Book room proctor training CHARTERED FINANCIAL ANALYST (CFA) EXAM June 2016 **Supervisor: Prior to training, print a copy of this presentation for each book room proctor. Instruct them to bring this information and the Procedures Manual on exam day.

10 April 2018 As a book room proctor, you are vital to a successful exam administration. You maintain exam security by controlling the handling and distribution of the exam materials. You facilitate the grading process by reconciling and packing the materials correctly for return shipment. June 2016

10 April 2018 To prepare for your duties, please read pages 41-49 in the June 2016 Procedures Manual. Make sure you understand all of the procedures. Ask your supervisor if you have questions. June 2016

Set up the book room for efficiency and security. 10 April 2018 Set up the book room for efficiency and security. Place work tables along the perimeter. Place barrier tables between the work tables and the entrance. Use signs to help with crowd control. June 2016

Book room security: Never leave the book room unattended. 10 April 2018 Book room security: Never leave the book room unattended. Allow only authorized personnel in the restricted area of the book room (e.g., supervisor, assistant supervisor, EAS, book room proctors). Restricted Area June 2016

Supplies you’ll need: Rubber bands Strong shipping tape Pens 10 April 2018 Supplies you’ll need: Rubber bands Strong shipping tape Pens Permanent markers Materials provided by CFA Institute: Envelopes for administrative paperwork and tickets Plastic envelopes for answer sheets New: Cardboard sheets to protect the answer sheets These replace the black laminated sheets used previously June 2016

Organizing Exam Cartons 10 April 2018 Organizing Exam Cartons Each exam carton is labeled with the contents: form number, level, session, and number of books. The labels are color coded to match the cover of the exam book. Use the labels to separate cartons by level and session. Do not open any exam cartons until exam day. 1XXX Level I Morning - 100 2XXX Level 2 Morning - 100 3XXX Level 3 Morning - 100 1XXX Level I Afternoon - 100 2XXX Level 2 Afternoon - 100 3XXX Level 3 Afternoon - 100 June 2016

10 April 2018 Exam Cartons Exams will be shipped to you in bright green cartons like these. June 2016

Exam Cartons The cartons will be taped with blue FedEx tape. 10 April 2018 Exam Cartons The cartons will be taped with blue FedEx tape. Use clear packing tape to seal your return shipment. You do not need to use blue tape. June 2016

10 April 2018 For the AM session the carton labels and exam book covers are the following colors: Level I – Brown Level II – Blue Level III – Purple June 2016

10 April 2018 For the PM session the carton labels and exam book covers are the following colors: Level I – Green Level II – Orange Level III – Gray June 2016

Special Print/Pack Special Print Exams 10 April 2018 Special Print Exams If you have a candidate approved for a special print exam, the carton that contains the special print exam will be marked with a white label printed with blue lettering. Ask your designated supervisor for additional instructions. Special Print/Pack June 2016

Distribution of books – both sessions 10 April 2018 Distribution of books – both sessions Unpack only the books for the current session. Confirm each carton contains the correct number of books, using the quantity shown on the label. If the carton does not contain the correct number of books, Notify your designated supervisor Note the discrepancy on the Exam Book Log Complete an Incident Report June 2016

Distribution of books (continued) 10 April 2018 Distribution of books (continued) Set out the books to be picked up for each room or section. Ensure each proctor picks up the correct: Session Level Number of books Track the distribution of books on the Exam Book Log. June 2016

Replacement/Supplemental Exam Materials 10 April 2018 Replacement/Supplemental Exam Materials If section proctors ask you for additional exam books, call Supervisor Support before distributing the last exam book for any session/level. This includes AM and PM books for all levels. Please ask your designated supervisor if you have questions. June 2016

Collection of materials – AM session 10 April 2018 Collection of materials – AM session Collect and count books returned by room proctors. Record appropriate information on the Exam Book Log. Collect answer sheets. Ensure all materials are in roster order by room or section. June 2016

Collection of materials – AM session (continued) 10 April 2018 Collection of materials – AM session (continued) Reconcile the Exam Book Log Collect reports Violation Reports Suspected Cheating Reports All other forms should be kept in the testing room or section for use in the PM session. June 2016

Collection of materials – PM session 10 April 2018 Collection of materials – PM session Collect and count books returned by room proctors. Record appropriate information on the Exam Book Log. Collect answer sheets. Collect admission tickets. Ensure all materials are in roster order by room or section. Reconcile the Exam Book Log. June 2016

Collection of materials – PM session (continued) 10 April 2018 Collection of materials – PM session (continued) Collect all forms: Candidate Rosters Seating Charts Incident Reports Violation Reports Suspected Cheating Reports ID Reports Passport Data Mismatch Logs Packing Forms June 2016

What to pack: All exam books (used and unused) Answer sheets Paperwork 10 April 2018 What to pack: All exam books (used and unused) Answer sheets Paperwork June 2016

10 April 2018 Paperwork Pack rosters, reports, and other administrative paperwork in the envelopes labeled for paperwork. Make sure ALL pages of the roster are packed, in order –even pages that are blank or for rooms in which all candidates were absent. Place the rosters on top of the other forms. June 2016

10 April 2018 Tickets Make sure the tickets for each room/section are in roster order. Arrange tickets for all rooms/sections in the order the room/sections are listed on the roster. Pack tickets in the envelopes labeled for tickets. June 2016

Answer Sheets Ensure answer sheets are in roster order. 10 April 2018 Answer Sheets Ensure answer sheets are in roster order. Pack answer sheets, along with the cover sheet and cardboard sheets, in the plastic envelopes that are clear on one side. Make sure the cover sheet shows through the clear plastic. June 2016

Please do not pack the following items: 10 April 2018 Please do not pack the following items: Vests Badges and lanyards Procedures Manuals Unused forms and signs Unclaimed candidate belongings June 2016

Did you know? In June 2015, CFA Institute received: 3,956 cartons of exam materials, 223,418 answer sheets, and 27,468 Level III essay exam books from 264 test centers around the world. That’s a lot of materials to sort, reconcile, and grade – in a very short time! That’s why it’s so important to follow the packing directions in the Procedures Manual (pages 43-48), the Exam Packing video, and in this presentation. By doing so, all of the shipments will be organized in the same way and CFA Institute can process them efficiently. June 2016

Special situations June 2016

If you have a Religious Alternate Date (RAD) exam… 10 April 2018 If you have a Religious Alternate Date (RAD) exam… RAD materials will be clearly marked with pink labels on the top and side of each carton. Separate the RAD cartons from the cartons for the regular exam date. Store the RAD exam materials securely until the RAD exam date. Do not open the cartons of RAD exam materials until the RAD exam date. June 2016

Packing RAD Exam Materials 10 April 2018 Packing RAD Exam Materials Pack and ship RAD exams separately from the regular test center’s exams. Do not combine any RAD materials with the materials for the regular test center. Be sure to label the boxes with the correct test center code. June 2016

10 April 2018 If you have accommodated (ADA) candidates who have been granted extended testing time: ALL materials for these candidates for the AM session AND the PM session (including the rosters) must be packed and shipped together. If necessary, return the materials in a separate shipment from the main center’s materials. Call Supervisor Support for assistance. See page 48 in the Procedures Manual. June 2016

to handle exam materials properly Thank you in advance for all your hard work to handle exam materials properly and return them to CFA Institute promptly. June 2016