SECHQ1-14-Q-0213.pdf

Solicitation Number: SECHQ1-14-Q-0213 1

SECHQ1-14-Q-0213

Kdb+ Software Brand Name or Equal

This is a combined synopsis/solicitation for commercial items prepared in accordance with FAR Part 13 Simplified Acquisition Procedures, (FAR) Subpart 13.5 Test Program for Certain Commercial Items, and (FAR) Subpart 12.6 Streamlined Procedures for Evaluation and Solicitation for Commercial Items, as supplemented with additional information included in this notice. This announcement constitutes the only solicitation; quotes are being requested and a written solicitation will not be issued. This solicitation, Kdb+ Software Brand Name or Equal, is issued as a Request for Quotes (RFQ). The solicitation document and incorporated provisions and clauses are those in effect through Federal Acquisition Circular 2005-76, dated 25 August 2014. The associated North American Industry classification System (NAICS) code is 541519 and small business size standard is $27,500,000. This synopsis/solicitation is submitted using full and open competition.

Scope

The U.S. Securities and Exchange Commission (SEC) seeks to purchase software licenses and maintenance for the software licenses in accordance with the brand name or equal salient characteristics stated below.

Brand Name or Equal Salient Characteristics (Kdb+ Software)

1. Identification of the item by generic descriptions.

• SEC requires monitoring, mining, and analyzing large volumes of near real-time and historical time series data. Software must analyze, diagnose and mine high frequency and low frequency data sets in a timely and integrated fashion. Additionally, programmatic integration with other SEC software must be possible.

2. Brand name information.

• Make - Kdb+ software

• Model Numbers – N/A

• Catalog Designation – N/A

3. Name of manufacturer, producer, or distributor of the item and complete address.

• Manufacturer: Kx Systems Inc.

• Producer: Kx Systems Inc.

• Complete Address: 530 Lytton Street, 2nd floor, Palo Alto, CA 94301

4. Benchmark for performance (hardware or software).

• N/A

5. The key functional requirements.

• Ability to natively handle large volumes of near real-time and historical data in an integrated fashion: The software must be capable of handling more than 10 million transactions of both high-frequency and low-frequency data sets at one time. Moreover, the software must allow for querying historical data sets based on near real-time data streams in a timely manner. The software must process 100K transactions in under one minute.

Solicitation Number: SECHQ1-14-Q-0213 2

• Robust Time Series Analysis: The software must have the ability to handle financial time-series data, and users must be able to sort, part, and group column data to enable the building of algorithmic regulatory models.

• Easy query interface that is extensible: The software must provide an application programming language/interface for writing custom and complex analytics.

• Overall extensibility: The software must index and join large data sets and also provide language structures to perform time-ordered analysis of financial data sets.

• Accessibility: The “out of box” software must support a mechanism for transporting data between a browser and the application. This functionality greatly enhances the ability to build custom web-based solutions and reduces the time and cost to deploy the solution and thus, time to market.

6. Requirements for interoperability to include software or environment.

• Software must have API for connectivity to external graphical, reporting and other systems.

• Software must support ODBC and JDBC connectors to support easy data migration.

7. Timeframe for being operational or for delivery.

• Q4 2014 (calendar year)

Offerors proposing to furnish an equal product, in accordance with the “Brand Name or Equal” provision of this solicitation, shall insert the following description for the product.

• Bidding on:

• Manufacturer's Name:

• Address:

• Product Name (if any):

• Product make, model, or catalog description:

Offerors shall also be responsible for submitting all additional information on the above product necessary for the Government to determine whether the product offered meets the salient characteristics of the brand name as listed in the solicitation.

Instrument Type and Period of Performance

The Government intends to competitively award a single award Indefinite-Delivery Indefinite-Quantity (IDIQ) contract with the vendor that provides the best value to the Government in accordance with the evaluation criteria set forth in this solicitation. The effective period of the contract will consist of a five year ordering period. The IDIQ number of licenses procured will include a minimum of 8 and a maximum of 110.

Payment: Payment and invoice instructions will be provided in the award.

Relevant Clauses/Provisions

Solicitation Number: SECHQ1-14-Q-0213 3

The clauses/provisions at FAR 52.212-1 Instructions to Offerors-Commercial Items (Apr 2014), 52.212- 3 Offeror Representations and Certifications—Commercial Items (May 2014), FAR 52.212-4 Contract Terms and Conditions—Commercial Items (May 2014), and FAR 52.212-5 Contract Terms and Conditions Required To Implement Statutes or Executive Orders-Commercial Items (Jul 2014), apply to this acquisition.

The following additional clauses cited within 52.212-5 are applicable: 52.203-6 Alternate 1, 52.204-10, 52.209-6, 52.219-28, 52.222-3, 52.222-21, 52.222-26, 52.222-35, 52.222-36, 52.222-37, 52.223-18, 52.225-13, 52.232-33, and 52.239-1.

The following additional FAR clauses apply:

FAR 52.204-7 System for Award Management (Jul 2013)

(a) Definitions. As used in this provision—

“Data Universal Numbering System (DUNS) number” means the 9-digit number assigned by Dun and Bradstreet, Inc. (D&B) to identify unique business entities.

“Data Universal Numbering System+4 (DUNS+4) number” means the DUNS number means the number assigned by D&B plus a 4-character suffix that may be assigned by a business concern. (D&B has no affiliation with this 4-character suffix.) This 4-character suffix may be assigned at the discretion of the business concern to establish additional System for Award Management records for identifying alternative Electronic Funds Transfer (EFT) accounts (see the FAR at Subpart 32.11) for the same concern.

“Registered in the System for Award Management (SAM) database” means that—

(1) The Offeror has entered all mandatory information, including the DUNS number or the DUNS+4 number, the Contractor and Government Entity (CAGE) code, as well as data required by the Federal Funding Accountability and Transparency Act of 2006 (see Subpart 4.14), into the SAM database; and

(2) The offeror has completed the Core, Assertions, and Representations and Certification, and Points of contact sections of the registration in the SAM database;

(3) The Government has validated all mandatory data fields, to include validation of the Taxpayer Identification Number (TIN) with the Internal Revenue Service (IRS). The Offeror will be required to provide consent for TIN validation to the Government as a part of the SAM registration process.

(4) The Government has marked the record “Active”.

(b)

(1) By submission of an offer, the offeror acknowledges the requirement that a prospective awardee shall be registered in the SAM database prior to award, during performance, and through final payment of any contract, basic agreement, basic ordering agreement, or blanket purchasing agreement resulting from this solicitation.

Solicitation Number: SECHQ1-14-Q-0213 4

(2) The offeror shall enter, in the block with its name and address on the cover page of its offer, the annotation “DUNS” or “DUNS+4” followed by the DUNS or DUNS+4 number that identifies the offeror’s name and address exactly as stated in the offer. The DUNS number will be used by the Contracting Officer to verify that the offeror is registered in the SAM database.

(c) If the offeror does not have a DUNS number, it should contact Dun and Bradstreet directly to obtain one.

(1) An offeror may obtain a DUNS number—

(i) Via the internet at http://fedgov.dnb.com/webform or if the offeror does not have internet access, it may call Dun and Bradstreet at 1-866-705-5711 if located within the United States; or

(ii) If located outside the United States, by contacting the local Dun and Bradstreet office.

The offeror should indicate that it is an offeror for a U.S. Government contract when contacting the local Dun and Bradstreet office.

(2) The offeror should be prepared to provide the following information:

(i) Company legal business name.

(ii) Tradestyle, doing business, or other name by which your entity is commonly recognized.

(iii) Company physical street address, city, state and Zip Code.

(iv) Company mailing address, city, state and Zip Code (if separate from physical).

(v) Company telephone number.

(vi) Date the company was started.

(vii) Number of employees at your location.

(viii) Chief executive officer/key manager.

(ix) Line of business (industry).

(x) Company Headquarters name and address (reporting relationship within your entity).

(d) If the Offeror does not become registered in the SAM database in the time prescribed by the Contracting Officer, the Contracting Officer will proceed to award to the next otherwise successful registered Offeror.

(e) Processing time, which normally takes 48 hours, should be taken into consideration when registering.

Offerors who are not registered should consider applying for registration immediately upon receipt of this solicitation.

http://fedgov.dnb.com/webform

Solicitation Number: SECHQ1-14-Q-0213 5

(f) Offerors may obtain information on registration at https://www.acquisition.gov.

FAR 52.216-18 Ordering (Oct 1995)

(a) Any supplies and services to be furnished under this contract shall be ordered by issuance of delivery orders or task orders by the individuals or activities designated in the Schedule. Such orders may be issued from date of IDIQ award through 5 years.

(b) All delivery orders or task orders are subject to the terms and conditions of this contract. In the event of conflict between a delivery order or task order and this contract, the contract shall control.

(c) If mailed, a delivery order or task order is considered “issued” when the Government deposits the order in the mail. Orders may be issued orally, by facsimile, or by electronic commerce methods only if authorized in the Schedule.

FAR 52.216-19 Ordering Limitations (Oct 1995)

(a) Minimum order. When the Government requires supplies or services covered by this contract in an amount of less than 1 license, the Government is not obligated to purchase, nor is the Contractor obligated to furnish, those supplies or services under the contract.

(b) Maximum order. The Contractor is not obligated to honor—

(1) Any order for a single item in excess of 110 licenses;

(2) Any order for a combination of items in excess of 110 licenses; or

(3) A series of orders from the same ordering office within 30 days that together call for quantities exceeding the limitation in paragraph (b)(1) or (2) of this section.

(c) If this is a requirements contract (i.e., includes the Requirements clause at subsection 52.216-21 of the Federal Acquisition Regulation (FAR)), the Government is not required to order a part of any one requirement from the Contractor if that requirement exceeds the maximum-order limitations in paragraph (b) of this section.

(d) Notwithstanding paragraphs (b) and (c) of this section, the Contractor shall honor any order exceeding the maximum order limitations in paragraph (b), unless that order (or orders) is returned to the ordering office within 30 days after issuance, with written notice stating the Contractor’s intent not to ship the item (or items) called for and the reasons. Upon receiving this notice, the Government may acquire the supplies or services from another source.

FAR 52.216-22 Indefinite Quantity (Oct 1995)

(a) This is an indefinite-quantity contract for the supplies or services specified, and effective for the period stated, in the Schedule. The quantities of supplies and services specified in the Schedule are estimates only and are not purchased by this contract.

(b) Delivery or performance shall be made only as authorized by orders issued in accordance with the Ordering clause. The Contractor shall furnish to the Government, when and if ordered, the supplies or services specified in the Schedule up to and including the quantity designated in the Schedule as the “maximum.” The Government shall order at least the quantity of supplies or services designated in the Schedule as the “minimum.”

(c) Except for any limitations on quantities in the Order Limitations clause or in the Schedule, there is no limit on the number of orders that may be issued. The Government may issue orders requiring delivery to multiple destinations or performance at multiple locations.

(d) Any order issued during the effective period of this contract and not completed within that period shall be completed by the Contractor within the time specified in the order. The contract shall govern the Contractor’s and Government’s rights and obligations with respect to that order to the same extent as if the order were completed during the contract’s effective period; provided, that the Contractor shall not be required to make any deliveries under this contract after the end date of the order.

https://www.acquisition.gov/ http://www.acquisition.gov/far/html/52_216.html#wp1115057

Solicitation Number: SECHQ1-14-Q-0213 6

FAR 52.217-9 Option to Extend Term of the Contract (Mar 2000) (insert "the period of performance" in the first blank of paragraph (a), "1 day" in the second blank of paragraph (a), and "five (5) years" in paragraph (c))

The following SEC specific clauses apply:

3001.01 Inspection and Acceptance by the Contracting Officer’s Representative (COR) (Aug 2013)

Inspection and Acceptance of supplies and/or services to be furnished under this purchase order will be performed by [TBD]. Inspection and Acceptance will be performed at the Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549.

4003.00 Place of Delivery – FOB Destination (Jun 2013)

The deliverables to be furnished under this contract shall be delivered to the following address:

U.S. Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Attn: TBD Phone Number: TBD E-mail: TBD

Co-terming Pricing

For purposes of co-terming license end dates, the Government reserves the right prorate the annual price per license and divide by the number of days left in the term to arrive at a prorated amount.

Quote Requirements

Offerors should submit a quote that includes the following sections: (1) Technical; (2) Price, (3) Commitment to Small Business and a Small Business Subcontracting Plan (or in the event that no subcontracting possibilities exist pursuant to FAR 19.7, offerors shall provide the affirmative statement to that effect), (4) Completed Representations and Certification including FAR 52.212-3 Offeror Representations and Certifications-Commercial Items, which shall either be included in SAM or provided as an attachment to the quote, (5) An Acknowledgement of Solicitation Amendments;, and (6) A statement specifying the extent of agreement with all terms, conditions, and provisions included in this solicitation.

Information for the technical portion should be a separate and segregable document from the price section. No price information should be included in the technical section. The length of the technical portion shall not exceed seven (7) pages. The completed Representations and Certification including FAR 52.212-3 and Small Business Subcontracting Plan are excluded from the page count. The Commitment to Small Business section should state the offerors’ small business goals and how the offeror is working towards attaining those goals. This section is required for all contractors. Submission of a Small Business Subcontracting Plan is exempt for small business concerns. The quote should be written and organized to be compatible with the requirements outlined in this solicitation, company’s organization and accounting structure, and proposed price. The technical section should include the Offeror’s discussion of how the Offeror’s quote meets or exceeds the requirements of this solicitation. The Offeror

Solicitation Number: SECHQ1-14-Q-0213 7 should include information relative to previous efforts for the same or similar services provided in the past with points of contact information, particularly with customers from the federal government.

Basis for Award/Evaluation Factors

Award shall be made to the offeror with the lowest priced, technically acceptable quote. Technical acceptability will be determined by comparing quotations with the requirements of this solicitation.

FAR 52.211-6 Brand Name or Equal (Aug 1999)

(a) If an item in this solicitation is identified as “brand name or equal,” the purchase description reflects the characteristics and level of quality that will satisfy the Government’s needs. The salient physical, functional, or performance characteristics that “equal” products must meet are specified in the solicitation.

(b) To be considered for award, offers of “equal” products, including “equal” products of the brand name manufacturer, must—

(1) Meet the salient physical, functional, or performance characteristic specified in this solicitation;

(2) Clearly identify the item by—

(i) Brand name, if any; and

(ii) Make or model number;

(3) Include descriptive literature such as illustrations, drawings, or a clear reference to previously furnished descriptive data or information available to the Contracting Officer; and

(4) Clearly describe any modification the offeror plans to make in a product to make it conform to the solicitation requirements. Mark any descriptive material to clearly show the modification.

(c) The Contracting Officer will evaluate “equal” products on the basis of information furnished by the offeror or identified in the offer and reasonably available to the Contracting Officer. The Contracting Officer is not responsible for locating or obtaining any information not identified in the offer.

(d) Unless the offeror clearly indicates in its offer that the product being offered is an “equal” product, the offeror shall provide the brand name product referenced in the solicitation.

Pricing Matrix

The Offeror shall submit a unit price per license and maintenance for each year of the contract, following the matrix below:

Year 1 Year 2 Year 3 Year 4 Year 5

Brand Name or Equal Salient Characteristics (Kdb+ Software) (Each) Licenses and Maintenance*

*Offerors shall clearly define and explain the application of any volume discounts offered.

Solicitation Number: SECHQ1-14-Q-0213 8

For purposes of comparison and evaluation only, the Offeror shall apply the unit prices above to the usage estimates below, in order to arrive at an overall price for each quote. This estimated total price will support the basis of award. The estimates that will be applied are provided below:

Year 1 Year 2 Year 3 Year 4 Year 5

Brand Name or Equal Salient Characteristics (Kdb+ Software) (Each) Licenses and Maintenance 8 licenses

92 more licenses for a total of 100 licenses

0 more licenses for a total of 100 licenses

0 more licenses for a total of 100 licenses

0 more licenses for a total of 100 licenses

*Maintenance from the purchase of the license through the end of the five year term will be included in the evaluation price.

52.217-5 Evaluation of Options (Jul 1990)

Except when it is determined in accordance with FAR 17.206(b) not to be in the Government’s best interests, the Government will evaluate offers for award purposes by adding the total price for all options to the total price for the basic requirement. Evaluation of options will not obligate the Government to exercise the option(s).

Quote Submission Requirements

Quotes must be received no later than 2:00pm Local Eastern Time on September 12, 2014. Any quote that is received at the designated Government office after this exact time specified for receipt of quotes is “late” and will not be considered. All offerors will be notified via e-mail once the award process is completed. The Contract Specialist must receive any questions concerning the RFQ no later than three

(3) business days after posting of this solicitation, or the question may not be answered.

Questions should be emailed to Contract Specialist, Michael Boyle at boylemi@sec.gov. The quote email header should be marked with the solicitation number SECHQ1-14-Q-0213. The quote shall be delivered via email to boylemi@sec.gov. The contract specialist will respond with a receipt email. If a receipt email is not received, then the contract specialist did not receive your quote and your offer may not be considered for award. Preferred email attachment formats are Microsoft Word, Microsoft Excel, and Portable Document Format (PDF). Quotes provided through any method other than email will not be accepted. It is anticipated that award start date will be on or before September 22, 2014.

mailto:boylemi@sec.gov mailto:boylemi@sec.gov