Assessment guidance

Awarding regulations and guidelines 

In these regulations, an assessment component means any single piece of assessed work that contributes to a qualification, including an assignment, an examination or any other assessed task. The assessment components for each programme are set out in the programme Fact Sheet.

• The pass mark for each assessment component is 50%. There is no compensation between components. A learner must pass every assessment component in order to pass the qualification.
• A learner who does not achieve 50% in an assessment component must retake that component. Retakes are set on a different assignment or a different examination paper.
• A learner may attempt each assessment component a maximum of twice: the first attempt and one resit.
• Resits are available only where a component has been failed. Where a candidate has achieved a passing mark, they may not retake that component in order to improve the mark.
• The mark awarded for a resit is capped at 50%, which is the minimum required to pass the component.
• Where a learner is granted a deferral under the Mitigating Circumstances Policy, the deferred sitting does not count as an attempt. Where a learner registers for an assessment and does not submit or attend without approved mitigation, that is recorded as an attempt.
• The Assessment Board determines whether a learner is required to retake one or more assessment components. Where a choice of assessed work exists, the decision as to which is to be retaken rests exclusively with the Assessment Board.
• A learner granted a retake must take it at the next available opportunity. The right to defer is not automatic and is granted only under the Mitigating Circumstances Policy.

Where a learner has not passed every assessment component after exhausting the available attempts, the Assessment Board will consider, in order:

• whether to recommend that the candidate be awarded a lower level of award.
• if the candidate is not eligible for a lower level of award, whether to award a Certificate of Attendance.
• A learner is eligible for a lower level of award only where they have achieved 40% or above in every assessment component.
• Where a learner is not eligible for a lower level of award, the Assessment Board may award a Certificate of Attendance.

Academic malpractice

ICA 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 a`nd 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

ICA 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 ICA 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 ICA 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.

The assessment methods for each programme are set out in the programme Fact Sheet and are made clear to learners before enrolment.

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.

ICA 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

ICA 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.