2-PWS_AML Certifcation.pdf

PERFORMANCE WORK STATEMENT (PWS)

Anti-Money Laundering (AML) Specialist Certification, Deputy Chief Staff Comptroller, HQ USASOC

Part I

General Information

1. General: This is a non-personal services contract to provide Anti-Money Laundering (AML) Training and opportunity for Certified Anti-Money Laundering Specialist (CAMS). The Government shall not exercise any supervision or control over the contract service providers performing the services herein.

Such contract service providers shall be accountable solely to the Contractor who, in turn is responsible to the Government. The Contractor, in turn, shall be accountable to the Government for Contractor or subcontractor personnel.

1.1. Description of Services/Introduction: The Contractor shall provide all personnel, equipment, supplies, facilities, transportation, tools, materials, supervision, and other items and non-personal services necessary to perform Anti-Money Laundering Training and Certification, as defined in this Performance Work Statement (PWS), except for those items specified as government furnished property and services.

The Contractor shall perform in accordance with (IAW) the terms and conditions of the contract and consistently with the established standards in this PWS and contract.

1.1.1. The desired result is for the DCSCMP to receive training and become certified on Anti-Money Laundering to detect and prevent money laundering and terrorist activities financing. The training focuses and complies with international Financial Action Task Force and US Treasury rules and regulations on this topic, providing foundational understanding necessary to test and obtaining the Certification of CAMS from Association of Certified Anti-Money Laundering (ACAMS). CAMS enables dedicated Counter Threat Finance and Financial Crimes professional to promote standards for the detection and prevention of money laundering and terrorist financing.

1.2. Background: In January 2021, the U.S. Senate passed the Anti-Money Laundering Act of 2020. The Anti-Money Laundering Act was designed to strengthen and modernize AML/Counter Financing of Terrorism (CFT) infrastructure to reflect the capabilities of emerging technologies and new criminal methodologies. Money laundering and terrorist financing is a constant threat to U.S. national security and global stability. U.S. Government employees in the financial arena must negate our adversaries and criminal organizations all money-laundering activities.

1.3. Objectives: The basic service objective includes the following:

1.3.1. Provide AML instructor-led training to a 10 group size with virtual or in-person options.

1.3.2. Provide AML study materials either physical or digital copies.

1.3.3. Provide CAMS Certification Test. The certification includes exam fees, proctor fees, and applicable membership fee requirement.

1.4. Scope: The training must cover AML risks, methods, compliance and investigating process including additional context for a military audience. This training prepares the students for testing and AML certification. Services include all instruction, materials, testing and membership fees. The Contractor shall accomplish the AML Specialist Certification training by using methodic instruction procedures.

Specific to the CAMS testing, contractor must support the processing and application for testing qualifications and issuance of testing center approval codes.

1.5. Period of Performance: The period of performance shall be for a one (1) Base Year of 12 month.

Base Year: 1 June 2021-31 May 2022

Option Years: 1 June 2022- 31 May 2023

1.6. General Information

1.6.1. Quality Control: Quality Control is the responsibility of the Contractor. The Contractor is responsible for the delivery of quality services/supplies to the Government (see FAR 52.246-1 Contractor Inspection Requirements).

1.6.1.2. Contractor Discrepancy Report (CDR): When the Contractor's performance is unsatisfactory, a CDR will be issued. The Contractor shall reply in writing within five (5) workdays from the date of receipt of the CDR, giving the reasons for the unsatisfactory performance, corrective action taken, and procedures to preclude recurrence.

1.6.1.3. Quality Assurance: The COR will evaluate the Contractor’s performance under this contract in accordance with the Quality Assurance Surveillance Plan (QASP). This plan is primarily focused on what the COR must do to ensure that the Contractor has performed in accordance with the performance standards. It defines how the performance standards will be applied, the frequency of surveillance, and the minimum acceptable defect rate(s). When an observation indicates defective performance, the COR will require the Contractor or designated on-site representative to initial the observation to acknowledge the defective performance. The acknowledgement of the observation does not necessarily constitute Contractor concurrence with the observation, only that the Contractor has been made aware of the defective performance.

1.6.2. Property Management System: The Government will not provide furnished equipment, property or material to the Contractor.

1.6.3. Recognized Federal Holidays: The Contractor is not required to perform services on holidays.

1.6.3.1. When a holiday occurs on a Saturday, Federal employees are normally granted the previous Friday as the holiday observance. When a holiday occurs on a Sunday, Federal employees are normally granted the following Monday as the holiday. The contractor shall work on the days the Government is scheduled to work.

1.6.3.2. When an unforeseen installation closure occurs on a regularly scheduled day of work, the Contractor will have the following options:

1.6.3.2.1. Reschedule the work so it is performed the following day unless the following day falls on a weekend.

1.6.3.2.2. Reschedule the work on any day that is mutually satisfactory.

1.6.4. Hours of Operation: The Contractor shall be responsible for providing services, between the hours of 7:00 AM – 5:00 PM (or as later agreed with the COR) Eastern Time Monday through Friday, except federal holidays or when the government facility closes due to local or national emergencies, administrative closings or similar government directed facility closings. The Contractor shall at all times maintain an adequate workforce for the uninterrupted performance of all tasks defined within this PWS when the government facility is not closed for the above reasons.

1.6.5. Place of Performance: Contractor is not required to have routine access to Government-controlled facilities or installations. The work to be performed under this contract shall be accomplished at virtually or a designated physical location as agreed upon the Contractor and the COR

1.6.6. Security Requirements: Contractor personnel is not required to have a security clearance.

Contractor personnel shall comply with all applicable security and safety regulations, guidance, and procedures, including local, referenced in this PWS and in effect at the work sites.

1.6.6.1. For instruction of the training in a Military installation, the Contractor shall provide the COR a list of personnel seeking access to the installation. The COR shall receive the information via email no later than ten business days prior to the training to provide with sufficient phase-in days to obtain access to Fort Bragg, NC.

1.6.7. Key Control: Not Applicable.

1.6.8. Special Qualifications.

1.6.8.1. General:

1.6.8.1.1. The Contractor shall be responsible for ensuring all personnel performing work under this contract possess and maintain current certifications as indicated in PWS during the execution of this contract.

1.6.8.1.2. The Contractor is cautioned that off duty active military personnel hired under this contract may be subject to permanent change of station (PCS), change in duty hours or deployment. Military Reservists and National Guard members may be subject to recall to active duty. Their absence at any time shall not constitute an excuse for nonperformance under this contract.

1.6.8.1.3. Contractor personnel performing work under this contract shall be able to read, write, speak, and understand the English language to effectively carry out all contract requirements. They shall have a command of both the written and spoken English language to properly clearly, and effectively communicate in person or via electronic devices (telephone or Email) with co-workers, customers, and the general public.

1.6.8.1.4. Contractor personnel performing work under this contract shall be U.S. citizens unless the provisions of Army Regulation 25-2, Information Assurance have been fully completed and approval has been granted by the Government for the non-U.S. citizen to perform the required support.

1.6.8.1.5. Contractor is not required to possess or maintain current Information Assurance Technician (IAT) Level I professional certification during the execution of this contract.

1.6.8.1.6. Contractor personnel is not required to have a favorable National Agency Check (NAC) with inquiry in accordance with Security definition for personnel who occupy “ADP (Automated Data Processing) Sensitive” positions, as per AR 380-67, paragraph 3-601, “The Personnel Security Program”

1.6.8.1.7. Contractor Employees Requiring Access to Government Information Systems: Contractor does not require access to Government-controlled information systems during performance of work under this contract.

1.6.8.2. Other Qualifications: The Contractor shall only employ knowledgeable individuals to deliver the training.

1.6.8.2.2. Specific qualifications include:

• Contractor is able to produce AML training material.

• Contractor is able to deliver the training using information systems such as MS Teams or similar.

• Knowledge of AML and practical application examples.

• Ability to instruct the training in preparation for the AML certification.

• Able to provide AML certification test codes.

1.6.8.3. Safety Requirements: The health and safety of the total force (Service Member, Civilian, and Contractors) is essential to mission success. In the event of a declared DoD public health emergency or pandemic, all contractor personnel performing or traveling under performance of this contract are required to follow the latest issued DoD, state, and local guidance regarding Force Health Protection and Public Health. The Contracting Officer must approve any reasonable change in contract performance that results from following the latest health protection guidance. Published health protection guidance may include but is not limited to, workplace access restrictions, social distancing, personal protective equipment, Contractor Restriction of Movement (ROM), Reporting requirements, and Screening/Testing/Quarantining requirements.

1.6.9. Post Award Conference/Periodic Progress Meetings: The Contractor agrees to attend any post award conference convened by the contracting activity or contract administration office in accordance with Federal Acquisition Regulation (FAR) Subpart 42.5. The post award conference will also be utilized to ensure contractor understands all HSPD-12 requirements. The KO and/or COR may meet periodically with the Contractor to review the Contractor's performance. At these meetings the KO and/or COR will apprise the Contractor of how the Government views the Contractor's performance and the Contractor will apprise the Government of problems, if any, being experienced. Appropriate action shall be taken to resolve outstanding issues. These meetings shall be at no additional cost to the Government.

1.6.10. Contracting Officer Representative (COR): The COR will be identified by separate letter of appointment. The COR monitors all technical aspects of the contract and assists in contract administration. The COR is authorized to perform the following functions: Assures that the Contractor performs the technical requirements of the contract; performs inspections necessary in connection with contract performance; maintains written and oral communications with the Contractor concerning technical aspects of the contract; issues written interpretations of technical requirements, including government drawings, designs, specifications; monitors Contractor's performance and notifies both the KO and Contractor of any deficiencies; coordinates availability of government furnished property, and provides site entry of Contractor personnel. A letter of designation issued to the COR, a copy of which is sent to the Contractor, states the responsibilities and limitations of the COR, especially with regard to changes in cost or price, estimates or changes in delivery dates. The COR is not authorized to change any of the terms and conditions of the resulting contract.

1.6.11. Key Personnel: There are no considerations for Key personnel with the exception of meeting the standards outlined in paragraph 1.6.8.2.2 of this PWS.

1.6.12. Contractor Personnel:

1.6.12.1. Identification of Contractor Personnel: All Contractor personnel attending meetings, answering government telephones, and working in other situations where their Contractor status is not obvious to third parties, are required to identify themselves as such to avoid creating an impression in the minds of members of the public that they are government officials.

1.6.12.1.1. All Contractor personnel performing work under this contract is not required to obtain a Department of Defense (DoD) Common Access Card (CAC).

1.6.12.2. Contractor Personnel Appearance and Performance: It is essential that all Contractor personnel meet the highest standards of professionalism and personal integrity. The Contractor shall ensure their personnel do not perform work under the influence of alcohol, illegal prescribed drugs or any other incapacitating agents. Contractor personnel shall be neatly groomed and dressed in business casual attire to present a professional appearance at all times.

1.6.13.2.1. Travel Arrangements: The Contractor shall be responsible for making all necessary travel arrangements for assigned contractor employees. The Government shall not be responsible for any travel cost.

1.6.14. Organizational Conflict of Interest: The provisions of FAR Subpart 9.5, Organizational and Consultant Conflicts of Interest, concerning organizational conflicts of interest govern this contract. The Contractor shall notify the Contracting Officer immediately whenever it becomes aware that such access or participation may result in any actual or potential OCI and shall promptly submit a plan to the Contracting Officer to avoid or mitigate any such OCI. The Contractor’s mitigation plan will be determined to be acceptable solely at the discretion of the Contracting Officer and in the event the Contracting Officer unilaterally determines that any such OCI cannot be satisfactorily avoided or mitigated, the Contracting Officer may affect other remedies as he or she deems necessary, including prohibiting the Contractor from participation in subsequent contracted requirements which may be affected by the OCI.

1.6.17. Phase-Out Period:

1.6.17.1. Phase-Out: The Contractor shall provide the Technical POC information related to certification passing rates ten business days after the certification examination. The Contractor shall provide the Technical POC an After Action Report (AAR) with any information to that might improve certification-passing rates.

PART 2

DEFINITIONS & ACRONYMS

2. Definitions and Acronyms:

2.1. DEFINITIONS:

2.1.1. CONTRACTOR. The total contractor organization or a separate entity of it, such as an affiliate, division, or plant that performs its own purchasing.

2.1.2. CONTRACTING OFFICER (KO). A person with authority to enter into, administer, and/or terminate contracts, and to make related determinations and findings on behalf of the Government. Note:

The only individual who can legally bind the Government.

2.1.3. CONTRACTING OFFICER'S REPRESENTATIVE (COR). An employee of the U.S. Government appointed by the contracting officer to administer the contract. Such appointment shall be in writing and shall state the scope of authority and limitations. This individual has authority to provide technical direction to the Contractor, as long as that direction is within the scope of the contract, does not constitute a change, and has no funding implications. This individual does NOT have authority to change the terms and conditions of the contract.

2.1.4. CONTRACTOR PERSONNEL. Contractor and subcontractor employees performing working under this contract.

2.1.5. DEFECTIVE SERVICE. A service output that does not meet the standard of performance associated with the Performance Work Statement (PWS).

2.1.6. DELIVERABLE. Anything that can be physically delivered, but may include non-physical things, such as meeting minutes or reports.

2.1.7. KEY PERSONNEL. Contractor employees who are critical for achieving PWS objectives. Key personnel shall meet position qualification and experience requirements indicated in the PWS. When key personnel qualifications are used as an evaluation factor in “Best Value” procurement, the Contracting Officer is the only one authorized to concur with key personnel replacement after award of the contract.

When proposed key personnel resumes are used as an evaluation factor in best value procurement, a letter of commitment may be required from the individual whose resume is provided.

2.1.8. LOCAL TRAVEL: Any travel that is required to perform services IAW the PWS that is within a 50-mile radius of the place of performance.

2.1.9. PERFORMANCE PREQUIREMENT SUMMARY (PRS). A listing of the service outputs under the contract that are to be evaluated by the COR on a regular basis, the surveillance methods to be used for these outputs, and the performance requirement of the listed outputs.

2.1.10. PHYSICAL SECURITY. Actions that prevent the loss or damage of government property.

2.1.11. QUALITY ASSURANCE. A planned and systematic pattern of all actions necessary to provide confidence that adequate technical requirements are established; products and services conform to established technical requirements; and satisfactory performance is achieved. For the purposes of this document, quality assurance refers to actions by the Government.

2.1.12. QUALITY ASSURANCE SURVEILLAND PLAN (QASP). The Government’s organized written document specifying the surveillance methodology to be used for surveillance of Contractor performance.

2.1.13. QUALITY CONTROL. All necessary measures taken by the Contractor to assure that the quality of an end product or service shall meet contract requirements.

2.1.14. SUBCONTRACT. Any contract as defined in Subpart 2.1 entered into by a subcontractor to furnish supplies, or services for performance of a prime contract or a subcontract. It includes but is not limited to purchase orders, and changed and modifications to purchase orders.

2.1.15. SUBCONTRACTOR. One that enters into a contract with a prime Contractor. The Government does not have privity of contract with the subcontractor.

2.1.16. WORK DAY. The length of time during a day in which the Contractor provides services, in accordance with the contract. Also referred to as Business Day.

2.1.17. WORK WEEK. Monday through Friday, unless otherwise specified.

2.2. ACRONYMS:

AFARS Army Federal Acquisition Regulation Supplement

AR Army Regulation

CFR Code of Federal Regulations

CONUS Continental United States (excludes Alaska and Hawaii)

COR Contracting Officer Representative

DA Department of the Army

DD250 Department of Defense Form 250 (Receiving Report)

DFARS Defense Federal Acquisition Regulation Supplement

DOD Department of Defense

FAR Federal Acquisition Regulation

HIPAA Health Insurance Portability and Accountability Act of 1996

KO Contracting Officer

OCI Organizational Conflict of Interest

PRS Performance Requirements Summary

PWS Performance Work Statement

QA Quality Assurance

QAP Quality Assurance Program

QASP Quality Assurance Surveillance Plan

QC Quality Control

QCP Quality Control Plan

TE Technical Exhibit

PART 3

GOVERNMENT FURNISHED PROPERTY, EQUIPMENT, AND SERVICES

3. GOVERNMENT FURNISHED ITEMS AND SERVICES:

3.1. Services: The Government will not provide services to the Contractor. The Contractor is responsible for the delivery of the instruction and certification materials.

3.2. Facilities: The Government will not provide the Contractor office space. In the event that training, and certification is to be performed in Military installation, the Contractor shall meet with the procedures outlined in paragraph 1.6.6.1 in this PWS.

3.3. Utilities: The Government will not provide utilities.

3.4. Equipment: The Government will not provide equipment.

3.5. Materials: The Government will not provide materials.

PART 4

CONTRACTOR FURNISHED ITEMS AND SERVICES

4. CONTRACTOR FURNISHED ITEMS AND RESPONSIBILITIES:

4.1. General: The Contractor shall furnish all supplies, equipment, facilities and services required to perform work under this contract that are not listed under Part 3 of this PWS.

4.2. Materials: The Contractor shall provide online training materials necessary to meet the requirements under this PWS.

4.3. Services: The Contractor shall provide instructor-led training and examination for the AML Specialist Certification.

PART 5

SPECIFIC TASKS

5. Specific Tasks:

5.1. Basic Services.

5.1.1 The Contractor shall coordinate with the COR all aspects of the training delivery to ensure all parties are aware of times, locations and general expectations for a successful training event. The Contractor shall arrange with the COR days and times when the training will be conduct after the award of this contract.

5.1.2. The Contractor shall provide the following services for the AML Specialist Certification materials to the Government.

5.1.2.1. AML Online training access and materials. The Contractor shall deliver program instruction and course syllabus to the Technical POC at least 3 weeks before each training session.

5.1.2.2. Virtually or on-site instructor-led training for a group of up to 10 individuals per interaction.

5.1.2.3. Provide a membership for Association of Certified Anti-Money Laundering Specialist (ACAMS).

5.1.2.4. Provide a proctor for the CAMS examination.

5.1.2.5. The Contractor shall provide CAMS certification at the end of each training interaction for each student who successfully achieves the certification standards.

5.2. PROGRAM MANAGEMENT

5.2.1. The Contractor shall provide overall management, personnel, planning, quality control, direction, coordination, and deliverable submissions to ensure effective contract performance.

5.2.2. The Contractor shall be responsible for successful management of all contract activities.

5.2.3. The Contractor shall establish contractor management procedures to support the mission, main tasks, ancillary task, and objectives as listed in this PWS.

5.2.4. The Contractor shall attend coordination and synchronization of activities meetings.

PART 6

APPLICABLE PUBLICATIONS

6. Applicable Publications (Current Editions):

6.1. The Contractor shall abide by all applicable regulations, publications, manuals, and local policies and procedures.

AR 25-2 Information Assurance

AR 530-1 Operations Security (OPSEC)

PART 7

TECHNICAL EXHIBIT LISTING

7. Technical Exhibit List:

7.1. Technical Exhibits:

Technical Exhibit 1 Performance Requirements Summary

Technical Exhibit 2 Deliverables Schedule

TECHNICAL EXHIBIT 1

Performance Requirements Summary

The contractor service requirements are summarized into performance objectives that relate directly to mission essential items. The performance threshold briefly describes the minimum acceptable levels of service required for each requirement. If the Government is responsible for any discrepancies, these will not be counted as deficiencies on the part of the contractor but shall be kept on file as part of the official audit trail. These thresholds are critical to mission success.

Performance Objective

Performance Standard

Performance Threshold Acceptable

Quality level

(AQL)

Formal Method of Surveillance

Incentive/ Disincentive

High Quality Instructor-Led Training

As detailed in PWS Paragraph

1.6.8. Special Qualification, Instructor will be certified, knowledgeable about AML, conveys ideas and information clearly.

Pass rate above 95%

Student Feedback; previous experience; training material presented; reviewing the passing rate reports

Observe instructor-student interactions

Contractor attaining a 95% above passing rate will result in a satisfactory rating.

Obtaining the

ACAMS

Certification

As detailed in PWS Paragraph 5.1.1.5, Participants of the training interaction successfully obtain the

AML Certification.

Pass rate above 95%

Provided passing rates

Contractor attaining a

95% above passing rate will result in a satisfactory rating.

ACAMS Online training access

As detailed in PWS Paragraph 5.1.1.1, the contractor shall deliver POI and syllabus to COR 3 weeks before each training session.

Pass rate above 95%

Provide Course Access and Syllabus

Contractor attaining a 95% above passing rate will result in a satisfactory rating.

TECHNICAL EXHIBIT 2

DELIVERABLES SCHEDULE/CDRLs

Deliverable Frequency # of Copies Medium/Format Submit To PWS Paragraph

Program of Instruction/Course Syllabus

NLT seven days before each iteration of training.

Online Access to all participants

Online Access

Technical

POC

Paragraph 5.1.1.1.

Course Completion Certificate

At the end of each iteration

One per student

Hard Copy or Digital

Each student Paragraph 5.1.1.5.

After Action Report

10 business days after the completion of a training iteration

Original AAR will be delivered via email

Technical

POC

Paragraph

2.1.14 and 4.6;