PROCEDURES MANUAL

2019
Chartered Financial Analyst® Exam

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
TABLE OF CONTENTS
All Testing Personnel Enforcing CFA Institute Policies.................................................................... 1
Candidate Questions about the Exam........................................................ 1
Confrontational Candidates.......................................................................... 1

Proctor Responsibilities June 2019............................................................................................................2

December 2019................................................................................................ 4

Announcements Morning Announcements.............................................................................. 6

Afternoon Announcements.......................................................................... 9

Proctors Prior to Exam Day............................................................................................12

Dress Code—Testing Personnel..................................................................12
Exam Day Procedures...................................................................................12
Reporting to the Test Center................................................................12
Personal Belongings—Proctor..............................................................12
Time Remaining Signs............................................................................13
Admitting Candidates.............................................................................13
Check-In Process...........................................................................................13
Closing the Doors to the Testing Room.............................................15
Timing the Exams....................................................................................15
Late Starts.................................................................................................15
Late Arrivals...............................................................................................16
Admission Ticket...................................................................................... 17
Identification (ID).....................................................................................18
ID Issues...................................................................................................20
Personal Belongings—Candidate........................................................21
Calculators............................................................................................... 22
Roster.........................................................................................................23
Comfort Accommodations...................................................................23
Distributing Books to Candidates...................................................... 24
Damaged or Defective Exam Materials............................................ 24
Seating Chart........................................................................................... 27
Monitoring Candidates................................................................................. 27
Monitoring Strategies............................................................................ 27
Violations..................................................................................................28
Suspected Cheating..............................................................................29
Toilet and Water Breaks........................................................................29
Writing Instruments...............................................................................30
Second Check of Passports and Calculators.................................30
Incidents....................................................................................................31
Seat Changes...........................................................................................31
Early Departures Not Permitted...........................................................31
Writing Past Time....................................................................................31
 Informing Candidates of Violation Reports......................................31
Collecting Exam Materials...........................................................................32
Reconcile and Inspect Exam Materials............................................32
Returning Materials to the Book Room............................................33

Book Room Proctors Book Room Proctor Responsibilities........................................................34

Packing Materials for Return Shipment...................................................36
Administrative Paperwork
(Group 1) ...................................................................................................38
Used Level III Essay Exam Books
(Group 2)...................................................................................................38
Answer Sheets (Group 3) .....................................................................38
Used Exam Books (Group 4)................................................................39
Unused Exam Books (Group 5)...........................................................39
Packing Exam Materials for Candidates Approved for Extended
Testing Time..............................................................................................41
Shipping.....................................................................................................41
Damaged Shipping Cartons.................................................................42

Calculators..........................................................................................................................43
Sample Forms..................................................................................................................... 47
Index..................................................................................................................................... 59
Quick Reference Sheet......................................................................................................60
 ALL TESTING PERSONNEL
ALL TESTING
PERSONNEL

Enforcing CFA Institute Policies

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

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

Please contact Supervisor Support if you have any questions.

Candidate Questions about the Exam

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

Email: info@cfainstitute.org
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. 

Confrontational Candidates
If a candidate becomes agitated, argumentative, threatening, or exhibits other inappropriate
behavior:

yy Remain composed and try to calm the candidate. Respectfully and reasonably remind the
candidate of CFA Institute policies.
yy Advise the candidate to contact a CFA Institute Customer Service representative directly with
any questions or comments. Provide the candidate the contact information above.
yy Avoid physical contact with the candidate.
yy Contact a security guard, campus security, or local law enforcement as appropriate. 
yy Contact Supervisor Support immediately.
yy Complete a Violation Report.

SUPERVISOR SUPPORT PHONE

1 +1 (434) 951-5571
 Proctor Responsibilities
June 2019
Please review the below requirements carefully. Complete and return this document to your supervisor at proctor
training. Contact your supervisor with any questions. Note to supervisor: Place all signed statements together and
return to CFA Institute in carton 1 of the exam materials.

Test Center Code:

Compliance with CFA Institute Procedures

I have read and understand the 2019 Procedures Manual and will supply CFA Institute with the services and comply
with all procedures outlined in the manual. I certify I have attended the mandatory proctor training session. I will
cooperate in any investigation by CFA Institute into candidate conduct. Cooperation includes, but is not limited to,

RESPONSIBILITIES
responding to inquiries from the CFA Institute Professional Conduct Program.

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

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

CANDIDATE’S NAME (PLEASE PRINT) RELATIONSHIP

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

Proctor’s signature:

Proctor’s printed name:

Proctor’s email address:

Date:

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 Proctor Responsibilities
December 2019
Please review the below requirements carefully. Complete and return this document to your supervisor at proctor
training. Contact your supervisor with any questions. Note to supervisor: Place all signed statements together and
return to CFA Institute in carton 1 of the exam materials.

Test Center Code:

Compliance with CFA Institute Procedures

I have read and understand the 2019 Procedures Manual and will supply CFA Institute with the services and comply
with all procedures outlined in the manual. I certify I have attended the mandatory proctor training session. I will
cooperate in any investigation by CFA Institute into candidate conduct. Cooperation includes, but is not limited to,

RESPONSIBILITIES
responding to inquiries from the CFA Institute Professional Conduct Program.

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

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

CANDIDATE’S NAME (PLEASE PRINT) RELATIONSHIP

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

Proctor’s signature:

Proctor’s printed name:

Proctor’s email address:

Date:

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 MORNING ANNOUNCEMENTS
(for starting and ending the morning session)
Instructions for the reader are printed below in bold. The verbal announcements to candidates
follow in the boxes. The morning announcements will take approximately 13 minutes.
yy Read only the words in the boxes to candidates.
yy Read the announcements in English exactly as written.
yy 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:

ANNOUNCEMENTS
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, one 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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 If Level I or Level II candidates are present, say:
Level Three candidates: Please leave your books closed while I read the instructions for Level
One and Level Two candidates. Level One and Level Two candidates only: Follow along
on the front cover of your exam book as I read the instructions. Use a Number 2 or HB pencil to
complete this exam. Write your CFA Institute ID number and seat number in the spaces provided
at the top of your exam book. This information is on your ticket.
Pause 15 seconds and then say:
Level One and Level Two candidates only: Break the seal on your exam book and remove
the first page, which is your answer sheet. Close your book.
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
ANNOUNCEMENTS

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

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Pause 45 seconds and then say:
Level three candidates: continue to follow along on the front cover.
A glossary of command words used in this exam is located below the candidate pledge. Command
words are used in essay questions to provide direction on how to answer.
Each essay question consists of one or more parts (A, B, etc.). Instructions in bold print
immediately following the question direct you to the designated answer page for each question
part.
Answers written on answer pages designated for other question parts, question pages, or pages
marked “This Page Intentionally Left Blank” are not graded. You are permitted to make marks and
notes on the question pages and pages marked “This Page Intentionally Left Blank”.

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

Keep your books closed. The timed portion will begin soon.
Pause until 9:00 AM and then say:
Manage your time carefully. You have three hours to complete this session. You cannot leave the
exam until you are dismissed. The time is __________. You may now begin.
At 11:30 AM or 30 minutes prior to the end of the session, say to candidates:
Thirty minutes remain. You cannot leave the exam until you are dismissed.

ANNOUNCEMENTS
At 11:45 AM or 15 minutes prior to the end of the session, say to candidates:
Fifteen minutes remain. This is your final time check. You cannot leave the exam until you are dismissed.
At 12:00 PM or three hours after the start of the session, say to candidates:
Stop writing NOW. If you are still writing, you are in violation of CFA Institute testing rules. Put
your writing instrument down, close your book, and remain seated.
Pause 5 seconds, then read the following:

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

Please remain seated until you are dismissed. Take your admission ticket and belongings with you.
Remember to check in for the afternoon session beginning at one o’clock. You are now dismissed.
(If the exams began more than 15 minutes late, remember that you must alter the return time for the
candidates in the sentence above to accommodate the full two-hour lunch break.)

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 AFTERNOON ANNOUNCEMENTS
(for starting and ending the afternoon session)
Instructions for the reader are printed below in bold. The verbal announcements to candidates
follow in the boxes. The afternoon announcements will take approximately nine minutes.
yy Read only the words in the boxes to candidates.
yy Read the announcements in English exactly as written.
yy Read slowly and clearly to avoid distortions and/or echoes in the testing room.
Prior to starting the announcements, say:

Please return to your seats now. The instructions will begin shortly.
Ensure all candidates are checked in and seated before reading the announcements.
At 1:49 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 1:51 PM. Say to candidates:

The CFA Institute Code of Ethics and Standards of Professional Conduct apply during this exam.
ANNOUNCEMENTS

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, one 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 20 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.

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Pause 20 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 20 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 30 seconds and then say:
Read, sign, and date the candidate pledge.
Pause 60 seconds and then say:

ANNOUNCEMENTS
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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 At 5:00 PM or three hours after the start of the session, say to candidates:
Stop writing NOW. If you are still writing, you are in violation of CFA Institute testing rules. Put
your writing instrument down, close your book, and remain seated.
Pause 10 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.
ANNOUNCEMENTS

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 PROCTORS
All proctors are required to attend an in-person training session to work on exam day. After exam
day you may be contacted by CFA Institute and required to supply additional information regarding a
candidate’s alleged misconduct or other situations at your test center.

PRIOR TO EXAM DAY Before attending the mandatory proctor training session:
yy Confirm you are available to work on exam day.
yy Read and understand this Procedures Manual.
yy Read and understand the checklist your supervisor provided regarding your
assignment.
During proctor training:
yy Make sure you understand the testing policies and your responsibilities. 
yy Provide your complete contact information to your exam supervisor.
yy Find out when and where to report on exam day.
yy Obtain your designated supervisor’s emergency contact information.
yy Read and complete the Proctor Responsibilities statement.
yy Direct any unanswered questions to your supervisor immediately.

DRESS CODE— Required:

TESTING yy Soft-soled shoes (to reduce noise distractions to candidates).
PERSONNEL
yy Audible alarms and/or timers turned off on wristwatches.
yy Modest-length skirts or dresses, pants, shirts with sleeves, jackets or
sweaters.
yy Vests issued by CFA Institute, distributed on exam day.
Prohibited:
yy Jewelry that makes noise.

PROCTORS
yy Strong cologne or perfume.
yy Sandals, hard-soled or high-heel shoes.
yy T-shirts, shorts, jeans, or athletic attire. Note: Athletic shoes are permitted.

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

Personal Food, drink, all electronic devices (such as mobile phones,

Belongings— computers, tablets, etc.), handbags, and other personal
Proctor 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.

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 Time Remaining In rooms where there are no clocks, or clocks are not visible to all candidates,
Signs 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
printed signs provided by the exam supervisor.

Less than 3 hours remain

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

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

Admitting At the entrance to the testing room:

Candidates
yy Ensure each candidate has one current admission ticket; 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 17).
yy Ensure candidates have a passport for check-in, but do not check details of
passports at the entrance to the testing room.
PROCTORS

yy Remind candidates to place mobile devices and other prohibited items in

the personal belongings area.
yy 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.

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

A candidate who does not sit for the AM session is not permitted to sit for the
PM session.

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 Check-In Process Checklist
Complete the following tasks for every candidate for both exam sessions. Refer questions to your
designated supervisor.

‰‰ Inspect the passport. It MUST:

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

‰‰ Look through the pages of the passport quickly to ensure there are no hidden papers or notes.
If a candidate presents ID other than a valid international travel passport, ask the candidate if he can
retrieve the required ID and return within 30 minutes of the start of the timed portion of the session.
If so, allow him to leave immediately. If they are unable to retrieve a valid ID, refer to the procedures on
page 20.

‰‰ Inspect the candidate’s admission ticket

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

‰‰ Locate the candidate’s CFA Institute ID number on the roster

yy Write the candidate’s pre-assigned seat number on the ticket in the space provided
yy Verify the name on the ticket matches the name on the roster

PROCTORS
yy Mark the roster to record attendance

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

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

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

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 14
 Closing the Doors Warn candidates outside the testing room of the time the doors will close.
to the Testing
If an event or situation is causing a significant delay in candidate arrival,
Room
contact Supervisor Support before closing the doors.
Once the doors are closed, candidates outside the testing room must not be
allowed to enter until the Announcements are finished and the timed portion
of the exam has begun. In venues where the toilets are located outside of the
testing room, this may include candidates who have checked in but are taking
a toilet break. No additional testing time is allowed for candidates who are
admitted to the testing room after the exam has started.

Candidates who arrive more than 30 minutes after the start of the session are
not permitted to test and must not be allowed to enter the testing room. 

Timing the Exams Use an official timepiece such as a digital watch, timer, or stopwatch to time
the exam. Do not begin the exams before 9:00 AM and 2:00 PM.
Once “you may now begin” is announced, time each session for precisely three
hours (180 minutes).
Note: Candidates who have been approved for the disability accommodation
of extended testing time will have different start and end times. Time their
exams according to the times stated on their Accommodations Reports.

Late Starts yy If the exam begins late by 15 minutes or less:

»» Ensure candidates receive the full three hours of testing time.
»» Do not adjust the lunch break.
¾¾ Example: If the morning session begins at 9:10 AM, it must end
at 12:10 PM and the afternoon session will begin as scheduled at
2:00 PM.
»» Complete an Incident Report.
PROCTORS

»» The new start time will determine when the late candidate arrival
policy applies.
yy If the exam begins late by more than 15 minutes:
»» Call Supervisor Support immediately.
»» Ensure candidates receive the full three hours of testing time.
»» Adjust the lunch break to ensure candidates receive the full two hours.
»» Announce the new afternoon start time at the conclusion of the
morning session.
¾¾ Example: If the morning session begins at 9:18 AM, it must end at
12:18 PM; the afternoon session will begin at 2:18 PM, after a full
two-hour lunch break, and will end at 5:18 PM.
»» Complete an Incident Report.
»» The new start time will determine when the late candidate arrival
policy applies.

SUPERVISOR SUPPORT PHONE

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Late Arrivals If the candidate arrives within 30 minutes of the start of the
timed portion of the session:
yy Allow the candidate to test.
yy Inform the late arrival no additional time is granted.
yy Advise the candidate to read the instructions on the back of the exam book.
Do not read the Announcements for late arrivals.
yy 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:
yy Immediately call Supervisor Support for guidance.
yy If Supervisor Support determines the candidate should be turned away, he
cannot sit for either exam session.

PROCTORS

SUPERVISOR SUPPORT PHONE

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 Admission Ticket Candidates are instructed to print their tickets from the CFA Institute website.
Tickets may vary slightly in appearance because of differences in internet
browsers.

If a candidate displays his ticket on his mobile device and does not have a
printed copy, 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 yy Your designated supervisor must

the candidate does not have a ticket call Supervisor Support
yy Complete and issue a blank ticket
with the information provided by
Supervisor Support

Displays an incorrect test date or test yy Your designated supervisor must

center call Supervisor Support
yy 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., yy Confiscate the ticket

numbers, letters, words, formulas) yy Complete and issue a blank ticket
yy 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
PROCTORS

Has marks such as drawing, yy These marks are not considered

highlighting, underlining, stray
marks, pencil dots, stains, or small
holes or rips in the paper, found at
check-in or during the exam
“writing on the ticket”
yy Do not complete a Violation
Report
yy Do not issue a blank ticket

SUPERVISOR SUPPORT PHONE

17 +1 (434) 951-5571
Identification (ID) A valid international travel passport must be presented by each candidate at
check-in for the AM session AND the PM session to sit for the exam.

Valid for the CFA Exam NOT Valid for the CFA Exam

The passport must: Invalid forms of ID include, but are not limited to,
the following:
yy Be a current (not expired) international travel
passport. yy Internal/regional passport
yy Be machine readable: contain two lines of text as yy National identification card
letters, numbers and chevrons (<<<<<) at the yy Passport card
bottom of the data page of the passport (the page
containing the candidate’s photo and personal yy Driver’s license
information). yy Photocopy of the passport, including a notarized
yy Contain the following information exactly as or certified copy
shown on the ticket: yy Clipped, hole punched, or marked “Cancelled”
»» Candidate’s name
»» Passport number (last four characters)
»» Expiration date
yy Be an original document.
yy Include a recognizable photograph of the
candidate on the passport data page.

Before denying any candidate admittance to the exam, follow the ID procedure on
page 20.

Confirm the Photo Matches the Candidate Presenting the Passport

yy Make eye contact with the candidate.
yy 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

PROCTORS
Support, if necessary, and notify CFA Institute personnel onsite.

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:
yy Lamination has been removed or reattached
yy Corners or edges don’t match up
yy Air bubbles or bumps on the surface 
yy 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 CFA Institute personnel onsite.

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 18
 Name Variations
The following name variations are acceptable and do not need to be reported
to Supervisor Support:

Name on
Name on Passport Acceptable Variation
Admission Ticket

Names may be listed in a different

Doe Maria Jane Maria Jane Doe
order.

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

The passport may contain more names

than the candidate’s admission ticket;
Maria Jane Smith Doe Maria Jane Doe this is acceptable. However, ALL of the
names shown on the admission ticket
must be displayed on the passport.

Suffixes such as “Sr.”, “Jr.”, “III”, etc.

John David Doe, Jr. John David Doe are not considered part of the name
and are not required to match.

If the Surname or Given Name(s) field

Harshan (no surname on a candidate’s passport is blank, this
Harshan .
shown) should be noted as a period (“.”) on
the candidate’s ticket.

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

ID procedures are detailed on page 20.

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).
PROCTORS

Example: 4 May 2023

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 4/5/2023 while the ticket shows 4 May 2023.

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.

SUPERVISOR SUPPORT PHONE

19 +1 (434) 951-5571
ID Issues
If a Candidate…
Presents an international travel passport; however,
yy the passport number (last four characters)
and/or date of expiration do not match the
information printed on the admission ticket,
AND
yy the passport is otherwise valid
Presents invalid ID at check-in AND
yy 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
Presents one of the following invalid IDs at
check-in (and is unable to retrieve a valid ID)
yy Photocopy
yy Expired passport
yy Driver’s license, national ID card, or passport
card
yy Hole-punched, clipped, or marked “cancelled”
yy No passport and no alternate ID presented
Presents ID that requires a phone call to
Supervisor Support AND is determined invalid
Presents ID that requires a phone call to
Supervisor Support AND is determined
questionable
Presents ID that is damaged beyond normal wear yy Notify your designated supervisor and CFA Institute personnel.
and tear, or the photo is unrecognizable yy Call Supervisor Support.
Is found to have one of the following invalid IDs
at the second check
yy Photocopy
yy Expired passport
yy Driver’s license, national ID card, or passport
card
yy Hole-punched, clipped, or marked “cancelled”
yy No passport and no alternate ID presented
SUPERVISOR SUPPORT PHONE
+1 (434) 951-5571
Required Action
yy Allow the candidate to sit for the exam.
yy Enter the candidate’s name and CFA Institute ID number on the
Passport Number/Expiration Date Mismatch Log.
yy A photocopy of the candidate’s passport or admission
ticket is not necessary.
yy Complete an ID Letter. Issue the letter to the candidate at the
end of the session.
yy Record the candidate’s information only once; do not repeat for
the PM session.
yy No call to Supervisor Support is needed.
yy Allow the candidate to leave immediately.
yy No call to Supervisor Support is needed.
yy Do not allow the candidate to sit for the exam.
yy Photocopy the ID capturing all relevant data (including cover).
yy Complete an ID Report (attach the photocopy of the ID).
yy Complete and issue an ID letter to the candidate.
yy No call to Supervisor Support is needed.
Call Supervisor Support for all other types of invalid IDs.
yy Do not allow the candidate to sit for the exam.
yy Photocopy the ID capturing all relevant data (including cover).
yy Complete an ID Report (attach the photocopy of the ID).
yy Complete and issue an ID letter to the candidate.
yy Allow the candidate to sit for the exam.
yy Photocopy the ID capturing all relevant data (including cover).
yy Complete an ID Report (attach the photocopy of the ID).
PROCTORS
yy Complete and issue an ID Letter to the candidate.
yy If found during the second ID check, follow the same process
and issue ID Letter at the end of the session.
yy Report questionable ID only once; do not repeat for the PM
session.
yy Allow candidate to complete the current session.
yy Photocopy the ID capturing all relevant data (including cover).
yy Complete an ID Report (attach the photocopy of the ID).
yy Complete an ID Letter. Issue the letter to the candidate at the
end of the session.
yy Inform candidate at the end of the session he will not be
admitted to the PM session with the invalid ID.
yy No call to Supervisor Support is needed.
Call Supervisor Support for all other types of invalid IDs.
20
 Personal Inspect candidate belongings to ensure prohibited items do not stay in the
Belongings— testing room. If a prohibited item is found at check-in, the candidate must
Candidate place the item in the personal belongings area or dispose of the item.

You may also 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. A Personal
Belongings Flowchart can be found on the Supervisor Resources website for
your reference.

Prohibited Items – VIOLATION REPORT REQUIRED (if found during the timed portion)
Item found Required action
yy Study materials such as notes, scratch yy Confiscate the item(s).
paper, textbooks, or calculator manuals yy Complete a Violation Report.
yy Attach item(s) to the report.

yy Mobile phones, smart watches, or yy Confiscate the item.

wearable technology such as fitness yy No call to Supervisor Support is needed (unless found in use).
devices
yy Complete a Violation Report.
yy Follow the guidelines on page 28.

yy Cameras, computers, tablets, or any yy Confiscate the item and place in the personal belongings
other remote communication or area.
photographic devices yy Complete a Violation Report.
yy No call to Supervisor Support is needed.

yy Bags of any kind, including transparent yy Confiscate the item and place in the personal belongings
bags, handbags, or pencil cases area.
yy Knives of any type, including box cutters yy Complete a Violation Report.
and knives used as pencil sharpeners
PROCTORS

yy Other prohibited items

Prohibited Items – NO REPORT REQUIRED

Item found Required action
yy Food or drinks yy Inspect all items for handwritten notes.
yy If none are discovered, discard or confiscate item(s) and
place in personal belongings area.
yy If notes are found during the timed portion, complete a
Violation Report.
yy Attach notes to the report.

yy Passport covers yy Inspect all items for handwritten notes.

yy Highlighters, correction fluid, correction yy If none are discovered, instruct candidate to place under desk.
tape, or rulers yy If notes are found during the timed portion, complete a
Violation Report.
yy Attach notes to the report.

SUPERVISOR SUPPORT PHONE

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Must be kept on the desk
Permitted Items
yy One exam admission ticket
yy Valid international travel passport
yy Approved calculators
yy Approved writing instruments

May be kept on the desk, if yy Loose calculator batteries (no packaging)

needed yy Screwdriver for battery replacement
yy Calculator cases
yy Keystroke cards
yy Earplugs
yy Erasers (paper holder or cover must be discarded)
yy Eyeglasses, but not the eyeglasses case
yy Manual pencil sharpeners (no knives)
yy Wristwatches (analog and digital) with alarms and timers
silenced; however, all smart watches are prohibited

Must be kept under chair or in yy Wallet (money purse)

pockets when not in use
yy Medicine, tissues, and other necessary medical or personal items
(such as a medical face mask)
yy Gum, hard candy (boiled sweets), cough drops
yy Eyeglasses case
yy Calculator pouch
yy Hat—may be worn during the exam
yy Outerwear (coats, sweaters, etc.)—may be worn during the exam
yy Keys

Calculators Candidates may use only approved calculator models, as shown in the
photographs on pages 43–46 of this manual. Inspect each candidate’s
calculator(s) at the AM and PM session check-in.

PROCTORS
yy Candidates may bring multiple approved calculators.
yy All calculators must remain on the desk in full view throughout the exam.
yy 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 28 for an unauthorized calculator found during the second check.

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 22
 Roster Candidates are listed on the roster in CFA Institute ID number order by room/
section. Pre-assigned seat numbers are printed on the roster. See the sample
roster on page 48.

During the check-in process, you must:

yy 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.
yy 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 19), your designated supervisor must contact Supervisor Support.
yy Record the pre-assigned seat number on the ticket. Mark the appropriate
box on the ticket to record attendance.
yy 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.
yy Record roster additions in the designated space on the last page, not on the
line next to the assigned seat number.
yy 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.
PROCTORS

Comfort Candidates may request a comfort accommodation that does not require extra
Accommodations time or the use of a testing aid. Examples include:
yy An extra chair to elevate an injured foot
yy A seat near the door for someone who must frequently use the toilet
yy The use of a pillow for back support (be sure to inspect)
yy 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.

SUPERVISOR SUPPORT PHONE

23 +1 (434) 951-5571
 If you move a candidate to a new seat as a comfort accommodation, note this
on the Seating Chart and roster, and complete an Incident Report.

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

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

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

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

Damaged or Damaged materials are exam books or answer sheets that have been torn
Defective Exam or marred by the candidate.
Materials
Defective materials are exam books or answer sheets that have printing
errors (e.g., ink spots from the printer, extra/missing page, etc.). 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 tables on pages 25–26 instruct you on handling
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

PROCTORS
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 following procedures outline what to do if an answer document (answer
sheet or essay exam book) is damaged or defective.

LEVEL III
MORNING SESSION ESSAY
Chartered Financial Analyst® Examination
DO NOT OPEN OR WRITE ON THIS EXAM BOOK UNTIL INSTRUCTED TO DO SO.

TESTING RULES

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

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

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

Cheating is a very serious offense. To avoid the appearance of cheating:

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

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

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

THIS BOOK IS THE PROPERTY OF:

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

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 24
 Damaged or Defective Answer Sheets/Essay Exam Books (Answer Documents)
If a Candidate…
Requests a new answer sheet
due to stray pencil marks
Reports a damaged or
defective answer sheet
BEFORE the timed portion of
the exam begins
Reports a damaged answer
sheet AFTER the timed
portion of the exam has begun
Reports a defective answer
sheet AFTER the timed
portion of the exam has begun
PROCTORS
Insists on transferring answers yy Inform the candidate no extra time is allowed.
to a new answer sheet
(because of defective/damaged
answer sheet OR use of wrong
writing instrument)
25
Required Action
yy Advise the candidate to erase the marks.
yy A new answer sheet is not necessary.
yy Quickly provide a new answer sheet.
yy Complete an Incident Report being sure to check the “Damaged before
timed portion of the exam started” box. Return the Incident Report with
other administrative paperwork.
yy Return the damaged/defective answer sheet with other used answer
documents.
yy Attach a sticky note to the unused exam book stating “used answer sheet
only.” Return the opened book along with other used exam books.
yy Allow the candidate to continue testing with the original answer sheet
until you quickly provide an additional answer sheet.
yy Instruct the candidate to complete the information at the top and begin
answering questions on the new answer sheet. 
yy DO NOT instruct the candidate to transfer previous answers to the new
answer sheet.
yy Assure the candidate both answer sheets will be graded.
yy Inform the candidate no extra time is allowed.
yy Complete an Incident Report indicating candidate used two answer
sheets. Return the Incident Report with other administrative paperwork.
yy Return both answer sheets with the other answer sheets.
yy Attach a sticky note to the unused exam book stating “used answer sheet
only.” Return the opened book along with other used exam books.
yy Allow the candidate to continue testing with the original answer sheet.
yy Contact Supervisor Support for further instructions.
yy Instruct the candidate to complete the information at the top of the new
answer sheet.
yy Attach a sticky note to the NEW answer sheet indicating it is the final
version to be graded.
yy Attach a sticky note to the original answer sheet indicating it should NOT
be graded.
yy Position the sticky note over the candidate pledge portion of the sheet.
yy Complete an Incident Report indicating candidate transferred answers
to a new sheet. Return the Incident Report with other administrative
paperwork.
yy Return both answer sheets with other answer sheets.
SUPERVISOR SUPPORT PHONE
+1 (434) 951-5571
Damaged or Defective Exam Books
If a Candidate…
Reports a broken seal on
the exam book
Reports a damaged or
defective exam book
BEFORE the timed portion of
the exam has begun
Reports a damaged exam
book AFTER the timed
portion of the exam has begun yy The candidate may keep both exam books until the end of the session.
Reports a defective exam
book AFTER the timed
portion of the exam has begun yy The candidate may keep both exam books until the end of the session.
SUPERVISOR SUPPORT PHONE
+1 (434) 951-5571
Required Action
yy Confirm pages are present and in order.
yy Allow the candidate to test with the book. Do not replace a book due to
a broken seal.
yy Do not complete an Incident Report.
yy For a damaged book (torn or marred by the candidate), quickly provide a
new exam book.
yy For a defective book (printing error), call Supervisor Support.
yy Complete an Incident Report. Return the Incident Report with other
administrative paperwork.
yy Attach a sticky note to the damaged/defective exam book stating
“damaged—not used.”
yy Return the damaged/defective exam book with other used exam books.
yy Allow the candidate to continue testing with the original exam book until
you quickly provide a new book.
yy Inform the candidate no extra time is allowed.
yy Complete an Incident Report. Return the Incident Report with other
administrative paperwork.
yy Attach a sticky note to the damaged exam book stating “damaged.”
yy Return both exam books with other used exam books.
yy Allow the candidate to continue testing with the original exam book
while you quickly provide a new book.
yy Inform the candidate no extra time is allowed.
PROCTORS
yy Contact Supervisor Support.
yy Complete an Incident Report. Return the Incident Report with other
administrative paperwork.
yy Attach a sticky note to the defective exam book stating “defective.”
yy Return both exam books with other used exam books.
26
 Seating Chart Thirty minutes after the timed portion of the exam has started:
yy Record candidates who are PRESENT by entering their CFA Institute ID
numbers under their assigned seat numbers on the Seating Chart.
yy 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.
yy If a seat is left unassigned on the roster, leave the seat blank on the Seating
Chart. 
yy 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 31.

MONITORING Actively monitor candidates at all times. Circulate throughout the room or
CANDIDATES 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.

Monitoring All proctors in a section should work together to monitor candidates. At least
Strategies 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,
circulating 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:

PROCTORS

yy Signs of cheating, such as hidden notes, copying from another candidate’s

paper, or electronic means of cheating
yy Prohibited items
yy Writing on calculators, erasers, pencils, or admission ticket, or in passport
yy 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:

yy Moving excessively
yy Leaning toward another candidate
yy Looking around the room
yy Taking frequent toilet or water breaks
yy Wandering while taking a toilet or water break

SUPERVISOR SUPPORT PHONE

27 +1 (434) 951-5571
Violations When you observe or suspect misconduct, immediately complete a Violation
Report while the facts are fresh in your mind. If more than one proctor
witnesses the violation, each proctor must complete a separate, independent
report. See the example on page 55.
If a Candidate…
Opens the exam book early
Has a mobile phone, smart
watch, or wearable technology
such as fitness device—found
during or after the timed
portion
Has an invalid calculator—
found at second check
Has a ticket with writing on
front or back
Has notes or scratch paper
(including extra admission
tickets)
Leaves the exam before the end
of the session
Writes after time was called
SUPERVISOR SUPPORT PHONE
+1 (434) 951-5571
Required Action
yy Complete a Violation Report and instruct the candidate to close book
yy 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). 
yy If the candidate is NOT seen using the device, follow these steps:
»» Complete a Violation Report.
»» No call to Supervisor Support is needed.
»» Confiscate the item. If the device is locked or turned off, wait until
the end of the session to 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.
»» At the end of the session, return the device to the candidate after
documenting and deleting any suspicious content.
»» Attach any photocopies of content to the Violation Report.
yy Allow the candidate to continue testing with the invalid calculator for
the rest of the current session.
yy At the end of the session, confiscate and photocopy the faceplate of the
PROCTORS
invalid calculator.
yy Complete a Violation Report.
yy Attach the photocopy of the invalid calculator to the Violation Report.
yy If found during the AM session, inform the candidate he is not
permitted to use the invalid calculator for the PM session.
yy Follow the procedure on page 17.
yy Confiscate the notes/scratch paper.
yy Complete a Violation Report.
yy Attach the notes/scratch paper to the Violation Report.
yy Complete a Violation Report.
yy Complete a Violation Report.
28
 Suspected If you observe suspicious behavior:
Cheating yy Immediately notify your designated supervisor. The supervisor, CFA
Institute personnel (if present), 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.
yy Verify the candidate’s identity using two or more of the following:
candidate’s passport, admission ticket, roster, and/or Seating Chart.
yy Monitor the candidate throughout the day.
yy 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
PROCTORS

details and are vital to the investigation process.

Toilet and Water Candidates may take brief toilet and water breaks during the timed portion of
Breaks 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.
yy Collect the passport, exam book, and answer sheet and keep these
materials in the testing room.
yy Ensure candidates take their tickets with them.

SUPERVISOR SUPPORT PHONE

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 Toilet and water breaks are not permitted while:
yy Announcements are being read
yy Exam books are being distributed 
yy Exam materials are being reconciled and inspected following the conclusion
of each session

Writing Candidates must bring their own writing instruments on exam day.
Instruments
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,
yy Do not provide a writing instrument. During the timed portion of the exam
the candidate is not permitted to borrow one from another candidate.
yy Inform the candidate he may choose whether or not to transfer the answers
to a new answer document.
yy 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 25 for complete instructions.
yy 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. Advise the candidate to contact CFA Institute

PROCTORS
if there are questions or concerns.

Second Check of You must conduct a second check of passports and calculators during the
Passports and timed portion of each session of the exam.
Calculators yy One proctor should check both the passport and calculator at the same
time.
yy 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 20. If an unauthorized calculator is found during the second check,
follow the procedures on page 28.

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 30
 Incidents Use an Incident Report to document situations that do not involve testing
policy violations. Examples of incidents include, but are not limited to: 

yy Disturbances in the testing room because of noise, lighting, or temperature

yy Seat changes
yy Damaged/defective exam materials
yy Answer document that is missing both the CFA Institute ID number and the
candidate name
yy Conflicts of interest not previously disclosed

Complete one Incident Report form per room/section. See the example on
page 54.

Seat Changes yy 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.
yy Indicate on the roster and the Seating Chart that the candidate was moved.

Early Departures Candidates are not permitted to leave the exam until they are dismissed at the
Not Permitted 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.
PROCTORS

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

Informing In certain situations, such as discovery of an invalid ID/unauthorized

Candidates of calculator during the exam or early departure from the exam, you should
Violation Reports 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.

SUPERVISOR SUPPORT PHONE

31 +1 (434) 951-5571
COLLECTING EXAM Complete all of the following steps for each session of the exam:
MATERIALS
yy 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.
yy 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.
»» After answer sheets are gathered, collect the used exam books in seat
number order.
»» 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.
»» Reconcile and inspect the exam materials at the proctor table. Keep
exam books and answer sheets separate.
yy Collect admission tickets (PM session only).
»» Inspect tickets to ensure candidate has not written on the ticket. If
writing is found, complete a Violation Report.

Reconcile and Candidates must remain seated until you have done the following:
Inspect Exam
Materials yy 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.

PROCTORS
»» Use the Packing Form to account for all materials.
yy Inspect: Hold the book by the spine and quickly flip through the pages to
ensure:
»» It is an authentic 2019 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.

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 32
 After you have completed reconciliation and inspection, dismiss candidates. If
there are multiple sections in the room, reconciliation and inspection must be
complete for all sections before candidates may be dismissed.

Returning Organize all materials in seat number order.

Materials to the yy Keep exam books and answer sheets separate.
Book Room
yy Ensure there is an answer sheet for each used exam book (with the
exception of the Level III morning essay exam).
yy 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.
yy 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.
yy Separate exam materials into the following categories and return them to
the book room:
AM session:
¾¾ Answer sheets
¾¾ Used Level III essay exam books
¾¾ Used exam books
¾¾ Unused exam books
¾¾ Completed Violation Reports and Suspected Cheating Reports
Note: Keep ID Reports, Incident Reports, Passport Data Mismatch Log, Packing
Form, Candidate Rosters, and Seating Chart in the testing room for use during
the PM session.

PM session:
PROCTORS

¾¾ Answer sheets
¾¾ Used exam books
¾¾ Unused exam books
¾¾ Completed Incident Reports, Violation Reports, Suspected Cheating
Reports, Passport Data Mismatch Log, and ID Reports
¾¾ Candidate Rosters (including any blank pages or pages for rooms/
sections where no candidates were present)
¾¾ Admission tickets
¾¾ Seating Chart
¾¾ 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.

SUPERVISOR SUPPORT PHONE

33 +1 (434) 951-5571
 BOOK ROOM PROCTORS
The book room is where exam materials are securely stored, distributed to proctors, returned,
counted, and packed for shipping back to CFA Institute. Exam security is of utmost importance and
the book room must be attended at all times by a security guard and/or testing personnel.

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

BOOK ROOM Exam Day Morning—before the AM session

PROCTOR yy If there is a Religious Alternate Date (RAD) exam at your test center, the
RESPONSIBILITIES 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.
yy Open the cartons of AM session books. Do not open the PM session cartons
at this time.
yy If any candidates have been approved for special print exams, the exams
will be packed in cartons labeled “Special Print Exam.”
yy Confirm the number of books in each carton matches the quantity shown
on the label.
»» Notify your designated supervisor if they do not match.
yy 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.

AM Brown
Level I
PM Green
AM Blue
Level II
PM Orange
AM Purple
Level III
PM Gray

»» Distribute special print exams to the appropriate proctors, if applicable.

yy Record the number of books distributed to each room/section on the Exam
Book Log form.
BOOK ROOM
PROCTORS

At the conclusion of the AM session

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

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 34
 yy Record the number of exam books collected on the book log (must match
the number you distributed).
yy Collect forms:
»» Violation Reports
»» Suspected Cheating Reports

Before the PM session

yy Open the cartons of PM session exam books.
yy 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.
yy Organize the books for each room/section.
»» Ensure proctors pick up the correct number of PM session exam books
(based on roster). Record the number of books distributed to each
room/section on the Exam Book Log.

During the PM session

yy Pack the AM session materials for return shipment. Refer to the instructions
on pages 36–42.

At the conclusion of the PM session

yy Collect and count exam materials returned by room/section proctors:
»» Answer sheets
»» Used exam books
»» Unused exam books
yy Record the number of exam books collected on the Exam Book Log (must
match the number you distributed).
yy 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
BOOK ROOM
PROCTORS

»» ID Reports
»» Passport Number/Expiration Date Mismatch Logs
yy Sort and pack all materials for return shipment. Refer to the following
instructions.

SUPERVISOR SUPPORT PHONE

35 +1 (434) 951-5571
PACKING Use only the original green cartons and the FedEx waybill CFA Institute
MATERIALS FOR provided.
RETURN SHIPMENT
yy Remove old waybills and shipping labels from the cartons. 
yy Inspect the cartons to ensure they are intact and strong enough for return
shipment.

What to pack:

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

What NOT to pack:

yy Vests, Procedures Manuals, shrink wrap, unused forms, or signage

yy Unclaimed candidate belongings—leave them with the venue authorities

STEP 1. SORT all materials into the following groups:

Group 1 All paperwork

yy Original Candidate Rosters (all pages)
yy Seating Charts
yy Exam Book Log
yy Proctor Responsibilities statements
yy Proctor Training Roster
yy Packing Forms
yy All reports:
»» Incident Reports
»» Violation Reports
»» Suspected Cheating Reports
»» Passport Number/Expiration Date Mismatch Logs
»» ID Reports
yy Admission tickets

Group 2 Used Level III essay exam books

(Not applicable in December)

Group 3 Used answer sheets

Group 4 Used exam books

BOOK ROOM
PROCTORS

Group 5 Unused exam books

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 36
 STEP 2. COMPLETE the form printed on the top flap as you pack each carton.

yy Use a dark marker to complete the label.

yy Clearly indicate the contents of each carton. See the following illustration.
» Test center code
» Group(s)
» Room/section number(s)
» Level(s)
» Session(s)
yy Ensure the flap with this information is visible when sealing the cartons.

Entering Information on the Top Flap of Each Carton

Left side

Enter the test center code

CENTER CODE
Enter the sequential number Enter the total number
(1, 2, 3, etc.) for each carton of cartons
CARTON OF

1 2 3
Circle the group number(s)
4 5 of materials in the carton
(circle appropriate group)

Right side

Enter the room(s)/section(s)

Room(s)/Section(s): in the carton

Circle all that apply:

Circle the level(s) of

Level I Level II Level III
exam materials in the carton
Circle the session(s) of
AM PM
exam materials in the carton
BOOK ROOM
PROCTORS

SUPERVISOR SUPPORT PHONE

37 +1 (434) 951-5571
STEP 3. PACK each category separately, as follows:

yy 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.
Administrative Ø Bind tickets by room/section.
Paperwork Ø Organize them room/section order as listed on the rosters.
(Group 1) yy Place the rosters on top of the forms and reports.
yy Pack rosters, forms, and reports in the envelopes labeled for administrative
paperwork (provided by CFA Institute).
yy Pack tickets in the envelopes labeled for tickets (provided by CFA Institute).
yy Circle the “1” printed on the top flap of each carton that contains paperwork.
yy Seal the Group 1 carton(s) last. Include all paperwork for both sessions.

yy Ensure essay exam books are in seat number order by room/section.

yy Place an Exam Material Cover Sheet on top of the stack of essay exam books for
Used Level III each room/section.
Essay Exam yy Bind with a rubber band.
Books yy Pack the stacks of essay exam books in carton in the order the rooms/sections are
(Group 2) listed on the roster.
(Not applicable in yy Circle the “2” printed on the top flap of each carton that contains used essay
December) exam books.
yy In the space provided on the top flap, accurately mark the room/section numbers
for the materials in each carton.

yy Pack AM session and PM session answer sheets separately.

yy Do the following for each session. See the following illustration.
1. Place the answer sheets for each room/section between two cardboard sheets.
Place a completed Exam Material Cover Sheet on top of the stack.
Ø Answer sheets must be in seat number order within each room/section.
Ø Place the answer sheets neatly between the cardboard sheets so they are
not damaged during shipping.
Answer Sheets 2. Bind the stack with a rubber band.
(Group 3)
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.
5. Organize the envelopes in room/section order as listed on the roster.
BOOK ROOM
PROCTORS

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

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 38
 Packing Answer Sheets — AM Session and PM Session

Assemble the Exam Material Cover Sheet,

1 first cardboard sheet, answer sheets, and
final cardboard sheet into a stack.

2 Bind the stack with a rubber band.

Completed Exam
Material Cover Sheet
Insert the stack in the plastic envelope
3 (provided by CFA Institute).

Ensure the Exam Material Cover Sheet

4 shows through the clear plastic side
Cardboard sheet of the envelope. Seal the envelope.

Answer sheets
(in seat number order) Arrange envelopes in the order
5 the rooms are listed on the roster.

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

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

yy Ensure books are in seat number order by room/section.

yy Place an Exam Material Cover Sheet on top of the stack of books for each
room/section.
Used Exam Books yy Bind with a rubber band.
(Group 4) yy Pack the stacks of books in cartons in room/section order as listed on the
roster.
yy Circle the “4” printed on the top flap of each carton containing used
books.

yy Pack in cartons.
Unused Exam Books
(Group 5) yy Circle the “5” printed on the top flap of each carton containing unused
books.

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

yy If the carton isn’t full, the contents may shift during shipment causing the carton to open.
BOOK ROOM
PROCTORS

SUPERVISOR SUPPORT PHONE

39 +1 (434) 951-5571
STEP 5. SECURE the cartons with shipping tape with a tensile strength of 35 lb./inch.

1: Starting at folded edge, 2: Tape across 1 inch from 3, 4, 5: Tape all open edges.
tape down the center. top open edge.

3 1 5

CENTER CODE Room(s)/Section(s):

CARTON OF Circle all that apply:

1 2 3 Level I Level II Level III

4 5 AM PM

(circle appropriate group)

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

yy Enter the sequential number of each carton.

» The carton with the administrative paperwork must be carton #1.
yy Enter the total number of cartons in the shipment.

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

yy Never leave exams in an unsecured location (e.g., unattended in a car, hotel room, etc.).
yy Never drop off the exams at the venue’s front desk or mail/shipping center for FedEx to pick up later.
yy 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).

Can groups be combined?

BOOK ROOM
PROCTORS

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.

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 40
 Packing Exam A candidate with disability accommodations may be approved for extended
Materials for testing time. Be sure to return the AM and PM session exam materials for
Candidates the candidate, including roster, together in the same shipment. Never
Approved for return the AM session materials and the PM session materials in
Extended Testing separate shipments.
Time
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

yy Is finished testing, AND yy Pack the materials along with the

yy His PM session materials are other materials in accordance with the
reconciled in time to be packed instructions in this manual.
with the rest of the materials for
the test center

yy Is NOT finished testing, OR yy Ship the candidate’s materials for

yy His PM session materials are not both sessions (AM and PM) with the
reconciled by the time the rest of Religious Alternate Date (RAD) exams, if
the test center’s exam materials applicable. If there is no RAD exam, CFA
are shipped Institute will provide a separate FedEx
waybill for shipment.
yy If you do not have an original green CFA
Institute carton for the separate shipment,
use a carton of similar size and shape.
yy You must properly secure the exam
materials until you hand them off
to FedEx.

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

Reminder: Be sure that you have removed old FedEx waybills and shipping
labels from the cartons, as old labels can be scanned by FedEx and may result
in delays or mis-routed packages.

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

SUPERVISOR SUPPORT PHONE

41 +1 (434) 951-5571
Damaged Shipping If CFA Institute cartons have been damaged and cannot be used for return
Cartons shipping:

yy Notify Supervisor Support exam materials will be returned in alternate

cartons.
yy Pack all paperwork and answer documents (Groups 1, 2, and 3) in original
green CFA Institute cartons.
yy Use alternate cartons only for used and unused exam books (Groups 4 and
5), if necessary. 
yy If you must use alternate cartons, be sure to use strong cartons that are
comparable to our cartons (of similar size and shape).
yy Pack an appropriate number of books per carton; do not over fill.
yy Fill any empty space with packing paper.
yy Use shipping tape with a tensile strength of 35 lb./inch to secure the
cartons, including the corners.

Create address labels as follows and apply them to each alternate carton.

Alternate Address Label

CENTER CODE: Room(s)/Section(s):

CARTON OF Level I Level II Level III
Group(s): 1 2 3 AM session PM session
4 5

To:
CFA Institute Receiving
1147 River Road
Charlottesville, VA 22901
USA
+1 (434) 951-5214 BOOK ROOM
PROCTORS

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 42
 CALCULATORS
CALCULATORS

Texas Instruments BA II Plus, Version 1

Calculator Faceplate and Keystroke Card

Texas Instruments BA II Plus, Version 2

Calculator Faceplate and Keystroke Card

Texas Instruments BA II Plus, Version 3

Calculator Faceplate and Keystroke Card

SUPERVISOR SUPPORT PHONE

43 +1 (434) 951-5571
 Texas Instruments BA II Plus, Version 4
Calculator Faceplate and Keystroke Card

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

Texas Instruments BA II Plus Professional, Version 2

Calculator Faceplate and Keystroke Card

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 44
 Hewlett Packard 12C
Calculator Faceplate and Keystroke Instructions on Back of Calculator
CALCULATORS

Hewlett Packard 12C Platinum, Version 1

Calculator Faceplate and Keystroke Instructions on Back of Calculator

Hewlett Packard 12C Platinum, Version 2

Calculator Faceplate and Keystroke Instructions on Back of Calculator

SUPERVISOR SUPPORT PHONE

45 +1 (434) 951-5571
 Hewlett Packard 12C Platinum 25th Anniversary Edition
Calculator Faceplate and Keystroke Instructions on Back of Calculator

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

Hewlett Packard 12C Prestige

Calculator Faceplate and Keystroke Instructions on Back of Calculator

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 46
 SAMPLE FORMS
June 2019 CFA® EXAM ADMISSION TICKET
CFA INSTITUTE ID # DATE TEST CENTER CODE

123456 2019 SATURDAY

15 June CHO LEVEL 1

PASSPORT INFORMATION SCHEDULE TEST CENTER

This ticket and your valid Morning Session Convention Center
international travel passport 9am–12pm Report at 8am
are required for both sessions. 4th Avenue and 10th St
SAMPLE FORMS

Break Charlottesville, VA 22902

THE INFORMATION BELOW MUST United States
MATCH YOUR PASSPORT EXACTLY 12pm–1pm
FOR YOU TO TAKE THE EXAM.* Room/Section
Afternoon Session
B
Passport Number (last four characters)
2pm–5pm Report at 1pm
Hall 4
6789
Testing room doors close approximately
Surname 30 minutes prior to the start of each
Doe session. Candidates arriving more than
30 minutes past the exam start time will
Given Name(s) not be admitted. No one is permitted to
John Robert leave the session early.

Passport Expiration Date

12 August 2019 Violation of any testing policies may lead to your
PROCTOR USE ONLY
exam results being voided, forfeiture of your
registration fee, and/or other disciplinary action.
Morning Seat #
You have special instructions for your test center. Afternoon Seat #

DO NOT WRITE ON THIS TICKET. PRINT ON CLEAN, UNUSED PAPER. +1 434 951 5499 • info@cfainstitute.org • www.cfainstitute.org

IMPORTANT REMINDERS
• Bring this ticket and your valid international travel passport with you to the test center. If not, you may not be allowed to take the exam
and will have to forfeit your fees. Passport cards, limited travel documents, internal passports, and passports that are non-machine
readable, clipped, hole-punched, or marked canceled, are not valid forms of identification for the CFA Program. Your name and passport
information MUST MATCH exactly.

• Only authorized calculators are allowed.

• Don’t open your book and start reading exam questions until you are instructed to begin.

• Put your writing instrument down the instant you hear “Stop writing now.”

• Leave your phone, smart watch, or any electronic device at home or in your car.

• Go to our website to view our Testing Policies.

SUPERVISOR SUPPORT PHONE

47 +1 (434) 951-5571
 Page 1 of 10

2019 CFA® EXAM ROSTER

Test Center Code: CHO
Venue Name: Convention Center
Room/Section: 101

Attendance
Candidate Moved to New Seat
Level: 1 Morning Afternoon
Seat CFAI# Candidate Name Present Absent Present Absent (note new room/section/seat)
1 9991235 Caron, Paul Jeremy
2 9991637 Dinesh, Vivamy
3 9991899 Liu, Jianglong

SAMPLE FORMS
4 9992153 Hynes, Jeffrey David
5 9992488 Han, Alanna
6 9992573 Stephens, Kyle Edward
7 9992598 Thomas, Erin Kelly
8 9992604 Diaz, Stefan Alberto
9 9992656 Lai, Yuechin
10 9992682 Reyes, Anita G.
11 9992697 Lazic, Mark
12 9992731 Louizis, Alexandra
13 9992733 Vallejo, Ana
14 9992754 Zarvos, Henry B.
15 9993511 Marina, Vanessa
16 9993992 Sondhi, Divya D.
17 9994447 Nyongesa, Simon
18 9994469 Bai, Matthew R.
19 9994473 Bonilla, Javier
20 9994588 Califano, Chiara
21
22 9996259 Ditman, Oliver
23 9996312 Belfiore, Andrea Maria
24 9996348 Singh, Alankrit
25 9996446 Canatore, Anthony
26 9996486 Wainwright, Mary Samantha
27 9996523 Choudhary, Garima
28 9996545 Freeman, Harrison
29 9996984 Silva, Angelica
30 9997003 Rizou, Andre
31 9997111 Labate, Maria Nicole
32 9997148 Huang, Chia-Yun
33 9997161 Campbell, Raymond C.
34 9997175 Vega, Alejandra
35 9997193 Bennett, Monika
36 9997220 Sun, Lewis
37 9997226 Duarte, Philip M. Moved to seat #41
38 9997248 Park, Jungkun
39 9997345 Berndt, Daniel A.
40 9997362 DeNovo, Michael T.
41
42 9997414 Contreras, Arturo
Additional Candidates in Your Section Morning Afternoon
Seat # CFAI# Candidate Name Level Present Absent Present Absent
21 9997127 Mekius, Nikolas
36 9998193 Stafford, Alicia

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 48
 Seating Chart
15 June 2019
Date: _______________________________ CHO
Center Code: _____________________________________
101
Room/Section: _________________________ Thomas Dale, Stefan Alvino
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.
EXAMPLES
SAMPLE FORMS

Candidate attended both sessions: Candidate attended morning session, but Candidate was absent from both
was absent from the afternoon session: 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

Moved to seat 41 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

SUPERVISOR SUPPORT PHONE

49 +1 (434) 951-5571
 Seating Chart
15 June 2019
Date: _______________________________ CHO
Center Code: _____________________________________
101
Room/Section: _________________________ Thomas Dale, Stefan Alvino
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.
EXAMPLES

SAMPLE FORMS
Candidate attended both sessions: Candidate attended morning session, but Candidate was absent from both
was absent from the afternoon session: 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 Moved to seat 41 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

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 50
 Passport Number / Expiration Date Mismatch Log
2019

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.
SAMPLE FORMS

CHO
Test Center Code: ______________________________________________________________________________
107
Room/Section (complete one form per section/room): __________________________________________________
Susan West, Michael Kelly
Proctors: ______________________________________________________________________________

Instructions
Step 1: Enter the candidate's CFA Institute ID number and name below. Enter each candidate's information only
once (do not repeat for the PM session).
Step 2: Issue an ID letter to the candidate(s).
Step 3: Do not include copies of passports, tickets, ID letters, or other documentation with this form.

CFA Institute ID
Candidate Name
Number

Example:
1234567 Last (Family) Name, First (Given) Name
9995721 O’Toole, Dennis
9996072 Lipton, Aaron
9993790 Prasad, William

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

RETURN IN CARTON 1 OF EXAM MATERIALS.

SUPERVISOR SUPPORT PHONE

51 +1 (434) 951-5571
 ID Report
2019

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 information

CHO
Test Center Code: ___________________________ 9990037
CFA Institute ID Number: _____________________

SAMPLE FORMS
Henry Tsang
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.
Residence Permit/Permanent Resident card
þ 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: þ 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 þ No
4. Provide additional information
Candidate is unable to retrieve passport. Supervisor Support confirmed the Residence Permit is
_____________________________________________________________________________________
invalid. I issued an ID letter to the candidate and did not allow him to sit for the exam.
_____________________________________________________________________________________
5. Provide proctor information
Susan West
Proctor name (printed): _______________________ Susan West
Proctor signature: ___________________________
susanw@proctors.com
Proctor email: _________________________________________ 8:15 AM
Time discovered: _________________
Attach a copy of the ID to this report. Include all relevant pages or sections.

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

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 52
 ID Letter
SAMPLE FORMS

9990037
CFA Institute ID #: ____________________________________________________
Henry Tsang
Candidate Name: _____________________________________________________
107
Section/Room Number: ____________________ 4
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 Required

You will be allowed to sit for the exam today; however, you must update your account immediately by
submitting a completed Identification Information Change Request form and copy of your passport
directly to CFA Institute. Additional information is available online at:
http://www.cfainstitute.org/Forms/name_change.pdf.

£ Questionable
You will be allowed to sit for the exam today; however, if CFA Institute determines that your ID is invalid,
you will be notified and your scores may be voided.

þ Invalid
You are not permitted to sit for the exam.
Note: If an invalid ID is discovered after the start of the exam, it does not imply the ID is valid or that your
scores will ultimately be reported.
Thank you for your attention to this important matter. Please visit our website at www.cfainstitute.org if
you wish to submit a question or comment.

Sincerely,
CFA Institute

SUPERVISOR SUPPORT PHONE

53 +1 (434) 951-5571
 Incident Report
2019

Test center code: CHO

Room/Section: 101

Use this form to report candidates who have moved seats, conflicts of interest, testing room conditions, and damaged/defective exam materials.

NOTE: For violations of testing policy use the Violation Report.

For suspected cheating use the Suspected Cheating Report.
For ID issues use the ID Report or the Passport Data Mismatch Log.

SAMPLE FORMS
Candidate Moved
Report any candidate who sat in a seat other than the one originally assigned on the roster. Complete all fields.
Original New
Original New
CFA Institute ID # Candidate Name Room/ Room/ Reason for Move
Seat # Seat #
Section Section

9997226 Philip M. Duarte 101 37 101 41 Candidate's table was wobbly and he requested to move.

Conflicts of Interest
Report any associations between candidates and proctors not previously disclosed. Complete all fields.
CFA Institute ID # Candidate Name Proctor Name Relationship between Proctor and Candidate

9997362 Michael T. DeNovo Stefan Alvino Coworker

Disturbances
Report any conditions that affected the testing environment. Complete all fields.
Disturbance Description

o Noise þ Temperature
Several candidates complained that the room was cold.
o Lighting o Writing Surface

o Noise o Temperature
o Lighting o Writing Surface

Damaged/Defective Exam Material

Report any exam book or answer sheet damaged by a candidate or with a printing error. Complete all fields.
Did candidate receive Did candidate choose to
CFA Institute ID # Candidate Name Seat # Form # Page # Problem
a new book or sheet? transfer answers?

þ Damaged by candidate o Damaged before timed

o New Book
Answer o Missing pages portion of exam started
þ New Answer Sheet
9997193 Monika Bennett 35 1111 o Yes
Sheet o Extra pages o New Essay Book
þ No
o Ink spot o None
o Unknown

þ Damaged by candidate o Damaged before timed

þ New Book
Front o Missing pages portion of exam started
o New Answer Sheet
9992656 Yuechin Lai 9 2222 o Yes
Cover o Extra pages o New Essay Book
þ No
o Ink spot o None
o Unknown

o Damaged before timed

o Damaged by candidate o New Book
portion of exam started
o Missing pages o New Answer Sheet
o Yes
o Extra pages o New Essay Book
o No
o Ink spot o None
o Unknown

Other (missing ticket, answer sheet is missing both CFA Institute ID number and candidate name, etc.)
AM exam started at 9:06am.

Proctor name (printed): Thomas Dale Proctor signature: Thomas Dale

Proctor email: tdale@proctors.com

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

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 54
 Violation Report
2019
Complete this report for TESTING POLICY VIOLATIONS. Provide as much detail as possible.
(SUSPECTED CHEATING should be documented on the Suspected Cheating Report.)
1. Candidate Information
Samuel McKinley
Candidate Name: __________________________________ 9998505
CFA Institute ID Number: ___________________
CHO
Test Center Code: ___________________________________ Which of the following were used to verify the
SAMPLE FORMS

109 candidate’s identity? Indicate two or more:

Room/Section: ______________________________________
23
¨ Passport ¨ü Seating Chart
Seat Number: ______________________________________
ü Exam Ticket
¨ ¨ Roster
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 Additional instructions Was item used?

¨ ¨ Scratch paper Attach original documents ¨ ¨ Yes ¨ No
¨ ¨ Study materials/notes Attach original documents ¨ ¨ Yes ¨ No
¨ ¨ Mobile phone Provide model/brand ¨ ¨ Yes ¨ No
¨ ¨ Smart watch Provide model/brand ¨ ¨ Yes ¨ No
¨ ¨ Fitness device Provide model/brand ¨ ¨ Yes ¨ No
¨ ¨ Other Provide details: ¨ ¨ Yes ¨ No

3 seconds after the “Stop writing NOW” instruction.

ü Wrote after time was called: Candidate wrote for approx. ____
¨
¨ Left exam early. Reason provided: _____________________________________________________________
¨ Other Violation (provide details): _______________________________________________________________

3. Additional Information
Provide additional details regarding your observations. Include any discussion with candidate and actions taken. Use
the back of this sheet if necessary. ________________________________________________________________
____________________________________________________________________________________________
David Bennett & Thomas Smith
Identify all other personnel who observed the violation: ________________________________________________
____________________________________________________________________________________________

4. Your information. All witnesses must complete a separate report.

Amy Huong
Proctor name (printed): ____________________________ ahuong@proctors.com
Your email: __________________________________
Amy Huong
Proctor signature: ______________________________________________________________________________
5:00 PM
Time the violation occurred: _____________________________ 5:05 PM
Time report was completed: _________________

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

SUPERVISOR SUPPORT PHONE

55 +1 (434) 951-5571
 Suspected Cheating Report
2019
Complete this report for SUSPECTED CHEATING. Provide as much detail as possible.
1. Provide candidate information
William C. Hurley
Candidate Name: _____________________________ 9999892
CFA Institute ID Number: ________________
CHO
Test Center Code: ____________________________ How did you verify the candidate’s identity?

SAMPLE FORMS
Indicate two or more:
109
Room/Section: _______________________________
¨ü Passport ü Seating Chart
¨
16
Seat Number: _______________________________ ¨ Exam Ticket ¨ Roster

2. Document your observations of the candidate’s behavior þ

1. When did you observe the candidate’s behavior? þ AM Session ¨ PM Session

9:30, 10:15, 11:10, for about 10 minutes each time
2. What periods of time did you observe the candidate? _______________________________________
3. Was the candidate looking at another candidate's paper? þ Yes ¨ No (if No, skip to question 4)
a. How many times did the candidate look at another candidate's paper? _______________________
5 times
b. How long (seconds/minutes) were each of the candidate's looks? ___________________________
About 3 seconds each time
c. After looking, what did the candidate do? Did the candidate:
Look at his/her own paper? þ Yes ¨ No Other? _______________________________
Write on his/her own paper? þ Yes ¨ No _______________________________
d. What did the candidate do in order to look at the other candidate’s paper?
Turn his/her head? þ Yes ¨ No Lean his/her body? ¨ Yes þ No
Shift his/her eyes? þ Yes ¨ No Other? ________________________________
e. Whose paper was the candidate looking at? Seat # ________ 15 CFA Institute ID # _____________
9995698
f. What was the distance between the two candidates? ____________________________________
About 3 feet
g. Was the other candidate aware of the candidate looking at his/her paper? ¨ Yes ¨ No þ Uncertain
h. Did you speak to the candidate looking at another candidate's paper? ¨ Yes þ No
4. Identify all persons who observed the candidate's conduct. __________________________________
Maria Jordan (proctor), James Kelly (CFA Institute personnel), Jorge Melo (supervisor)
__________________________________________________________________________________
5. Where were you located in the testing room when observing the candidate's conduct? _____________
The first 2
__________________________________________________________________________________
times I was standing 2 rows in front of him. I was standing behind him the last 2 times I observed him.
6. When you observed the candidate, was he/she:
a. Moving excessively? ¨ Yes þ No c. Looking around the room? þ Yes ¨ No
b. Stretching his/her neck, back, arms? ¨ Yes þ No d. Other? __________________________
7. Provide any additional details regarding your observations, including actions taken by testing personnel.
When I walked behind the 2 candidates, I noticed they were on the
Use an extra sheet if necessary. ________________________________________________________
__________________________________________________________________________________
same page, and the other candidate was marking her answers with a very large A, B, or C in the margins
of her book.
__________________________________________________________________________________
3. Provide your information
All witnesses must complete a separate report.

Pat Moore
Your name (printed): ________________________ moorepat@proctors.com
Your email: _________________________________
Pat Moore
Your signature: _____________________________ 11:20 am
Time report was completed: ____________________

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

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 56
 Packing Form
2019

CHO
Test Center Code: _______________________________________________________________________
101
Room/Section: __________________________________________________________________________
Thomas Dale, Earl Francis
Proctors: ______________________________________________________________________________
SAMPLE FORMS

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

Exam Books TOTAL Exam
Candidates Used Used Unused
LEVEL I Issued From
Present Answer Sheets Exam Books Exam Books
Books Returned
Book Room to Book Room

Morning 44 35 36 36 8 44

Afternoon 44 32 32 33 11 44

Returned to Book Room

Exam Books TOTAL Exam
Candidates Used Used Unused
LEVEL II Issued From
Present Answer Sheets Exam Books Exam Books
Books Returned
Book Room to Book Room

Morning 20 19 19 19 1 20

Afternoon 20 19 19 19 1 20

Returned to Book Room

Exam Books TOTAL Exam
Candidates Used Answer Used Exam Unused Exam
LEVEL III Issued From
Present Sheets Books Books
Books Returned
Book Room to Book Room

Morning 16 16 16 16 0 16

Afternoon 16 15 15 15 1 16

SUPERVISOR SUPPORT PHONE

57 +1 (434) 951-5571
 Exam Book Log

+1 (434) 951-5571
2019

Test Center Code: CHO Page _______ 1

1 of _______
Book Room Proctors: Patricia McAllister, Colin McAllister, William Stickle, Jessica Katz

SUPERVISOR SUPPORT PHONE

Room Information Check-Out Check-In
Room/ Number of Used Unused Total Book s
Section Book s Book s Book s Returned
Session Number Level Proctor Name Issued Proctor Name Returned Returned must equal book s issued Remarks
AM 101 I Thomas Dale 44 Thomas Dale 36 8 44 Damaged answer sheet
PM 101 I Thomas Dale 44 Stefan Alvino 33 11 44 Defective exam book

AM 102 I Eileen Stickle 42 Eileen Stickle 40 2 42

PM 102 I Eileen Stickle 42 Eileen Stickle 38 4 42

AM 103 I Brian Brown 42 John Katz 41 1 42

PM 103 I John Katz 42 John Katz 38 4 42

AM 104 I Michael Kim 41 Michael Kim 34 7 41

PM 104 I Kathleen Delehanty 41 Michael Kim 32 9 41

AM 105 I Karl Stein 42 Bob Delehanty 38 4 42

PM 105 I Karl Stein 42 Karl Stein 38 4 42

AM 106 I Annette Nonez 43 Annette Nonez 42 1 43 Damaged answer sheet

PM 106 I Annette Nonez 43 Annette Nonez 40 3 43

AM 107 I Susan West 42 Susan West 36 6 42

PM 107 I Brian Levy 42 Brian Levy 34 8 42

AM 108 I Rahul Mittal 42 Rahul Mittal 37 5 42 Damaged exam book

PM 108 I Eugene Inman 42 Eugene Inman 34 8 42

AM 109 I Amy Huang 42 Amy Huang 35 7 42

PM 109 I Amy Huang 42 Amy Huang 35 7 42

AM 110 I Pat Moore 42 Pat Moore 40 2 42

PM 110 I Pat Moore 42 Pat Moore 38 4 42

AM Extra I Patricia McAllister 35 Patricia McAllister 0 35 35 Did not leave book room
PM Extra I Patricia McAllister 35 Patricia McAllister 0 35 35 Did not leave book room

58
SAMPLE FORMS
 INDEX
A I
Admission Ticket, p. 17, 47
Admitting Candidates, p. 13
Afternoon Announcements,
p. 9–11
Announcements, p. 6–11
B Informing Candidates of Violation
Book Room Proctor
Responsibilities, p. 34–35
C Late Arrivals, p. 16
Calculators, p. 22, 43–46
Candidate Questions about the
Exam, p. 1
Check-In Process, p. 13–26
Check-In Process Checklist, p. 14
Closing the Doors to the Testing
Room, p. 15
INDEX
Collecting Exam Materials,
p. 32–33
Comfort Accommodations,
p. 23–24
Confrontational Candidates, p. 1
D Passport Number/Expiration Date
Damaged or Defective Exam
Materials, p. 24–26
Damaged Shipping Cartons, p. 42
Distributing Books to Candidates,
p. 24
Dress Code—Testing Personnel,
p. 12
E
Early Departures Not Permitted,
p. 31
Enforcing CFA Institute Policies,
p. 1
Exam Book Log, p. 58
Exam Day Procedures, p. 12–13
59
S
Identification (ID), p. 18–19 Sample Forms, p. 47–58
ID Issues, p. 20 Seat Changes, p. 31
ID Letter, p. 53 Seating Chart, p. 27, 49–50
ID Report, p. 52 Second Check of Passports and
Incident Report, p. 54 Calculators, p. 30
Incidents, p. 31 Shipping, p. 41
Reports, p. 31
Suspected Cheating, p. 29
Suspected Cheating Report, p. 56
L T
Late Starts, p. 15
Time Remaining Signs, p. 13
Timing the Exams, p. 15
Toilet and Water Breaks, p. 29–30
M
Monitoring Candidates, p. 27–31 V
Morning Announcements, p. 6–8 Violation Report, p. 55
Violations, p. 28
P
Packing Exam Materials for W
Candidates Approved for Writing Instruments, p. 30
Extended Testing Time, p. 41 Writing Past Time, p. 31
Packing Form, p. 57
Packing Materials for Return
Shipment, p. 36–42
Mismatch Log, p. 51
Personal Belongings—Candidate,
p. 21–22
Personal Belongings—Proctor,
p. 12
Prior to Exam Day, p. 12
Proctor Responsibilities
Statement, p. 2, 4
R
Reconcile and Inspect Exam
Materials, p. 32–33
Reporting to the Test Center, p. 12
Returning Materials to the Book
Room, p. 33
Roster, p. 23, 48
SUPERVISOR SUPPORT PHONE
+1 (434) 951-5571
 Quick Reference Sheet

Personal Belongings in the Testing Room (Procedures Manual p. 21–22)

Required on Desk Allowed on Desk Under Chair or in Pockets
yy Exam admission ticket yy Calculator batteries yy Wallet
yy Valid international travel passport yy Earplugs/eyeglasses yy Medicine/tissues
yy Approved calculator(s) yy Erasers (no covers or wrappers) yy Gum/hard candy (boiled sweets)
yy Writing instruments yy Pencil sharpener yy Eyeglasses case
yy Wristwatch (no smart watches) yy Keys
yy Calculator case yy Calculator pouch
yy Keystroke card

Candidate Passport (Procedures Manual p. 18–20)

Candidates must present their valid passport during check-in to sit for the exam. Passport must:
yy Be a current (not expired) international travel passport
yy Contain the name, passport number (last four characters), and expiration date as shown on the ticket
yy Be an original document (photocopies are not acceptable)
yy Be machine readable
yy Include a recognizable photograph of the candidate on the data page
Acceptable Name Variation (Procedures Manual p. 19)
yy It is acceptable for names to appear on the ticket and passport in a different order; however, the spelling must match.
yy 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.
yy Suffixes such as “Jr.”, “Sr.”, “III”, etc., are not considered part of the name and are not required to match.
yy If the Surname or Given Name(s) field on a candidate’s passport is blank, this should be noted as a period (“.”)
on the candidate’s ticket.
ID Report Passport Number/Expiration Date Mismatch Log
(Procedures Manual p. 20, 52) (Procedures Manual p. 20, 51)
yy Not an international travel passport yy Passport number (last four characters) and/or date
yy Name does not match ticket of expiration (not expired) do not match ticket
yy Expired
yy Photocopy
yy No recognizable photograph on the data page
yy Damaged (not due to tampering)
yy Not machine readable
yy Clipped, hole punched or marked “Cancelled”

Incident Report Violation Report Suspected Cheating Report

(Procedures Manual p. 31, 54)
Room conditions, defective
materials, e.g.:
yy Testing room is hot, cold, noisy
yy Candidate moved to another seat
yy Torn answer sheet
(Procedures Manual p. 28, 55)
Violations of testing policy, e.g.:
yy Opening exam book early
yy Writing past time
yy Electronic devices in testing
room during the timed portion of
the exam
(Procedures Manual p. 29, 56)
Suspicious behavior or suspected
cheating, e.g.:
yy Looking at another candidate’s
paper
yy Hidden notes

SUPERVISOR SUPPORT PHONE

+1 (434) 951-5571 60
CFA INSTITUTE | CFA EXAM

ONLY THE ITEMS BELOW ARE PERMITTED

IN THE TESTING ROOM
MUST BE KEPT ON THE DESK

One Exam Admission Ticket Valid International Travel Passport Approved Calculators Approved Writing Instruments
CFA EXAM ADMISSION TICKET
®

CFA INSTITUTE ID # DATE TEST CENTER CODE

123456 YEAR DAY

DATE CHO LEVEL 1

PASSPORT INFORMATION SCHEDULE TEST CENTER

This ticket and your valid Morning Session Convention Center
international travel passport 9am–12pm Report at 8am
are required for both sessions. 4th Avenue and 10th St
Break Charlottesville, VA 22902
THE INFORMATION BELOW MUST
12pm–1pm United States
MATCH YOUR PASSPORT EXACTLY
FOR YOU TO TAKE THE EXAM.* Room/Section
Afternoon Session
Hall 4
Passport Number (last four characters)
2pm–5pm Report at 1pm
6789 B
Testing room doors close approximately
Surname 30 minutes prior to the start of each
Doe session. Candidates arriving more than
30 minutes past the exam start time will
Given Name(s) not be admitted. No one is permitted to
John Robert leave the session early.

Passport Expiration Date

12 August 2023 Violation of any testing policies may lead to your
PROCTOR USE ONLY
exam results being voided, forfeiture of your
registration fee, and/or other disciplinary action.
Morning Seat #
You have special instructions for your test center. Afternoon Seat #

DO NOT WRITE ON THIS TICKET. PRINT ON CLEAN, UNUSED PAPER. +1 434 951 5499 • info@cfainstitute.org • www.cfainstitute.org

IMPORTANT REMINDERS
• Bring this ticket and your valid international travel passport with you to the test center. If not, you may not be allowed to take the exam
and will have to forfeit your fees. Passport cards, limited travel documents, internal passports, and passports that are non-machine
readable, clipped, hole-punched, or marked canceled, are not valid forms of identification for the CFA Program. Your name and passport
information MUST MATCH exactly.

• Only authorized calculators are allowed.

• Don’t open your book and start reading exam questions until you are instructed to begin.

• Put your writing instrument down the instant you hear “Stop writing now.”

• Leave your phone, smart watch, or any electronic device at home or in your car.

• Go to our website to view our Testing Policies

MAY BE KEPT ON THE DESK, IF NEEDED

Extra calculator batteries and Pencil Sharpener Wristwatch Eyeglasses Ear Plugs
screwdriver (no packaging) and Erasers (not smart watches)

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

Necessary Medical Items Gum, Hard Candy (Boiled Sweets), Wallet/ Keys Eyeglasses Case
(medicine, tissues, mask) Cough Drops Money Purse

ALL OTHER ITEMS (SUCH AS MOBILE PHONES,

CONTAINERS, BAGS, HANDBAGS, ETC.) MUST BE LEFT IN
THE PERSONAL BELONGINGS AREA

915 East High Street © 2019 CFA Institute.

Charlottesville, VA 22902 All rights reserved.
USA