3-Vendor Due Diligence Questionnaire.docx
DOCX document 61 KB Posted
- Attached to
- Investment Operations Consultancy Questionnaire
- Solicitation number
- Operations_Questionnaire_2026
- Issued by
- Texas
About this file
This is a Due Diligence Questionnaire for vendors seeking to provide investment operations consultancy services to the State of Texas through SWIB (likely the State of Texas Investment Advisory Board or similar entity). The questionnaire is designed to establish a pre-qualified vendor list for ad-hoc contractor services and short-term staff augmentation projects. There is no submission deadline specified, as the opportunity remains open continuously for vendors meeting the stated criteria. The questionnaire requests vendors to disclose any changes in primary contact information during the previous calendar year and provide updated details including name, title, phone number, and email address if applicable.
The questionnaire requires vendors to report on seven key areas of due diligence for the preceding calendar year: litigation, regulatory investigations, or regulatory inquiries involving state, federal, or local agencies such as the FTC, ICE, USCIS, or SEC; any audits such as IRS or OSHA audits; claims made against customers, employees, or contractors; new conflicts of interest that could impair the vendor's ability to provide unbiased advice to SWIB; insurance claims; and indemnification claims paid internally or through insurance coverage. Vendors must respond with yes or no answers and provide detailed explanations for any affirmative responses. Supporting documentation, including page 1 images, must be submitted as attachments alongside the completed questionnaire.
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Other files
| File | Type | Posted |
|---|---|---|
| 4-ConsultancyMSA Master.pdf | ||
| 5-Attachment B - Representations and Warranties.pdf | ||
| 2-Consultancy Pool Rate Card Template.xlsx | XLSX spreadsheet | |
| 1-Investment Operations Vendor Questionnaire.docx | DOCX document | |
| 6-Attachment A - Public Records Acknowledgement.pdf |
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Text version
| YES |
| NO |
| For the previous calendar year (January through December), please indicate (YES or NO) whether you have experienced any of the following: |
| 1. | ||
| ☐ | ☐ | Change in primary contact information? |
If yes, please provide updated contact information below:
Name:
Title:
Phone Number:
Email Address:
| 2. | ||
| ☐ | ☐ | Litigation, regulatory investigation (“regulatory” refers to state, federal or local agencies including but not limited to, the FTC, ICE, USCIS or SEC) or regulatory inquiry ongoing or concluded, as applicable? |
If yes, please explain:
| 3. | ||
| ☐ | ☐ | Any audits (for example, an IRS or OSHA audit) ongoing or concluded, as applicable? |
If yes, please explain?
| 4. | ||
| ☐ | ☐ | Any claims made by you against customers, employees or contractors ongoing or concluded, as applicable? |
If yes, please explain:
| 5. | ||
| ☐ | ☐ | New conflicts of interest impacting SWIB (for example, any significant personal or business relationships of the Vendor or any other circumstances that could conflict with the Vendor’s duty to provide unbiased advice to SWIB)? |
If yes, please explain:
| 6. | ||
| ☐ | ☐ | Insurance claims? |
If yes, please explain:
| 7. | ||
| ☐ | ☐ | Any indemnification claims paid internally or by insurance? |
If, yes please explain:
*In addition to the questionnaire, please provide the following as attachments: * image1.jpeg image2.emf
File details come from the government source that posted it. Updated .