Attachment_3_Sole_Source_Justification_Redacted.pdf

J&A Log #: 2015-0102

JUSTIFICATION AND APPROVAL

FOR OTHER THAN FULL AND OPEN COMPETITION

Upon the basis of the following justification as required by Federal Acquisition Regulation (FAR) 13.501(a), I hereby approve the issuance of the contractual action discussed below using other than full and open competition, pursuant to the authority cited herein.

1. Agency and Contracting Activity:

U.S. Securities and Exchange Commission (SEC) 100 F Street, NE Washington, DC 20549

2. Nature and description of action being approved.

This is a sole source requirement. It will be conducted in accordance with FAR 13.501 - Test Program for Certain Commercial Items. The Government intends to award a sole source firm fixed price contract with a base year and one (1) one (1) year option. This is a new requirement.

3. Description of the supplies or services required (including estimated value).

This requirement is for access to Dealogic Analytics Platform provided by Dealogic. This service is a comprehensive source of investment banking trends and deal activity in the equity and debt capital markets, as well as project finance, syndicated loans and mergers and acquisitions. The estimated award amount for the base year is $. The total estimated value of the contract for one (1) base period and one (1) one (1) year option period is $.

4. Statutory authority for other than full and open competition.

The statutory authority permitting other than full and open competition is the Test Program for Commercial Items, Section 4202 of the Clinger-Cohen Act of 1996 and FAR 13.501(a)(1)(ii) – Sole Source Acquisitions.

5. Demonstration that the proposed contractor’s unique qualifications or nature of the acquisition requires use of the authority cited.

Dealogic’s Analytic Platform is a source of investment banking trends and deal activity. This service provides comprehensive coverage through their partnership with the Wall Street Journal to produce the investment banking scorecard. The scorecard breaks down the investment banking industry by region, product, bank and sector and publishes the aggregated statistics for public consumption.

6. Efforts to ensure that offers are solicited from as many potential sources as possible.

There are no efforts being made to solicit offers from sources other than Dealogic for the current requirement. Dealogic is the only vendor capable of delivering the data that is required by the SEC.

A notice required by FAR 5.201 will be published on Federal Business Opportunities (FBO.gov) and any bids or proposals received shall be considered. The market is continuously monitored to identify new entrants to the marketplace.

7. Determination by the Contracting Officer that the anticipated cost to the Government will be fair and reasonable.

J&A Log #: 2015-0102

The Contracting Officer, by signature on this document, hereby determines that the anticipated cost to the Government will be fair and reasonable.

8. Description of market research conducted and results or statement of the reasons market research was not conducted.

Market research was conducted via the internet and various academic articles that have relied upon the type of data required by the SEC. Market research indicated that Dealogic’s Analytic Platform and Thomson Reuters’ SDC Platinum provide some of data required. The SEC currently subscribes to Thomson Reuters’ SDC Platinum. This product is used to produce league tables on investment banking trends and deal activity and is widely cited in the financial media. Dealogic’s product captures more investment deal-making activity as evidenced by the aggregated statistics published.

The combination of the two products will provide the most comprehensive coverage of the data required by the SEC.

9. Other supporting facts.

None.

10. A listing of the sources, if any, that expressed in writing an interest in the acquisition in writing.

To date, no sources have written to express an interest. This justification will be disseminated with the solicitation on FBO.gov. A list of sources that express interest in actions under this Justification and Approval will be maintained in the contract file along with the disposition of them.

11. A statement of the actions, if any, the SEC may take to remove or overcome any barriers to competition before any subsequent acquisition for the supplies or services required.

The SEC will continue to survey the market for future acquisitions for the purpose of verifying the sole source nature of this acquisition.

12. Required Signatures

TECHNICAL & REQUIREMENTS CERTIFICATIONS

I certify that the facts and representations which form the basis for this justification are accurate and complete.

Name/Title Signature Date

CONTRACTING OFFICER CERTIFICATION

I certify that this justification is accurate and complete to the best of my knowledge and belief.

Name/Title Signature Date