Attachment 4 Training Notice-Confirmation Form (Aug 2019).docx

Training Notice and Confirmation Form For Contractor Personnel without Access to the SEC Network

Welcome to the SEC!

The Securities and Exchange Commission (SEC) has a rich history and continues to play a critical role in protecting investors; maintaining fair, orderly, and efficient markets; and facilitating capital formation. As a new contractor, we look forward to your immediate contribution supporting the agency’s important mission.

Mandatory Training As an SEC contractor, you have mandatory training requirements to ensure the safety and integrity of the SEC work environment; these training sessions are mandated by federal law and/or indicated in your company’s contract with the SEC. There are five training sessions you are required to complete that are identified in this notice.

Prior to starting work: You will need to complete the Privacy and Information Security Awareness training which includes IT Rules of the Road. An email will be sent to you with instructions on how to complete the training session. You must complete the training and sign the “Acknowledgement I” section of this form attesting you have completed it. Then send the form to the Contracting Officer’s Representative (COR) for your contract. You will not be allowed to start until this training requirement has been completed.

Once you start work: You will receive an email notifying you to complete four additional training sessions listed below under “Acknowledgement II” section. The training sessions are due as soon as possible but no later than 30 calendar days from your start date at the SEC. You must confirm that you have completed all of the training sessions and sign section II of this form. Then send the form to the Contracting Officer’s Representative (COR) for your contract. Training is not considered completed until the COR has received this form.

Annual training: You may also be required to fulfill annual training requirements. Your COR will notify you if you are required and when the training sessions are due.

Contractor’s Confirmation of Training

Print Your Full Name: __________________________________________________________

COR’s Name: ______________________________________ Contract #: _______________________

Acknowledgement I

Complete prior to starting work:

____ Privacy and Information Security Awareness (PISA) and IT Rules of the Road.

I, ____________________ confirm that I completed the training checked above by: ___/___/_____.

(Signature)

Acknowledgement II Complete NLT 30 calendar days once you begin work:

____ Continuity of Operations (COOP) Workforce Awareness ____ Protecting Non-public Information at the SEC ____ Records Management

I, ____________________ confirm that I completed the training sessions checked above by: ___/___/_____.

(Signature)

Thank you for your help in ensuring the safety and integrity of the SEC work environment. If you have any questions, please contact CORprogram@sec.gov or your assigned COR.

10/7/16 (updated 6/27/2019) Attachment 3