RFI for Recurring Examiner SME Training.pdf

Federal Deposit Insurance Corporation

3501 Fairfax Drive, Arlington, VA 22226-3500

REQUEST FOR INFORMATION

This is a Request for Information (RFI) only. This RFI is issued solely for information and planning purposes and shall not be construed as a Request for Proposal (RFP) or as an obligation on the part of the Government to acquire any products or services. Submitting a response does not ensure your firm will be solicited on any resulting RFP. Not responding to this RFI does not preclude participation in any future RFP. The Government does not intend to award a contract on the basis of this request or otherwise pay for the information requested. Submission of a response to this request is entirely voluntary. The voluntary submission of a response to this request shall not obligate the Government to pay or entitle the submitter of information to claim any direct or indirect costs or charges or any other remuneration whatsoever.

The Federal Deposit Insurance Corporation (FDIC), Corporate University is seeking vendor support to research, design, develop, deliver, and evaluate recurring training for Anti-Money Laundering (AML)/Countering the Finance of Terrorism (CFT) and Trust Department examiners.

The FDIC is conducting this market research to identify capable vendors with the technical expertise, prior experience, and depth of knowledge to perform these services. This market research will also help inform the agency’s acquisition strategy. The FDIC strongly encourages the participation of minority-owned and women-owned businesses in all the business and contracting activities of the FDIC. Interested vendors should be registered in the System for Award Management (www.SAM.gov). Any future solicitation may be by invitation-only and may not be released to the general public.

Vendors capable of fulfilling this requirement are requested to submit documentation addressing the information below. The FDIC reserves the right to use any and all information submitted by, or obtained from, this RFI in any manner FDIC determines is appropriate including, but not limited to, the creation of a competitive solicitation. If responses include business confidential and/or proprietary information, the information must be clearly marked accordingly, and the FDIC will safeguard it appropriately.

Please review the Draft SOW attached herein and provide your firm’s response to the questions below. Your firm’s response is limited to 5 pages (measuring 8.5 by 11 inches, with 1-inch margins) and 12-point font size.

1. Of the list below, please indicate whether your firm has expertise in each specific area, and in what context:

- Expertise administering training programs dealing with the examination of financial institutions for compliance with AML/CFT and Trust regulations.

http://www.sam.gov/

- Expertise advising and/or providing consultation services on training development related to examination of financial institutions for compliance with AML/CFT and Trust regulations.

- Expertise implementing and delivering training related to examination of financial institutions for compliance with AML/CFT and Trust regulations.

- Expertise evaluating training related to examination of financial institutions for compliance with AML/CFT and Trust regulations.

2. Does your firm have experience training regulatory subject matter experts on intermediate to advanced topics applicable AML/CFT and Trust (including, but not limited to, regulatory changes, industry trends, new technologies, emerging threats, and risk mitigation strategies)? Please describe.

3. Has your firm previously customized your existing training, conferences, or events to meet the specific needs of regulatory subject matter experts in the financial industry or federal government? Please describe.

4. Is there any requirement or desired capability within the attached Draft SOW that your firm is not able to provide?

5. Is there any requirement NOT included in the attached Draft SOW that would better meet the need to provide current, timely and impactful skills and knowledge to AML/CFT and Trust specialists?

Please provide any additional information in your response that you determine to be relevant, even if not expressly asked in the questions above.

All responses must be submitted electronically to the Contracting Officer (CO), Jemal Williams at jemwilliams @fdic.gov, by 1:00p.m. EDT on Wednesday January 22,2025. All questions pertaining to this RFI should be directed to the CO at the email address specified. The CO may contact responders to clarify capabilities and other matters.

mailto:jemwilliams@fdic.gov

Statement of Work for Recurring SME Training 1

DRAFT Statement of Work

Recurring Examiner Subject Matter Expert Training

1. BACKGROUND

The Federal Deposit Insurance Corporation (FDIC) maintains stability and public confidence in the nation’s financial system by insuring deposits, examining and supervising financial institutions, and managing resolutions and receiverships. FDIC Corporate University (CU) is responsible for the training and development of FDIC managers and employees, of which financial institution examiners are the largest occupational group.

The FDIC is seeking a Contractor to research, design, customize, and deliver training to specialists in the Division of Risk Management Supervision (RMS). Each training offering will be delivered to regulatory subject matter experts (SMEs) specializing in either:

Anti-Money Laundering (AML)/ Countering the Financing of Terrorism (CFT), or Trust Departments.

Two unique training offerings are sought - one for each specialist type - to be offered every two years to all specialists in that category. There will be multiple deliveries of each training offering. Offerings should address intermediate to advanced topics relevant to the specialty, including regulatory changes, industry trends, new technologies, emerging threats, and risk mitigation strategies. Training content may be developed specifically for the FDIC or repurposed from the Contractor’s other training, conferences, or events and customized for this purpose.

Target Audience

The target audience includes approximately:

250 AML/CFT specialists examine financial institutions for compliance with U.S. laws and regulations enacted to combat money laundering and the financing of terrorism, especially as it applies to U.S. financial institutions. These specialists participate in at least 3 AML/CFT examinations with moderate or high complexity profiles, and complete FDIC on-the-job training (OJT) focused on the benchmarks of FDIC’s AML/CFT OJT Program.

100 Trust specialists examine financial institutions for compliance with U.S. laws and regulations applicable to trust accounts. These specialists participate in at least 3 Trust examinations with moderate or high complexity profiles, and complete FDIC’s Basic, Advanced, and/or Expert Trust OJT program, as required by their designation level.

2. SCOPE OF WORK

The Contractor shall provide instructional design and training services for virtual synchronous and classroom delivery of two distinct specialty training offerings. This award may be made on a two-year basis, or an option period basis. Over each two-year period awarded, the Contractor shall:

Research relevant objectives and training materials for each offering and identify 16 hours of intermediate to advanced training content to be included in each offering.

Submit two training design proposals – one per specialty - that outline the learning objectives and training content planned for each training offering.

Statement of Work for Recurring SME Training 2

Develop new training content (and/or customize existing materials) to create each training offering as outlined in the training proposal and meet the requirements of this SOW. (See 3.0)

Work collaboratively with the FDIC to create a mutually acceptable schedule for delivering each offering during the period.

Provide all instructional services and materials required for delivery of each offering.

3. GENERAL REQUIREMENTS

The contractor must meet the following requirements:

Use experienced project manager(s) to ensure the contract requirements are efficiently managed, completed as specified in this contract, and delivered on time.

Meet with the FDIC to discuss the needs of each audience; propose learning objectives and training topics for each offering; and review developed content.

Use experienced instructional systems designer(s) to develop and/or customize the training content for each offering, (See 3.1) as well as to modify and/or update the course, as directed by the OM. (See 3.3)

Pilot each offering and modify as necessary. Evaluate pilot results and recommend appropriate updates to course offerings FDIC team.

Finalize and deliver all training materials (physically and/or electronically) to the Oversight Manager (OM).

Coordinate each offering with the OM (See 3.2) and deliver with the support of FDIC staff. (See 5.2) Coordinate with OM to evaluate each offering (minimally, through Level 1 survey and Plus/Delta results) from each session.

3.1 Development or Customization

The contractor will develop and/or customize the training content as outlined in the training proposal and meet the requirements of this SOW. This may include, but is not limited to the following:

Develop and deliver a Project Management Plan for the customization of materials Perform research into changes in the regulatory environment and banking industry to determine:

o The regulatory priorities of the FDIC and other FIRREA agencies o Any specific or emerging challenges facing each AML/CFT or trust accounts o Any FDIC-specific challenges or scenarios that should be addressed for either specialty o Related financial technology, industry trends, or other changes relevant to either specialty

Data collected from the FDIC or its staff during this process may not be disclosed or retained outside of the Contractor’s relationship with the FDIC, without written permission of the OM. All copies of any data held by the Contractor must be destroyed prior to the conclusion of this contract. Confirmation of the destruction of the materials will be required.

Apply this research to submit two training design proposals – one per specialty - that outline the learning objectives and training content planned for each training offering.

o Receive feedback from FDIC SMEs to ensure the training proposed reflects FDIC regulatory priorities, and the offered skillsets are impactful, current and timely.

o Respond to this feedback and adjust the training design as necessary.

Statement of Work for Recurring SME Training 3

Develop new training content (and/or customize existing materials) to create each training offering as outlined in each approved training proposal and the requirements of this SOW.

o Receive feedback from FDIC SMEs to ensure the training offerings meet the agreed upon learning objectives and training content and adhere to FDIC requirements.

o Pilot the materials to ensure the training is effective at meeting these needs.

o Review pilot results, recommend appropriate revisions, and complete post-pilot changes, as directed by the OM.

Finalize and deliver all training materials.

The Contractor must ensure that all training materials:

Fully address the learning objectives and training content listed in the approved training proposal.

Incorporate a variety of effective instructional strategies (e.g., demonstrations, case studies, etc.)

and activities to fully engage learners in the training.

Use FDIC-specific examples or scenarios or activities, when possible.

Include job aids, guidelines, or other tools to assist in applying the skills introduced in training.

3.3 Training Scheduling, Delivery Mode, and Size

Scheduling

The OM provides an overall schedule for performing the services and delivering the work product upon Contract award. The date for each training offering is established collaboratively with the Contractor, and approved by the OM.

Training dates are to be scheduled at least 30 days prior to the first offering. All training offerings shall be completed within the two-year option period.

The OM may change the date of any individual session by providing notice to the Contractor no less than 25 days prior to the scheduled session. The Contractor and OM shall mutually agree to the rescheduling of sessions.

FDIC reserves the right to cancel courses when there are less than 12 participants registered to attend a class and will provide Contractor with NLT 25 days prior to the session.

Delivery Mode

FDIC determines how many sessions will be offered virtually and in-person. FDIC reserves the right to switch delivery mode (e.g., from classroom to virtual) based on participant feedback and other deciding factors. FDIC will notify the Contractor of any change affecting mode of delivery within 30 days prior to course start date.

Classroom Courses

The location of training will be determined at time of scheduling each year. The Contractor shall conduct in-person instruction in a designated classroom at either the:

FDIC Training Center at (3501 N. Fairfax Drive or 3701 N. Fairfax Dr., Arlington), or Dallas Learning Center (600 N Pearl St, Dallas, TX 75201)

Instructors are expected to reside in the FDIC Seidman Residence Center when delivering training in Arlington VA. Accommodations will be arranged and confirmed by the OM.

Statement of Work for Recurring SME Training 4

Virtual Courses

The FDIC uses MS Teams as virtual learning platform. FDIC reserves the right to switch to another virtual platform. In such a case, will collaborate with the Contractor for a smooth transition by allowing sufficient time and help as needed.

The FDIC recognizes that setup requirements vary by platform. The Contractor may request to use an alternative virtual learning platform acceptable to the FDIC with the approval of the OM.

Size

The ideal class size will be approximately 25 to 30 employees, with a maximum capacity of 36. Based on audience size, the FDIC estimates approximately 10 offerings of AML/CFT specialist training and 4 offerings of Trust specialist training will be required.

3.2 Other Updates, As Needed

After the training offerings have been finalized, if other updates are needed for regular training maintenance and any other reasons deemed necessary by the FDIC or the Contractor, the following guidance will apply. The Contractor shall estimate the time to complete minor training modifications to training content and delivery and seek approval from the OM prior to beginning work.

Minor Training Modifications

These modifications are defined as changes that require no more than eight hours to complete.

Examples include changing the sequence of offerings, emphasizing or de-emphasizing modules to focus content on areas of interest and concern, or addressing feedback from participants.

Upon the OM’s request, the Contractor shall make minor training modifications to training content and delivery, at no additional cost to the FDIC.

Major Training Modifications

These are defined as changes that require more than eight hours to complete, per training. Examples include revising content to increase the relevance to the FDIC, adding activities to better engage participants, adding new content, or increasing the level of interaction and engagement.

If major training modifications are necessary, the FDIC will reimburse the Contractor under the labor hour portion of the contract.

4. DELIVERABLES

Deliverable Detail Proposed Timeline

Kickoff meeting The FDIC’s OM will schedule a meeting with the Contractor to discuss any expectations and answer any questions the Contractor may have.

Following the Effective Date of the Contract, as requested by the OM.

Project Plan Develop a Project Plan for a one-time customization work (if necessary) and a pilot and obtain the FDIC’s approval and concurrence.

Within 7 business days after receiving general feedback from the FDIC.

The OM will respond to the

Statement of Work for Recurring SME Training 5

Deliverable Detail Proposed Timeline

Project Plan must show the schedule for performing the services, delivering the work product, factoring in at least two cycles of review of the training materials, conducting a pilot, collecting post-pilot edits, and finalizing the training materials.

The Contractor shall build in sufficient time to implement updates that result from the feedback and recommendations of the FDIC upon review of the proposed training materials when developing the Project Plan.

Contractor via email within 5 business days.

Data Gathering and Training Proposal

The Contractor shall perform information gathering and provide a training proposal based on this work. The FDIC will make staff available to the Contractor to perform this data gathering.

The Contractor will deliver a summary of this analysis and propose learning objectives, training content, and any existing training content sources.

The Contractor will meet with the FDIC to obtain concurrence on the proposal for the training.

Customization will be completed as specified in the agreed-upon Project Plan.

Delivery of Training Materials for FDIC Review

The Contractor shall develop or customize all materials (e.g., participant workbook, audio/visual materials, PowerPoint slides, and other electronic media) outlined in the training plan. The FDIC team will review the training materials and provide feedback on:

Any missing training objectives or topics outlined in the proposal.

Areas in need of additional activities, learner engagement strategies, or other changes required to ensure instructional effectiveness or relevance to the target audience.

The Contractor shall provide customized training materials as specified in the project plan.

The FDIC will provide specific feedback within 21 business days of receiving the materials.

The Contractor shall address this feedback as specified in the project plan.

Statement of Work for Recurring SME Training 6

Deliverable Detail Proposed Timeline

Pilot The contractor will pilot the in-person/classroom version of the training.

Feedback from the Pilot will be collected, reviewed, and addressed by the Contractor as directed by the OM.

The Pilot will occur as specified in the project plan.

Pilot materials must be received at least 10 business days prior to the Pilot offering.

Delivery of Final Training Materials

Changes to the training materials shall be completed with the FDIC’s approval and concurrence.

The Contractor will provide all training materials in electronic formats during the development phase.

Revisions to the training after the Pilot will be completed as specified in the agreed upon Project Plan.

The Contractor shall make post-pilot corrections to the training materials and submit to the OM at least 15 business days prior to the first offering.

Content Review Meetings

The FDIC expects the Contractor to participate in meetings with subject matter experts, during the customization and development of training materials to discuss any training content, revisions, and updates.

As specified in the agreed upon Project Plan

Meetings with OM The Contractor’s Program Manager may be asked to meet with the FDIC’s OM and TM as needed.

As deemed necessary and requested by the OM

If the FDIC requires the Contractor to design, develop, and deliver a new module or adjust instructional strategies after post-pilot changes are completed, the FDIC Contracting Officer will issue a modification to this Contract, which will include a separate Schedule of Deliverables. (See 3.2)

4.1 Training Materials

Instructor Guide

The Contractor shall develop Instructor Guides for this training. The content in the guides shall be accurate, current, and contain sufficient detail to ensure that all instructors use the guide to teach in a consistent manner. At a minimum, Instructor Guides shall include:

Table of contents Agenda: including days, hours, lessons, etc.

Learning objectives broken down by lessons or modules Training content Instructions and explanations for activities or learning engagement and interactions Answer keys to polling or knowledge check questions Any other training administration and instructional requirements, as appropriate

Statement of Work for Recurring SME Training 7

References

Note: The Contractor must ensure that all instructors use the FDIC-approved and accepted content and that all presenters use the same presentation for a given topic. Even if multiple instructors teach a lesson or lesson in this training, all instructors shall use the same presentation, scenarios, and activities, regardless of which instructor is delivering the training.

Participant Guide

The Contractor shall develop a Participant Guide for this training that is accurate, current, and contains all appropriate materials and resources. At a minimum, Participant Guides shall include:

Table of contents Agenda: including days, hours, lessons, etc.

Learning objectives Training content, including any PowerPoint slides used in the trainings.

PowerPoint slides presented in a handout format that allows for note taking.

Any materials required for practice conversations, role-play scenarios, or other activities.

Other resources and materials

Standards for All Training Materials

All materials (printed and electronic) must meet the following standards, at minimum.

All materials shall be written for a general audience that has varying educational levels from high school to advanced college degrees

All materials must comply with federal plain language guidelines. These guidelines may be found at https://www.plainlanguage.gov/guidelines/.

All materials must be owned or licensed by the Contractor for use by the FDIC, and fully comply with copyright law for the term of this contract as well as any licensing option exercised.

All materials must ensure examples and images used represent diversity in race, age, gender, etc.

Content shall be current and accurate. When used, factual data and statistics must include citations or references.

Electronic materials (to include the Instructor Guide, Participant Guide, and any other materials required by participants) must comply with Section 508 of the Rehabilitation Act. The Contractor will be responsible for ensuring these materials comply with the DHS Trusted Tester standard.

Additional information about the Section 508 Trusted Tester Conformance Test Process may be found at https://www.dhs.gov/trusted-tester.

All materials shall be clear and easy-to-read. All materials shall reflect professional production standards of the quality obtained through desk-top publishing.

Instructions for completing any worksheets, assessment instruments, or activities shall be clear and unambiguous to instructors and participants.

Slide presentations must be created in MS PowerPoint.

PowerPoint slides must be professional in appearance (e.g., avoid using pixelated or cartoon images, pixelated charts or images, unnecessary decoration, etc.).

PowerPoint font sizes must be large enough to easier reading in both electronic and printed formats.

https://www.plainlanguage.gov/guidelines/ https://www.dhs.gov/trusted-tester

Statement of Work for Recurring SME Training 8

4.2 Delivery of Training Materials

The Contractor will provide the training proposal (citing any existing training products, and design or customization recommendations) and documentation of any data collection performed.

The OM will return comments/requested corrections on each proposal to Contractor.

The Contractor shall design or customize the materials and submit to the OM for review by the

SME team and acceptance by the FDIC prior to the Pilot.

The Contractor will document any data collection from the Pilot offering.

The OM and SME team will provide comments/requested corrections based on post-pilot data collection and Contractor recommendations.

The Contractor shall make corrections to the materials and submit updated materials to the OM for final review by the SME team and acceptance by the FDIC.

The Contractor will deliver a master copy of the accepted training materials (including, but not limited to, participant guides, visual presentations, and instructor guides) in a digital format at least 15 business days prior to the first training offering.

This course is planned to employ electronic materials; however, at the FDIC’s discretion, participant guides or other materials may be printed by the FDIC within FDIC facilities.

5. KEY PERSONNEL

Key personnel include the Instructional Systems Designer, Instructor(s), and Project Manager.

Qualifications must conform to the list of required competencies.

5.1 Personnel Competencies of Key Personnel

Project Manager must have:

A minimum of five years of experience managing multiple-offering training projects Training or certification(s) demonstrating their ability to plan, monitor, and control the budget, schedule, resources, and other aspects of a large training project.

Instructional Systems Designers must have:

A minimum of five years in designing and developing engaging and interactive training that is practical for instructors to teach and applies adult learning principles.

Minimum of two years of experience in performing needs analysis work to determine training needs, preferably as it applies to financial services, regulatory needs, or the banking industry.

Experience designing and developing training using the delivery method(s) that the training materials they are creating will use.

Instructors must have:

A minimum of five years of experience providing effective and engaging training facilitation Knowledge of all Federal laws and regulations impacting the content they are teaching Expertise in the specialty (either AML/CFT or Trust accounts) being addressed by the training A strong understanding of the training’s content, activities, and strategies.

Familiarity with any electronic media or tools to be used during training delivery A minimum of three years of experience in instructing a sophisticated and diverse audience.

Statement of Work for Recurring SME Training 9

Note: Instructors should be able to support any technology or tools used during the live training or any supplementary virtual training events. If virtual training is used, the Contractor may utilize technical support by a producer or other technical support personnel (to monitor chat or Q&A, administer polls, troubleshoot technical issues, etc.). If no support is utilized, the instructor must be able to manage these activities independently in addition to all instructional responsibilities.

5.2 Removal of Key Personnel

The OM will decide on instructor quality and appropriateness, based upon training evaluation data and classroom observations made by the OM. The FDIC Contracting Officer, OM, or TM will provide feedback regarding instructor performance to the Contractor, as deemed warranted.

Contractor Personnel shall be removed from the Contract upon the request of the FDIC Contracting Officer for unacceptable actions such as inferior performance, inability to control the class, providing false information to participants, or any other inappropriate behavior that may reflect poorly on the FDIC.

6. APPLICABLE DOCUMENTS AND RESTRICTIONS

Government Property

FDIC does not intend to issue government property to the contractor (i.e., laptops). The Contractor will not have access to the FDIC network. If the decision changes during the project, contractor personnel must go through an FDIC-sponsored security check. There is no cost to the contractor.

Place of Delivery of Performance

The in-person/classroom-based trainings described in the SOW shall take place at FDIC facilities across the continental United States outlined in Appendix A. All other work activities related to this project shall be performed by the Contractor at their own corporate facilities.

Meetings and data collection with FDIC personnel will be held virtually, unless the Contractor obtains the prior consent of the OM to hold them in-person and does not incur additional cost to the FDIC to do so.

If virtual training is used to supplement the classroom training, it will not require the facilitator to be present at FDIC facilities.

The Contractor may be required to attend periodic meetings via teleconference calls or in person, and/or make presentations, as determined by the FDIC OM.

7. GENERAL ACCEPTANCE CRITERIA

The general quality measures as set forth below will be applied to each deliverable received from the contractor under this SOW. As stated earlier, all training materials are subject to two review cycles by the FDIC Project Team, including SMEs.

Content Accuracy

Deliverables must be accurate in presentation and technical content. The Contractor shall correct any inaccurate information upon FDIC’s request.

Statement of Work for Recurring SME Training 10

Timeliness

Deliverables must be submitted on or before the agreed-upon due dates specified in the Project Management Plan or submitted in accordance with a later scheduled date determined by the FDIC.

Collaboration with FDIC Personnel

The contractor must be receptive to allowing members of the FDIC instructional design staff, SMEs, or OM to complete work and/or give input to this project.

8. TRAVEL

Travel within the DC Metro area will be considered local and will not be reimbursed. All travel outside of the DC Metro area must be pre-approved by the OM and will be reimbursed in accordance with FDIC travel policy and any applicable federal regulations.

Statement of Work for Recurring SME Training 11

Appendix: Example of Potential Topics

In the initial cycle (2025-2026), FDIC’s Anti-Money Launder (AML)/ Countering the Financing of Terrorism (CFT) specialists may benefit from additional training in:

Third party relationships/risk management (exams for AML/CFT, CIP, Customer Due Diligence) Reviewing model validations and evaluating AML model efficacy Sanctions and automated monitoring systems Outsourcing AML and fraud monitoring responsibilities Reviewing audit coverage and evaluating audit efficacy

In addition, Trust specialists may benefit from additional training in: Employee Benefit Plans, IRAs, and Corporate Trust.

Size

4.2 Delivery of Training Materials

8. TRAVEL