What is AUT�s position

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							                                                                                1

GUIDELINES to support the Policy for the Assessment of Student
Achievement

Updated January 2006

CONTENTS

Page

Application Notes for these Guidelines                                     3

1.0 WHAT IS AUT’S POSITION ON ASSESSMENT?                                  3
2.0 WHAT IS ASSESSMENT?                                                    3
2.1 Summative assessment                                             3
2.2 Formative assessment                                             3
2.3 Assessment events                                                4
3.0 WHAT IS STANDARDS BASED ASSESSMENT?                                    4
3.1 What are the benefits of standards based assessment?             4
4.0 WHAT IS BEST PRACTICE IN ASSESSMENT?                                   5
4.1 Educational best practice                                        5
4.3 Examples of best practice in assessment                          6
5.0 DEVELOPING ASSESSMENT EVENTS                                           6
Figure 1. The assessment development cycle                           7
Table 1. Developing an assessment plan for a paper                   8
Figure 2. Developing an assessment event for a paper                 9
Table 2. Factors to consider when designing paper assessment event
components                                               10
6.0 MODERATION                                                             11
6.1 Pre-moderation                                                   11
6.2 Post-moderation                                                  11
6.3 Internal moderation                                              11
6.4 External moderation                                              11

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Table 3. Moderation practices related to assessment events              12
7.0 MONITORING                                                                13
8.0 EXAMINATION BOARDS                                                        14
8.1 The role and purpose of examination boards                          14
8.2 The role of lecturers                                               16
8.3 Assessment processes and outcomes                                   17
8.3.1 Alternative assessments                                     17
8.3.2 Appeals against results                                     18
8.3.3 Examination procedures                                      19
8.3.4 Extensions for individual assessments                       20
8.3.6 Late assessments                                            21
8.3.7 Plussage                                                    21
8.3.8 Reconsideration of assessment                               22
8.3.9 Result notices                                              23
8.3.10 Special passess (Aegrotat, Conceded, Still to Complete)    24
8.3.11 Students needing special assistance for assessment         28
8.3.12 Te Reo Māori in assessment                                 29
8.3.13 “Terms” requirements                                       30

Appendix 1.       Definitions and Explanations of Terms                       31
Appendix 2.       AUT grade methods                                           34
Appendix 3        Guidelines on administrative responsibilities for service taught
papers                                                                        35
Appendix 4        Sample Aegrotat policy and forms                            36

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APPLICATION NOTES FOR THESE GUIDELINES

The Policy for Assessment of Student Achievement and these Guidelines are
applicable to student assessment regardless of the mode of delivery of the
programme – on campus, online, distance, or any combination thereof.

These Guidelines apply to programmes governed entirely by AUT’s quality systems.

These Guidelines do not apply to Unit Standards or to programmes governed solely
by external professional or industrial bodies.

While recognising the importance of formative assessment, these guidelines focus
primarily on summative assessment of student achievement

1.0 WHAT IS AUT’S POSITION ON ASSESSMENT?

The AUT Mission Statement refers to the fostering of excellence, equity and ethics in
learning and teaching.

The AUT Strategic Plan states that:
 the active integration of theory and practice is fundamental to AUT's philosophy
 our educational delivery will be of an international standard
 our teaching systems … will recognise individual needs … and our learning
experiences will be culturally appropriate and relevant
 we will maintain the applied focus of our curriculum
 we will provide teaching and learning experiences that enhance intellectual
independence and empower students for lifelong learning

All the above have important implications for the quality of assessment procedures
and practices at all levels.

AUT supports a student centred approach to learning, teaching and assessment.
This recognises that students learn at different rates, come from different cultural and
language backgrounds, have different learning styles, have strengths in different
assessment modes, and vary in the development of capability for intellectual
independence.

2.0 WHAT IS ASSESSMENT?

The Policy for Assessment of Student Achievement defines assessment (Section
6.0) as the process of collecting evidence and making judgements about a student’s
levels of competence or achievement in relation to learning outcomes.

2.1 Summative assessment is assessment that contributes towards a final grade.

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2.2 Formative assessment provides feedback to students. Its purpose is to
support and encourage learning. Formative assessment does not contribute towards

2.3 Assessment events are designed to demonstrate students’ achievement of the
learning outcomes.

3.0 WHAT IS STANDARDS BASED ASSESSMENT?

What is assessed and how it is assessed gives clear messages to students about
what is considered important. The principles of standards based assessment are at
the heart of AUT’s philosophy and practice of assessment. Assessment is an integral
part of the teaching and learning process. Assessment policies and practices are
designed as far as possible to maximise learning.

In Standards Based Assessment a learner’s performance is measured against
predetermined standards of achievement or competence. AUT uses two forms of
standards based assessment: achievement based assessment and competency
based assessment.

Achievement Based Assessment measures a learner’s performance against a pre-
determined set of grade-related criteria. Competency Based Assessment judges the
learner’s performance against a pass/fail criterion. It also allows for the recognition of
merit with an appropriate criterion.

3.1 What are the benefits of standards based assessment?

3.1.1 It is educationally sound and transparent. It is consistent with a world trend to
outcomes-based education, and helps meet the expectations of the knowledge
economy and society.

Key principles are:
 The assessment provides clear goals for learners
 A learner’s performance is judged against an agreed standard
 Assessment processes and practices are open and transparent
 Assessment should encourage and enhance learning
 Students should be provided with learning outcomes and assessment criteria
that are specific and measurable and clearly communicated to them prior to
assessment
 Where appropriate, assessment should mirror the way in which assessment
occurs in the workplace

3.1.2 Over the last two decades a new ‘lifelong’ and ‘life-wide’ frame of reference for
teaching and learning has emerged. This is related to strategic economic and
social goals. This ‘new’ learning is about ‘shaping a kind of person’ with generic
abilities as much as content knowledge. These kinds of outcomes cannot be
realistically measured by old-style tests of fact and theory. Standards based
assessment on the other hand provides a framework for students to graduate
from the tertiary education system with the necessary competencies and

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capabilities for full and effective participation in the knowledge society and
economy.

If our graduates are to be effective professionals then their education must
prepare them for the demands and complexities of modern practice. This in turn
requires that assessment mirrors what is assessed in the professional
workplace in both process and content. The increased accountability of
employees in the “market economy” in New Zealand means this workplace
assessment is increasingly based on expected outcomes, with the standards
and criteria by which they will be measured, being made clear to employees.

Students also need to develop effective self-directed and independent learning
skills. In order to structure their own learning and monitor as well as evaluate
their own performance, they need to be able to develop their own learning
outcomes and self-assessment criteria. These skills are best developed in a
programme of learning and assessment that models these behaviours.

3.1.3 More and more of our students will come into our programmes with previous
experience of standards based assessment, and with the expectation that we
will implement the same style of assessment in our programmes at AUT.
Students will expect to be provided with learning outcomes and assessment
criteria which are specific and measurable, and clearly communicated to them
prior to assessment. Students will expect to know what their learning will lead to
and how they will be assessed. These expectations arise also from the larger
context in which higher education institutions function both in New Zealand and
overseas. As higher education has expanded and become more expensive,
institutions have been made more accountable. This has been accompanied by
explicit demands from stakeholders for clear mechanisms for the assessment of
teaching and learning and for encouraging continuous improvement in those
areas.

4.0 WHAT IS BEST PRACTICE IN ASSESSMENT?

4.1 Educational best practice
4.1.1 Assessment is a key motivator in students’ learning. It is therefore important to
educate students about the language, process and expectations of assessment.
4.1.2 Notwithstanding the definitions of summative and formative assessment (2.1
and 2.2 above), and the principle of being clear in the purpose of an
assessment event, assessment should contribute to student learning. All
opportunities to provide feedback to students on their performance should be
embraced.
4.1.3 Good practice in assessment results in coherence between learning outcomes,
assessment criteria, assessment events, and marking schedules/criteria.
4.1.4 Over a programme, good practice in assessment gives confidence that the
4.1.5 Assessment practices should encourage deep learning as appropriate for
vocational and professional practice areas. This includes avoiding excessive
assessment workloads which may foster superficial learning; and presenting
assessment tasks that require meaningful understanding, application, critical
analysis and synthesis for achievement rather than requiring recall. (The greater

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the assessment load, the more task-directed student learning effort is likely to
become, increasing surface learning to the detriment of the deeper, more
holistic, reflective learning that most programme aims and philosophy espouse).
4.1.6 Assessment practices should acknowledge the wide range of first-language and
cultural backgrounds of the student body at AUT. Assessments should provide
support for students in the development of relevant English academic literacies
and intercultural capabilities (refer to AUT Academic Literacies and Intercultural
Capabilities Policy). Assessments should not discriminate against students from
different cultural backgrounds by unfairly rewarding particular forms of cultural
knowledge.

4.2.1 Assessment processes and practices must conform to the AUT Policy for
Assessment of Student Achievement. This means that each programme will use
standards based assessment methods as specified in its programme
documentation. It also means that each programme will have a defined
assessment policy and practices that:
 are consistent with the General Academic Regulations
 have been approved by the relevant board of studies
 are clearly communicated to students in writing in advance of their
assessment
 are consistently applied by lecturers and examination boards
 are consistent with the Policy for Monitoring of AUT Programmes

In addition, the specific requirements and criteria for individual papers will be:
 clearly communicated to students in writing in advance of any assessment
 consistent with the graduate profile for the programme
 consistent with programme policies on assessment
4.2.2 The rationale for policies and procedures should be clear and articulated.

4.3 Examples of best practice in assessment
Examples of best practice in assessment at AUT can be found at [hyperlink to
be developed].

5.0 DEVELOPING ASSESSMENT EVENTS

For these Guidelines the following definitions/explanations apply.
(refer also Appendix 1)

An assessment plan describes the nature of the assessments and their relative
contributions to the final grade for an individual paper.

An assessment event refers to each individual assessment instance eg an
assignment, a test, an exam, a project.

Assessment event components are the individual items that make up an
assessment event eg individual exam/test questions, assignment tasks/sections, etc.

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The process of developing appropriate assessments for a paper begins at the macro
level with programme considerations, proceeds through the individual paper level,
and ultimately focuses on individual learning outcomes and assessment event
components. This sequence is illustrated and described in Figure 1, Table 1, Figure
2, and Table 2 (refer pages 7-10).

Figure 1, The Assessment Development Cycle (page 7) depicts the overall stages
and process of assessment development.

Table 1, Developing an Assessment Plan for a Paper (page 8) provides key
questions and factors to consider when developing assessments at the programme
level.

Figure 2, Developing an Assessment Event for a Paper (page9) outlines the
sequence of questions and actions when developing an assessment event for a
paper.

Table 2, Factors to Consider when Designing Paper Assessment Event
Components (page10) outlines the factors to consider when developing assessment
event components.

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Figure 1:       The Assessment Development Cycle

Develop Paper
Consider:
Capabilities
   Level
   Aim
   Learning outcomes

Review Paper
Consider:
    Level
    Aim
    Learning outcomes
Refer Section 6.0 and
Table 3                                                                                    Develop Paper
Assessment Plan
Refer Table 1

Mark Assessment                                                                                                        Develop Paper
Events                                                                                                             Assessment Events
Refer Figure 2 and
Table 2

Events                                     Refer Section 6.0 and
Refer Table 3

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Table 1

DEVELOPING AN ASSESSMENT PLAN FOR A PAPER

Key Question. How do I design an assessment plan that is:

   Appropriate to the paper?
   Appropriate to particular learning outcomes (LOs)?
   Coherent?
Factors to Consider

Programme           Programme capabilities (consider which are appropriate in the
considerations          context).
   Programme / paper grade map
Learning outcomes considerations
Paper
considerations  Level of paper eg expectations of students at this level
 Domains appropriate to paper / LO(s) (cognitive, psychomotor,
affective)
 Specific learning outcomes to be assessed
 Timing of assessment vs learning outcomes covered

Assessment considerations
 Position of assessment occurrence within programme (eg first
assessment in first year; mid semester assessment in final
year)
 Balance of assessment events. Considerations include
questions such as:
 exam versus applied/investigative approach
 catering for preferred assessment styles of
individual students
 group versus individual
 controlled versus uncontrolled
 Relationship between assessments eg staggered versus
cumulative (raises issues of timing of student feedback).
 Relationship between assessment component and contribution

Policy considerations
 Discouraging / avoiding plagiarism. Careful consideration of
nature of assessment components eg choosing closed rather
than open book tests
 Consistency with programme assessment policy eg constraints
such as maximum of 2 assessment events per paper;
competency/achievement based.
Student          Nature of target student group
   Timing across programme

Resource          Time available
considerations         Manageability eg staff workload
   Feasibility

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Figure 2                                       10

DEVELOPING AN ASSESSMENT EVENT FOR A PAPER

Initial requirements:    - graduate profile and capability outcomes
- programme assessment guidelines
- assessment plan / schedule
- paper descriptor including learning outcomes (LOs)
- competency or achievement based

Which learning
outcome(s)?

What proportion of
Assessed
LO is to be
fully this            N             assessed?
event?

Competency and/or
achievement based
and/or a mixture

Develop assessment event components
(Refer Table 2)

Validate against learning outcomes

Develop assessment marking schedule
including marking criteria

Ensure coherence with LOs and graduate profile, and
compliance with programme assessment guidelines

Premoderation

Review post moderation

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Table 2

FACTORS TO CONSIDER WHEN DESIGNING PAPER ASSESSMENT
EVENT COMPONENTS

Initial requirements:-      graduate profile and capability outcomes
-      programme assessment guidelines
-      descriptor for paper
-      paper assessment plan / schedule

 How does the individual component provide evidence of development
of the capabilities and competencies appropriate to this paper?
2.    Level:
 What expectations of student learning are appropriate at this level?
For example, what is critical thinking at level 5 as opposed to critical
thinking at level 8?
 Where should this assessment event component sit within the paper?
What is the appropriate timing of assessment in relation to the
material covered and the development of student capabilities?
3.    Mode/Type:
 Given the modes allowed for in this paper and event, and other
planned events, are we catering for a range of styles?
4.    Discouraging Plagiarism:
 Does the design of each individual assessment event component
actively discourage plagiarism? For example, the event should
assess application in novel situations as opposed to simple recall of
knowledge.
5.    Cultural Inclusivity
 Does the assessment avoid discriminating against students from
different cultural backgrounds in its cultural content? Is the content
culturally inclusive?
6.    Resourcing Issues:
Have you considered the following:
 time available for development, administration and marking?
 manageability and feasibility, for example, in relation to staff
availability, and the availability of other resources such as labs?

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6.0 MODERATION

Moderation is a quality assurance process which aims to ensure fair, valid and
consistent assessment practices. Moderation is an essential part of the
assessment development cycle (refer Figure 1 page 7), and occurs at two
stages of the cycle as pre-moderation and post-moderation (6.1 and 6.2).
There are also two types of moderation – internal moderation and external
moderation (6.3 and 6.4).

6.1 Pre-moderation is the vetting of assessments prior to their administration.
It focuses particularly on validity in terms of the content, the instructions and
the appropriateness and clarity of wording, etc.

6.2 Post-moderation considers the results of assessment, especially marker
evidence.

6.3 Internal moderation

6.3.1 All assessments are internally moderated before students undertake the
 assessment is appropriate to the particular paper level
 sampling of learning outcomes or elements is appropriate
 questions and instructions are unambiguous and without cultural
and/or gender bias
 marking schedules are clear and appropriate.

6.3.2 At the completion of assessment tasks, student work and the grading of
work is moderated prior to the return of work to students. Boards of
Studies determine appropriate moderation procedures and normally this
includes review of a sample of graded assessments by a lecturer who
did not set the particular assessment task.

6.4 External moderation

6.4.1 The 2003 Calendar states that every programme leading to the award of
will include external moderation of student assessment in accord with
procedures approved annually by Faculty Boards. Groups of papers,
specialisations or particular major areas of study are moderated normally
on a cyclic basis, at least every three years.

6.4.2 External moderators report on:
 the structure, organisation, design and marking of student
assessments;
 the quality of student performance in terms of knowledge and skills;
 any recommendations for a programme arising from student
assessments.

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Table 3

MODERATION PRACTICES RELATED TO ASSESSMENT EVENTS

Assignments, tests etc         Examinations
Draft assessment event          Developed by                  Developed by
individual lecturers           individual lecturers
Pre-moderation                  Normally moderated            Reviewed by paper
by paper                       coordinator/
other nominated by              eg Examiners/
Exam Board)                     moderators
eg Examiners/                  meetings to agree
moderators                     marking schedule,
meetings to agree              standards etc
marking schedule,
standards etc
Marking                         Lecturer (+ peers,              Lecturer (+ peers,
examiners)                       examiners)
Post moderation                 Peer review of                  Reviewed by paper
assessment marking               coordinator and/or
where appropriate                independent marker
(eg presentations               Moderation includes
etc)                             input from
eg “guinea pig”                 individual(s) with
scripts (top, middle,           expertise external to
bottom, borderline              the teaching team,
etc), strip marking             such as research
centre director or
similar
eg “guinea pig”
scripts (top, middle,
bottom, borderline
etc), strip marking
    May include use of
external moderators
as appropriate
Final results                    Initial review by              Initial review by
paper coordinator /             paper coordinator /
(any issues arising             (any issues arising
discussed with                  discussed with
lecturer/coordinator),          lecturer/coordinator),
   Monitored and                  Monitored and
reviewed at                     reviewed at
individual paper level          individual paper level
and across the entire           and across the entire
programme by Exam               programme by Exam
Board                           Board

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7.0 MONITORING

Monitoring includes input from students, staff, advisory committees,
professional bodies and external moderators and monitors. The Policy and
Guidelines are available under the heading “Existing Programmes, Monitoring
and Reviewing” on the Policies, Guidelines and Briefing Notes page of AUT’s
website.

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8.0 EXAMINATION BOARDS

8.1 THE ROLE AND PURPOSE OF EXAMINATION BOARDS
What are they?
Examination boards (exam boards) are a standard feature of all universities.
Their role is generally mandated by some form of institutional statute or
statement. Here at AUT, the General Academic Statute (GAS) specifically
provides for exam boards by specifying their roles and responsibilities, their
membership, and the approval of that membership by Faculty Board. The
Examination Board is a subcommittee of the Faculty Board and has a
statutory reporting line to the Board1.

Why have them?
The primary purpose of exam boards is to ensure students under the
jurisdiction of the board are treated fairly and consistently in assessment and
in the awarding of final grades and qualifications. They may also make
decisions on other matters relating to individual students, and in doing so,
ensure consistency and fairness.

How do exam boards relate to boards of studies?
The Board of Studies has overall responsibility for programme implementation
and development, quality standards, student admissions and identification of
resourcing requirements. The Board of Studies is responsible for setting the
assessment policy on matters which require more detail than is provided in
the General Academic Regulations. It determines the overall assessment
method for the programme and the appropriate AUT grade map for each
paper. (See 8.4 below.)

There is a dynamic relationship between boards of studies and exam boards
such that, as a result of its deliberations, an Examination Board could initiate
new policy for discussion and approval by a Board of Studies. Where papers
are shared across faculties, departments or programmes, guidelines are
available to show which is the appropriate exam board for reporting results.
(See Appendix 3)

What are the exam boards responsible for?
The General Academic Statute outlines the responsibilities of exam boards.
These are:
(a) fair treatment of students in granting credit and recognition of prior
learning
(b) monitoring and the maintenance of pass and grade standards in granting
credit
(c) approving the lists of passes and grades
(d) fair treatment of students in the granting of a special pass
(e) recommending the granting of qualifications
(f) fair treatment of students in the approval of concurrent study
(g) fair treatment of students in the granting of a variance to the maximum
period of enrolment
(h) fair treatment of students in the granting of leave of absence from a
programme
1
See current edition of the AUT Academic Calendar, Schedule 2: Administrative Structure for details.
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What do all these mean in practice?
See below for more detail on each of these responsibilities. For each of them,
fair treatment of students will be a central concern of exam boards. Boards
must ensure that students in similar situations are treated consistently.

(a) fair treatment of students in granting credit and recognition of prior
learning
Fair treatment of students is a central concern of exam boards. Boards must
ensure that students in similar situations are treated consistently. When
making decisions on credit and RPL, an exam board compares the level,
content, learning outcomes and assessment of the paper to be credited, to
ensure there is reasonable equivalence with the AUT paper. This process
may be delegated to a subcommittee or a single senior academic staff
member. Whoever makes these decisions should have access to a list of
precedents (papers that have previously been deemed equivalent) to ensure
consistency.

(b) monitoring and the maintenance of pass and grade standards in
granting credit
In order to carry out its responsibilities properly, each exam board has to be
cognisant of trends and issues arising either within a major or part of the
programme, or across the programme. This may include matters like retention
conceded passes. There is also a need for consistency in its decision making,
not only with regard to its previous decisions, but with regard to University
regulations and policies, the policies of the parent Board of Studies and the
Faculty.
A critical appraisal of results might involve all or any of the following :
 comparison of results with the previous 3 offerings of the paper
 comparison of results with other papers in the programme
 consideration of each assessment and its impact on results
 review of individual student’s overall performance. (Refer to
 establishment and application of a borderline policy (i.e. under
what circumstances will students who have narrowly missed
passing a paper be granted a pass)
 discussion with the internal moderator or other colleagues
 future changes or actions (eg external moderation), and how
they will be evaluated.
Depending on the structure and makeup of the particular Examination Board,
some of this work may be undertaken by smaller groups formally established
for that purpose prior to the meeting.

(c) approving the lists of passes and grades
As long as the work in (b) above has been done, this should be a
straightforward process.
Where students are not progressing satisfactorily, exam boards are required
to apply the Academic Progress regulations (GAR, Schedule 3):
1.1 In order to continue in the qualification a student must pass at least half
the points of the paper(s) currently enrolled in.

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1.1.1 Where this requirement has not been met, a student must apply to the
examination board for a continuation of enrolment in the programme.
1.2 A student who has twice enrolled in a paper and for both enrolments has
not met the requirements of that paper must apply to the examination board
for permission to re-enrol in that paper.
1.3 The decision of the examination board is final.

Exam boards must use a consistent process for applying these regulations
and communicating decisions to students.

(d) fair treatment of students in the granting of a special pass
Special passes are normally only granted in exceptional circumstances, and
Examination Boards must ensure that students in similar situations are treated
consistently. Details on the different types of special pass are given in
Section 8.8 below

(e) recommending the granting of qualifications
Exam boards are formally responsible for the final check on whether or not a
student has met the requirements for a qualification. Once they are available,
Progress to Completion reports from ARION should assist with this process.

(f) fair treatment of students in the approval of concurrent study
8.1 Concurrent study is study which is undertaken by a student at another
educational institution at the same time as studying at the University.
8.2Students shall apply in writing to the examination board for permission to
undertake such concurrent study.
Exam boards are formally responsible for approving the course of study for a
student who is enrolled concurrently in another institution (for the purposes of
completing electives or other elements of a programme not offered by AUT).
The Board must ensure the course of study is manageable and that the
necessary formalities have been completed to ensure students are not
disadvantaged in terms of allowances or loans. The decision should also be
consistent with others made in similar circumstances. There should be a
consistent format and process for the approval of concurrent study. This
responsibility may be delegated.

(g) fair treatment of students in the granting of a variance to the
maximum period of enrolment
Where students require longer than the maximum time to complete a
qualification, exam board would normally require some justification on the
grounds of exceptional circumstances. There should be a consistent format
and process for the approval of these cases.

(h) fair treatment of students in the granting of leave of absence from a
programme
11.1 A student must apply to the examination board for leave of absence for
one semester or more from a programme of more than, or equal to, 120
points.
11.2 The examination board may approve the application by a student for
leave of absence which shall:
11.2.1 not exceed two consecutive semesters

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11.2.2 take cognisance of the maximum period of enrolment allowable for
that programme

There should be a consistent format and process for the approval of leave of
absence.

8.2 THE ROLE OF LECTURERS
How do lecturers contribute to exam boards?
The role of lecturers is very important in exam boards’ decision making.
Lecturers provide in-depth and detailed knowledge of students and their
performance. This is especially important in considering both matters relating
to individual students and to classes or papers as a whole. The role of
teachers in judging student performance is inherent in the assessment
process and the awarding of academic credit, and forms the basis of exam
boards’ approval of results.

8.3 ASSESSMENT PROCESSES AND OUTCOMES

The following sections provide detail on processes and outcomes associated
with assessment. Topics are arranged in alphabetical order as follows:
Alternative Assessments
Appeals Against Results
Examination Procedures
Extensions for Assessments.
Late Assessments
Plussage
Reconsideration of Assessment
Result Notices
Special Passes, including
Conceded Pass (CO)
Still to Complete (STC)
Students needing special assistance
Te Reo Maori in Assessment
“Terms” Requirements

8.3.1 ALTERNATIVE ASSESSMENTS

Students are expected to sit or complete assessments at times and dates
provided in advance. There are circumstances where a student may not be
able to complete an assessment in a specified time period. In order to be fair
to both the individual student and student group as a whole, a programme
policy and/or procedure on managing these cases needs to be articulated in
writing.

Boards of Studies must establish policy regarding the availability of alternative
assessments. The specific criteria for alternative assessments must be made
clear in advance to students, and should be applied consistently across the

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programme. The criteria, policy and process for application should be written
in the student handbook.

What is an alternative assessment?
An alternative assessment is an approved different opportunity for a student to
complete an assessment item.

What is its purpose?
To provide a student with an opportunity to complete an assessment at a
different time to that scheduled. These may be used, for example, where the
number and nature of assessments in particular programmes or papers mean
that students are unable to be granted aegrotat passes when circumstances
would normally warrant this (see Aegrotat passes, Section 8.3.9(a) below) or
where clinical placements clash with assessment events.

How is the decision made with respect to which form of alternative
assessment is appropriate?
The provision for alternative assessment is often based on one or more of the
following factors: curriculum philosophy, policy underpinning assessment, the
number of assessment items, the number of special considerations previously
requested by any one student, the size of a programme, and the progression
of students through the programme. These factors determine the availability
and forms of alternative assessments. For example, resits are usually
available in a paper that uses competency based assessment.

Where an alternative assessment is planned to occur in a subsequent
semester, an STC grade must be awarded in the interim (for STC, see
Section 8.3.9 (c) below).

What forms of alternative assessment are available?
 Pre determined alternative assessments
Boards of Studies determine in advance circumstances when alternative
assessments will be made available, for example:
a) Where the number and nature of assessments in particular
programmes or papers mean that a judgement for an aegrotat pass
cannot be made when circumstances would normally warrant this (see
Aegrotat Pass in Section 8.3.9(a) below).
b) Where the philosophy of assessment in the programme is such that
alternative assessments are preferred to granting aegrotat passes
c) Where other programme requirements preclude attendance at
scheduled assessment events, e.g. where clinical placements clash with
assessment events

The specific criteria for alternative assessments must be made clear in
advance to students, and should be applied consistently across the
programme. The process and policy for application should be written in the
student handbook.

   Examination Board outcome (on a case by case basis)

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There may be circumstances where a student who applies to an Examination
Board for special consideration is provided with an alternative assessment. An
Examination Board may determine that because of the context of a given
student case, an alternative assessment is the fairest option to determine a

 Resit or reassessment
A second assessment opportunity where a student may or may not have
completed the original assessment. Conditions for resits or reassessments
are determined in advance by Boards of Studies and are communicated to all
students.

8.3.2 APPEALS AGAINST RESULTS
These guidelines should be read in conjunction with the General
Academic Regulations, Schedule 4: Appeals Against Results.

What is an appeal?
This is the process whereby a student formally appeals the decision of an
Examination Board about the final result of a paper. This should not be
confused with the reconsideration of the grade or mark for an assessment
item (see 8.3.8 Reconsideration of Assessment below).

Why have it?
In the interest of fairness to students, an opportunity to appeal is provided to
cover circumstances impacting on the overall result rather than individual
assessment items. Principles of natural justice incorporate the right to be
heard and the right to ask for a review by another body of a decision that
affects an individual.

Under what circumstances can an appeal be considered?
The General Academic Regulations state that a student may appeal against
the final result determined by the examination board in respect of a paper if:
 it can be shown that additional information has become available which
was not available, and could not reasonably have been made available to
the examination board at the time it made its original decision
or
 there was a material irregularity in the conduct of the assessment, or in the
examination board or board of studies procedures

How does a student make an appeal?
The student must submit an appeal in writing to the Dean of the Faculty within
14 days of the time at which the final result for the paper was made available
to the student.
Note: There are now a number of ways in which final results are “made
available” to students, including being posted on their ARION web page. In
the interests of fairness to students, the final result date should be taken from
the last possible day when results would be available to students by any
means. Students may not use “I did not receive the results” as grounds for
being able to lodge an appeal.

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Who decides if there are grounds for an appeal?
Using the criteria shown above, The Dean decides whether the student has
grounds for an appeal for all submissions except Thesis Appeals.

If the Dean decides there are grounds for appeal, what happens?
Where there are grounds for the appeal to be considered the Dean (or
nominee) establishes a faculty appeals committee. The General Academic
Regulations specify the membership of the appeals committee and the
procedures for considering the appeal. The appeals committee considers all
the relevant information from both the student and the examination board.
They may uphold or dismiss the appeal, and may confirm, raise, or lower the
appealed result. The student is informed of the decision in writing. The
decision of the faculty appeals committee is final.

The General Academic Regulations outline a different procedure for
considering appeals against thesis results (see below).

When can students appeal against thesis results?
A student may appeal the final result of a thesis, whether at the first
examination or re-examination, and request a review of the examiners'
recommendations.

What is the process for a thesis appeal?
A doctoral or MPhil student sends the written appeal to the Doctoral Studies
Board. Any other postgraduate student sends the written appeal to the
Postgraduate Committee. The appeal must be received within 3 months of the
date of notification of the result.

The Doctoral Studies Board or Postgraduate Committee establishes a review panel to
consider the appeal. If the review panel agrees that a student has valid grounds for the
appeal it may recommend either that examiners be invited to reconsider their decision or that
new examiners be appointed.

8.3.3 EXAMINATION PROCEDURES

What are these?
Regulations or guidelines for the conduct of examinations, which should be
published in student handbooks.

What should be included in examination regulations or procedures?
These should normally include information about examination timetables,
identification, failure to attend, provisions for students with a disability,
entering and leaving times for exams, reading and writing time,
communication during the exam, unauthorised material or equipment, removal
of material, dishonesty in examinations.

8.3.4 EXTENSIONS FOR INDIVIDUAL ASSESSMENTS

What is an extension?
An extension is the granting of extra time from a due date for the submission
of an assessment Programmes should have criteria for extensions and these
must be applied consistently, both within a paper and preferably across a
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programme.        Criteria and processes must be outlined in the student
handbook.

What is the purpose of an extension?
It allows a student to progress in the programme when they may require

What is the process for granting extensions?
Processes for applying for extensions, and timelines for the acceptance of
these applications must be published in information given to students.

Who makes the decision to grant an extension?
According to programme policy, this may be a programme leader, paper co-
ordinator, or other specialised procedure.

Applications should be considered on a case by case basis in accordance
with agreed criteria. Any decision to grant an extension must take into
account fairness to all students, and there may be circumstances which
warrant a decision being made to grant an extension to a whole class of
students. If an extension is granted that goes beyond the finishing date for
the paper, or the date for the Examination Board meeting, then STC
processes should be followed (see below).

Schedule 4 of the General Academic Regulations in the AUT Calendar covers
the regulations governing Assessment and the Granting of Credit.

Standards based methods of assessment are used and assessment may be
achievement based or competency based. This is determined by the board of
studies and specified in programme documentation.

Paper coordinators confirm the number and relative contribution of summative
assessments to be conducted in a paper. The outcome of every summative
assessment item is recorded and a final grade for the paper is calculated.

A grade is the representation of an assessment outcome. It may represent the
final (overall) assessment outcome for a paper, or an individual piece of
assessment. Student result notices contain only final grades for papers in the
current enrolment period, not numerical marks.

 achievement based with +
provides a full range of grades starting with A+, A, A- etc
 achievement based
provides grades A, B, C, D etc with no pluses or minuses
 competency based
provides P (pass) or F (fail) etc
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   competency based with an achievement element
provides M (merit) P (pass) F (fail) etc

(See Appendix 2)

or lecturer, ie the Arion function which relates an outcome to a letter grade.

8.3.6 LATE ASSESSMENTS
What is a late assessment?
A late assessment is one that is submitted after the published due date and
time.

Is there any penalty for a late assessment?
Every programme should have a policy on late assessments, and this may
include penalties for assessments submitted after published deadlines. The
criteria and any penalties must be approved by the Board of Studies, clearly
stated in documentation given to students, and be applied consistently.

8.3.7 PLUSSAGE

What is plussage?
Some papers operate on a “plussage” system to arrive at the final grade for
the paper. This may allow a student’s final grade to be based either on a
combination of on-course work and the final examination, or entirely on
performance in the final examination, whichever gives the student the better
result. There may be other forms where a particular proportion of students’
best results are counted, and other results discarded where there is a series
of small assessments.

Why have it?
The purpose of plussage is to reward incremental learning, and to avoid
penalising students who have difficulties early in their paper, but subsequently
improve their performance.

When are students are eligible for plussage?
In order for plussage to be applied to their assessment results, this system
first has to be clearly identified as operating in the paper concerned. Students
in the paper normally have to fulfill minimum requirements in order to be
eligible. For example, the assessment methods for a particular paper may be
two essays and an examination of equal value. If the student hands both
essays in on time and receives a passing grade for each, they are eligible to
have their examination result counted as the final result for the paper if this is
higher than the result for the two essays. This needs approval by the Board of
Studies and clear explanation in paper outlines for students.

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8.3.8 RECONSIDERATION OF ASSESSMENT
Regulations, Schedule 4: Assessment and Granting of Credit which specifies
the regulations relating to Reconsideration of Assessment.

What is reconsideration of assessment?
This is the process whereby a student formally requests the re-marking of an
assessment item.
Note: this is different from a student appeal against a final grade for a paper
that has been awarded by an exam board (see 8.3.2 above). The General
Copies of all pieces of written or other assessment, together with the
assessment or marking schedule, shall be made available to students within
the time designated for reconsideration.
In situations where the copying of the assessment is not practicable an
opportunity will be provided for the student to sight the assessed work.

Why have it?
It is in the interest of fairness to students to give them an opportunity to check
the accuracy of marking.

Under what circumstances can a student ask for a reconsideration of
assessment?
The General Academic Regulations states that:
A student who believes that an assessment of a particular item of work, test or
examination has been incorrectly graded shall have that assessment
reconsidered upon written request and the payment of any prescribed fee.
The Faculty or Board of Studies approves a policy within the parameters of
the General Academic Regulations regarding the reconsideration of
assessment criteria and processes. The programme policy must determine
the timeframe for reconsideration of assessment. As a general guide this
would not be more than 5 working days after the student received the result
for the assessment item. The policy, processes and timelines should be
clearly outlined in the programme/student handbook and applied consistently
across all papers.

How do students apply for reconsideration of assessment?
A student request for a reconsideration of assessment must be submitted in
writing (some faculties have a form) and the student must state the reason for
the request (ie they can’t just say I think I should have got a B!) The
regulations permit the Faculty to charge a fee for a reassessment although to
date this hasn’t been applied.

Some faculties establish a designated time and room when assignments and
marking schedules will be handed back to students under ‘exam conditions’. A
student must make a formal written request for a reconsideration of
assessment at this time before leaving the room.

Note the GAR state that where the programme has established procedures for
handing back assessed work, assessments not collected within the stated
timeframe and any time specified for appeals, may be destroyed.

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The student should hand their request for reconsideration to a designated
person who will then forward the request, with the piece of assessment, to the
original marker (wherever possible).

The marker should be given a time frame within which to work.

As a result of the reconsideration the result may be unchanged, raised or
lowered. The result should be subject to the same post-moderation
procedures that other results have received.

The student should be informed in writing of the final decision.

8.3.9 RESULT NOTICES

What are these?
Students may have access to results at various points in a paper:
(a) Component results for individual items of assessment may be made
available to students once they have been loaded on ARION and
checked by whatever process a teaching area has in place.
Component results are visible to students on ARION, as well as to
those staff with appropriate access. They also appear on the Student
History Report (see below) before the final results for a paper are
locked off.
(b) Interim results for a paper may be made available to students prior to
the results being approved by exam boards.
(c) Final results are those which are confirmed by exam boards, locked at
Level 1 on ARION and loaded into a student’s official academic record.

Student History Reports are available on ARION. These list all a student’s
results, both interim and final, from all their enrolments at AUT. These are not
an official result notice, but for internal staff use only.

Student Academic Records are the official record or transcript of a student’s
final grades in all programmes and papers they have completed at AUT.
These are issued by the Academic Records Office following graduation in any
programme, or at other times by request and payment of a fee to the

8.3.10 SPECIAL PASSES
Note: All references to regulations from the AUT Calendar are from the
General Academic Regulations (GAR) Schedule 4: Assessment and
Granting of Credit in the AUT Calendar 2005.

AUT regulations allow exam boards the discretion to grant a number of
special passes in certain circumstances.

(a) Aegrotat Pass (S)
What is an Aegrotat Pass?
An aegrotat pass is a special pass awarded to a student on
compassionate grounds.
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What is its purpose?
An aegrotat pass provides a student with a pass grade for a paper which
takes into account that special circumstances prevented the student
from attempting an assessment or from performing to their normal ability
in an assessment.

When would a student apply for an aegrotat pass?
According to the General Academic Regulations (Schedule 4: 3.3)
3.3.2 A student may apply to the examination board for consideration for
an aegrotat pass when, for reasons of personal illness, injury or
exceptional circumstances beyond the student's control the
student is:
(a) unable to present work for assessment at the time it is due; or
(b) unable to attend a test or examination; or
(c) seriously impaired in his/her performance in a test or
examination;
and
(d) has failed to achieve a pass in the paper as a result;
and
(e) where an alternative assessment is not available (See Section
8.3.1 above for information about alternative assessment).

Exceptional circumstances can be defined as unpredictable events
which are serious, severe or incapacitating in their effect on the student,
to the extent that a fair minded person would agree that it is
unreasonable to expect the student to attend a scheduled assessment
event or present assessment work on the due or scheduled date.
Examples include severe illness or death of a family member.

Serious impairment may be claimed when a student is unwell or
injured, but not so seriously as to prevent them from attending an exam
or other assessment event. In these circumstances a student may lodge
an application for special consideration (or aegrotat pass) to cover them
in case they fail the paper. If a student has failed a paper because of
impaired performance in an assessment item, an aegrotat pass may be
awarded provided the stipulated aegrotat conditions are met. The same
support from a practitioner as an aegrotat application is required. If a
student passes the paper despite impairment during an assessment,
such applications are set aside. If a student believes the impairment
lowered their level of achievement in the assessment and they want to
be considered for a higher grade, they may request a reconsideration
of assessment (see 8.3.8 above) citing their impairment as grounds for
reconsideration.

Who makes the decision to award an Aegrotat Pass?
General Academic Regulations (Schedule 4: 3.3)
3.3.4 The examination board may grant an aegrotat pass only if, at its
discretion, it is satisfied on the basis of the student's prior
performance in assessment(s) already completed, that the
student would have passed the paper.

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What does the Examination Board consider when awarding an
aegrotat pass?
 That the student has failed to achieve a pass in the paper
 That providing an alternative assessment is not appropriate given the
context of the paper and programme.
 There needs to be sufficient evidence that the student would have
passed the assessment under normal circumstances. There must be
a written policy on what constitutes sufficient evidence. For example,
students would normally be expected to have completed 60% or
more of the assessment with a merit pass to be eligible for
consideration. Factors for consideration include the the proportion of
assessment that must have already been undertaken and student’s
level of performance to date, proportion of individual work versus
group work and assignments versus assessments that occur in
controlled environments.

Other considerations that may be reflected in the policy:
Support from Lecturer
Number of previous special passes
Student attendance and participation in the paper

If a student has passed a paper despite missing an assessment item or
having impaired performance during an assessment item, then the
student should not be considered for an aegrotat pass. Good practice is
that able students whose overall grade may be affected are given a letter
that indicates that they are not eligible for an aegrotat, but that the grade
in this paper will not affect any decisions regarding awards.

What information does the student provide?
General Academic Regulations (Schedule 4: 3.3)
3.3.3 For an aegrotat application to be considered the student shall:
(a) be enrolled in the programme to which the application relates
(b)provide a medical certificate or other appropriate
documentation of the circumstances from a suitably qualified
person to the programme leader within 14 days of the date of the
assessment, or by an earlier timeframe if specified in the
programme documentation
(c)The medical certificate or other appropriate documentation must
provide evidence of and clearly state the reasons for the
circumstances surrounding the application.

Appropriate documentation should be on a formal special
consideration or aegrotat application form, with student ID,
assessment details and a note about the circumstances completed by
the student, and a section completed subsequently by a medical
practitioner or other relevant professional and mailed directly by them
to AUT. The reason for this is to enable the practitioner/professional
not to support applications of little merit without interfering with their
professional relationship with the student. (See sample forms in
Appendix 4)

How is the policy to be developed and communicated to students?
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Detailed policies and procedures on the application of Alternative
Assessment and Aegrotat passes may vary depending on the nature
and number of assessments in particular programmes. However, these
should be developed at the highest level that commonality permits
(programme, school or department, faculty, or university).

Programme or Facculty publications for students need to provide clear
information on conditions for alternative assessment and /or what
proportion of assessment and what level of performance students need
to have already achieved in a paper to merit consideration for an
aegrotat pass. Appropriate forms and procedures for applying should
also be detailed. Good practice would also allow web access for this
information. Examples of Aegrotat Policy and forms are in Appendix 4.

Note also
General Academic Regulations (Schedule 4: 3.3)
3.3.5 A student who fails to present work for assessment due to lack of
familiarity with the assessment requirements of any paper as
making an aegrotat application.

(b) Conceded Pass (CO)
GAR Schedule 4, Clause 3.4 The Grade CO (Conceded Pass)
3.4.1 A conceded pass is a special pass granted for a paper where
a student, who has otherwise reached an acceptable standard
in the programme, has not achieved a passing grade in the
paper and this affects the student’s completion of the
qualification.
3.4.2 Pursuant to Clause 3.4.1 above, the examination board may
at its discretion grant a conceded pass.
3.4.3 Only one conceded pass may be granted to a student towards
the requirements for a particular qualification.

What is it?
A conceded pass is a special pass granted for a paper where a student,
who has otherwise reached an acceptable standard in the programme,
has narrowly missed achieving a passing grade in the paper and is thus
unable to complete the qualification.

What is the purpose of CO?
It allows a student to complete a qualification where one paper has been
failed.

Who makes the decision to award a CO?
The exam board decides on the awarding of a CO, on the
recommendation of the programme or paper leader/co-ordinator.

In making their decision, the exam board needs to consider the student’s
performance in the failed paper and in the remainder of the programme,
and must be convinced that to deny the CO would constitute unfair
treatment of the student. While each case should be considered
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individually, exam boards may develop guidelines to assist in the
decision-making process, such as minimum levels of performance
required in the failed paper, for example.

Only one CO may be awarded in a programme, so this option would not
normally be used until a student is close to completing their qualification2. As
a general rule, these should not be awarded for papers that are central to
meeting the overall graduate outcomes for a programme. Each programme
would have its own rules for which papers this would apply to. Some
examples could be clinical placement or practicum papers; final year papers
for a major. A conceded pass may not be credited to another qualification.

(c) Still to Complete (STC)
What is it?
A Still to Complete is an interim result granted for a paper while
awaiting completion and assessment of defined incomplete or additional
work. Following the assessment of this work, a normal final grade is
recorded in accordance with the appropriate grade method for that
paper, along with the points, so long as this is a passing grade.

AUT regulations state that, where a Still To Complete is awarded, a final
grade must be confirmed within one semester of the STC being granted,
unless the exam board approves a further extension of time.

What is the purpose of STC?
It allows a student to progress in a programme when they may require
additional time to demonstrate the required standard for a paper.

Under what circumstances could an STC be used?
5.2 The examination board may at its discretion grant an extension of time
according to the criteria set by the board of studies.
As an example, a student who is otherwise performing well may have
failed a compulsory element of assessment in a paper. Standard
practice in a programme may be for such students to repeat the
assessment element in the following semester’s offering of the paper. In
this case the student would be awarded an STC for that paper in the
interim.

Who makes the decision to award an STC?
The exam board decides on the awarding of a Still to Complete, on the
recommendation of the programme or paper leader/co-ordinator.

In making their decision, the exam board needs to consider the student’s
performance in the remainder of the paper or programme, and must be
convinced that to deny the STC would constitute unfair treatment of the
student. The “conditions” which the student must fulfill may be set by

2
Where a student narrowly fails a paper early in their programme, which would normally prevent them
from continuing in the programme, exam boards may use other means of allowing progression, such as
waiving pre-requisites.
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exam boards, or delegated to programme leaders or paper co-
ordinators.

Who checks that conditions have been met?
Exam boards need to set up systems to track the progress of students
with STC grades. There are reports available from ARION which can list
all students in this category, and many exam boards check these at
every meeting.

What happens if a student doesn’t meet the conditions?
Students who fail to meet the conditions in the stipulated time will
normally be given a failing grade, unless there are exceptional
circumstances.

8.3.10 STUDENTS NEEDING SPECIAL ASSISTANCE FOR ASSESSMENT

Which students are eligible for special assistance?
The Disability Resource Service (DRS) provides helpful guidelines on the web
page for students needing special assistance.
The disability resource service aims to foster the full and self-directed
participation of people with disability at AUT. They have specialist staff to
promote equal access by providing students with information, resources,
adaptions and a supportive learning environment. Students are invited to
contact the DRS to discuss resource needs or any other concerns. The
following are some of the key questions and considerations for such students.

What do I do if a student needs special arrangements to sit a test or
exam?
Such students are asked to take responsibility for ensuring their needs are
communicated to the DRS, but academic staff should be aware of the
requirements so that they can advise students if necessary.

What is the process for communicating with the DRO?
Students needing special arrangements, such as a reader/ writer/ Sign
Language interpreter/ extra time/ separate room, must advise the DRS of the
date, time and length of their exams. This should be done at the beginning of
each semester where possible, but at least two weeks before the date of the
text or examination, so that the DRS can plan for the required assistance.
Students will not be eligible for exam assistance if the DRS is notified less
than 3 working days before the exam date. Students who are eligible must
obtain an Alternative Exam Arrangements Form from the DRS on either
Wellesley or Akoranga Campus, complete it and return it to the DRS at least
two weeks before the test/exam.

Can this be done by email?
Students can email details to disability.office@aut.ac.nz but must ensure that
they include all necessary information as requested on the form.

Students are requested not to leave messages on the DRS answer phone
with exam details.
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Is there in-class help available?
Yes, in some circumstances, for example, a New Zealand Sign Language
Interpreter, or person taking notes. Information is available on the DRO web
page for students who require a notetaker
There are also guidelines on the DRS website to assist staff working with Deaf
students.

8.3.11 ASSESSMENT IN TE REO MĀORI

Why do we offer assessment in Te Reo Maori?
As part of AUT’s Charter goal to give effect to the Treaty of Waitangi within
the context of university education, AUT's Academic Regulations make
provision for students to present their summative assessments in Te Reo
Maori where appropriate.

How does a student proceed with an application to be assessed in Te
Reo Maori?
Students who are likely to present all or part of their assessment in Te Reo
Māori are encouraged to indicate their intentions to the appropriate
Programme Leader at the time of first enrolment or as soon as possible after
the commencement of the module.

Will the student be charged for this service?
The student will not be charged for any of the above assessment-related
processes, which are included in the normal module fee paid by the student
upon enrolment.

Whom does the Programme Leader contact for help if a student
requests assessment in Te Reo Maori?
The Programme Leader consults with Faculty’s TWASC representative to
start process.

How does one begin the process?
To start the process an attempt will be made to identify an assessor who is
competent in both Te Reo Māori and the subject/discipline area.

Where AUT is unable to provide an assessor who is competent in both Te
Reo Māori and the required discipline/subject area, an appropriately qualified
translator, will be provided.

What is the process if a translator is appointed?
Use of translation will be a last resort and made only after all reasonable
efforts to find an assessor, who is competent in both Te Reo Māori and the
required discipline/subject area, have been exhausted. Where translation is to
be used, translators must have access to bilingual glossaries of the relevant
academic specialist area. The final assessment will then be carried out by the
normal assessor on the basis of the translation.

Translators will not correct errors in the original nor make any embellishments.
However, any ambiguities arising from the translation may be pointed out to

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the assessor. Where necessary the assessor may seek clarification of the
translation from the translator, but contact between the translator and the
student is prohibited. Students will be provided with a copy of the translation
after the event.

How do I find a Translator?
Academic Registry has responsibility for maintaining a register of appropriate
assessors as well as a register of appropriately qualified translators.

Who will pay for the services involved with assessment in Te Reo
Maori?
The Office of the PVC Maori Advancement has a budget to cover any costs
involved in securing an assessor / translator

How do I arrange moderation of assessments in Te Reo Maori?
Moderation of assessments in Te Reo Māori will be compatible with the
normal moderation requirements for AUT. Students have the right of appeal
against the results of an assessment in Te Reo Māori or the accuracy of a
translation in accordance with the normal AUT appeal process as set out in
the Academic Regulations. For moderation purposes or in the event of an
appeal, the AUT Department / School concerned may be required to
demonstrate the steps undertaken to appoint a competent assessor.

AUT’s policy for assessment in Te Reo Maori is applicable only to AUT
assessments. Where the requirements for assessments are externally
determined (eg by an Industry Training Organisation), then the particular
provisions of this policy may not apply. In these instances, AUT students
wishing to be assessed in Te Reo Māori will be supported by AUT to make
appropriate arrangements with the external assessment agency concerned.

8.3.12 “TERMS” REQUIREMENTS
What are Terms?
Some papers have requirements that must be met before students are eligible
to sit a final examination or submit a final project. These may be called
“Terms”. Another phrase used for this is “On Course Requirements”.

What can be included in Terms requirements?
Some papers may have attendance requirements for Terms, others may
require completion of some or all elements of assessment other than the final
exam or project. Other papers may require both of these, or some other
combination of requirements. Wherever Terms are part of a paper, these
must be approved by the Board of Studies and clearly stated in the relevant
Paper Outline.

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APPENDIX 1

Definitions and Explanations of Terms

Assessment
The Policy for Assessment of Student Achievement defines assessment
(Section 6.0) as the process of collecting evidence and making judgements
about a student’s levels of competence or achievement in relation to learning
outcomes.

Assessment may be summative or formative.
Summative assessment contributes towards a final grade.
Formative assessment provides feedback to students and therefore
should support and encourage learning. Its purpose is to support and
encourage learning. Formative assessment does not contribute towards
Feedback is information that enables students to check on their
performance and improve it if necessary. The provision of feedback is a
crucial method of informing and supporting student learning.

Standards based assessment is a method of assessment whereby a
learner’s performance is measured against predetermined standards of
achievement or competence. AUT uses two forms of standards based
assessment: achievement based assessment and competency based
assessment.
Achievement based assessment measures a learner’s performance
against a pre-determined set of grade-related criteria.
Competency based assessment judges the learner’s performance
against a pass/fail criterion. It also allows for the recognition of merit with
an appropriate criterion.

Learning outcomes are statements of competence that clearly specify what
a learner is expected to demonstrate. They are concerned with practical and
cognitive skills, knowledge and attitudes relevant to a particular professional
or technical area.
Learning outcomes should capture the essence of what learners need to know
or do.
They should be:
 consistent with paper purpose and level
 consistent with programme philosophy and purpose, and with
 important enough to be singled out
 meaningful, that is, have integrity (in vocational terms) in their own
right, and represent a significant role, process, or task
 unambiguous
 achievable (e.g. in relation to time available)
 assessable (i.e. able to be demonstrated, observed, measured)

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Assessment criteria specify how the level and standard of achievement or
performance can be recognised in respect of the learning outcomes.
Assessment criteria signal the evidence that must be gathered in order for the
assessor to judge whether or not the learner has met the learning outcomes
Assessment criteria should be:
 Capable of measurement or observation
 Relevant to the learning outcome
 Concerned with essential aspects of performance
 Written in clear, unambiguous language
The Policy Guidelines for Approval of New Programmes and Majors, Section
B, Appendix 5, contain a pro forma for a paper descriptor. This states that
learning outcomes can be written in one of three formats
 Learning outcomes only
 Learning outcomes together with assessment criteria, OR
 Learning outcomes and assessment criteria separately
Put simply, the learning outcomes say what a student should be able to do,
and the assessment criteria indicate what evidence might demonstrate that
he/she can do it (and also possibly how well the student can do it).

Competence. This term relates to the application of specialist knowledge and
skills.

Capability. This term relates to the personal and interpersonal qualities that
enable people to take effective professional action. Professional capabilities
are developed over an entire programme.

Assessment plan (also referred to as an Assessment schedule). This
describes the nature of the assessments and their relative contributions to the
final grade for an individual paper. (Refer Table 1, page8).

Assessment event. This refers to each individual assessment instance eg an
assignment, a test, an exam, a project. Assessment events are designed to
demonstrate students’ achievement of the learning outcomes. (Refer Figure 2,
page 9)

Assessment event components are the individual items that make up an
assessment event eg individual exam/test questions, assignment
tasks/sections, etc. (Refer Table 2, page 10).

Validity is a measure of fitness for purpose, that is, how well the assessment
measures what it intends (or is assumed) to measure.

Marking criteria (also referred to as Marking grids). These are an integral
part of each assessment event. They indicate what the marker is looking for,
and they constitute a breakdown of the learning outcomes and/or assessment
criteria. They help the marker make decisions on the quality of the evidence,
and make that process more transparent to the student. Explicit marking
criteria/grids need to be developed in tandem with the development of the
assessment event, and checked as part of pre-moderation. Students need to
be given the marking criteria/grids for each assessment event at the time they
receive the instructions for this. The level of specificity of information provided

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for students will vary depending on the nature of the event eg an assignment
versus a closed book exam.

Marking schedules (also referred to as Final assessment grids). These
exist at both the paper level and the individual assessment event level. At the
paper level the schedule/grid shows how each assessment event contributes
to the overall grade for the paper in accordance with the approved grade map.
For each assessment event a schedule/grid must be developed which shows
how each component within that event contributes to the grade or mark for the
event. Therefore the marking schedule shows the relative contribution of
individual events and their components to the final grade.

Grade method. All staff need to be familiar with the grade methods approved
for their programmes. The Calendar, page 84, Schedule 4 gives the
regulations governing Assessment and Granting of Credit. Section 3 states
how final outcomes of assessment are to be recorded. Details of the grade
methods approved by AUT are provided in Appendix 2 of these Guidelines.

Programme monitoring is a quality assurance process. It includes the
collection and analysis of data on all aspects of a programme, identification of
problem areas, and a report on action taken in response to problems.

Moderation is a quality assurance process which aims to ensure fair, valid
and consistent assessment practices. (Refer Figure 1 page 7, and Section
6.0, page 11).
Pre-moderation is the vetting of assessments prior to their
administration. It focuses particularly on validity in terms of the content,
the instructions and the appropriateness and clarity of wording, etc.
Post-moderation considers the results of assessment, especially
evidence.

Faculty Board. Aspects of the role and responsibilities of Faculty Boards in
assessment are stated in the Calendar, Schedule 2, Section 15, pages 56-59.

Board of Studies. The role and responsibilities of Faculty Boards in
assessment are stated in the Calendar, Schedule 2, Section 15.5, page 56.

Examination Board. The responsibilities of Examination (Exam) Boards in
assessment are stated in the Calendar, Schedule 2, Section 15.6, page 57-
58.

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APPENDIX 2

Grade Method 1 Achievement based with +

A+    Pass with Distinction
A     Pass with Distinction
A-    Pass with Distinction
B+    Pass with merit
B     Pass with merit
B-    Pass with merit
C+    Pass
C     Pass
C-    Pass
S     Aegrotat Pass
CO    Conceded Pass

D     Fail
CP    Conditional Pass
W     Withdrawn
DNC   Did Not Complete

A     Pass with Distinction
B     Pass with Merit
C     Pass
S     Aegrotat Pass
CO    Conceded Pass

D     Fail
CP    Conditional Pass
W     Withdrawn
DNC   Did Not Complete

Grade Method 3 Achievement or Competency based

M     Merit
P     Pass
S     Aegrotat Pass
CO    Conceded Pass

F     Fail
W     Withdrawn
CP    Conditional Pass
DNC   Did Not Complete

P     Pass
S     Aegrotat Pass
CO    Conceded Pass

F     Fail
W     Withdrawn
CP    Conditional Pass
DNC   Did Not Complete

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APPENDIX 3
GUIDELINES ON ADMINISTRATIVE RESPONSIBILITIES FOR SERVICE TAUGHT
PAPERS

The below table details who is responsible for specific administrative functions with
regards to servicing of papers. The overall rule is that the host programme’s requirements
need to be clearly communicated to the teaching department.

Function                                   Paper 100% serviced          Paper shared across several
specifically designed        programmes including Teaching
for host programmes          Department i.e. Integrated Papers in
Conjoint degrees, Electives.
Calendar                                   Host Department              Teaching Department
Validation of the paper (includes          Host Department              Teaching Department
Timetabling                                Host Department              Teaching Department

Fee validation at module                   Host Department by           Host Department by negotiation
negotiation

Setting up occurrence and access           Host Department              Teaching Department by negotiation

Apportionment at course occurrence         N/A                          Host Department by negotiation

Room booking classes                       Host Department by           Teaching Department
negotiation

Exam Room Booking                          Host Department by           Teaching Department
negotiation

Examination cost                           Teaching Department          Teaching Department
Pre-enrolment                              Host Department              Host Department

Elective                                   Host Department with         Host Department       with  academic
academic approval from       approval from Teaching Department
Teaching Department
Assessment
negotiation

-   structures                             Teaching Department          Teaching Department
-   result entry                           Teaching Department          Teaching Department
-   locking/unlocking                      Host Department              Teaching Department
-   exam board                             Host Department              Teaching Department
-   programme printing time and            Host Department              Host Department
responsibility

Anything not on the above table is the responsibility of the Teaching Department:

Staff development
Stationery
Office-Telephone
Computer facilities/software internet.

Any papers where teaching is split into several departments require careful negotiation.

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APPENDIX 4a

Aegrotat Policy

We have chosen to include this in one process and form called :Special Consideration Applications
and Procedures
Examination Board meets at the end of the semester for each programme. It is the role of this Board to
approve students' final results and ensure the fair treatment of student results.

In rare circumstances where a student is unable to sit or complete an exam or an exceptional event has
occurred that a student wants to bring to the attention of examination board, a student must complete a
Special Consideration Application Form available from AUT Business Student Centre. Information on how to
complete the form is available from the AUT Business Student Centre.

There are three forms of request to Examination Board:
Unable to attend or present work because of illness/injury
Impaired Performance
Special Requests for Consideration (exceptional events outside the control of the applicant) These are any
special requests from students to Examination Board that fall outside of 1 or 2 above.

Special Consideration applications must be lodged within 14 days of the circumstances to which the
application refers.
An aegrotat pass is available as per the General Academic Regulations.

GENERAL ACADEMIC REGULATIONS RELATING TO AN AEGROTAT PASS
When for reasons of personal illness, injury or other exceptional circumstances beyond the students control
the facility for an aegrotat pass (S) shall be available where a student is:
i)      unable to present work for assessment at the time it is due; or
ii)     unable to attend a test or examination; or
iii)    seriously impaired in his / her performance in a test or examination; and
iv)     the student has failed to achieve a pass in the paper as a result; and
v)      where an alternative assessment is not available.
The student may apply to the Examination Board for an aegrotat pass if the conditions above are satisfied.
For an applicant to be considered:
a)      the student must be enrolled in the course of study to which the application relates;
b)      the student must have presented to the programme leader within fourteen days, (or by an earlier time
frame if specified in the individual programme regulations), following the date by which the work was due, or
the date of the test or examination, a medical certificate or other appropriate documentary
evidence of the illness, injury, or other exceptional circumstance;
c)      the medical certificate or other documentary evidence must contain the opinion of a suitably qualified
person that the student was incapable of presenting the work for assessment or attending the examination and
clearly state a reason for this.
The Examination Board may grant an aegrotat pass only if, in its discretion, it is satisfied on the basis of the
student's performance in assessment tasks already completed, that the student would have passed the paper
were it not for the missed piece of assessment.
A student who fails to present work due to the lack of familiarity with the assessment requirements of any
paper as published by the faculty shall not have grounds for making an aegrotat application.

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FACTORS FOR CONSIDERATION
Where an alternative assessment is not available the Examination Board may consider granting an aegrotat
pass. It will take into account the following factors:

(a)     WHERE A STUDENT HAS COMPLETED 60% OR MORE OF THE ASSESSMENT WORK FOR THE
MODULE, AND HAS ACHIEVED A LEVEL OF ATTAINMENT AT 60% OR A B GRADE AVERAGE FOR
THAT ASSESSMENT WORK, THEN AN AEGROTAT PASS WILL BE CONSIDERED.

Note: This will depend upon the amount of assessed work which has been completed by the student in
individual as contrasted with group tasks. Where the student has an overall grade in completed assessments
of less than 60% or B an aegrotat is unlikely to be granted.
(b)     If an application is based on impaired performance, the fact that the student has attempted to complete
the assessment in the circumstance will be viewed positively by the Examination Board in deciding upon the
aegrotat application. The assessment attempted will be taken into account in the calculation of the amount of
work completed for the paper, but the student's performance on that piece of assessment will be excluded in
calculating the grade for the assessment work completed.
Where a student is granted an aegrotat pass by the Examination Board, the academic record will show an 'S'
for aegrotat pass.

PROCESSING OF APPLICATIONS.
(a)     The programme administrator will file applications for aegrotats received through the semester and
send an acknowledgment to the student within fourteen days of receipt.
(b)     Any application made outside the fourteen day time limit for aegrotats will not be considered.
(c)     The information given by the student as to the reason and the medical certificate will be checked by
the programme administrator when he/she receives the application. Any discrepancies will be noted in writing
(d)     i)      At the conclusion of the semester, the programme administrator will forward internal aegrotat
forms to the paper co-ordinator of the paper concerned.
ii)     As soon as marking is complete, the aegrotat will be discussed with the paper team and,
the paper co-ordinator and the team deem necessary.
The paper co-ordinator will return the aegrotat form to the programme administrator.
(e)     The programme administrator will forward all aegrotat applications to the appropriate programme
leader for forwarding to the examination board.
(f)     The Examination Board may investigate further any matters in an aegrotat application.

Alternative Assessment Policy

Alternative is now part of BBus only as result of the two assessment per paper policy
Illness or Exceptional Circumstances for Assessment
Where a student's assessment is or will be affected by illness or exceptional circumstances, the student may
apply for consideration of the circumstance.
There are two procedures:
In the case of examination, applications can be made for alternative assessment.
In the case of other assessments (eg. an assignment or presentation) an application can be made for an
extension.

ALTERNATIVE ASSESSMENT

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In rare circumstances, where a student has failed or will fail a paper due to medical or exceptional
circumstances, then an alternative assessment may be granted as follows:
A student who is prevented by illness from attending an examination, or a student who believes that illness
has significantly affected his/her preparation for, or performance at, an examination may apply for alternative
examination on medical grounds.
OR
A student who is prevented by exceptional circumstances beyond his/her control from attending an
examination, or a student who believes that special circumstances have significantly affected his/her
preparation for, or performance at, an examination may apply for an alternative examination on
compassionate grounds.

Alternative assessment is not available for assignments. Students need to apply to the co-ordinator of the
paper for an extension.

The following criteria will be taken into account when making a decision:
Student performance in assessment to date;
Satisfactory lecturer comment on participation and contribution to class;
A satisfactory academic record in papers undertaken to date;
Supporting documentation from a health professional, using Form SCA02/02, or other supporting evidence eg.
death certificate.

Applications are available from the Student Centre Front Desk and must be lodged within 7 days of the
assessment to which the applications refers.

Procedure:
(a)     The programme administrator will file applications for alternative assessment received through the
semester.
(b)     Any application made outside the 7 day time limit for alternative assessment will not be considered.
(c)     The information given by the student as to the reason and the medical certificate will be checked by
the programme administrator when he/she receives the application. Only an original AUT Student Medical
Certificate will be acceptable. This form can be obtained from the AUT Business Student Centre Front Desk
(d)     At the conclusion of the semester, the application will be discussed with the teaching team and a
(e)     The programme leader will return the alternative assessment form to the programme administrator.
(f)     The programme administrator will forward all alternative assessment applications for consideration to
(g)     The examination board may investigate further any matters in an alternative assessment application.
Note: Alternative examinations will not be granted to a student who, as a result of misreading the
examination timetable, misses or arrives late for an examination.

EXTENSION FOR AN ASSIGNMENT OR PRESENTATION

Where a student is unable to hand in an assignment on the due date because of illness or exceptional
circumstances beyond her/his control, then he/she may apply for an extension to the assignment.

Applications must be received by the co-ordinator of the relevant paper no later than the assignment deadline.
Students must apply before the deadline, as soon as they are aware that they will be unable to meet the

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All applications will be considered by the co-ordinator of the relevant paper who will consider the following in
their decision:
supporting documentation from a health professional, using Form SCA02/02, or other supporting evidence.
eg. a death certificate or notice
satisfactory teacher comment

Extension to an assessment is not available for other reasons, eg. the student needs more time. This kind of
extension will be addressed under the policy and procedures stated in the Paper Handbook and Learning
Guide.

Only an original AUT Faculty of Business Student Medical Certificate (SCA02/02) This is the completed
by a health practitioner will be acceptable. Students can obtain this form from the Student Centre Front Desk,

Presentation of the AUT Medical Certificate does not entitle a student to an extension to the assignment, but
only consideration for an extension. Generally, the programme does not consider minor or short term
illnesses of a few days to be grounds for an extension.

Procedure:
(b)      Any application made after the assignment deadline will not be considered.
(c)      The information given by the student as to the reason and the medical certificate will be checked by
the Programme Administrator when he/she receives the application. Only an original AUT Student Medical
Certificate will be acceptable. This form can be obtained from the AUT Business Student Centre Front Desk
(d)      The application will be sent to the co-ordinator of the paper as soon as it has been recorded.
(e)      The application will be discussed with the teaching team and a recommendation will be made by the
paper co-ordinator
(f)      The student will be contacted in writing of the extension and new deadline.
(g)      The examination board may investigate further any matters in an application for extension of an
assignment.

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APPENDIX 4b

FACULTY OF APPLIED HUMANITIES

Application for an Aegrotat Pass

This form is in two parts:

PART A:         to be completed by the student making the application.

PART B:         to be completed by General Practitioner, Dentist or Counsellor as
appropriate.
Instructions on page 3

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INSTRUCTIONS TO STUDENTS

(a)        Before filling in this form you should carefully read the aegrotat provisions contained
in the relevant course regulations in the Student Handbook

(b)        Complete the appropriate section of your part of the form before you see your
doctor, dentist or counsellor, and then present the form to him or her along with a
stamped envelope addressed to the School of Social Sciences, Auckland University
of Technology, Private Bag 92006, Auckland 1020.

(c)        Ideally, try to be seen by your doctor, dentist or counsellor immediately prior to the
test taking place, if you are applying in regard to a test not sat. If you are claiming
impaired performance, do not complete your application until you have actually sat
the test, so that you will be able to accurately assess your degree of impairment.
Then see your doctor as soon as possible.

(d)        In explaining the reason for your application, you must include detail such as the
timing of the illness/injury, etc. and how you believe it seriously impaired your
performance.

PART A: To be completed by the student

Name
Phone                                                               Student ID No.
Programme of study: e.g. BA (Social Sciences)
Reason for Aegrotat Application

Assessments not sat or completed because of illness:
(Aegrotat)
Paper          Assessment not sat or       Date of the                              Lecturer
completed              Assessment

Assessments for which impaired performance is claimed:
(Special Consideration)
Paper           Assessment       Date of the                     Lecturer         Class days, times and
affected      Assessment                                              campus

I give my consent for any relevant details of sickness or personal circumstances to be
divulged to the appropriate Institute Authority if necessary.

Student’s signature:                                                           Date:

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INSTRUCTIONS TO PRIVATE PRACTITIONERS

(a)      It is suggested you deal with applications in the same way that you deal with
insurance examinations, i.e. do not discuss with the candidate your views as to the
merit of his or her claim. Also do not hand the completed form to the candidate.
Please return it direct to the University in the stamped addressed envelope which
the student should provide you with. It is felt that this will allow you not to support
applications of little merit without interfering with the doctor/patient relationship.

(b)      If the aegrotat application is on the basis of a test not sat, consideration for the
aegrotat can only be given if the student was unable to attend the test. It is not
sufficient for the student merely to be unwell or faced with trying circumstances.

(c)      If the aegrotat application is on the basis of impaired performance during a test,
consideration for the aegrotat can only be given if the impairment was serious
enough to significantly prejudice the student’s performance during the test.

(d)      If the aegrotat application is on the basis of an assignment not completed,
consideration for the aegrotat can only be given if the student is incapable of
presenting the work due to severe illness/injury or extreme circumstances.
School of
Auckland University of Technology
Private Bag 92006, Auckland 1020

PART B: To be filled out by the Practitioner

(a)     This is to certify that I examined
on

(b)     The following is a description of how the illness, injury, bereavement or critical family circumstances
affected the above named patient’s ability to perform.

(c)     I believe/do not believe this student should be considered for an aegrotat pass for the following
reasons:

(d)     I am prepared to discuss the above reasons with the appropriate Institute authority, or referee:
Name
Qualifications
Signature                                                             Date

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