ISACA COBIT® v.4.1 FOUNDATION & IMPLEMENTATION EXAM

POLICIES & PROCEDURES

2013 v.1

Contents ISACA COBIT® 4.1 Exam Policies .................................................................................. 3

Paper-Based Exam Ordering Procedures ............................................................................ 4

Frequently Asked Questions – Paper-based Exam ............................................................. 7

Online Exam Ordering Procedures ..................................................................................... 8

Frequently Asked Questions – Online Exam ...................................................................... 9

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ISACA COBIT® 4.1 Exam Policies

• The security and integrity of the COBIT Foundation and COBIT Implementation Exams will be monitored during all steps in the exam administration process.

• COBIT Exam requests will be accepted only from authorized licensees who have a valid agreement to offer COBIT 4.1 training and exams, and have no outstanding invoices over 30 days old.

• Due to the reduction in demand for the COBIT 4.1 exam and the lengthy processing time for paper-based exam ordering, starting Q2 2013, paper exams may only be ordered for class sizes of 25 or more. Class sizes under 25 will need to order online exam access codes.

• All required forms must be completed in their entirety and submitted to cobittraining@isaca.org. • All COBIT Exam requests and related inquiries are to be sent cobittraining@isaca.org.

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Paper-Based Exam Ordering Procedures Please note:

• An Exam Request Form must be filled out in its entirety in order for ISACA to process the request.

• In order to be processed in a timely and efficient manner, Exam Request Forms should be received by ISACA no later than three (3) weeks before the scheduled exam date.

• Exam Request Forms received less than five (5) business days before the anticipated exam date will not be honored.

• Please reference the date and location in all correspondence to ensure proper handling of your request or inquiry. Your internal codes will not be accepted or recognized.

To request a paper-based exam:

1. Send a completed Exam Request Form to cobittraining@isaca.org. 2. Once the proctor is secured (instructions on securing a proctor below), ISACA will send the exam

materials to the proctor. a. Materials will be sent to the proctor approximately one (1) to two (2) weeks from the

date the Exam Request Form is received. b. The exam materials include: exam and exam cover sheet, answer sheets, attendance

sign-in sheet, and Request for Certificate forms.

Sending Exam Materials: • Exam materials can be sent via email or shipped via FedEx. • Typically, ISACA allows the proctor to determine how the materials will be received. • For each request, please indicate if there is a preference for how materials are sent and any

special instructions (i.e. materials are to be sent to an approved administrator for duplication and delivery to proctor).

Securing a proctor: An approved proctor is required for the paper-based COBIT Exam. The proctor must be independent of the training process (i.e. the proctor does not attend or teach the course). You have two options:

1. Submit a proctor for approval 2. Have ISACA secure a proctor via Proctor Examination Services (PES)

Choose the appropriate option on the Exam Request Form to indicate your preference. To submit a proctor for approval:

1. Provide: a. The curriculum vitae (CV) or résumé for the proctor. b. Complete contact information (including name, full mailing address, email address and

phone number). 2. Upon review and approval of the proctor’s information, ISACA will send the proctor a standard

Non-Disclosure Agreement (NDA) 3. The proctor must sign and return the NDA to ISACA. Upon receipt of the executed NDA, the

proctor will be approved and able to receive exam materials. 4. You may use the approved proctor for all subsequent exams. Please include the proctor’s full

name and email address on the Exam Request Form. To cancel an exam:

• Exams can be cancelled up to one (1) week prior to the exam date.

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• If a proctor was secured by ISACA, the proctor fee may be charged to the licensee. • If the exam materials were shipped to the proctor, the shipping fees will be charged to the

licensee. After the exam:

1. Once the COBIT Exam is complete, the proctor will return the exam materials to ISACA via a secure overnight/expedited service. Exam materials may NOT be returned by local postal service.

2. ISACA will process completed exams within five (5) to ten (10) business days of receipt of the returned exam material at ISACA Headquarters.

3. Results are sent directly to the exam candidate in two (2) ways: a. Results are sent via email b. Documentation and certificates are mailed to the candidate.

i. The International deliveries are sent to the local postal service over which we have no control for the final delivery. We have seen delivery take up to six (6) weeks and occasionally longer. The email address and the preferred mailing address are obtained from the Request for Certificate Form, which each candidate is required to complete for return with the exam material.

ii. PLEASE NOTE: No hard copy documentation will be send to candidates that fail the exam.

4. If the licensee would like the exam results, a signed Grade Release Form must be received from each candidate with the completed exams. Due to confidentiality concerns, without the signed Grade Release Form, scores may not be released to anyone except the candidate.

a. PLEASE NOTE: the Grade Release Form must be received with the completed exams at ISACA Headquarters. ISACA will not accept Grade Release Forms via email or hard copy after the completed exams have been received and processed.

5. If the licensee would like to distribute hard copy documentation and certificates instead of documentation and certificates being sent to each exam candidate’s home or business address, a signed Certificate Release Form must be received from each candidate with the completed exams. Due to confidentiality concerns, with the signed Certificate Release Form, documentation and certificates may not be released to anyone except the candidate.

a. PLEASE NOTE: the Certificate Release Form must be received with the completed exams at ISACA Headquarters. ISACA will not accept Certificate Release Forms via email or hard copy after the completed exams have been received and processed.

Invoicing:

• Licensees will be invoiced within three (3) to five (5) business days after completed exams are received at ISACA Headquarters and processed.

• Per the COBIT Licensing Program Agreements, payment must be made on the invoice within thirty (30) days from receipt.

• The licensee is responsible for payment; ISACA will not invoice a training partner or third party. • If the licensee fails to make payment for a period of ninety (90) days past the invoice date, ISACA

will not process Exam Request Forms until invoice amount is paid in full.

Fees: • Proctor Fee for exams: US $300 • COBIT Foundation Exam (per completed exam): US $150 • Implementing Governance of Enterprise IT Using COBIT Exam (per completed exam): US $150 • Shipping fees for exam materials:

o United States and Canada: US $5 per exam requested and shipped o All areas outside the United States and Canada: US $10 per exam requested and shipped

• PLEASE NOTE: There will be no shipping charge if exam materials are sent via email.

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Retakes:

• All retake exams are to be taken online. • Candidates may register and purchase the exam directly from the ISACA eLearning Campus

(www.isaca.org/elearning), or licensees can provide an Online Exam Access Code (instructions on how to order access codes below).

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Frequently Asked Questions – Paper-based Exam Can I receive the results from an exam? Unless a Grade Release Form was received with the completed exams, ISACA cannot release results of an exam to a third party. Grade Release Forms are voluntary, and cannot be made a mandatory document by the licensee for exam candidates to take the exam. When can exam candidates expect to receive results? Exams are processed within three (3) to five (5) business days upon receipt at ISACA Headquarters. Upon processing of the completed exams, candidates receive an email with their score and the corresponding paperwork is mailed. The international deliveries are sent to the local postal service over which we have no control for the final delivery (and thus, there is no corresponding tracking number we can provide). We have seen delivery take up to six weeks and occasionally longer, which is mitigated by immediately sending the email. An exam candidate has not received his/her results. First, always provide the following information when requesting information on the status of certificates

1. Candidate full name 2. Type of exam (paper-based or online) 3. Date of exam (for paper-based only) 4. Location of exam (for paper-based only)

We should be able to provide you with a summary of when a certificate has been sent. Reprint requests are accepted after at least six weeks have passed since the certificate was mailed. The candidate or the licensee must complete a Reprint Request form in order to process the request. If the candidate took the online exam, he or she will not be receiving documentation via email or mail. Certificates can be accessed and printed from the ISACA eLearning Campus.

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Online Exam Ordering Procedures Please note:

• The COBIT Foundation Online Exam may be taken immediately after the conclusion of the course (if facilities allow) or the Exam Access Codes may be distributed at the conclusion of the course allowing learners to take the exam within a 60 day time frame.

• Each candidate will need one access code in order to access the exam online. Once entered, the code will not be valid for a retake exam or for use by another candidate.

• Online Exam Access Codes do not expire. • Please follow the steps below to utilize the online exam option. Please allow two to three weeks

to request, purchase, and receive the codes. To order:

1. Complete the Online COBIT Exam Order Form and email to cobittraining@isaca.org. 2. ISACA will then invoice you for the amount of codes you requested within three (3) to five (5)

business days upon receipt of the Online COBIT Exam Order Form. 3. Access codes will be released three (3) to five (5) business days upon payment of the invoice.

Codes will not be released until the invoice is paid in full. 4. Licensees will be provided with instructions for exam candidates that guide them on how to

access their online exam. These instructions should be reproduced and handed out to candidates.

5. The licensee is responsible for providing the course instructor with enough codes for the class. a. PLEASE NOTE: ISACA will not know what code is given and used by candidates, so the

course instructor and/or licensee is encouraged to track this information internally. 6. Course instructors will hand out one code to each candidate along with instructions on how to

use the code to access the exam. 7. When you begin to run low on codes, follow steps above to order more.

Proctors:

• There are no proctors required for the Online COBIT Exam. Fees:

• Fee for each COBIT Foundation Exam Access Code is: US $150 Certificates:

• Candidates who pass the Online COBIT Exam are able to access their certificates on their profile on the ISACA eLearning Campus. The certificate will be available on the Transcripts tab on the Campus.

• Certificates can print the certificate if they want or need a hard copy, and also access it via the eLearning Campus at any time of day or week.

• The certificate is issued by ISACA, and is an official certificate representing a proficiency and knowledge of COBIT through the completion of the course and/or the corresponding exam

• There will be NO certificate mailed or emailed directly to candidates. Retakes:

• Candidates may retake the online exam if they were not successful in previous attempts. • The cost of a retake exam is the same as the first attempt: US $150. • They will use the same procedures to purchase a retake. If the licensee would like to offer the

retake free of charge, or if the licensee charges the candidate directly, another online exam access code will need to be provided to the exam candidate.

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Frequently Asked Questions – Online Exam Do the codes expire? Codes NEVER expire! Once a code is redeemed by the candidate, he/she will have 60 days to take the exam. How long does it take to get my codes? You should to allow two to three weeks to request, purchase, and receive the codes. Invoices will be sent within 3 – 5 business days of receipt, and once payment is confirmed, codes can be expected within 3 – 5 business days. Can I request a refund for unused codes? No, there will be no refunds given for unused codes. We do not have a facility with the technology to support an online exam; can we still take part in this program? Yes, the codes can be used on any computer, including a candidate’s home or work computer. What are the technical requirements to run the exam on a computer? Our exam utilizes the latest browser technologies and standards. In order to take this exam, candidates will need to have the following features enabled on their browsers:

• Frames • Javascript • CSS • Java (to download Java, go to www.java.com) • Flash Player 6 (or higher) • Adobe Reader 5 (or higher)

Supported browsers are:

• Internet Explorer 6 SP2 (or higher) • Firefox 2.0 (or higher) • Mac users will need OS 10.3 (or higher) and the Firefox 2.0 (or higher) browser.

Will candidates receive documentation / hard copy certificate in the mail? No, if the candidates pass the online exam, they will be able to save and print the certificate themselves, eliminating the need to mail hard copies. The certificate produced will be identical to the hard copy certificates and includes the gold seal. What if the candidate is having trouble accessing the exam? We will do our best to prevent this from happening with a comprehensive Candidate Instruction Sheet. We understand that despite our best efforts, technical issues may happen on both the eLearning Campus platform and the user’s end. Candidates should contact Technical Support at technicalsupport@certification-partners.com or +1.866.370.3511 immediately if they experience technical issues. Is the online exam the same as the paper exams? Yes, the online exam is based off of the same questions that comprise our paper exams. Is a proctor required for the online exam? No, there is no proctor required for the online exam at this time. The Online COBIT Exam contains a Code of Ethics that must be agreed to by the exam candidate before he or she can begin the exam. Certificates

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will not be issued/will be revoked if the Code of Ethics is breached. Also, questions in the exam are pulled randomly from a pool, so no two exams will be alike. I have more questions – who can I talk to? Please email us at cobittraining@isaca.org if you have any additional questions or concerns.

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