CFKMOP_SOW_Attachment_1.docx

RFP # 50310219R0TBD

U.S. Securities and Exchange Commission Division of Corporate Finance, Knowledge Management Office Training Support Services

STATEMENT OF WORK

CF – Knowledge Management Office Learning and Development Support

1.0 Background

The U.S. Securities and Exchange Commission (SEC), Division of Corporation Finance (CF) seeks to ensure that investors are provided with material information in order to make informed investment decisions, both when a company initially offers its securities to the public and on an ongoing basis as it continues to give information to the marketplace. The Division also provides interpretive assistance to companies with respect to SEC rules and forms and makes recommendations to the Commission regarding new rules and revisions to existing rules.

Through the filing review process, the Division selectively reviews filings made under the Securities Act of 1933 and Securities Exchange Act of 1934 both to monitor and to enhance compliance with disclosure and accounting requirements. The Division concentrates its review resources on disclosures that appear to be inconsistent with Commission rules or applicable accounting standards, or that appear to be materially deficient in their rationale or in clarity.

In the course of a review, the staff may issue comments to a company to elicit better compliance with applicable disclosure requirements. In response to those comments, a company may revise its financial statements or amend its disclosure to provide additional or enhanced information, or may undertake to revise its financial statements or other disclosures in future filings. This comment process deters fraud and facilitates investor access to information necessary to make informed investment decisions, thus enhancing the efficiency of the capital markets. Where appropriate, the Division refers matters to the Division of Enforcement.

The Division also has legal policy and accounting offices that provide legal and accounting support, advice and recommendations to the Commission, to the Division’s full disclosure program, and to the public. Through these offices CF recommends new rules to the Commission, or changes to existing rules, as needed to improve investor protection and to facilitate capital formation. We also provide advice to companies, investors and their advisors by issuing Staff Legal and Accounting Bulletins, staff Disclosure Guidance Topics, updates to the Division’s Financial Reporting Manual, no-action and interpretive letters and Compliance and Disclosure Interpretations.

The Division of Corporation Finance’s Knowledge Management Office (KMO) is tasked with creating a culture of knowledge sharing within the Division and developing knowledge-based systems and processes that align with the Division’s business processes. Strategies include: creating scenario or case study-based discussions as a means of transferring knowledge; establishing Division-based communities of practice; sharing CF-specific use cases for the Agency’s enterprise level tools (e.g. Intelligize, Audit Analytics, etc.) and Division of Economic and Risk Analysis developed tools; creating Division specific professional, accounting, and legal instruction in the form of job aids, guided discussion, and e-learning tools; generating knowledge repositories for staff to access CF specific direction (e.g., Compliance and Disclosure Interpretations and Review Program Guidance); identifying technologies to better share the information in these repositories; identifying knowledge brokers (key individuals with specific expertise to act as a subject matter expert on specific topics); working with OHR to design Division level programs that integrate knowledge sharing into employee job descriptions (e.g.,. peer mentoring); and working with OHR and the Office of Information Technology to identify collaborative technologies (wikis, shared bookmarking, blogs, etc.) to increase knowledge sharing across the Division.

The Knowledge Management Office will also be charged with identifying and creating the appropriate content, organizing it logically, keeping it relevant and up-to-date, making it easily accessible to staff and relevant external audiences, and evaluating its impact and utilization.

2.0 Specifications

The Division of Corporation Finance, Knowledge Management Office requires contractor services to support the design and implementation of a centralized structure and curriculum focused on the Division’s legal, accounting, industry-specific, and new employee training and development programs.

The contractor shall provide support in the following areas including, but not limited to:

· Assessment of prior and existing training curricula

· Conduct interviews of key stakeholders

· Review all current and prior training materials

· Review all evaluations/feedback for current/prior programs

· Research best practices of similar agencies/organizations

· Make recommendations for training structure

· Make recommendations for curriculum including learning objectives and possible formats

· Design action plans and project timelines on all approved training recommendations

· Implement new curriculum/structure and design and deliver new programs (to include train-the-trainer modules)

· Assess programs

All deliverables must be provided in draft to the COR or Government Project Manager for review and final approval prior to being distributed to CF staff. Contractor personnel shall not have discretion over final substantive training content, activities, or initiatives, and shall have no authority to bind the SEC during coordination with third persons.

3.0 Work Plan Specifications

3.1 Kick-off Meeting

The contractor shall schedule and hold a kickoff meeting to review the contract goals and objectives and to ensure that the proposed work is based upon CF’s mission, business practices, and systems. This kickoff meeting will take place no later than 10 business days after contract award.

3.2 Project Plan

No later than 30 calendar days of contract award, the contractor shall develop a proposed project plan that defines how the contractor proposes to conduct the work outlined in Section 2.0. The project plan may include: a proposed timeline for the overall project and scheduling of tasks, performance objectives, associated instructional strategies, deliverables, proposed materials and assessment tools, learning formats, and quality control measures. The contractor should provide an approach to ensure that all work outlined in Section 2.0 takes place within the base year period of performance.

3.3 Training Needs Assessment

The contractor shall assess CF’s current training curriculum by conducting interviews with key stakeholders; creating, distributing, and analyzing survey results; and/or reviewing training course evaluations.

3.4.1 Training Design and Development

The contractor shall translate the outcomes of the training needs assessment into program and learning objectives; develop program content; identify subject matter experts and speakers; determine program format, mode of delivery, and duration; develop session plans, participant and trainer guides, and participant and trainer resources; determine program evaluation methodology, data collection methods, timing and reporting formats; and define implementation and training requirements.

All deliverables must be provided in draft to the COR or Government Project Manager for review and final approval prior to being distributed to CF staff. Contractor personnel will not have discretion over final substantive training content, activities, or initiatives, and will have no authority to bind the SEC during coordination with third persons.

3.5 Training Implementation

The contractor shall review and test all training materials, tools, software, etc., to ensure items are ready for training. Once finalized and approval by the project manager and COR, the contractor shall implement the training programs.

3.6 Evaluation and Improvement

The contractor shall assess each program to ensure that the training content achieved the learning objectives and was effective for staff. Feedback provided through surveys and/or discussions with staff shall be integrated into the instructional strategy and training materials.

3.7 Status Meetings

The contractor shall participate in status meetings at least every two weeks (14 calendar days) either in person and/or via WebEx (at the Government’s discretion) to review the project plan, discuss progress on deliverables, and identify any improvements for moving forward. In between meetings, the contractor is expected to be reachable during business hours and shall respond to phone calls and/or emails from the Government as soon as possible but no later than two business days.

3.8 Status Reports

Every 30 calendar days following award, the contractor shall provide monthly written status reports to detail progress made toward fulfilling the requirements addressed in the SOW in accordance with Section 2.0. If deemed necessary by the Government, this report shall be followed up by formal discussion of contractor progress.

3.9 Final Close-out and Report

At the end of the base year period of performance, the contractor shall submit a written report on the contract’s goals, objectives, and deliverables attained; recommendations from the training needs assessment and evaluations; provide an overall summary of the effectiveness of the training program implementation; and next steps for CF.

3.10 Deliverables Schedule

3.11 Format of Deliverables

The contract deliverables shall be furnished as one (1) hard copy and in electronic media transmitted via email to the COR. All deliverables shall be compatible using the Microsoft Office Suite including MSWord, MS-Excel, MS-Project and MS-PowerPoint. Flow charts and other diagrams included in the deliverables should be developed using Visio Professiona1 software. The format of the contract deliverables may change to accommodate needs of the project.

4.0 Program Management

The contractor shall manage the contract process by maintaining cost control, schedule, and quality of all services and products. The contractor shall determine the project organization and overall management required to accomplish the task order. The contractor shall provide productivity and management tools to include monthly status reports and is directly responsible for ensuring the accuracy, timeliness, and completion of all calls under this effort.

5.0 Oversight and Tasking

Contractor discretion over policy and other substantive matters shall be subjected to regular and meaningful oversight by CF staff and the COR. This will occur in the form of developing clear lists of intended deliverables to contractor with established weekly check-ins regarding the status of draft periodic deliverables and/or review of nearly completed product before ultimate Government approval and use. The Government will guide the production of and be the final reviewer and approver on all created content. This oversight will be conducted by the Government Project Manager and the assigned COR through, as applicable, the contractor program manager. Government personnel, however, will not be providing daily/continuous input or redirection, particularly as to how the work is to be performed.

6.0 Staffing Qualifications

Outlined below are the positions that the Government expects the Contractor to use to fulfill the Statement of Work requirements. One or more personnel may be utilized and the Statement of Work requirements do not require a full-time schedule for any of the positions.

6.1 Training Project Manager (Key Personnel)

REQUIRED EXPERIENCE: The Training Project Manager shall possess a bachelor’s degree or higher. The Training Project Manager shall possess experience and knowledge in the areas of training and development, training needs assessment, instructional design and adult learning approaches, classroom instruction, and organizational development.

The Training Project Manager shall develop, direct, plan, deliver, and evaluate training programs or activities to meet internal employee learning objectives, and provide direct instruction and training to customers on legal, securities, and financial services training. The Training Project Manager shall work under consultative direction toward predetermined long-range targets and determines and pursues courses of action essential in obtaining desired outcomes. The Training Project Manager shall act independently to determine methods and procedures on new assignments. The Training Project Manager shall have experience with standing-up a new office that doesn’t have established protocols and processes; have the ability to work effectively across organizations; possess excellent customer service, organizational, and project management skills; and demonstrate strong attention to detail and analytical and problem solving skills. The Training Project Manager shall be able to work harmoniously and effectively with others, work under pressure, preserve confidentiality and exercise discretion, and be able to manage multiple projects with competing deadlines and priorities. The Training Project Manager shall possess excellent presentation skills with demonstrated proficiency in both oral and written communication and ability to produce quality programs and materials. Demonstrated ability to evaluate effectiveness of training programs and to develop targeted curriculum and programs is required.

PREFERRED EXPERIENCE: It is highly desired that the Training Project Manager possess a J.D., LL.B Degree or Accounting degree. In addition, it is highly desired that the Training Project Manager possess eight (8) or more years of experience in a law firm, financial services, or training and development environment. The Training Project Manager should have experience with managing a training program with content focused on legal or accounting principles. Familiarity with Continuing Professional Education (CPE) and Continuing Legal Education (CLE) credits is preferred.

6.2 Subject Matter Expert (optional)

REQUIRED EXPERIENCE: The Subject Matter Expert (SME) or equivalent shall possess a bachelor’s degree or higher. The SME shall possess a minimum of five (5) years of progressive functional experience related to analyzing customer training requirements in order to support planning, developing, and executing new courses. The SME shall serve as a subject matter technical expert in legal, securities, and financial services training, provide guidance to the technical staff on the functional procedures/processes/policies, interfaces with Government management personnel, and reports in writing and orally to Contractor management and Government representatives, including the Government CO and COR.

PREFERRED EXPERIENCE: If the Training Project Manager does not possess a J.D., LL.B Degree, or Accounting degree, then the SME must possess eight (8) or more years of experience in a law firm, financial services, or training and development environment.

6.3 Training Specialist (optional)

REQUIRED EXPERIENCE: The Training Specialist or equivalent shall possess a bachelor's degree or higher and five (5) years relevant experience in the training and development and instructional systems design space. The Training Specialist shall assist with needs analysis, course development, development of criteria for evaluating the effectiveness of course objectives, and evaluation and learning assessments. The Training Specialist shall collaborate with customers or internal functional organizations to develop, enhance, and/or evaluate new or existing learning objectives and course content. The Training Specialist shall work under limited direction, normally receiving direction from the Training Program Manager on routine work and new work assignments. The Training Specialist shall have expert knowledge of the processes, services, methodologies, and technologies required to support each of the Tasks identified above. The Training Specialist shall have experience with corporate university terminology, regulations, operations, procedures, requirements, and practices. The Training Specialist shall work with other staff within the KMO, CF, and SEC University to coordinate efforts, assess requirements, provide status updates, and follow through on deadlines as appropriate.

7.0 Type of Contract

This is a time and materials type contract.

8.0 Level of Effort Estimate

The Government estimates the level of effort required for this requirement as follows:

The Government anticipates that there will be level of effort variability based on project work and the Statement of Work requirements do not require a full-time schedule for any of the positions.

9.0 Place of Performance

The Contractor's place of performance will be primarily at its own office site. The Contractor will be expected to attend meetings on regular basis (e.g., monthly) at: SEC Headquarters, 100 F Street, NE, Washington, DC 20549.

12.0 Travel

The Government anticipates travel will not be required for performance of this contract.