EXAM DAY CONTACT INFORMATION Supervisor Support PHONE +1 (434) FAX +1 (434) My Assignment. Designated Supervisor

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2 PROCEDURES MANUAL June 2018 Chartered Financial Analyst Exam EXAM DAY CONTACT INFORMATION Supervisor Support PHONE +1 (434) FAX +1 (434) My Assignment Designated Supervisor Contact Phone Number Reporting Time and Location Room/Section Assignment

3 TABLE OF CONTENTS All Testing Personnel Important Changes... 1 Enforcing CFA Institute Policies... 1 Candidate Questions about the Exam... 1 Announcements Morning Announcements...2 Afternoon Announcements... 5 Proctors Prior to Exam Day... 8 Dress Code Testing Personnel... 8 Exam Day Procedures... 8 Reporting to the Test Center... 8 Personal Belongings Proctor... 9 Time Remaining Signs... 9 Admitting Candidates... 9 Check-In Process...10 Check-In Process Checklist...10 Admission Ticket...11 Identification (ID)...12 ID Issues...14 Personal Belongings Candidate...15 Calculators...16 Roster Comfort Accommodations Distributing Books to Candidates...18 Damaged or Defective Exam Materials...18 Late Arrivals...20 Seating Chart...21 Monitoring Candidates...21 Monitoring Strategies...21 Violations...22 Suspected Cheating...23 Toilet and Water Breaks...23 Writing Instruments Second Check of Passports and Calculators Incidents...25 Seat Changes...25 Early Departures Not Permitted...25 Writing Past Time...25 Informing Candidates of Violation Reports...25 Collecting Exam Materials...26 Reconcile and Inspect Exam Materials...26 Returning Materials to the Book Room... 27

4 Book Room Proctors Book Room Proctor Responsibilities...28 Packing Materials for Return Shipment...30 Administrative Paperwork (Group 1)...32 Used Level III Essay Exam Books (Group 2)...32 Answer Sheets (Group 3)...32 Used Exam Books (Group 4)...33 Unused Exam Books (Group 5)...33 Packing Exam Materials for Candidates Approved for Extended Testing Time...35 Shipping...35 Damaged Shipping Cartons...36 Calculators Sample Forms...41 Proctor Agreement...54 Index Quick Reference Sheet...56

5 ALL TESTING PERSONNEL ALL TESTING PERSONNEL Important Changes Please 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 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 Policies The 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 Exam If 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: info@cfainstitute.org Phone: +1 (434) Do not attempt to provide an explanation for the policy or speculate about how CFA Institute will answer a candidate s question (434)

6 MORNING 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. ANNOUNCEMENTS Pause 15 seconds. If NO Level I or Level II candidates are present and only Level III candidates are present, skip to section below. +1 (434)

7 If 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. ANNOUNCEMENTS Pause 15 seconds and then say: 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. Pause 5 seconds and then say: 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. Pause 60 seconds and then say: Write your test center code, room or section, and seat number in the spaces provided. This information is on your ticket. Pause 20 seconds and then say: Read, sign, and date the candidate pledge. Pause 45 seconds and then say: 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 If Level III candidates are present, say: on the next page. 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. Pause 45 seconds and then say: 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.) 3 +1 (434)

8 Pause 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. ANNOUNCEMENTS 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.) +1 (434)

9 AFTERNOON 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: ANNOUNCEMENTS 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.) 5 +1 (434)

10 Pause 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. Pause 15 seconds and then say: 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. Pause 5 seconds and then say: 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. Pause 60 seconds and then say: Write your test center code, room or section, and seat number in the spaces provided. This information is on your ticket. Pause 20 seconds and then say: Read, sign and date the candidate pledge. ANNOUNCEMENTS Pause 45 seconds and then say: 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. +1 (434)

11 At 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: ANNOUNCEMENTS 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 (434)

12 PROCTORS You 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. PRIOR TO EXAM DAY 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. DRESS CODE TESTING PERSONNEL 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. PROCTORS 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. EXAM DAY PROCEDURES Reporting to the Test Center 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. +1 (434)

13 Personal Belongings Proctor Limit 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. Time Remaining Signs 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. PROCTORS Less than 3 hours remain Less than 2.5 hours remain Less than 2 hours remain Less than 1.5 hours remain Less than 60 minutes remain Less than 45 minutes remain Less than 30 minutes remain Less 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. Admitting Candidates 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 (434)

14 CHECK-IN PROCESS Candidates 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. q Inspect 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 q Look 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. q Inspect 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 q Inspect all calculators. Only the calculators listed in the back of this manual are permitted in the testing room. q Ensure 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. q Direct 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. PROCTORS +1 (434)

15 Admission Ticket Candidates 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. PROCTORS If a Candidate s Ticket Is illegible, information is missing, or the candidate does not have a ticket Displays an incorrect test date or test center Has writing on front or back (i.e., numbers, letters, words, formulas) 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 Required Action y Your designated supervisor must call Supervisor Support y Complete and issue a blank ticket with the information provided by Supervisor Support 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 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 y These marks are not considered writing on the ticket y Do not complete a Violation Report y Do not issue a blank ticket (434)

16 Identification (ID) A 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 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. NOT Valid for the CFA Exam 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. PROCTORS 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. +1 (434)

17 Name Variations The following name variations are acceptable and do not need to be reported to Supervisor Support: Name on Passport Doe Maria Jane Name on Admission Ticket Maria Jane Doe Acceptable Variation 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 John David Doe, Jr. Maria Jane Doe John David 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. Suffixes 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. PROCTORS 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 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 (434)

18 ID Issues If a Candidate 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 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 Required Action 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. 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 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. y No call to Supervisor Support is needed. Call Supervisor Support for all other types of invalid IDs. 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. PROCTORS Presents ID that requires a phone call to Supervisor Support AND is determined questionable Presents ID that is damaged beyond normal wear and tear, or the photo is unrecognizable 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 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. y Notify your designated supervisor and EAS. y Call Supervisor Support. 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. +1 (434)

19 Personal Belongings Candidate Inspect 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 checkin 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 y Study materials such as notes, scratch paper, textbooks, or calculator manuals Required action y Confiscate the item(s) y Complete a Violation Report y Attach item(s) to the report PROCTORS y Mobile phones or smart watches y Confiscate the item and place in the personal belongings area y Cameras, computers, tablets, wearable technology such as fitness devices, or any other remote communication or photographic devices 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 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 (434)

20 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 Permitted Items y Exam admission ticket y Valid international travel passport y Approved calculators y Approved writing instruments 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 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 PROCTORS Calculators Candidates may use only approved calculator models, as shown in the photographs on pages 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. +1 (434)

21 PROCTORS Roster Candidates 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. Comfort Accommodations 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 (434)

22 THIS BOOK IS THE PROPERTY OF: CFA Institute 915 East High Street Charlottesville, VA USA +1 (434) CFA Institute. All Rights Reserved. If 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. Distributing Books to Candidates 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 or Defective Exam Materials 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. PROCTORS 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 III MORNING SESSION ESSAY Chartered Financial Analyst Examination 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. +1 (434)

23 Damaged or Defective Answer Sheets/Essay Exam Books (Answer Documents) If a Candidate Requests a new answer sheet due to stray pencil marks Reports a damaged or defective answer document BEFORE the timed portion of the exam begins Requests a new essay exam book because he ran out of space on the designated answer page Required Action y Advise the candidate to erase the marks. y A new answer sheet is not necessary. 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. y Follow the procedure below for replacing a damaged answer document AFTER the timed portion of the exam has begun. PROCTORS 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 Insists on transferring answers to a new answer document (because of defective/damaged answer document OR use of wrong writing instrument) y Allow the candidate to continue testing with the original answer document. y Contact Supervisor Support for further instructions. 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 (434)

24 Damaged or Defective Exam Books If a Candidate Required Action Reports a broken seal on the exam book Reports a damaged or defective exam book BEFORE the timed portion of the exam has begun 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. 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 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 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. 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. PROCTORS Late Arrivals 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. +1 (434)

25 Seating Chart Thirty 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. MONITORING CANDIDATES 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. PROCTORS Monitoring Strategies 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 (434)

26 Violations When 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 , 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. PROCTORS Has an invalid calculator found at second check Has a ticket with writing on front or back Has notes or scratch paper (including extra admission tickets) Leaves the exam before the end of the session Writes past time 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 y Follow the procedure on page 11 y Confiscate the notes/scratch paper y Complete a Violation Report y Attach the notes/scratch paper to the Violation Report y Complete a Violation Report y Complete a Violation Report +1 (434)

27 PROCTORS Suspected Cheating If 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. Toilet and Water Breaks 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 (434)

28 Toilet 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 Writing Instruments 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. PROCTORS Second Check of Passports and Calculators 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 (434)

29 Incidents Use 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. Seat Changes 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. PROCTORS Early Departures Not Permitted 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. Writing Past Time 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. Informing Candidates of Violation Reports 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 (434)

30 COLLECTING EXAM MATERIALS Reconcile and Inspect Exam Materials Complete 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. PROCTORS 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. +1 (434)

31 After 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. PROCTORS Returning Materials to the Book Room 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: ¾Answer sheets ¾ Used Level III essay exam books ¾ Used exam books ¾Unused exam books ¾Completed 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: ¾Answer sheets ¾ Used exam books ¾Unused exam books ¾ Completed Incident Reports, Violation Reports, Suspected Cheating Reports, Passport Number/Expiration Date Mismatch Log, and ID Reports ¾Candidate Rosters (including any blank pages or pages for rooms/ sections where no candidates were present) ¾Admission tickets ¾Seating Chart ¾Packing 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 (434)

32 BOOK ROOM PROCTORS The 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. BOOK ROOM PROCTOR RESPONSIBILITIES 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. PROCTORS Level I Level II Level III AM PM AM PM AM PM Brown Green Blue Orange Purple 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 +1 (434)

33 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 BOOK ROOM PROCTORS 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 (434)

34 ID Reports Passport Number/Expiration Date Mismatch Logs y Sort and pack all materials for return shipment. Refer to the following instructions. PACKING MATERIALS FOR RETURN SHIPMENT 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 Group 2 Group 3 Group 4 Group 5 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 Used Level III essay exam books Used answer sheets Used exam books Unused exam books BOOK ROOM PROCTORS +1 (434)

35 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. Entering Information on the Top Flap of Each Carton Left side Enter the sequential number (1, 2, 3, etc.) for each carton CENTER CODE CARTON OF Enter the test center code Enter the total number of cartons Circle the group number(s) of materials in the carton (circle appropriate group) Right side Room(s)/Section(s): Enter the room(s)/section(s) in the carton BOOK ROOM PROCTORS Circle the session(s) of exam materials in the carton Circle all that apply: Level I Level II Level III AM PM Circle the level(s) of exam materials in the carton (434)

36 STEP 3. PACK each category separately, as follows: Administrative Paperwork (Group 1) Used Level III Essay Exam Books (Group 2) Answer Sheets (Group 3) 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. Ø Bind tickets by room/section. Ø Organize 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. 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. 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. Ø Answer sheets must be in seat number order within each room/ section. Ø Place 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. BOOK ROOM PROCTORS +1 (434)

37 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 1 Assemble the Exam Material Cover Sheet, first cardboard sheet, answer sheets, and final cardboard sheet into a stack. Completed Exam Material Cover Sheet 2 3 Bind the stack with a rubber band. Insert the stack in the plastic envelope (provided by CFA Institute). Cardboard sheet Answer sheets (in seat number order) Cardboard sheet Ensure the Exam Material Cover Sheet shows through the clear plastic side of the envelope. Seal the envelope. Arrange envelopes in the order the rooms are listed on the roster. Pack in cartons. Indicate Group 3 on the carton labels. STEP 3. PACK each category separately, as follows: (continued) BOOK ROOM PROCTORS Used Exam Books (Group 4) Unused Exam Books (Group 5) 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. 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 (434)

38 STEP 5. SECURE the cartons with shipping tape with a tensile strength of 35 lb./inch. 1: Starting at folded edge, tape down the center. 2: Tape across 1 inch from top open edge. 3, 4, 5: Tape all open edges CENTER CODE CARTON OF Room(s)/Section(s): Circle all that apply: Level I Level II Level III 4 5 (circle appropriate group) AM PM 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). BOOK ROOM PROCTORS +1 (434)

39 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. Packing Exam Materials for Candidates Approved for Extended Testing Time 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. BOOK ROOM PROCTORS If a candidate... 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 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 Required Action y Pack the materials along with the other materials in accordance with the instructions in this manual. 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. Shipping 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 (434)

40 Damaged Shipping Cartons If 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. Alternate Address Label CENTER CODE: CARTON OF Group(s): Room(s)/Section(s): Level I Level II Level III AM session PM session To: CFA Institute Receiving 1147 River Road Charlottesville, VA USA +1 (434) BOOK ROOM PROCTORS +1 (434)

41 CALCULATORS Texas Instruments BA II Plus, Version 1 Calculator Faceplate and Keystroke Card Texas Instruments BA II Plus, Version 2 Calculator Faceplate and Keystroke Card CALCULATORS Texas Instruments BA II Plus, Version 3 Calculator Faceplate and Keystroke Card (434)

42 Texas Instruments BA II Plus, Version 4 Calculator Faceplate and Keystroke Card Texas Instruments BA II Plus Professional, Version 1 Calculator Faceplate and Keystroke Card Texas Instruments BA II Plus Professional, Version 2 Calculator Faceplate and Keystroke Card CALCULATORS +1 (434)

43 Hewlett Packard 12C Calculator Faceplate and Keystroke Instructions on Back of Calculator Hewlett Packard 12C Platinum, Version 1 Calculator Faceplate and Keystroke Instructions on Back of Calculator CALCULATORS Hewlett Packard 12C Platinum, Version 2 Calculator Faceplate and Keystroke Instructions on Back of Calculator (434)

44 Hewlett Packard 12C Platinum 25th Anniversary Edition Calculator Faceplate and Keystroke Instructions on Back of Calculator Hewlett Packard 12C Platinum 30th Anniversary Edition Calculator Faceplate and Keystroke Instructions on Back of Calculator Hewlett Packard 12C Prestige Calculator Faceplate and Keystroke Instructions on Back of Calculator CALCULATORS +1 (434)

45 SAMPLE FORMS SAMPLE FORMS (434)

46 Moved to seat # Mekius, Nikolas Stafford, Alicia SAMPLE FORMS +1 (434)

47 SAMPLE FORMS Date: 23 June 2018 Room/Section: 101 Seating Chart Center Code: CHO Proctor(s): Thomas Dale, Stefan Alvino (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. Candidate attended both sessions: EXAMPLES Candidate attended morning session, but was absent from the afternoon session: Candidate was absent from both sessions: Seat # 1 Seat # 12 Seat # A 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 # AM AM Moved to seat PM PM Seat # 36 Seat # 35 Seat # 34 Seat # 33 Seat # 32 Seat # 31 Seat # Seat # AM AM PM PM Seat # 25 Seat # 26 Seat # 27 Seat # 28 Seat # 29 Seat # 30 Seat # Seat # A A AM AM A A A PM PM Seat # 24 Seat # 23 Seat # 22 Seat # 21 Seat # 20 Seat # 19 Seat # Seat # A A AM AM A A A PM PM Seat # 13 Seat # 14 Seat # 15 Seat # 16 Seat # 17 Seat # 18 Seat # Seat # A AM AM A PM PM Seat # 12 Seat # 11 Seat # 10 Seat # 9 Seat # 8 Seat # 7 Seat # Seat # AM AM A PM PM Seat # 1 Seat # 2 Seat # 3 Seat # 4 Seat # 5 Seat # 6 Seat # Seat # A AM AM A PM PM Proctor Table Proctor Table FRONT OF ROOM/SECTION (434)

48 Seating Chart Date: 23 June 2018 Center Code: CHO Room/Section: 101 Proctor(s): Thomas Dale, Stefan Alvino (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. Candidate attended both sessions: EXAMPLES Candidate attended morning session, but was absent from the afternoon session: Candidate was absent from both sessions: Seat # 1 Seat # 12 Seat # A A A SAMPLE FORMS 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 # A AM AM A PM PM Seat # 6 Seat # 9 Seat # 20 Seat # 23 Seat # 34 Seat # 37 Seat # Seat # A AM AM A Moved to seat 41 PM PM Seat # 5 Seat # 10 Seat # 19 Seat # 24 Seat # 33 Seat # 38 Seat # Seat # A AM AM A A PM PM Seat # 4 Seat # 11 Seat # 18 Seat # 25 Seat # 32 Seat # 39 Seat # Seat # AM AM PM PM Seat # 3 Seat # 12 Seat # 17 Seat # 26 Seat # 31 Seat # 40 Seat # Seat # A AM AM A A PM PM Seat # 2 Seat # 13 Seat # 16 Seat # 27 Seat # 30 Seat # 41 Seat # Seat # A AM AM A PM PM Seat # 1 Seat # 14 Seat # 15 Seat # 28 Seat # 29 Seat # 42 Seat # Seat # A AM AM A A PM PM Proctor Table Proctor Table FRONT OF ROOM/SECTION +1 (434)

49 SAMPLE FORMS Passport Number / Expiration Date Mismatch Log June 2018 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. Test Center Code: CHO Room/Section (complete one form per section/room): 107 Proctors: Susan West, Michael Kelly Instructions Step 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: Last (Family) Name, First (Given) Name O Toole, Dennis Lipton, Aaron Prasad, William DO NOT KEEP COPIES OF COMPLETED FORMS. DO NOT SUBMIT BLANK LOGS. RETURN IN CARTON 1 OF EXAM MATERIALS (434)

50 ID Report June 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. SAMPLE FORMS 1. Provide candidate information Test Center Code: CHO CFA Institute ID Number: Candidate name on ticket: Henry Tsang 2. Indicate ID issue IMPORTANT: Call Supervisor Support at +1 (434) for the following scenarios. ATTACH A COPY OF THE ID TO THIS REPORT. Not an international travel passport. Type of ID presented: Residence Permit/Permanent Resident card *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 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. 5. Provide proctor information Susan West Proctor name (printed): Susan West Proctor signature: Proctor susanw@proctors.com Time discovered: 8:15 AM Attach a copy of the ID to this report. Include all relevant pages or sections. DO NOT KEEP COPIES OF COMPLETED FORMS. RETURN IN CARTON 1 OF EXAM MATERIALS. +1 (434)

51 SAMPLE FORMS ID Letter CFA Institute ID #: Candidate Name: Henry Tsang Section/Room Number: 107 Seat Number: 4 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 Required You 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: Questionable You 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. Invalid You 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 if you wish to submit a question or comment. Sincerely, CFA Institute (434)

52 CHO 101 SAMPLE FORMS Philip M. Duarte Candidate's table was wobbly and he requested to move Michael T. DeNovo Stefan Alvino Coworker Several candidates complained that the room was cold Monika Bennett Yuechin Lai AM exam started at 9:06am Answer Sheet Front Cover Thomas Dale Thomas Dale +1 (434)

53 SAMPLE FORMS Violation Report June 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 Information Candidate Name: Samuel McKinley CFA Institute ID Number: Test Center Code: CHO Room/Section: 109 Seat Number: 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 Opened book to page 1 (list of exam topics) Which of the following were used to verify the candidate s identity? Indicate two or more: Passport Seating Chart Exam Ticket Roster Removed answer sheet before instructed 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: Scratch paper (attach original documents) Study materials/notes (attach original documents) Mobile phone Smart watch Fitness device Other (provide details): Was item used? Yes No Yes No Yes No Yes No Yes No Yes No Wrote after time was called: Candidate wrote for approx. 3 seconds after the Stop writing NOW instruction. Left exam early. Reason provided: Other Violation (provide details): 3. Additional Information Provide 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: David Bennett & Thomas Smith 4. Your information. All witnesses must complete a separate report. Proctor name (printed): Amy Huong Amy Huong Your ahuong@proctors.com Proctor signature: Time the violation occurred: 5:00 PM Time report was completed: 5:05 PM DO NOT KEEP COPIES OF COMPLETED FORMS. RETURN IN CARTON 1 OF EXAM MATERIALS (434)

54 Suspected Cheating Report June 2018 Complete this report for SUSPECTED CHEATING. Provide as much detail as possible. 1. Provide candidate information Candidate Name: William C. Hurley Test Center Code: CHO Room/Section: 109 Seat Number: Document your observations of the candidate s behavior CFA Institute ID Number: How did you verify the candidate s identity? Indicate two or more: Passport Seating Chart Exam Ticket Roster 1. When did you observe the candidate s behavior? AM Session PM Session 2. What periods of time did you observe the candidate? 9:30, 10:15, 11:10, for about 10 minutes each time 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? 5 times b. How long (seconds/minutes) were each of the candidate's looks? About 3 seconds each time 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 No Shift his/her eyes? Yes No Other? e. Whose paper was the candidate looking at? Seat # 15 CFA Institute ID # f. What was the distance between the two candidates? About 3 feet g. Was the other candidate aware of the candidate looking at his/her paper? Yes No Uncertain h. Did you speak to the candidate looking at another candidate's paper? Yes No 4. Identify all persons who observed the candidate's conduct. Maria Jordan (proctor), James Kelly (EAS), Jorge Melo (supervisor) 5. Where were you located in the testing room when observing the candidate's conduct? The first 2 times I was standing 2 rows in front of him. I was standing behind him the last 2 times I observed him. 6. When you observed the candidate, was he/she: a. Fidgeting? Yes No c. Looking around the room? Yes No b. 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. 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. 3. Provide your information All witnesses must complete a separate report. SAMPLE FORMS Your name (printed): Pat Moore Your moorepat@proctors.com Pat Moore Your signature: Time report was completed: 11:20 am DO NOT KEEP COPIES OF COMPLETED FORMS. RETURN IN CARTON 1 OF EXAM MATERIALS. +1 (434)

55 SAMPLE FORMS Packing Form June 2018 Test Center Code: CHO Room/Section: 101 Proctors: Thomas Dale, Earl Francis 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 I Exam Books Issued From Book Room Candidates Present Used Answer Sheets Used Exam Books Unused Exam Books TOTAL Exam Books Returned to Book Room Morning Afternoon Returned to Book Room LEVEL II Exam Books Issued From Book Room Candidates Present Used Answer Sheets Used Exam Books Unused Exam Books TOTAL Exam Books Returned to Book Room Morning Afternoon Returned to Book Room LEVEL III Exam Books Issued From Book Room Candidates Present Used Answer Sheets Used Exam Books Unused Exam Books TOTAL Exam Books Returned to Book Room Morning Afternoon (434)

56 CHO 1 1 Patricia McAllister, Colin McAllister, William Stickle, Jessica Katz 101 I Thomas Dale 44 Thomas Dale Damaged answer sheet 101 I Thomas Dale 44 Stefan Alvino Defective exam book 102 I Eileen Stickle 42 Eileen Stickle I Eileen Stickle 42 Eileen Stickle I Brian Brown 42 John Katz I John Katz 42 John Katz I Michael Kim 41 Michael Kim I Kathleen Delehanty 41 Michael Kim I Karl Stein 42 Bob Delehanty I Karl Stein 42 Karl Stein I Annette Nonez 43 Annette Nonez Damaged answer sheet 106 I Annette Nonez 43 Annette Nonez I Susan West 42 Susan West I Brian Levy 42 Brian Levy I Rahul Mittal 42 Rahul Mittal Damaged exam book 108 I Eugene Inman 42 Eugene Inman I Amy Huang 42 Amy Huang I Amy Huang 42 Amy Huang I Pat Moore 42 Pat Moore I Pat Moore 42 Pat Moore Extra I Patricia McAllister 35 Patricia McAllister Did not leave book room Extra I Patricia McAllister 35 Patricia McAllister Did not leave book room SAMPLE FORMS +1 (434)

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58 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 Procedures I 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 Exams I 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. PROCTOR AGREEMENT Anti-Discrimination Policy CFA 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 Interest I 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 address: Date: +1 (434)

59 INDEX A Admission Ticket, p. 11, 41 Admitting Candidates, p. 9 Afternoon Announcements, p. 5 7 Announcements, p. 2 7 Informing Candidates of Violation Reports, p. 25 L Late Arrivals, p. 20 T Time Remaining Signs, p. 9 Toilet and Water Breaks, p V INDEX B Blank Ticket, p. 11 Book Room Proctor Responsibilities, p C Calculators, p. 16, Check-In Process, p Check-In Process Checklist, p. 10 Collecting Exam Materials, p Comfort Accommodations, p D Damaged or Defective Exam Materials, p Damaged Shipping Cartons, p. 36 Distributing Books to Candidates, p. 18 Dress Code Testing Personnel, p. 8 E Early Departures Not Permitted, p. 25 Exam Book Log, p. 52 Exam Day Procedures, p. 8 9 I Identification (ID), p ID Issues, p. 14 ID Letter, p. 47 ID Report, p. 46 Incident Report, p. 48 Incidents, p. 25 M Monitoring Candidates, p Morning Announcements, p. 2 4 P Packing Exam Materials for Candidates Approved for Extended Testing Time, p. 35 Packing Form, p. 51 Packing Materials for Return Shipment, p Passport Number/Expiration Date Mismatch Log, p. 45 Personal Belongings Candidate, p Personal Belongings Proctor, p. 9 Prior to Exam Day, p. 8 Proctor Agreement, p. 54 R Reconcile and Inspect Exam Materials, p Reporting to the Test Center, p. 8 Returning Materials to the Book Room, p. 27 Roster, p. 17, 42 S Sample Forms, p Seat Changes, p. 25 Seating Chart, p. 21, Second Check of Passports and Calculators, p. 24 Shipping, p. 35 Suspected Cheating, p. 23 Suspected Cheating Report, p. 50 Violation Report, p. 49 Violations, p. 22 W Writing Instruments, p. 24 Writing Past Time, p (434)

60 Quick Reference Sheet Personal Belongings in the Testing Room (Procedures Manual p ) 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 ) 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) 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 Passport Number/Expiration Date Mismatch Log (Procedures Manual p. 14, 45) y Passport number (last four characters) and/or date of expiration (not expired) do not match ticket Incident Report (Procedures Manual p. 25, 48) Room conditions, defective materials, e.g.: y Testing room is hot, cold, noisy y Candidate moved to another seat y Torn answer sheet Violation Report (Procedures Manual p. 22, 49) 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 Suspected Cheating Report (Procedures Manual p. 23, 50) Suspicious behavior or suspected cheating, e.g.: y Looking at another candidate s paper y Hidden notes +1 (434)

61 CFA INSTITUTE ID # DATE TEST CENTER CODE SATURDAY 3 JUNE PASSPORT INFORMATION SCHEDULE TEST CENTER This ticket and your valid Morning Session Address international travel passport 9am 12pm Report at 8am Jacob K Javits are required for both sessions. Convention Center Break THE INFORMATION BELOW MUST 11th Avenue and 35th St MATCH YOUR PASSPORT EXACTLY 12pm 1pm New York, NY FOR YOU TO TAKE THE EXAM.* Afternoon Session United States Passport Number (last four characters) 2pm 5pm Report at 1pm Room/Section 6789 B Testing room doors close approximately Surname 30 minutes prior to the start of each session. Candidates arriving more than 30 Doe minutes past the exam start time will not Given Name(s) be admitted. No one is permitted to leave John Robert the session early. Passport Expiration Date 12 August 2019 Violation of any testing policies may lead to your PROCTOR USE ONLY exam results being voided, forfeiture of your registration fee, and/or other disciplinary action. Morning Seat # You have special instructions for your test center. Afternoon Seat # DO NOT WRITE ON THIS TICKET. PRINT ON CLEAN, UNUSED PAPER info@cfainstitute.org IMPORTANT REMINDER * 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. CFA INSTITUTE CFA EXAM ONLY THE ITEMS BELOW ARE PERMITTED IN THE TESTING ROOM MUST BE KEPT ON THE DESK Exam Admission Ticket Valid International Travel Passport Approved Calculators Approved Writing Instruments JUNE 2017 CFA EXAM ADMISSION TICKET NYC LEVEL 1 MAY BE KEPT ON THE DESK, IF NEEDED Extra calculator batteries and screwdriver Pencil Sharpener and Erasers Wristwatch Eyeglasses Ear Plugs MUST BE KEPT UNDER CHAIR OR IN POCKETS WHEN NOT IN USE Necessary Medical Items (medicine, tissues, mask) Gum, Hard Candy (Boiled Sweets), Cough Drops Wallet/ Money Purse Keys Eyeglasses Case ALL OTHER ITEMS (SUCH AS MOBILE PHONES, CONTAINERS, BAGS, HANDBAGS, ETC.) MUST BE LEFT IN THE PERSONAL BELONGINGS AREA 915 East High Street Charlottesville, VA USA 2018 CFA Institute. All rights reserved.