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Article 44: Professional Dues Reimbursement Program

Section 1

A. Subject to the availability of funds, the Employer will offer Professional Dues Reimbursement (PDR) for dues employees pay in connection with holding professional licenses and/or credentials, to the extent:

1. The Employer or OPM establish that employees are required to be members of particular professional societies and/or organizations (for example, attorneys and CPAs) in order to be employed in a SEC position; or

2. As a practical matter, the SEC encourages employees to hold professional licenses and/or credentials (for example, Certified Fraud Examiners) that will be used in the performance of their job duties.

B. Employees not classified as SK-0905 attorneys are eligible for reimbursement through the PDR Program for dues to maintain their bar licenses, provided the criteria in Section 1(A)(2) are met. The Employer agrees that Accountants and Examiners are encouraged to maintain an active bar license.

Section 2

A. Each calendar year, employees may submit PDR requests on a rolling basis, as the employee pays his or her dues for professional licenses/credentials. Requests must be submitted within 180 days of the end of the calendar year to which they apply. For example, a request for reimbursement of bar dues covering the period July 1, 2015, through June 30, 2016, would be due no later than June 30, 2017.

B. To be eligible for PDR, the requestor must be an SEC employee at the beginning of the period covered by the certification/license or approved membership and on the date requesting reimbursement.

C. All SK-0905 attorneys must annually self-certify that he or she maintains active licensure in one or more U.S. jurisdictions.

D. Any employee seeking reimbursement for a bar or certified public accountant license must annually self-certify that he or she maintains active licensure in one or more U.S. jurisdictions.

Section 3

A. Qualified bargaining unit employees are eligible to receive a maximum benefit of $400 per reimbursement year.

B. The employer will reimburse employees for fees required to maintain active professional certifications and licenses.

C. Fees for maintaining inactive certifications and licenses, voluntary contributions, and voluntary section/chapter dues are not reimbursable through the PDR Program.

D. The employer will not reimburse for fees required to take licensing examinations or obtain professional credentials and licenses.

Section 4

A. A request to include a certification/license not covered under the PDR Program should be submitted in writing through the askHR system. The written request must include a description of:

1. The certification;

2. The requirements needed to obtain the certification; and

3. How the certification pertains to the employee’s position at SEC.

Section 5

All PDR approvals under this Article will be made consistent with 5 U.S.C. §§ 5757 and 5946. The list of certifications that are currently reimbursed by the Agency is attached as Appendix 1. The list will remain in effect for the duration of this Agreement, but may be expanded at management’s discretion.

Appendix 1: Approved PDR Certifications as of November 1, 2018

Abbreviation                        Description

                                             State Bar Licenses

                                             State Professional Geoscientist Licenses

                                             Engineering & Science Licenses/Credentials

ACP                                     NALA Advanced Certified Paralegal

AICPA                                  American Institute of Certified Public Accountants

CAIA                                    Chartered Alternative Investment Analyst

CAMS                                  Certified Anti-Money Laundering Specialist

CAP                                     Certified Analytics Professional

CBCP                                  Certified Business Continuity Professional

CCIE                                   Cisco Certified Internetwork Expert Certification

CCISO                                Certified Chief Information Security Officer Certification

CCP                                    Certified Computing Professional

CEDS                                 Certified E-Discovery Specialist

CEH                                   Certified Ethical Hacker Certification

CERA                                 Chartered Enterprise Risk Analyst

CFA                                    Chartered Financial Analyst

CFA                                    Certified Financial Analyst

CFCE                                 IACIS Certified Forensic Computer Examiner

CFE                                   Certified Fraud Examiner

CFF                                   Certified Financial Forensics (requires AICPA membership)

CFP                                   Certified Financial Planner

CGEIT                               Certification in the Governance of Enterprise Information Technology

CGFM                               Certified Government Financial Manager

CGMA                               Chartered Global Management Accountant

CIA                                    Certified Internal Auditor

CICA                                 Certified Internal Controls Auditor

CIMA                                Chartered Investment Management Analyst

CIPM                                Certificate in Investment Performance Measurement

CIPP/G                             IAPP Certified Information Privacy Professional-Government

CIPP/M                             IAPP Certified Information Privacy Manager

CISA                                 Certified Information Systems Auditor

CISM                                Certified Information Security Management

CISSP                              Certified Information Systems Security Professional

CMA                                 Certified Management Accountant

CMath                              Chartered Mathematician

COEE                               Certified Office Ergonomics Evaluation Technical Certification

COMP                               Computing Technology Industry Association (CompTIA) Security+

CPA                                   State Certified Public Accountant Licenses

CRCP                                Certified Regulatory and Compliance Professional

CRISC                               Certification in Risk and Information Systems Control

CSCP                                Certified Securities Compliance Professional

CVA                                   Certified Valuation Analyst

EnCE                                 Encase Certified Examiner

FCPA                                 Forensic Certified Public Accountant (CPA)

FITSP                                Federal IT Security Program

FRM                                  GARP/PRMIA Financial Risk Manager

GIAC                                 Global Information Assurance Certification Certified Incident Handler (GCIH)

IACCP                               Investment Advisor Certified Compliance Professional

ISACA                               Information Systems

ICS2                                 Information Systems Control 2

MAFF                               Master Analyst in Financial Forensics

PE                                    Professional Engineer

PMP                                 PMI Project Management Professional

RIMS-CRMP                     RIMS-Certified Risk Management Professional