Proctor - Procedures - Manual 2020

PROCEDURES MANUAL
December 2020
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 December 2020................................................................................................2
Announcements Morning Announcements.............................................................................. 4

Afternoon Announcements...........................................................................7
Proctors Prior to Exam Day............................................................................................10

Dress Code—Testing Personnel..................................................................10
Exam Day Procedures...................................................................................10
Reporting to the Test Center................................................................10
Personal Belongings—Proctor...............................................................11
Time Remaining Signs.............................................................................11
Admitting Candidates..............................................................................11
Check-In Process...........................................................................................12
Closing the Doors to the Testing Room.............................................13
Timing the Exams....................................................................................13
Late Starts.................................................................................................14
Late Arrivals...............................................................................................14
Admission Ticket......................................................................................15
Identification (ID).....................................................................................15
ID Issues....................................................................................................19
Personal Belongings—Candidate.......................................................20
Calculators................................................................................................21
Roster..........................................................................................................21
Comfort Accommodations................................................................... 22
Distributing Books to Candidates...................................................... 22
Damaged or Defective Exam Materials............................................23
Seating Chart...........................................................................................25
Monitoring Candidates................................................................................. 26
Monitoring Strategies............................................................................ 26
Violations.................................................................................................. 27
Suspected Cheating..............................................................................28
Toilet and Water Breaks........................................................................28
Writing Instruments...............................................................................29
Second Check of Passports and Calculators.................................30
Incidents...................................................................................................30
Seat Changes..........................................................................................30
Early Departures Not Permitted..........................................................30
Writing Past Time...................................................................................30
Face Coverings........................................................................................30
Informing Candidates of Violation Reports......................................31
Collecting Exam Materials............................................................................31
Reconcile and Inspect Exam Materials.............................................31
Returning Materials to the Book Room............................................32
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.....................................................................................................................................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 them 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:
y Remain composed and try to calm the candidate. Respectfully and reasonably remind the
candidate of CFA Institute policies.
y Advise the candidate to contact a CFA Institute Customer Service representative directly with
any questions or comments. Provide the candidate the contact information above.
y Avoid physical contact with the candidate.
y Contact a security guard, campus security, or local law enforcement as appropriate.
y Contact Supervisor Support immediately.
y Complete a Violation Report.
SUPERVISOR SUPPORT PHONE

1 +1 (434) 951-5571
Proctor Responsibilities
December 2020
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 2020 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
except in response to any request related to the CFA Institute Professional Conduct Program, 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 15 minutes.
y Read only the words in the boxes to candidates.
y Read the announcements in English exactly as written.
y Read slowly and clearly to avoid distortions and/or echoes in the testing room.
Prior to starting the announcements, say:
Please be seated. The instructions will begin shortly.
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 breaks are not permitted until the instructions have
been read and the timed portion of the exam has started. If you do not have an exam book, raise
your hand now.
Begin reading at 8:47 AM. Say to candidates:
ANNOUNCEMENTS
On behalf of CFA Institute, we hope you have a pleasant exam experience today. I will now review
the important rules that govern this exam.
The CFA Institute Code of Ethics and Standards of Professional Conduct apply during this exam.
Please reference the back cover of your exam book as I read the testing rules:
Use only the Texas Instruments B-A-Two Plus, including the B-A-Two Plus Professional, or the
Hewlett Packard Twelve-C, including the Twelve-C Platinum and the Twelve-C Prestige, calculator.
Your admission ticket and calculators must remain on your desk at all times. Clear the memory in
your calculators now. When requesting a toilet break, raise your hand for approval by a proctor.
You must leave your exam materials and your passport with 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, must be turned
off and stored below your seat. Check to make sure your mobile phone and other devices are
turned off and stored now. The test center is being monitored for electronic devices during this
exam. If you are discovered accessing or using a prohibited electronic device during the timed
portion of the exam, a written report will be submitted to CFA Institute.
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.

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Pause 15 seconds.
If NO Level I or Level II candidates are present and only Level III candidates are
present, skip to section below.
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: Open your exam book and remove the first
page, which is your answer sheet. Close your book.
Ensure the form number at the top of your exam book matches the form number in the top right
corner of your answer sheet. Tell a proctor now if the numbers do not match.
Write your name in the space provided on your answer sheet. Write your CFA Institute ID number
in the space provided and fill in the proper oval directly below each number. This information is
ANNOUNCEMENTS
on your ticket.
Write your test center code, room or section, and seat number in the spaces provided. This
information is on your ticket.
Read, sign, and date the candidate pledge.
Continue reading with me on the front of the exam book.
Select one answer for each question and fill in the corresponding oval as shown in the example on
your answer sheet. Make heavy black marks that fill the oval completely. Erase clearly any answers
you wish to change. Do not make any other marks.
Your score on this exam is determined solely by the marks read by the scanning equipment.
Marks made by a writing instrument other than a Number 2 or HB pencil may not be read by the
scanning equipment. Marks that are not dark enough and/or do not fill an oval completely may
not be read by the scanning equipment. Random marks and poor erasures may be read as your
intended answer. Answers marked in the exam book will not be graded.
If no Level III candidates are present, skip to section on the next page.
If Level III candidates are present, say:
Level Three candidates only: Follow along on the front cover of your exam book as I read
the instructions: Use a Number 2 or HB pencil or a blue or black ink pen to complete this exam.
Write your CFA Institute ID number, name, test center code, room/section, and seat number in the
spaces provided at the top of your exam book. This information is on your ticket.

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Level three candidates: continue to follow along on the front cover.
Each essay question consists of -two 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. A glossary of command words is located on the inside front cover.
Answers written anywhere other than the designated answer page for a question part are not
graded. You are permitted to make marks and notes on question pages and pages marked “This
Page Intentionally Left Blank”. Do not write or make marks in or around the square data matrix
code located at the top of each page as this may affect the grading of your exam.
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:
ANNOUNCEMENTS
Thirty minutes remain. You cannot leave the exam until you are dismissed.
At 11:45 AM or 15 minutes prior to the end of the session, say to candidates:
Fifteen minutes remain. This is your final time check. You cannot leave the exam until you are dismissed.
At 12:00 PM or three hours after the start of the session, say to candidates:
Stop writing NOW. If you are still writing, you are in violation of CFA Institute testing rules. Put
your writing instrument down, close your book, and remain seated.
Pause 5 seconds, then read the following:
Place your answer sheet next to your exam book so it can be collected separately.
All exam materials will now be collected and counted. You must stay seated and quiet at this time.
You will be dismissed once we have collected and reconciled materials from all candidates.
Please remember that you signed a candidate pledge in which you agreed not to disclose any
portion of this exam. Failure to comply with the terms of the candidate pledge could result in a
professional conduct investigation or legal action.
Please remain seated until you are dismissed.
When you are ready to dismiss candidates (all materials are collected and
reconciled), say:
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 11 minutes.
y Read only the words in the boxes to candidates.
y Read the announcements in English exactly as written.
y 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 breaks are not permitted until the instructions
have been read and the timed portion of the exam has started. If you do not have an exam book,
raise your hand now.
Begin reading at 1:51 PM. Say to candidates:
ANNOUNCEMENTS
The CFA Institute Code of Ethics and Standards of Professional Conduct apply during this exam.
Please reference the back cover of your exam book as I read the testing rules:
Use only the Texas Instruments B-A-Two Plus, including the B-A-Two Plus Professional, or the
Hewlett Packard Twelve-C, including the Twelve-C Platinum and the Twelve-C Prestige, calculator.
Your admission ticket and calculators must remain on your desk at all times. Clear the memory in
your calculators now. When requesting a toilet break, raise your hand for approval by a proctor.
You must leave your exam materials and your passport with 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, must be turned
off and stored below your seat. Check to make sure your mobile phone and other devices are
turned off and stored now. The test center is being monitored for electronic devices during this
exam. If you are discovered accessing or using a prohibited electronic device during the timed
portion of the exam, a written report will be submitted to CFA Institute.
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.

7 +1 (434) 951-5571
Open your exam book and remove the first page, which is your answer sheet. Close your book.
Ensure the form number at the top of your exam book matches the form number in the top right
corner of your answer sheet. Tell a proctor now if the numbers do not match.
Write your name in the space provided on your answer sheet. Write your CFA Institute ID number
in the space provided and fill in the proper oval directly below each number. This information is
on your ticket.
Write your test center code, room or section, and seat number in the spaces provided. This
information is on your ticket.
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
To work on exam day, all proctors are required to attend a training session. 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:
y Confirm you are available to work on exam day.
y Confirm you are willing and able to report with a mask or face covering
(that covers both the mouth and the nose), and agree to wear it for the
duration of exam day.
y Read and understand this Procedures Manual.
y Read and understand the checklist your supervisor provided regarding your
assignment.
During proctor training:
y Make sure you understand the testing policies and your responsibilities.
y Provide your complete contact information to your Exam Supervisor.
y Find out when and where to report on exam day.
y Obtain your designated supervisor’s emergency contact information.
y Read and complete the Proctor Responsibilities statement.
y Direct any unanswered questions to your supervisor immediately.
DRESS CODE— Required:

TESTING y Mask or face covering (that covers both the mouth and the nose).
PERSONNEL
y Soft-soled shoes (to reduce noise distractions to candidates).
y Audible alarms and/or timers turned off on wristwatches.
y Modest-length skirts or dresses, pants, shirts with sleeves, jackets or
sweaters.
PROCTORS
y Vests issued by CFA Institute, distributed on exam day.
Prohibited:
y Jewelry that makes noise.
y Strong cologne or perfume.
y Sandals, hard-soled or high-heel shoes.
y T-shirts, shorts, jeans, or athletic attire. Note: Athletic shoes are permitted.
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.

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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.
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
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
y Ensure each candidate has one current admission ticket; the date and test
center code must be correct.
PROCTORS
» 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 15).
y Ensure candidates have a passport for check-in, but do not check details of
passports at the entrance to the testing room.
y Ensure each candidate is wearing a mask or face covering (must cover both
the mouth and nose and be worn for the entire day).
y Remind candidates to keep mobile devices (turned off) and other personal
belongings items in their bag under their seat.
y Direct each candidate to the appropriate room or section to complete the
check-in process.
At test centers where toilets are located outside of the testing room, proctors
should remind candidates of the time the doors will close.

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CHECK-IN PROCESS y Candidates may check in as early as testing personnel are prepared to begin
for both the AM session and the PM session.
y Complete all steps in the Check-In Process Checklist for every candidate for
each session. Our main goals are to:
» Limit contact between candidates and proctors wherever possible
» Keep candidates at least 6 feet (1.8 meters) apart
» Implement a process that minimizes queues/crowds and seats
everyone as quickly as practicable
y A candidate who does not sit for the AM session is not permitted to sit for
the PM session.
Check-In Process Checklist

Complete the following tasks for every candidate for both exam sessions. Refer questions to your
designated supervisor.
Inspect the passport. It MUST:

y Be a current (not expired) international travel passport
y Be an original document. Photocopies are not acceptable
y Contain a recognizable photograph of the candidate
y Be machine readable
Instruct candidate to flip 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 they can
retrieve the required ID and return within 30 minutes of the start of the timed portion of the session.
If so, allow them to leave immediately. If they are unable to retrieve a valid ID, refer to the procedures on
page 19.
y NOTE FOR DECEMBER 2020 ONLY: Due to global COVID-19 related passport processing
delays, we have granted some exceptions to the passport-only ID policy. Candidates who
have been granted a special exception will present a printed letter from CFA Institute, on CFA
PROCTORS
Institute letterhead, detailing the ID(s) that has been approved for admission. (Digital copies of
the letter are not acceptable.) Complete an ID Report. Check to see if the candidate is on the list
that was provided to the Exam Supervisor. If not, call Supervisor Support to verify their letter.
y Candidates who arrive with an invalid ID and no letter from CFA Institute are not permitted to
sit for the exam. Follow standard invalid ID procedures.
Visually inspect the candidate’s admission ticket
y Verify the following information matches the passport:
» Name (may be in different order passport may include additional names)
» Passport number (last four characters)
» Expiration date
y Confirm the ticket is current and displays the correct test center location
y Mark the appropriate session on the ticket
y Inspect for writing
y Ensure the candidate has only one copy of the ticket

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Locate the candidate’s CFA Institute ID number on the roster
y Write the candidate’s pre-assigned seat number on the ticket in the space provided
y Verify the name on the ticket matches the name on the roster
y Mark the roster to record attendance
Visually inspect all calculators, front and back, as well as the calculator keystroke card and any
calculator cover. Only the calculators listed in the back of this manual are permitted in the testing
room.
Ensure the candidate has only permitted items on their desk and direct the candidate to place
all other items under their chair. Remind candidates that any permitted item they wish to access
during the exam MUST be kept on their desk.
Direct the candidate to the pre-assigned seat. Remind the candidate to remain seated, except for
brief 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 toilet break) will not be readmitted until the
Announcements have concluded.
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.
PROCTORS
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.
Candidates with additional time are permitted to leave the testing room so
long as they have sat for at least three full hours of the exam session.

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Late Starts y 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.
¾ 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.
» The new start time will determine when the late candidate arrival
policy applies.
y 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.
¾ 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.
Late Arrivals If the candidate arrives within 30 minutes of the start of the
timed portion of the session:
y Allow the candidate to test.
y Inform the late arrival no additional time is granted.
y Advise the candidate to read the instructions on the back of the exam book.
Do not read the Announcements for late arrivals.
PROCTORS
y Check in and seat late arrivals quietly, so candidates who are already
testing are not disturbed.
If the candidate arrives more than 30 minutes after the start of

the timed portion of the session:
y Immediately call Supervisor Support for guidance.
y If Supervisor Support determines the candidate should be turned away,
they cannot sit for either exam session.

+1 (434) 951-5571 14
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 their ticket on their 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 y Your designated supervisor must

the candidate does not have a ticket call Supervisor Support
y Complete and issue a blank ticket
with the information provided by
Supervisor Support
Displays an incorrect test date or test y Your designated supervisor must

center call Supervisor Support
y If Supervisor Support confirms
the candidate is registered at your
test center, complete and issue a
blank ticket
Has writing on front or back (i.e., y Confiscate the ticket

numbers, letters, words, formulas) y Complete and issue a blank ticket
y Complete a Violation Report and
attach the original ticket
» If tickets from more than one
candidate are confiscated at
check-in, complete only one
Violation Report
PROCTORS
Has marks such as drawing, y These marks are not considered

highlighting, underlining, stray “writing on the ticket”
marks, pencil dots, stains, or small y Do not complete a Violation
holes or rips in the paper, found at Report
check-in or during the exam
y Do not issue a blank ticket
Identification (ID) A valid international travel passport OR an ID approved by CFA Institute

ahead of time accompanied by a printed, signed “Special ID Exception”
letter on CFA Institute letterhead must be presented by each candidate at
check-in for the AM session AND the PM session to sit for the exam. Because
of COVID-19, we have made a limited number of special exceptions to our
passport-only ID policy. We will allow candidates to present IDs that we
normally would not accept – for instance, an expired passport, or a driver’s
license, etc. These special exceptions MUST be approved in advance by CFA
Institute, and on exam day the candidate must also present a letter on CFA

15 +1 (434) 951-5571
Institute letterhead detailing the form(s) of ID we’ve approved. Candidates
who have received this valid letter in advance will be on a list that is sent to
the Exam Supervisor ahead of time. If a candidate presents a letter but is not
on the list, please call Supervisor Support.
Valid for the CFA Exam NOT Valid for the CFA Exam
Passport. The passport must: Invalid forms of ID include, but are not limited
to, the following unless accompanied by a
y Be a current (not expired) international travel CFA Institute “Special ID Exception” letter
passport. (also make sure the candidate is on the list
y If expired, it must be accompanied by a CFA provided to the Supervisor):
Institute “Special ID Exception” letter. Check to
y Internal/regional passport
make sure the candidate is on the list provided to
the Supervisor. y National identification card
y Be machine readable: contain two lines of text as y Passport card
letters, numbers and chevrons (<<<<<) at the y Driver’s license
bottom of the data page of the passport (the page
containing the candidate’s photo and personal y Photocopy of the passport, including a notarized
information). or certified copy
y Contain the following information exactly as y Clipped, hole punched, or marked “Cancelled”
shown on the ticket:
» Candidate’s name
» Passport number (last four characters)
» Expiration date
y Be an original document.
y Include a recognizable photograph of the
candidate on the passport data page.
y Pre-approved alternate form of ID. The
alternate form of ID MUST be accompanied by a
CFA Institute “Special ID Exception” letter (and
candidate must be on the list provided to the
Supervisor).
PROCTORS
Before denying any candidate admittance to the exam, follow the ID procedure on
page 19.
Confirm the Photo Matches the Candidate Presenting the Passport

y Ask candidate to remove their mask and hold their passport next to their
face.
y Make eye contact with the candidate.
y Compare the photo on the passport to the candidate presenting it. The
photo must be recognizable and must match the candidate.
Notify your designated supervisor if you suspect the passport doesn’t belong
to the person presenting it. Your designated supervisor will call Supervisor
Support, if necessary, and notify CFA Institute personnel onsite.

+1 (434) 951-5571 16
Ensure the Passport is Authentic
Examine the passport closely. On the data page which contains the candidate’s
photo, look for evidence of tampering, such as:
y Lamination has been removed or reattached

y Corners or edges don’t match up
y Air bubbles or bumps on the surface
y Discrepancies in, or alterations to, the information contained in the
passport
Note: Normal wear and tear is acceptable.
Notify your designated supervisor if you suspect the passport has been
tampered with or altered. Your designated supervisor will call Supervisor
Support, if necessary, and notify CFA Institute personnel onsite.
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.

PROCTORS
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 19.

17 +1 (434) 951-5571
Date of Expiration
The date of expiration on the exam admission ticket will be shown in English
in the following format: day, month (spelled out), year (four digits).
Example: 4 May 2023
The passport must not be expired (unless the candidate has been issued
a Special ID Exception letter as noted above and is on the list provided to
the Supervisor). If the passport is expired and the candidate does not have
a Special ID Exception letter, 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.
PROCTORS

+1 (434) 951-5571 18
ID Issues
If a Candidate… Required Action

Presents an international travel passport; however, y Allow the candidate to sit for the exam.
y the passport number (last four characters) and/or y Enter the candidate’s name and CFA Institute ID number on the
date of expiration do not match the information Passport Number/Expiration Date Mismatch Log.
printed on the admission ticket, AND y A photocopy of the candidate’s passport or admission
y the passport is otherwise valid ticket is not necessary.
y Complete an ID Letter. Issue the letter to the candidate at the
end of the session.
y Record the candidate’s information only once; do not repeat for
the PM session.
y No call to Supervisor Support is needed.
Presents invalid ID at check-in with no Special ID y Allow the candidate to leave immediately.
Exception letter from CFA Institute AND y No call to Supervisor Support is needed.
y is able to retrieve a valid international travel
passport from another location and return no
later than 30 minutes after the start of the exam
Presents a non-passport ID which is accompanied by y If candidate presents the letter and they are on the list provided
a Special ID Exception letter from CFA Institute to the Supervisor, no call to Supervisor Support is needed.
y If they present the letter and they are not on the list provided to
the Supervisor, call Supervisor Support to verify.
y Photocopy the ID capturing all relevant data (including cover if
applicable).
y Complete an ID Report (attach the photocopy of the ID).
y Allow the candidate to sit for the exam.
Presents one of the following IDs at check-in y Do not allow the candidate to sit for the exam.
without a Special ID Exception letter from CFA y Photocopy the ID capturing all relevant data (including cover).
Institute (and is unable to retrieve a valid passport) y Complete an ID Report (attach the photocopy of the ID).
y Photocopy y Complete and issue an ID letter to the candidate.
y Expired passport y No call to Supervisor Support is needed.
y Driver’s license, national ID card, or passport card
Call Supervisor Support for all other types of invalid IDs.
y Hole-punched, clipped, or marked “cancelled”
y No passport and no alternate ID presented
PROCTORS
Presents ID that requires a phone call to Supervisor y Do not allow the candidate to sit for the exam.
Support AND is determined invalid y Photocopy the ID capturing all relevant data (including cover).
y Complete and issue an ID letter to the candidate.
Presents ID that requires a phone call to Supervisor y Allow the candidate to sit for the exam.
Support AND is determined questionable y Photocopy the ID capturing all relevant data (including cover).
y Complete and issue an ID Letter to the candidate.
y If found during the second ID check, follow the same process
and issue ID Letter at the end of the session.
y Report questionable ID only once; do not repeat for the PM
session.
Presents ID that is damaged beyond normal wear y Notify your designated supervisor and CFA Institute personnel.
and tear, or the photo is unrecognizable y Call Supervisor Support.

19 +1 (434) 951-5571
Personal Our standard policy for December 2020 is that there will not be Candidate
Belongings— Personal Belongings Areas, therefore, limited personal belongings will be
Candidate permitted inside the testing room. Monitor candidate belongings on the desks
to ensure that only permitted items remain and all other items are under the
candidate’s chair. If a prohibited item is found on the candidate’s desk top
during the timed portion of the exam, the candidate should be instructed to
put the item under their chair and a violation report should be completed.
Follow guidelines on page 27.
Permitted Items
Must be kept on the desk y One exam admission ticket
y Approved calculators
y Approved writing instruments
Must be kept on desk if needed y Loose calculator batteries (no packaging)

during the timed portion of the y Screwdriver for battery replacement
exam
y Calculator cases
y Keystroke cards
y Earplugs
y Erasers (paper holder or cover must be discarded)
y Eyeglasses, but not the eyeglasses case
y Manual pencil sharpeners (no knives)
y Wristwatches (analog and digital) with alarms and timers
silenced; however, all smart watches are prohibited
y Medicine, tissues, and other necessary medical or personal items
y Gum, hard candy (boiled sweets), cough drops
Must be kept on floor when not y Water bottle

in use y Personal cleaning/sanitizing supplies
y Extra face coverings
y Hat—may be worn during the exam
PROCTORS
y Outerwear (coats, sweaters, etc.)—may be worn during the exam
Must be kept under chair and y Small bag for transporting personal belongings (must fit under
not accessed during the timed the candidate’s chair)
portion of the exam y Valid international travel passport
y All electronic devices, such as mobile phones, smart watches, and
fitness trackers which must be powered off
y Wallet (money purse)
y Eyeglasses case
y Calculator pouch
y Keys
y Lunch

+1 (434) 951-5571 20
Calculators Candidates may use only approved calculator models, as shown in the
photographs on pages 43–46 of this manual. Have the candidate hold the
calculator(s) for you and visually inspect each candidate’s calculator(s) at the
AM and PM session check-in. Be sure to visually inspect the front and back of
the calculator, including the calculator keystroke card and any cover.
y Candidates may bring multiple approved calculators.

y All calculators must remain on the desk in full view throughout the exam.
y Candidates ARE permitted to use the manufacturer’s keystroke cards;
however, instruction manuals are not permitted in the testing room.
Unauthorized Calculator Found at Check-In

Unauthorized calculators must be placed under the candidate’s chair and not
accessed during the timed portion of the exam. 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.
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:
y Locate each candidate on the roster using the CFA Institute ID number on
the candidate’s ticket.
» If a candidate is not listed on the roster, your designated supervisor
must contact Supervisor Support to determine if the candidate is
authorized to sit at your test center.
y Compare the name on the roster to the name in the passport and on the
ticket. If they do not match and are not an acceptable name variation (see
PROCTORS
page 17), your designated supervisor must contact Supervisor Support.

y Record the pre-assigned seat number on the ticket. Mark the appropriate
box on the ticket to record attendance.
y Darken the circle next to the candidate’s name in the present column on the
roster.
» Do not use a check mark (ü), X, or other mark to record attendance.
y Record roster additions in the designated space on the last page, not on the
line next to the assigned seat number.
y Enter seat changes in the designated column.
Once candidates are checked in, immediately direct them to their assigned
seats. Candidates must remain seated, except for brief toilet 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.

21 +1 (434) 951-5571
Thirty minutes after the timed portion of the exam has started, darken the
circles under “absent” for all candidates who are absent. Attendance must be
marked for both sessions for every candidate on the roster. Do not leave circles
blank for absent candidates for either session.
Comfort Candidates may request a comfort accommodation that does not require extra
Accommodations time or the use of a testing aid. Examples include:
y An extra chair to elevate an injured foot

y A seat near the door for someone who must frequently use the toilet
y The use of a pillow for back support (be sure to inspect)
y A small snack kept in candidate’s pocket for medical needs. Snacks cannot
be consumed at the candidate’s desk; the candidate must consume the
snack in the toilet or other area outside the testing room (but within the
secure testing area of the venue).
You should accommodate the candidate if doing so does not disrupt the
testing environment or provide an unfair advantage.
Some candidates may arrive with a letter confirming comfort accommodations

CFA Institute has approved in advance; however, advance approval is not
required. Contact Supervisor Support if there are any questions.
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 breaks are NOT permitted during this time. Stop
candidates from taking toilet breaks and accessing any belongings that are
PROCTORS
stored under their chair five minutes before the exam books are distributed.
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.

+1 (434) 951-5571 22
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.).
Determine if the issue is widespread. If so, contact Supervisor Support

immediately. If not, the tables on pages 24–25 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
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.
PROCTORS

23 +1 (434) 951-5571
Damaged or Defective Answer Sheets/Essay Exam Books (Answer Documents)
Requests a new answer y Advise the candidate to erase the marks.

document due to stray pencil y A new answer document is not necessary.
marks
Reports a damaged y Quickly provide a new answer document.

or defective answer y Complete an Incident Report being sure to check the “Damaged before
document BEFORE the timed portion of the exam started” box. Return the Incident Report with
timed portion of the exam other administrative paperwork.
begins y Return the damaged/defective answer document with other used answer
documents.
y In the case of a damaged answer sheet, attach a sticky note to the
unused exam book stating “used answer sheet only.” Return the opened
book along with other used exam books.
Reports a damaged answer y Allow the candidate to continue testing with the original answer
document AFTER the timed document until you quickly provide an additional answer document.
portion of the exam has begun y Instruct the candidate to complete the information at the top/on the
front cover and begin answering questions on the new answer document.
y DO NOT instruct the candidate to transfer previous answers to the new
answer document.
y Assure the candidate both answer documents will be graded.
y Inform the candidate no extra time is allowed.
y Complete an Incident Report indicating candidate used two answer
documents. Return the Incident Report with other administrative
paperwork.
y Return both answer documents with the other answer documents.
y In the case of a damaged answer sheet, attach a sticky note to the
unused exam book stating “used answer sheet only.” Return the opened
book along with other used exam books.
PROCTORS
Reports a defective answer y Allow the candidate to continue testing with the original answer
document AFTER the timed document.
portion of the exam has begun y Contact Supervisor Support for further instructions.
Insists on transferring answers y Inform the candidate no extra time is allowed.

to a new answer document y Instruct the candidate to complete the information at the top/on the
(because of defective/damaged front cover of the new answer document.
answer document OR use of y Attach a sticky note to the NEW answer document indicating it is the
wrong writing instrument) final version to be graded.
y Attach a sticky note to the original answer document indicating it should
NOT be graded.
y Position the sticky note over the candidate pledge portion of the answer
sheet.
y Complete an Incident Report indicating candidate transferred answers
to a new answer document. Return the Incident Report with other
administrative paperwork.
y Return both answer documents with other answer documents.

+1 (434) 951-5571 24
Damaged or Defective Exam Books (not Level III morning essay exam books)
Reports a damaged or y For a damaged book (torn or marred by the candidate), quickly provide a
defective exam book new exam book.
BEFORE the timed portion of y For a defective book (printing error), call Supervisor Support.
the exam has begun
y Complete an Incident Report. Return the Incident Report with other
y Attach a sticky note to the damaged/defective exam book stating
“damaged—not used.”
y Return the damaged/defective exam book with other used exam books.
Reports a damaged exam y Allow the candidate to continue testing with the original exam book until
book AFTER the timed you quickly provide a new book.
portion of the exam has begun y The candidate may keep both exam books until the end of the session.

y Attach a sticky note to the damaged exam book stating “damaged.”
y Return both exam books with other used exam books.
Reports a defective exam y Allow the candidate to continue testing with the original exam book
book AFTER the timed while you quickly provide a new book.
portion of the exam has begun y The candidate may keep both exam books until the end of the session.

y Contact Supervisor Support.
y Attach a sticky note to the defective exam book stating “defective.”
y Return both exam books with other used exam books.
PROCTORS
Seating Chart Thirty minutes after the timed portion of the exam has started:
y Record candidates who are PRESENT by entering their CFA Institute ID
numbers under their assigned seat numbers on the Seating Chart.
y Record candidates who are ABSENT by entering an “A” under their
assigned seat number. Do not enter the CFA Institute ID numbers for absent
candidates. Do not leave the boxes blank.
y If a seat is left unassigned on the roster, leave the seat blank on the Seating
Chart.
y Record attendance for both the AM and PM sessions.
Candidates should sit in their pre-assigned seats for both sessions, unless you
have moved the candidate. See page 30.

25 +1 (434) 951-5571
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

Strategies least one proctor should act as an enforcer, monitoring candidates from
vantage points within the section. At least one other proctor should act as
an observer, 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. Proctors should aim to maintain a physical distance of 6 feet
(1.8 meters) while monitoring candidates except when brief periods of closer
observation are needed (for example, when occasionally circulating down
rows or to confiscate prohibited items).
An enforcer circulates among candidates and monitors for:
y Signs of cheating, such as hidden notes, copying from another candidate’s

paper, or electronic means of cheating
y Signs of accessing or attempting to access items stored under the
candidate’s chair
y Writing on calculators, erasers, pencils, face coverings, water bottles,
personal cleaning supplies, or admission ticket.
y Suspiciously bulky clothing that may be hiding notes or cheating devices
An observer monitors candidates from the perimeter of the room/section and

watches for unusual behavior, such as candidates who are:
PROCTORS
y Moving excessively
y Leaning toward another candidate
y Looking around the room
y Taking frequent toilet breaks
y Wandering while taking a toilet break
y Signs of accessing or attempting to access items stored under the
candidate’s chair

+1 (434) 951-5571 26
Violations When you observe or suspect misconduct, immediately complete a Violation
Report while the facts are fresh in your mind. If more than one proctor
witnesses the violation, each proctor must complete a separate, independent
report. See the example on page 55.
Opens the exam book early y Complete a Violation Report and instruct the candidate to close book
Has a mobile or smartphone, All electronic devices should be powered off and stored under
a smart watch, or wearable the candidate’s chair. If a candidate attempts to access a
technology such as fitness device from under the chair, is found wearing a device such
device—found during or after as a smartwatch or fitness device, using the device, the device
the timed portion rings/vibrates etc., or is located on the desk top, follow these
procedures:
y Instruct candidate to power off the device and place in a bag under
chair or face down under chair (if no bag)
y Complete a Violation Report
y After the timed portion of the exam, instruct candidate to open apps so
you can view emails, 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.
y Include timestamps of when content was captured/received.
y Return the device to the candidate after documenting and deleting any
suspicious content.
y Attach photocopies of content to the Violation Report.
Has a Knife of any type, y Instruct candidate to place in a bag under chair or face down under
including box cutters and knives chair (if no bag)
used as pencil sharpeners y No Violation Report needed
Has an invalid calculator— y Allow the candidate to continue testing with the invalid calculator for
found on desk during timed the rest of the current session.
portion y At the end of the session, confiscate and photocopy the faceplate of the
PROCTORS
invalid calculator.
y Complete a Violation Report.
y Attach the photocopy of the invalid calculator to the Violation Report.
y If found during the AM session, inform the candidate they are not
permitted to use the invalid calculator for the PM session.
Has a ticket with writing on y Follow the procedure on page 15.

front or back
Has notes or scratch paper y Confiscate the notes/scratch paper.

found during the timed portion y Complete a Violation Report.
(including extra admission
y Attach the notes/scratch paper to the Violation Report.
tickets)
Leaves the exam before the end y Complete a Violation Report.

of the session
Writes after time was called y Complete a Violation Report.

27 +1 (434) 951-5571
Suspected If you observe suspicious behavior:
Cheating y 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.
y Verify the candidate’s identity using two or more of the following:
candidate’s passport, admission ticket, roster, and/or Seating Chart.
y Monitor the candidate throughout the day.
y When completing the Suspected Cheating Report:
» Answer all questions. Document all behaviors observed. Indicate
whether the behaviors changed over time.
» Identify the periods of time you observed the candidate.
» Complete one report per suspected candidate for each session.
» Record only your observations, not personal feelings or judgments
regarding the conduct. For example:
Yes: Candidate looked to their left four times for five seconds each
and their eyes appeared to be directed toward the adjacent
candidate’s paper.
No: Candidate looked to their left and was staring at their
neighbor’s paper but I don’t think they were 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 breaks and access their own water bottle at
Breaks their desk during the timed portion of the exam.
y 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.
y Toilet proctors will not hold or inspect the candidate’s tickets. A bathroom
log will not be kept.
y Candidates will be asked to bring their own water with them on exam day
(unless prohibited by the venue). Candidates are permitted to drink water
at their desk. When not in use, water bottles should be stored on the floor.

+1 (434) 951-5571 28
y Water bottles should always remain at the candidate’s desk. Candidates
should not bring their water bottle with them if they get up from their desk
(e.g. they should not bring the bottle with them to the restroom or to try
and fill it up anytime during the exam).
y Toilet proctors will not hold or inspect the candidate’s tickets. A bathroom
log will not be kept.
Candidate will raise their hand for a toilet break. Have the candidate put their
answer sheet inside their exam book and close the book. Those materials can
remain on the candidate’s desk if monitored by a proctor. If a proctor collects
the exam materials to keep at the proctor table, please exercise caution and
use gloves or hand sanitizer. Candidate should take their ticket with them
When the candidate returns, the proctor should reconfirm that the information
on the candidate’s ticket matches their answer sheet.
All candidates should remain seated while:
y Announcements are being read

y Exam books are being distributed
y Exam materials are being reconciled and inspected following the conclusion
of each session
Writing 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.
PROCTORS
If you notice a candidate using the wrong writing instrument, allow them to
continue testing uninterrupted.
If a candidate notifies you they are using the wrong writing instrument,
y Do not provide a writing instrument. During the timed portion of the exam
the candidate is not permitted to borrow one from another candidate.
y Inform the candidate they may choose whether or not to transfer the
answers to a new answer document.
y If the candidate chooses to transfer answers, no extra time is allowed.
Provide a new essay exam book or issue a new answer sheet from an
unused book. Refer to page 24 for complete instructions.
y If asked, you may inform the candidate that using the wrong writing
instrument on an answer sheet may affect how the scanning machine reads
and records the information. Advise the candidate to contact CFA Institute
if there are questions or concerns.

29 +1 (434) 951-5571
Second Check of To help prevent the spread of germs, there will be no second check of
Passports and passports or calculators during the timed portion of the exam.
Calculators
Incidents Use an Incident Report to document situations that do not involve testing
policy violations. Examples of incidents include, but are not limited to:
y Disturbances in the testing room because of noise, lighting, or temperature

y Seat changes
y Damaged/defective exam materials
y Answer document that is missing both the CFA Institute ID number and the
candidate name
y Conflicts of interest not previously disclosed
Complete one Incident Report form per room/section. See the example on
page 54.
Seat Changes y Enter the details on an Incident Report.

» Indicate the original room/section and seat number, as well as the
room/section and seat number to which the candidate was moved.
» Include the reason for moving the candidate.
y Indicate on the roster and the Seating Chart that the candidate was moved.
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 them 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 they do 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
PROCTORS
breaks, until dismissed.
Do not dismiss candidates until room/section proctors have collected,

reconciled, and inspected all exam materials.
Writing Past Time To end the session, the reader will announce “Stop writing NOW. If you are
still writing you are in violation of CFA Institute testing rules.” If a candidate is
writing or erasing after the word “now” is read, the candidate is writing after
time was called. Complete a Violation Report.
Face Coverings Candidates are required to wear a face covering over their nose and mouth at
all times. If a candidate removes their face covering, they should be advised
that a violation report will be submitted to CFA Institute documenting this
violation of our policies.

+1 (434) 951-5571 30
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.
COLLECTING EXAM Proctors are encouraged to wear gloves while handling exam materials or
MATERIALS wash hands/use hand sanitizer afterwards. Complete all of the following steps
for each session of the exam:
y Collect answer sheets first in seat number order. It is essential to

collect answer sheets before collecting the exam books to ensure they are
not left in the exam books.
y Ensure each candidate has written their 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 their 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.
y Collect admission tickets (PM session only).
PROCTORS
Reconcile and Candidates must remain seated until you have done the following:
Inspect Exam
Materials y Reconcile: Verify all materials have been collected.
» Make sure you have an exam book and an answer sheet for each
candidate who is present.
» For the Level III essay exam (AM session), ensure you have an essay
exam book for each Level III candidate who is present.
» Use the Packing Form to account for all materials.
To help prevent the spread of germs, please do NOT flip through the pages
of the exam books. 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.

31 +1 (434) 951-5571
Toilet breaks are not permitted while you are reconciling and inspecting exam
materials. Candidates must remain seated and quiet until dismissed.
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. The Exam
Supervisor or their designee should dismiss candidates by section to help
alleviate queues and ensure that candidates remain 1.8 meters/6 feet apart
when exiting the testing room and venue.
Returning Organize all materials in seat number order.

Materials to the y Keep exam books and answer sheets separate.
Book Room
y Ensure there is an answer sheet for each used exam book (with the
exception of the Level III morning essay exam).
y Verify attendance is marked correctly for all candidates on the Seating
Chart and the roster.
» Darken the circle in the absent column on the roster for each candidate
who is absent. Do not leave the circle blank for absent candidates.
y Count the exam materials for your testing room. Complete the Packing
Form accurately.
» If a candidate used multiple exam books or answer sheets, count each
book and answer sheet separately.
y Separate exam materials into the following categories and return them to
the book room:
AM session:
¾ Answer sheets
¾ Used Level III essay exam books
¾ Used exam books
¾ Unused exam books
PROCTORS
¾ 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:
¾ Answer sheets
¾ Used exam books
¾ Unused exam books
¾ Completed Incident Reports, Violation Reports, Suspected Cheating
Reports, Passport Data Mismatch Log, and ID Reports
¾ Candidate Rosters (including any blank pages or pages for rooms/
sections where no candidates were present)
¾ Admission tickets

+1 (434) 951-5571 32
¾ Seating Chart
¾ Packing Form
Remember to keep answer sheets separate from exam books and
other exam materials. Handle the answer sheets carefully—do not fold,
bend, or damage the answer sheets.
PROCTORS

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.
Though it is not required, book room proctors are encouraged to wear gloves or use hand sanitizer
when handling exam materials.
BOOK ROOM Exam Day Morning—before the AM session

PROCTOR y 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.
y Open the cartons of AM session books. Do not open the PM session cartons
at this time.
y If any candidates have been approved for special print exams, the exams
will be packed in cartons labeled “Special Print Exam.”
y Confirm the number of books in each carton matches the quantity shown
on the label.
» Notify your designated supervisor if they do not match.
y Organize the books for each room/section.
» Ensure proctors pick up the correct number of AM session books
(based on Candidate Roster). The cover of each level and session of
exam book is a different color. Refer to the following chart.
PROCTORS
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.

y Record the number of books distributed to each room/section on the Exam
Book Log form.

+1 (434) 951-5571 34
At the conclusion of the AM session
y Collect and count exam materials returned by room/section proctors:
» Answer sheets
» Used exam books
» Unused exam books
y Record the number of exam books collected on the book log (must match
the number you distributed).
y Collect forms:
» Violation Reports
» Suspected Cheating Reports
Before the PM session

y Open the cartons of PM session exam books.
y Confirm the number of exam books in each carton matches the quantity
shown on the label.
» Notify your designated supervisor if they do not match.
y Organize the books for each room/section.
» Ensure proctors pick up the correct number of PM session exam books
(based on roster). Record the number of books distributed to each
room/section on the Exam Book Log.
During the PM session

y Pack the AM session materials for return shipment. Refer to the instructions
on pages 36–42.
At the conclusion of the PM session

y Collect and count exam materials returned by room/section proctors:
» Answer sheets
» Used exam books
» Unused exam books
y Record the number of exam books collected on the Exam Book Log (must
match the number you distributed).
y Collect forms:
» Candidate Rosters (including any blank pages or pages for rooms/
sections with no candidates who were present)
» Seating Charts
» Packing Forms
» Tickets
BOOK ROOM
PROCTORS

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

35 +1 (434) 951-5571
PACKING Use only the original green cartons and the FedEx waybill CFA Institute
MATERIALS FOR provided.
RETURN SHIPMENT
y Remove old waybills and shipping labels from the cartons.
y Inspect the cartons to ensure they are intact and strong enough for return
shipment.
What to pack:
y Administrative paperwork
y Answer sheets
y Exam books (used and unused)
What NOT to pack:
y Vests, Procedures Manuals, shrink wrap, unused forms, or signage

y Unclaimed candidate belongings—leave them with the venue authorities
STEP 1. SORT all materials into the following groups:
Group 1 All paperwork

y Original Candidate Rosters (all pages)
y Seating Charts
y Exam Book Log
y Proctor Responsibilities statements
y Proctor Training Roster
y Packing Forms
y All reports:
» Incident Reports
» Passport Number/Expiration Date Mismatch Logs
» ID Reports
y Admission tickets
Group 2 Used Level III essay exam books
Group 3 Used answer sheets
Group 4 Used exam books

BOOK ROOM
Group 5 Unused exam books

PROCTORS

+1 (434) 951-5571 36
STEP 2. COMPLETE the form printed on the top flap as you pack each carton.
y Use a dark marker to complete the label.

y Clearly indicate the contents of each carton. See the following illustration.
» Test center code
» Group(s)
» Room/section number(s)
» Level(s)
» Session(s)
y Ensure the flap with this information is visible when sealing the cartons.
Entering Information on the Top Flap of Each Carton

Left side
Enter the 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

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

» Rosters—clip or bind all pages together in page number order, including
blank pages or pages for rooms/sections without present candidates.
» Forms and reports—separate and bind by type.
» Tickets—must be in seat number order within each room/section.
Administrative Ø Bind tickets by room/section.
Paperwork Ø Organize them room/section order as listed on the rosters.
(Group 1) y Place the rosters on top of the forms and reports.
y Pack rosters, forms, and reports in the envelopes labeled for administrative
paperwork (provided by CFA Institute).
y Pack tickets in the envelopes labeled for tickets (provided by CFA Institute).
y Circle the “1” printed on the top flap of each carton that contains paperwork.
y Seal the Group 1 carton(s) last. Include all paperwork for both sessions.
y Ensure essay exam books are in seat number order by room/section.

y Place an Exam Material Cover Sheet on top of the stack of essay exam books for
each room/section.
Used Level III y Bind with a rubber band.
Essay Exam y Pack the stacks of essay exam books in carton in the order the rooms/sections are
Books listed on the roster.
(Group 2)
y Circle the “2” printed on the top flap of each carton that contains used essay
exam books.
y In the space provided on the top flap, accurately mark the room/section numbers
for the materials in each carton.
y Pack AM session and PM session answer sheets separately.

y Do the following for each session. See the following illustration.
1. Place the answer sheets for each room/section between two cardboard sheets.
Place a completed Exam Material Cover Sheet on top of the stack.
Ø Answer sheets must be in seat number order within each room/section.
Ø Place the answer sheets neatly between the cardboard sheets so they are
not damaged during shipping.
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).
y Circle the “3” printed on the top flap of each carton containing answer sheets.

+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)
y Ensure books are in seat number order by room/section.

y Place an Exam Material Cover Sheet on top of the stack of books for each
room/section.
Used Exam Books y Bind with a rubber band.
(Group 4) y Pack the stacks of books in cartons in room/section order as listed on the
roster.
y Circle the “4” printed on the top flap of each carton containing used
books.
y Pack in cartons.
Unused Exam Books
(Group 5) y Circle the “5” printed on the top flap of each carton containing unused
books.
STEP 4. FILL empty space in cartons with packing paper.
y If the carton isn’t full, the contents may shift during shipment causing the carton to open.
BOOK ROOM
PROCTORS

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.
y Enter the sequential number of each carton.

» The carton with the administrative paperwork must be carton #1.
y Enter the total number of cartons in the shipment.
STEP 7. SECURE materials until you release them to FedEx.
y Never leave exams in an unsecured location (e.g., unattended in a car, hotel room, etc.).
y Never drop off the exams at the venue’s front desk or mail/shipping center for FedEx to pick up later.
y Contact Supervisor Support immediately if there is a delay in pick-up or shipment, or if any part of the
shipment must be sent separately (i.e., materials for candidates with disability accommodations).
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.

+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
y Is finished testing, AND y Pack the materials along with the

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

y Their PM session materials are both sessions (AM and PM) with the
not reconciled by the time the rest Religious Alternate Date (RAD) exams, if
of 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.
y If you do not have an original green CFA
Institute carton for the separate shipment,
use a carton of similar size and shape.
y You must properly secure the exam
materials until you hand them off
to FedEx.
Shipping Return the exam materials to CFA Institute no later than the first business day
after the exam. If there is a delay in shipping the materials or if any items are
shipped separately, notify Supervisor Support immediately.
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

41 +1 (434) 951-5571
Damaged Shipping If CFA Institute cartons have been damaged and cannot be used for return
Cartons shipping:
y Notify Supervisor Support exam materials will be returned in alternate

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

+1 (434) 951-5571 42
CALCULATORS
CALCULATORS
Texas Instruments BA II Plus, Version 1

Calculator Faceplate and Keystroke Card



43 +1 (434) 951-5571
CALCULATORS
Texas Instruments BA II Plus Professional, Version 1
Texas Instruments BA II Plus Professional, Version 2


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

Hewlett Packard 12C Platinum, Version 2


45 +1 (434) 951-5571
Hewlett Packard 12C Platinum 25th Anniversary Edition
CALCULATORS
Hewlett Packard 12C Platinum 30th Anniversary Edition
Hewlett Packard 12C Prestige


+1 (434) 951-5571 46
SAMPLE FORMS
December 2020 CFA® EXAM ADMISSION TICKET
CFA INSTITUTE ID # DATE TEST CENTER CODE
123456 2020 SATURDAY

5 December 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 2021 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.

47 +1 (434) 951-5571
Page 1 of 10
DECEMBER 2020 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

+1 (434) 951-5571 48
Seating Chart
5 December 2020
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
9998193 9997193 9997175 9997161 9997148 9997111 AM AM

9998193 9997193 9997175 9997161 9997148 9997111 PM PM
9996446 A A 9996545 9996984 9997003 AM AM

9996446 A A A 9996984 9997003 PM PM
A 9996312 A 9997127 9994588 9994473 AM AM

A 9996312 A 9997127 9994588 A PM PM
9992733 A 9993511 9993992 9994447 9994469 AM AM

9992733 A 9993511 9993992 9994447 9994469 PM PM
9992731 9992697 9992682 9992656 9992604 9992598 AM AM

A 9992697 9992682 9992656 9992604 9992598 PM PM
9991235 9991637 9991899 9992153 9992488 A AM AM

9991235 9991637 9991899 9992153 9992488 A PM PM
Proctor Table Proctor Table
FRONT OF ROOM/SECTION

49 +1 (434) 951-5571
Seating Chart
5 December 2020
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
9992598 9992604 9997127 A 9997193 9998193 AM AM

9992598 9992604 9997127 A 9997193 9998193 PM PM
A 9992656 9994588 9996312 9997175 9997226 AM AM

A 9992656 9994588 9996312 9997175 Moved to seat 41 PM PM
9992488 9992682 9994473 A 9997161 9997248 AM AM

9992488 9992682 A A 9997161 9997248 PM PM
9992153 9992697 9994469 9996446 9997148 9997345 AM AM

9992153 9992697 9994469 9996446 9997148 9997345 PM PM
9991899 9992731 9994447 A 9997111 9997362 AM AM

9991899 A 9994447 A 9997111 9997362 PM PM
9991637 9992733 9993992 A 9997003 9997226 AM AM

9991637 9992733 9993992 A 9997003 9997226 PM PM
9991235 A 9993511 9996545 9996984 9997414 AM AM

9991235 A 9993511 A 9996984 9997414 PM PM
Proctor Table Proctor Table
FRONT OF ROOM/SECTION

+1 (434) 951-5571 50
Passport Number / Expiration Date Mismatch Log
December 2020
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.

51 +1 (434) 951-5571
ID Report
December 2020
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.

+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

53 +1 (434) 951-5571
Incident Report
December 2020
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

+1 (434) 951-5571 54
Violation Report
December 2020
Complete this report for TESTING POLICY VIOLATIONS. Provide as much detail as possible. Use back of sheet if needed.
(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
109 candidate’s identity? Indicate two or more:
Room/Section: _________________________________________
SAMPLE FORMS
23
Seat Number: ________________________________________
¨ Passport ü
¨ Seating Chart
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):
¨ 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) on desk top during the exam. Attach photocopy of faceplate(s).
Was the calculator used? ¨ Yes ¨ No
¨ Possessed or used 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
¨ ¨ Other Provide details: ¨ ¨ Yes ¨ No
ü Accessed, possessed, or used electronic device during timed portion of exam: (Refer to page 27 of the
¨
Procedures Manual)
Mark all that apply Additional instructions (Provide make/model) Was item powered?
¨ ¨ Mobile or smartphone ¨ Yes ¨ No
¨ ¨ Fitness device ¨ Yes ¨ No
¨ ¨ Smartwatch ¨ Yes ¨ No
¨ Refused to wear a face covering/mask (provide details including any reason provided by candidate):
3 seconds after the “Stop writing NOW” instruction.
¨ 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: ___________________

55 +1 (434) 951-5571
Suspected Cheating Report
December 2020
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: ____________________

+1 (434) 951-5571 56
Packing Form
December 2020
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

Candidates Used Used Unused
LEVEL II Issued From
Present Answer Sheets Exam Books Exam Books
Books Returned
Morning 20 19 19 19 1 20
Afternoon 20 19 19 19 1 20

Candidates Used Answer Used Exam Unused Exam
LEVEL III Issued From
Present Sheets Books Books
Books Returned
Morning 16 16 16 16 0 16
Afternoon 16 15 15 15 1 16

57 +1 (434) 951-5571
Exam Book Log
+1 (434) 951-5571
December 2020
Test Center Code: CHO Page _______ 1

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

Room Information Check-Out Check-In
Room/ Number of Used Unused Total Books
Section Books Books Books Returned
Session Number Level Proctor Name Issued Proctor Name Returned Returned must equal books 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
This page intentionally left blank.
INDEX
A F Returning Materials to the Book
Room, p. 32–33
Admission Ticket, p. 15, 47 Face Coverings, p. 30 Roster, p. 21–22, 48
Admitting Candidates, p. 11
Afternoon Announcements, p. 7–9
Announcements, p. 4–9
I S
Identification (ID), p. 15–18 Sample Forms, p. 47–58
ID Issues, p. 19
B ID Letter, p. 53
Seat Changes, p. 30
Seating Chart, p. 25, 49–50
Book Room Proctor ID Report, p. 52 Second Check of Passports and
Responsibilities, p. 34–35 Incident Report, p. 54 Calculators, p. 30
Incidents, p. 30 Shipping, p. 41
C Informing Candidates of Violation
Reports, p. 31
Suspected Cheating, p. 28
Suspected Cheating Report, p. 56
Calculators, p. 21, 43–46
Candidate Questions about the
Exam, p. 1 L T
Check-In Process, p. 12–25 Late Arrivals, p. 14 Time Remaining Signs, p. 11
Check-In Process Checklist, Late Starts, p. 14 Timing the Exams, p. 13
p. 12–13 Toilet and Water Breaks, p. 28–29
Closing the Doors to the Testing
Room, p. 13
M
V
INDEX
Collecting Exam Materials, Monitoring Candidates, p. 26–31
p. 31–33 Morning Announcements, p. 4–6 Violation Report, p. 55
Comfort Accommodations, p. 22 Violations, p. 27
Confrontational Candidates, p. 1 P
Packing Exam Materials for W
D Candidates Approved for Writing Instruments, p. 29
Damaged or Defective Exam Extended Testing Time, p. 41 Writing Past Time, p. 30
Materials, p. 23–25 Packing Form, p. 57
Damaged Shipping Cartons, p. 42 Packing Materials for Return
Distributing Books to Candidates, Shipment, p. 36–42
p. 22 Passport Number/Expiration Date
Dress Code—Testing Personnel, Mismatch Log, p. 51
p. 10 Personal Belongings—Candidate,
p. 20
Personal Belongings—Proctor, p. 11
E Prior to Exam Day, p. 10
Early Departures Not Permitted, Proctor Responsibilities
p. 30 Statement, p. 2
Enforcing CFA Institute Policies,
p. 1
Exam Book Log, p. 58
R
Exam Day Procedures, p. 10–11 Reconcile and Inspect Exam
Materials, p. 31–32
Reporting to the Test Center, p. 10

+1 (434) 951-5571 60
Quick Reference Sheet
Personal Belongings in the Testing Room (Procedures Manual p. 20)
Must be kept under chair and not
Must be kept on desk if needed Must be kept on floor
Must be kept on desk accessed during the timed portion of
during the timed portion of the exam when not in use
the exam
y Exam admission ticket y Calculator batteries/Screwdriver y Water bottle y Bag
y Approved calculator(s) y Earplugs/eyeglasses y Personal cleaning/ y Valid international travel passport
y Writing instruments y Erasers (no covers or wrappers) sanitizing supplies y Wallet
y Pencil sharpener y Extra face coverings y Eyeglasses case
y Wristwatch (no smart watches) y Keys
y Calculator case y Calculator pouch
y Keystroke card y Lunch
y Medicine/tissues y Phone/smartwatch
y Gum/candy/cough drops y Hat/outerwear
Candidate Passport (Procedures Manual p. 15–19)

Candidates must present their valid passport* during check-in to sit for the exam. Passport must:
y Be a current (not expired) international travel passport**
y Contain the name, passport number (last four characters), and expiration date as shown on the ticket
y Be an original document (photocopies are not acceptable)
y Be machine readable
y Include a recognizable photograph of the candidate on the data page
*Or pre-approved alternate form of ID. The alternate form of ID MUST be accompanied by a CFA Institute “Special ID Exception” letter and
candidate must be on the list provided to the Exam Supervisor.
**If expired, it must be accompanied by a CFA Institute “Special ID Exception” letter and candidate must be on the list provided to the
Exam Supervisor.
Acceptable Name Variation (Procedures Manual p. 17)
y It is acceptable for names to appear on the ticket and passport in a different order; however, the spelling must match.
y The passport may contain more names than the admission ticket. If the names on the ticket all appear on the passport, it is an
acceptable name variation.
y Suffixes such as “Jr.”, “Sr.”, “III”, etc., are not considered part of the name and are not required to match.
y 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. 19, 52) (Procedures Manual p. 19, 51)
y Not an international travel passport y Passport number (last four characters) and/or date of expiration
y Name does not match ticket (not expired) do not match ticket
y Expired y This form is for documenting passport number and/or expiration
y Photocopy data mismatch ONLY.
y No recognizable photograph on the data page y DO NOT use this form for name mismatches.
y Damaged (not due to tampering) y A call to Supervisor Support is NOT necessary.
y Not machine readable
y Clipped, hole punched or marked “Cancelled”
Incident Report Violation Report Suspected Cheating Report

(Procedures Manual p. 30, 54) (Procedures Manual p. 27, 55) (Procedures Manual p. 28, 56)
Room conditions, defective materials, e.g.: Violations of testing policy, e.g.: Suspicious behavior or suspected
y Testing room is hot, cold, noisy y Opening exam book early cheating, e.g.:
y Candidate moved to another seat y Writing past time y Looking at another candidate’s paper
y Torn answer sheet y Electronic devices found powered on or in y Hidden notes
use during the timed portion of the exam
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PROCEDURES MANUAL

EXAM DAY CONTACT INFORMATION

Contact Phone Number

Reporting Time and Location

Proctor Responsibilities December 2020................................................................................................2

Announcements Morning Announcements.............................................................................. 4

Proctors Prior to Exam Day............................................................................................10

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

Enforcing CFA Institute Policies

Please contact Supervisor Support if you have any questions.

Candidate Questions about the Exam

SUPERVISOR SUPPORT PHONE

Test Center Code:

Compliance with CFA Institute Procedures

CANDIDATE’S NAME (PLEASE PRINT) RELATIONSHIP

Proctor’s printed name:

Proctor’s email address:

SUPERVISOR SUPPORT PHONE

SUPERVISOR SUPPORT PHONE

SUPERVISOR SUPPORT PHONE

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

SUPERVISOR SUPPORT PHONE

SUPERVISOR SUPPORT PHONE

SUPERVISOR SUPPORT PHONE

SUPERVISOR SUPPORT PHONE

DRESS CODE— Required:

SUPERVISOR SUPPORT PHONE

Less than 3 hours remain

Admitting At the entrance to the testing room:

» If a candidate does not have a ticket, or if the ticket is illegible or

SUPERVISOR SUPPORT PHONE

Check-In Process Checklist

 Inspect the passport. It MUST:

SUPERVISOR SUPPORT PHONE

SUPERVISOR SUPPORT PHONE

If the candidate arrives more than 30 minutes after the start of

SUPERVISOR SUPPORT PHONE

If a Candidate’s Ticket… Required Action

Is illegible, information is missing, or y Your designated supervisor must

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

Has writing on front or back (i.e., y Confiscate the ticket

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

Identification (ID) A valid international travel passport OR an ID approved by CFA Institute

SUPERVISOR SUPPORT PHONE

Confirm the Photo Matches the Candidate Presenting the Passport

SUPERVISOR SUPPORT PHONE

y Lamination has been removed or reattached

Note: Normal wear and tear is acceptable.

Names may be listed in a different

The passport may contain more names

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

If the Surname or Given Name(s) field

ID procedures are detailed on page 19.

SUPERVISOR SUPPORT PHONE

Example: 4 May 2023

SUPERVISOR SUPPORT PHONE

If a Candidate… Required Action

SUPERVISOR SUPPORT PHONE

Must be kept on desk if needed y Loose calculator batteries (no packaging)

Must be kept on floor when not y Water bottle

SUPERVISOR SUPPORT PHONE

y Candidates may bring multiple approved calculators.

Inspect the passport. It MUST: