Awarding regulations and guidelines
- The minimum pass mark for each piece of assessment is 50%. If a candidate fails to achieve this mark in any assessment, they will be given the option to resit, answering a different assignment or examination.
- The maximum number of attempts for any assessment is three - the first attempt and two resit opportunities, if needed. Resits are offered only when an assessment has been failed. The Assessment Board shall have the power to determine whether a candidate is required to repeat one or more pieces of assessed work.
- Decisions as to which piece of assessed work needs to be retaken, where a choice exists, will be determined exclusively by the Assessment Board.
- Candidates granted the right to retake an assessment must complete the retake at the next available opportunity. There is no automatic right to defer, a formal request is required, and a charge is made for deferrals, if granted.
- Where a candidate has achieved a passing mark in an assessment, they may not repeat that assessment with the objective of trying to increase the mark for that piece of work.
- Where a candidate fails to pass the course after exhausting all resit opportunities, the Assessment Board shall have the power to recommend that the candidate be awarded a certificate of attendance.
Academic malpractice
CLTI regards plagiarism and other forms of academic malpractice, including collusion and the fabrication or falsification of results, as serious academic offences.
All learners are responsible for making themselves aware of the policy and the procedures that sit behind it, for understanding the seriousness of academic malpractice, and for taking every reasonable step to ensure it does not occur.
This page and the Academic Malpractice and Maladministration Policy should be read alongside the Assessment Handbook.
Use of artificial intellgence
CLTI recognises that generative AI tools are now part of how many compliance professionals work. Learners may use approved AI tools to support their studies, but all work submitted for assessment must be the learner's own.
The AI Policy sets out what is and is not permitted, the tools CLTI has approved for use, and how learners must declare AI use when submitting assessed work. Undeclared or prohibited use of AI is treated as academic malpractice and is dealt with under the Academic Malpractice and Maladministration Policy.
Learners are responsible for the accuracy and integrity of everything they submit, whether or not an AI tool was involved in producing it.
Please read the AI policy below:
Appeals procedure
An appeal may be made against the final decision of an Assessment Board.
An appeal must be submitted within 20 working days of the date on which final grades for the qualification are issued, and must be made on one or more of the following grounds.
That circumstances existed which affected the learner's performance and of which, for good reason, the Assessment Board was not aware when the decision was taken, and which might have had a material effect on that decision.
Learners appealing on this ground must give credible and compelling reasons, with supporting documentation, explaining why the information was not made available before the decision was taken.
That there was a material administrative error or a procedural irregularity in the assessment process, or in the application of the programme regulations, of such a nature as to cast significant doubt on whether the decision would have been the same had the error or irregularity not occurred.
Learners appealing on this ground must submit evidence of the error or irregularity with their appeal.
That there is evidence of prejudice, bias or a lack of proper assessment on the part of one or more examiners.
Dissatisfaction with a grade is not in itself a ground for appeal. Evidence of bias or of a lack of proper assessment must accompany the appeal.
Before submitting an appeal, please read the full CLTI appeals policy below.
Assessment framework
The assessment methods used for a qualification depend on its level and format, and in some cases on the jurisdiction of the programme studied.
These methods are designed to give learners the broadest possible opportunity to demonstrate their understanding of the topics studied, at whichever level they are studying.
Mitigating circumstances
During their studies, a learner may experience illness or misfortune that affects their ability to complete an assessment or that affects their results. Where this happens, the learner may be able to request mitigation.
CLTI defines mitigating circumstances as unforeseeable or unpreventable circumstances that had, or could have had, a significant adverse effect on a learner's academic performance.
For further information, or to apply for mitigating circumstances to be considered, please read the policy below.
Reasonable adjustments
CLTI is committed to ensuring that its training and assessment do not discriminate against learners with a disability, and that assessment remains a fair test of a learner's knowledge and proficiency.
Where a learner has a disability or a learning difficulty, the usual format of training delivery or assessment may not be suitable, and an adjustment may be appropriate. The purpose of an adjustment is to allow a learner to demonstrate their ability and knowledge without being disadvantaged by the delivery method or the assessment format.
Applications should be made as early as possible, and in any event before the assessment to which they relate.
Please read the reasonable adjustments policy below.
Fit to Sit policy
This policy ensures that all learners are in an appropriate physical and mental condition to undertake examinations and assessments. It provides a clear framework for managing situations where a learner declares they are not fit to sit an assessment.
Our aim is to promote fairness, consistency, and transparency in decision-making, safeguarding both the integrity of the assessment process and the wellbeing of learners. Please read the Fit to Sit policy below before sitting your assessment.