaching and learning and
have had them peer-reviewed for their impact on student un-
derstanding and engagement” and “have led the dissemination
of eﬀ ective practice” (see Academic Standards for Professional
Teaching Fellows and Senior Tutors Policy).
Responsibilities
Overseeing course design, including assessment pro-
cesses, ensuring assessment is research informed
Activities
Standards
Acting as one of the Examiners for
See Examiner role
the course
Maintaining oversight of assessment
Ensure that consistent assessment standards are main-
standards, including leading Examin-
tained and students treated fairly
ers meetings
Approve course outline (including
That assessments are appropriate for the course
assessment)
Workload for students is appropriate
Assessment complies with regulations (e.g. coursework
not more than 50% for a Stage I course; tests with a
weighting higher than 20% must not be conducted in the
ﬁ nal week of teaching)
Design assessment for group projects
Design is demonstrably fair and clear to students, com-
plies fully with all aspects of this policy and is consistent
with the overall assessment regime
Approval of exam question papers,
Examination papers are submitted on time, free from
and exam printing and stationery
errors and at the level appropriate for the course
requirements
Signing oﬀ  ﬁ nal course results:
Final grades are accurate and submitted on time or alter-
Examiners’ Grade Approval Sheet
native arrangements made
*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)
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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 or-
ganisation 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 objectives
assessment processes
contained in the relevant Graduate Proﬁ le; be criteri-
on referenced; minimise the likelihood of plagiarism
occurring; and be spread as much as possible through
the course
Ensuring that all requirements for
Students receive their work back with constructive and
examination, assessment and mod-
timely feedback as soon as possible, and no later than
eration are met in a timely fashion,
three teaching weeks after the day the work was handed
including submission of approved
in or due, whichever is the later.
examination papers, marking and
Internally assessed tasks which count in a ﬁ nal grade for
results
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.
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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 participa-
tion in Examiners’ meeting
Activities
Standards
Set questions for exam papers
Questions are accurate and have no errors
Consistent standards are maintained across all questions
Sign oﬀ  on taught course results
Final grades are accurate and submitted on time or alter-
Examiners’ Grade Approval Sheet
native arrangements made
AS-65 Submission of Results for Indi-
vidually Assessed Courses
Participate in Examiners meetings
Standards are clear and consistent
At least one examiner to be available
Examiners must be available at a telephone extension or
for the duration of the examination
provide an alternative number to the 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 calculators and  Where book or calculator examinations are required to
books in examinations
be conducted, checks must be made in all rooms
Collection of examination scripts on
Collect scripts promptly or have informed the Examina-
presentation of staﬀ  ID card
tions and Timetable Services Oﬃ
  ce of a delegate or a
delay in collection
Be responsible for the marking the
Where there is more than one examiner they should
scripts
confer
Provide direction to markers as appropriate
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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, re-
search portfolio, dissertation or research project and
provide a written report substantiating a recommend-
ed grade and/or mark
Activities
Standards
Sign oﬀ  on ﬁ nal results
Adhere to marking scheme and maintain indepen-
AS-512R Masters Thesis or Research
dence from any other examiner
Portfolio
Examination Committee agrees on results
AS-512T Research in Postgraduate Pro-
grammes (except Masters Thesis and
Research Portfolio)
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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 con-
siderations preclude an overseas assessor being invited to visit
New Zealand)
An assessor must be appointed for any course which has only
one examiner
Course directors, course coordinators and examiners cannot be
appointed as assessors in the same course
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 shall be
it is appropriate and fair by
considered necessary about the marking system and the course
signing results
to ensure adequate fairness and consistency of standards is
Examiners’ Grade Approval
maintained
Sheet
AS-65
AS-512T
Comment on the validity of
Any issues that arise in the assessment process should be
the recommended result
reported to the Academic Head
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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
two or three 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 appropri-
ateness of the examination and grading given course
content and recognised academic standards
Activities
Standards
Review the content of course(s) to
Fairness and consistency of standards are maintained
ensure an appropriate and accurate
assessment has been set
Review the content and grading of
assessed material, including exam
papers
All nominations must be entered
Each course is to be examined by more than one
by Faculty Group Services by:
member of staﬀ  or examined by one member of
Summer School
12 January
staﬀ  and assessed by another. The Academic Head
may in exceptional cases, vary this requirement.
Semester 1
09 March
Semester 2
27 July
Examiners, assessors and moderators appointed
Quarter 1
19 January
from within the university system are not paid a
Quarter 2
20 April
fee.
Quarter 3
13 July
Changes in nominations of course director,
Quarter 4
05 October
examiner or assessor must be advised to the
Examinations and 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.
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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:
All approved coursework and examination details must be
submitted by Faculty Academic Services to the Examinations
and Timetable Services Oﬃ
  ce by the following dates:
Summer School
08 December (2017 for 2018)
Semester 1
23 February
Semester 2
13 July
Quarter 1
15 December (2017 for 2018)
Quarter 2
06 April
Quarter 3
29 June
Quarter 4
21 September
Summer School
07 December (for 2019)
Quarter 1
14 December (for 2019)
Stage I courses
At least 50% of course assessment should occur in invigilated settings, normally achieved
through formal examinations and/or in-course tests sat under examination conditions.
Applications for any variation from this guidance are to be made to the Education Committee
in advance of preparation of course materials.
Group projects in the context of collaborative learning

• Group projects may contribute to the ﬁ nal coursework percentage awarded in a course.

• The design of group assessment, including the size of working groups, the mark
composition and the assessment criteria should be determined by the learning outcomes
of the material involved. 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.

• The ﬁ nal mark may include peer-assessment where students have been appropriately
trained to undertake this.

• 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.

• Where group projects are included in the assessments for a course, some form of
individually assessed work should also contribute to the total mark.
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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:
•  Tests

• Submission of assignments.
Such advice should be available to all students in the course information provided in course books,
email communication, on Canvas, 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
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 eﬀ ective assessment.
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.
Tests with a weighting higher than 20%, including take-home tests, must not be conducted
in the ﬁ nal week of teaching, unless justiﬁ ed by the distinctive requirements of the
programme. Requests for exemption from this requirement must be made in writing to the
DVC(A) through the Examinations and Timetable Services Oﬃ
  ce, prior to the course outline
being produced.
Assignments
Faculty Group Services must make adequate arrangements for the safe receipt of essays and
assignments etc, in conjunction with the Faculty Student Centres.
Illness
Illness or misfortune aﬀ ecting written tests is covered by the aegrotat and compassionate
regulations. Other circumstances, such as sporting or work commitments, that prevent
a student from sitting a written test at the scheduled time are not covered by these
regulations. Academic Heads may take these other circumstances into account and can
be guided in their decisions by the criteria for approving out-of-time and out-of-centre
exams. See: www.auckland.ac.nz/en/for/current-students/cs-academic-information/cs-
examination-information/cs-applications-to-sit-exams-out-of-centre.html.
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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.
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.
Privacy
Care should be taken to ensure personal privacy in the distribution of student marks when
returning assignments and tests.
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 diﬀ erence 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 diﬀ erence,
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
Week 1 & Week 2
Week 3
Summer School
31 January
Semester 1
14 May
21 May
Semester 2
01 October
08 October
Quarter 1
14 March
Quarter 2
13 June
Quarter 3
05 September
Quarter 4
28 November
The examination period for semesters covers three weeks:
Week 1 – a short week from the ﬁ rst day of exams (Thursday) to the ﬁ rst Saturday;
Week 2 – from Monday to the second Saturday; and
Week 3 – from the following Monday to the next Monday excluding Sunday
Dates for the submission of question papers to the Examinations and Timetable Services
Oﬃ
  ce have been set according to the week in which each examination is timetabled.
Departments/Group Services should ensure papers are submitted by the appropriate dates.
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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

• Lecturers may announce during lectures, the apportionment of the questions in the ﬁ nal
examination in relation to the material covered in the course.

• 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 the
points 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.
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 provided that it meets the conditions set out under the ‘Electronic
calculators’ section below. 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
RB - Restricted Book: may be written upon. 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.
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HB - Restricted Book: may not be written upon but may be highlighted. 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.
UB - Restricted Book: unmarked material. Candidates may bring into the examination
room material speciﬁ ed by the examiner. Such material cannot be written upon or marked in
any way.
Deadlines for receipt of book
Advice to students
details by the Examinations and
Timetable Services Oﬃ
ce are:
All students must be formally notiﬁ ed as early
Summer School
Fri 19 Jan
as possible in the semester as to which book
Semester 1
Fri 06 Apr
designation their examination will be.
Semester 2
Fri 31 Aug
Publication of book list for students
If an examination is approved as Restricted, Supplied or Open Book these details should be
supplied to the Examinations and Timetable Services Oﬃ
  ce 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.
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.
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.
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Calculators must not be shared or used in a manner that interferes with or distracts another
candidate.
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.
Designations
Calculators are permitted – CP
Candidates are permitted to use any calculator which satisﬁ es the general conditions.
Departmental Calculators – DC
Candidates will be supplied with calculators by the department.
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.
Specifi ed calculators are permitted – SC
Departments may specify other necessary or desirable features as appropriate to the
subject.
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 aﬀ ects their
ability to undertake examinations under the prescribed examination conditions may, upon
production of the appropriate evidence, obtain from University Health and Counselling
Services or Student Learning Services, a recommendation which will enable that student to
be examined under conditions which take account of the particular impairment.
Student applications for the approval of on-going special conditions for a permanent
impairment must be made no later than the second Friday following the commencement of
lectures. Applications for temporary conditions must be made as soon as possible.
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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.
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 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
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.
Performance examinations for all postgraduate degrees are to be held as public recitals.
All postgraduate recitals will be video recorded for assessment by an external assessor with
broad experience in tertiary performance examining.
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
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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  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 eﬀ ort 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  is required to be present throughout the proceedings.
Award of marks and grades
Grade point scale
Pass Marks
A+
High ﬁ rst
9
A pass mark is 50 percent or over.
A
Clear ﬁ rst
8
Grades
A–
Bare ﬁ rst
7
There are ten pass grades and three fail grades.
B+
High second
6
The pass grades may have diﬀ erent allocated
B
Clear second
5
percentages in diﬀ erent departments.
B–
Bare second
4
Ungraded Pass/Fail Results
C+
Sound pass
3
After application to the Education Committee,
C
Pass
2
a course may be approved to carry an ungraded
pass/fail result provided it meets the following
C–
Marginal Pass
1
criteria:
Conceded Pass
a
The course involves a substantial amount of
practical work (a minimum of 60 percent). The
D+
Marginal Fail
0
work will usually be carried out over a period
D
Clear Fail
0
of time in which the student is expected to
D–
Poor Fail
0
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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.
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. Where scaling takes place,
students should be notiﬁ ed of the basis for scaling through Canvas.
Postgraduate qualifi cations: Honours, Distinction, Merit
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 and in Masters degrees that do not have a research component of
30 points or more.
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).
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

• For each class, enter a grade for each student.

• 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 ‘Deadlines
for results submission’).

• Enter DNS in all instances if the student did not sit the exam.

• DNC (Did Not Complete) is to be entered in the following circumstances:
a  where a student has gained more than 50 percent in a course but has not completed the
approved compulsory coursework
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or
b  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.
•  Where a student has applied for aegrotat or compassionate consideration, the result
returned must be for the work actually submitted at the examination. If the student has
been absent for any paper, the result must be recorded as DNS (Did Not Sit) even though
the examiner may intend to recommend an aegrotat or compassionate grade.
•  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 Canvas. 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.
Changes to results
Any changes to grades after the results have been submitted to the Examinations and
Timetable Services Oﬃ
  ce are to be provided on Form AS-58. The changes must be signed by
the Academic Head and the Course Director nominated to sign results for that course. The
reason for the change to grades must be clearly stated.
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Deadlines for results submission
Deadline dates for return of results to the
Examinations and Timetable Services Oﬃ
ce:
Summer School
Tuesday 20 February
Semester 1
Thursday 05 July
Semester 2
Thursday 22 November
Quarter 1
Tuesday 03 April
Earlier submission of results is
Quarter 2
Tuesday 03 July
encouraged. However, the date
Quarter 3
Tuesday 25 September
noted in this table is the ﬁ nal
Quarter 4
Tuesday 18 December
deadline for each semester.
Taught courses:
Any results not submitted by the deadline speciﬁ ed in the Instructions to Examiners and
Assessors will be notiﬁ ed to Education Committee.
If, because of exceptional 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.
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.
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.
If the result has not been submitted within three months of the deadline, a DNC grade will
normally be entered.
Research courses of between 30 and 80 points:
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.
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.
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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.
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.
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 courses that are subject to formal assessment other than
for theses, research portfolios, dissertations and research projects of 30 points or above.
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 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.
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 ‘Referee’ below.
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).
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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.
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/en/genregs/examination.html.
Deferred results
Please refer to the current University of Auckland Calendar for the regulations regarding
Deferred Results www.calendar.auckland.ac.nz/en/genregs/examination.html. For the
following degrees, results may be deferred in certain situations.

• 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

• Bachelor of Sport, Health and Physical Education (subject to CUAP approval)

• Master of Social Work (Professional)

• 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.
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Recount of marks
By making application no 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:
•  Final written examinations

• Formal practical or oral examinations

• Final submissions in the practical and studio work in the Faculty of Creative Arts and
Industries

• 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
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University’s medical or counselling advisers will not approve a DNS unless the evidence
justiﬁ es it.
Students with disabilities or temporary conditions aﬀ ecting 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
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.
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.
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 aﬀ ected, the closing
date is one week after the last examination aﬀ ected. Students must not wait for their
examination results before submitting their application.
Processing applications
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.
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.
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 submitted in the
normal return of results process.
Forms should be returned to the Examinations and Timetable Services Oﬃ
  ce as soon as
possible, within a week of receipt.
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Academic requirements for aegrotat and
compassionate grades
Deadline dates for return of aegrotat
recommendations:
Summer School
Wed 21 February
Semester 1
Fri 06July
Semester 2
Fri 23 November
To recomm end 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.
Instead of recommending an aegrotat or compassionate grade, the Academic Head may
recommend that the student take another examination which may 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.
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 diﬀ er from that recommended).
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
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.
Departments will be advised only in those cases where the Senate representative approves
a diﬀ erent 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.
ReconsideraƟ on of applicaƟ ons
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.
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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.

• Students who have been prevented from sitting a test or who consider that their
preparation for or 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.

• 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.

• Students must submit the application form and evidence within seven days after the date
of the test.

• 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.

• 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. 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.

• 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 (13b & c), and should
include where appropriate evidence from University Health 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
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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
This section on special pass consideration for missed examinations has been removed
following approval by Education Committee, Senate and Council to remove the special
pass provisions in the University’s Examination Regulations. Applications for consideration
of missed exams can now only be made under the aegrotat and compassionate provisions
outlined on pages 26-30 of this booklet
Availability of examination scripts
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.
Applications will be made online and a copy sent by email to the student.
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.
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.
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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 read and 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.
32.
Examiners, Examination Committees and Assessors are
nominated as follows:
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. Examiners will normally be research active.
For theses or research portfolios with a value of 90 points or more (except 90 point research
components of Bachelor Honours Postgraduate degrees):
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• 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. The examiners must not be from the same institution. Examiners must be
appointed according to the Postgraduate Examiner Appointment Procedures available
at www.auckland.ac.nz/en/about/the-university/how-university-works/policy-
and-administration/teaching-and-learning/postgraduate-research/examinations/
appointmentofexaminers.html.

• 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 grade. The
examiner must not consult with any other party during this stage of the examination
process.
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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. The Subcommittee must not undertake an examination or assessment of the
student’s work.
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 or recommend, with written justiﬁ cation, a
ﬁ nal result within the margin of the examiner’s and assessor’s recommended grades. The
Subcommittee must not examine or assess the student’s work.
Otherwise, it is expected that the Chair of the Subcommittee will invite the examiner and
assessor to review the reports and to consult and report in writing to the Chair of the
Subcommittee on the outcome of that consultation (see ‘Consultation between examiner
and assessor’ section below).
If the Subcommittee regards examiner and assessor consultation as inappropriate and/
or unnecessary, the committee may recommend a ﬁ nal grade to the Academic Head only
where the committee also provides a detailed written rationale for that grade in relation
to the content of the examiner and assessor reports. The Subcommittee must not examine
or assess the student’s work. The written rationale for the recommended grade must
also address why examiner and assessor consultation was regarded as inappropriate or
unnecessary.
Where the Subcommittee is unable to safely recommend a ﬁ nal grade to the Academic Head
(or acting Head) due to diﬀ erences 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)
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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).
Consultation between examiner and assessor
Where the Chair of the Subcommittee invites the examiner and assessor to review the
examiner’s and assessor’s reports, consult and report to the Chair on the outcome, the Chair
may also invite the examiner and assessor to consider, as part of their consultation, a grade
and rationale proposed by the Subcommittee based on the two reports.
•  Where the examiner and assessor agree upon a grade, and the Subcommittee is satisﬁ ed
regarding the integrity of the process and with the rationale provided by the examiner
and assessor for agreement of a grade, the Subcommittee shall recommend that grade
to the Academic Head (or acting Head) as the ﬁ nal result; the Chair of the Subcommittee
must report in writing to the Academic Head (or acting Head) on the exchange with the
examiner and assessor and the integrity of the outcome.

• 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 in relation to the examiner and assessor reports and consultation, a ﬁ nal
result within the margin of the examiner’s and assessor’s revised recommended grades.
The Subcommittee must not examine or assess the student’s work. 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, rather than recommending a
grade on the AS-512T, 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). This report may include the views of the Subcommittee
on the examiner’s and assessor’s reports and on the exchange between the examiner
and assessor. The Subcommittee must not examine or assess the student’s work. 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).
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. 38 for ‘Disputed results procedure’.
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Examining theses and research portfolios (with
a value of 90 points or more), except 90 point
research components of Bachelors 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 (or between
examiners and supervisors) on the work under examination, 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 with each
other 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.
The Examination Committee is to consider the content of the examination reports and
the examiners’ recommended grades in relation to the grade descriptors provided to the
examiners. 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 in relation to the grade descriptors. The Examination Committee must
not undertake an examination or assessment of the student’s work.
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 or recommend, with written justiﬁ cation, a ﬁ nal result within the margin
of the examiners’ recommended grades. The Examination Committee must not examine or
assess the student’s work.
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Otherwise, it is expected that the Chair of the Examination Committee will invite the
examiners to review both reports, consult and report to the Chair on the outcome of that
consultation. The Chair may draw upon the supervisor statement in the exchange with the
examiners and/or refer the Committee’s proposed ﬁ nal grade and rationale to the examiners
for consideration as part of their consultation. (see ‘Consultation between examiners’
section below).
If the Examination Committee regards examiner consultation as inappropriate and/or
unnecessary, the committee may recommend a ﬁ nal grade to the Academic Head only
where the committee also provides a detailed written rationale for that grade in relation
to the content of the examination reports and the grade descriptors. The Committee must
not examine or assess the student’s work. The written rationale for the recommended
grade must also address why examiner consultation was regarded as inappropriate or
unnecessary.
Where the Committee is unable to safely recommend a ﬁ nal grade to the Academic Head
(or acting Head) due to diﬀ erences 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).
Consultation between examiners
Where the Chair of the Examination Committee invites the examiners to review both
reports, consult and report to the Chair on the outcome, the Chair may also invite the
examiners to consider, as part of their consultation, quoted or paraphrased passages from
the supervisor’s statement, and/or a grade and rationale proposed by the Examination
Committee in relation to the examination reports and grade descriptors.
•  Where the examiners agree upon a grade, and the Committee is satisﬁ ed regarding the
integrity of the consultation process and with the rationale provided by the examiners for
agreement on a grade, 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 and the integrity
of the outcome.

• 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 in relation to the
grade descriptors, the examination reports and the examiner consultation, a ﬁ nal result
within the margin of the examiners’ revised recommendations. The Committee must not
examine or assess the student’s work. 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, rather than recommending a grade on the
AS-512R, 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). This report may include the views of the Committee on the examination reports
and the exchange between the examiners, in relation to the grade descriptors. The
Committee must not examine or assess the student’s work. The Academic Head (or acting
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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).
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 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:
a
discuss the recommended ﬁ nal grade with the (Sub)Committee; 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 written report by the Academic Head
on that discussion must accompany the endorsed grade
and/or
b  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
c
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.
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Where a (Sub)Committee has recommended that the disputed results procedure be
followed, or referred an examination to the Academic Head (or acting Head) either with
concerns about the integrity of the consultation process or where examiner(s)/assessor
recommended grades remain, post consultation, more than 10% apart and/or crossing a
class or division of honours or a pass/fail border, the Academic Head (or acting Head) may:
a
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 recommend and endorse a
ﬁ nal grade and the substance of any exchange with the examiner(s)/assessor
or
b  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
c
identify 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 ﬁ nal grade and its relation to the
examination reports, applicable grade descriptors and the consultation process. The
Academic Head (or acting Head) must not examine or assess the student’s work.
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. The Dean of Graduate Studies may also reset an
examination process from any given point, or require expanded written rationales from (Sub)
Committees or Academic Heads or (additional) consultation between examiner(s)/assessor.
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The powers of the Dean of Graduate Studies detailed under the disputed results procedure
also apply to cases (other than master theses) referred by the Examinations and Timetable
Services Oﬃ
  ce to the Dean of Graduate Studies as part of routine checks.
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 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
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 recommended grades and ﬁ nal grade for the thesis, dissertation etc.
Once both sections are completed, the form must be scanned and emailed to
[email address] together with all associated reports (eg, signed and grade
Examiners’ reports, supervisor’s commentary where provided).
Academic Heads should ensure that all sections of the form are completed.
Forms are available at: www.staﬀ .auckland.ac.nz/forms.
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Other roles and responsibilities
Associate Dean
Purpose
Ensuring that all academic teaching units across the Uni-
versity 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 ensure
All assessment activities are carried out in line with
consistency in breakdown of assess-
policy:
ment
Assessment of Student Learning
Third level escalation point for
Instructions to Examiners and Assessors
student cases from departments or
Te Reo Māori in Teaching, Learning and Assessment
Student Centre
Develop and report against quality
University Quality Assurance Framework
indicators for assessment
Review reports of faculty-wide as-
The University’s quality standards are met and main-
sessment activity
tained
Provide an overview to Dean at end of
each semester
Associate Dean (Postgraduate)
Aﬃ
  rm integrity of examination processes and approve
Approve grades for theses, research
appropriateness of results for sub-doctoral postgraduate
portfolios, dissertations and research  students.
projects for sub-doctoral postgradu-
ate students
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Faculty Group Services
Located in academic units
Purpose
To provide services to academic units delivering courses
and programmes. The main focus is to ensure eﬀ ective
and eﬃ
  cient administrative support for the examina-
tions 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 as-
sessment processes
Activities
Standards
Provide administrative support for
Support is available to examiners / course directors in
preparation of exam question papers
preparing and formatting papers
within departments, ensuring papers
Exam submission is tracked and exceptions (e.g. late
are formatted to the required stan-
papers) are reported to the Academic Head
dard and submitted to Examinations
on time
Support administration of aegrotat/
Accurate information is available to staﬀ  assessing
compassionate applications
academic information for aegrotat and compassionate
applications [turnaround = three working days]
Notify aegrotat/compassionate appli-
Where an aegrotat / compassionate decision is to resit
cants of outcomes of written test
or hold an oral test, arrangements are made promptly
applications
in conjunction with the Examinations and Timetable
Services Oﬃ
  ce and the student kept informed
Consult with academic staﬀ  to obtain
Nominations are recorded and approved by the Academ-
nominations of examiners, assessors
ic Head by the expected time
and course directors and enter data
in CS9
Where required, results are entered
Final results are entered into Canvas accurately and
in Canvas for approval by Course
promptly
Director
Results are treated as strictly conﬁ dential
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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 as-
sessment processes
Activities
Standards
Receive hard copy Masters theses and
Submission is receipted
research portfolios
Receive applications for exam recounts,
Requests are turned around within three weeks
access the script, and liaise with the ex-
aminer to conﬁ rm marks have been added
correctly
Faculty Academic Administration Services
Purpose
To coordinate and manage academic adminis-
tration 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, con-
sistently 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 exam-
ination timetable checked
Activities
Standards
Liaise with course directors to enter
Coursework and exam details are completed for
coursework and exam details into CS9
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 research
Ensure timelines are met as per the Guidelines for
Masters students, liaise with departments
the Administration of Research in Masters Degrees.
to coordinate submission and examination.
Track milestones and ensure the ﬁ nal grade
and completion details are recorded
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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 exam-
ination and assessment processes. To provide academic
units with support and guidance on these processes.
Activities
Standards
Ensure that assessment criteria is
Assessment breakdown has been entered by the dead-
collected
line and entered correctly
Build the examination timetable
The optimum timetable with the fewest possible clashes
for students and, ideally, no more than one exam per day
for students
Faculty requests are taken into consideration and accom-
modated where students will not be adversely aﬀ ected
Ensure that the nominations of exam-
Nominations have been received and are entered accu-
iners and assessors are collected
rately
Receive, check and print examination  Examiners have the resources to format and submit
papers
examination papers correctly
Organise and advise students who
Students adhere to the examination regulations
are unable to sit their examinations
Examinations sat outside the University of Auckland
at the scheduled time and date
adhere to our standards
Examination materials are available to students at the
approved time and place
Resource and run examinations
An adequate pool of well-trained examination supervi-
sors
Appropriate examination conditions are provided for
students
Provide adequate central facilities on all campuses to run
examinations
Accommodate students who are
Best possible conditions are provided with appropriate
sitting examinations under special
supervision
conditions
Co-ordinate and process applications  Adequate support and assistance is provided for stu-
for aegrotat, compassionate and
dents and staﬀ  in the processing of applications
special passes
Receive and post results to students’
Accurate information is entered on all students’ records
records
in a normal timeframe of 2 working days
Provide scanning services for examin-
Examiners receive scripts and results in a timely manner
ers
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Academic forms and responsibilities
AS-64
Coursework and Examination Details
Course Directors (initials)
Academic Head (per ACADORG)
AS-43
Changes to Coursework & Examinations Details
Academic Head
-
Nominations of Course Directors, Examiners &
Academic Head
Assessors
AS-44
Changes to Nominations
Academic Head
-
Submission of exam papers (online)
Course Director, Examiner or
Assessor
-
Examiners Grade Approval Sheet
Course Director
Examiner (if required)
Assessor
AS-58
Request for Changes to Results
Course Director or Examiner
Assessor (if applicable)
Academic Head
AS-65
Submission of Results for Individually As-
sessed Courses involves:
Approving nominations of examiner(s) and
Academic Head
assessor
Recommendation 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 Examination
Academic Head or Acting Head
Committee): Graduate Advisor & members:
PART B
Results Recommendation:
Departmental Graduate Advisor (or
nominee)
Endorsement:
Academic Head or Acting Head
Approval:
Dean/Assoc Dean (Postgrad)
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:
Graduate Advisor (or nominee)
Endorsement:
Academic Head/Acting Head
Approval:
Dean/Assoc Dean (Postgrad)
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AS-18a
Recount Decision form
Course Director or Examiner
Academic Head*
*Where a change in ﬁ nal grade is
agreed
AS-73
Application for Late Results Submission
Course Director
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
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