exam day contact information - … · used level iii essay exam books (group 2) ... quick reference...

EXAM DAY CONTACT INFORMATION

Supervisor Support

PHONE+1 (434) 951-5571

FAX+1 (434) 951-5223

My Assignment

Designated Supervisor

Contact Phone Number

Reporting Time and Location

Room/Section Assignment

PROCEDURES MANUAL June 2018Chartered Financial Analyst® Exam

TABLE OF CONTENTS

All Testing Personnel Important Changes ............................................................................................ 1Enforcing CFA Institute Policies ...................................................................... 1Candidate Questions about the Exam .......................................................... 1

Announcements Morning Announcements .................................................................................2Afternoon Announcements ............................................................................. 5

Proctors Prior to Exam Day ............................................................................................... 8Dress Code—Testing Personnel ..................................................................... 8Exam Day Procedures ....................................................................................... 8

Reporting to the Test Center .................................................................... 8Personal Belongings—Proctor ................................................................. 9Time Remaining Signs ............................................................................... 9Admitting Candidates ................................................................................ 9

Check-In Process ..............................................................................................10Check-In Process Checklist ....................................................................10Admission Ticket .........................................................................................11Identification (ID) ....................................................................................... 12ID Issues .......................................................................................................14Personal Belongings—Candidate...........................................................15Calculators ...................................................................................................16Roster ............................................................................................................ 17Comfort Accommodations ...................................................................... 17Distributing Books to Candidates..........................................................18Damaged or Defective Exam Materials ................................................18Late Arrivals ................................................................................................20Seating Chart ..............................................................................................21

Monitoring Candidates ....................................................................................21Monitoring Strategies ...............................................................................21Violations ..................................................................................................... 22Suspected Cheating ................................................................................23Toilet and Water Breaks ...........................................................................23Writing Instruments ................................................................................. 24Second Check of Passports and Calculators ................................... 24Incidents ......................................................................................................25Seat Changes .............................................................................................25Early Departures Not Permitted ............................................................25Writing Past Time ......................................................................................25Informing Candidates of Violation Reports ........................................25

Collecting Exam Materials .............................................................................26Reconcile and Inspect Exam Materials ..............................................26Returning Materials to the Book Room ............................................... 27

Book Room Proctors Book Room Proctor Responsibilities ...........................................................28Packing Materials for Return Shipment .....................................................30

Administrative Paperwork (Group 1) ...................................................32Used Level III Essay Exam Books (Group 2) .......................................32Answer Sheets (Group 3) .......................................................................32Used Exam Books (Group 4) ..................................................................33Unused Exam Books (Group 5) .............................................................33Packing Exam Materials for Candidates Approved for Extended Testing Time ...............................................................................................35Shipping .....................................................................................................35Damaged Shipping Cartons ...................................................................36

Calculators ......................................................................................................................... 37Sample Forms .....................................................................................................................41Proctor Agreement ............................................................................................................54Index .................................................................................................................................... 55Quick Reference Sheet .....................................................................................................56

SUPERVISOR SUPPORT PHONE+1 (434) 951-5571 1

ALL

TEST

ING

P

ERS

ON

NEL

ALL TESTING PERSONNEL

Important ChangesPlease note the following important changes since the June 2017 administration:

y For June 2018, our exams will be administered on Saturday, 23 June 2018 directly followed by the religious alternate date (RAD) on Sunday, 24 June 2018.

y You no longer need to call Supervisor Support for prohibited electronic devices, unless a mobile phone or smart watch is found in use. See pages 15 and 22.

y You no longer need to call Supervisor Support for certain invalid IDs. Please refer to the ID issues on page 14.

y The Passport Number/Expiration Date Mismatch Log has been updated. See page 45. y The ID Report has been updated. See page 46. y The Incident Report has been updated. See page 48. y The Violation Report has been updated. See page 49.

Enforcing CFA Institute PoliciesThe integrity of the testing process is critical to all involved. You must understand the high stakes nature of the exam and conduct your duties in a serious and responsible manner. Our exam administration and security procedures are designed to prevent testing irregularities that might give a candidate an unfair advantage.

This manual explains your responsibilities prior to, during, and after the administration of the exam. Make sure you understand and follow all of the procedures as described in this manual.

Please contact Supervisor Support if you have any questions.

Candidate Questions about the ExamIf a candidate has a question about a CFA Institute policy, instruct him to contact CFA Institute directly after the exam for clarification. Provide the candidate the following contact information:

Email: [email protected]

Phone: +1 (434) 951-5499

Do not attempt to provide an explanation for the policy or speculate about how CFA Institute will answer a candidate’s question.


ANN

OU

NC

EMEN

TSMORNING ANNOUNCEMENTS

(for starting and ending the morning session)

Instructions for the reader are printed below in bold. The verbal announcements to candidates follow in the boxes. The morning announcements will take approximately 13 minutes.

y Read only the words in the boxes to candidates. y Read the announcements exactly as written, in English. y Read slowly and clearly to avoid distortions and/or echoes in the testing room.

Ensure all candidates are checked in and seated before reading the announcements.At 8:45 AM, or when all candidates are seated, say:

Good morning and welcome CFA candidates. Proctors: Distribute the exam books face down at this time. Candidates: Please remain seated. Do not open or write on your exam book until instructed to do so. I will read instructions soon. Toilet and water breaks are not permitted until the instructions have been read and the timed portion of the exam has started.

Begin reading at 8:47 AM. Say to candidates:

On behalf of CFA Institute, we hope you have a pleasant exam experience today. I will now review the important rules that govern this exam.The CFA Institute Code of Ethics and Standards of Professional Conduct apply during this exam. Please reference the back cover of your exam book as I read the testing rules:Use only the Texas Instruments B-A-Two Plus, including the B-A-Two Plus Professional, or the Hewlett Packard Twelve-C, including the Twelve-C Platinum and the Twelve-C Prestige, calculator.Your passport, admission ticket, and calculators must remain on your desk and will be checked again. Clear the memory in your calculators now. When requesting a water or toilet break, raise your hand for approval by a proctor. You must give your exam materials and your passport to a proctor; take your ticket with you. You are not permitted to leave this session early. At the conclusion of the timed portion of the exam, you must remain seated until you are dismissed by testing personnel.All electronic devices, such as mobile phones, smart watches, and fitness trackers, are prohibited. The test center is being monitored for electronic devices during this exam. If a prohibited electronic device is discovered in your possession during the timed portion of the exam, a written report will be submitted to CFA Institute. You must turn off and surrender your mobile phones and other electronic devices to a proctor now.

Pause 15 seconds to collect electronic devices. Then say:

Cheating is a very serious offense. To avoid the appearance of cheating, do not speak to another candidate during the exam. Do not look or glance at another candidate’s answers or give the appearance of doing so. Do not write on anything other than your exam book or answer sheet. Do not remove exam materials in any manner from this room. Do not share a calculator with another candidate, or borrow one, during the exam. When you hear the word “now” in the statement “stop writing now” at the end of each session, you must immediately put your writing instrument down.Violation of any CFA Program rule will result in CFA Institute voiding your exam result and may lead to suspension or termination of your candidacy in the CFA Program.Look at the front cover of your exam book now.

Pause 15 seconds.

If NO Level I or Level II candidates are present and only Level III candidates are present, skip to section below.


ANN

OU

NC

EMEN

TSIf Level I or Level II candidates are present, say:

Level Three candidates: Please leave your books closed while I read the instructions for Level One and Level Two candidates. Level One and Level Two candidates only: Follow along on the front cover of your exam book as I read the instructions. Use a Number 2 or HB pencil to complete this exam. Write your CFA Institute ID number and seat number in the spaces provided at the top of your exam book. This information is on your ticket.

Pause 15 seconds and then say:

Level One and Level Two candidates only: Break the seal on your exam book and remove the first page, which is your answer sheet. Close your book.


Ensure the form number at the top of your exam book matches the form number in the top right corner of your answer sheet. Tell a proctor now if the numbers do not match.


Write your name in the space provided on your answer sheet. Write your CFA Institute ID number in the space provided and fill in the proper oval directly below each number. This information is on your ticket.


Write your test center code, room or section, and seat number in the spaces provided. This information is on your ticket.


Read, sign, and date the candidate pledge.


Continue reading with me on the front of the exam book.Select one answer for each question and fill in the corresponding oval as shown in the example on your answer sheet. Make heavy black marks that fill the oval completely. Erase clearly any answers you wish to change. Do not make any other marks.Your score on this exam is determined solely by the marks read by the scanning equipment. Marks made by a writing instrument other than a Number 2 or HB pencil may not be read by the scanning equipment. Marks that are not dark enough and/or do not fill an oval completely may not be read by the scanning equipment. Random marks and poor erasures may be read as your intended answer. Answers marked in the exam book will not be graded.

If no Level III candidates are present, skip to section on the next page.

If Level III candidates are present, say:

Level Three candidates only: Follow along on the front cover of your exam book as I read the instructions: Use a Number 2 or HB pencil or blue or black ink pen to complete this exam. Write your CFA Institute ID number and seat number in the spaces provided at the top of your exam book. This information is on your ticket.


Break the seal on your exam book and locate the candidate pledge on the inside front cover. Read and sign the pledge. Close your book after you have signed the pledge.

(Continued on the next page.)


ANN

OU

NC

EMEN

TSPause 45 seconds and then say:

Level three candidates: continue to follow along on the front cover. A glossary of command words used in this exam is located below the candidate pledge. Command words are used in essay questions to provide direction on how to answer. Each essay question consists of one or more parts (A, B, etc.). Instructions in bold print immediately following the question direct you to the designated answer page for each question part. Answers written on answer pages designated for other question parts, question pages, or pages marked “This Page Intentionally Left Blank” are not graded. You are permitted to make marks and notes on the question pages and pages marked “This Page Intentionally Left Blank”.

If the announcements are completed prior to 9:00 AM, say:

Keep your books closed. The timed portion will begin soon.

Pause until 9:00 AM and then say:

Manage your time carefully. You have three hours to complete this session. You cannot leave the exam until you are dismissed. The time is __________. You may now begin.

At 11:30 AM or 30 minutes prior to the end of the session, say to candidates:

Thirty minutes remain. You cannot leave the exam until you are dismissed.

At 11:45 AM or 15 minutes prior to the end of the session, say to candidates:

Fifteen minutes remain. This is your final time check. You cannot leave the exam until you are dismissed.

At 12:00 PM or three hours after the start of the session, say to candidates:

Stop writing NOW. If you are still writing, you are in violation of CFA Institute testing rules. Put your writing instrument down, close your book, and remain seated.

Pause 5 seconds, then read the following:

Place your answer sheet next to your exam book so it can be collected separately.All exam materials will now be collected and counted. You must stay seated and quiet at this time. You will be dismissed once we have collected and reconciled materials from all candidates.Please remember that you signed a candidate pledge in which you agreed not to disclose any portion of this exam. Failure to comply with the terms of the candidate pledge could result in a professional conduct investigation or legal action.

When you are ready to dismiss candidates (all materials are collected and reconciled), say:

Please remain seated until you are dismissed. Take your admission ticket and belongings with you. Remember to check in for the afternoon session beginning at one o’clock. You are now dismissed.

(If the exams began more than 15 minutes late, remember that you must alter the return time for the candidates in the sentence above to accommodate the full two-hour lunch break.)


ANN

OU

NC

EMEN

TSAFTERNOON ANNOUNCEMENTS

(for starting and ending the afternoon session)

Instructions for the reader are printed below in bold. The verbal announcements to candidates follow in the boxes. The afternoon announcements will take approximately eight minutes.

y Read only the words in the boxes to candidates. y Read the announcements exactly as written, in English. y Read slowly and clearly to avoid distortions and/or echoes in the testing room.

Ensure all candidates are checked in and seated before reading the announcements.At 1:50 PM, or when all candidates are seated, say:

Welcome back. Proctors: Distribute the exam books face down at this time. Candidates: Please remain seated. Do not open or write on your exam book until instructed to do so. I will read the instructions for the afternoon session soon. Toilet and water breaks are not permitted until the instructions have been read and the timed portion of the exam has started.

Begin reading at 1:52 PM. Say to candidates:

The CFA Institute Code of Ethics and Standards of Professional Conduct apply during this exam. Please reference the back cover of your exam book as I read the testing rules:Use only the Texas Instruments B-A-Two Plus, including the B-A-Two Plus Professional, or the Hewlett Packard Twelve-C, including the Twelve-C Platinum and the Twelve-C Prestige, calculator.Your passport, admission ticket, and calculators must remain on your desk and will be checked again. Clear the memory in your calculators now. When requesting a water or toilet break, raise your hand for approval by a proctor. You must give your exam materials and your passport to a proctor; take your ticket with you. You are not permitted to leave this session early. At the conclusion of the timed portion of the exam, you must remain seated until you are dismissed by testing personnel. All electronic devices, such as mobile phones, smart watches, and fitness trackers, are prohibited. The test center is being monitored for electronic devices during this exam. If a prohibited electronic device is discovered in your possession during the timed portion of the exam, a written report will be submitted to CFA Institute. You must turn off and surrender your mobile phones and other electronic devices to a proctor now.

Pause 15 seconds to collect electronic devices. Then say:

Cheating is a very serious offense. To avoid the appearance of cheating, do not speak to another candidate during the exam. Do not look or glance at another candidate’s answers or give the appearance of doing so. Do not write on anything other than your exam book or answer sheet. Do not remove exam materials in any manner from this room. Do not share a calculator with another candidate, or borrow one, during the exam. When you hear the word “now” in the statement “stop writing now” at the end of each session, you must immediately put your writing instrument down.Violation of any CFA Program rule will result in CFA Institute voiding your exam result and may lead to suspension or termination of your candidacy in the CFA Program.Look at the front cover of your exam book now. Follow along on the front cover of your exam book as I read the instructions:Use a Number 2 or HB pencil to complete this exam. Write your CFA Institute ID number and seat number in the spaces provided at the top of your exam book. This information is on your ticket.

(Continued on the next page.)


ANN

OU

NC

EMEN

TSPause 15 seconds and then say:

Break the seal on your exam book and remove the first page, which is your answer sheet. Close your book.


Ensure the form number at the top of your exam book matches the form number in the top right corner of your answer sheet. Tell a proctor now if the numbers do not match.


Write your name in the space provided on your answer sheet. Write your CFA Institute ID number in the space provided and fill in the proper oval directly below each number. This information is on your ticket.


Write your test center code, room or section, and seat number in the spaces provided. This information is on your ticket.


Read, sign and date the candidate pledge.


Continue reading along with me on the front of the exam book.Select one answer for each question and fill in the corresponding oval as shown in the example on your answer sheet. Make heavy black marks that fill the oval completely. Erase clearly any answers you wish to change. Do not make any other marks.Your score on this exam is determined solely by the marks read by the scanning equipment. Marks made by a writing instrument other than a Number 2 or HB pencil may not be read by the scanning equipment. Marks that are not dark enough and/or do not fill an oval completely may not be read by the scanning equipment. Random marks and poor erasures may be read as your intended answer. Answers marked in the exam book will not be graded.

If the announcements are completed prior to 2:00 PM, say:

Keep your books closed. The timed portion will begin soon.

Pause until 2:00 PM and then say:

Manage your time carefully. You have three hours to complete this session. You cannot leave the exam until you are dismissed. The time is __________. You may now begin.

At 4:30 PM or 30 minutes prior to the end of the session, say to candidates:

Thirty minutes remain. You cannot leave the exam until you are dismissed.

At 4:45 PM or 15 minutes prior to the end of the session, say to candidates:

Fifteen minutes remain. This is your final time check. You cannot leave the exam until you are dismissed.


ANN

OU

NC

EMEN

TSAt 5:00 PM or three hours after the start of the session, say to candidates:

Stop writing NOW. If you are still writing, you are in violation of CFA Institute testing rules. Put your writing instrument down, close your book, and remain seated.

Pause 5 seconds, then read the following:

Place your answer sheet next to your exam book so it can be collected separately. Leave your ticket on your desk so it can be collected.All exam materials will now be collected and counted. You must stay seated and quiet until all materials have been collected and reconciled and we dismiss you.Please remember that you signed a candidate pledge in which you agreed not to disclose any portion of this exam. Failure to comply with the terms of the candidate pledge could result in a professional conduct investigation or legal action.Please remain seated until you are dismissed.

When you are ready to dismiss candidates (all materials are collected and reconciled), say:

On behalf of CFA Institute, thank you for participating in the CFA Program. Be sure to take your belongings with you when you leave. You are now dismissed.


PR

OC

TOR

S

PROCTORSYou represent CFA Institute to our candidates on exam day and must understand the serious nature of the CFA exams and conduct yourself professionally while adhering to all policies and procedures set forth in this manual. You are required to attend an in-person training session to work on exam day and you may be contacted by CFA Institute and required to supply additional information after exam day regarding a candidate’s alleged misconduct or other situations at your test center.

Before attending the mandatory proctor training session:

y Confirm you are available to work on exam day. y Read and understand this Procedures Manual. y Read and understand the checklist your supervisor provided regarding your

assignment.

During proctor training:

y Make sure you understand the testing policies and your responsibilities. y Provide your complete contact information to your exam supervisor. y Find out when and where to report on exam day. y Obtain your designated supervisor’s emergency contact information. y Read and complete the Proctor Agreement. y Direct any unanswered questions to your supervisor immediately.

Required:

y Soft-soled shoes (to reduce noise distractions to candidates). y Audible alarms and/or timers turned off on wristwatches. y Modest-length skirts or dresses, pants, shirts with sleeves, jackets or

sweaters. y Badges or vests issued by CFA Institute, distributed on exam day.

Prohibited:

y Jewelry that makes noise. y Strong cologne or perfume. y Sandals, hard-soled or high-heel shoes. y T-shirts, shorts, jeans, or athletic attire. Note: Athletic shoes are permitted.

Arrive on time and bring your valid government-issued ID and this manual. Wear your vest or badge from the time it is issued until all candidates have left the test center at the end of the day. Return the vest or badge to your designated supervisor.

PRIOR TO EXAM DAY

DRESS CODE—TESTING PERSONNEL

EXAM DAY PROCEDURES

Reporting to the Test Center


PR

OC

TOR

SLimit the number of personal belongings you bring to the test center. Food, drink, all electronic devices (such as mobile phones, computers, tablets, etc.), handbags, and other personal belongings are prohibited in the book room and the testing room. Leave your personal belongings in the proctor break room. Note: CFA Institute is not responsible for lost or stolen personal property.

In rooms where there are no clocks or clocks are not visible to all candidates, mark time remaining on a chalkboard or flipchart that is visible to everyone. Prepare the flipcharts before candidates arrive for check-in, if applicable.

The flipchart must indicate time remaining exactly as shown below. Use the signs provided on the Supervisor Resources website. If printed signs are not available, write time remaining neatly and legibly in large dark letters.

Less than 3 hours remainLess than 2.5 hours remainLess than 2 hours remainLess than 1.5 hours remainLess than 60 minutes remainLess than 45 minutes remainLess than 30 minutes remainLess than 15 minutes remain

Less than 2 hours remain

Mark time quietly, so candidates are not disturbed. Do not display signs until the appropriate times. If more than one flipchart is visible to candidates (such as in a large testing room with multiple sections), ensure all flipcharts display the same time remaining.

At the entrance to the testing room:

y Ensure each candidate has a current admission ticket for your test center. The date and test center code must be correct.

» If a candidate does not have a ticket, or if the ticket is illegible or contains incorrect information, do not admit the candidate to the testing room. Refer to the instructions in the “Admission Ticket” section (page 11).

y Do not check passports at the entrance to the testing room. y Remind candidates to place mobile devices and other prohibited items in

the personal belongings area. y Direct each candidate to the appropriate room or section to complete the

check-in process.At test centers where toilets are located outside of the testing room, proctors should remind candidates of the time the doors will close.

Personal Belongings—Proctor

Time Remaining Signs

Admitting Candidates


PR

OC

TOR

SCandidates may check in as early as 8:00 AM for the AM session and 1:00 PM for the PM session. Complete all steps in the Check-In Process Checklist for every candidate for each session.

If a candidate does not sit for the AM session, he is not permitted to sit for the PM session.

Check-In Process Checklist

Complete the following tasks for every candidate for both exam sessions. Refer questions to your designated supervisor.

qInspect the passport. It MUST: y Be a current (not expired) international travel passport y Be an original document. Photocopies are not acceptable y Contain a recognizable photograph of the candidate y Be machine readable

qLook through the pages of the passport quickly to ensure there are no hidden papers or notes.If a candidate presents ID other than a valid international travel passport, ask the candidate if he can retrieve the required ID and return within 30 minutes of the start of the timed portion of the session. If so, allow him to leave immediately.

qInspect the candidate’s admission ticket y Verify the following information matches the passport:

» Name (may be in different order; passport may include additional names) » Passport number (last four characters) » Expiration date

y Confirm the ticket is current and displays the correct test center location y Mark the appropriate session on the ticket y Inspect for writing y Ensure the candidate has only one copy of the ticket

q Locate the candidate’s CFA Institute ID number on the roster y Write the candidate’s pre-assigned seat number on the ticket in the space provided y Verify the name on the ticket matches the name on the roster y Mark the roster to record attendance

qInspect all calculators. Only the calculators listed in the back of this manual are permitted in the testing room.

qEnsure the candidate has only permitted items in the testing room and direct the candidate to place all prohibited items in the designated personal belongings area.

qDirect the candidate to the pre-assigned seat. Remind the candidate to remain seated, except for brief water or toilet breaks. If toilets are outside the testing room, remind candidates what time the doors will close for the Announcements. Once the testing room doors have closed, candidates outside the testing room (including candidates taking a water or toilet break) will not be readmitted until the Announcements have concluded.

CHECK-IN PROCESS


PR

OC

TOR

SCandidates are instructed to print their tickets from the CFA Institute website. Tickets may vary slightly in appearance because of differences in internet browsers. If a candidate displays his ticket on his mobile device and does not have a printed copy, refer the candidate to your designated supervisor to complete a blank ticket.

Candidates may bring only one ticket into the testing room. Collect extra tickets and dispose of them properly (shred or securely destroy). Candidate information is confidential.

If a Candidate’s Ticket… Required Action

Is illegible, information is missing, or the candidate does not have a ticket

y Your designated supervisor must call Supervisor Support

y Complete and issue a blank ticket with the information provided by Supervisor Support

Displays an incorrect test date or test center

y Your designated supervisor must call Supervisor Support

y If Supervisor Support confirms the candidate is registered at your test center, complete and issue a blank ticket

Has writing on front or back (i.e., numbers, letters, words, formulas)

y Confiscate the ticket y Complete and issue a blank ticket y Complete a Violation Report and

attach the original ticket » If tickets from more than one

candidate are confiscated at check-in, complete only one Violation Report

Has marks such as drawing, highlighting, underlining, stray marks, pencil dots, stains, or small holes or rips in the paper, found at check-in or during the exam

y These marks are not considered “writing on the ticket”

y Do not complete a Violation Report

y Do not issue a blank ticket

Admission Ticket


PR

OC

TOR

SA valid international travel passport must be presented by each candidate at check-in for the AM session AND the PM session to sit for the exam.

Valid for the CFA Exam NOT Valid for the CFA Exam

The passport must:

y Be a current (not expired) international travel passport.

y Be machine readable: contain two lines of text as letters, numbers and chevrons (<<<<<) at the bottom of the data page of the passport (the page containing the candidate’s photo and personal information).

y Contain the following information exactly as shown on the ticket: » Candidate’s name » Passport number (last four characters) » Expiration date

y Be an original document. y Include a recognizable photograph of the

candidate on the passport data page.

Invalid forms of ID include, but are not limited to, the following:

y Internal/regional passport y National identification card y Passport card y Driver’s license y Photocopy of the passport, including a notarized

or certified copy y Clipped, hole punched, or marked “Cancelled”

Before denying any candidate admittance to the exam, follow the ID procedure on page 12.

Confirm the Photo Matches the Candidate Presenting the Passport

y Make eye contact with the candidate. y Compare the photo on the passport to the candidate presenting it. The

photo must be recognizable and must match the candidate.

Notify your designated supervisor if you suspect the passport doesn’t belong to the person presenting it. Your designated supervisor will call Supervisor Support, if necessary, and notify the EAS.

Ensure the Passport is Authentic

Examine the passport closely. On the data page which contains the candidate’s photo, look for evidence of tampering, such as:

y Lamination has been removed or reattached y Corners or edges don’t match up y Air bubbles or bumps on the surface y Discrepancies in, or alterations to, the information contained in the

passport

Note: Normal wear and tear is acceptable.

Notify your designated supervisor if you suspect the passport has been tampered with or altered. Your designated supervisor will call Supervisor Support, if necessary, and notify the EAS.

Identification (ID)


PR

OC

TOR

SName Variations

The following name variations are acceptable and do not need to be reported to Supervisor Support:

Name on PassportName on Admission Ticket

Acceptable Variation

Doe Maria Jane Maria Jane Doe Names may be listed in a different order.

Maria Jane Doé Maria Jane Doe Accent marks do not have to match.

Maria Jane Smith Doe Maria Jane Doe

The passport may contain more names than the candidate’s admission ticket; this is acceptable. However, ALL of the names shown on the admission ticket must be displayed on the passport.

John David Doe, Jr. John David DoeSuffixes such as “Sr.”, “Jr.”, “III”, etc. are not considered part of the name and are not required to match.

The spelling of all of the names in the passport must match the names on the ticket.

If the candidate’s name does not match, follow the ID procedure on page 14.

Date of Expiration

The date of expiration on the exam admission ticket will be shown in English in the following format: day, month (spelled out), year (four digits).

Example: 4 May 2019

The passport must not be expired. If the passport is expired, check ALL other pages in the passport for an extension. The date of expiration must match the ticket; however, it may be written in a different format or order. For example, the passport may show 4/5/2019 while the ticket shows 4 May 2019.

Because the month may be expressed as a number rather than spelled out, be careful not to confuse the month and the day. For example, 04/05 could be 5 April or 4 May. Notify your designated supervisor if you have questions.


PR

OC

TOR

SID Issues

If a Candidate… Required Action

Presents an international travel passport; however,

y the passport number (last four characters) and/or date of expiration do not match the information printed on the admission ticket, AND

y the passport is otherwise valid

y Allow the candidate to sit for the exam. y Enter the candidate’s name and CFA Institute ID number on the

Passport Number/Expiration Date Mismatch Log. y A photocopy of the candidate’s passport or admission

ticket is not necessary. y Complete an ID Letter. Issue the letter to the candidate at the

end of the session. y Record the candidate’s information only once; do not repeat for

the PM session. y No call to Supervisor Support is needed.

Presents invalid ID at check-in AND

y is able to retrieve a valid international travel passport from another location and return no later than 30 minutes after the start of the exam

y Allow the candidate to leave immediately.

y No call to Supervisor Support is needed.

Presents one of the following invalid IDs at check-in (and is unable to retrieve a valid ID)

y Photocopy y Expired passport y Driver’s license, national ID card, or passport

card y Hole-punched, clipped, or marked “cancelled” y No passport and no alternate ID presented

y Do not allow the candidate to sit for the exam. y Photocopy the ID capturing all relevant data (including cover). y Complete an ID Report (attach the photocopy of the ID). y Complete and issue an ID letter to the candidate. y No call to Supervisor Support is needed.

Call Supervisor Support for all other types of invalid IDs.

Presents ID that requires a phone call to Supervisor Support AND is determined invalid

y Do not allow the candidate to sit for the exam. y Photocopy the ID capturing all relevant data (including cover). y Complete an ID Report (attach the photocopy of the ID). y Complete and issue an ID letter to the candidate.

Presents ID that requires a phone call to Supervisor Support AND is determined questionable

y Allow the candidate to sit for the exam. y Photocopy the ID capturing all relevant data (including cover). y Complete an ID Report (attach the photocopy of the ID). y Complete and issue an ID Letter to the candidate. y If found during the second ID check, follow the same process. y Report questionable ID only once; do not repeat for the PM

session.

Presents ID that is damaged beyond normal wear and tear, or the photo is unrecognizable

y Notify your designated supervisor and EAS. y Call Supervisor Support.

Is found to have one of the following invalid IDs at the second check

y Photocopy y Expired passport y Driver’s license, national ID card, or passport

card y Hole-punched, clipped, or marked “cancelled” y No passport and no alternate ID presented

y Allow candidate to complete the current session. y Photocopy the ID capturing all relevant data (including cover). y Complete an ID Report (attach the photocopy of the ID). y Complete an ID Letter. Issue the letter to the candidate at the

end of the session. y Inform candidate at the end of the session he will not be

admitted to the PM session with the invalid ID. y No call to Supervisor Support is needed.

Call Supervisor Support for all other types of invalid IDs.


PR

OC

TOR

SInspect candidate belongings to ensure prohibited items do not enter the testing room. If a prohibited item is found at check-in, place the item in the personal belongings area or dispose of the item. If prohibited items are found in the testing room before the timed portion of the exam begins, candidates must surrender them to you to place the items in the personal belongings area.Use a box or other container labeled with the room/section number to collect mobile phones and other prohibited items collected during the check-in process and reading of the Announcements. Ensure mobile devices are turned off. Once the timed portion of the exam begins, take the container of prohibited items to the personal belongings area. Do not store mobile phones and other prohibited belongings in the testing room.

Prohibited Items – VIOLATION REPORT REQUIRED (if found during the timed portion)

Item found Required action

y Study materials such as notes, scratch paper, textbooks, or calculator manuals

y Confiscate the item(s) y Complete a Violation Report y Attach item(s) to the report

y Mobile phones or smart watches y Confiscate the item and place in the personal belongings area y Complete a Violation Report y No call to Supervisor Support is needed (unless found in use) y If the candidate is NOT seen using the device, follow the

guidelines on page 22

y Cameras, computers, tablets, wearable technology such as fitness devices, or any other remote communication or photographic devices

y Confiscate the item and place in the personal belongings area

y Complete a Violation Report y No call to Supervisor Support is needed

y Bags of any kind, including transparent bags, handbags, or pencil cases

y Knives of any type, including box cutters and knives used as pencil sharpeners

y Other prohibited items

y Confiscate the item and place in the personal belongings area

y Complete a Violation Report

Prohibited Items – NO REPORT REQUIRED

Item found Required action

y Food or drinks y Inspect all items for handwritten notes. y If none are discovered, discard or confiscate item(s) and

place in personal belongings area. y If notes are found, complete a Violation Report. y Attach notes to the report.

y Passport covers y Highlighters, correction fluid, correction

tape, or rulers

y Inspect all items for handwritten notes. y If none are discovered, instruct candidate to place under desk. y If notes are found, complete a Violation Report. y Attach notes to the report.

Personal Belongings—Candidate


PR

OC

TOR

SPermitted Items

Must be kept on the desk y Exam admission ticket y Valid international travel passport y Approved calculators y Approved writing instruments

May be kept on the desk, if needed

y Loose calculator batteries (no packaging) y Screwdriver for battery replacement y Calculator cases y Keystroke cards y Earplugs y Erasers (paper holder or cover must be discarded) y Eyeglasses, but not the eyeglasses case y Manual pencil sharpeners (no knives) y Wristwatches (analog and digital) with alarms and timers

silenced; however, all smart watches are prohibited

Must be kept under chair or in pockets when not in use

y Wallet (money purse) y Medicine, tissues, and other necessary medical or personal items

(such as a medical face mask) y Gum, hard candy (boiled sweets), cough drops y Eyeglasses case y Calculator pouch y Hat—may be worn during the exam y Outerwear (coats, sweaters, etc.)—may be worn during the exam y Keys

Candidates may use only approved calculator models, as shown in the photographs on pages 37–40 of this manual. Inspect each candidate’s calculator(s) at the AM and PM session check-in.

y Candidates may bring multiple approved calculators. y All calculators must remain on the desk in full view throughout the exam. y Candidates ARE permitted to use the manufacturer’s keystroke cards;

however, instruction manuals are not permitted in the testing room.

Unauthorized Calculator Found at Check-In

Unauthorized calculators must be placed in the personal belongings area. Do not call Supervisor Support to report invalid calculators. Candidates are allowed to sit for the exam without a calculator.

Candidates are not permitted to borrow or share calculators during the timed portion of the exam.

See page 22 for an unauthorized calculator found during the second check.

Calculators


PR

OC

TOR

SCandidates are listed on the roster in CFA Institute ID number order by room/section. Pre-assigned seat numbers are printed on the roster. See the sample roster on page 42.

During the check-in process, you must:

y Locate each candidate on the roster using the CFA Institute ID number on the candidate’s ticket.

» If a candidate is not listed on the roster, your designated supervisor must contact Supervisor Support to determine if the candidate is authorized to sit at your test center.

y Compare the name on the roster to the name in the passport and on the ticket. If they do not match and are not an acceptable name variation (see page 13), your designated supervisor must contact Supervisor Support.

y Record the pre-assigned seat number on the ticket. Mark the appropriate box on the ticket to record attendance.

y Darken the circle next to the candidate’s name in the present column on the roster.

» Do not use a check mark (ü), X, or other mark to record attendance. y Record roster additions in the designated space on the last page, not on the

line next to the assigned seat number. y Enter seat changes in the designated column.

Once candidates are checked in, immediately direct them to their assigned seats. Candidates must remain seated, except for brief toilet or water breaks. Candidates must take their tickets with them for breaks and should be reminded that they must be seated during the reading of the Announcements.

Thirty minutes after the timed portion of the exam has started, darken the circles under “absent” for all candidates who are absent. Attendance must be marked for both sessions for every candidate on the roster. Do not leave circles blank for absent candidates for either session.

Candidates may request a comfort accommodation that does not require extra time or the use of a testing aid. Examples include:

y An extra chair to elevate an injured foot y A seat near the door for someone who must frequently use the toilet y The use of a pillow for back support (be sure to inspect) y A small snack kept in candidate’s pocket for medical needs. Snacks cannot

be consumed at the candidate’s desk; the candidate must consume the snack in the toilet or other area outside the testing room (but within the secure testing area of the venue).

You should accommodate the candidate if doing so does not disrupt the testing environment or provide an unfair advantage.

Some candidates may arrive with a letter confirming comfort accommodations CFA Institute has approved in advance; however, advance approval is not required. Contact Supervisor Support if there are any questions.

Roster

Comfort Accommodations


PR

OC

TOR

SIf you move a candidate to a new seat as a comfort accommodation, note this on the Seating Chart and roster, and complete an Incident Report.

Distribute exam books when directed to do so in the Announcements, after all candidates in the testing room have been checked in and seated. Do not distribute books while candidates are standing in line or being checked in.

Candidates must remain seated while exam books are distributed and the Announcements are read. Toilet and water breaks are NOT permitted during this time.

Keep the extra books at the proctor table in each testing room/section. Ensure the extra books are secure, monitored at all times, and not easily accessible to candidates.

Distribute and collect books in seat order (seat 1 first, followed by seat 2, seat 3, etc.). Place an exam book face down on each desk where a candidate is seated, in the order the seats are numbered. Do not place an exam book at an empty seat.

Damaged materials are exam books or answer sheets that have been torn or marred by the candidate.

Defective materials are exam books or answer sheets that have printing errors (e.g., ink spots from the printer, extra/missing page, etc.). Please note books distributed with broken seals do not require an Incident Report.

Determine if the issue is widespread. If so, contact Supervisor Support immediately. If not, the table below will instruct you on how to handle each scenario.

The CFA exam consists of three levels, each with an AM and PM session. Level I and II candidates record their answers on an answer sheet found on the inside cover of the exam books for each session. Level III candidates record their answers in the purple essay exam book for the AM session and on an answer sheet found on the inside cover of the exam book for the PM session. The procedures below outline what to do if an answer document (answer sheet or essay exam book) is damaged or defective.

LEVEL IIIMORNING SESSION ESSAY

Chartered Financial Analyst® Examination

THIS BOOK IS THE PROPERTY OF:

CFA Institute915 East High StreetCharlottesville, VA | 22902-4868 | USA+1 (434) 951-5571©2018 CFA Institute. All Rights Reserved.

DO NOT OPEN OR WRITE ON THIS EXAM BOOK UNTIL INSTRUCTED TO DO SO.

TESTING RULES

Use only the Texas Instruments BAII Plus (including the BAII Plus Professional) or the Hewlett Packard 12C (including the 12C Platinum and the 12C Prestige) calculator.

Your passport, admission ticket, and calculators must remain on your desk and will be checked again. Clear the memory in your calculators now. When requesting a water or toilet break, raise your hand for approval by a proctor. You must give your exam materials and your passport to a proctor; take your ticket with you. You are not permitted to leave this session early. At the conclusion of the timed portion of the exam, you must remain seated until you are dismissed by testing personnel.

All electronic devices, such as mobile phones, smart watches, and fitness trackers, are prohibited. The test center is being monitored for electronic devices during this exam. If a prohibited electronic device is discovered in your possession during the timed portion of the exam, a written report will be submitted to CFA Institute. You must turn off and surrender your mobile phones and other electronic devices to a proctor now.

Cheating is a very serious offense. To avoid the appearance of cheating:• Do not speak to another candidate during the exam.• Do not look or glance at another candidate’s answers or give the appearance of doing so.• Do not write on anything other than your exam book or answer sheet.• Do not remove exam materials from this room.• Do not share a calculator with another candidate, or borrow one, during the exam.

When you hear the word “now” in the statement, “stop writing now” at the end of each session, you must immediately put your writing instrument down.

Violation of any CFA Program rule will result in CFA Institute voiding your exam result and may lead to suspension or termination of your candidacy in the CFA Program.

Distributing Books to Candidates

Damaged or Defective Exam Materials


PR

OC

TOR

SDamaged or Defective Answer Sheets/Essay Exam Books (Answer Documents)If a Candidate… Required Action

Requests a new answer sheet due to stray pencil marks

y Advise the candidate to erase the marks. y A new answer sheet is not necessary.

Reports a damaged or defective answer document BEFORE the timed portion of the exam begins

y Quickly provide a new answer document. y Complete an Incident Report. Return the Incident Report with other

administrative paperwork. y Return the damaged/defective answer document with other used answer

documents. y If an answer sheet was replaced, attach a sticky note to the unused exam

book stating “used answer sheet only.” Return the opened book along with other used exam books.

Requests a new essay exam book because he ran out of space on the designated answer page

y Follow the procedure below for replacing a damaged answer document AFTER the timed portion of the exam has begun.

Reports a damaged answer document AFTER the timed portion of the exam has begun

y Allow the candidate to continue testing with the original answer document until you quickly provide an additional answer document.

y Instruct the candidate to complete the information at the top/front of the book and begin answering questions on the new answer document.

y DO NOT instruct the candidate to transfer previous answers to the new answer document.

y Assure the candidate both answer documents will be graded. y Inform the candidate no extra time is allowed. y Complete an Incident Report. Return the Incident Report with other

administrative paperwork. y Return both answer documents with like answer documents. y If an answer sheet was replaced, attach a sticky note to the unused exam

book stating “used answer sheet only.” Return the opened book along with other used exam books.

Reports a defective answer document AFTER the timed portion of the exam has begun

y Allow the candidate to continue testing with the original answer document.

y Contact Supervisor Support for further instructions.

Insists on transferring answers to a new answer document (because of defective/damaged answer document OR use of wrong writing instrument)

y Inform the candidate no extra time is allowed. y Instruct the candidate to complete the information at the top of the new

answer document. y Attach a sticky note to the NEW answer document indicating it is the

final version to be graded. y Attach a sticky note to the original answer document indicating it should

NOT be graded. y If an answer sheet was replaced, position the sticky note over the

candidate pledge portion of the sheet. y Complete an Incident Report. Return the Incident Report with other

administrative paperwork. y Return both answer document with other answer document.


PR

OC

TOR

SDamaged or Defective Exam BooksIf a Candidate… Required Action

Reports a broken seal on the exam book

y Confirm pages are present and in order. y Allow the candidate to test with the book. Do not replace a book due to

a broken seal. y Do not complete an Incident Report.

Reports a damaged or defective exam book BEFORE the timed portion of the exam has begun

y For a damaged book (torn or marred by the candidate), quickly provide a new exam book.

y For a defective book (printing error), call Supervisor Support. y Complete an Incident Report. Return the Incident Report with other

administrative paperwork. y Attach a sticky note to the damaged/defective exam book stating

“damaged—not used.” y Return the damaged/defective exam book with other used exam books.

Reports a damaged exam book AFTER the timed portion of the exam has begun

y Allow the candidate to continue testing with the original exam book until you quickly provide a new book.

y The candidate may keep both exam books until the end of the session. y Inform the candidate no extra time is allowed. y Complete an Incident Report. Return the Incident Report with other

administrative paperwork. y Attach a sticky note to the damaged exam book stating “damaged.” y Return both exam books with other used exam books.

Reports a defective exam book AFTER the timed portion of the exam has begun

y Allow the candidate to continue testing with the original exam book while you quickly provide a new book.

y The candidate may keep both exam books until the end of the session. y Inform the candidate no extra time is allowed. y Contact Supervisor Support. y Complete an Incident Report. Return the Incident Report with other

administrative paperwork. y Attach a sticky note to the defective exam book stating “defective.” y Return both exam books with other used exam books.

If the candidate arrives within 30 minutes of the start of the timed portion of the session:

y Allow the candidate to test. y Inform the late arrival no additional time is granted. y Advise the candidate to read the instructions on the back of the exam book.

Do not read the Announcements for late arrivals. y Check in and seat late arrivals quietly, so candidates who are already

testing are not disturbed.

If the candidate arrives more than 30 minutes after the start of the timed portion of the session:

y Call Supervisor Support for guidance. y If Supervisor Support determines the candidate should be turned away, he

cannot sit for either exam session.

Late Arrivals


PR

OC

TOR

SThirty minutes after the timed portion of the exam has started: y Record candidates who are PRESENT by entering their CFA Institute ID

numbers under their assigned seat numbers on the Seating Chart. y Record candidates who are ABSENT by entering an “A” under their

assigned seat number. Do not enter the CFA Institute ID numbers for absent candidates. Do not leave the boxes blank.

y If a seat is left unassigned on the roster, leave the seat blank on the Seating Chart.

y Record attendance for both the AM and PM sessions.

Candidates should sit in their pre-assigned seats for both sessions, unless you have moved the candidate. See page 25.

Actively monitor candidates at all times. Circulate throughout the room or section during the entire exam, including while the Announcements are being read.

You are not permitted to conduct personal business, read, use a mobile phone or other electronic device, chat with other proctors, or engage in any other activity that distracts from your duties during the exam.

If you must discuss something related to the exam with another proctor, speak quietly and have the conversation away from candidates to minimize disruptions.

All proctors in a section should work together to monitor candidates. At least one proctor should act as an enforcer, monitoring candidates from vantage points within the section. At least one other proctor should act as an observer, standing on the perimeter and monitoring the room/section as a whole. In large rooms/sections, there may be more than one proctor serving in these roles.

An enforcer circulates among candidates and monitors for: y Signs of cheating, such as hidden notes, copying from another candidate’s

paper, or electronic means of cheating y Prohibited items y Writing on calculators, erasers, pencils, or admission ticket, or in passport y Suspiciously bulky clothing that may be hiding notes or cheating devices

An observer monitors candidates from the perimeter of the room/section and watches for unusual behavior, such as candidates who are: y Fidgeting excessively y Leaning toward another candidate y Looking around the room y Taking frequent toilet or water breaks y Wandering while taking a toilet or water break

Seating Chart

MONITORING CANDIDATES

Monitoring Strategies


PR

OC

TOR

SWhen you observe or suspect misconduct, immediately complete a Violation Report while the facts are fresh in your mind. If more than one proctor witnesses the violation, each proctor must complete a separate, independent report. See the example on page 49.

If a Candidate… Required Action

Opens the exam book early y Complete a Violation Report

Has a mobile phone or smart watch—found during or after the timed portion

y If the candidate is seen using the device, follow these steps: » Confiscate the item » Complete a Violation Report » Call Supervisor Support (only if found in use).

y If the candidate is NOT seen using the device, follow these steps: » Complete a Violation Report » No call to Supervisor Support is needed (unless found in use). » Monitor candidate closely to ensure he does not access the device.

If he does, call Supervisor Support. » Wait until the end of the session and then confiscate device. If the

device is locked or turned off, have the candidate unlock it. » Look through email, texts, photos, social media apps, and any other

apps that include those or similar service. If you find any evidence that the candidate captured, sent, or received information during the exam, document with a photocopy of the device’s screen. Use the supervisor’s phone to take photos of the content if necessary.

» Include timestamps of when the content was captured/sent/received.

» Return the device to the candidate after documenting and deleting any suspicious content.

» Attach any photocopies of content to the Violation Report.

Has an invalid calculator—found at second check

y Allow the candidate to continue testing with the invalid calculator for the rest of the current session

y At the end of the session, confiscate and photocopy the faceplate of the invalid calculator

y Complete a Violation Report y Attach the photocopy of the invalid calculator to the Violation Report y If found during the AM session, inform the candidate he is not

permitted to use the invalid calculator for the PM session

Has a ticket with writing on front or back

y Follow the procedure on page 11

Has notes or scratch paper (including extra admission tickets)

y Confiscate the notes/scratch paper y Complete a Violation Report y Attach the notes/scratch paper to the Violation Report

Leaves the exam before the end of the session

y Complete a Violation Report

Writes past time y Complete a Violation Report

Violations


PR

OC

TOR

SIf you observe suspicious behavior:

y Immediately notify your designated supervisor. The supervisor, the EAS, and at least one other proctor should observe the candidate’s behavior. There must be at least two witnesses, and each must complete their own independent Suspected Cheating Report. If you have been asked to observe a candidate, you must still complete a report even if you did not witness suspicious behavior.

y Verify the candidate’s identity using two or more of the following: candidate’s passport, admission ticket, roster, and/or Seating Chart.

y Monitor the candidate throughout the day. y When completing the Suspected Cheating Report:

» Answer all questions. Document all behaviors observed. Indicate whether the behaviors changed over time.

» Identify the periods of time you observed the candidate. » Complete one report per suspected candidate for each session. » Record only your observations, not personal feelings or judgments

regarding the conduct. For example:Yes: Candidate looked to his left four times for five seconds each

and his eyes appeared to be directed toward the adjacent candidate’s paper.

No: Candidate looked to his left and was staring at his neighbor’s paper but I don’t think he was cheating.

You must sign all reports, so we can follow up with you regarding the incident. We will not disclose your name or other identifying information to the candidate, unless you give us permission to do so.

Independent reports are vital. Complete Suspected Cheating Reports by yourself and in your own words—do not copy another proctor’s report and do not complete one report on behalf of all witnesses. Your observation may differ from what someone else saw. Independent reports provide us with more details and are vital to the investigation process.

Candidates may take brief toilet and water breaks during the timed portion of the exam.

If the toilets are outside of the testing room, candidates who wish to take a toilet break prior to the reading of the announcements should be reminded of the door closing time. Candidates are permitted to consume water only at designated water stations and cannot bring cups or bottles back to their desks.

y Collect the passport, exam book, and answer sheet and keep these materials in the testing room.

y Ensure candidates take their tickets with them.

Suspected Cheating

Toilet and Water Breaks


PR

OC

TOR

SToilet and water breaks are not permitted while: y Announcements are being read y Exam books are being distributed y Exam materials are being reconciled and inspected following the conclusion

of each session

Candidates must bring their own writing instruments on exam day.

In the interest of fairness to all candidates, you may not provide writing instruments to any candidate.

Candidates are instructed to use HB or #2 pencils (including mechanical pencils) when completing the answer sheets. Level III candidates are encouraged to use HB or #2 pencils (including mechanical pencils) or blue or black ink pen when completing the AM session essay exam book.

Note: pens are permitted in the testing room. Do not confiscate pens or prohibit candidates from bringing them into the room.

If you notice a candidate using the wrong writing instrument, allow him to continue testing uninterrupted.

If a candidate notifies you he is using the wrong writing instrument, y Do not provide a writing instrument. During the timed portion of the exam

the candidate is not permitted to borrow one from another candidate. y Inform the candidate he may choose whether or not to transfer the answers

to a new answer document. y If the candidate chooses to transfer answers, no extra time is allowed.

Provide a new essay exam book or issue a new answer sheet from an unused book. Refer to page 18 for complete instructions.

y If asked, you may inform the candidate that using the wrong writing instrument on an answer sheet may affect how the scanning machine reads and records the information.

You must conduct a second check of passports and calculators during the timed portion of each session of the exam. y One proctor should check both the passport and calculator at the same

time. y Perform this additional check only once per session, in a manner that does

not disturb candidates. If possible, the second check should be done by a proctor who did not perform the initial inspection of passports and calculators at check-in. The second check should be completed no earlier than one hour into the session to allow for late candidates to arrive and begin testing.

If ID issues are discovered during the second check, follow the procedures on page 14. If an unauthorized calculator is found during the second check, follow the procedures on page 22.

Writing Instruments

Second Check of Passports and Calculators


PR

OC

TOR

SUse an Incident Report to document situations that do not involve testing policy violations. Examples of incidents include, but are not limited to:

y Disturbances in the testing room because of noise, lighting, or temperature y Seat changes y Damaged/defective exam materials y Answer document that is missing both the CFA Institute ID number and the

candidate name y Conflicts of interest not previously disclosed

Complete one Incident Report form per room/section. See the example on page 48.

y Enter the details on an Incident Report. » Indicate the original room/section and seat number, as well as the

room/section and seat number to which the candidate was moved. » Include the reason for moving the candidate.

y Indicate on the roster and the Seating Chart that the candidate was moved.

Candidates are not permitted to leave the exam until they are dismissed at the end of each session. If a candidate insists on leaving early, allow him to leave and complete a Violation Report.

If a candidate left the AM session early and a Violation Report was written, the candidate is permitted to sit for the PM session, as long as he does not arrive more than 30 minutes after the start of the timed portion of the session.

Candidates must remain seated and quiet, except for brief water or toilet breaks, until dismissed.

Do not dismiss candidates until room/section proctors have collected, reconciled, and inspected all exam materials.

To end the session, the reader will announce “Stop writing NOW. If you are still writing you are in violation of CFA Institute testing rules.” If a candidate is writing or erasing after the word “now” is read, the candidate is writing past time. Complete a Violation Report.

In certain situations, such as discovery of an invalid ID/unauthorized calculator during the exam or early departure from the exam, you should inform the candidate you are required to submit a written report to CFA Institute.

In cases of suspected cheating or writing past time, do not inform the candidate you are submitting a written report since it may create a volatile situation with the candidate.

Incidents

Seat Changes

Early Departures Not Permitted

Writing Past Time

Informing Candidates of Violation Reports


PR

OC

TOR

SComplete all of the following steps for each session of the exam:

y Collect answer sheets first in seat number order. It is essential to collect answer sheets before collecting the exam books to ensure they are not left in the exam books.

y Ensure each candidate has written his CFA Institute ID number and signed the candidate pledge in the appropriate place on the answer sheet.

» If not, instruct the candidate to write in the number and/or sign the pledge in your presence. This is the only time a candidate is permitted to write on the answer sheet after time is called.

y After answer sheets are gathered, collect the used exam books in seat number order.

y When collecting the Level III essay exam books (AM session), ensure each Level III candidate has entered his CFA Institute ID number on the front cover. If not, instruct the candidate to enter the number in your presence. This is the only time a candidate is permitted to write on the essay exam book after time is called.

y Reconcile and inspect the exam materials at the proctor table. Keep exam books and answer sheets separate.

y Inspect tickets to ensure candidate has not written on the ticket. If writing is found, complete a Violation Report.

y Collect admission tickets (PM session only).

Candidates must remain seated until you have done the following:

y Reconcile: Verify all materials have been collected. » Make sure you have an exam book and an answer sheet for each

candidate who is present. » For the Level III essay exam (AM session), ensure you have an essay

exam book for each Level III candidate who is present. » Use the Packing Form to account for all materials.

y Inspect: Hold the book by the spine and quickly flip through the pages to ensure:

» It is an authentic June 2018 CFA exam book. » No pages are missing. » The answer sheet has not been left in the book.

Reconcile and inspect the materials accurately and thoroughly, but quickly. If you find a discrepancy, immediately inform your designated supervisor, and do not dismiss candidates until you receive further instructions.

Toilet breaks and water breaks are not permitted while you are reconciling and inspecting exam materials. Candidates must remain seated and quiet until dismissed.

COLLECTING EXAM MATERIALS

Reconcile and Inspect Exam Materials


PR

OC

TOR

SAfter you have completed reconciliation and inspection, dismiss candidates. If there are multiple sections in the room, reconciliation and inspection must be complete for all sections before candidates may be dismissed.

Organize all materials in seat number order. y Keep exam books and answer sheets separate. y Ensure there is an answer sheet for each used exam book (with the

exception of the Level III morning essay exam). y Verify attendance is marked correctly for all candidates on the Seating

Chart and the roster. » Darken the circle in the absent column on the roster for each candidate

who is absent. Do not leave the circle blank for absent candidates. y Count the exam materials for your testing room. Complete the Packing

Form accurately. » If a candidate used multiple exam books or answer sheets, count each

book and answer sheet separately. y Separate exam materials into the following categories and return them to

the book room:AM session:

¾ Answer sheets ¾ Used Level III essay exam books ¾ Used exam books ¾ Unused exam books ¾ Completed Violation Reports and Suspected Cheating Reports

Note: Keep ID Reports, Incident Reports, Passport Number/Expiration Date Mismatch Log, Packing Form, Candidate Rosters, and Seating Chart in the testing room for use during the PM session.PM session:

¾ Answer sheets ¾ Used exam books ¾ Unused exam books ¾ Completed Incident Reports, Violation Reports, Suspected Cheating Reports, Passport Number/Expiration Date Mismatch Log, and ID Reports

¾ Candidate Rosters (including any blank pages or pages for rooms/sections where no candidates were present)

¾ Admission tickets ¾ Seating Chart ¾ Packing Form

Remember to keep answer sheets separate from exam books and other exam materials. Handle the answer sheets carefully—do not fold, bend, or damage the answer sheets.

Returning Materials to the Book Room


PR

OC

TOR

S

BOOK ROOM PROCTORSThe book room is where exam materials are securely stored, distributed to proctors, returned, counted, and packed for shipping back to CFA Institute. Exam security is of utmost importance and the book room must be attended at all times by a security guard and/or testing personnel.

Only testing personnel with duties specific to the book room may access the restricted areas of the book room. Proctors picking up or dropping off exam materials may enter the book room but are not permitted to access the restricted areas. All other personnel are restricted from entrance. Candidates are never allowed in the book room.

Exam Day Morning—before the AM session

y If there is a Religious Alternate Date (RAD) exam at your test center, the cartons of books for that exam will be identified with pink labels, and the test center code will consist of four letters ending with an “S.” Set these cartons aside and do not open them; they must remain sealed until the morning of the RAD exam.

y Open the cartons of AM session books. Do not open the PM session cartons at this time.

y If any candidates have been approved for special print exams, the exams will be packed in cartons labeled “Special Print Exam.”

y Confirm the number of books in each carton matches the quantity shown on the label.

» Notify your designated supervisor if they do not match. y Organize the books for each room/section.

» Ensure proctors pick up the correct number of AM session books (based on Candidate Roster). The cover of each level and session of exam book is a different color. Refer to the following chart.

Level IAM Brown

PM Green

Level IIAM Blue

PM Orange

Level IIIAM Purple

PM Gray

» Distribute special print exams to the appropriate proctors, if applicable. y Record the number of books distributed to each room/section on the Exam

Book Log form. y Record the number of books left in the book room (not distributed).

At the conclusion of the AM session

y Collect and count exam materials returned by room proctors: » Answer sheets

BOOK ROOM PROCTOR RESPONSIBILITIES


BO

OK

RO

OM

P

RO

CTO

RS

» Used exam books » Unused exam books

y Record the number of exam books collected on the book log (must match the number you distributed).

y Collect forms: » Violation Reports » Suspected Cheating Reports

Before the PM session

y Open the cartons of PM session exam books. y Confirm the number of exam books in each carton matches the quantity

shown on the label. » Notify your designated supervisor if they do not match.

y Organize the books for each room/section. » Ensure proctors pick up the correct number of PM session exam books

(based on roster). The covers for the PM session are green. y Record the number of books distributed to each room/section on the Exam

Book Log. y Record the number of books left in the book room (not distributed) on the

Exam Book Log.

During the PM session

y Pack the AM session materials for return shipment. Refer to the instructions on pages 30–36.

At the conclusion of the PM session

y Collect and count exam materials returned by room proctors: » Answer sheets » Used exam books » Unused exam books

y Record the number of exam books collected on the Exam Book Log (must match the number you distributed).

y Collect forms: » Candidate Rosters (including any blank pages or pages for rooms/

sections with no candidates who were present) » Seating Charts » Packing Forms » Tickets » Violation Reports » Suspected Cheating Reports » Incident Reports


BO

OK R

OO

M

PR

OC

TOR

S » ID Reports » Passport Number/Expiration Date Mismatch Logs

y Sort and pack all materials for return shipment. Refer to the following instructions.

Use only the original green cartons and the FedEx waybill CFA Institute provided.

y Remove old waybills and shipping labels from the cartons. y Inspect the cartons to ensure they are intact and strong enough for return

shipment.

What to pack:

y Administrative paperwork y Answer sheets y Exam books (used and unused)

What NOT to pack:

y Vests, badges, lanyards, Procedures Manuals, shrink wrap, unused forms, or signage

y Unclaimed candidate belongings—leave them with the venue authorities

STEP 1. SORT all materials into the following groups:

Group 1 All paperwork y Original Candidate Rosters (all pages) y Seating Charts y Exam Book Log y Proctor Agreements y Proctor Training Roster y Packing Forms y All reports:

» Incident Reports » Violation Reports » Suspected Cheating Reports » Passport Number/Expiration Date Mismatch Logs » ID Reports

y Admission tickets

Group 2 Used Level III essay exam books

Group 3 Used answer sheets

Group 4 Used exam books

Group 5 Unused exam books

PACKING MATERIALS FOR RETURN SHIPMENT


BO

OK

RO

OM

P

RO

CTO

RS

STEP 2. COMPLETE the form printed on the top flap as you pack each carton.

y Use a dark marker to complete the label. y Clearly indicate the contents of each carton. See the following illustration.

» Test center code» Group(s) » Room/section number(s)» Level(s)» Session(s)

y Ensure the flap with this information is visible when sealing the cartons.

CENTER CODE

CARTON OF

1 2 3

4 5

(circle appropriate group)

Left side

Room(s)/Section(s):

Circle all that apply:

Right side

Entering Information on the Top Flap of Each Carton

Level I Level II Level III

AM PM

Enter the test center code

Enter the sequential number(1, 2, 3, etc.) for each carton

Enter the total number of cartons

Circle the group number(s)of materials in the carton

Enter the room(s)/section(s)in the carton

Circle the level(s) ofexam materials in the carton

Circle the session(s) ofexam materials in the carton


BO

OK R

OO

M

PR

OC

TOR

SSTEP 3. PACK each category separately, as follows:

Administrative Paperwork (Group 1)

y Sort paperwork by type. » Rosters—clip or bind all pages together in page number order,

including blank pages or pages for rooms/sections without present candidates.

» Forms and reports—separate and bind by type. » Tickets—must be in seat number order within each room/section. ¾Bind tickets by room/section. ¾Organize them room/section order as listed on the rosters.

y Place the rosters on top of the forms and reports. y Pack rosters, forms, and reports in the envelopes labeled for

administrative paperwork (provided by CFA Institute). y Pack tickets in the envelopes labeled for tickets (provided by CFA

Institute). y Circle the “1” printed on the top flap of each carton that contains

paperwork. y Seal the Group 1 carton(s) last. Include all paperwork for both

sessions.

Used Level III Essay Exam Books (Group 2)

y Ensure essay exam books are in seat number order by room/section. y Place an Exam Material Cover Sheet on top of the stack of essay exam

books for each room/section. y Bind with a rubber band. y Pack the stacks of essay exam books in carton in the order the rooms/

sections are listed on the roster. y Circle the “2” printed on the top flap of each carton that contains used

essay exam books. y In the space provided on the top flap, accurately mark the room/

section numbers for the materials in each carton.

Answer Sheets (Group 3)

y Pack AM session and PM session answer sheets separately. y Do the following for each session. See the following illustration.

1. Place the answer sheets for each room/section between two cardboard sheets. Place a completed Exam Material Cover Sheet on top of the stack. ¾Answer sheets must be in seat number order within each room/

section.¾Place the answer sheets neatly between the cardboard sheets so

they are not damaged during shipping. 2. Bind the stack with a rubber band.3. Place the stack in a plastic envelope designated for answer sheets

(provided by CFA Institute). 4. Ensure the cover sheet shows through the clear side of the

envelope. Seal the envelope.


BO

OK

RO

OM

P

RO

CTO

RS

5. Organize the envelopes in room/section order as listed on the roster.

6. Pack in carton(s). y Circle the “3” printed on the top flap of each carton containing answer

sheets.

Packing Answer Sheets — AM Session and PM Session

Completed ExamMaterial Cover Sheet

Answer sheets(in seat number order)

Cardboard sheet

Cardboard sheet

Assemble the Exam Material Cover Sheet,first cardboard sheet, answer sheets, and

final cardboard sheet into a stack.1

Bind the stack with a rubber band.2

Insert the stack in the plastic envelope(provided by CFA Institute).3

Ensure the Exam Material Cover Sheetshows through the clear plastic side

of the envelope. Seal the envelope.4

Arrange envelopes in the order the rooms are listed on the roster.5

Pack in cartons. Indicate “Group 3” on the carton labels.6

STEP 3. PACK each category separately, as follows: (continued)

Used Exam Books (Group 4)

y Ensure books are in seat number order by room/section. y Place an Exam Material Cover Sheet on top of the stack of books for each

room/section. y Bind with a rubber band. y Pack the stacks of books in cartons in room/section order as listed on the

roster. y Circle the “4” printed on the top flap of each carton containing used

books.

Unused Exam Books (Group 5)

y Pack in cartons. y Circle the “5” printed on the top flap of each carton containing unused

books.

STEP 4. FILL empty space in cartons with packing paper.

y If the carton isn’t full, the contents may shift during shipment causing the carton to open.


BO

OK R

OO

M

PR

OC

TOR

SSTEP 5. SECURE the cartons with shipping tape with a tensile strength of 35 lb./inch.

CENTER CODE

CARTON OF

1 2 3

4 5(circle appropriate group)

Room(s)/Section(s):


AM PM

Circle all that apply:

1: Starting at folded edge,tape down the center.

2: Tape across 1 inch fromtop open edge.

3, 4, 5: Tape all open edges.

1

2

4

3 5

STEP 6. NUMBER the cartons using the designated spaces on the carton flap.

y Enter the sequential number of each carton. » The carton with the administrative paperwork must be carton #1.

y Enter the total number of cartons in the shipment.

STEP 7. SECURE materials until you release them to FedEx.

y Never leave exams in an unsecured location (e.g., unattended in a car, hotel room, etc.). y Never drop off the exams at the venue’s front desk or mail/shipping center for FedEx to pick up later. y Contact Supervisor Support immediately if there is a delay in pick-up or shipment, or if any part of the

shipment must be sent separately (i.e., materials for candidates with disability accommodations).


BO

OK

RO

OM

P

RO

CTO

RS

Can groups be combined?

All materials must be returned in the green CFA Institute cartons. If you do not have enough green cartons to separate materials by group, it is acceptable to combine groups as follows:

• Combine administrative paperwork and answer documents (groups 1, 2, and 3).

• Combine used and unused exam books (groups 4 and 5). Keep separate from groups 1, 2, and 3.

• Circle the appropriate groups on each carton flap.

A candidate with disability accommodations may be approved for extended testing time. Be sure to return the AM and PM session exam materials for the candidate, including roster, together in the same shipment. Never return the AM session materials and the PM session materials in separate shipments.

Hold the AM session materials until the candidate has finished the PM session and you are able to determine whether the candidate’s materials can be shipped with the rest of the materials for the test center, or whether a separate shipment is necessary.

If a candidate... Required Action

y Is finished testing, AND y His PM session materials are

reconciled in time to be packed with the rest of the materials for the test center

y Pack the materials along with the other materials in accordance with the instructions in this manual.

y Is NOT finished testing, OR y His PM session materials are not

reconciled by the time the rest of the test center’s exam materials are shipped

y Ship the candidate’s materials for both sessions (AM and PM) with the Religious Alternate Date (RAD) exams, if applicable. If there is no RAD exam, CFA Institute will provide a separate FedEx waybill for shipment.

y If you do not have an original green CFA Institute carton for the separate shipment, use a carton of similar size and shape.

y You must properly secure the exam materials until you hand them off to FedEx.

Return the exam materials to CFA Institute no later than the first business day after the exam. If there is a delay in shipping the materials or if any items are shipped separately, notify Supervisor Support immediately.

You must not change the courier or shipping method without prior approval from Supervisor Support.

Packing Exam Materials for Candidates Approved for Extended Testing Time

Shipping


BO

OK R

OO

M

PR

OC

TOR

SIf CFA Institute cartons have been damaged and cannot be used for return shipping:

y Notify Supervisor Support exam materials will be returned in alternate cartons.

y Pack all paperwork and answer documents (Groups 1, 2, and 3) in original green CFA Institute cartons.

y Use alternate cartons only for used and unused exam books (Groups 4 and 5), if necessary.

y If you must use alternate cartons, be sure to use strong cartons that are comparable to our cartons (of similar size and shape).

y Pack an appropriate number of books per carton; do not over fill. y Fill any empty space with packing paper. y Use shipping tape with a tensile strength of 35 lb./inch to secure the

cartons, including the corners.Create address labels as follows and apply them to each alternate carton.

CENTER CODE:

CARTON OF

Group(s): 1 2 3

4 5

To:CFA Institute Receiving1147 River RoadCharlottesville, VA 22901USA+1 (434) 951-5214

Room(s)/Section(s):


AM session PM session

Alternate Address Label

Damaged Shipping Cartons


CAL

CU

LATO

RS

CALCULATORSTexas Instruments BA II Plus, Version 1

Calculator Faceplate and Keystroke Card

Texas Instruments BA II Plus, Version 2Calculator Faceplate and Keystroke Card



CALC

ULATO

RS


Texas Instruments BA II Plus Professional, Version 1Calculator Faceplate and Keystroke Card

Texas Instruments BA II Plus Professional, Version 2Calculator Faceplate and Keystroke Card


CAL

CU

LATO

RS

Hewlett Packard 12CCalculator Faceplate and Keystroke Instructions on Back of Calculator

Hewlett Packard 12C Platinum, Version 1Calculator Faceplate and Keystroke Instructions on Back of Calculator

Hewlett Packard 12C Platinum, Version 2Calculator Faceplate and Keystroke Instructions on Back of Calculator


CALC

ULATO

RS

Hewlett Packard 12C Platinum 25th Anniversary EditionCalculator Faceplate and Keystroke Instructions on Back of Calculator

Hewlett Packard 12C Platinum 30th Anniversary EditionCalculator Faceplate and Keystroke Instructions on Back of Calculator

Hewlett Packard 12C PrestigeCalculator Faceplate and Keystroke Instructions on Back of Calculator


SAM

PLE

FO

RM

S SAMPLE FORMS


SAM

PLE FO

RM

S��

��

��

��

� ��

��

21 9997127

36 9998193

�

��

��

��

� � ��

��

��

��

��

��Mekius, Nikolas

Stafford, Alicia

Moved to seat #41

��

��

��

��

��

��

��

��

��

��

��

� ��

��

� ��

� ��

��


SAM

PLE

FO

RM

S

Seating Chart

Date: _______________________________ Center Code: ______________________________________Room/Section: ________________________ Proctor(s): ________________________________________

(PRINT full name and list other Proctors on back)

Fill in the seat numbers according to the layout of the room/section. The diagram below must match the floor plan. If a candidate is present, write the CFA Institute ID number in the appropriate box (AM or PM). If the candidate did not attend a session, enter an “A” in the appropriate box.

EXAMPLESCandidate attended both sessions: Candidate attended morning session, but

was absent from the afternoon session:Candidate was absent from both

sessions:

Seat # 1 Seat # 12 Seat # 6

9991234 9991234 A 9991234 A A

Seat # Seat # Seat # Seat # Seat # Seat # Seat # Seat #

AM AM AM AM AM AM AM AM PM PM PM PM PM PM PM PM

Seat # 37 Seat # 38 Seat # 39 Seat 40 Seat # 41 Seat # 42 Seat # Seat #

9997226 9997248 9997345 9997362 9997226 9997414 AM AM 9997248 9997345 9997362 9997226 9997414 PM PM

Seat # 36 Seat # 35 Seat # 34 Seat # 33 Seat # 32 Seat # 31 Seat # Seat #

9998193 9997193 9997175 9997161 9997148 9997111 AM AM 9998193 9997193 9997175 9997161 9997148 9997111 PM PM


9996446 A A 9996545 9996984 9997003 AM AM 9996446 A A A 9996984 9997003 PM PM


A 9996312 A 9997127 9994588 9994473 AM AM A 9996312 A 9997127 9994588 A PM PM


9992733 A 9993511 9993992 9994447 9994469 AM AM 9992733 A 9993511 9993992 9994447 9994469 PM PM


9992731 9992697 9992682 9992656 9992604 9992598 AM AM A 9992697 9992682 9992656 9992604 9992598 PM PM


9991235 9991637 9991899 9992153 9992488 A AM AM 9991235 9991637 9991899 9992153 9992488 A PM PM

Proctor Table Proctor Table

FRONT OF ROOM/SECTION

Moved to seat 41

101

23 June 2018

Thomas Dale, Stefan Alvino

CHO


SAM

PLE FO

RM

S

Seating Chart

Date: _______________________________ Center Code: ______________________________________Room/Section: ________________________ Proctor(s): ________________________________________

(PRINT full name and list other Proctors on back)

Fill in the seat numbers according to the layout of the room/section. The diagram below must match the floor plan. If a candidate is present, write the CFA Institute ID number in the appropriate box (AM or PM). If the candidate did not attend a session, enter an “A” in the appropriate box.

EXAMPLESCandidate attended both sessions: Candidate attended morning session, but

was absent from the afternoon session:Candidate was absent from both

sessions:

Seat # 1 Seat # 12 Seat # 6

9991234 9991234 A 9991234 A A

Seat # Seat # Seat # Seat # Seat # Seat # Seat # Seat #

AM AM AM AM AM AM AM AM PM PM PM PM PM PM PM PM

Seat # 7 Seat # 8 Seat # 21 Seat 22 Seat # 35 Seat # 36 Seat # Seat #

9992598 9992604 9997127 A 9997193 9998193 AM AM 9992598 9992604 9997127 A 9997193 9998193 PM PM


A 9992656 9994588 9996312 9997175 9997226 AM AM A 9992656 9994588 9996312 9997175 PM PM


9992488 9992682 9994473 A 9997161 9997248 AM AM 9992488 9992682 A A 9997161 9997248 PM PM


9992153 9992697 9994469 9996446 9997148 9997345 AM AM 9992153 9992697 9994469 9996446 9997148 9997345 PM PM


9991899 9992731 9994447 A 9997111 9997362 AM AM 9991899 A 9994447 A 9997111 9997362 PM PM


9991637 9992733 9993992 A 9997003 9997226 AM AM 9991637 9992733 9993992 A 9997003 9997226 PM PM


9991235 A 9993511 9996545 9996984 9997414 AM AM 9991235 A 9993511 A 9996984 9997414 PM PM

Proctor Table Proctor Table

FRONT OF ROOM/SECTION

23 June 2018 CHO

Moved to seat 41

101 Thomas Dale, Stefan Alvino


SAM

PLE

FO

RM

S

DO NOT KEEP COPIES OF COMPLETED FORMS. DO NOT SUBMIT BLANK LOGS.

RETURN IN CARTON 1 OF EXAM MATERIALS.

Passport Number / Expiration Date Mismatch LogJune 2018

Test Center Code: _______________________________________________________________________________

Room/Section (complete one form per section/room): ___________________________________________________

Proctors: _______________________________________________________________________________

InstructionsStep 1: Enter the candidate's CFA Institute ID number and name below. Enter each candidate's information only

once (do not repeat for the PM session).

Step 2: Issue an ID letter to the candidate(s).

Step 3: Do not include copies of passports, tickets, ID letters, or other documentation with this form.

CFA Institute ID Number Candidate Name

Example:

1234567 Last (Family) Name, First (Given) Name

9995721 O’Toole, Dennis

9996072 Lipton, Aaron

9993790 Prasad, William

This log is for documenting passport number and/or expiration data mismatch ONLY. DO NOT use this form for name mismatches. A call to Supervisor Support IS NOT necessary.

CHO

107

Susan West, Michael Kelly


SAM

PLE FO

RM

S

DO NOT KEEP COPIES OF COMPLETED FORMS. RETURN IN CARTON 1 OF EXAM MATERIALS.

ID ReportJune 2018

If the passport number or date of expiration does not match, do not use this form;use the Passport Number/Expiration Date Mismatch Log.

1. Provide candidate informationTest Center Code: ___________________________ CFA Institute ID Number: ______________________Candidate name on ticket: ________________________________________________________________

2. Indicate ID issue

IMPORTANT: Call Supervisor Support at +1 (434) 951-5571 for the following scenarios.ATTACH A COPY OF THE ID TO THIS REPORT.

� Not an international travel passport. Type of ID presented: __________________________________*Do NOT call if the ID is a driver’s license, national ID card, or passport card as these are invalid.

� Name does not match ticket. Name on passport: __________________________________________� Unrecognizable photo� Not machine readable� Damaged (provide details): ___________________________________________________________� Other (provide details): ______________________________________________________________

Supervisor Support’s decision: � Invalid � Questionable � Valid

Do NOT call Supervisor Support for the following invalid ID scenarios.ATTACH A COPY OF THE ID TO THIS REPORT.

� No ID � Driver’s license, national ID card, or passport card� Expired� Photocopy� Hole-punched, clipped, or marked “Cancelled”

3. Follow up

Did the candidate return with valid ID? � Yes � No

4. Provide additional information

______________________________________________________________________________________

______________________________________________________________________________________

5. Provide proctor information

Proctor name (printed): _______________________ Proctor signature: ____________________________

Proctor email: _________________________________________ Time discovered:__________________

Attach a copy of the ID to this report. Include all relevant pages or sections.

Henry Tsang

9990037 CHO

Candidate is unable to retrieve passport. Supervisor Support confirmed the Residence Permit is

invalid. I issued an ID letter to the candidate and did not allow him to sit for the exam.

Susan West Susan West [email protected] 8:15 AM

Residence Permit/Permanent Resident card


SAM

PLE

FO

RM

S

ID Letter

CFA Institute ID #: ____________________________________________________

Candidate Name: _____________________________________________________

Section/Room Number: _____________________ Seat Number: ______________

Dear Candidate,

You are receiving this letter because the identification you presented for admittance to the CFA exam did not meet the CFA Institute Identification Policy, or it requires additional research to confirm validity. The personnel at the test center will submit a report to us. We review all reports and will follow up with you as necessary.

As a reminder, you agreed to adhere to all testing policies, including the Identification Policy, as part of the CFA exam enrollment and registration process. For your passport to be considered valid it must:

� Be a current (not expired or cancelled) international travel passport.� Include a recognizable photograph on the passport data page.� Contain your name, date of birth, passport number, expiration date, and country of issuance.� Exactly match the information you provided to CFA Institute.� Be an original document. Photocopies will not be accepted.� Be machine readable.

Please see the indicated box below for more specific information.

£ Passport Number and/or Date of Expiration Mismatch—Action RequiredYou will be allowed to sit for the exam today; however, you must update your account immediately by submitting a completed Identification Information Change Request form and copy of your passport directly to CFA Institute. Additional information is available online at: http://www.cfainstitute.org/Forms/name_change.pdf.�£ QuestionableYou will be allowed to sit for the exam today; however, if CFA Institute determines that your ID is invalid, you will be notified and your scores may be voided.�

� InvalidYou are not permitted to sit for the exam.Note: If an invalid ID is discovered after the start of the exam, it does not imply the ID is valid or that your scores will ultimately be reported.

Thank you for your attention to this important matter. Please visit our website at www.cfainstitute.org if you wish to submit a question or comment.

Sincerely,CFA Institute

9990037

Henry Tsang

107 4


SAM

PLE FO

RM

S

��

�� CHO

��

��

��

��

��

��

101 37 101 41

��

35 1111Answer Sheet

� � ��

9 2222Front Cover

� � ��

� � ��

AM exam started at 9:06am.

�� Thomas Dale��

101

��

��

��

��

9997226 Philip M. Duarte Candidate's table was wobbly and he requested to move.

��

9997362 Michael T. DeNovo Stefan Alvino Coworker

��

��

�� Several candidates complained that the room was cold.

��

��

��

9997193 Monika Bennett

��

� ��

9992656 Yuechin Lai

��

� ��

��

��

��

� ��

��

Thomas Dale


SAM

PLE

FO

RM

S

Violation ReportJune 2018


Complete this report for TESTING POLICY VIOLATIONS. Provide as much detail as possible.(SUSPECTED CHEATING should be documented on the Suspected Cheating Report.)

1. Candidate InformationCandidate Name: __________________________________ CFA Institute ID Number: ___________________

Test Center Code: ___________________________________

Room/Section: ______________________________________Seat Number: ______________________________________

2. Violation Type� Writing found on exam admission ticket(s). Attach original ticket(s).

� At check-in � AM Session � PM Session� During or after timed portion � AM Session � PM Session

� Opened exam book early (mark all that apply):� Broke seal of book before instructed � Removed answer sheet before instructed� Opened book to page 1 (list of exam topics) � Opened book to a page with exam questions

� Possessed invalid calculator(s) in testing room during the exam. Attach photocopy of faceplate(s). Was the calculator used? � Yes � No

� Possessed prohibited personal belonging(s) in testing room during timed portion of exam:

Mark all that apply: Was item used?� Scratch paper (attach original documents) � Yes � No� Study materials/notes (attach original documents) � Yes � No� Mobile phone � Yes � No� Smart watch � Yes � No� Fitness device � Yes � No

� Other (provide details): � Yes � No

� Wrote after time was called: Candidate wrote for approx. ____ seconds after the “Stop writing NOW” instruction.� Left exam early. Reason provided: _____________________________________________________________� Other Violation (provide details): _______________________________________________________________

3. Additional InformationProvide additional details regarding your observations. Include any discussion with candidate and actions taken. Use the back of this sheet if necessary. _____________________________________________________________________________________________________________________________________________________________

Identify all other personnel who observed the violation: _____________________________________________________________________________________________________________________________________________

4. Your information. All witnesses must complete a separate report.Proctor name (printed): ____________________________ Your email: _________________________________

Proctor signature: ______________________________________________________________________________

Time the violation occurred: _____________________________ Time report was completed: _________________

� 3

Samuel McKinley 9998505

CHO

109

5:00 PM

23

5:05 PM

[email protected]

David Bennett & Thomas Smith

Amy Huong

Amy Huong

Which of the following were used to verify the candidate’s identity? Indicate two or more:� Passport � Seating Chart� Exam Ticket � Roster�

�


SAM

PLE FO

RM

S

Suspected Cheating ReportJune 2018


Complete this report for SUSPECTED CHEATING. Provide as much detail as possible.1. Provide candidate information

Candidate Name: _____________________________ CFA Institute ID Number: __________________

Test Center Code: ____________________________

Room/Section: _______________________________

Seat Number: ________________________________

2. Document your observations of the candidate’s behavior

1. When did you observe the candidate’s behavior? � AM Session � PM Session2. What periods of time did you observe the candidate? ________________________________________3. Was the candidate looking at another candidate's paper? � Yes � No (if No, skip to question 4)

a. How many times did the candidate look at another candidate's paper? _______________________b. How long (seconds/minutes) were each of the candidate's looks? ___________________________c. After looking, what did the candidate do? Did the candidate:

Look at his/her own paper? � Yes � No Other? ________________________________Write on his/her own paper? � Yes � No ________________________________

d. What did the candidate do in order to look at the other candidate’s paper?Turn his/her head? � Yes � No Lean his/her body? � Yes � NoShift his/her eyes? � Yes � No Other? _________________________________

e. Whose paper was the candidate looking at? Seat # ________ CFA Institute ID # _____________f. What was the distance between the two candidates? _____________________________________g. Was the other candidate aware of the candidate looking at his/her paper? � Yes � No � Uncertainh. Did you speak to the candidate looking at another candidate's paper? � Yes � No

4. Identify all persons who observed the candidate's conduct. ______________________________________________________________________________________________________________________

5. Where were you located in the testing room when observing the candidate's conduct? ________________________________________________________________________________________________

6. When you observed the candidate, was he/she:a. Fidgeting? � Yes � No c. Looking around the room? � Yes � Nob. Stretching his/her neck, back, arms? � Yes � No d. Other? ___________________________

7. Provide any additional details regarding your observations, including actions taken by testing personnel. Use an extra sheet if necessary. _______________________________________________________________________________________________________________________________________________________________________________________________________________________________

3. Provide your information

All witnesses must complete a separate report.

Your name (printed): ________________________ Your email: _________________________________

Your signature: _____________________________ Time report was completed: ____________________

9999892

CHO

William C. Hurley

109

16

9:30, 10:15, 11:10, for about 10 minutes each time

5 times

About 3 seconds each time

9995698 15

About 3 feet

Maria Jordan (proctor), James Kelly (EAS), Jorge Melo (supervisor)

times I was standing 2 rows in front of him. I was standing behind him the last 2 times I observed him.

The first 2

When I walked behind the 2 candidates, I noticed they were on the

same page, and the other candidate was marking her answers with a very large A, B, or C in the margins

of her book.

Pat Moore [email protected]

Pat Moore 11:20 am

How did you verify the candidate’s identity? Indicate two or more:� Passport � Seating Chart� Exam Ticket � Roster� �


SAM

PLE

FO

RM

S

Packing FormJune 2018

Test Center Code:_________________________________________________________________________

Room/Section: ___________________________________________________________________________

Proctors:________________________________________________________________________________

Complete the information below using the appropriate level(s) for your testing room. Indicate the number of exam books and answer sheets collected from candidates, as well as unused exam books. Return the completed packing form to the book room.

If a candidate used multiple exam books or defective/damaged books were found, complete an Incident Report.

Returned to Book Room

LEVEL IExam Books Issued From Book Room

Candidates Present

Used Answer Sheets

Used Exam Books

Unused Exam Books

TOTAL Exam Books Returned to Book Room

Morning 44 35 36 36 8 44

Afternoon 44 32 32 33 11 44


LEVEL IIExam Books Issued From Book Room

Candidates Present

Used Answer Sheets

Used Exam Books

Unused Exam Books


Morning 20 19 19 19 1 20

Afternoon 20 19 19 19 1 20


LEVEL IIIExam Books Issued From Book Room

Candidates Present

Used Answer Sheets

Used Exam Books

Unused Exam Books


Morning 16 16 16 16 0 16

Afternoon 16 15 15 15 1 16

CHO

101

Thomas Dale, Earl Francis


SAM

PLE FO

RM

S

��

��

��

CHO

� ��

��

Patr

icia

McA

llist

er, C

olin

McA

llist

er, W

illia

m S

tick

le, J

essi

ca K

atz

��

��

��

��

��

��

��

��

��

��

��

��

��

��

��

��

��

ITh

omas

Dal

e44

Thom

as D

ale

368

44Da

mag

ed a

nswe

r sh

eet

�

ITh

omas

Dal

e44

Stef

an A

lvin

o33

1144

Defe

ctiv

e ex

am b

ook

IEi

leen

Sti

ckle

42Ei

leen

Sti

ckle

402

42

�

IEi

leen

Sti

ckle

42Ei

leen

Sti

ckle

384

42

IBr

ian

Brow

n42

John

Kat

z41

142

�

IJo

hn K

atz

42Jo

hn K

atz

384

42

IM

icha

el K

im41

Mic

hael

Kim

347

41

�

IKa

thle

en D

eleh

anty

41M

icha

el K

im32

941

IKa

rl S

tein

42Bo

b De

leha

nty

384

42

�

IKa

rl S

tein

42Ka

rl S

tein

384

42

IAn

nett

e N

onez

43An

nett

e N

onez

421

43Da

mag

ed a

nswe

r sh

eet

�

IAn

nett

e N

onez

43An

nett

e N

onez

403

43

ISu

san

Wes

t42

Susa

n W

est

366

42

�

IBr

ian

Levy

42Br

ian

Levy

348

42

IRa

hul M

itta

l42

Rahu

l Mit

tal

375

42Da

mag

ed e

xam

boo

k

�

IEu

gene

Inm

an42

Euge

ne I

nman

348

42

IAm

y H

uang

42Am

y H

uang

357

42

�

IAm

y H

uang

42Am

y H

uang

357

42

IPa

t M

oore

42Pa

t M

oore

402

42

�

IPa

t M

oore

42Pa

t M

oore

384

42

IPa

tric

ia M

cAlli

ster

35Pa

tric

ia M

cAlli

ster

035

35Di

d no

t le

ave

book

roo

m

�

IPa

tric

ia M

cAlli

ster

35Pa

tric

ia M

cAlli

ster

035

35Di

d no

t le

ave

book

roo

m

Extr

a

Extr

a

107

108

108

109

109

102

106

107

110

110

102

105

106

103

103

104

104

105

101

101

��

��

��

��

��

��

11

This page intentionally left blank.


PR

OC

TOR

AG

REEM

ENT

Proctor Agreement

Complete this agreement and return it to your supervisor at proctor training. Contact your supervisor with any questions related to this agreement. Note to supervisor: Place all signed agreements together and return to CFA Institute in carton 1 of the exam materials.

Test Center Code:

Compliance with CFA Institute ProceduresI have read and understand the June 2018 Procedures Manual and agree to supply CFA Institute with the services and to comply with all procedures outlined in the manual. I certify I have attended the mandatory proctor training session. I agree to cooperate in any investigation by CFA Institute into candidate conduct. Cooperation includes, but is not limited to, responding to inquiries from the CFA Institute Professional Conduct Program.

Confidentiality of CFA® ExamsI understand the contents of the CFA exams and CFA Institute procedures regarding the exam are strictly confidential. I agree to keep confidential and not reveal to anyone, without the prior written permission of CFA Institute: the contents of the CFA exams; the storage location(s) of the CFA exams; any CFA Institute procedures relating to the exam; and a description of any events that I observe or participate in during the course of my service to CFA Institute. I further agree to refrain from both taking photographs or making comments about the exam on social media or other public fora. In addition, I will not remove the CFA exams or any other CFA Institute written material from the exam venue, nor will I copy or permit anyone else to copy such materials, without prior approval by CFA Institute. I will immediately inform CFA Institute of any actual or suspected violation of this confidentiality and/or copying prohibition requirement.

Anti-Discrimination PolicyCFA Institute maintains a strong policy against discrimination in all aspects of its operations, including the administration of the CFA exams. CFA Institute tests candidates on the basis of personal knowledge and ability without regard for race, color, religion, sex, national origin, age, marital status, sexual orientation, or disability. Similarly, CFA Institute administers its rules and procedures objectively and without regard to a particular candidate’s race, color, religion, sex, national origin, age, marital status, sexual orientation, or disability. As a proctor, I understand and will comply with this anti-discrimination policy. For purposes of the exam, I will represent CFA Institute and perform my duties as a proctor fairly and without regard to any personal bias.

Conflict of InterestI am not aware of any close working or personal relationships with candidates or of other situations that may raise questions as to my independence regarding this exam, except as noted below. I understand I must immediately inform CFA Institute in writing if any situations arise after this form has been signed that may impair my independence in fact or in appearance. I am not currently registered or enrolled as a candidate for any level or administration of the CFA exam. I am not affiliated in any way with a CFA candidate preparatory course.

CANDIDATE’S NAME (PLEASE PRINT) RELATIONSHIP

I acknowledge I have read this agreement, understand it, and am voluntarily entering into it.

Proctor’s signature:

Proctor’s printed name:

Proctor’s email address:

Date:


IND

EX

INDEXAAdmission Ticket, p. 11, 41Admitting Candidates, p. 9Afternoon Announcements, p. 5–7Announcements, p. 2–7

BBlank Ticket, p. 11Book Room Proctor

Responsibilities, p. 28–30

CCalculators, p. 16, 37–48Check-In Process, p. 10–22Check-In Process Checklist, p. 10Collecting Exam Materials,

p. 26–27Comfort Accommodations,

p. 17–18

DDamaged or Defective Exam

Materials, p. 18–20Damaged Shipping Cartons, p. 36Distributing Books to Candidates,

p. 18Dress Code—Testing Personnel,

p. 8

EEarly Departures Not Permitted,

p. 25Exam Book Log, p. 52Exam Day Procedures, p. 8–9

IIdentification (ID), p. 12–13ID Issues, p. 14ID Letter, p. 47ID Report, p. 46Incident Report, p. 48Incidents, p. 25

Informing Candidates of Violation Reports, p. 25

LLate Arrivals, p. 20

MMonitoring Candidates, p. 21–25Morning Announcements, p. 2–4

PPacking Exam Materials for

Candidates Approved for Extended Testing Time, p. 35

Packing Form, p. 51Packing Materials for Return

Shipment, p. 30–36Passport Number/Expiration Date

Mismatch Log, p. 45Personal Belongings—Candidate,

p. 15–16Personal Belongings—Proctor, p. 9Prior to Exam Day, p. 8Proctor Agreement, p. 54

RReconcile and Inspect Exam

Materials, p. 26–27Reporting to the Test Center, p. 8Returning Materials to the Book

Room, p. 27Roster, p. 17, 42

SSample Forms, p. 41–52Seat Changes, p. 25Seating Chart, p. 21, 43–44Second Check of Passports and

Calculators, p. 24Shipping, p. 35Suspected Cheating, p. 23Suspected Cheating Report, p. 50

TTime Remaining Signs, p. 9Toilet and Water Breaks, p. 23–24

VViolation Report, p. 49Violations, p. 22

WWriting Instruments, p. 24Writing Past Time, p. 25


Quick Reference Sheet

Personal Belongings in the Testing Room (Procedures Manual p. 15–16)

Required on Desk Allowed on Desk Under Chair or in Pockets

y Exam admission ticket

y Valid international travel passport

y Approved calculator(s)

y Writing instruments

y Calculator batteries

y Earplugs/eyeglasses

y Erasers (no covers or wrappers)

y Pencil sharpener

y Wristwatch (no smart watches)

y Calculator case

y Keystroke card

y Wallet

y Medicine/tissues

y Gum/hard candy (boiled sweets)

y Eyeglasses case

y Keys

y Calculator pouch

Candidate Passport (Procedures Manual p. 12–13)

Candidates must present their valid passport during check-in to sit for the exam. Passport must:

y Be a current (not expired) international travel passport

y Contain the name, passport number (last four characters), and expiration date as shown on the ticket

y Be an original document (photocopies are not acceptable)

y Be machine readable

y Include a recognizable photograph of the candidate on the data page

Acceptable Name Variation (Procedures Manual p. 13)

y It is acceptable for names to appear on the ticket and passport in a different order; however, the spelling must match.

y The passport may contain more names than the admission ticket. If the names on the ticket all appear on the passport, it is an acceptable name variation.

y Suffixes such as “Jr.”, “Sr.”, “III”, etc., are not considered part of the name and are not required to match.

ID Report (Procedures Manual p. 14, 46)

Passport Number/Expiration Date Mismatch Log (Procedures Manual p. 14, 45)

y Not an international travel passport

y Name does not match ticket

y Expired

y Photocopy

y No recognizable photograph on the data page

y Damaged (not due to tampering)

y Not machine readable

y Clipped, hole punched or marked “Cancelled”

y Passport number (last four characters) and/or date of expiration (not expired) do not match ticket

Incident Report (Procedures Manual p. 25, 48)

Violation Report (Procedures Manual p. 22, 49)

Suspected Cheating Report (Procedures Manual p. 23, 50)

Room conditions, defective materials, e.g.:

y Testing room is hot, cold, noisy

y Candidate moved to another seat

y Torn answer sheet

Violations of testing policy, e.g.:

y Opening exam book early

y Writing past time

y Electronic devices in testing room during the timed portion of the exam

Suspicious behavior or suspected cheating, e.g.:

y Looking at another candidate’s paper

y Hidden notes

ONLY THE ITEMS BELOW ARE PERMITTED IN THE TESTING ROOM

CFA INSTITUTE | CFA EXAM

ALL OTHER ITEMS (SUCH AS MOBILE PHONES, CONTAINERS, BAGS, HANDBAGS, ETC.) MUST BE LEFT IN THE PERSONAL BELONGINGS AREA

Gum, Hard Candy (Boiled Sweets), Cough Drops

Wristwatch Ear Plugs

Keys

Approved Writing Instruments

Wallet/Money Purse

Valid International Travel Passport

EyeglassesPencil Sharpenerand Erasers

Necessary Medical Items(medicine, tissues, mask)

Approved Calculators

Extra calculator batteriesand screwdriver

Eyeglasses Case

MUST BE KEPT ON THE DESK

MAY BE KEPT ON THE DESK, IF NEEDED

MUST BE KEPT UNDER CHAIR OR IN POCKETS WHEN NOT IN USE

DO NOT WRITE ON THIS TICKET. PRINT ON CLEAN, UNUSED PAPER.

IMPORTANT REMINDER

JUNE 2017 CFA® EXAM ADMISSION TICKET

This ticket and your valid international travel passport are required for both sessions. THE INFORMATION BELOW MUST MATCH YOUR PASSPORT EXACTLY FOR YOU TO TAKE THE EXAM.*

Passport Number (last four characters)

6789Surname

DoeGiven Name(s)

John RobertPassport Expiration Date

12 August 2019

Address

Jacob K Javits Convention Center11th Avenue and 35th StNew York, NY 11202United StatesRoom/Section

B

CFA INSTITUTE ID #

PASSPORT INFORMATION SCHEDULE TEST CENTER

Morning Session

9am–12pm Report at 8am

Break

12pm–1pm

Afternoon Session

2pm–5pm Report at 1pm

Testing room doors close approximately 30 minutes prior to the start of each ses-sion. Candidates arriving more than 30 minutes past the exam start time will not be admitted. No one is permitted to leave the session early.

Morning Seat #

Afternoon Seat #

PROCTOR USE ONLY

DATE TEST CENTER CODE

SATURDAY3 JUNE123456 NYC LEVEL 1

You have special instructions for your test center.

Violation of any testing policies may lead to your exam results being voided, forfeiture of your registration fee, and/or other disciplinary action.

+1 434 951 5499 • [email protected] • www.cfainstitute.org

2017

* On exam day you must present your valid international travel passport (Go to our website to view the complete ID policy). Your name and the passport information on this admission ticket MUST MATCH your valid international travel passport exactly or you will not be allowed to take the exam and you will forfeit your registration fee. If the information does not match, contact CFA Institute immediately.

Passport cards, national identification cards, limited travel documents, internal passports, and passports that are clipped, hole-punched, or marked cancelled, are not valid forms of identification for the CFA Program.

Exam Admission Ticket

915 East High StreetCharlottesville, VA 22902USA

© 2018 CFA Institute.All rights reserved.