RFQ_SECHQ1-15-Q-0077.pdf

SECHQ115Q0077

1. REQUEST NO.

5a. ISSUED BY

NAME

a. NAME

c. STREET ADDRESS

d. CITY

10. PLEASE FURNISH QUOTATIONS TO

THE ISSUING OFFICE IN BLOCK 5a ON

OR BEFORE CLOSE OF BUSINESS (Date)

2. DATE ISSUED 3. REQUISITION/PURCHASE REQUEST NO. 4. CERT. FOR NAT. DEF.

UNDER BDSA REG. 2

AND/OR DMS REG.1

RATING

6. DELIVERY BY (Date)

7. DELIVERY

9. DESTINATION

a. NAME OF CONSIGNEE

b. STREET ADDRESS

PAGE OF PAGES

5b. FOR INFORMATION CALL: (No collect calls)

TELEPHONE NUMBER

AREA CODE NUMBER

8. TO:

b. COMPANY

e. STATE f. ZIP CODE

c. CITY

d. STATE e. ZIP CODE

IMPORTANT: This is a request for information, and quotations furnished are not offers. If you are unable to quote, please so indicate on this form and return it to the address in Block 5a. This request does not commit the Government to pay any costs incurred in the preparation of the submission of this quotation or to contract for supplies or services. Supplies are of domestic origin unless otherwise indicated by quoter. Any representations and/or certifications attached to this Request for Quotations must be completed by the quoter.

11. SCHEDULE (Include applicable Federal, State and local taxes)

THIS RFQ

REQUEST FOR QUOTATION

(THIS IS NOT AN ORDER)

IS IS NOT A SMALL BUSINESS SET ASIDEX

04/20/2015 31000-15-0034

1 6

OFFICE OF ACQUISITIONS

IT - 02 SUPPORT BRANCH

100 F STREET NE

SECURITIES AND EXCHANGE COMMISSION

MAIL STOP 4226

WASHINGTON DC 20549

US SECURITIES EXCHANGE COMMISSIO

OFFICE OF CHIEF OPERATING OFFICER

100 F ST NE

MAILSTOP-

WASHINGTON

DC 20549

202 551-7472JEREMY GARRETT

04/30/2015 1700 ED

FOB DESTINATION

OTHER

(See Schedule)X

ITEM NO.

(a)

SUPPLIES/SERVICES

(b)

QUANTITY

(c)

UNIT

(d)

UNIT PRICE

(e)

AMOUNT

(f)

The U.S. Securities and Exchange Commission is issuing this Request for Quotation (RFQ) for access to Hedge Fund Research Database. The following pages of this document include specifications, contract terms, and provisions and instructions for responding the RFQ.

Continued ...

12. DISCOUNT FOR PROMPT PAYMENT

a. 10 CALENDAR DAYS (%) b. 20 CALENDAR DAYS (%) c. 30 CALENDAR DAYS (%) d. CALENDAR DAYS

NUMBER PERCENTAGE

NOTE: Additional provisions and representations

13. NAME AND ADDRESS OF QUOTER

b. STREET ADDRESS

c. COUNTY

d. CITY e. STATE f. ZIP CODE

14. SIGNATURE OF PERSON AUTHORIZED TO

SIGN QUOTATION

16. SIGNER

a. NAME (Type or print)

c. TITLE (Type or print)

a. NAME OF QUOTER

AREA CODE

NUMBER

15. DATE OF QUOTATION

b. TELEPHONE are are not attached

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition not usable

STANDARD FORM 18 (REV. 6-95)

Prescribed by GSA - FAR (48 CFR) 53.215-1(a)

ITEM NO. SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

NAME OF OFFEROR OR CONTRACTOR

2 6

CONTINUATION SHEET

REFERENCE NO. OF DOCUMENT BEING CONTINUED PAGE OF

(A) (B) (C) (D) (E) (F)

SECHQ115Q0077

00001 Access to Hedge Fund Research's Hedge Fund

Database for 37 users in accordance with the

Statement of Work.

00002 Option for Increased Quantity

If exercised, the contractor shall provide access to the Hedge Fund Research Database for an additional 5 SEC users. The price shall be pro-rated for the period of usage.

00003 Option for Increased Quantity

If exercised, the contractor shall provide access to the Hedge Fund Research Database for an additional 5 SEC users. The price shall be pro-rated for the period of usage.

00004 Option for Increased Quantity

If exercised, the contractor shall provide access to the Hedge Fund Research Database for an additional 5 SEC users. The price shall be pro-rated for the period of usage.

NSN 7540-01-152-8067 OPTIONAL FORM 336 (4-86)

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Section C – Contract Clauses

Deliveries or Performance

4001.00 *A.01 Period of Performance w/o Option Years (Mar 2009) The period of performance of this contract is date of award through one (1) year.

Contract Administration Data

5001.00 Contract Administration (Aug 2011)

This contract/delivery order will be administered by the SEC's Office of Acquisitions. All inquiries should be directed to the following address:

Securities and Exchange Commission Office of Acquisitions Attn: Jeremy Garrett Phone: 202-551-7472 Email: garrettj@sec.gov 100 F Street, NE Washington, DC 20549

5003.00 Submission of Invoices (April 2012)

The Securities and Exchange Commission accepts only electronic/e-mail invoices.

Invoices shall be submitted on a submission of deliverable basis.

Contractors should submit invoices in accordance with the SEC Prompt Payment Provision of the contract. Contractors are cautioned against submitting an invoice prior to goods and services being received/accepted. Invoices submitted prematurely may be rejected.

Electronic/e-mail Invoice Instructions:

Invoices must be in PDF Format and may not exceed 10MB Subject Line: Company name and the invoice number e-mail Message:

Company logo or letterhead Company name and payment address Company point of contact (POC) for the invoice with phone and e-mail Invoice Number SEC Contract or Order number

SEC COR

For supplies: contract line item number, item description, quantity delivered, and unit and extended price, per Section B CLIN structure

For services: contract line item number, item description, period of performance and associated costs, per Section B, contract line item, CLIN, structure

Shipping and handling charges, if applicable

Clearly mark duplicates of previous invoice submissions with "DUPLICATE"

Clearly mark the final invoice with "FINAL INVOICE"

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Attach the invoice and any supporting documents in a secure tamper-proof or tamper-resistant format compatible with Adobe Acrobat.

Electronic signatures are acceptable in scanned documents. Each page of a document must be clearly marked with information identifying it with the company, the contract, the invoice, and any other information required by the contract.

E-mail invoices to the following address: 9-AMC-AMZ-SEC-Invoices@faa.gov

5003.02 Software license Maintenance and Subscription Service Invoicing (Mar 2009) It is customary commercial practice to pay for software licenses maintenance/subscription services at the beginning of the contract period of performance, after submittal of a proper invoice. CLIN 0001 may be invoiced at the beginning of the month of service. If exercised, CLINs 0002 through 0004 may be invoiced at the beginning of the month of service.

5004.00 Appointment of Contracting Officer’s Representative (COR) (Nov 2012) The Contracting Officer (CO) shall appoint, in writing, a Contracting Officer’s Representative (COR) and, if possible, an Alternate COR for this award. The COR and Alternate COR shall have a current Federal Acquisition Certification for CORs (FAC-COR) at the appropriate certification level for the contract. A COR may serve on a contract requiring certification at or below his/her level, but not on one requiring a higher level. The CO shall provide the Contractor with a copy of the COR appointment letter(s). The COR may not re-delegate his or her authority; only the CO has this authority.

Caroline Early (EarlyC@sec.gov, 202-551-5772) is appointed as the COR for this contract.

The COR will manage the contract in coordination with the CO and within the terms of the contract and the boundaries of a COR’s duties as outlined in the document “Instructions for CORs and Their Supervisors.” The COR’s responsibilities include reviewing invoices and charges by the Contractor and informing the CO of areas where exceptions are taken. If this is an award for services and contractor personnel are brought on-site to SEC facilities, the COR must adhere to SECR 10-24.

Only the CO has the authority to change the terms and conditions of this contract. The COR may request a contract modification, but the CO will make the final determination. The COR may not agree to or issue a change to the contract terms and conditions. In the event the Contractor effects changes to the contract at the direction of any person other than the CO, the changes will be considered to have been made without any authority and no adjustments will be made to the contract.

5005.00 Contract Options (Mar 2009)

(a) Award of an initial contract will not obligate the Government to exercise any contractual option. Prior to exercising any option, the Government will make a determination that (1) funds are available, (2) the requirement covered by the option fulfills an existing need of the Government, and (3) the exercise of the option is the most advantageous method of fulfilling the Government’s need, price and other factors considered.

(b) Failure to exercise an option shall not obligate the Government to pay any charges other than the contract price including exercised options.

6002.00 Type of Contract (Mar 2009)

Firm Fixed Price.

6003.00 Representations and Certifications (Mar 2009)

The Contractor’s completed Representations, Certifications, and Other Statements of Offerors or Respondents is incorporated herein by reference.

mailto:9-AMC-AMZ-SEC-Invoices@faa.gov mailto:EarlyC@sec.gov

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6012.02 *A.01 Electronic and Information Technology (Mar 2009)

In accordance with Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 794d), all EIT supplies or services provided under this contract must comply with the applicable accessibility standards issued by the Architectural and Transportation Barriers Compliance Board at 36 CFR Part 1194 (see FAR Subpart 39.2). Electronic and information technology (EIT) is defined at FAR 2.101.

6014.00 Use of Contractor Data and/or Materials (Mar 2009)

The Contractor acknowledges and agrees to the following: The SEC anticipates using the data and/or materials to conduct analyses for use in reports, studies, memoranda, and presentations. The SEC anticipates the following types of situation where analyses based on underlying data may be made public: by the SEC itself (E.g., SEC rulemaking and/or analysis done as part of an inspection or enforcement action), by SEC staff where the SEC is directing or facilitating the publication (e.g., a staff study in response to a Congressional request), by SEC staff facilitating their own private publication where the Commission has not taken a position regarding the publication of the analysis(e.g., a research report to be submitted by the individual staff to an academic conference or journal), and a former employee of the SEC who has substantially completed the analysis while on staff and is facilitating his/her own private publication( e.g., a research report to be submitted to an academic conference or journal). In all of these situations, only “insubstantial amounts” of the licensed data and/or material would be made public and no raw data would be made public, the authors would agree to abide by all contractual terms and conditions, and as the owner/licensor of the data the Contractor would receive attribution and be cited as the data source. “Insubstantial amounts” means an amount that has no independent commercial value and could not be used as a substitute for the service or product or any part of it.

FAR 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 98) This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request the Contracting Officer will make their full text available. Also full text of a clause may be accessed electronically at this address: http://www.arnet.gov/far//

52.212-4 Contract Terms and Conditions -- Commercial Items (Dec 2014) 52.212-5 Contract Terms and Conditions Required to Implement Statutes or Executive Orders -- Commercial

Items (Apr 2015). In Section b, the following clauses apply: 52.203-6, 52.204-10, 52.209-6, 52.209-10, 52.219-4, 52.219-8, 52.219-28, 52.222-3, 52.222-6, 52.222-35, 52.222-36, 52.222-37, 52.223-18, 52.225-13, 52.232-33

52.217-7 Option for Increased Quantity -- Separately Priced Line Item (Mar 1989) The Government may require the delivery of the numbered line item, identified in the Schedule as an option item, in the quantity and at the price stated in the Schedule. The Contracting Officer may exercise the option by written notice to the Contractor within contract performance. Delivery of added items shall continue at the same rate that like items are called for under the contract, unless the parties otherwise agree.

(End of Clause)

Section D – Attachments

Attachment 1 – Statement of Work Attachment 2 – Tax Liability Certification (This certification is required for all companies that contract with the SEC and must be completed and returned with your company’s response to the RFQ).

http://www.arnet.gov/far/

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Section E – Solicitation Provisions

Instructions for Responding to this RFQ. Your company’s response to the RFQ is due by no later than 5:00 P.M. EDT on April 30, 2015. Your response must be submitted via email to Jeremy Garrett (GarrettJ@sec.gov) and shall include the following:

1. Complete Pricing information – You response must include a firm fixed price for CLIN 0001 for database access for 37 Users. Your response must also include a price for each Option CLIN (CLINs 0002 – 0004) for additional quantities for access of 5 Users per CLIN. Note: the SEC is asking for pricing for additional user access because it is possible that access may be needed for up to 15 additional users. Any increase in users is expected to be in quantities of 5 users.

2. Data Sample – Your response shall include a sample data set of the Hedge Fund Research data, preferably in Excel format. The data set should reflect the Hedge Fund Research data that will be provided if your company is awarded the contract.

3. Sign Copy of Attachment # 2 – Your response must include a signed copy of Attachment # 2 – Tax Liability Certification.

All questions regarding this RFQ must be emailed to Jeremy Garrett (Garrettj@sec.gov) by April 5:00 P.M. EDT on April 27th, 2015. All questions with the SEC’s response will be posted on FedBizOpps under solicitation SECHQ1-15-Q- 0077. The SEC will not identify which companies asked the questions.

Applicable FAR provisions:

FAR 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 98) This contract incorporates one or more provisions by reference, with the same force and effect as if they were given in full text. Upon request the Contracting Officer will make their full text available. Also full text of a provision may be accessed electronically at this address: http://www.arnet.gov/far//.

52.212-1 INSTRUCTIONS TO OFFERORS—COMMERCIAL ITEMS (JUL 2013)

52.212-2 Evaluation - Commercial Items. (Jan 1999)

(a) The Government will award a contract resulting from this solicitation to the responsible offeror whose offer conforming to the solicitation will be most advantageous to the Government, price and other factors considered. The following factor(s) shall be used to evaluate offers:

(i) Technically Acceptable

(ii) Price. The total price of each offeror will be evaluated, including all Option CLINs.

52.212-3 OFFEROR REPRESENTATIONS AND CERTIFICATIONS—COMMERCIAL ITEMS (NOV 2013)

END OF DOCUMENT

mailto:GarrettJ@sec.gov mailto:Garrettj@sec.gov http://www.arnet.gov/far/ https://acquisition.gov/far/current/html/52_212_213.html#wp1179124 https://acquisition.gov/far/current/html/52_212_213.html#wp1179194

Page 1 of 1 SECHQ1-15-Q-0077

Attachment # 1 Statement of Work

The U.S. Securities and Exchange Commission (SEC) requires access to Hedge Fund Research’s Hedge Funds Database, which provides quantitative and qualitative data for active hedge funds.

The database shall be available for download via the Internet for use by 37 users, with the option for the SEC to add up to 15 additional users in quantities of 5. The database shall be updated monthly.

The database shall contain hedge fund information for the U.S. and global, including the following:

• legal name, domicile, status, inception date, and current assets

• fund administrator, advisor, custodian, prime broker and auditor, including key contact persons with phone number,

• investment strategy synopses and risk management techniques,

• historical performance data,

• monthly performance updates.

The Contractor acknowledges and agrees to the following: The SEC anticipates using the data and/or materials to conduct analyses for use in reports, studies, memoranda, and presentations.

The SEC anticipates the following types of situation where analyses based on underlying data may be made public: by the SEC itself (E.g., SEC rulemaking and/or analysis done as part of an inspection or enforcement action), by SEC staff where the SEC is directing or facilitating the publication (e.g., a staff study in response to a Congressional request), by SEC staff facilitating their own private publication where the Commission has not taken a position regarding the publication of the analysis(e.g., a research report to be submitted by the individual staff to an academic conference or journal), and a former employee of the SEC who has substantially completed the analysis while on staff and is facilitating his/her own private publication( e.g., a research report to be submitted to an academic conference or journal). In all of these situations, only “insubstantial amounts” of the licensed data and/or material would be made public and no raw data would be made public, the authors would agree to abide by all contractual terms and conditions, and as the owner/licensor of the data the Contractor would receive attribution and be cited as the data source. “Insubstantial amounts” means an amount that has no independent commercial value and could not be used as a substitute for the service or product or any part of it.

RFQ Attachment 2

Certification by Corporations Regarding an Unpaid Delinquent Tax Liability or a Felony Conviction under Federal Law (FEB 2012)

(a) In accordance with sections 630 and 631 of Division C of the Consolidated

Appropriations Act, 2012 (Publ. L. 112-74), none of the funds made available by the Act may be used to enter into a contract with any corporation that –

(1) Was convicted (or had an officer or agent of such corporation acting on behalf of the corporation) of a felony criminal violation under any Federal law within the preceding 24 months, where the awarding agency is aware of the conviction, unless the agency has considered suspension or debarment of the corporation, or such officer or agency and made a determination that this further action is not necessary to protect the interests of the Government.

(2) Has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability, where the awarding agency is aware of the unpaid tax liability, unless the agency has considered suspension or debarment of the corporation and made a determination that this further action is not necessary to protect the interest of the Government.

(b) The Offeror certifies that –

(1) It is [ ] is not [ ] a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability; and

(2) It is [ ] is not [ ] a corporation that was convicted (or had an officer or agency of such corporation acting on behalf of the corporation) of a felony criminal violation under any Federal law within the preceding 24 months.

Corporate Officer’s Signature Date

_______________________________ _SECHQ115Q0077

Name of Corporation Solicitation Number