INTRODUCTION BEFORE THE EXAM - CISA

1 _____COMPLIANCE INSTITUTE SA CANCELLATION POLICY 1 INTRODUCTION Candidates who wish to be awarded the Compliance Practitioner (CPrac) designation are required to satisfy certain criteria of knowledge, practical skills and work experience. Board Examination I tests a candidate s knowledge and practical skills regarding the practice of compliance risk management. This study reference guide provides guidelines for the preparation of Board Examination I. Work experience is evaluated separately. BEFORE THE EXAM EXAM REGISTRATION Exam venue, format and language Board Exam I is a computer-based exam that takes place at approved assessment centres in Johannesburg, Cape Town and Durban. More assessment centres may be made available in future. The exam is only available in English. A confirmation will be sent to the candidate detailing the venue, date and time.

2 Cancellation and re-scheduling rules Cancellations will only be accepted in writing. Cancellation requests must be received within 5 business days of the original submission date. A cancellation fee of 50% of the assessment fee will apply for all cancellations received within the stipulated timeframe. Cancellations received after 5 business days of the submission date will be subject to the full assessment fee. Non-payment of an invoice will NOT be accepted as a cancellation. The candidate has to write the exam in the same calendar year in which approval to write was granted by the Institute and received by the candidate. If a candidate is unable to write the exam in the same calendar year in which approval was granted, written motivation setting out the reasons for such inability needs to be provided by the candidate and written permission must be obtained from the Compliance Institute Southern Africa for extension to write such exam at the next sitting.

3 Candidates may only reschedule an examination appointment once, and this must be done in writing to the Institute at least ten (10) business days BEFORE the scheduled exam date. A rescheduling fee equal to the assessment fee will be charged. If a candidate needs to reschedule an examination and fails to give at least ten (10) business days notice, s/he will be required to pay a rescheduling fee equivalent to the cost of the examination fee. Candidates, who cancel their examination after having received confirmation, will forfeit the examination fee. A complete application and full examination fee are required to reapply for the exam. A candidate, who fails to report for an examination, forfeits the examination fee. A complete application and full examination fee are required to reapply for the exam.

4 _____COMPLIANCE INSTITUTE SA CANCELLATION POLICY 2 Special needs Should you have any special needs ( wheelchair access, hearing or sight impairment), please inform the CI at least 30 days BEFORE the date of the examination. Confirmation of registration It is the candidate s responsibility to ensure that s/he receives confirmation of registration from the CI. If a confirmation has not been received within 30 days prior to the examination date, please contact the CI. BOARD EXAM PREPARATION SESSIONS Approved candidates will receive details of the Board Exam preparation session. This session will be available in the main exam centres, Cape Town, Durban and Johannesburg, or via other means such as webinars. The cost of this session is included in the examination fee. The purpose of this session is to assist candidates in their preparation for the exam and to ensure that candidates know what is expected of them.

5 While not compulsory, it is highly recommended that candidates attend the Board Exam preparation session. 2 POLICIES AND LEGAL DISCLAIMERS ENTRANCE TO THE EXAM VENUE Candidates are required to provide the following items to be admitted to the examination room / assessment centre: A valid identity document Exam confirmation letter from the CI Note: The confirmation letter will contain the log-in information to access the exam. Candidates must arrive at the examination room / assessment centre at least 30 minutes prior to the start of the exam to familiarise themselves with the computer-based system. Candidates who arrive after the exam has commenced will not be admitted. EXAM RULES General Examination rules come into effect as soon as the candidate enters the examination venue.

6 The invigilator will commence the exam session with the reading of the exam rules and communicate other relevant information. Candidates must submit in all matters to the directions and rulings of the invigilator. The exam system The invigilator will explain the working of the exam system. Candidates will do a practice round BEFORE attempting the actual exam. Questions presented during the practice round are similar to questions included in the exam. The time used for the practice round is excluded from the total examination time. Exam rules No cell phones or other electronic devices are allowed in the examination room. No reference material, templates, or other aids may be used, except for non-programmable calculators. Invigilators may not be asked questions concerning the content of the exam during the exam.

7 _____COMPLIANCE INSTITUTE SA CANCELLATION POLICY 3 If a candidate must be excused from the room, the invigilator should be notified. Only one candidate may leave the room at a time. During the course of the examination, no communication of any nature whatsoever may take place between candidates. Candidates may not walk about the room during the examination. No other act that appears to violate examination ethics will be permitted. In the case of an extended interruption during the exam due to failure of an internet connection, network or power failure: - The invigilator may, at his/her discretion, allow the candidates to choose whether they wish to continue writing after the interruption, or to reschedule the exam at no additional fee. - If the candidate then fails the exam, the candidate will not be able to object to the outcome citing the interruption as a reason for the appeal.

8 If applicable, the examination booklet, all scratch paper and notes are to be turned in with the answers. Candidates have three (3) hours in which to complete the examination. If a candidate finishes BEFORE the full time has lapsed, s/he should turn in any materials and leave the room quietly. The invigilator will announce regular time intervals and when time has expired. Breaking any of these rules could result in losing the privilege to sit this (or future) CI examinations. Also see Dismissals from Exam below. DISMISSAL FROM THE EXAM The invigilator may dismiss a candidate from the examination if the candidate: Is not authorised to be admitted into the exam venue Creates a disturbance or is abusive or otherwise uncooperative Gives or receives assistance to other candidates or is suspected of doing so Attempts to take the examination materials or notes from the examination room Attempts to take the examination for someone else Is observed with notes The dismissed candidate s examination score is voided and the exam fees forfeited.

9 Evidence of misconduct is reviewed by the CI Disciplinary Committee to determine whether the candidate will be allowed to reapply for the exam. If re-examination is granted, a complete application and examination fee are required to reapply. Should a candidate not be allowed to reapply and s/he is not satisfied with such decision, an appeal may be lodged with CI. The appeals procedure is available from CI. CONFIDENTIALITY POLICY Information about candidates and their results are considered confidential. However, CI reserves the right to use information supplied by, or on behalf of, a candidate for research and publicity. Studies and reports concerning candidates will not contain information identifiable with any candidate, unless authorised by the candidate. CANCELLATION OF EXAM Every attempt is made to administer examinations as scheduled, however an unforeseen emergency may require CI to cancel an examination.

10 If an examination is cancelled, all scheduled candidates will receive notification of the cancelled examination and information on how to reschedule or reapply for the exam at no extra cost to the candidate. _____COMPLIANCE INSTITUTE SA CANCELLATION POLICY 4 APPEALS If a candidate believes that his/her exam result is unfair, s/he must follow the appeal process to lodge an appeal. The appeals procedure evaluates whether procedures followed were consistent and that fair judgements have been made. The appeals procedure is not concerned with: Making judgements about candidate s work in the examination Re-marking or re-assessment of a candidate s work, although re-marking might be ordered as a result of an appeal if it is found that procedures have not been satisfactorily followed.