Paul+Sanford

// Paul T. Sanford // Design Document - 619 // May 5th 2010 //

Learners will be able to recall information, and locate and identify appropriate guidance to support completion of the case-based Instructor Led Training. Course must be administered through computer-based delivery that will work on a multitude of hardware variations and not require installation of any specialized software (government computers from a variety of agencies with stringent but varied vetting processes). Delivery should be able to be achieved either through a web-based access (e.g. learning management system). Learners are all Commissioned Financial Institution Examiners ( [|www.ffiec.gov] ) possessing the following common characteristics: · The age range of the target population will range from 25 to 55. However, the great majority of learners will be between the 4th and 10th year of service with their agency and therefore between 26 and 32 years as the vast majority are recruited right out of college. While the learners are generationally diverse, the greatest concentration is therefore amongst the “millennial-generation” (1980 on). · Basic knowledge of BSA and the examination procedures/techniques applicable to this regulation acquired through both classroom and on-the-job experiences. · This material is viewed is important but relatively rote as the examination procedures are compliance driven and leave little room to apply judgment. Correspondingly, the majority of the population finds this material of little interest (75%) while the minority finds it of great interest (25%). · Given the relatively young age of most of the participants, there is a great deal of comfort with alternative delivery systems and therefore the possibility of non-ILT delivery should be well received. · Since the majority of the learners will have received their “commission” the motivation level will be somewhat diminished relative to their commissioning courses. However, the intrinsic motivation of these individuals who have worked diligently to receive their accreditation is relatively high. Correspondingly, the motivation to learn more about BSA examination procedures will be at least moderate. · College education with either a discipline in business or sufficient specialized business courses. · Laptop computers integral to the completion of their work assignments. Computers used to: o Create spreadsheets, write reports, and research information. o Research completed by accessing publicly available resources, but largely confidential databases and internal policies/guidance. · The participants are from a variety of agencies, however, the FFIEC is know for high quality content and delivery, the successful completion of the mission of these organizations is quite vital to the economic and financial security of our nation. · Racial and gender diversity reflecting the composition of the United States as a whole. · Socio-Economic-Status is relatively consistent as reflected in both the college education and the “white-collar” nature of the occupation. · Majority of learning experiences occurring over a 3-5 year commissioning process are through on-the-job training and mentorship. However, students also attend classroom based Instructor led training, and computer-based and web-based, and blended training courses. · Management greatly values the successful completion of BSA examinations, as this is an important component in the battle against organized crime and terrorism. Correspondingly, supervisors strongly support completion of this course material. // Delivery will be though a Content Management System supplemented by teleconferences, email exchanges, and wiki discussion board that will enable participants to interact with one another and the instructor. Case based instruction will continue with a F2F ILT experience following these initial 3 lessons performed online. // // The course will use a combination of elements to reach a variety of learning style preferences and re-enforce the concepts. Learners will perform the following three tasks to address the varied learning styles of the participants: // // - Aural - voice over of the objectives will be delivered // // - Visual - relevant graphics and screen shots of document will be provided to facilitate the "picture is worth a thousand words" approach. // // - Verbal - transcript of the aural presentation will be provided to scroll along with or use instead of the verbal presentation. //
 * Course/Program Title: **// Bank Secrecy Act Compliance Training //
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// Instructional materials will be derived from the FFIEC BSA Examination Manual. Materials will include either audio or video overviews, supplemented by readings, and activities (e.g. web-quest, multiple choice assessments, and essays). Additional outside references will be provided as resources, to the extent that these are publicly available. A synchronous instructor lead group exercise may be employed to increase familiarization with the BSA manual. //
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// 1 -Introductions // || The goal(s) of this lesson are: · Develop awareness of and comfort level with the instructors and fellow participants. Upon completion, with any available reference materials and 70% accuracy students will be able to: · I // dentify other participants // · // Describe background of instructors // · // Identify background of participants // || // Learners will: // // - complete their online profile // // - review other participant and instructor profiles // // - review instructor biography // || // Word Documents // // PP presentation // // CMS Profile // || [|//CMS BSA Moodle//] [|//Lesson 1 Moodle//] [|//Glossary//] [|//BSA Manual - Online//] [|//US Code - BSA//]
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· [|//FinCEN//] · [|//Federal Reserve Board//] · [|//Federal Financial Institutions Examination Council//] · [|//Office of Foreign Asset Control//] || // Participants will complete matching exercise that correlates their hobby with their name. // // Participants will write a sentence describing the most memorable aspect of the instructor's background // || // 2 -Goals and Administration // || The goal(s) of this lesson are: · // Ensure clarity of course goals for participants so they are aware of the overall anticipated outcomes. // // - Provide information necessary for participants to successfully participate in the training. // Upon completion, with any available reference materials and 70% accuracy students will be able to: · // Describe the goals and objectives of course // · // Explain administrative matters // || // Learners will: // || // Word Documents // // PP presentation // || [|//Lesson 2 Moodle//] [|//CMS BSA Moodle//] [|//Glossary//] [|//BSA Manual - Online//]

[|//US Code - BSA//]

· [|//FinCEN//] · [|//Federal Reserve Board//] · [|//Federal Financial Institutions Examination Council//] · [|//Office of Foreign Asset Control//] || // Multiple Choice Instrument // || // 3 -Principals and Red Flags // || The goal(s) of this lesson are: · Provide participants with basic money laundering information upon which to build examination skills Upon completion, with any available reference materials and 70% accuracy students will be able to: · // Describe basic money laundering principles // // Describe basic money laundering red flags // || // Learners will: // || // Word Documents // // PP presentation // || [|//CMS BSA Moodle//] [|//Glossary//] [|//BSA Manual - Online//] [|//US Code - BSA//]

· [|//FinCEN//] · [|//Federal Reserve Board//] · [|//Federal Financial Institutions Examination Council//] · [|//Office of Foreign Asset Control//] || // Multiple Choice Instrument // || Lesson 4 - BSA Examination Manual || The goal(s) of this lesson are: · //Provide foundational knowledge for using the BSA Examination Manual to conduct an examination// Upon completion, with any available reference materials and 70% accuracy students will be able to: · //Identify the key elements of the examination manual// · //Navigate through the FFIEC BSA/AML Examination Manual// || // Learners will: // Review the Power Point Lecture Read that attached Word Document Log-on to the Synchronous "DimDim" Session and Participate in the BSA Manual Quiz Game || // Word Documents // // PP presentation // || [|//CMS BSA Moodle//] [|//Glossary//] [|//BSA Manual - Online//] [|//US Code - BSA//] || // Completion of Synchronous Instructor Led Quiz Game // || 5 -Scoping and Planning || The goal(s) of this lesson are: · // Provide foundational knowledge for scoping out the examination process. // Upon completion, with any available reference materials and 70% accuracy students will be able to: · //Identify the BSA Examination Scoping and planing process elements// · //Identify the elements necessary to evaluate the adequacy of the institution’s risk assessment// || // Learners will: // Review the Power Point Lecture Read that attached Word Document Complete Quiz Post a response to the discussion forum and respond to at least 2 other posts || // Word Documents // // PP presentation // || [|//Lesson 5 Moodle//] [|//CMS BSA Moodle//] [|//Glossary//] [|//BSA Manual - Online//] [|//US Code - BSA//] [|//Scoping and Planning Overview//] [|//Risk Assessment//]

· [|//FinCEN//] · [|//Federal Reserve Board//] · [|//Federal Financial Institutions Examination Council//] · [|//Office of Foreign Asset Control//] BSA Manual Core Procedures.doc || // Completion of Quiz // // Posting to Discussion Forum // || 6 -Examination Activities || The goal(s) of this lesson are: · // provide foundational knowledge for planning BSA examination activities // Upon completion, with any available reference materials and 70% accuracy students will be able to: · // Assess adequacy of BSA/AML compliance programs // // - Select sample for testing // · // Execute common transaction testing techniques // || // Learners will: // || // Word Documents // // PP presentation // || [|//Scoping and Planning Core Examination Procedures//] [|//Risk Assessment Core Procedures//] [|//CMS BSA Moodle//] [|//Glossary//] [|//BSA Manual - Online//] [|//US Code - BSA//]

· [|//FinCEN//] · [|//Federal Reserve Board//] · [|//Federal Financial Institutions Examination Council//] · [|//Office of Foreign Asset Control//] || // Multiple Choice Instrument // || 7 -Examination Conclusions || The goal(s) of this lesson are: · // provide foundational knowledge for developing and presenting examination conclusions // Upon completion, with any available reference materials and 70% accuracy students will be able to: · // Discuss common deficiencies in AML programs // · // Develop conclusions and finalize BSA/AML review // || // Learners will: // || // Word Documents // // PP presentation // || [|//CMS BSA Moodle//] [|//Glossary//] [|//BSA Manual - Online//] [|//US Code - BSA//]

· [|//FinCEN//] · [|//Federal Reserve Board//] · [|//Federal Financial Institutions Examination Council//] · [|//Office of Foreign Asset Control//] || // Multiple Choice Instrument // || 