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EXAM DAY CONTACT INFORMATION
Supervisor Support
PHONE+1 (434) 951-5571
FAX+1 (434) 951-5223
My Assignment
Designated Supervisor
Contact Phone Number
Reporting Time and Location
Room/Section Assignment
PROCEDURES MANUAL June 2018Chartered Financial Analyst® Exam
TABLE OF CONTENTS
All Testing Personnel Important Changes ............................................................................................ 1Enforcing CFA Institute Policies ...................................................................... 1Candidate Questions about the Exam .......................................................... 1
Announcements Morning Announcements .................................................................................2Afternoon Announcements ............................................................................. 5
Proctors Prior to Exam Day ............................................................................................... 8Dress Code—Testing Personnel ..................................................................... 8Exam Day Procedures ....................................................................................... 8
Reporting to the Test Center .................................................................... 8Personal Belongings—Proctor ................................................................. 9Time Remaining Signs ............................................................................... 9Admitting Candidates ................................................................................ 9
Check-In Process ..............................................................................................10Check-In Process Checklist ....................................................................10Admission Ticket .........................................................................................11Identification (ID) ....................................................................................... 12ID Issues .......................................................................................................14Personal Belongings—Candidate...........................................................15Calculators ...................................................................................................16Roster ............................................................................................................ 17Comfort Accommodations ...................................................................... 17Distributing Books to Candidates..........................................................18Damaged or Defective Exam Materials ................................................18Late Arrivals ................................................................................................20Seating Chart ..............................................................................................21
Monitoring Candidates ....................................................................................21Monitoring Strategies ...............................................................................21Violations ..................................................................................................... 22Suspected Cheating ................................................................................23Toilet and Water Breaks ...........................................................................23Writing Instruments ................................................................................. 24Second Check of Passports and Calculators ................................... 24Incidents ......................................................................................................25Seat Changes .............................................................................................25Early Departures Not Permitted ............................................................25Writing Past Time ......................................................................................25Informing Candidates of Violation Reports ........................................25
Collecting Exam Materials .............................................................................26Reconcile and Inspect Exam Materials ..............................................26Returning Materials to the Book Room ............................................... 27
Book Room Proctors Book Room Proctor Responsibilities ...........................................................28Packing Materials for Return Shipment .....................................................30
Administrative Paperwork (Group 1) ...................................................32Used Level III Essay Exam Books (Group 2) .......................................32Answer Sheets (Group 3) .......................................................................32Used Exam Books (Group 4) ..................................................................33Unused Exam Books (Group 5) .............................................................33Packing Exam Materials for Candidates Approved for Extended Testing Time ...............................................................................................35Shipping .....................................................................................................35Damaged Shipping Cartons ...................................................................36
Calculators ......................................................................................................................... 37Sample Forms .....................................................................................................................41Proctor Agreement ............................................................................................................54Index .................................................................................................................................... 55Quick Reference Sheet .....................................................................................................56
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Important ChangesPlease note the following important changes since the June 2017 administration:
y For June 2018, our exams will be administered on Saturday, 23 June 2018 directly followed by the religious alternate date (RAD) on Sunday, 24 June 2018.
y You no longer need to call Supervisor Support for prohibited electronic devices, unless a mobile phone or smart watch is found in use. See pages 15 and 22.
y You no longer need to call Supervisor Support for certain invalid IDs. Please refer to the ID issues on page 14.
y The Passport Number/Expiration Date Mismatch Log has been updated. See page 45. y The ID Report has been updated. See page 46. y The Incident Report has been updated. See page 48. y The Violation Report has been updated. See page 49.
Enforcing CFA Institute PoliciesThe integrity of the testing process is critical to all involved. You must understand the high stakes nature of the exam and conduct your duties in a serious and responsible manner. Our exam administration and security procedures are designed to prevent testing irregularities that might give a candidate an unfair advantage.
This manual explains your responsibilities prior to, during, and after the administration of the exam. Make sure you understand and follow all of the procedures as described in this manual.
Please contact Supervisor Support if you have any questions.
Candidate Questions about the ExamIf a candidate has a question about a CFA Institute policy, instruct him to contact CFA Institute directly after the exam for clarification. Provide the candidate the following contact information:
Email: [email protected]
Phone: +1 (434) 951-5499
Do not attempt to provide an explanation for the policy or speculate about how CFA Institute will answer a candidate’s question.
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TSMORNING ANNOUNCEMENTS
(for starting and ending the morning session)
Instructions for the reader are printed below in bold. The verbal announcements to candidates follow in the boxes. The morning announcements will take approximately 13 minutes.
y Read only the words in the boxes to candidates. y Read the announcements exactly as written, in English. y Read slowly and clearly to avoid distortions and/or echoes in the testing room.
Ensure all candidates are checked in and seated before reading the announcements.At 8:45 AM, or when all candidates are seated, say:
Good morning and welcome CFA candidates. Proctors: Distribute the exam books face down at this time. Candidates: Please remain seated. Do not open or write on your exam book until instructed to do so. I will read instructions soon. Toilet and water breaks are not permitted until the instructions have been read and the timed portion of the exam has started.
Begin reading at 8:47 AM. Say to candidates:
On behalf of CFA Institute, we hope you have a pleasant exam experience today. I will now review the important rules that govern this exam.The CFA Institute Code of Ethics and Standards of Professional Conduct apply during this exam. Please reference the back cover of your exam book as I read the testing rules:Use only the Texas Instruments B-A-Two Plus, including the B-A-Two Plus Professional, or the Hewlett Packard Twelve-C, including the Twelve-C Platinum and the Twelve-C Prestige, calculator.Your passport, admission ticket, and calculators must remain on your desk and will be checked again. Clear the memory in your calculators now. When requesting a water or toilet break, raise your hand for approval by a proctor. You must give your exam materials and your passport to a proctor; take your ticket with you. You are not permitted to leave this session early. At the conclusion of the timed portion of the exam, you must remain seated until you are dismissed by testing personnel.All electronic devices, such as mobile phones, smart watches, and fitness trackers, are prohibited. The test center is being monitored for electronic devices during this exam. If a prohibited electronic device is discovered in your possession during the timed portion of the exam, a written report will be submitted to CFA Institute. You must turn off and surrender your mobile phones and other electronic devices to a proctor now.
Pause 15 seconds to collect electronic devices. Then say:
Cheating is a very serious offense. To avoid the appearance of cheating, do not speak to another candidate during the exam. Do not look or glance at another candidate’s answers or give the appearance of doing so. Do not write on anything other than your exam book or answer sheet. Do not remove exam materials in any manner from this room. Do not share a calculator with another candidate, or borrow one, during the exam. When you hear the word “now” in the statement “stop writing now” at the end of each session, you must immediately put your writing instrument down.Violation of any CFA Program rule will result in CFA Institute voiding your exam result and may lead to suspension or termination of your candidacy in the CFA Program.Look at the front cover of your exam book now.
Pause 15 seconds.
If NO Level I or Level II candidates are present and only Level III candidates are present, skip to section below.
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TSIf Level I or Level II candidates are present, say:
Level Three candidates: Please leave your books closed while I read the instructions for Level One and Level Two candidates. Level One and Level Two candidates only: Follow along on the front cover of your exam book as I read the instructions. Use a Number 2 or HB pencil to complete this exam. Write your CFA Institute ID number and seat number in the spaces provided at the top of your exam book. This information is on your ticket.
Pause 15 seconds and then say:
Level One and Level Two candidates only: Break the seal on your exam book and remove the first page, which is your answer sheet. Close your book.
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 on the next page.
If Level III candidates are present, say:
Level Three candidates only: Follow along on the front cover of your exam book as I read the instructions: Use a Number 2 or HB pencil or blue or black ink pen to complete this exam. Write your CFA Institute ID number and seat number in the spaces provided at the top of your exam book. This information is on your ticket.
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.)
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TSPause 45 seconds and then say:
Level three candidates: continue to follow along on the front cover. A glossary of command words used in this exam is located below the candidate pledge. Command words are used in essay questions to provide direction on how to answer. Each essay question consists of one or more parts (A, B, etc.). Instructions in bold print immediately following the question direct you to the designated answer page for each question part. Answers written on answer pages designated for other question parts, question pages, or pages marked “This Page Intentionally Left Blank” are not graded. You are permitted to make marks and notes on the question pages and pages marked “This Page Intentionally Left Blank”.
If the announcements are completed prior to 9:00 AM, say:
Keep your books closed. The timed portion will begin soon.
Pause until 9:00 AM and then say:
Manage your time carefully. You have three hours to complete this session. You cannot leave the exam until you are dismissed. The time is __________. You may now begin.
At 11:30 AM or 30 minutes prior to the end of the session, say to candidates:
Thirty minutes remain. You cannot leave the exam until you are dismissed.
At 11:45 AM or 15 minutes prior to the end of the session, say to candidates:
Fifteen minutes remain. This is your final time check. You cannot leave the exam until you are dismissed.
At 12:00 PM or three hours after the start of the session, say to candidates:
Stop writing NOW. If you are still writing, you are in violation of CFA Institute testing rules. Put your writing instrument down, close your book, and remain seated.
Pause 5 seconds, then read the following:
Place your answer sheet next to your exam book so it can be collected separately.All exam materials will now be collected and counted. You must stay seated and quiet at this time. You will be dismissed once we have collected and reconciled materials from all candidates.Please remember that you signed a candidate pledge in which you agreed not to disclose any portion of this exam. Failure to comply with the terms of the candidate pledge could result in a professional conduct investigation or legal action.
When you are ready to dismiss candidates (all materials are collected and reconciled), say:
Please remain seated until you are dismissed. Take your admission ticket and belongings with you. Remember to check in for the afternoon session beginning at one o’clock. You are now dismissed.
(If the exams began more than 15 minutes late, remember that you must alter the return time for the candidates in the sentence above to accommodate the full two-hour lunch break.)
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TSAFTERNOON ANNOUNCEMENTS
(for starting and ending the afternoon session)
Instructions for the reader are printed below in bold. The verbal announcements to candidates follow in the boxes. The afternoon announcements will take approximately eight minutes.
y Read only the words in the boxes to candidates. y Read the announcements exactly as written, in English. y Read slowly and clearly to avoid distortions and/or echoes in the testing room.
Ensure all candidates are checked in and seated before reading the announcements.At 1:50 PM, or when all candidates are seated, say:
Welcome back. Proctors: Distribute the exam books face down at this time. Candidates: Please remain seated. Do not open or write on your exam book until instructed to do so. I will read the instructions for the afternoon session soon. Toilet and water breaks are not permitted until the instructions have been read and the timed portion of the exam has started.
Begin reading at 1:52 PM. Say to candidates:
The CFA Institute Code of Ethics and Standards of Professional Conduct apply during this exam. Please reference the back cover of your exam book as I read the testing rules:Use only the Texas Instruments B-A-Two Plus, including the B-A-Two Plus Professional, or the Hewlett Packard Twelve-C, including the Twelve-C Platinum and the Twelve-C Prestige, calculator.Your passport, admission ticket, and calculators must remain on your desk and will be checked again. Clear the memory in your calculators now. When requesting a water or toilet break, raise your hand for approval by a proctor. You must give your exam materials and your passport to a proctor; take your ticket with you. You are not permitted to leave this session early. At the conclusion of the timed portion of the exam, you must remain seated until you are dismissed by testing personnel. All electronic devices, such as mobile phones, smart watches, and fitness trackers, are prohibited. The test center is being monitored for electronic devices during this exam. If a prohibited electronic device is discovered in your possession during the timed portion of the exam, a written report will be submitted to CFA Institute. You must turn off and surrender your mobile phones and other electronic devices to a proctor now.
Pause 15 seconds to collect electronic devices. Then say:
Cheating is a very serious offense. To avoid the appearance of cheating, do not speak to another candidate during the exam. Do not look or glance at another candidate’s answers or give the appearance of doing so. Do not write on anything other than your exam book or answer sheet. Do not remove exam materials in any manner from this room. Do not share a calculator with another candidate, or borrow one, during the exam. When you hear the word “now” in the statement “stop writing now” at the end of each session, you must immediately put your writing instrument down.Violation of any CFA Program rule will result in CFA Institute voiding your exam result and may lead to suspension or termination of your candidacy in the CFA Program.Look at the front cover of your exam book now. Follow along on the front cover of your exam book as I read the instructions:Use a Number 2 or HB pencil to complete this exam. Write your CFA Institute ID number and seat number in the spaces provided at the top of your exam book. This information is on your ticket.
(Continued on the next page.)
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TSPause 15 seconds and then say:
Break the seal on your exam book and remove the first page, which is your answer sheet. Close your book.
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 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.
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TSAt 5:00 PM or three hours after the start of the session, say to candidates:
Stop writing NOW. If you are still writing, you are in violation of CFA Institute testing rules. Put your writing instrument down, close your book, and remain seated.
Pause 5 seconds, then read the following:
Place your answer sheet next to your exam book so it can be collected separately. Leave your ticket on your desk so it can be collected.All exam materials will now be collected and counted. You must stay seated and quiet until all materials have been collected and reconciled and we dismiss you.Please remember that you signed a candidate pledge in which you agreed not to disclose any portion of this exam. Failure to comply with the terms of the candidate pledge could result in a professional conduct investigation or legal action.Please remain seated until you are dismissed.
When you are ready to dismiss candidates (all materials are collected and reconciled), say:
On behalf of CFA Institute, thank you for participating in the CFA Program. Be sure to take your belongings with you when you leave. You are now dismissed.
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PROCTORSYou represent CFA Institute to our candidates on exam day and must understand the serious nature of the CFA exams and conduct yourself professionally while adhering to all policies and procedures set forth in this manual. You are required to attend an in-person training session to work on exam day and you may be contacted by CFA Institute and required to supply additional information after exam day regarding a candidate’s alleged misconduct or other situations at your test center.
Before attending the mandatory proctor training session:
y Confirm you are available to work on exam day. y Read and understand this Procedures Manual. y Read and understand the checklist your supervisor provided regarding your
assignment.
During proctor training:
y Make sure you understand the testing policies and your responsibilities. y Provide your complete contact information to your exam supervisor. y Find out when and where to report on exam day. y Obtain your designated supervisor’s emergency contact information. y Read and complete the Proctor Agreement. y Direct any unanswered questions to your supervisor immediately.
Required:
y Soft-soled shoes (to reduce noise distractions to candidates). y Audible alarms and/or timers turned off on wristwatches. y Modest-length skirts or dresses, pants, shirts with sleeves, jackets or
sweaters. y Badges or vests issued by CFA Institute, distributed on exam day.
Prohibited:
y Jewelry that makes noise. y Strong cologne or perfume. y Sandals, hard-soled or high-heel shoes. y T-shirts, shorts, jeans, or athletic attire. Note: Athletic shoes are permitted.
Arrive on time and bring your valid government-issued ID and this manual. Wear your vest or badge from the time it is issued until all candidates have left the test center at the end of the day. Return the vest or badge to your designated supervisor.
PRIOR TO EXAM DAY
DRESS CODE—TESTING PERSONNEL
EXAM DAY PROCEDURES
Reporting to the Test Center
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SLimit the number of personal belongings you bring to the test center. Food, drink, all electronic devices (such as mobile phones, computers, tablets, etc.), handbags, and other personal belongings are prohibited in the book room and the testing room. Leave your personal belongings in the proctor break room. Note: CFA Institute is not responsible for lost or stolen personal property.
In rooms where there are no clocks or clocks are not visible to all candidates, mark time remaining on a chalkboard or flipchart that is visible to everyone. Prepare the flipcharts before candidates arrive for check-in, if applicable.
The flipchart must indicate time remaining exactly as shown below. Use the signs provided on the Supervisor Resources website. If printed signs are not available, write time remaining neatly and legibly in large dark letters.
Less than 3 hours remainLess than 2.5 hours remainLess than 2 hours remainLess than 1.5 hours remainLess than 60 minutes remainLess than 45 minutes remainLess than 30 minutes remainLess than 15 minutes remain
Less than 2 hours remain
Mark time quietly, so candidates are not disturbed. Do not display signs until the appropriate times. If more than one flipchart is visible to candidates (such as in a large testing room with multiple sections), ensure all flipcharts display the same time remaining.
At the entrance to the testing room:
y Ensure each candidate has a current admission ticket for your test center. The date and test center code must be correct.
» If a candidate does not have a ticket, or if the ticket is illegible or contains incorrect information, do not admit the candidate to the testing room. Refer to the instructions in the “Admission Ticket” section (page 11).
y Do not check passports at the entrance to the testing room. y Remind candidates to place mobile devices and other prohibited items in
the personal belongings area. y Direct each candidate to the appropriate room or section to complete the
check-in process.At test centers where toilets are located outside of the testing room, proctors should remind candidates of the time the doors will close.
Personal Belongings—Proctor
Time Remaining Signs
Admitting Candidates
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SCandidates may check in as early as 8:00 AM for the AM session and 1:00 PM for the PM session. Complete all steps in the Check-In Process Checklist for every candidate for each session.
If a candidate does not sit for the AM session, he is not permitted to sit for the PM session.
Check-In Process Checklist
Complete the following tasks for every candidate for both exam sessions. Refer questions to your designated supervisor.
qInspect the passport. It MUST: y Be a current (not expired) international travel passport y Be an original document. Photocopies are not acceptable y Contain a recognizable photograph of the candidate y Be machine readable
qLook through the pages of the passport quickly to ensure there are no hidden papers or notes.If a candidate presents ID other than a valid international travel passport, ask the candidate if he can retrieve the required ID and return within 30 minutes of the start of the timed portion of the session. If so, allow him to leave immediately.
qInspect the candidate’s admission ticket y Verify the following information matches the passport:
» Name (may be in different order; passport may include additional names) » Passport number (last four characters) » Expiration date
y Confirm the ticket is current and displays the correct test center location y Mark the appropriate session on the ticket y Inspect for writing y Ensure the candidate has only one copy of the ticket
q Locate the candidate’s CFA Institute ID number on the roster y Write the candidate’s pre-assigned seat number on the ticket in the space provided y Verify the name on the ticket matches the name on the roster y Mark the roster to record attendance
qInspect all calculators. Only the calculators listed in the back of this manual are permitted in the testing room.
qEnsure the candidate has only permitted items in the testing room and direct the candidate to place all prohibited items in the designated personal belongings area.
qDirect the candidate to the pre-assigned seat. Remind the candidate to remain seated, except for brief water or toilet breaks. If toilets are outside the testing room, remind candidates what time the doors will close for the Announcements. Once the testing room doors have closed, candidates outside the testing room (including candidates taking a water or toilet break) will not be readmitted until the Announcements have concluded.
CHECK-IN PROCESS
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SCandidates are instructed to print their tickets from the CFA Institute website. Tickets may vary slightly in appearance because of differences in internet browsers. If a candidate displays his ticket on his mobile device and does not have a printed copy, refer the candidate to your designated supervisor to complete a blank ticket.
Candidates may bring only one ticket into the testing room. Collect extra tickets and dispose of them properly (shred or securely destroy). Candidate information is confidential.
If a Candidate’s Ticket… Required Action
Is illegible, information is missing, or the candidate does not have a ticket
y Your designated supervisor must call Supervisor Support
y Complete and issue a blank ticket with the information provided by Supervisor Support
Displays an incorrect test date or test center
y Your designated supervisor must call Supervisor Support
y If Supervisor Support confirms the candidate is registered at your test center, complete and issue a blank ticket
Has writing on front or back (i.e., numbers, letters, words, formulas)
y Confiscate the ticket y Complete and issue a blank ticket y Complete a Violation Report and
attach the original ticket » If tickets from more than one
candidate are confiscated at check-in, complete only one Violation Report
Has marks such as drawing, highlighting, underlining, stray marks, pencil dots, stains, or small holes or rips in the paper, found at check-in or during the exam
y These marks are not considered “writing on the ticket”
y Do not complete a Violation Report
y Do not issue a blank ticket
Admission Ticket
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SA valid international travel passport must be presented by each candidate at check-in for the AM session AND the PM session to sit for the exam.
Valid for the CFA Exam NOT Valid for the CFA Exam
The passport must:
y Be a current (not expired) international travel passport.
y Be machine readable: contain two lines of text as letters, numbers and chevrons (<<<<<) at the bottom of the data page of the passport (the page containing the candidate’s photo and personal information).
y Contain the following information exactly as shown on the ticket: » Candidate’s name » Passport number (last four characters) » Expiration date
y Be an original document. y Include a recognizable photograph of the
candidate on the passport data page.
Invalid forms of ID include, but are not limited to, the following:
y Internal/regional passport y National identification card y Passport card y Driver’s license y Photocopy of the passport, including a notarized
or certified copy y Clipped, hole punched, or marked “Cancelled”
Before denying any candidate admittance to the exam, follow the ID procedure on page 12.
Confirm the Photo Matches the Candidate Presenting the Passport
y Make eye contact with the candidate. y Compare the photo on the passport to the candidate presenting it. The
photo must be recognizable and must match the candidate.
Notify your designated supervisor if you suspect the passport doesn’t belong to the person presenting it. Your designated supervisor will call Supervisor Support, if necessary, and notify the EAS.
Ensure the Passport is Authentic
Examine the passport closely. On the data page which contains the candidate’s photo, look for evidence of tampering, such as:
y Lamination has been removed or reattached y Corners or edges don’t match up y Air bubbles or bumps on the surface y Discrepancies in, or alterations to, the information contained in the
passport
Note: Normal wear and tear is acceptable.
Notify your designated supervisor if you suspect the passport has been tampered with or altered. Your designated supervisor will call Supervisor Support, if necessary, and notify the EAS.
Identification (ID)
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SName Variations
The following name variations are acceptable and do not need to be reported to Supervisor Support:
Name on PassportName on Admission Ticket
Acceptable Variation
Doe Maria Jane Maria Jane Doe Names may be listed in a different order.
Maria Jane Doé Maria Jane Doe Accent marks do not have to match.
Maria Jane Smith Doe Maria Jane Doe
The passport may contain more names than the candidate’s admission ticket; this is acceptable. However, ALL of the names shown on the admission ticket must be displayed on the passport.
John David Doe, Jr. John David DoeSuffixes such as “Sr.”, “Jr.”, “III”, etc. are not considered part of the name and are not required to match.
The spelling of all of the names in the passport must match the names on the ticket.
If the candidate’s name does not match, follow the ID procedure on page 14.
Date of Expiration
The date of expiration on the exam admission ticket will be shown in English in the following format: day, month (spelled out), year (four digits).
Example: 4 May 2019
The passport must not be expired. If the passport is expired, check ALL other pages in the passport for an extension. The date of expiration must match the ticket; however, it may be written in a different format or order. For example, the passport may show 4/5/2019 while the ticket shows 4 May 2019.
Because the month may be expressed as a number rather than spelled out, be careful not to confuse the month and the day. For example, 04/05 could be 5 April or 4 May. Notify your designated supervisor if you have questions.
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SID Issues
If a Candidate… Required Action
Presents an international travel passport; however,
y the passport number (last four characters) and/or date of expiration do not match the information printed on the admission ticket, AND
y the passport is otherwise valid
y Allow the candidate to sit for the exam. y Enter the candidate’s name and CFA Institute ID number on the
Passport Number/Expiration Date Mismatch Log. y A photocopy of the candidate’s passport or admission
ticket is not necessary. y Complete an ID Letter. Issue the letter to the candidate at the
end of the session. y Record the candidate’s information only once; do not repeat for
the PM session. y No call to Supervisor Support is needed.
Presents invalid ID at check-in AND
y is able to retrieve a valid international travel passport from another location and return no later than 30 minutes after the start of the exam
y Allow the candidate to leave immediately.
y No call to Supervisor Support is needed.
Presents one of the following invalid IDs at check-in (and is unable to retrieve a valid ID)
y Photocopy y Expired passport y Driver’s license, national ID card, or passport
card y Hole-punched, clipped, or marked “cancelled” y No passport and no alternate ID presented
y Do not allow the candidate to sit for the exam. y Photocopy the ID capturing all relevant data (including cover). y Complete an ID Report (attach the photocopy of the ID). y Complete and issue an ID letter to the candidate. y No call to Supervisor Support is needed.
Call Supervisor Support for all other types of invalid IDs.
Presents ID that requires a phone call to Supervisor Support AND is determined invalid
y Do not allow the candidate to sit for the exam. y Photocopy the ID capturing all relevant data (including cover). y Complete an ID Report (attach the photocopy of the ID). y Complete and issue an ID letter to the candidate.
Presents ID that requires a phone call to Supervisor Support AND is determined questionable
y Allow the candidate to sit for the exam. y Photocopy the ID capturing all relevant data (including cover). y Complete an ID Report (attach the photocopy of the ID). y Complete and issue an ID Letter to the candidate. y If found during the second ID check, follow the same process. y Report questionable ID only once; do not repeat for the PM
session.
Presents ID that is damaged beyond normal wear and tear, or the photo is unrecognizable
y Notify your designated supervisor and EAS. y Call Supervisor Support.
Is found to have one of the following invalid IDs at the second check
y Photocopy y Expired passport y Driver’s license, national ID card, or passport
card y Hole-punched, clipped, or marked “cancelled” y No passport and no alternate ID presented
y Allow candidate to complete the current session. y Photocopy the ID capturing all relevant data (including cover). y Complete an ID Report (attach the photocopy of the ID). y Complete an ID Letter. Issue the letter to the candidate at the
end of the session. y Inform candidate at the end of the session he will not be
admitted to the PM session with the invalid ID. y No call to Supervisor Support is needed.
Call Supervisor Support for all other types of invalid IDs.
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SInspect candidate belongings to ensure prohibited items do not enter the testing room. If a prohibited item is found at check-in, place the item in the personal belongings area or dispose of the item. If prohibited items are found in the testing room before the timed portion of the exam begins, candidates must surrender them to you to place the items in the personal belongings area.Use a box or other container labeled with the room/section number to collect mobile phones and other prohibited items collected during the check-in process and reading of the Announcements. Ensure mobile devices are turned off. Once the timed portion of the exam begins, take the container of prohibited items to the personal belongings area. Do not store mobile phones and other prohibited belongings in the testing room.
Prohibited Items – VIOLATION REPORT REQUIRED (if found during the timed portion)
Item found Required action
y Study materials such as notes, scratch paper, textbooks, or calculator manuals
y Confiscate the item(s) y Complete a Violation Report y Attach item(s) to the report
y Mobile phones or smart watches y Confiscate the item and place in the personal belongings area y Complete a Violation Report y No call to Supervisor Support is needed (unless found in use) y If the candidate is NOT seen using the device, follow the
guidelines on page 22
y Cameras, computers, tablets, wearable technology such as fitness devices, or any other remote communication or photographic devices
y Confiscate the item and place in the personal belongings area
y Complete a Violation Report y No call to Supervisor Support is needed
y Bags of any kind, including transparent bags, handbags, or pencil cases
y Knives of any type, including box cutters and knives used as pencil sharpeners
y Other prohibited items
y Confiscate the item and place in the personal belongings area
y Complete a Violation Report
Prohibited Items – NO REPORT REQUIRED
Item found Required action
y Food or drinks y Inspect all items for handwritten notes. y If none are discovered, discard or confiscate item(s) and
place in personal belongings area. y If notes are found, complete a Violation Report. y Attach notes to the report.
y Passport covers y Highlighters, correction fluid, correction
tape, or rulers
y Inspect all items for handwritten notes. y If none are discovered, instruct candidate to place under desk. y If notes are found, complete a Violation Report. y Attach notes to the report.
Personal Belongings—Candidate
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SPermitted Items
Must be kept on the desk y Exam admission ticket y Valid international travel passport y Approved calculators y Approved writing instruments
May be kept on the desk, if needed
y Loose calculator batteries (no packaging) y Screwdriver for battery replacement y Calculator cases y Keystroke cards y Earplugs y Erasers (paper holder or cover must be discarded) y Eyeglasses, but not the eyeglasses case y Manual pencil sharpeners (no knives) y Wristwatches (analog and digital) with alarms and timers
silenced; however, all smart watches are prohibited
Must be kept under chair or in pockets when not in use
y Wallet (money purse) y Medicine, tissues, and other necessary medical or personal items
(such as a medical face mask) y Gum, hard candy (boiled sweets), cough drops y Eyeglasses case y Calculator pouch y Hat—may be worn during the exam y Outerwear (coats, sweaters, etc.)—may be worn during the exam y Keys
Candidates may use only approved calculator models, as shown in the photographs on pages 37–40 of this manual. Inspect each candidate’s calculator(s) at the AM and PM session check-in.
y Candidates may bring multiple approved calculators. y All calculators must remain on the desk in full view throughout the exam. y Candidates ARE permitted to use the manufacturer’s keystroke cards;
however, instruction manuals are not permitted in the testing room.
Unauthorized Calculator Found at Check-In
Unauthorized calculators must be placed in the personal belongings area. Do not call Supervisor Support to report invalid calculators. Candidates are allowed to sit for the exam without a calculator.
Candidates are not permitted to borrow or share calculators during the timed portion of the exam.
See page 22 for an unauthorized calculator found during the second check.
Calculators
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SCandidates are listed on the roster in CFA Institute ID number order by room/section. Pre-assigned seat numbers are printed on the roster. See the sample roster on page 42.
During the check-in process, you must:
y Locate each candidate on the roster using the CFA Institute ID number on the candidate’s ticket.
» If a candidate is not listed on the roster, your designated supervisor must contact Supervisor Support to determine if the candidate is authorized to sit at your test center.
y Compare the name on the roster to the name in the passport and on the ticket. If they do not match and are not an acceptable name variation (see page 13), your designated supervisor must contact Supervisor Support.
y Record the pre-assigned seat number on the ticket. Mark the appropriate box on the ticket to record attendance.
y Darken the circle next to the candidate’s name in the present column on the roster.
» Do not use a check mark (ü), X, or other mark to record attendance. y Record roster additions in the designated space on the last page, not on the
line next to the assigned seat number. y Enter seat changes in the designated column.
Once candidates are checked in, immediately direct them to their assigned seats. Candidates must remain seated, except for brief toilet or water breaks. Candidates must take their tickets with them for breaks and should be reminded that they must be seated during the reading of the Announcements.
Thirty minutes after the timed portion of the exam has started, darken the circles under “absent” for all candidates who are absent. Attendance must be marked for both sessions for every candidate on the roster. Do not leave circles blank for absent candidates for either session.
Candidates may request a comfort accommodation that does not require extra time or the use of a testing aid. Examples include:
y An extra chair to elevate an injured foot y A seat near the door for someone who must frequently use the toilet y The use of a pillow for back support (be sure to inspect) y A small snack kept in candidate’s pocket for medical needs. Snacks cannot
be consumed at the candidate’s desk; the candidate must consume the snack in the toilet or other area outside the testing room (but within the secure testing area of the venue).
You should accommodate the candidate if doing so does not disrupt the testing environment or provide an unfair advantage.
Some candidates may arrive with a letter confirming comfort accommodations CFA Institute has approved in advance; however, advance approval is not required. Contact Supervisor Support if there are any questions.
Roster
Comfort Accommodations
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SIf you move a candidate to a new seat as a comfort accommodation, note this on the Seating Chart and roster, and complete an Incident Report.
Distribute exam books when directed to do so in the Announcements, after all candidates in the testing room have been checked in and seated. Do not distribute books while candidates are standing in line or being checked in.
Candidates must remain seated while exam books are distributed and the Announcements are read. Toilet and water breaks are NOT permitted during this time.
Keep the extra books at the proctor table in each testing room/section. Ensure the extra books are secure, monitored at all times, and not easily accessible to candidates.
Distribute and collect books in seat order (seat 1 first, followed by seat 2, seat 3, etc.). Place an exam book face down on each desk where a candidate is seated, in the order the seats are numbered. Do not place an exam book at an empty seat.
Damaged materials are exam books or answer sheets that have been torn or marred by the candidate.
Defective materials are exam books or answer sheets that have printing errors (e.g., ink spots from the printer, extra/missing page, etc.). Please note books distributed with broken seals do not require an Incident Report.
Determine if the issue is widespread. If so, contact Supervisor Support immediately. If not, the table below will instruct you on how to handle each scenario.
The CFA exam consists of three levels, each with an AM and PM session. Level I and II candidates record their answers on an answer sheet found on the inside cover of the exam books for each session. Level III candidates record their answers in the purple essay exam book for the AM session and on an answer sheet found on the inside cover of the exam book for the PM session. The procedures below outline what to do if an answer document (answer sheet or essay exam book) is damaged or defective.
LEVEL IIIMORNING SESSION ESSAY
Chartered Financial Analyst® Examination
THIS BOOK IS THE PROPERTY OF:
CFA Institute915 East High StreetCharlottesville, VA | 22902-4868 | USA+1 (434) 951-5571©2018 CFA Institute. All Rights Reserved.
DO NOT OPEN OR WRITE ON THIS EXAM BOOK UNTIL INSTRUCTED TO DO SO.
TESTING RULES
Use only the Texas Instruments BAII Plus (including the BAII Plus Professional) or the Hewlett Packard 12C (including the 12C Platinum and the 12C Prestige) calculator.
Your passport, admission ticket, and calculators must remain on your desk and will be checked again. Clear the memory in your calculators now. When requesting a water or toilet break, raise your hand for approval by a proctor. You must give your exam materials and your passport to a proctor; take your ticket with you. You are not permitted to leave this session early. At the conclusion of the timed portion of the exam, you must remain seated until you are dismissed by testing personnel.
All electronic devices, such as mobile phones, smart watches, and fitness trackers, are prohibited. The test center is being monitored for electronic devices during this exam. If a prohibited electronic device is discovered in your possession during the timed portion of the exam, a written report will be submitted to CFA Institute. You must turn off and surrender your mobile phones and other electronic devices to a proctor now.
Cheating is a very serious offense. To avoid the appearance of cheating:• Do not speak to another candidate during the exam.• Do not look or glance at another candidate’s answers or give the appearance of doing so.• Do not write on anything other than your exam book or answer sheet.• Do not remove exam materials from this room.• Do not share a calculator with another candidate, or borrow one, during the exam.
When you hear the word “now” in the statement, “stop writing now” at the end of each session, you must immediately put your writing instrument down.
Violation of any CFA Program rule will result in CFA Institute voiding your exam result and may lead to suspension or termination of your candidacy in the CFA Program.
Distributing Books to Candidates
Damaged or Defective Exam Materials
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SDamaged or Defective Answer Sheets/Essay Exam Books (Answer Documents)If a Candidate… Required Action
Requests a new answer sheet due to stray pencil marks
y Advise the candidate to erase the marks. y A new answer sheet is not necessary.
Reports a damaged or defective answer document BEFORE the timed portion of the exam begins
y Quickly provide a new answer document. y Complete an Incident Report. Return the Incident Report with other
administrative paperwork. y Return the damaged/defective answer document with other used answer
documents. y If an answer sheet was replaced, attach a sticky note to the unused exam
book stating “used answer sheet only.” Return the opened book along with other used exam books.
Requests a new essay exam book because he ran out of space on the designated answer page
y Follow the procedure below for replacing a damaged answer document AFTER the timed portion of the exam has begun.
Reports a damaged answer document AFTER the timed portion of the exam has begun
y Allow the candidate to continue testing with the original answer document until you quickly provide an additional answer document.
y Instruct the candidate to complete the information at the top/front of the book and begin answering questions on the new answer document.
y DO NOT instruct the candidate to transfer previous answers to the new answer document.
y Assure the candidate both answer documents will be graded. y Inform the candidate no extra time is allowed. y Complete an Incident Report. Return the Incident Report with other
administrative paperwork. y Return both answer documents with like answer documents. y If an answer sheet was replaced, attach a sticky note to the unused exam
book stating “used answer sheet only.” Return the opened book along with other used exam books.
Reports a defective answer document AFTER the timed portion of the exam has begun
y Allow the candidate to continue testing with the original answer document.
y Contact Supervisor Support for further instructions.
Insists on transferring answers to a new answer document (because of defective/damaged answer document OR use of wrong writing instrument)
y Inform the candidate no extra time is allowed. y Instruct the candidate to complete the information at the top of the new
answer document. y Attach a sticky note to the NEW answer document indicating it is the
final version to be graded. y Attach a sticky note to the original answer document indicating it should
NOT be graded. y If an answer sheet was replaced, position the sticky note over the
candidate pledge portion of the sheet. y Complete an Incident Report. Return the Incident Report with other
administrative paperwork. y Return both answer document with other answer document.
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SDamaged or Defective Exam BooksIf a Candidate… Required Action
Reports a broken seal on the exam book
y Confirm pages are present and in order. y Allow the candidate to test with the book. Do not replace a book due to
a broken seal. y Do not complete an Incident Report.
Reports a damaged or defective exam book BEFORE the timed portion of the exam has begun
y For a damaged book (torn or marred by the candidate), quickly provide a new exam book.
y For a defective book (printing error), call Supervisor Support. y Complete an Incident Report. Return the Incident Report with other
administrative paperwork. y Attach a sticky note to the damaged/defective exam book stating
“damaged—not used.” y Return the damaged/defective exam book with other used exam books.
Reports a damaged exam book AFTER the timed portion of the exam has begun
y Allow the candidate to continue testing with the original exam book until you quickly provide a new book.
y The candidate may keep both exam books until the end of the session. y Inform the candidate no extra time is allowed. y Complete an Incident Report. Return the Incident Report with other
administrative paperwork. y Attach a sticky note to the damaged exam book stating “damaged.” y Return both exam books with other used exam books.
Reports a defective exam book AFTER the timed portion of the exam has begun
y Allow the candidate to continue testing with the original exam book while you quickly provide a new book.
y The candidate may keep both exam books until the end of the session. y Inform the candidate no extra time is allowed. y Contact Supervisor Support. y Complete an Incident Report. Return the Incident Report with other
administrative paperwork. y Attach a sticky note to the defective exam book stating “defective.” y Return both exam books with other used exam books.
If the candidate arrives within 30 minutes of the start of the timed portion of the session:
y Allow the candidate to test. y Inform the late arrival no additional time is granted. y Advise the candidate to read the instructions on the back of the exam book.
Do not read the Announcements for late arrivals. y Check in and seat late arrivals quietly, so candidates who are already
testing are not disturbed.
If the candidate arrives more than 30 minutes after the start of the timed portion of the session:
y Call Supervisor Support for guidance. y If Supervisor Support determines the candidate should be turned away, he
cannot sit for either exam session.
Late Arrivals
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SThirty minutes after the timed portion of the exam has started: y Record candidates who are PRESENT by entering their CFA Institute ID
numbers under their assigned seat numbers on the Seating Chart. y Record candidates who are ABSENT by entering an “A” under their
assigned seat number. Do not enter the CFA Institute ID numbers for absent candidates. Do not leave the boxes blank.
y If a seat is left unassigned on the roster, leave the seat blank on the Seating Chart.
y Record attendance for both the AM and PM sessions.
Candidates should sit in their pre-assigned seats for both sessions, unless you have moved the candidate. See page 25.
Actively monitor candidates at all times. Circulate throughout the room or section during the entire exam, including while the Announcements are being read.
You are not permitted to conduct personal business, read, use a mobile phone or other electronic device, chat with other proctors, or engage in any other activity that distracts from your duties during the exam.
If you must discuss something related to the exam with another proctor, speak quietly and have the conversation away from candidates to minimize disruptions.
All proctors in a section should work together to monitor candidates. At least one proctor should act as an enforcer, monitoring candidates from vantage points within the section. At least one other proctor should act as an observer, standing on the perimeter and monitoring the room/section as a whole. In large rooms/sections, there may be more than one proctor serving in these roles.
An enforcer circulates among candidates and monitors for: y Signs of cheating, such as hidden notes, copying from another candidate’s
paper, or electronic means of cheating y Prohibited items y Writing on calculators, erasers, pencils, or admission ticket, or in passport y Suspiciously bulky clothing that may be hiding notes or cheating devices
An observer monitors candidates from the perimeter of the room/section and watches for unusual behavior, such as candidates who are: y Fidgeting excessively y Leaning toward another candidate y Looking around the room y Taking frequent toilet or water breaks y Wandering while taking a toilet or water break
Seating Chart
MONITORING CANDIDATES
Monitoring Strategies
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SWhen you observe or suspect misconduct, immediately complete a Violation Report while the facts are fresh in your mind. If more than one proctor witnesses the violation, each proctor must complete a separate, independent report. See the example on page 49.
If a Candidate… Required Action
Opens the exam book early y Complete a Violation Report
Has a mobile phone or smart watch—found during or after the timed portion
y If the candidate is seen using the device, follow these steps: » Confiscate the item » Complete a Violation Report » Call Supervisor Support (only if found in use).
y If the candidate is NOT seen using the device, follow these steps: » Complete a Violation Report » No call to Supervisor Support is needed (unless found in use). » Monitor candidate closely to ensure he does not access the device.
If he does, call Supervisor Support. » Wait until the end of the session and then confiscate device. If the
device is locked or turned off, have the candidate unlock it. » Look through email, texts, photos, social media apps, and any other
apps that include those or similar service. If you find any evidence that the candidate captured, sent, or received information during the exam, document with a photocopy of the device’s screen. Use the supervisor’s phone to take photos of the content if necessary.
» Include timestamps of when the content was captured/sent/received.
» Return the device to the candidate after documenting and deleting any suspicious content.
» Attach any photocopies of content to the Violation Report.
Has an invalid calculator—found at second check
y Allow the candidate to continue testing with the invalid calculator for the rest of the current session
y At the end of the session, confiscate and photocopy the faceplate of the invalid calculator
y Complete a Violation Report y Attach the photocopy of the invalid calculator to the Violation Report y If found during the AM session, inform the candidate he is not
permitted to use the invalid calculator for the PM session
Has a ticket with writing on front or back
y Follow the procedure on page 11
Has notes or scratch paper (including extra admission tickets)
y Confiscate the notes/scratch paper y Complete a Violation Report y Attach the notes/scratch paper to the Violation Report
Leaves the exam before the end of the session
y Complete a Violation Report
Writes past time y Complete a Violation Report
Violations
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SIf you observe suspicious behavior:
y Immediately notify your designated supervisor. The supervisor, the EAS, and at least one other proctor should observe the candidate’s behavior. There must be at least two witnesses, and each must complete their own independent Suspected Cheating Report. If you have been asked to observe a candidate, you must still complete a report even if you did not witness suspicious behavior.
y Verify the candidate’s identity using two or more of the following: candidate’s passport, admission ticket, roster, and/or Seating Chart.
y Monitor the candidate throughout the day. y When completing the Suspected Cheating Report:
» Answer all questions. Document all behaviors observed. Indicate whether the behaviors changed over time.
» Identify the periods of time you observed the candidate. » Complete one report per suspected candidate for each session. » Record only your observations, not personal feelings or judgments
regarding the conduct. For example:Yes: Candidate looked to his left four times for five seconds each
and his eyes appeared to be directed toward the adjacent candidate’s paper.
No: Candidate looked to his left and was staring at his neighbor’s paper but I don’t think he was cheating.
You must sign all reports, so we can follow up with you regarding the incident. We will not disclose your name or other identifying information to the candidate, unless you give us permission to do so.
Independent reports are vital. Complete Suspected Cheating Reports by yourself and in your own words—do not copy another proctor’s report and do not complete one report on behalf of all witnesses. Your observation may differ from what someone else saw. Independent reports provide us with more details and are vital to the investigation process.
Candidates may take brief toilet and water breaks during the timed portion of the exam.
If the toilets are outside of the testing room, candidates who wish to take a toilet break prior to the reading of the announcements should be reminded of the door closing time. Candidates are permitted to consume water only at designated water stations and cannot bring cups or bottles back to their desks.
y Collect the passport, exam book, and answer sheet and keep these materials in the testing room.
y Ensure candidates take their tickets with them.
Suspected Cheating
Toilet and Water Breaks
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SToilet and water breaks are not permitted while: y Announcements are being read y Exam books are being distributed y Exam materials are being reconciled and inspected following the conclusion
of each session
Candidates must bring their own writing instruments on exam day.
In the interest of fairness to all candidates, you may not provide writing instruments to any candidate.
Candidates are instructed to use HB or #2 pencils (including mechanical pencils) when completing the answer sheets. Level III candidates are encouraged to use HB or #2 pencils (including mechanical pencils) or blue or black ink pen when completing the AM session essay exam book.
Note: pens are permitted in the testing room. Do not confiscate pens or prohibit candidates from bringing them into the room.
If you notice a candidate using the wrong writing instrument, allow him to continue testing uninterrupted.
If a candidate notifies you he is using the wrong writing instrument, y Do not provide a writing instrument. During the timed portion of the exam
the candidate is not permitted to borrow one from another candidate. y Inform the candidate he may choose whether or not to transfer the answers
to a new answer document. y If the candidate chooses to transfer answers, no extra time is allowed.
Provide a new essay exam book or issue a new answer sheet from an unused book. Refer to page 18 for complete instructions.
y If asked, you may inform the candidate that using the wrong writing instrument on an answer sheet may affect how the scanning machine reads and records the information.
You must conduct a second check of passports and calculators during the timed portion of each session of the exam. y One proctor should check both the passport and calculator at the same
time. y Perform this additional check only once per session, in a manner that does
not disturb candidates. If possible, the second check should be done by a proctor who did not perform the initial inspection of passports and calculators at check-in. The second check should be completed no earlier than one hour into the session to allow for late candidates to arrive and begin testing.
If ID issues are discovered during the second check, follow the procedures on page 14. If an unauthorized calculator is found during the second check, follow the procedures on page 22.
Writing Instruments
Second Check of Passports and Calculators
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SUse an Incident Report to document situations that do not involve testing policy violations. Examples of incidents include, but are not limited to:
y Disturbances in the testing room because of noise, lighting, or temperature y Seat changes y Damaged/defective exam materials y Answer document that is missing both the CFA Institute ID number and the
candidate name y Conflicts of interest not previously disclosed
Complete one Incident Report form per room/section. See the example on page 48.
y Enter the details on an Incident Report. » Indicate the original room/section and seat number, as well as the
room/section and seat number to which the candidate was moved. » Include the reason for moving the candidate.
y Indicate on the roster and the Seating Chart that the candidate was moved.
Candidates are not permitted to leave the exam until they are dismissed at the end of each session. If a candidate insists on leaving early, allow him to leave and complete a Violation Report.
If a candidate left the AM session early and a Violation Report was written, the candidate is permitted to sit for the PM session, as long as he does not arrive more than 30 minutes after the start of the timed portion of the session.
Candidates must remain seated and quiet, except for brief water or toilet breaks, until dismissed.
Do not dismiss candidates until room/section proctors have collected, reconciled, and inspected all exam materials.
To end the session, the reader will announce “Stop writing NOW. If you are still writing you are in violation of CFA Institute testing rules.” If a candidate is writing or erasing after the word “now” is read, the candidate is writing past time. Complete a Violation Report.
In certain situations, such as discovery of an invalid ID/unauthorized calculator during the exam or early departure from the exam, you should inform the candidate you are required to submit a written report to CFA Institute.
In cases of suspected cheating or writing past time, do not inform the candidate you are submitting a written report since it may create a volatile situation with the candidate.
Incidents
Seat Changes
Early Departures Not Permitted
Writing Past Time
Informing Candidates of Violation Reports
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SComplete all of the following steps for each session of the exam:
y Collect answer sheets first in seat number order. It is essential to collect answer sheets before collecting the exam books to ensure they are not left in the exam books.
y Ensure each candidate has written his CFA Institute ID number and signed the candidate pledge in the appropriate place on the answer sheet.
» If not, instruct the candidate to write in the number and/or sign the pledge in your presence. This is the only time a candidate is permitted to write on the answer sheet after time is called.
y After answer sheets are gathered, collect the used exam books in seat number order.
y When collecting the Level III essay exam books (AM session), ensure each Level III candidate has entered his CFA Institute ID number on the front cover. If not, instruct the candidate to enter the number in your presence. This is the only time a candidate is permitted to write on the essay exam book after time is called.
y Reconcile and inspect the exam materials at the proctor table. Keep exam books and answer sheets separate.
y Inspect tickets to ensure candidate has not written on the ticket. If writing is found, complete a Violation Report.
y Collect admission tickets (PM session only).
Candidates must remain seated until you have done the following:
y Reconcile: Verify all materials have been collected. » Make sure you have an exam book and an answer sheet for each
candidate who is present. » For the Level III essay exam (AM session), ensure you have an essay
exam book for each Level III candidate who is present. » Use the Packing Form to account for all materials.
y Inspect: Hold the book by the spine and quickly flip through the pages to ensure:
» It is an authentic June 2018 CFA exam book. » No pages are missing. » The answer sheet has not been left in the book.
Reconcile and inspect the materials accurately and thoroughly, but quickly. If you find a discrepancy, immediately inform your designated supervisor, and do not dismiss candidates until you receive further instructions.
Toilet breaks and water breaks are not permitted while you are reconciling and inspecting exam materials. Candidates must remain seated and quiet until dismissed.
COLLECTING EXAM MATERIALS
Reconcile and Inspect Exam Materials
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SAfter you have completed reconciliation and inspection, dismiss candidates. If there are multiple sections in the room, reconciliation and inspection must be complete for all sections before candidates may be dismissed.
Organize all materials in seat number order. y Keep exam books and answer sheets separate. y Ensure there is an answer sheet for each used exam book (with the
exception of the Level III morning essay exam). y Verify attendance is marked correctly for all candidates on the Seating
Chart and the roster. » Darken the circle in the absent column on the roster for each candidate
who is absent. Do not leave the circle blank for absent candidates. y Count the exam materials for your testing room. Complete the Packing
Form accurately. » If a candidate used multiple exam books or answer sheets, count each
book and answer sheet separately. y Separate exam materials into the following categories and return them to
the book room:AM session:
¾ Answer sheets ¾ Used Level III essay exam books ¾ Used exam books ¾ Unused exam books ¾ Completed Violation Reports and Suspected Cheating Reports
Note: Keep ID Reports, Incident Reports, Passport Number/Expiration Date Mismatch Log, Packing Form, Candidate Rosters, and Seating Chart in the testing room for use during the PM session.PM session:
¾ Answer sheets ¾ Used exam books ¾ Unused exam books ¾ Completed Incident Reports, Violation Reports, Suspected Cheating Reports, Passport Number/Expiration Date Mismatch Log, and ID Reports
¾ Candidate Rosters (including any blank pages or pages for rooms/sections where no candidates were present)
¾ Admission tickets ¾ Seating Chart ¾ Packing Form
Remember to keep answer sheets separate from exam books and other exam materials. Handle the answer sheets carefully—do not fold, bend, or damage the answer sheets.
Returning Materials to the Book Room
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BOOK ROOM PROCTORSThe book room is where exam materials are securely stored, distributed to proctors, returned, counted, and packed for shipping back to CFA Institute. Exam security is of utmost importance and the book room must be attended at all times by a security guard and/or testing personnel.
Only testing personnel with duties specific to the book room may access the restricted areas of the book room. Proctors picking up or dropping off exam materials may enter the book room but are not permitted to access the restricted areas. All other personnel are restricted from entrance. Candidates are never allowed in the book room.
Exam Day Morning—before the AM session
y If there is a Religious Alternate Date (RAD) exam at your test center, the cartons of books for that exam will be identified with pink labels, and the test center code will consist of four letters ending with an “S.” Set these cartons aside and do not open them; they must remain sealed until the morning of the RAD exam.
y Open the cartons of AM session books. Do not open the PM session cartons at this time.
y If any candidates have been approved for special print exams, the exams will be packed in cartons labeled “Special Print Exam.”
y Confirm the number of books in each carton matches the quantity shown on the label.
» Notify your designated supervisor if they do not match. y Organize the books for each room/section.
» Ensure proctors pick up the correct number of AM session books (based on Candidate Roster). The cover of each level and session of exam book is a different color. Refer to the following chart.
Level IAM Brown
PM Green
Level IIAM Blue
PM Orange
Level IIIAM Purple
PM Gray
» Distribute special print exams to the appropriate proctors, if applicable. y Record the number of books distributed to each room/section on the Exam
Book Log form. y Record the number of books left in the book room (not distributed).
At the conclusion of the AM session
y Collect and count exam materials returned by room proctors: » Answer sheets
BOOK ROOM PROCTOR RESPONSIBILITIES
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» Used exam books » Unused exam books
y Record the number of exam books collected on the book log (must match the number you distributed).
y Collect forms: » Violation Reports » Suspected Cheating Reports
Before the PM session
y Open the cartons of PM session exam books. y Confirm the number of exam books in each carton matches the quantity
shown on the label. » Notify your designated supervisor if they do not match.
y Organize the books for each room/section. » Ensure proctors pick up the correct number of PM session exam books
(based on roster). The covers for the PM session are green. y Record the number of books distributed to each room/section on the Exam
Book Log. y Record the number of books left in the book room (not distributed) on the
Exam Book Log.
During the PM session
y Pack the AM session materials for return shipment. Refer to the instructions on pages 30–36.
At the conclusion of the PM session
y Collect and count exam materials returned by room proctors: » Answer sheets » Used exam books » Unused exam books
y Record the number of exam books collected on the Exam Book Log (must match the number you distributed).
y Collect forms: » Candidate Rosters (including any blank pages or pages for rooms/
sections with no candidates who were present) » Seating Charts » Packing Forms » Tickets » Violation Reports » Suspected Cheating Reports » Incident Reports
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S » ID Reports » Passport Number/Expiration Date Mismatch Logs
y Sort and pack all materials for return shipment. Refer to the following instructions.
Use only the original green cartons and the FedEx waybill CFA Institute provided.
y Remove old waybills and shipping labels from the cartons. y Inspect the cartons to ensure they are intact and strong enough for return
shipment.
What to pack:
y Administrative paperwork y Answer sheets y Exam books (used and unused)
What NOT to pack:
y Vests, badges, lanyards, Procedures Manuals, shrink wrap, unused forms, or signage
y Unclaimed candidate belongings—leave them with the venue authorities
STEP 1. SORT all materials into the following groups:
Group 1 All paperwork y Original Candidate Rosters (all pages) y Seating Charts y Exam Book Log y Proctor Agreements y Proctor Training Roster y Packing Forms y All reports:
» Incident Reports » Violation Reports » Suspected Cheating Reports » Passport Number/Expiration Date Mismatch Logs » ID Reports
y Admission tickets
Group 2 Used Level III essay exam books
Group 3 Used answer sheets
Group 4 Used exam books
Group 5 Unused exam books
PACKING MATERIALS FOR RETURN SHIPMENT
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STEP 2. COMPLETE the form printed on the top flap as you pack each carton.
y Use a dark marker to complete the label. y Clearly indicate the contents of each carton. See the following illustration.
» Test center code» Group(s) » Room/section number(s)» Level(s)» Session(s)
y Ensure the flap with this information is visible when sealing the cartons.
CENTER CODE
CARTON OF
1 2 3
4 5
(circle appropriate group)
Left side
Room(s)/Section(s):
Circle all that apply:
Right side
Entering Information on the Top Flap of Each Carton
Level I Level II Level III
AM PM
Enter the test center code
Enter the sequential number(1, 2, 3, etc.) for each carton
Enter the total number of cartons
Circle the group number(s)of materials in the carton
Enter the room(s)/section(s)in the carton
Circle the level(s) ofexam materials in the carton
Circle the session(s) ofexam materials in the carton
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SSTEP 3. PACK each category separately, as follows:
Administrative Paperwork (Group 1)
y Sort paperwork by type. » Rosters—clip or bind all pages together in page number order,
including blank pages or pages for rooms/sections without present candidates.
» Forms and reports—separate and bind by type. » Tickets—must be in seat number order within each room/section. ¾Bind tickets by room/section. ¾Organize them room/section order as listed on the rosters.
y Place the rosters on top of the forms and reports. y Pack rosters, forms, and reports in the envelopes labeled for
administrative paperwork (provided by CFA Institute). y Pack tickets in the envelopes labeled for tickets (provided by CFA
Institute). y Circle the “1” printed on the top flap of each carton that contains
paperwork. y Seal the Group 1 carton(s) last. Include all paperwork for both
sessions.
Used Level III Essay Exam Books (Group 2)
y Ensure essay exam books are in seat number order by room/section. y Place an Exam Material Cover Sheet on top of the stack of essay exam
books for each room/section. y Bind with a rubber band. y Pack the stacks of essay exam books in carton in the order the rooms/
sections are listed on the roster. y Circle the “2” printed on the top flap of each carton that contains used
essay exam books. y In the space provided on the top flap, accurately mark the room/
section numbers for the materials in each carton.
Answer Sheets (Group 3)
y Pack AM session and PM session answer sheets separately. y Do the following for each session. See the following illustration.
1. Place the answer sheets for each room/section between two cardboard sheets. Place a completed Exam Material Cover Sheet on top of the stack. ¾Answer sheets must be in seat number order within each room/
section.¾Place the answer sheets neatly between the cardboard sheets so
they are not damaged during shipping. 2. Bind the stack with a rubber band.3. Place the stack in a plastic envelope designated for answer sheets
(provided by CFA Institute). 4. Ensure the cover sheet shows through the clear side of the
envelope. Seal the envelope.
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5. Organize the envelopes in room/section order as listed on the roster.
6. Pack in carton(s). y Circle the “3” printed on the top flap of each carton containing answer
sheets.
Packing Answer Sheets — AM Session and PM Session
Completed ExamMaterial Cover Sheet
Answer sheets(in seat number order)
Cardboard sheet
Cardboard sheet
Assemble the Exam Material Cover Sheet,first cardboard sheet, answer sheets, and
final cardboard sheet into a stack.1
Bind the stack with a rubber band.2
Insert the stack in the plastic envelope(provided by CFA Institute).3
Ensure the Exam Material Cover Sheetshows through the clear plastic side
of the envelope. Seal the envelope.4
Arrange envelopes in the order the rooms are listed on the roster.5
Pack in cartons. Indicate “Group 3” on the carton labels.6
STEP 3. PACK each category separately, as follows: (continued)
Used Exam Books (Group 4)
y Ensure books are in seat number order by room/section. y Place an Exam Material Cover Sheet on top of the stack of books for each
room/section. y Bind with a rubber band. y Pack the stacks of books in cartons in room/section order as listed on the
roster. y Circle the “4” printed on the top flap of each carton containing used
books.
Unused Exam Books (Group 5)
y Pack in cartons. y Circle the “5” printed on the top flap of each carton containing unused
books.
STEP 4. FILL empty space in cartons with packing paper.
y If the carton isn’t full, the contents may shift during shipment causing the carton to open.
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SSTEP 5. SECURE the cartons with shipping tape with a tensile strength of 35 lb./inch.
CENTER CODE
CARTON OF
1 2 3
4 5(circle appropriate group)
Room(s)/Section(s):
Level I Level II Level III
AM PM
Circle all that apply:
1: Starting at folded edge,tape down the center.
2: Tape across 1 inch fromtop open edge.
3, 4, 5: Tape all open edges.
1
2
4
3 5
STEP 6. NUMBER the cartons using the designated spaces on the carton flap.
y Enter the sequential number of each carton. » The carton with the administrative paperwork must be carton #1.
y Enter the total number of cartons in the shipment.
STEP 7. SECURE materials until you release them to FedEx.
y Never leave exams in an unsecured location (e.g., unattended in a car, hotel room, etc.). y Never drop off the exams at the venue’s front desk or mail/shipping center for FedEx to pick up later. y Contact Supervisor Support immediately if there is a delay in pick-up or shipment, or if any part of the
shipment must be sent separately (i.e., materials for candidates with disability accommodations).
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Can groups be combined?
All materials must be returned in the green CFA Institute cartons. If you do not have enough green cartons to separate materials by group, it is acceptable to combine groups as follows:
• Combine administrative paperwork and answer documents (groups 1, 2, and 3).
• Combine used and unused exam books (groups 4 and 5). Keep separate from groups 1, 2, and 3.
• Circle the appropriate groups on each carton flap.
A candidate with disability accommodations may be approved for extended testing time. Be sure to return the AM and PM session exam materials for the candidate, including roster, together in the same shipment. Never return the AM session materials and the PM session materials in separate shipments.
Hold the AM session materials until the candidate has finished the PM session and you are able to determine whether the candidate’s materials can be shipped with the rest of the materials for the test center, or whether a separate shipment is necessary.
If a candidate... Required Action
y Is finished testing, AND y His PM session materials are
reconciled in time to be packed with the rest of the materials for the test center
y Pack the materials along with the other materials in accordance with the instructions in this manual.
y Is NOT finished testing, OR y His PM session materials are not
reconciled by the time the rest of the test center’s exam materials are shipped
y Ship the candidate’s materials for both sessions (AM and PM) with the Religious Alternate Date (RAD) exams, if applicable. If there is no RAD exam, CFA Institute will provide a separate FedEx waybill for shipment.
y If you do not have an original green CFA Institute carton for the separate shipment, use a carton of similar size and shape.
y You must properly secure the exam materials until you hand them off to FedEx.
Return the exam materials to CFA Institute no later than the first business day after the exam. If there is a delay in shipping the materials or if any items are shipped separately, notify Supervisor Support immediately.
You must not change the courier or shipping method without prior approval from Supervisor Support.
Packing Exam Materials for Candidates Approved for Extended Testing Time
Shipping
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SIf CFA Institute cartons have been damaged and cannot be used for return shipping:
y Notify Supervisor Support exam materials will be returned in alternate cartons.
y Pack all paperwork and answer documents (Groups 1, 2, and 3) in original green CFA Institute cartons.
y Use alternate cartons only for used and unused exam books (Groups 4 and 5), if necessary.
y If you must use alternate cartons, be sure to use strong cartons that are comparable to our cartons (of similar size and shape).
y Pack an appropriate number of books per carton; do not over fill. y Fill any empty space with packing paper. y Use shipping tape with a tensile strength of 35 lb./inch to secure the
cartons, including the corners.Create address labels as follows and apply them to each alternate carton.
CENTER CODE:
CARTON OF
Group(s): 1 2 3
4 5
To:CFA Institute Receiving1147 River RoadCharlottesville, VA 22901USA+1 (434) 951-5214
Room(s)/Section(s):
Level I Level II Level III
AM session PM session
Alternate Address Label
Damaged Shipping Cartons
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CALCULATORSTexas Instruments BA II Plus, Version 1
Calculator Faceplate and Keystroke Card
Texas Instruments BA II Plus, Version 2Calculator Faceplate and Keystroke Card
Texas Instruments BA II Plus, Version 3Calculator Faceplate and Keystroke Card
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Texas Instruments BA II Plus, Version 4Calculator Faceplate and Keystroke Card
Texas Instruments BA II Plus Professional, Version 1Calculator Faceplate and Keystroke Card
Texas Instruments BA II Plus Professional, Version 2Calculator Faceplate and Keystroke Card
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Hewlett Packard 12CCalculator Faceplate and Keystroke Instructions on Back of Calculator
Hewlett Packard 12C Platinum, Version 1Calculator Faceplate and Keystroke Instructions on Back of Calculator
Hewlett Packard 12C Platinum, Version 2Calculator Faceplate and Keystroke Instructions on Back of Calculator
SUPERVISOR SUPPORT PHONE+1 (434) 951-5571 40
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Hewlett Packard 12C Platinum 25th Anniversary EditionCalculator Faceplate and Keystroke Instructions on Back of Calculator
Hewlett Packard 12C Platinum 30th Anniversary EditionCalculator Faceplate and Keystroke Instructions on Back of Calculator
Hewlett Packard 12C PrestigeCalculator Faceplate and Keystroke Instructions on Back of Calculator
SUPERVISOR SUPPORT PHONE+1 (434) 951-5571 42
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Seating Chart
Date: _______________________________ Center Code: ______________________________________Room/Section: ________________________ Proctor(s): ________________________________________
(PRINT full name and list other Proctors on back)
Fill in the seat numbers according to the layout of the room/section. The diagram below must match the floor plan. If a candidate is present, write the CFA Institute ID number in the appropriate box (AM or PM). If the candidate did not attend a session, enter an “A” in the appropriate box.
EXAMPLESCandidate attended both sessions: Candidate attended morning session, but
was absent from the afternoon session:Candidate was absent from both
sessions:
Seat # 1 Seat # 12 Seat # 6
9991234 9991234 A 9991234 A A
Seat # Seat # Seat # Seat # Seat # Seat # Seat # Seat #
AM AM AM AM AM AM AM AM PM PM PM PM PM PM PM PM
Seat # 37 Seat # 38 Seat # 39 Seat 40 Seat # 41 Seat # 42 Seat # Seat #
9997226 9997248 9997345 9997362 9997226 9997414 AM AM 9997248 9997345 9997362 9997226 9997414 PM PM
Seat # 36 Seat # 35 Seat # 34 Seat # 33 Seat # 32 Seat # 31 Seat # Seat #
9998193 9997193 9997175 9997161 9997148 9997111 AM AM 9998193 9997193 9997175 9997161 9997148 9997111 PM PM
Seat # 25 Seat # 26 Seat # 27 Seat # 28 Seat # 29 Seat # 30 Seat # Seat #
9996446 A A 9996545 9996984 9997003 AM AM 9996446 A A A 9996984 9997003 PM PM
Seat # 24 Seat # 23 Seat # 22 Seat # 21 Seat # 20 Seat # 19 Seat # Seat #
A 9996312 A 9997127 9994588 9994473 AM AM A 9996312 A 9997127 9994588 A PM PM
Seat # 13 Seat # 14 Seat # 15 Seat # 16 Seat # 17 Seat # 18 Seat # Seat #
9992733 A 9993511 9993992 9994447 9994469 AM AM 9992733 A 9993511 9993992 9994447 9994469 PM PM
Seat # 12 Seat # 11 Seat # 10 Seat # 9 Seat # 8 Seat # 7 Seat # Seat #
9992731 9992697 9992682 9992656 9992604 9992598 AM AM A 9992697 9992682 9992656 9992604 9992598 PM PM
Seat # 1 Seat # 2 Seat # 3 Seat # 4 Seat # 5 Seat # 6 Seat # Seat #
9991235 9991637 9991899 9992153 9992488 A AM AM 9991235 9991637 9991899 9992153 9992488 A PM PM
Proctor Table Proctor Table
FRONT OF ROOM/SECTION
Moved to seat 41
101
23 June 2018
Thomas Dale, Stefan Alvino
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Seating Chart
Date: _______________________________ Center Code: ______________________________________Room/Section: ________________________ Proctor(s): ________________________________________
(PRINT full name and list other Proctors on back)
Fill in the seat numbers according to the layout of the room/section. The diagram below must match the floor plan. If a candidate is present, write the CFA Institute ID number in the appropriate box (AM or PM). If the candidate did not attend a session, enter an “A” in the appropriate box.
EXAMPLESCandidate attended both sessions: Candidate attended morning session, but
was absent from the afternoon session:Candidate was absent from both
sessions:
Seat # 1 Seat # 12 Seat # 6
9991234 9991234 A 9991234 A A
Seat # Seat # Seat # Seat # Seat # Seat # Seat # Seat #
AM AM AM AM AM AM AM AM PM PM PM PM PM PM PM PM
Seat # 7 Seat # 8 Seat # 21 Seat 22 Seat # 35 Seat # 36 Seat # Seat #
9992598 9992604 9997127 A 9997193 9998193 AM AM 9992598 9992604 9997127 A 9997193 9998193 PM PM
Seat # 6 Seat # 9 Seat # 20 Seat # 23 Seat # 34 Seat # 37 Seat # Seat #
A 9992656 9994588 9996312 9997175 9997226 AM AM A 9992656 9994588 9996312 9997175 PM PM
Seat # 5 Seat # 10 Seat # 19 Seat # 24 Seat # 33 Seat # 38 Seat # Seat #
9992488 9992682 9994473 A 9997161 9997248 AM AM 9992488 9992682 A A 9997161 9997248 PM PM
Seat # 4 Seat # 11 Seat # 18 Seat # 25 Seat # 32 Seat # 39 Seat # Seat #
9992153 9992697 9994469 9996446 9997148 9997345 AM AM 9992153 9992697 9994469 9996446 9997148 9997345 PM PM
Seat # 3 Seat # 12 Seat # 17 Seat # 26 Seat # 31 Seat # 40 Seat # Seat #
9991899 9992731 9994447 A 9997111 9997362 AM AM 9991899 A 9994447 A 9997111 9997362 PM PM
Seat # 2 Seat # 13 Seat # 16 Seat # 27 Seat # 30 Seat # 41 Seat # Seat #
9991637 9992733 9993992 A 9997003 9997226 AM AM 9991637 9992733 9993992 A 9997003 9997226 PM PM
Seat # 1 Seat # 14 Seat # 15 Seat # 28 Seat # 29 Seat # 42 Seat # Seat #
9991235 A 9993511 9996545 9996984 9997414 AM AM 9991235 A 9993511 A 9996984 9997414 PM PM
Proctor Table Proctor Table
FRONT OF ROOM/SECTION
23 June 2018 CHO
Moved to seat 41
101 Thomas Dale, Stefan Alvino
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DO NOT KEEP COPIES OF COMPLETED FORMS. DO NOT SUBMIT BLANK LOGS.
RETURN IN CARTON 1 OF EXAM MATERIALS.
Passport Number / Expiration Date Mismatch LogJune 2018
Test Center Code: _______________________________________________________________________________
Room/Section (complete one form per section/room): ___________________________________________________
Proctors: _______________________________________________________________________________
InstructionsStep 1: Enter the candidate's CFA Institute ID number and name below. Enter each candidate's information only
once (do not repeat for the PM session).
Step 2: Issue an ID letter to the candidate(s).
Step 3: Do not include copies of passports, tickets, ID letters, or other documentation with this form.
CFA Institute ID Number Candidate Name
Example:
1234567 Last (Family) Name, First (Given) Name
9995721 O’Toole, Dennis
9996072 Lipton, Aaron
9993790 Prasad, William
This log is for documenting passport number and/or expiration data mismatch ONLY. DO NOT use this form for name mismatches. A call to Supervisor Support IS NOT necessary.
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DO NOT KEEP COPIES OF COMPLETED FORMS. RETURN IN CARTON 1 OF EXAM MATERIALS.
ID ReportJune 2018
If the passport number or date of expiration does not match, do not use this form;use the Passport Number/Expiration Date Mismatch Log.
1. Provide candidate informationTest Center Code: ___________________________ CFA Institute ID Number: ______________________Candidate name on ticket: ________________________________________________________________
2. Indicate ID issue
IMPORTANT: Call Supervisor Support at +1 (434) 951-5571 for the following scenarios.ATTACH A COPY OF THE ID TO THIS REPORT.
� Not an international travel passport. Type of ID presented: __________________________________*Do NOT call if the ID is a driver’s license, national ID card, or passport card as these are invalid.
� Name does not match ticket. Name on passport: __________________________________________� Unrecognizable photo� Not machine readable� Damaged (provide details): ___________________________________________________________� Other (provide details): ______________________________________________________________
Supervisor Support’s decision: � Invalid � Questionable � Valid
Do NOT call Supervisor Support for the following invalid ID scenarios.ATTACH A COPY OF THE ID TO THIS REPORT.
� No ID � Driver’s license, national ID card, or passport card� Expired� Photocopy� Hole-punched, clipped, or marked “Cancelled”
3. Follow up
Did the candidate return with valid ID? � Yes � No
4. Provide additional information
______________________________________________________________________________________
______________________________________________________________________________________
5. Provide proctor information
Proctor name (printed): _______________________ Proctor signature: ____________________________
Proctor email: _________________________________________ Time discovered:__________________
Attach a copy of the ID to this report. Include all relevant pages or sections.
Henry Tsang
9990037 CHO
Candidate is unable to retrieve passport. Supervisor Support confirmed the Residence Permit is
invalid. I issued an ID letter to the candidate and did not allow him to sit for the exam.
Susan West Susan West [email protected] 8:15 AM
Residence Permit/Permanent Resident card
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ID Letter
CFA Institute ID #: ____________________________________________________
Candidate Name: _____________________________________________________
Section/Room Number: _____________________ Seat Number: ______________
Dear Candidate,
You are receiving this letter because the identification you presented for admittance to the CFA exam did not meet the CFA Institute Identification Policy, or it requires additional research to confirm validity. The personnel at the test center will submit a report to us. We review all reports and will follow up with you as necessary.
As a reminder, you agreed to adhere to all testing policies, including the Identification Policy, as part of the CFA exam enrollment and registration process. For your passport to be considered valid it must:
� Be a current (not expired or cancelled) international travel passport.� Include a recognizable photograph on the passport data page.� Contain your name, date of birth, passport number, expiration date, and country of issuance.� Exactly match the information you provided to CFA Institute.� Be an original document. Photocopies will not be accepted.� Be machine readable.
Please see the indicated box below for more specific information.
£ Passport Number and/or Date of Expiration Mismatch—Action RequiredYou will be allowed to sit for the exam today; however, you must update your account immediately by submitting a completed Identification Information Change Request form and copy of your passport directly to CFA Institute. Additional information is available online at: http://www.cfainstitute.org/Forms/name_change.pdf.�£ QuestionableYou will be allowed to sit for the exam today; however, if CFA Institute determines that your ID is invalid, you will be notified and your scores may be voided.�
� InvalidYou are not permitted to sit for the exam.Note: If an invalid ID is discovered after the start of the exam, it does not imply the ID is valid or that your scores will ultimately be reported.
Thank you for your attention to this important matter. Please visit our website at www.cfainstitute.org if you wish to submit a question or comment.
Sincerely,CFA Institute
9990037
Henry Tsang
107 4
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9 2222Front Cover
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AM exam started at 9:06am.
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101
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9997226 Philip M. Duarte Candidate's table was wobbly and he requested to move.
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9997362 Michael T. DeNovo Stefan Alvino Coworker
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9997193 Monika Bennett
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9992656 Yuechin Lai
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Thomas Dale
SUPERVISOR SUPPORT PHONE+1 (434) 951-5571 49
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Violation ReportJune 2018
DO NOT KEEP COPIES OF COMPLETED FORMS. RETURN IN CARTON 1 OF EXAM MATERIALS.
Complete this report for TESTING POLICY VIOLATIONS. Provide as much detail as possible.(SUSPECTED CHEATING should be documented on the Suspected Cheating Report.)
1. Candidate InformationCandidate Name: __________________________________ CFA Institute ID Number: ___________________
Test Center Code: ___________________________________
Room/Section: ______________________________________Seat Number: ______________________________________
2. Violation Type� Writing found on exam admission ticket(s). Attach original ticket(s).
� At check-in � AM Session � PM Session� During or after timed portion � AM Session � PM Session
� Opened exam book early (mark all that apply):� Broke seal of book before instructed � Removed answer sheet before instructed� Opened book to page 1 (list of exam topics) � Opened book to a page with exam questions
� Possessed invalid calculator(s) in testing room during the exam. Attach photocopy of faceplate(s). Was the calculator used? � Yes � No
� Possessed prohibited personal belonging(s) in testing room during timed portion of exam:
Mark all that apply: Was item used?� Scratch paper (attach original documents) � Yes � No� Study materials/notes (attach original documents) � Yes � No� Mobile phone � Yes � No� Smart watch � Yes � No� Fitness device � Yes � No
� Other (provide details): � Yes � No
� Wrote after time was called: Candidate wrote for approx. ____ seconds after the “Stop writing NOW” instruction.� Left exam early. Reason provided: _____________________________________________________________� Other Violation (provide details): _______________________________________________________________
3. Additional InformationProvide additional details regarding your observations. Include any discussion with candidate and actions taken. Use the back of this sheet if necessary. _____________________________________________________________________________________________________________________________________________________________
Identify all other personnel who observed the violation: _____________________________________________________________________________________________________________________________________________
4. Your information. All witnesses must complete a separate report.Proctor name (printed): ____________________________ Your email: _________________________________
Proctor signature: ______________________________________________________________________________
Time the violation occurred: _____________________________ Time report was completed: _________________
� 3
Samuel McKinley 9998505
CHO
109
5:00 PM
23
5:05 PM
David Bennett & Thomas Smith
Amy Huong
Amy Huong
Which of the following were used to verify the candidate’s identity? Indicate two or more:� Passport � Seating Chart� Exam Ticket � Roster�
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SUPERVISOR SUPPORT PHONE+1 (434) 951-5571 50
SAM
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Suspected Cheating ReportJune 2018
DO NOT KEEP COPIES OF COMPLETED FORMS. RETURN IN CARTON 1 OF EXAM MATERIALS.
Complete this report for SUSPECTED CHEATING. Provide as much detail as possible.1. Provide candidate information
Candidate Name: _____________________________ CFA Institute ID Number: __________________
Test Center Code: ____________________________
Room/Section: _______________________________
Seat Number: ________________________________
2. Document your observations of the candidate’s behavior
1. When did you observe the candidate’s behavior? � AM Session � PM Session2. What periods of time did you observe the candidate? ________________________________________3. Was the candidate looking at another candidate's paper? � Yes � No (if No, skip to question 4)
a. How many times did the candidate look at another candidate's paper? _______________________b. How long (seconds/minutes) were each of the candidate's looks? ___________________________c. After looking, what did the candidate do? Did the candidate:
Look at his/her own paper? � Yes � No Other? ________________________________Write on his/her own paper? � Yes � No ________________________________
d. What did the candidate do in order to look at the other candidate’s paper?Turn his/her head? � Yes � No Lean his/her body? � Yes � NoShift his/her eyes? � Yes � No Other? _________________________________
e. Whose paper was the candidate looking at? Seat # ________ CFA Institute ID # _____________f. What was the distance between the two candidates? _____________________________________g. Was the other candidate aware of the candidate looking at his/her paper? � Yes � No � Uncertainh. Did you speak to the candidate looking at another candidate's paper? � Yes � No
4. Identify all persons who observed the candidate's conduct. ______________________________________________________________________________________________________________________
5. Where were you located in the testing room when observing the candidate's conduct? ________________________________________________________________________________________________
6. When you observed the candidate, was he/she:a. Fidgeting? � Yes � No c. Looking around the room? � Yes � Nob. Stretching his/her neck, back, arms? � Yes � No d. Other? ___________________________
7. Provide any additional details regarding your observations, including actions taken by testing personnel. Use an extra sheet if necessary. _______________________________________________________________________________________________________________________________________________________________________________________________________________________________
3. Provide your information
All witnesses must complete a separate report.
Your name (printed): ________________________ Your email: _________________________________
Your signature: _____________________________ Time report was completed: ____________________
9999892
CHO
William C. Hurley
109
16
9:30, 10:15, 11:10, for about 10 minutes each time
5 times
About 3 seconds each time
9995698 15
About 3 feet
Maria Jordan (proctor), James Kelly (EAS), Jorge Melo (supervisor)
times I was standing 2 rows in front of him. I was standing behind him the last 2 times I observed him.
The first 2
When I walked behind the 2 candidates, I noticed they were on the
same page, and the other candidate was marking her answers with a very large A, B, or C in the margins
of her book.
Pat Moore [email protected]
Pat Moore 11:20 am
How did you verify the candidate’s identity? Indicate two or more:� Passport � Seating Chart� Exam Ticket � Roster� �
SUPERVISOR SUPPORT PHONE+1 (434) 951-5571 51
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Packing FormJune 2018
Test Center Code:_________________________________________________________________________
Room/Section: ___________________________________________________________________________
Proctors:________________________________________________________________________________
Complete the information below using the appropriate level(s) for your testing room. Indicate the number of exam books and answer sheets collected from candidates, as well as unused exam books. Return the completed packing form to the book room.
If a candidate used multiple exam books or defective/damaged books were found, complete an Incident Report.
Returned to Book Room
LEVEL IExam Books Issued From Book Room
Candidates Present
Used Answer Sheets
Used Exam Books
Unused Exam Books
TOTAL Exam Books Returned to Book Room
Morning 44 35 36 36 8 44
Afternoon 44 32 32 33 11 44
Returned to Book Room
LEVEL IIExam Books Issued From Book Room
Candidates Present
Used Answer Sheets
Used Exam Books
Unused Exam Books
TOTAL Exam Books Returned to Book Room
Morning 20 19 19 19 1 20
Afternoon 20 19 19 19 1 20
Returned to Book Room
LEVEL IIIExam Books Issued From Book Room
Candidates Present
Used Answer Sheets
Used Exam Books
Unused Exam Books
TOTAL Exam Books Returned to Book Room
Morning 16 16 16 16 0 16
Afternoon 16 15 15 15 1 16
CHO
101
Thomas Dale, Earl Francis
SUPERVISOR SUPPORT PHONE+1 (434) 951-5571 52
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SUPERVISOR SUPPORT PHONE+1 (434) 951-5571 54
PR
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Proctor Agreement
Complete this agreement and return it to your supervisor at proctor training. Contact your supervisor with any questions related to this agreement. Note to supervisor: Place all signed agreements together and return to CFA Institute in carton 1 of the exam materials.
Test Center Code:
Compliance with CFA Institute ProceduresI have read and understand the June 2018 Procedures Manual and agree to supply CFA Institute with the services and to comply with all procedures outlined in the manual. I certify I have attended the mandatory proctor training session. I agree to cooperate in any investigation by CFA Institute into candidate conduct. Cooperation includes, but is not limited to, responding to inquiries from the CFA Institute Professional Conduct Program.
Confidentiality of CFA® ExamsI understand the contents of the CFA exams and CFA Institute procedures regarding the exam are strictly confidential. I agree to keep confidential and not reveal to anyone, without the prior written permission of CFA Institute: the contents of the CFA exams; the storage location(s) of the CFA exams; any CFA Institute procedures relating to the exam; and a description of any events that I observe or participate in during the course of my service to CFA Institute. I further agree to refrain from both taking photographs or making comments about the exam on social media or other public fora. In addition, I will not remove the CFA exams or any other CFA Institute written material from the exam venue, nor will I copy or permit anyone else to copy such materials, without prior approval by CFA Institute. I will immediately inform CFA Institute of any actual or suspected violation of this confidentiality and/or copying prohibition requirement.
Anti-Discrimination PolicyCFA Institute maintains a strong policy against discrimination in all aspects of its operations, including the administration of the CFA exams. CFA Institute tests candidates on the basis of personal knowledge and ability without regard for race, color, religion, sex, national origin, age, marital status, sexual orientation, or disability. Similarly, CFA Institute administers its rules and procedures objectively and without regard to a particular candidate’s race, color, religion, sex, national origin, age, marital status, sexual orientation, or disability. As a proctor, I understand and will comply with this anti-discrimination policy. For purposes of the exam, I will represent CFA Institute and perform my duties as a proctor fairly and without regard to any personal bias.
Conflict of InterestI am not aware of any close working or personal relationships with candidates or of other situations that may raise questions as to my independence regarding this exam, except as noted below. I understand I must immediately inform CFA Institute in writing if any situations arise after this form has been signed that may impair my independence in fact or in appearance. I am not currently registered or enrolled as a candidate for any level or administration of the CFA exam. I am not affiliated in any way with a CFA candidate preparatory course.
CANDIDATE’S NAME (PLEASE PRINT) RELATIONSHIP
I acknowledge I have read this agreement, understand it, and am voluntarily entering into it.
Proctor’s signature:
Proctor’s printed name:
Proctor’s email address:
Date:
SUPERVISOR SUPPORT PHONE+1 (434) 951-5571 55
IND
EX
INDEXAAdmission Ticket, p. 11, 41Admitting Candidates, p. 9Afternoon Announcements, p. 5–7Announcements, p. 2–7
BBlank Ticket, p. 11Book Room Proctor
Responsibilities, p. 28–30
CCalculators, p. 16, 37–48Check-In Process, p. 10–22Check-In Process Checklist, p. 10Collecting Exam Materials,
p. 26–27Comfort Accommodations,
p. 17–18
DDamaged or Defective Exam
Materials, p. 18–20Damaged Shipping Cartons, p. 36Distributing Books to Candidates,
p. 18Dress Code—Testing Personnel,
p. 8
EEarly Departures Not Permitted,
p. 25Exam Book Log, p. 52Exam Day Procedures, p. 8–9
IIdentification (ID), p. 12–13ID Issues, p. 14ID Letter, p. 47ID Report, p. 46Incident Report, p. 48Incidents, p. 25
Informing Candidates of Violation Reports, p. 25
LLate Arrivals, p. 20
MMonitoring Candidates, p. 21–25Morning Announcements, p. 2–4
PPacking Exam Materials for
Candidates Approved for Extended Testing Time, p. 35
Packing Form, p. 51Packing Materials for Return
Shipment, p. 30–36Passport Number/Expiration Date
Mismatch Log, p. 45Personal Belongings—Candidate,
p. 15–16Personal Belongings—Proctor, p. 9Prior to Exam Day, p. 8Proctor Agreement, p. 54
RReconcile and Inspect Exam
Materials, p. 26–27Reporting to the Test Center, p. 8Returning Materials to the Book
Room, p. 27Roster, p. 17, 42
SSample Forms, p. 41–52Seat Changes, p. 25Seating Chart, p. 21, 43–44Second Check of Passports and
Calculators, p. 24Shipping, p. 35Suspected Cheating, p. 23Suspected Cheating Report, p. 50
TTime Remaining Signs, p. 9Toilet and Water Breaks, p. 23–24
VViolation Report, p. 49Violations, p. 22
WWriting Instruments, p. 24Writing Past Time, p. 25
SUPERVISOR SUPPORT PHONE+1 (434) 951-5571 56
Quick Reference Sheet
Personal Belongings in the Testing Room (Procedures Manual p. 15–16)
Required on Desk Allowed on Desk Under Chair or in Pockets
y Exam admission ticket
y Valid international travel passport
y Approved calculator(s)
y Writing instruments
y Calculator batteries
y Earplugs/eyeglasses
y Erasers (no covers or wrappers)
y Pencil sharpener
y Wristwatch (no smart watches)
y Calculator case
y Keystroke card
y Wallet
y Medicine/tissues
y Gum/hard candy (boiled sweets)
y Eyeglasses case
y Keys
y Calculator pouch
Candidate Passport (Procedures Manual p. 12–13)
Candidates must present their valid passport during check-in to sit for the exam. Passport must:
y Be a current (not expired) international travel passport
y Contain the name, passport number (last four characters), and expiration date as shown on the ticket
y Be an original document (photocopies are not acceptable)
y Be machine readable
y Include a recognizable photograph of the candidate on the data page
Acceptable Name Variation (Procedures Manual p. 13)
y It is acceptable for names to appear on the ticket and passport in a different order; however, the spelling must match.
y The passport may contain more names than the admission ticket. If the names on the ticket all appear on the passport, it is an acceptable name variation.
y Suffixes such as “Jr.”, “Sr.”, “III”, etc., are not considered part of the name and are not required to match.
ID Report (Procedures Manual p. 14, 46)
Passport Number/Expiration Date Mismatch Log (Procedures Manual p. 14, 45)
y Not an international travel passport
y Name does not match ticket
y Expired
y Photocopy
y No recognizable photograph on the data page
y Damaged (not due to tampering)
y Not machine readable
y Clipped, hole punched or marked “Cancelled”
y Passport number (last four characters) and/or date of expiration (not expired) do not match ticket
Incident Report (Procedures Manual p. 25, 48)
Violation Report (Procedures Manual p. 22, 49)
Suspected Cheating Report (Procedures Manual p. 23, 50)
Room conditions, defective materials, e.g.:
y Testing room is hot, cold, noisy
y Candidate moved to another seat
y Torn answer sheet
Violations of testing policy, e.g.:
y Opening exam book early
y Writing past time
y Electronic devices in testing room during the timed portion of the exam
Suspicious behavior or suspected cheating, e.g.:
y Looking at another candidate’s paper
y Hidden notes
ONLY THE ITEMS BELOW ARE PERMITTED IN THE TESTING ROOM
CFA INSTITUTE | CFA EXAM
ALL OTHER ITEMS (SUCH AS MOBILE PHONES, CONTAINERS, BAGS, HANDBAGS, ETC.) MUST BE LEFT IN THE PERSONAL BELONGINGS AREA
Gum, Hard Candy (Boiled Sweets), Cough Drops
Wristwatch Ear Plugs
Keys
Approved Writing Instruments
Wallet/Money Purse
Valid International Travel Passport
EyeglassesPencil Sharpenerand Erasers
Necessary Medical Items(medicine, tissues, mask)
Approved Calculators
Extra calculator batteriesand screwdriver
Eyeglasses Case
MUST BE KEPT ON THE DESK
MAY BE KEPT ON THE DESK, IF NEEDED
MUST BE KEPT UNDER CHAIR OR IN POCKETS WHEN NOT IN USE
DO NOT WRITE ON THIS TICKET. PRINT ON CLEAN, UNUSED PAPER.
IMPORTANT REMINDER
JUNE 2017 CFA® EXAM ADMISSION TICKET
This ticket and your valid international travel passport are required for both sessions. THE INFORMATION BELOW MUST MATCH YOUR PASSPORT EXACTLY FOR YOU TO TAKE THE EXAM.*
Passport Number (last four characters)
6789Surname
DoeGiven Name(s)
John RobertPassport Expiration Date
12 August 2019
Address
Jacob K Javits Convention Center11th Avenue and 35th StNew York, NY 11202United StatesRoom/Section
B
CFA INSTITUTE ID #
PASSPORT INFORMATION SCHEDULE TEST CENTER
Morning Session
9am–12pm Report at 8am
Break
12pm–1pm
Afternoon Session
2pm–5pm Report at 1pm
Testing room doors close approximately 30 minutes prior to the start of each ses-sion. Candidates arriving more than 30 minutes past the exam start time will not be admitted. No one is permitted to leave the session early.
Morning Seat #
Afternoon Seat #
PROCTOR USE ONLY
DATE TEST CENTER CODE
SATURDAY3 JUNE123456 NYC LEVEL 1
You have special instructions for your test center.
Violation of any testing policies may lead to your exam results being voided, forfeiture of your registration fee, and/or other disciplinary action.
+1 434 951 5499 • [email protected] • www.cfainstitute.org
2017
* On exam day you must present your valid international travel passport (Go to our website to view the complete ID policy). Your name and the passport information on this admission ticket MUST MATCH your valid international travel passport exactly or you will not be allowed to take the exam and you will forfeit your registration fee. If the information does not match, contact CFA Institute immediately.
Passport cards, national identification cards, limited travel documents, internal passports, and passports that are clipped, hole-punched, or marked cancelled, are not valid forms of identification for the CFA Program.
Exam Admission Ticket
915 East High StreetCharlottesville, VA 22902USA
© 2018 CFA Institute.All rights reserved.