1. 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.

2. 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

3. 10 April 2018
To prepare for your duties, please read pages in the June 2016 Procedures Manual.
Make sure you understand
all of the procedures.
Ask your supervisor if you
have questions.
June 2016

4. 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

5. 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

6. 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

7. 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

8. 10 April 2018
Exam Cartons
Exams will be shipped to you in bright green cartons like these.
June 2016

9. 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. 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

11. 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

12. 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

13. 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

14. 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

15. 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

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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

22. 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

23. 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

24. 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

25. 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

26. Special situations
June 2016

27. 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

28. 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

29. 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

30. 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