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HomeMy WebLinkAboutCOM 0582.002 2004-2006 •YY y- Harry Kim ~'`V, ~ ~'W~. William Takaba .4lavor Director Nancy E. Crawford • Depuly Orreelor •'~Oi• M~ County of Hawaii Finance Department 25 Aupuni Street, Room I IR • Hilq Hawaii 96720 (806)961-8234 • Fax (806)961-8248 January 9, 2006 The Honorable Stacy Higa, Chairman, and Members of the Hawaii County Council 25 Aupuni Street Hilo, Hawaii 96720 Subject Solid Waste Reduction Facility RFP Dear Chairman Higa and Council Members: Attached for your information is a copy of the Stage 1 Request for Proposals for a Solid Waste Reduction Facility (the Stage 1 RFP). Also attached is the Notice to Offerers that has been published and has also been sent to 120 firms who are potential vendors for this project. The Stage l RFP was issued on December 28, 2005. I sincerely apologize for not informing the County Council earlier that this document had been completed and issued. In the rush to notify the public of the availability of the Stage 1 RFP and to stay within our working timeline, I neglected to communicate directly with you about this. (For your information, I also neglected to inform the Mayor.) Two Step Procurement Process The County is utilizing atwo-step procurement process to select a firm to permit, design, build and operate a waste reduction facility to handle East Hawai`i's solid waste. This two-step procurement approach will emphasize qualifications and experience. • First step -the selection of a "short list" of firms who are most qualified for this project. • Second step -the selection of the single firm from the short list that will be awarded a contract for the project. This Stage 1 RPF initiates the first step, and invites interested firms to submit a proposal describing in detail their technical, management and financial qualifications to permit, design, build and operate a waste reduction facility in Fast Hawaii. The acceptable technologies are waste-to-energy (mass burn), waste-to-energy (refuse derived fuel), and thermal gasification (including pyrolysis and conventional gasification.) Comm. No. • Z Ref. To: Ref. Late, .2006 Hawaii County is nn equal opportunity provider and employer. The Honorable Stacy Higa and Members of the Hawaii County Council Page 2 January 9, 2006 The County expects to issue a Stage 2 Request for Proposals to firms on the short list later this year. Only firms on the short list developed from the responses to the Stage 1 RFP will be eligible to respond to the Stage 2 RFP and submit a project proposal. Evaluation of Stage 1 Proposals The deadline to submit Stage 1 proposals is February 17, 2006. As Chief Procurement Officer of the County, I will appoint an evaluation committee to evaluate the responses received. Involved in the evaluation process will be: • Committee members - At ]east three governmental representatives will sit on the committee as stated in the RFP (page 14.) In addition, I will appoint others also as necessary and appropriate. Advisors -Technical, legal and financial consultants and others will serve as advisors to the evaluation committee. The County Council is invited to designate an individual, council member or staff, to be an advisor to the evaluation process. The evaluation criteria that will be used by the committee are summarized on page 25 of the attached RFP. Procurement Issues -Communications Protocol All efforts are being made to ensure that the RFP process is fair and can stand up to any protest if one is made. A protest can stop the County from awarding a contract until the protest is settled, which can take months. With this in mind, a communications protocol was established in the RFP document as a means to "ensure that all interested parties have equal access to information on the Project." This protocol appears in Attachment C to the RFP, and is summarized in Section 4.3.3 on page 20 of the RFP: "Interested parties should note that the Communications Protocol prohibits potential proposers from contacting or communicating with elected officials regarding this Project until the award of the Design-Build-Operate Contract." This statement was included tp prevent the appearance that any one company, through its lobbying efforts with an elected official such as the Mayor or member(s) of the County Council, received information unavailable to others or had any influence on the final selection of the technology and/or vendor. This protocol does not prevent the Council's Environmental Management Committee from scheduling public informational presentations about various solid waste technologies. However, vendors submitting proposals should not be contacting elected officials to discuss their proposals, as proposals under the Procurement Code are considered confidential until a contract is awarded. Any inquiries made to elected officials regarding this RFP should be referred to me as the County's contact person (see Attachment C.) If there are any questions about this protocol, please feel free to talk to me or to Deputy Corporation Counsel Bobby Jean Leithead-Todd. The Honorable Stacy Higa and Members of the Hawaii County Council Page 3 January 9, 2006 Consultant Briefing The Waste Reduction RFP consultants have scheduled a trip to Hilo on February 28, 2006, at which time they would like to meet with the Committee on Environmental Management to bring the Council up-to-date on the status of the Stage 1 RFP, to report on the status of the Stage 2 RFP, and to respond to any questions you may have. A drafr of the Stage 2 RFP is scheduled to be available to firms on the short list in April 2006. A request to place this on the agenda of the Committee on Environmental Management for the February 28, 2006 meeting will be forthcoming. Conclusion Again, [apologize that due to our efforts to meet the aggressive timelines established, I did not provide you with advance notification of the issuance of this RFP. In the future, I would like to meet with you on a more regular basis to improve communication and prevent any future misunderstandings on this very important project. If you have any further concerns, please contact me. ld r ~ i~ ~ ( G c n, i s William TakaJ~b`a ~ Director APPROVED: Harry Kim t7, Mayor Enclosures ivOTICE TO OFFERORS Page 1 of 1 NOTICE TO OFFERORS Chapter 103D, HRS) SEALED PROPOSALS will be received on or before 4;30 P.M, Hawaii Time, FRIDAY, FEBRUARY Z7, 2006, in the office of the Purchasing Division, Department of Finance, County of Hawaii, 25 Aupuni Street, Hilo, Hawaii, for the following: REQUEST FOR PROPOSAL NO, 2220: WASTE REDUCTION FACILITYDESIGN-BUILD-OPERATE PR0IECT FOR THE DEPARTMENT OF ENVIRONMENTAL MANAGEMENT, COUNTY OF HA WAI 'I Request for Proposals (Stage 1) (the "Stage 1 RFP") may be obtained from the above-named office (WTAKABA@co.hawaii.hi.us). The procurement process will be carried out in two stages. The Stage 1 RFP seeks qualifications of those entities desiring to provide the design-build-operate services. Request for Proposals (Stage 2) will be issued to the Stage 1 RFP respondents that aze deemed to be most qualified in accordance with the criteria set forth in the Stage 1 RFP. Written questions or requests for clarification regazding any aspects of the Stage 1 RFP must be submitted to iVlr. William Takaba, Director, Department of Finance, County of Hawaii, 25 Aupuni Street, Room 118, Hilo, Hawaii 96720, no later than January 27, 2006. On Wednesday, January 18, 2006, there will be a tour of the proposed site and a pre proposal conference. The tour will meet at the Hilo Transfer Station Baseyard at 4: 00 p.m. The conference will be held at 6:00 p. m. in the County Council Chambers, 25 Aupuni Street, Hilo, Hawaii 96720. Attendance at the tour and/or conference is not mandatory, brat strongly recommended. Participants are encouraged to submit written questions prior to the conference. l ! /1 d (rY WILLIAM TAKABA Duector, Deparbent of Finance Hawaii Tribune Herald West Hawai i Today Honolulu Advertiser State of Hawaii & Couuty of Hawai i - Procuremeot Notice Sys[em Publication Date: December 28, 2005 hitn•/hxnxnxrd haxxraii nnx,/hiAflv~/RFpa/~~`J'Jlfle/~l1NTr'a/'J t1T(1%~MFFFk (1RR F,t,,, i'rnvi~nnc REQUEST FOR STAGE 1 PROPOSALS County of Hawaii Department of Finance Waste Reduction Facility Design-Build-Operate Project December 28, 2005 RFP No. 2210 County of Hawaii Waste Reduction Facility Design-Build-Operate Project Request for Stage 1 Proposals Table of Contents SECTION 1 -INTRODUCTION 1 1.1 General lntroduction ........................................................................1 1.2 County Objectives 1 1.3 Relationship Between Stage 1 and Stage 2 RFPs 2 1.4 Status of Project Development Activities 3 1.5 Organization of this Stage I RFP 3 1.6 Reference Documents Available 4 1.7 Defined Terms 5 SECTION 2 -BACKGROUND 7 2.1 Background and Project Need 7 2.2 Expected Facilities 9 2.3 Anticipated Scope of Work 9 SECTION 3 -BUSINESS TERMS AND CONDITIONS 10 3.1 Contract Principles and Risk Allocation 1t) 3.2 Expected Payment Provisions 12 3.3 County of Hawaii Business License and Taxes 13 3.4 Special Program Requirements 13 3.5 Venue for Litigation 13 SECTION 4 -PROCUREMENT PROCESS 14 4.1 Overview 10. 4.2 Summary of Anticipated Procurement Schedule 18 4.3 Other Procurement Requirements 19 4.4 County Contact .............................................................................22 SECTION 5 -STAGE 1 PROPOSAL REQUIREMENTS 23 5.1 General Requirements 23 5.2 Stage IPre -Proposal Conference and Site Tour 24 5.3 Format Requirements 24 5.4 Content Requirements and Evaluation Criteria 25 County of Nawai i i December 28, 205 Waste Reduction Facility Request (or Stage 1 Proposals Design-Build-Operete Projert LIST OF ATTACHMENTS Attachment A -Figures Figure 1 -Location Map Attachment B -Preliminary Contract Principles and Risk Matrix Attachment C -Communication Protocol Attachment D -Forms Form 1 -Transmittal Letter and Three Attachments Form Form 2 -Non-Collusion Affidavit Form 3 -Participating Entities -Group List Form 4 -Participating Entities -Individual Description Form 5 -Financial Resources Data Form 6 -Resume Template Form 7 - Ghange in Team Members County of Hawaii ii December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Oeslgn-Build-Operate Protect WASTE REDUCTION FACILITY STAGE I RFP 1.0 INTRODUCTION 1.1 GENERAL INTRODUCTION This Request for Stage 1 Proposals ("Stage 1 RFP") invites firms to submit Stage 1 Proposals describing in detail their technical, management, and financial qualifications to permit, design, construct, startup, test and operate the County of Hawai'i's ("County") Waste Reduction Facility Design-Build-Operate Project ("WRF DBO Project" or "Project"). A variety of waste reduction technologies were identified in the County's December 31S`, 2002 Integrated Solid Waste Management Plan ("Plan"). This Stage 1 RFP is limited to those identified technologies that the County currently believes to be the most appropriate for the Project (Section 2.2.1 identifies acceptable technologies). The Project is being developed as a replacement to the South Hilo Landfill, located on the east side of the island of Hawaii. Another landfill the West Hawaii Sanitary Landfill at Pu'uanahulu (Pu'uanahulu Landfill) - is located on the west side of the island and will continue to service west island residences and businesses. In addition, Pu'uanahulu Landfill may be used for residuals disposal from the Waste Reduction Facility, depending on the waste reduction technology that is ultimately selected. 1.2 COUNTY OBJECTIVES It is the intent of the County that the Design-Build-Operate procurement approach will emphasize qualifications and experience, including experience with the proposed technology, as part of the DBO Contractor selection process. The County has identified seven overall objectives for the Project and the selected Design-Build-Operate delivery process. These objectives include: 1. Long-Term, Self-Sufficient Solid Waste Disposal Solution. The County seeks firms that are financially stable and technologies that are commercially proven so that the County can be assured that the selected DBO Contractor and technology will provide a viable and reliable on-island disposal solution over the long term. 2. Maximize Waste Reduction and Sustainabi/ity. To the extent practicable, the County wants to maximize waste reduction and minimize (or eliminate) the amount of residual requiring landfilling at the Pu'uanahulu Landfill. The County also wishes to maximize beneficial utilization of waste through production of energy, soil amendments, and/or reused material, and to minimize social and environmental impacts. 3. Specialized Expertise. The Project will require expertise with highly specialized waste reduction technology(ies). The County's intent with this County of Hawaii Page 1 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP Stage 1 RFP is to identify the most qualified teams and technologies for the reduction of waste. 4. Effective Design-Build-Operate Project Delivery Team. The County wishes to engage a reputable, experienced, and knowledgeable Project Delivery Team (designer, constructor, and operator) with the ability to work effectively together, and with the County, to deliver and operate a Project that meets the County's needs for at least 20 years. 5. Single Point of Responsibility. The Design-Build-Operate Contract will require a single point of responsibility between the County and the Project Delivery Team, which will provide certain risk insulation for the County as well as ease of contract administration and operations. Consistent with this approach, the County expects the Project Delivery Team to assume certain risks as further described in this Stage 1 RFP. 6. Cost. The County wishes to select a cost effective Project with predictable costs for the long-term, taking into consideration the potential for the selected technology to generate revenues to help off-set Project costs. 7. Schedule. Because of the imminent closure of the South Hilo Landfill, the County's objective is to develop the Waste Reduction Facility as soon as practicable. 1.3 RELATIONSHIP BETWEEN STAGE 1 AND STAGE 2 RFPS This procurement is being conducted pursuant to Hawaii Revised Statutes (HRS) 103D-303, Competitive Sealed Proposals. The issuance of this Stage 1 RFP is the first of a two-step procurement process. Based on its evaluation of Stage 1 Proposals, the County expects to short-list no more than four firms to receive Stage 2 RFPs. Stage 1 will involve an evaluation of each Proposer Team's experience and qualifications as they relate to the specific technology that is being proposed. Accordingly, the County anticipates that this short-listing process will also further limit the types of acceptable technologies relative to those listed in Section 2.2.1. The issuance of the Stage 2 RFP to short-listed firms will initiate the second step of the procurement process. The Stage 2 RFP will set forth more detailed requirements for the Waste Reduction Facility and Stage 2 Proposals. Section 4.0 provides further details on the overall procurement process planned by the County. A response to this Stage 1 RFP and short-listing by the County are mandatory for receipt of a Stage 2 RFP. County of Hawaii Page 2 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE 1 RFP 1.4 STATUS OF PROJECT DEVELOPMENT ACTIVITIES The County has been actively pursuing the development of the Project over the last several years. The status of key development activities is summarized below: • tSWMP. The 2002 Integrated Solid Waste Management Plan (Plan) concluded that the waste stream from the east side of the island should be reduced as much as possible before hauling any residuals to the Pu'uanhulu Landfill. The Plan recommended a Waste Reduction Facility to replace the South Hilo Landfill. The Plan identified potential technologies for the Waste Reduction Facility and recommended that final selection of a technology be combined with the selection of a specific vendor through an RFP procurement process. This Stage 1 RFP seeks to implement the Plan's recommendations related to development of a Waste Reduction Facility. • Advisors. The County has contracted with support services consultants, R. W. Beck Inc. and the legal firm of Hawkins Delafield & Wood LLP, to assist with the development of procurement documents, evaluation of Stage 1 and Stage 2 Proposals, negotiations, and Project implementation. Both firms are nationally recognized for their expertise in assisting clients with alterative service delivery projects, including Waste Reduction Facilities employing the types of technologies identified for this Project. • Site. The County is in the process of obtaining title for the Project Site (adjacent to the South Hilo Landfill) from the State. E/SPN. The County will be initiating an EIS Preparation Notice (EISPN) for the selection of a waste reduction technology. The County will be holding public and stakeholder meetings to obtain input on the analysis to be included in the EIS. • County Council. On October 17, 2005, the County's procurement advisors made a presentation to the County Council's Environmental Committee outlining the recommended procurement framework for the Project. The Committee voted to accept the recommendations of its advisors. • Project Ownership I Financing. The County expects to own and finance the design and construction for the Project. However, depending on the technology(ies) that are proposed and selected, the County may require the DBO Contractor to provide financing. 1.S ORGANIZATION OF THIS STAGE I RFP This Stage 1 RFP is organized into five sections as follows: County of Hawaii Page 3 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP • Section 1, introduction, provides an overview of the Project and the County's objectives for the Project and DBO delivery process. • Section 2, Background, provides background information related to Project need and the anticipated scope of work. • Section 3, Business Terms and Conditions, describes the overall business arrangements and requirements that the County expects for the Project, including preliminary contract principles and the preliminary risk allocation that the County is seeking. • Section 4, Procurement Process, describes the overall procurement process for the Project, including summary discussions of how Stage 1 and Stage 2 Proposals wilt be evaluated. • Section 5, Stage 1 Proposal Requirements, describes the specific submittal requirements for the Stage 1 RFP as well as the criteria that will be used to evaluate and rank Stage 1 Proposals. 1.6 REFERENCE DOCUMENTS AVAILABLE The following documents are available for this Project: 1. Hawaii County Integrated Solid Waste Management Plan, December 31, 2002. The Plan describes future plans for solid waste system in the County and gives general information about the County's issues and priorities. The Plan includes the following Appendices of particular note with respect to this Project: • Appendix C: Waste Composition Study, South Hilo Landfill, County of Hawaii: The report of the Waste Composition Study includes composition estimates for the overall waste stream and for the transfer station, commercial, and self-haul wastes disposed at the South Hilo landfill. • Appendix F: Vendors of Waste Reduction Technologies: This is a list (not exclusive) of vendors that have experience in the three waste reduction technologies presented in the Plan (Anaerobic Digestion, Thermal Gasification, and Waste-To- Energy Incineration). The Integrated Solid Waste Management Plan and all of its appendices can be viewed on the County website at: http://www.hawaii-county.comlenv mne/iswmp final update.htm 2. EIS for the Sort Station Complex This document can also be found on the following website. County of Hawaii Page 4 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP http://www.hawaii-countv.comlenv mne/ehrss.htm For the purpose of this Stage 1 RFP, all reference documents should be used for informational purposes only. These documents may be out of date and do not necessarily represent existing conditions. 1.7 DEFINED TERMS For the purposes of this Stage 1 RFP, the following words and terms shall have the meanings set forth below. Unless otherwise specified in the Stage 1 RFP, all capitalized terms in this document refer to defined terms in this section of the Stage 1 RFP. "Acceptable Technology" means one of the technologies listed in Section 2.2.1 for the purpose of this Stage 1 RFP. For the purpose of the Stage 2 RFP, the list of acceptable technologies may be further limited. "Acceptable Waste' means all waste, except hazardous waste, that can be received by the Waste Reduction Facility in compliance with Applicable Law. "Company" means the Selected Proposer with whom the County has executed the WRF Design-Build-Operate Contract. "Development Period" means the period from and including the Contract Date to the Construction Commencement Date. "Preliminary Contract Principles" means contract principles included in Appendix B of this document. These principles will be refined as the procurement process proceeds. "Project" means the Waste Reduction Facility Design-Build-Operate Project and all Contract Services required to implement the Project. "Project Site" means the real property designated for the Project, located in Hawaii County adjacent to the South Hilo Landfill site. "Selected Proposer" means the Proposer selected to enter into negotiations pursuant to HRS 103D-303. "Sort Station Complex" means the County's planned facilities at the South Hilo Landfill Site which will include a recycle area for source separating recyclables from self-haul waste and a Reload Building for transferring waste into containers for shipment to Pu'uanahulu Landfill. The Reload Building will serve as part of a short-term solution to disposing of east County waste until the Waste Reduction Facility is operational. Subsequent to commercial operation of the Waste Reduction Facility, it is anticipated that the Reload Building will be used as the tipping floor for the Waste Reduction Facility and will also provide an ability to transfer waste should the necessity arise. "Stage 1 RFP" or "Request for Stage 1 Proposals" means the document and amendments thereto, issued by the County, soliciting qualifications and other County of Hawaii Page 5 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP information for the Project. "Stage 2 RFP" or "Stage 2 Request for Proposals" means the document setting forth the requirements for Stage 2 Proposals that will be issued to short-listed firms subsequent to evaluation of Stage 1 Proposals and all amendments thereto. "Unacceptable Waste' means hazardous waste and other materials that cannot be received by the Waste Reduction Facility or violate Applicable Law. "Waste Reduction Facility" means the solid waste facility to be designed, constructed and operated by the Selected Proposer. County of Hawaii Page 6 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP 2.0 BACKGROUND 2.1 BACKGROUND AND PROJECT NEED 2.1.1 COUNTY OF HAWAII SOLID WASTE MANAGEMENT SYSTEM Solid waste management in Hawaii County is the responsibility of the Hawaii County Solid Waste Division, which owns 21 drop-off style transfer stations and two landfills. According to the Integrated Solid Waste Management Plan, approximately 50% of the residential and commercial waste generated (mostly from areas with more dense residential development) on the island is collected by private companies which deliver waste directly to the landfills. Residential waste collection is not mandatory; commercial collection is arranged directly by individual businesses. Self-haul househo{d waste can be transported to the landfill or to one of the 21 transfer stations, which serve areas that are sparsely populated and do not receive waste collection service. Also, approximately 86% of all single family households use the transfer stations for disposal. The County encourages public recycling through public education efforts and quarterly diversion grants to companies that deliver certain recyclable materials to an end user. The County also plans to develop a Sort Station Complex, as described in Section 2.1.3 below, to recover recyclables from the waste stream. All waste generated within the County is delivered to the landfills, except for material that is diverted by recycling. The South Hilo Landfill, which serves the eastern portion of the County, is estimated to reach capacity in March 2006. The County has submitted an application to DOH for slope steepening at the landfill to extend its life. At the time that South Hilo Landfill reaches capacity, the County will implement an interim waste disposal plan until the WRF is operational. The Waste Reduction Facility that is the subject of this procurement process has been identified as the replacement facility for the South Hilo Landfill. 2.1.2 WASTE GENERATION AND CHARACTERISTICS /EXPECTED CAPACITY OF WASTE REDUCTION FACILITY The total amount of solid waste that is managed by the county system was approximately 160.,000 tons in the year 2000. Approximately 67,000 tons was received the South Hilo Landfill with 49% (or about 32.700 tons) from one of the nine transfer stations, 37% (24,700 tons) from commercial hauling companies, and 14% (9,700 tons) from self-haulers. (Waste Composition Study, South Hilo Landfill, County of Hawaii, Cascadia Consultants, August 2001.) The County's Plan estimates that the resident population of Hawaii County is expected to increase at a rate of one to two percent per year while the defacto population (population including visitors and tourists) is expected to grow at approximately two percent per year. Considering expected population and County of Hawaii Page 7 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP economic growth and historical deliveries to the South Hilo landfill, the potential diversion of waste received at certain transfer stations that currently deliver waste to the Pu'uanahulu Landfill, seasonal peaks in waste generation and other factors, the capacity of the WRF is expected to be about 250 tons per day 50 tpd). The Stage 2 RFP will define capacity requirements for the Waste Reduction Facility. Table 1 shows the partial results of a characterization study of waste delivered to the South Hilo Landfill that was conducted in April and May of 2001 by Cascadia Consulting Group Inc. Proposers are strongly encouraged to review the entire characterization study in order to determine the suitability of their proposed technology to this waste stream. Table 1: Com osition of Waste delivered to South Hilo Landfill - . Or anics 30.4% Paper 23.5% Construction & Demolition 18.1 Waste Metal 8.8% Plastic 8.5% Special Waste _6.2% Glass 3.0% Mixed 1.3% Household Hazardous Waste 3% 2.1.3 WASTE REDUCTION FACILITY SITE The Waste Reduction Facility will be located adjacent to the South Hilo Landfill site (See Figure 1). As discussed in Section 2.1.1, above, South Hilo Landfill is expected to reach capacity in March 2006. The County also plans to construct a Sort Station Complex and related infrastructure (i.e. entrance, access road, scale facility) at the South Hilo Landfill Site. The County has received bids for this work and those bids are currently under review. The purpose of the Sort Station Complex will be to receive waste delivered to the site, remove additional recyclables from the waste stream, and load containers for disposal off-site pursuant to the County's interim disposal plan until the time that the Waste Reduction Facility becomes operational. Infrastructure developed in conjunction with the Sort Station Complex will be available for use by the WRF DBO Contractor and the County expects that the tipping floor of the Reload Building will become the tipping floor for the Waste Reduction Facility. County of Hawaii Page 8 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP The Reload Building will also provide the capability to reload and transfer waste to be hauled to the Pu'uanahulu during times when the Waste Reduclion Facility is non-operational. The expected location of the Sort Station Complex, closed landfill, and other facilities and infrastructure at the South Hilo Landfill Site are shown in Attachment A, Figure 1 Location Map. 2.2 EXPECTED FACILITIES 2.2.1 ACCEPTABLE TECHNOLOGIES Based on the waste reduction technologies identified in the 2002 Plan and an updated evaluation of the commercial status of those technologies, the County is limiting Stage 1 Proposals to the following Acceptable Technologies: • Waste-to-Energy (Mass Burn) • Waste-to-Energy (Refuse Derived Fuel) • Thermal Gasification (including Pyrolysis and conventional gasification) 2.2.2 SUPPORT FACILITIES As indicated in Section 2.1.3, above, certain infrastructure at the South Hilo Landfill Site will be made available for use by the WRF DBO Contractor. The DBO Contractor will be responsible for developing any and all additionally required facilities and infrastructure including roads, utilities, and any required pre-processing. 2.3 ANTICIPATED SCOPE OF WORK The County anticipates that the scope of work will include responsibility for obtaining permits and approvals; providing support for the County to complete the Project EIS process; design and construction of the Waste Reduction Facility and required support facilities/ infrastructure; commissioning and acceptance testing; and operation and maintenance for an operating term of 20 years. All other Contract Services will also be the responsibility of the DBO Contractor. The DBO Contractor will be expected to be responsible for all Acceptable Waste delivered to the WRF tipping floor, conduct any necessary pre-processing, process all processible waste, and deliver any non-marketable residuals resulting from either pre-processing or WRF processing activities to the Pu'uanahulu Landfill for disposal. The County anticipates that revenues from the sale of marketable output from the Waste Reduction Facility will be shared between the County and the DBO Contractor. The scope of work will be more specifically defined in the Stage 2 RFP. County of Hawaii Page 9 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP 3.0 BUSINESS TERMS AND CONDITIONS 3.1 CONTRACT PRINCIPLES AND RISK ALLOCATION Attachment B contains the Preliminary Contract Principles and a Preliminary Risk Matrix. The intent of including this information in Stage 1 of the RFP is to give potential Proposers a general understanding of the proposed contract requirements and risk allocation concepts that the County intends to include in the Stage 2 RFP. The Preliminary Contract Principles and risk allocations should not be considered as all-inclusive or definitive as to the form or substance of the actual Design- Build-Operate Contract provisions. The County expects to further narrow the range of Acceptable Technologies based on its evaluation of Stage 1 Proposals. Accordingly, Stage 2 Proposals will include the Draft Design-Build-Operate Contract and risk allocations that are appropriate to the specific technologies that will be carried forward into Stage 2. The County reserves the right to amend, modify or delete any of these principles or risk allocations in the Draft Design-Build-Operate Contract to be issued with or as an addendum to the Stage 2 RFP. The following sub-sections highlight certain provisions of the Preliminary Contract Principles. Proposers are strongly encouraged to become familiar with all of the risk allocations and Preliminary Contract Principles included in Attachment B. 3.1.1 PROJECT GUARANTORAND OTHER SECURITY REQUIREMENTS Firms submitting Stage 1 Proposals and firms subsequently submitting Stage 2 Proposals must demonstrate that they have sufficient financial strength to fulfill all the financial obligations required for permitting, designing, constructing, operating, and providing required assurances for the Project. Where the proposing firm does not have sufficient financial strength on its own, it shall propose a Project Guarantor to guarantee all of the obligations under the Design- Build-Operate Contract. The Project Guarantor must have adequate financial resources to meet the minimum financial criteria established by the County throughout the term of the Design-Build-Operate Contract. The Project Guarantor can be a parent company or a sufficiently capitalized third party. However, if a sole purpose subsidiary is created as the contracting party, the parent company shall be a Project Guarantor. The County will require performance and payment bonds during the construction period. A performance bond may also be required over the operating period. Depending on the commercial viability of the particular type of technology proposed and the financial status of the Selected Proposer, a letter of credit may also be required. County of Hawaii Page 10 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP 3.1.2 STIPULATED LIMIT ON LIABILITY The Design-Build-Operate Contract will set a limit on contracting party liability relating to the payment of termination damages in the amount of 100% of the design-build price from the Contract Date to one year following Acceptance, with a reduced limit thereafter. This limit on contracting party liability will be subject to certain conditions. (See the Preliminary Contract Principles in Attachment B.) 3.1.3 DEVELOPMENT PERIOD After the Design-Build-Operate Contract is executed, there will be a period of time defined as the Development Period. The Design-Build-Operate Contract will set forth obligations of the Company and the County during the Development Period. The County plans to make limited payments to the Company during the Development Period, tied to the completion of major milestones related to permitting and design. The sum of such payments will not exceed the amount specified in the Design-Build-Operate Contract, consistent with the County's intent to limit the County's risk until permits necessary to initiate construction are in hand. Two significant Development Period obligations are obtaining environmental permits and approvals and obtaining financing for construction. The Development Period will begin on the Contract Date. Construction cannot begin until all obligations of both parties have been met and verified (or waived), and the Development Period has been closed. 3.1.4 ENVIRONMENTAL PERMITS AND APPROVALS The Company will be responsible for obtaining, on behalf of the County, all permits, licenses, and approvals necessary for the construction and operation of the WRF. The Company will also be responsible for assisting the County with completion of the Project EIS, as further described in the Stage 2 RFP. 3.1.5 PROJECT OWNERSHIP /FINANCING Project ownership and financing will be handled in one of two ways. If the selected Proposer is able to adequately demonstrate the effectiveness and long- term technical and financial viability of the proposed waste reduction technology, the County will finance and own the Project to take advantage of more favorable financing terms, the benefit of the facility's residual value and the contractual flexibility associated with public ownership facilities. If, in the opinion of the County, the technical approach proposed by the Selected Proposer is not adequately demonstrated, but the County wishes to proceed with the Selected Proposer, private financing by the Selected Proposer will be required to better manage the contractual risks of utilizing a less proven technology. In the event a private financing approach is utilized, the Design-Build-Operate Contract will County of Hawaii Page 11 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP include provisions to transfer ownership to the County, for a stipulated price, once the waste reduction technology has been adequately demonstrated. 3.2 EXPECTED PAYMENT PROVISIONS The County expects that payment for the WRF DBO Project will consist of two components: 1) a fixed price for development, design, and construction ("Fixed Design-Build Price") of the facility, including acceptance testing; and 2) an annual Service Fee. The Fixed Design-Build Price will also consist of two components: • Fixed Development Fee. An amount proposed in the Stage 2 RFP to be paid during the Development Period. Payment of the Development Fee will be on a milestone basis. • Fixed Construction Price. An amount proposed in the Stage 2 RFP to be paid during the Construction Period. Payment of the Fixed Construction Price will be on a milestone basis. The County expects to retain a portion of these payments until successful completion of the Acceptance Test, as will be further described in the Stage 2 RFP. Stage 2 Proposers will be expected to hold their Fixed Construction Price for a period of time specified in the Stage 2 RFP. If anotice-to-proceed with construction is not issued by the end of such specified period of time due to uncontrollable circumstances, the Fixed Construction Price will escalate according to an index defined in the Stage 2 RFP. The Service Fee will consist of several components: • Fixed Fee Component. The intent of this component will be to cover the fixed costs of operating the facility based on a stated assumed amount of waste processed. Variable Fee Component. The intent of this component will be to cover the costs of processing waste above the stated assumed amount. • Revenue Sharing Component. The intent of this component will be to share, with the Company, a portion of revenues derived from the sale of any beneficial products from the waste reduction technology. • Pass Through Costs. The intent of this component will be to reimburse the Company for certain reimbursable third-party costs. • Fee Adjustments. This will include adjustments due to escalation (based on an index specified in the Stage 2 RFP), liquidated damages, etc. County of Hawaii Page 12 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP COUNTY OF HAWAII BUSINESS LICENSE AND TAXES After contract execution, the Company, at its sole expense, shall obtain and keep in force any and all necessary business licenses and permits. The Company shall also be responsible for payment of all applicable business taxes. 3.4 SPECIAL PROGRAM REQUIREMENTS Proposers should be aware that the County and State have several statutory, regulatory, and administrative requirements and practices related to fair employment (Chapter 378, HRS), Worker's Compensation (Chapter 386, HRS), and other requirements. Potential Proposers should contact Bill Takaba (County Contact for this Project) to obtain additional information (See Section 4.4). 3.5 VENUE FOR LITIGATION The Proposer agrees, by submitting a Stage 1 Proposal in response to the Stage 1 RFP, that the County of Hawaii shall be the venue of any arbitration or lawsuit arising out of the Stage 1 RFP, and also arising out of any subsequent Stage 2 RFP and any contract that may be awarded pursuant to the Stage 1 and Stage 2 RFPs. Hawaii State law shall govern the resolution of any such disputes. County of Hawaii Page 13 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP 4.0 PROCUREMENT PROCESS 4.1 OVERVIEW 4.1.1 STAGE 1 RFP AND STAGE 1 PROPOSAL SUBMITTALS The Stage 1 RFP is the first step in the two-step procurement process for the selection of a firm to permit, design, build, and operate the Waste Reduction Facility. In order to be eligible to submit a response to the forthcoming Stage 2 RFP, a Stage 1 Proposal must be submitted and the Proposer must be short- listed by the County. Only those firms that have been short-listed will be invited to submit a Stage 2 Proposal. Submittal of a Stage 1 Proposal will be presumed to signify a firm's willingness to participate in the Stage 2 Proposal process. A Stage 1pre-proposal conference will be held as set forth in Section 5.2. 4.1.2 STAGE 1 PROPOSAL EVALUATION AND "SHORT LISTING" PROCESS A Design-Build-Operate Evaluation Committee ("Evaluation Committee'), appointed by the County's Chief Procurement Officer, will evaluate the responses to the Stage 1 RFP. The Committee will be composed of at least three governmental representatives. Technical, legal, and financial consultants and others may serve as advisors to the Evaluation Committee. Stage 1 Proposals will be evaluated in accordance with the criteria set forth in Section 5.4 The Evaluation Committee, at its sole discretion, shall have the right to seek clarifications from any of the teams in order to fully understand the nature of the Stage 1 Proposals. The Evaluation Committee will evaluate Stage 1 Proposals, rank the teams, and will make the final decision regarding short-listed firms. Based on the submittal requirements and the criteria outlined in Section 5.4 of this Stage 1 RFP, the County expects to short-list no more than four firms that subsequently will be requested to submit Stage 2 Proposals. If one or more firms that are short-listed drop out of the procurement process, the County reserves the right to add additional firm(s) to the short-list from those who submitted Stage 1 Proposals based on the ranking developed by the Evaluation Committee. Firms should be aware that, while Stage 1 Proposals will be ranked for the purpose of short-listing, the ranking will not carry forward to the review of proposals. In addition, the County expects to reconsider qualifications during its review of Stage 2 Proposals as outlined in Section 4.1.4, below. 4.1.3 STAGE 2 RFP AND PROPOSAL SUBMITTALS Teams short-listed under the Stage 1 RFP process will subsequently receive a draft Stage 2 RFP and a preliminary draft form of the Design-Build-Operate County of Hawaii Page 14 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP Contract. Short-listed teams will be given the opportunity to provide written comments on these draft documents. The draft Stage 2 RFP will include detailed submittal requirements; and describe existing conditions, the Project scope, and technical /business requirements. Technical requirements are expected to include the performance requirements, basis of design, and technical specifications specifically tailored to the technologies that remain at the conclusion of the Stage 1 Proposal evaluation. It is anticipated that a Stage 2Pre-Proposal Conference will be held. Details related to this conference will be included in the Stage 2 RFP. The County intends to provide significant access to the Site for short-listed teams so that they can have adequate opportunity to verify and evaluate existing conditions. The process for arranging access will also be described in the Stage 2 RFP. In addition, the County will give short-listed teams the opportunity to attend separate meetings with the County for the sole purpose of improving the draft Stage 2 RFP documents. No information that would provide a competitive advantage to an individual team will be provided by the County during these meetings; all relevant information will be provided to all short-listed teams. The County will require that comments on the draft documents be submitted in writing prior to the scheduled meetings. After the County has met with Proposers and made any modifications to the draft Stage 2 RFP that the County deems necessary, the final Stage 2 RFP will be issued to short-listed firms. The County's proposed Design-Build-Operate Contract will also be provided with, or shortly after issuance of, the final Stage 2 RFP. In order to be eligible for consideration, firms must submit a proposal that meets the requirements of the final Stage 2 RFP. Firms will be permitted to take exception to provisions of the County's proposed Design-Build-Operate Contract (except for terms identified as mandatory, if any) provided, however, that the extent of deviation from the risk allocation /business terms included in the County's proposed Design-Build-Operate Contract will be a factor in the evaluation process. Proposers will be required to explain the rationale behind exceptions in their Stage 2 Proposals. Proposals submitted in response to the Stage 2 RFP should be considered final by Proposers. While the County reserves the right to request best and final offers, it is anticipated that the only acceptable modifications to a Proposer's fixed price will be those corresponding to clarifications, scope or risk alterations requested by the County. Therefore, Proposers will be encouraged to include their best price in their Stage 2 Proposals. 4.1.4 STAGE 2 PROPOSAL EVALUATIONS Proposals received in response to the Stage 2 RFP will be evaluated by the Evaluation Committee using evaluation and selection criteria that will be detailed in the Stage 2 RFP. The County will use a variety of methods to review and confirm County of Hawaii Page 15 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP information provided in the Stage 2 RFPs, including due diligence activities such as site visits and reference checks. Stage 2 Proposal Evaluation and Selection Criteria The evaluation and selection criteria will likely include, but may not be limited to: • Technical, Management, and Financial Qualifications. • Technical Feasibility and Reliability, including issues such as the feasibility and reliability of the proposed Waste Reduction Technology and equipment; demonstrated ability of the design and proposed operating strategy to meet the specified waste throughput, product output and residue requirements; portion and amount of the waste stream that is processible with the technology proposed; and the integration of the Waste Reduction Facility with existing and anticipated facilities at the South Hilo Landfill Site. • Approach to Avoiding or Minimizing Environmental and Social Impacts, including the impacts of construction and operation, including management of waste streams, such as air emissions, unacceptable waste and residue disposal. • Quality, Durability and Workmanship, including such issues as overall quality of proposed materials, equipment, and the overall facility; proposed operations and maintenance plans; and integration of features and techniques to preserve Project residual value at the end of the contract term. • Construction Approach, including issues such as construction sequencing; need for temporary facilities and operations; safety records / safety programs, and requirements for construction laydown areas. • Ability to Deliver the Project, including issues such as the proposed permitting approach and the County's assessment of the ability of the proposal to obtain required approvals, and the proposed schedule. • Overall Value of Enhancements and Exceptions /Modifications to County's Proposed Design-Build-Operate Contract. This is expected to include an assessment of whether or not proposals exceed minimum requirements laid out in the Stage 2 RFP and / or other enhancements included in or suggested by Proposers. • Fixed Design- Build Price, Annual Operating Fee, and Cost Effectiveness. This is expected to include life-cycle-cost analyses in order to evaluate the long-term cost implications of Proposals, considering revenue generated from the sale of beneficial output of the WRF. County of Hawaii Page 16 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP ' Risk Assumption, Performance Guarantees and Assurances. This is expected to include an evaluation of the Proposer's ability and willingness to assume the risk allocation specified in the proposed Design-Build- Operate Contract and an assessment of the proposed modifications / exceptions to the Design-Build-Operate Contract. These evaluation criteria will be more fully described in the Stage 2 RFP. As listed above, the County plans to re-evaluate qualifications along with Stage 2 Proposals and to incorporate this evaluation into its ranking of Stage 2 Proposals. This re-evaluation of qualifications is being incorporated into the Stage 2 Proposal evaluation process for two reasons: 1) it will allow for changes in teams to be considered in the selection process; and 2) it will allow the County to consider the relative qualifications and ability of the Proposer teams to deliver the specific Project concepts that they propose. Firms should note, however, that modifications of teams after short-listing will only be allowed when: 1) there has been a change beyond the control of the team lead; and / or 2) it strengthens the team's ability to meet specific Project requirements. Short-listed firms will be asked to use Form 7, included in Attachment D, to notify the County's Project Manager of any proposed change in team members in advance of submitting their Stage 2 Proposal. County approval of such substitution of significant team members will be required. As mentioned above, the Evaluation Committee will use a variety of means to review and confirm the information included in Stage 2 Proposals. These include: Due Diligence • Completeness /Responsiveness Review. Stage 2 Proposals will be reviewed to determine if all necessary elements as required by the Stage 2 RFP are included and if all mandatory terms and conditions, if any, have been accepted. Based on this review, the County, acting through the Evaluation Committee, will reserve the right to request revisions / clarifications from Proposers. However, firms should be aware that the Committee may advise the County to reject unresponsive or incomplete Stage 2 Proposals without providing the opportunity for the Proposer to supplement or modify its Proposal. The County may choose to implement such a recommendation at its sole discretion. ' Reference Checks. The Evaluation Committee will verify experience and qualifications, including verification of quality on past projects, through interviews and, possibly, site visits to reference facilities. Qualifications of firms and individuals may be verified in this manner. In addition, the County retains the right to interview and / or visit facilities that have not been listed as references but where Proposer team members, including specific individuals, have worked. County of Hawaii Page 17 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP • Technical and Financial Reviews. The Evaluation Committee will review the technical and financial aspects of Stage 2 Proposals with detailed input from County advisors and staff. Interviews /Requests for Clarification. Stage 2 Proposals will be used as the basis of evaluations. At its sole discretion, the Evaluation Committee may hold interviews, ask written questions of Proposers, seek written clarifications, conduct discussions on proposals, and solicit updated proposals during the evaluation and selection process. 4.1.5 CONTRACT NEGOTIATIONS The Evaluation Committee will evaluate and then recommend a ranking of firm(s) to the County's Chief Procurement Officer based upon the criteria, weighting and process set forth in the Stage 2 RFP. If a decision to proceed is made based on this recommendation, the County will conduct negotiations with the highest- ranked firm. The County will retain the right to suspend or cancel negotiations with the highest-ranked firm and proceed to negotiations with the next highest- ranked firm at its sole discretion. The County's proposed Design-Build-Operate Contract will be modified to reflect the outcome of the negotiations. 4.2 SUMMARY OF ANTICIPATED PROCUREMENT SCHEDULE A summary of the anticipated schedule of the major activities associated with this Design-Build procurement process through Contract execution is presented below. Date Activity January 18, 2006 Stage 1 Pre Proposal Conference and Site Tour January 27, 2006 Deadlines for Written Questions February 17, 2006 Stage 1 Proposal Submittal Date March 2006 Designation of Short-listed Teams Late March or Early April Issuance of Draft Stage 2 RFP and 2006 Preliminary Draft Design-Build- Operate Contract or Comprehensive Contract Principles to Short-listed Teams Apri12006 Meetings with Individual Proposer Teams June 2006 Issuance of Stage 2 RFP I (Proposed Design-Build-Operate Contract to be issued concurrently or shortly thereafter) County of Hawaii Page 18 December 28, 2005 Waste Reduction Facility Request far Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP Date Activity June or July 2006 Stage 2Pre-Proposal Conference, if held August 2006 Stage 2 Proposal Submittal Date October 2006 Evaluation Committee Ranking of Proposals October 2006 Initiate Negotiations January 2007 Contract Executed The County retains the right to modify any or all of the above dates. 4.S OTHER PROCUREMENT REQUIREMENTS 4.3.1 EXPENSES OF PROPOSERS The County of Hawaii accepts no liability for the costs and expenses incurred by firms in responding to this Stage 1 RFP, the forthcoming Stage 2 RFP, responses to clarification requests and resubmittals, potential interviews, and subsequent negotiations. Each Proposer that enters into the procurement process shall prepare the required materials and submittals at its own expense and with the express understanding that they cannot make any claims whatsoever for reimbursement from the County of Hawaii for the costs and expenses associated with the process, except as specifically provided herein. 4.3.2 INFORMATION DISCLOSURE TO THIRD PARTIES All Stage 1 and Stage 2 Proposals received in response to the procurement documents will become the property of the County and will not be returned. It is the County's intent, to the extent permitted by law, to keep all Stage 1 and Stage 2 Proposals confidential until execution of the Design-Build-Operate Contract. The County acknowledges that some information provided by Proposers may be considered proprietary, confidential and / or exempt from disclosure. If a Proposer believes that portions of its Stage 1 or Stage 2 Proposals are proprietary, confidential, or exempt from disclosure to third parties, the Proposer must clearly label the specific portions sought to be kept confidential and specify the exemption that the Proposer is relying upon. Marking all or substantially all of a response as confidential may result in the Stage 1 or Stage 2 Proposal being considered non-responsive by the County. In the event that the County receives a request for public records to which part or all of a Proposer's response is responsive, the County will promptly provide the Proposer notice of the request and an opportunity to seek at its own expense a protective order to preserve the confidentiality of the requested materials. County of Hawaii Page 19 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP Notwithstanding the foregoing, Proposers shall recognize and agree that the County will not be responsible or liable in any way for any losses that a Proposer may suffer from the disclosure of information or materials to third parties. 4.3.3 COMPETITION /COMMUNICATIONS PROTOCOL The County has established a communication protocol to assure that all interested parties have equal access to information on the Project. In addition, the protocol is intended to assure that all proposals and related information regarding the selection process are kept confidential. Interested parties should note that the Communications Protocol prohibits potential proposers from contacting or communicating with elected officials regarding this Project until the award of the Design-Build-Operate Contract. All interested parties are requested to review and manage their communications in a manner consistent with the Communications Protocol included as Attachment C to this Stage 1 RFP. 4.3.4 COUNTY RIGHTS AND PROCUREMENT CONDITIONS The County reserves, holds without limitation, and may exercise, at its sole discretion, the following rights and conditions with regard to this procurement process. By responding to this Stage 1 RFP, Proposers acknowledge and consent to the following County rights and conditions: 1. To terminate the procurement process or decide not to award a contract as a result thereof by written notice to the Proposers for any reason whatsoever. 2. To waive any defect, technicality or any other minor informality or irregularity in any Stage 1 RFP, in any Stage 2 RFP, or in any other response from Proposers. 3. To make major changes or alterations to the schedule for any events associated with this procurement process upon notice to the Proposers. Minor modifications may be made without notice to Proposers. 4. To eliminate any Proposer that submits an incomplete or inadequate response, or is not responsive to the requirements of this Stage 1 RFP, or is otherwise deemed to be unqualified during any stage of the procurement process. 5. To conduct clarification discussions, at any time, with one or more Proposers. 6. To amend the Contract Services, at any time, to omit services therein or to include services not currently contemplated therein. 7. Without prior notice, to supplement, amend or otherwise modify this Stage 1 or Stage 2 RFP, or otherwise request additional information. 8. In the event the County receives questions concerning the Stage 1 or Stage 2 RFPs from potential Proposers prior to the deadline for response, the County reserves the right to provide such questions, and the County's responses, if any, to all potential Proposers. County of Hawaii Page 20 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP 9. Neither the County, its Elected Officials, staff, agents, employees, representatives, nor consultants will be liable for any claims or damages resulting from any aspect of this procurement process. 10. To visit and examine any of the facilities referenced in the Stage 1 Proposals and to observe and investigate the operations of such facilities, as well as other facilities not referenced in the Stage 1 Proposals. 11. To conduct investigations with respect to the qualifications and experience of each Proposer and to request additional evidence to support any such information. 12. To take any action affecting the Stage 1 RFP process, the Stage 2 RFP process, or the Project that is determined to be in the County's best interests. 4.3.5 DEBRIEFINGS AND PROTESTS A Proposer that the County rejects or does not select for short-listing in response to the Stage 1 RFP may submit a written request for debriefing to the County within three working days after the posting of the short-list of firms to receive Stage 2 RFPs in accordance with HRS 103D-303. The requester will be provided with a prompt debriefing by the County. Protests are only allowed following such a debriefing and must be filed in writing to the Chief Procurement Officer within five working days after the date that the debriefing is completed in accordance with HRS 103D-303. Protests of contract award or rejection of bids or proposals are governed by HRS 103D-701. A Proposer that the County rejects or does not select in response to the Stage 2 RFP may submit a written request for debriefing to the County within three working days after the posting of the award of the Design-Build-Operate Contract in accordance with HRS 103D-303. The requester will be provided with a prompt debriefing by the County. Protests are only allowed following such a debriefing and must be filed in writing to the Chief Procurement Officer within five working days after the date that the debriefing is completed in accordance with HRS 103D-303. Protests of contract award or rejection of bids or proposals are governed by HRS 103D-701. Proposers protesting this procurement shall follow the procedures described above. Protests that do not follow these procedures will not be considered. This protest procedure constitutes the sole administrative remedy available to Proposers under this procurement. 4.3.6 CODE OF ETHICS By submitting a Stage 1 Proposal in response to this Stage 1 RFP or subsequently by submitting a Stage 2 Proposal in response to the Stage 2 RFP, the Proposer understands that, if selected, it agrees to comply with the County's Code of Ethics contained in Chapter 2 Article 15 of Hawaii County Code. The Proposer further understands and agrees that, if selected, any violation of the County's Code of Ethics shall constitute a breach of the Contract subjecting the County of Hawaii Page 21 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP Contract to termination. 4.3.7 CONFLICT OF INTEREST No officer, employee, or agent of the County, nor any member of the immediate family of any such officer, employee, or agent as defined by County ordinance, shall have any personal financial interest, direct or indirect, in the Design-Build- Operate Contract, either in fact or in appearance. The DBO Contractor must comply with all federal, state, and county conflict of interest laws, statutes, and regulations. Proposers must represent that the Proposer presently has no interest and shall not acquire any interest, direct or indirect, in the program to which the Design-Build-Operate Contract will pertain, which would conflict in any manner or degree with the performance of the services and obligations there under. Proposers further will be required to covenant that, in performance of the Design-Build-Operate Contract, no person having any such interest shall be employed. 4.4 COUNTY CONTACT Any questions regarding this Stage 1 RFP, the Stage 2 RFP, the overall Design- Build-Operate Procurement process, or Project requirements shall be directed to Bill Takaba via the contacts provided below. The County encourages contact with the County to come via the lead firm. Prospective Proposers should note that the County will provide responses to questions will to all potential Proposers. Bill Takaba County of Hawaii Department of Finance 25 Aupuni Street Room 118 Hilo, Hawaii 96720 Phone: 808-961-8234 Fax: 808-961-8248 E-Mail: wtakaba@co.hawaii.hi.us County of Hawaii Page 22 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP 5.0 STAGE 1 PROPOSAL REQUIREMENTS 5.1 GENERAL REQUIREMENTS An Original and 10 copies of Stage 1 Proposals must be delivered to the following address by 4:30 pm on February 17, 2006: Purchasing Division Department of Finance County of Hawaii 25 Aupuni Street Room 118 Hilo, Hawaii 96720 Stage 1 Proposals that are received after the time and date mentioned will not be considered, and any Stage 1 Proposals so received after the scheduled closing time shall be returned to the Proposer unopened. Stage 1 Proposals may be sent in by mail or turned in personally; however, if sent by mail, the responsibility for their on time delivery to the above address is solely the responsibility of the Proposer. Faxed Stage 1 Proposals will not be accepted. Each Stage 1 Proposal submittal package shall be completely sealed and properly addressed with the name of the Proposer on the cover of each copy of the Stage 1 Proposal. The Original and all ten (10) copies shall be individually bound. Proposers are urged to be complete, but concise, in their responses. Sales brochures are not desired unless directly related to the response and referenced in the text of the Stage 1 Proposal. No interpretation or clarification of the meaning of any part of the Stage 1 RFP will be made orally by the County to any potential Proposer. Requests for interpretation or clarification by any Proposer must be made to Bill Takaba at the address given in Section 4.4. Responses to material requests for information will be provided to all recipients of the Stage 1 RFP. Any and all such interpretations and supplemental instructions will be made in the form of written addenda that will be sent to all recipients of the Stage 1 RFP, and will become part of the Stage 1 RFP. Receipt of all addenda shall be acknowledged by Proposers by completing a form which will be provided if any addenda are issued. County of Hawaii Page 23 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP 5.2 STAGE IPRE -PROPOSAL CONFERENCE AND SITE TOUR The County will hold a Stage 1Pre-Proposal Conference and site tour on January 18, 2006. Attendance at the conference and site tour is not mandatory but is strongly encouraged. The schedule and meeting locations for the day are as follows: Tour: 4:00 p.m. Hilo Transfer Station Baseyard' Stage 1 Pre -Proposal Conference: 6:00 p.m. County Council Chamber 25 Aupuni Street Hilo, Hawaii 96720 For a map, see Figure 1, AttachmentA. Questions related to this Stage 1 RFP are encouraged and shall be submitted to Bill Takaba in advance for clarification during the conference. Questions may also be submitted at the conference. These may or may not be answered at the conference at the County's sole discretion. Verbal questions at the site tour shall be limited to questions about the site and its operations. Any questions answered at the conference or site tour will also be answered via an addendum to the Stage 1 RFP. After the conference and site tour, the County will continue to accept written questions only. Written questions must be received no later than January 27, 2006 to provide adequate time for issuance of an addendum to respond to them. 5.$ FORMAT REQUIREMENTS Stage 1 Proposals must be separated by tabs into the following sections; subsections must follow the order of submittal requirements described in Section 5.4. 1. General Company Information. Team Structure and Description of Technology 2. Key Individuals /Experience Working as a Team 3. Technical Qualifications 4. Financial Qualifications Appendix A -Resumes of Key Staff Appendix B -Project Profiles Appendix C -Completed Forms Appendix D -Comments on Project Concepts (if any) ' To get to the Hilo Transfer Station Baseyard, as you leave Airport road (Kalanikoa), turn left onto Kaneolehua Avenue. At the first traffic signal, turn left to Leilani Street. Go to the end of Leilani Street and follow the sign to the Transfer Station Baseyard. County of Hawaii Page 24 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP The Stage 1 Proposals should be comb-bound and double-sided with a table of contents and tabs between sections. Narrative pages should generally be 8-1/2 inches by 11 inches although 11 by 17 inch pages may be used for summary and comparison information. Section and subsection headings shall be provided and font size should be selected to facilitate reproduction and review. A clear and concise presentation of information is encouraged with an approximate page limit of 50 pages, not including resumes of key staff, standard brochures, and financial information and supporting data. Audio visual materials will not be accepted. 5.4 CONTENT REQUIREMENTS AND EVALUATION CRITERIA EVALUATION CRITERIA SUMMARY I. Technical Qualifications and Experience • Minimum acceptable qualifications: Experience designing, constructing, and operating for at least two years, at least one facility of similar technology, capacity and complexity as that which will be proposed for the Hawaii WRF DBO Project, processing a similar waste stream. (Pass /Fail) EPC/DB / DBO/DBOOT Experience Engineering, Permitting, and Design Experience (generally and as relevant to the proposed technology) • Construction Experience (generally and as relevant to the proposed technology) • Startup, Commissioning and Acceptance Testing (generally and as relevant to the proposed technology) • Operations Experience (generally and as relevant to the proposed technology) • Commercial Viability of Proposed Technology II. Management and Organization Capabilities • Organization chart and subcontracting plan • Qualifications of key staff • Team experience with implementing quality assurance /quality control programs Change order and claims history III. Financial Qualifications County of Hawaii Page 25 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP The following discussions describe submittal requirements and evaluation criteria to be used by the Evaluation Committee. TRANSMITTAL LETTER AND ATTACHMENTS The Stage 1 Proposal must include a transmittal letter and the transmittal letter attachments as represented in Form 1 and the attachments thereto. TECHNICAL QUALIFICATIONS AND SUITABILITY OF PROPOSED TECHNOLOGY (FIRMS AND INDIVIDUALS: This criterion includes a minimum acceptable level of experience that must be demonstrated in order for a Stage 1 Proposal to be considered responsive. Specifically, Stage 1 Proposers shall demonstrate experience designing, constructing, and operating for at least two years, at least one facility of similar technology, size, and complexity to that which is proposed for the Hawaii WRF DBO Project and processing a similar waste stream. Failure to demonstrate such experience will result in a Stage 1 Proposal being deemed non-responsive. Stage 1 Proposals that meet the minimum acceptable level of experience will be evaluated against this criterion. Stage 1 Proposals shall demonstrate the team's ability to undertake the Project by providing the technical qualifications of the contracting party, principal sub- contractors, and key individual team members. The County and the Evaluation Committee reserve the right to conduct an independent investigation of a team's technical qualifications by contacting Project references, accessing public information, or contacting independent parties. Additional information may be requested during the evaluation of technical qualifications. The County is interested in the experience of the contracting party, in the experience of proposed team member firms, and experience of key individuals. The County is interested in general experience and qualifications as they relate to this Project and specific experience with the proposed technology. Stage 1 Proposals therefore shall clearly identify experience in a manner that allows reviewers to determine the role individual firms and key individuals played and, for individuals, their employer at the time they gained this experience. The County is also interested in the role team member firms and key individuals played on reference projects. Stage 1 Proposals therefore shall clearly cross- reference Project profiles (to be contained in Appendix B of Stage 1 Proposals) when describing qualifications of firms or individuals. The roles played by firms and individuals on referenced projects shall also be described. As a minimum, the following information shall be provided to demonstrate technical qualifications: Minimum Acceptable Qualifications - In order to demonstrate the team experience (contracting party, individual firms, collective and key individuals), County of Hawaii Page 26 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP Stage 1 Proposals shall describe at least one experience designing, constructing, and operating for at least two years, at least one facility of similar technology, capacity, and complexity as that which will be proposed for the Hawaii WRF DBO Project, processing a similar waste stream. EPC/ DB / DBO / DBOOT Experience - In order to demonstrate the team experience (contracting party, individual firms, collective and key individuals), Stage 1 Proposals shall describe: • Team experience with construction using Engineer-Procure-Construct (EPC), Design-Build, Design-Build-Operate, and/or Design-Build-Own- Operate-Transfer delivery for utility projects and solid waste facilities such as waste reduction facilities, material recovery and transfer facilities. • Team experience with design in an EPC, Design-Build, Design-Build- Operate or Design-Build-Own-Operate-Transfer environment. • Other experience as determined relevant by Proposer. Engineering, Permitting, and Design Experience, including Experience with Proposed Technology - In order to demonstrate the team experience (contracting party, individual firms, collective and key individuals), Stage 1 Proposals shall describe: • Team experience with the engineering and design, including procurement of major systems and equipment, for the specific type of Waste Reduction Facility proposed for this Project. The information should describe experience with facility design and construction engineering as reflected on completed projects. • Team experience complying with federal and state regulations and obtaining required permits applicable to the specific type of Waste Reduction Facility proposed for this Project. Construction Experience Including Experience with Proposed Technology - In order to demonstrate the team's experience, (contracting party, individual firms, collective and key individuals) Stage 1 Proposals shall describe: Team experience with construction management and construction of solid waste processing facilities. • Team experience with construction specifically related to the specific Waste Reduction Technology proposed. • Safety record of the proposed contracting party and constructor on projects of similar size over the last five (5) years. Startup, Commissioning and Acceptance Testing Experience, including Experience with Proposed Technology - In order to demonstrate the team's County of Hawaii Page 27 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP experience (contracting party, individual firms, collective and key individuals), Stage 1 Proposals shall describe: • Team experience with startup, commissioning, and acceptance testing of facilities employing technologies identical or similar to the Proposed Waste Reduction Technology. • Team record of successful acceptance testing, including identification and explanation of any instances where retesting was required or where the facility was unable to demonstrate compliance with any performance requirement. Operations Experience with Proposed Technology - In order to demonstrate the team's experience, (contracting party, individual firms, collective and key individuals) Stage 1 Proposals shall describe: • Team experience with operating or consulting on the operation of solid waste facilities similar in size and utilizing the technology proposed. • Team experience preparing operating plans and O&M manuals (electronic and traditional hard copy • Team experience troubleshooting for operating facilities employing a technology identical or similar to the one proposed for this Project. Commercial Status of Proposed Technology - In order to demonstrate the commercial status of the proposed technology, Stage 1 Proposals shall describe: • The specific technology that will be proposed in sufficient detail for the County to determine if it is commercially viable. • Locations where facilities employing the proposed technology and of similar size have been developed in the United States or abroad. • Specific research that defines the effectiveness of the technology given issues that are similar to those of the Project. • Other information that demonstrates the viability and effectiveness of the technology related to the goals of the Project. MANAGEMENT AND ORGANIZATIONAL CAPABILITIES: In order to demonstrate these qualifications and experience so that they can be evaluated against this criterion, Stage 1 Proposals must, at a minimum, provide the following information: • A discussion of portions of the work that will be undertaken directly by the contracting party and portions of the work that will be subcontracted. This shall include descriptions of the parties (firms and key individuals) that will undertake the roles for Project Management and leadership, design / County of Hawaii Page 28 December 28, 2005 Waste Reduction Facility Request for Stage t Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP permitting, construction management, construction sequencing, construction inspections, commissioning /startup, acceptance testing, operations, maintenance and any other significant Project work elements. Where more than one firm or individual will play important or specialized roles in the design, they shall also be identified. • Qualifications of all key staff assigned to the Project, including those of the contracting firm, its parent (if applicable), partner firms, and major subcontractors. Brief summaries cross-referenced to resumes (Appendix A) shall be provided in this sub-section. Summaries shall include a description of their proposed Project role; length of time practicing in profession; familiarity with solid waste facility design, construction, and operations; experience on EPC, DB, DBO, and DBOOT projects; experience related to the proposed technology; and experience relevant to their proposed role on the Project.z • A discussion of the history of the relationships among the team members, including a description of past working relationships, and working relationships on similar projects. Relationships at the firm level and at the individual level shall be identified. Location of firms and key Project staff shall be identified for each firm and key individual. • Team experience developing and implementing quality control plans and programs, including construction quality assurance and inspections. This shall include a description of the role and degree of independence that is proposed for construction inspections and how corrections to adverse inspections will be managed. • Change Order and claims history on EPC, DB, DBO, or DBOOT projects. FINANCIAL QUALIFICATIONS: The financial strength of the Proposers and its Guarantors will be evaluated against this criterion. The Proposer shall use Form 5 in Attachment D to provide full disclosure regarding its financial strength and, if different from the contracting party, the financial strength of a corporation willing to guarantee the contracting parry's ~ Firms must recognize that their key assigned employees, along with subcontractors and subcontractors' key employees included in the Stage 1 Proposal, will be used as a basis for determining short-listed firms for eligibility to submit responses to the Stage 2 RFP. Therefore, changes to proposed teams, including major subcontractors and key employees, will not be allowed except for extenuating circumstances, such as corporate takeovers, buyouts, and other unforeseen changes, or to enhance proposal teams. In addition, any proposed change by a short-listed firm must be submitted using Form 7, included in Appendix D, and any proposed change of a significant team member (firm or individual) must be approved by the County as discussed in Section 4.1.4 of this Stage 1 RFP. Notwithstanding this condition, short-listed teams may strengthen their teams prior to submitting proposals by adding additional personnel and subcontractor members. County of Hawaii Page 29 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP obligations under the Design-Build-Operate Contract for the Project. If the Proposer is different than the proposed contracting party, then the disclosure requirements shall apply to the proposed contracting party as well as the Proposer and Guarantor. The County reserves the right to request full disclosure information regarding financial strength from the proposed constructor and engineer to the extent they differ from the proposed contracting party. If the Stage 1 Proposals is being submitted by a consortium, a joint venture, or a partnership, the Stage 1 Proposal shall identify the parties and relationships. Each member of such a consortium, joint venture, or partnership shall provide full disclosure information regarding their financial strength as specified in this section for individual Proposers. Additionally, major subcontractors need to be identified. In order to demonstrate financial qualifications, Stage 1 Proposals shall include: ¦ Financial Statements -Copies of the most recent three (3) years of annual reports filed with the Securities and Exchange Commission (SEC) on Form 10-K by the Proposer and the Guarantor, and supporting documents, and all quarterly reports filed with the SEC on Form 10-0 since the last 10-K was filed. If 10-K or 10-Q reports reference other reports that describe the Proposer's and Guarantor's financial condition, copies of such reports shall be provided. If the firm is not required to make periodic filings with the SEC, the Stage 1 Proposal shall include: (a) audited financial statements for the past three fiscal years, including income statements, balance sheets, and a statement of changes in financial position; (b) copies of the latest quarterly financial reports for the prior three years; and (c) a statement regarding any material changes in the mode of conducting business, bankruptcy proceedings, and mergers or acquisitions for the past three years, as well as any disclosure of any potential mergers or acquisitions. The Proposer shall agree that any financial information submitted with respect to itself or the proposed Project Guarantor may be publicly released. Financial audit reports shall also be provided. • Direct and Indirect Fixed, or Contingent Obligations -Stage 1 Proposals must also provide detailed information concerning all direct and indirect fixed or contingent liabilities undertaken in connection with other projects by the Proposer, its parents, affiliates, and subsidiaries, whether by way of financial or performance commitments, guarantees, or otherwise that may put limitations on its financial exposure for this Project. Such information shall also be provided for the guarantor, constructor, and design engineer if different from the Proposer. • Credit Ratings - If the Proposer has short-term or long-term obligations rated by Moody's Investors Service, Standard & Poor's, Fitch IBCA, or Duff & Phelps, such ratings shall be provided. Such information shall also County of Hawaii Page 30 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP be provided for the guarantor, constructor, and design engineer if different from the Proposer. • Litigation -The Proposer shall disclose any outstanding litigation that could materially and adversely affect its financial condition if judgment is brought against the Proposer. Such information shall also be provided for the proposed guarantor, constructor, and design engineer if different from the Proposer. • Project Guarantor -The Stage 1 Proposals shall clearly identify the Project Guarantor and shall also include a statement that the Project Guarantor will fully guarantee all obligations of the contracting party including for the permitting, design, construction, startup, acceptance testing, and operation of the Project. The Stage 1 Proposal shall also provide an acknowledgment of the pertormance bond and guaranty requirements and the proposed contracting party's willingness to enter into such a contractual arrangement. The Stage 1 Proposal shall include an executed Guarantor Acknowledgement Form. • Surety -Stage 1 Proposals shall include information identifying the anticipated surety for the Project. • Other -The Stage 1 Proposal shall disclose past or current bankruptcies, convictions, debarments, and material financial changes of Team Members since the date reflected in the submitted financial statements. APPENDIX A -RESUMES OF KEY STAFF (NOT SCORED SEPARATELY - CONSIDERED IN CONNECTION WITH QUALIFICATIONS CRITERIA Resumes for all key staff shall be included in this appendix. Please organize resumes in alphabetical order. At a minimum, key staff shall include the following: Overall Project Director /Manager • Project Design Manager • Lead Process Designer • Lead Facility Designer • Permitting and Environmental Compliance Lead • Construction Manager ¦ Startup, Commissioning, and Acceptance Testing Lead ¦ QA / OC Manager for Design and Construction • Lead Operations Manager Resumes shall be limited to a maximum of four pages each and shall be County of Hawaii Page 31 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP completed using Form 6 provided in Attachment D. Resumes shall describe the following: • Proposed Role on WRF Project • Years of professional experience • Education • Experience and training relevant to the WRF Project • Experience and training relevant to the proposed technology • Experience on relevant projects including a description of the role played • Professional Affiliations and Publications APPENDIX B -PROJECT PROFILES (NOT SCORED SEPARATELY- CONSIDERED IN CONNECTION WITH QUALIFICATIONS CRITERIA) Appendix B shall include a list of all directly relevant projects completed within the past 10 years that the Proposer has been involved with as an EPC, DB, DBO or DBOOT contractor or that involved the proposed technology applied to facilities of similar size as the WRF. A brief description of these selected projects shall be provided, including the current status and a description of the Proposer's specific involvement in these projects. For each of the projects identified, provide the following information: • Name of project • Applicability and relevance of the referenced project to the WRF DBO Project • WRF DBO Stage 1 Proposal submittal team participants (personnel and / or firms) • Customer and owner • Location of project • Status (design or construction phase) • Description of systems and processes, including size and capacity • Capital and operating costs • Sources of funding • Key project contact of Proposer for the given project • Key project contact of the customer (current address, a-mail, and phone number) • Key personnel involved with each major phase; if joint venture or partnership, indicate participating firms County of Hawaii Page 32 December 26, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP • Permit conditions (i.e., treatment requirements) and history of compliance with these conditions APPENDIX C -FORMS (NOT SCORED SEPARATELY -CONSIDERED IN CONNECTION WITH QUALIFICATIONS CRITERIA) Stage 1 Proposals shall include all forms included in Attachment D of this Stage 1 RFP with the exception of Form 7, which is to be used only after short-listing if there is a change in proposed team members. Forms shall be completed and signed as required. Specifically, the following forms are required: • Transmittal Letter and Three Attachments Form (Form 1) • Non-Collusion Affidavit (Form 2): Proposers) are required to execute the non-collusion affidavit on the County form which is attached to this Stage 1 RFP (Form 2, Attachment D), and submit it as part of their Stage 1 Proposal. The non-collusion affidavit must be signed, notarized and returned with the submittal. The Proposer represents, by the submission of a Stage 1 Proposal, that the information in the Stage 1 Proposal is neither directly nor indirectly the result of any formal or informal agreement with another Proposer. Participating Entities -Group List (Form 3) Participating Entities -Individual Description (Form 4) • Financial Resources Data (Form 5) • Resume Template (Form 6) • Change in Team Members (Form 7) APPENDIX D -COMMENTS ON PROJECT CONCEPTS (OPTIONAL, NOT SCORED Comments on Project concepts may be included in Appendix D. While such comments will not be used as a basis for evaluating the Stage 1 RFP responses, the County will review this information and may incorporate reasonable and accepted suggestions in the Stage 2 RFP and Design-Build-Operate Contract, or may provide clarifications based on comments received. The County specifically encourages comments on the following issues: • County Risk Allocation and Contract Principles as outlined in Attachment B. Protocol regarding meetings with short-listed firms for review, discussion, and the refinement of the draft Stage 2 RFP and preliminary Draft Design- Build-Operate Contract. County of Hawaii Page 33 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project WASTE REDUCTION FACILITY STAGE I RFP • Guarantor and Performance Bond requirements, including the requirement that a parent company guarantee must be provided for a subsidiary firm that has limited capitalization and is the proposed contracting party. • Interest of Proposer in providing waste disposal or management services in interim period after closure of South Hilo Landfill but prior to operation of the WRF. Comments should be limited to items that will enhance the DBO solicitation process and allow for cost-competitive and creative proposals. Comments on the evaluation criteria used for the Stage 1 RFP or the Stage 2 RFP will not be considered. County of Hawaii Page 34 December 28, 2005 Waste Reduction Facility Request for Stage 1 Proposals Design-Build-Operate Project HAWAII COUNTY WASTE REDUCTION FACILITY DESIGN-BUILD-OPERATE PROJECT REQUEST FOR STAGE 1 PROPOSALS ATTACHMENT A FIGURES Figure 1 -Location Map PROJECT LOCATION r>~ Q \1\Hilo ~P~~ PNF ~ ; 1°,rG HAWAII ~II 4 l ~ } ~ ~ _ ~ j = 7( General Lyman Field (Hilo International Airport) ) , ii rr~ sl ~ 2 N.. ~ -d HILO TRANSFER~~. HILO GREEN~~, EAUKnHn MlurnRV STATION ~ RLSLAVanorv WASTE SITE ~ ~ FUTURE SDRT~ _ z, STATION COMPLEX/ ~ ` - - ~ y„ WRF SITE = SOUTH HILO z" ' SANITARY LANDFILL G'' ~ y Y P O 9G I, y~ h y ~9~ .--~9~ County of Hawaii Waste Reduction Facility Design -Build -Operate Project Request for Stage I Proposals FIGURE 1: LOCATION MAP HAWAII COUNTY WASTE REDUCTION FACILITY DESIGN-BUILD-OPERATE PROJECT REQUEST FOR STAGE 1 PROPOSALS ATTACHMENT B PRELIMINARY CONTRACT PRINCIPLES AND RISK MATRIX HAWAII COUNTY WASTE REDUCTION FACILITY DESIGN-BUILD-OPERATE PROJECT REQUEST FOR STAGE 1 PROPOSALS Attachment B Preliminary Contract Principles The following are summaries of certain principles that are expected to be reflected in the Service Contract that will be included in the State 2 RFP. These principles should not be considered as all inclusive or definitive as to the form or substance of the actual Service Contract provision. The County reserves the right to amend, modify or delete any of these principles in the Service Contract to be issued with or as an addendum to the Stage 2 RFP. 1. Term The term of the Service Contract will be for 20 years, with the possibility of one or more renewal periods aggregating to five years. The term will commence on the date the Waste Reduction Facility (the "Facility") is "accepted". 2. County Ownership of Facility and Site The County will acquire ownership of the site on which the Facility is to be built. The County will provide the Company with access to the site for the purpose of fulfilling its obligations (design, construction and operation) under the Service Contract. The Facility will be owned by the County and the Company will keep the Facility free and clear of all encumbrances. 3. County Financing The County plans to provide the financing for the Facility. The County reserves the right to require private financing by the Company as part of the Stage 2 RFP process. 4. Governmental Approvals The Company will be responsible for obtaining, on behalf of the County, all permits, licenses and approvals necessary for the construction and operation of the Facility, except for the certain permits and environmental approvals (i.e., EIS) to be obtained by the County as identified in the Stage 2 RFP. The Company will be expected to assume the risk of the delays (subject to certain limited circumstances not in the Company's control) and non-issuance of, and the imposition of terms and conditions specific to the Company's proposed design technology that are more costly than assumed for the issuance of, any permit, license and approval (other than those to be obtained by the County). County of Hawaii December 28, 2005 Waste Reduction Facility Attachment B -Preliminary Contract Principles Design-Build-Operate Project Request for Stage 1 Proposals 488068.5 028493 DOC Page 1 Of 7 5. Design of the Facility The Company will have sole responsibility for designing the Facility, and will assume all design risk. The Company's design must meet the minimum design requirements, including performance standards, which will be included in the Stage 2 RFP and must be completed in accordance with the design requirements included in the Service Contract and all requirements of applicable law. The County will review the design for consistency with such design requirements. The County will not have any liability for design, notwithstanding its role in establishing the minimum design requirements or monitoring design activities, or for the issuance of or non-issuance of any necessary approvals in its governmental capacity. 6. Construction of the Facility The Company will be required to construct the Facility in accordance with the design requirements included in the Service Contract, applicable codes, regulations and other applicable law, and good engineering and construction practice. The County will monitor construction work and progress for compliance with milestone payment requirements, design requirements and the terms of the Service Contract. County personnel and representatives will have unlimited access to the construction site for such monitoring purposes. Neither the County nor its consultants shall interfere with any aspect of the construction work. The County will, however, determine whether the Facility complies with the design requirements and has passed the acceptance test(s). 7. Acceptance Testing Following substantial completion of the Facility, the Company shall undertake and pass acceptance tests which demonstrate that the Facility is capable of operating in accordance with the performance guarantees and the other acceptance standards that will be defined in the Service Contract. All costs related to achieving acceptance must be included in the fixed design/build price. The Company will not be entitled to additional compensation due to the need to re-test. 8. Guaranteed Construction and Acceptance Schedule The Company will be required to obtain all construction governmental approvals, and successfully complete all design, construction, start-up and acceptance testing for the Facility and achieve Acceptance of the Facility within a specified period of time as proposed by the Company and incorporated into the Service Contract (the "Scheduled Acceptance Date") as such period may be extended due to uncontrollable circumstances, County-directed change orders or County fault. Delay liquidated damages will be payable if the deadline is not met. Failure of the Company to achieve Acceptance prior to the expiration of a defined extension period following the Scheduled Acceptance Date will constitute an event of default for which the County may terminate the Service Contract. 9. Fixed Design/Build Price County of Hawaii December 28, 2005 Waste Reduction Facility Attachment B -Preliminary Contract Principles Design-Build-Operate Project Request for Stage 1 Proposals 488068.5 028493 DOC Page 2 Of 7 The Company will design, construct, start-up, acceptance test, and obtain governmental approvals for the Facility for a guaranteed fixed design/build price, as adjusted for County- directed change orders and uncontrollable circumstances. Payments to the Company for design, construction, start-up and acceptance testing of the Facility will be made on a milestone basis subject to a monthly maximum drawdown schedule. Payments will be subject to retainage which will be specified in the Service Contract. 10. Delivery of Solid Waste The County intends to use good faith efforts to deliver or cause to be delivered to the Facility all acceptable waste generated in the geographical area to be set forth in the Stage 2 RFP. The County shall not be liable in damages for any failure to so deliver or cause such deliveries of acceptable waste. In addition, nothing in the Service Contract shall be deemed to restrict the right of the County to practice source separation for the recovery, recycling or composting of waste nor the right of the County to conduct, sponsor, encourage or require such source separation. 11. Bypass Acceptable Waste The Company shall transport and dispose of any "bypass acceptable waste" (any portion of the total County tonnage which the Company is not permitted to refuse to accept at the Facility) which is not processed at the Facility at its sole cost and expense. 12. Unacceptable Waste The Company shall transport and dispose of "unacceptable waste" (any portion of the total County tonnage which the Company is not required to accept at the Facility) which is segregated and not processed at the Facility. Cost of such transportation and disposal shall be paid by the County. 13. Operation Responsibilities (including Performance Guarantees) Except as excused for uncontrollable circumstances or County fault, the Company will operate the Facility in accordance with the performance guarantees specified in the Service Contract, applicable law and industry standards applicable to throughput, electricity production and/or other output production specific to the selected technologies, air emission, odors, residue quality and solid waste processing generally. [f the Company fails to operate the Facility in accordance with such guarantees, laws and standards, the Company will pay any fines and penalties as well as liquidated damages, to the extent such failure is not excused for uncontrollable circumstances or County fault. 14. Maintenance, Repair and Replacement The Company will be responsible for the payment and performance of all maintenance, repairs and replacements, including major repairs and replacements, of the Facility. Mechanisms to assure the Company's compliance with its maintenance, repair and replacement responsibilities County of Hawaii December 28, 2005 Waste Reduction Facility Attachment B -Preliminary Contract Principles Design-Build-Operate Project Request for Stage 1 Proposals 4RR068.5 02R493 DOC Page 3 Of 7 are expected to include items such as (i) a detailed program of repair and replacement which will include a computerized maintenance management system; (ii) initial and final Facility asset evaluation; and (iii) periodic audits of major equipment condition. 15. Records/Reports The Company shall provide and maintain comprehensive records of operation, maintenance, laboratory analysis (as applicable), personnel training, safety, process control, daily inspections, materials, alarms and other significant operational events on a daily, weekly, monthly, and yearly basis as defined in the Service Contract. All records and reports shall be catalogued and stored in a manner that allows quick access. All records and reports shall be made available to the County. The Company will be responsible for preparing all reports required by governmental bodies (if any). In addition, monthly operations reports to the County will be required for contract administration purposes. 16. Residue Disposal The Company shall provide all services necessary to transport residue generated by the Facility to the West Hawaii Sanitary Landfill (located at Pu'uanahulu) or a disposal site to be designated by the County. The County will be responsible for providing a disposal site for residue (and unacceptable waste) at its sole cost. 17. Capital Modifications Capital modifications made at the request of the Company or due to Company fault will be made at the Company's expense. The County will have the right of approval of all such capital modifications. Capital modifications made at the request of the County or due to uncontrollable circumstances are for the account of the County. 18. Service Fee Commencing with the first billing period following successful completion of the acceptance tests, and for each billing period thereafrer during the term of the Service Contract, the County shall pay the Company a Service Fee for the services provided by the Company for operating and maintaining (including all repair and replacement) of the Facility. The fixed component of the Service Fee: (i) will be based on anticipated processing of a specified number of tons (to be set forth in the Stage 2 RFP) of Acceptable Waste per each contract year; and (ii) shall be payable in I/12`h increments during each month of a contract year. The Service Fee will also include a variable component which will compensate the Company for costs relating to the processing of acceptable waste above the stated level of service on which the fixed component is to be based, a revenue sharing component, and apass-through component which will compensate the Company for certain reimbursable third-party costs (e.g., electricity up to the Company's proposed maximum electricity utilization guaranty). 19. Termination for an Event of Default County of Hawaii December 28, 2005 Waste Reduction Facility Attachment B -Preliminary Contract Principles Design-Build-Operate Project Request for Stage 1 Proposals 488068.5 028493 DO(' Page 4 Of 7 Each party will have the right to terminate the Service Contract after notice and cure opportunity upon the occurrence of certain events of default by the other party including, without limitation, the failure or refusal to pay amounts required to be paid to the other party within a stated period of time, or to perform any material obligation under the Service Contract. The County will also have the right to terminate the Service Contract without notice or cure opportunity upon the occurrence of certain events of default, which include, without limitation, the failure to obtain and maintain any contract security instrument, the failure to achieve acceptance of the Facility by the end of the extension period, the persistent or egregious failure to meet certain performance guarantees and the insolvency or bankruptcy of the Company or the Guarantor. 20. Convenience Termination The Service Contract will provide that the County will have the right, at any time, to terminate the Service Contract for its convenience and without cause upon the payment of a convenience termination fee. The County will stipulate a schedule of convenience termination fees in the Service Contract that are applicable to the different periods of the project. 21. Uncontrollable Circumstances Neither the County nor the Company will be liable to the other for any failure or delay in performance of any obligation under the Service Contract due to the occurrence of any act, event or condition beyond a party's reasonable control (after exercising reasonable preventive and mitigative measures). In addition, the Company may be entitled to additional compensation in the event that an uncontrollable circumstance adversely affects its ability to perform in accordance with its guaranteed pricing. Uncontrollable acts, events or conditions may include, but not be limited to, traditional casualties and acts of God, changes in law, and unanticipated subsurface conditions including the discovery of pre-existing hazardous wastes or archaeological sites or objects at the Facility site. Uncontrollable circumstances would not include acts, events or conditions such as: failure to acquire required permits or approvals (except as provided in Stage 2 RFP and the Service Contract); certain strikes; general economic conditions; changes in the financial condition of the Company, the Guarantor or any subcontractor; failure of Company technology; any impact of prevailing wages or similar laws; and changes in certain tax laws. The County will further define which events will be included and excluded from the definition of uncontrollable circumstances in the Service Contract. 22. Indemnification The Company will indemnify, defend and hold harmless the County and its officials, employees, representatives, agents and contractors from and against any and all loss and expense arising from or in connection with the Company's (1) performance of, or failure to perform, its obligations under the Service Contract, or (2) the negligence or willful misconduct of the Company or any of its officers, directors, employees, representatives, agents or subcontractors in connection with the Service Contract. The Company's indemnity obligations will not be limited by any insurance policy maintained by the Company which is intended to respond to such events or any limitation of liability provision which may be contained in the Service Contract. The Company will not, however, be required to reimburse or indemnify Che County and its officials, County of Hawaii December 28, 2005 Waste Reduction Facility Attachment B -Preliminary Contract Principles Design-Build-Operate Project Request for Stage 1 Proposals 488068.5 028493 DOC Page 5 Of 7 employees, representatives, agents and contractors for any loss and expense to the extent caused by the negligence or willful misconduct of the County or to the extent attributable to any Uncontrollable Circumstance. 23. Required Insurance The Company will be required to procure and maintain insurance during the design construction period and the operations period under the Service Contract, the types and amounts of which will be set forth in the Stage 2 RFP and the Service Contract. The County anticipates requiring coverage of the following types: general liability, business automobile, builder's risk insurance, professional liability and workers' compensation. In addition, the County may require pollution liability coverage. With the exception of workers' compensation, the County anticipates it will require that the County be named as an additional insured on al) insurance coverage. The County will maintain property insurance on the Facility following acceptance. 24. Guarantor A single Guarantor acceptable to the County will absolutely, irrevocably, and unconditionally guarantee the full and prompt payment and performance by the Company all of the Company's obligations under the Service Contract. The Guarantor must have adequate financial resources to meet the minimum financial criteria established by the County during the Term of the Service Contract. Annual submittals will be required, certifying that such minimum financial criteria are maintained. 25. Payment Bond, Performance Bond and Other Security for Performance It is anticipated that the Service Contract will require that the Company provide the County, on, or before the construction date, a payment bond and a performance bond each in the amount to be set forth in the Stage 2 RFP. The design build period performance bond shall cover permitting, design, construction, acceptance and all other design/build work costs. The Company shall maintain the payment bond and the design build period performance bond until all Acceptance Tests are passed and the County has approved the release of the bonds. In addition, the County may require additional security such as a letter of credit or operations period performance bond, which security will be set forth in the Stage 2 RFP. 2b. Limitation on Liability The County will entertain proposals which include a stated limitation on liability relating to the payment of termination damages provided (a) that the stated amount of the limitation is equal to 100% of the design/build price from the contract date until one year after acceptance of the Facility has occurred, with a reduction of the stated amount thereafter and (b) the Company agrees that only damages payable by the Company to the County for termination of the Service Contract upon an Event of Default by the Company shall be applied against such limitation and that no other loss, damage or amount of any kind shall be applied against this limitation, including the following: (i) any economic, construction or operating losses sustained by the Company, the Guarantor, or any other party in connection with this Service Contract, the County of Hawaii December 28, 2005 Waste Reduction Facility Attachment B -Preliminary Contract Principles Design-Build-Operate Project Request for Stage 1 Proposals 48806R5 028493 DOC Page 6 Of 7 Guaranty or any other agreement; (ii) any claims, losses and liabilities to third parties; (iii) any fines, penalties or other amounts paid to any Governmental Body; (iv) any indemnity payments made to the County; and (v) any liquidated damages or non-performance damages paid to the County prior to the date of termination. 27. Forum for Dispute Resolution The parties shall consent to the exclusive jurisdiction of the courts of the State of Hawaii located in the County and each shall waive its right to a jury trial. 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N .fl ~ L X '.C-.. O ~ tt1 W ~ ~ N LL ~ C • • • O • • U ~ O HAWAI`1 COUNTY WASTE REDUCTION FACILITY DESIGN-BUILD-OPERATE PROJECT REQUEST FOR STAGE 1 PROPOSALS ATTACHMENT C COMMUNICATION PROTOCOL HAWAII COUNTY WASTE REDUCTION FACILITY DESIGN-BUILD-OPERATE PROJECT DRAFT STAGE 1 RFP ATTACHMENT C COMMUNICATION PROTOCOL Project Communication Objectives The County of Hawaii is proposing to develop a Waste Reduction Facility using the Design-Build-Operate alternative delivery method. The County anticipates interest from multiple U. S. and international firms, and intends to take all reasonable measures to assure that accurate and consistent information is distributed regarding all aspects of the Project. Furthermore, the County is committed to use a fair and open procurement process for the Project. Specifically, the County is committed to: achieving the fair and accurate distribution of relevant information to interested parties; avoiding "insider" information and the appearance thereof; providing regular informational updates about the Project; and providing prompt, thorough and accurate responses to parties with questions or concerns. The County requires that the following guidelines be followed by firms and individuals who have an interest in the Project and may wish to participate in the procurement process: 1. No contact with elected officials: The County requests that participating firms not attempt to contact the County's elected officials or representatives of their offices about this Project until the award of the Contract. 2. Elected officials will refer any and all inquiries related to this Project to the County's Contact Person (Bill Takaba) 3. Public Outreach; The County requests that participating firms not engage in outreach efforts to the local community residents, businesses or organizations during the Stage 1 and Stage 2 RFP phases. 4. Contact with Regulators: The County requests that participating firms not make contact with regulators responsible for issuing permits. County of Hawaii December 28, 2005 Waste Reduction Facility Attachment C -Communication Protocol Design-Build-Operate Project Request for Stage 1 Proposals Page 1 of 1 HAWAII COUNTY WASTE REDUCTION FACILITY DESIGN-BUILD-OPERATE PROJECT REQUEST FOR STAGE 1 PROPOSALS ATTACHMENT D FORMS Hawaii County Waste Reduction Facility Design-Build-Operate Project Stage 1 Proposal Submittal Form 1 -Transmittal Letter and Three Attachments Form (To be typed on Respondent's Letterhead) [Date] Purchasing Division Department of Finance County of Hawaii 25 Aupuni Street Hilo, Hawaii 96720 Re: Stage 1 Proposal for Hawaii County Waste Reduction Facility (the "Respondent") hereby submits its Stage 1 Proposal in response to the Request for Stage 1 Proposals for the Waste Reduction Facility ("Stage 1 RFP") issued by Hawaii County (the "County") on December 28, 2005, as amended. As a duly authorized representative of the Respondent, t hereby certify, represent, and warrant, on behalf of the Respondent team, as follows in connection with the Stage 1 Proposal: 1. The Respondent acknowledges receipt of the Stage 1 RFP and the following addenda: No. Date 2. The submittal of the Stage 1 Proposal has been duly authorized by, and in all respects is binding upon, the Respondent. Attachment 1 to this Transmittal Letter is a Certificate of Authorization which evidences my authority to submit the Stage 1 Proposal and bind the Respondent. 3. The Respondent has completely reviewed and understands and agrees to be bound by the requirements of the Stage 1 RFP 4. The Respondent's obligations that will be contained in the Design/Build/Operate Contract will be guaranteed irrevocably, absolutely and unconditionally by as evidenced by the Guarantor Acknowledgment certificate submitted as Attachment 2 to this Transmittal Letter. The Guarantor Certificate of Authorization submitted as Attachment 3 to this Transmittal Letter evidences the individual's authority to submit the Guarantor Acknowledgment certificate and bind the Guarantor. County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms Design-Build-Operate Project Request for Stage 1 Proposals Page 1 of 6 5. All information and statements contained in the Stage 1 Proposal are current, correct and complete, and are made with full knowledge that the County will rely on such information and statements in determining whether the Respondent will proceed to the next phase of the procurement. 6. The Stage 1 Proposal has been prepared and is submitted without collusion, fraud or any other action taken in restraint of free and open competition for the services contemplated by the Stage 1 RFP. 7. Neither the Respondent, the Guarantor, a Participating Entity nor any Project Team Member is currently suspended or debarred from doing business with any governmental entity. 8. The Respondent has reviewed all of the engagements and pending engagements of the Respondent and the Guarantor, and no potential exists for any conflict of interest or unfair advantage. 9. No person or selling agency has been employed or retained to solicit the award of the Service Contract under an arrangement fora commission, percentage, brokerage or contingency fee or on any other success fee basis, except bona fide employees of the Respondent or the Guarantor. 10. The principal contact person who will serve as the interface between the County and the Respondent for all communications is: NAME: _ TITLE: ADDRESS: PHONE _ FAX: _ E-MAIL: 11. The key technical and legal representatives available to provide timely response to written inquiries submitted, and to attend meetings requested by the County are: Technical Representative: NAME: _ TITLE: ADDRESS: PHONE _ FAX: _ _ E-MAIL: Legal Representative: NAME: TITLE: _ _ ADDRESS: County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms Design-Build-Operate Project Request for Stage 1 Proposals Page 2 of 6 PHONE FAX: E-MAIL: Name of Respondent Name of Designated Signatory Signature Title (Notary Public) State of County of _ On this day of , 2006, before me appeared ,personally known to me to be the person described in and who executed this _ and acknowledged that (she/he) signed the same freely and voluntarily for the uses and purposes therein described. In witness thereof, I have hereunto set my hand and affixed by official seal the day and year last written above. Notary Public in and for the State of (seal) (Name printed) Residing at My commission expires _ County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms Design-Build-Operate Project Request for Stage 1 Proposals Page 3 of 6 Attachment 1 CERTIFICATE OF AUTHORIZATION* I, , a resident of in the State of DO HEREBY CERTIFY that I am the Clerk/Secretary of a corporation duly organized and existing under and by virtue of the laws of ; that I have custody of the records of the corporation; and that as of the date of this certification, holds the title of of the corporation, and is authorized to execute and deliver in the name and on behalf of the corporation the Stage 1 Proposal submitted by the corporation in response to the Request for Stage 1 Proposals for the Waste Reduction Facility, issued by Hawaii County, Hawaii on December 28, 2005, as amended; and all documents, letters, certificates and other instruments which have been executed by such officer on behalf of the corporation in connection therewith. IN WITNESS WHEREOF, I have hereunto set my hand and affixed the corporate seal of the corporation this day of 2006. (Affix Seal Here) Clerk/Secretary * Note: Separate certifications shall be submitted if more than one corporate officer has executed documents as part of the Stage 1 Proposal. Respondents shall make appropriate conforming modifications to this Certificate in the event that the signatory's address is outside of the United States. County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms Design-Build-Operate Project Request for Stage 1 Proposals Page 4 of 6 Attachment 2 GUARANTOR ACKNOWLEDGMENT (to be typed on Guarantor's Letterhead) ("the Respondent") has submitted herewith a Stage 1 Proposal in response to Hawai i County, Hawai'i's December 28, 2005 Request for Stage 1 Proposals for the Hawaii County Waste Reduction Facility, as amended (the "Stage 1 RFP") pursuant to which it is seeking to be qualified by the County to provide the contract services described in the Stage 1 RFP The Guarantor hereby certifies that it will intends to irrevocably, absolutely and unconditionally guarantee pursuant to a Guaranty Agreement the performance of all of the Respondent's obligations under the Design/Build/Operate Contract to be negotiated by the parties based upon the draft Contract that will be issued with the County's Stage 2 Request for Proposals ("Stage 2 RFP"), in the event the Respondent is issued a Stage 2 RFP by the County and selected for final negotiations of the Design/Build/Operate Contract by the County. Name of Guarantor Name of Authorized Signatory Signature Title If more than one Guarantor is proposed, each firm shall be jointly and severally obligated and shall independently provide an executed copy of this Guarantor Acknowledgment. If a Guarantor is a joint venture, each firm in the joint venture shall be jointly and severally obligated and shall independently provide an executed copy of this Guarantor Acknowledgment. County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms Design-Build-Operate Project Request for Stage 1 Proposals Page 5 of 6 Attachment 3 GUARANTOR CERTIFICATE OF AUTHORIZATION* I, , a resident of in the State of DO HEREBY CERTIFY that I am the Clerk/Secretary of a corporation duly organized and existing under and by virtue of the laws of the State of ; that I have custody of the records of the corporation; and that as of the date of this certification, holds the title of of the corporation, and is authorized to execute and deliver in the name and on behalf of the corporation the Guarantor Acknowledgment submitted by the corporation as part of (the Respondent's) response to the Request for Stage 1 Proposals for the Waste Reduction Facility, issued by Hawaii County, Hawaii on December 28, 2005, as amended; and all documents, letters, certificates and other instruments which have been executed by such officer on behalf of the corporation in connection therewith. IN WITNESS WHEREOF, I have hereunto set my hand and affixed the corporate seal of the corporation this day of , 2006. (Affix Seal Here) (Clerk/Secretary) *Note: Separate certifications shall be submitted if more than one corporate officer has executed the Guarantor Acknowledgment as part of the Stage 1 Proposal. Respondents shall make appropriate conforming modifications to this Certificate in the event the signatory's address is outside of the United States. County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms Design-Build-Operate Project Request for Stage 1 Proposals Page 6 of 6 Hawaii County Waste Reduction Facility Design-Build-Operate Project Stage 1 Proposal Submittal Form 2 -Non-Collusion Affidavit STATE OF HAWAI'? ) ss. NON-COLLUSION AFFIDAVIT COUN'T'Y OF HAWAII being first (Name) duly sworn, under oath says that at (Title) of (Firm) the bid above submitted is a genuine and not a sham or collusive bid, or made in the interest or on behalf of any person not therein named; and further says that the said bidder has not directly or indirectly induced or solicited any bidder on the above work or supplies to put in A sham bid, or any other person or corporation to refrain from bidding; and that said bidder has not in any manner sought by collusion to secure an advantage over any other bidder or bidders. SIGN HERE Subscribed and sworn to before me this day of , 20_. Notary Public in and for the Stale of residing at County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms, Form 2 Design-Build-Operate Project Request for Stage 1 Proposals Page 1 of 1 Hawaii County Waste Reduction Facility Design-Build-Operate Project Stage 1 Proposal Submittal Form 3 -Participating Entities -Group List All entities that will be significant participants in providing the contract services (the "Participating Entities') are identified below. Such entities shall include, as applicable, (1) the Company (which may be a new company formed for the sole purpose of executing and performing the Design/Build/Operate Contract); (2) the entity that will design the Facility; (3) the entity that will construct the Facility; (4) the entity that will operate the Facility; (5) the Guarantor; and ((i) any other significant participant or subcontractor. (1) The Company: (2) Design Entity: (3) Construction Entity: (4) Operation Entity: _ (4) Guarantor: (5) Other: Include a copy of Stage 1 Proposal Form 4 for each entity listed above. Each member of a joint venture should be listed separately. Name of Respondent Name of Authorized Signatory Signature County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms, Form 3 Design-Build-Operate Project Request for Stage 1 Proposals Page 1 of t Hawaii County Waste Reduction Facility Design-Build-Operate Project Stage 1 Proposal Submittal Form 4 -Participating Entities -Individual Description (Complete Stage 1 Proposal Submittal Form 4 for each Participating Entity) Entity Name: Type of Entity: Address: Names of partners, officers and Stockholders who own 10 percent Or more of the shares: Form of Business (Corporation, Partnership, Joint Venture, Other): State formed in (or to be formed in): County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms, Form 4 Design-Build-Operate Project Request for Stage 1 Proposals Page 1 of 2 Contact Person(s): Voice Telephone Number: Fax Telephone Number: e-Mail Address: Role(s) (e.g., Company, Guarantor): Attach a brief summary of the services and responsibilities of each Participating Entity, limited to one page or less in length for each entity. County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms, Form 4 Design-Build-Operate Project Request for Stage 1 Proposals Page 2 of 2 Hawaii County Waste Reduction Facility Design-Build-Operate Project Stage 1 Proposal Submittal Form 5 -Financial Resources Data Company Name: _ Project Role: 2002 2003 2004 A Operating Revenues B Operating Expense (not including Depreciation and Amortization ) C Depreciation and Amortization D Operating Income (A-B-C) E Net Income F Total Assets G Current Assets H Total Liabilities I Current Liabilities J Net Worth (Equity) (F-H) K Market Price per Share (as of 12/31) L No. of Outstanding Shares (as of 12/31) County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms, Form 5 Design-Build-Operate Project Request for Stage 1 Proposals Page 1 of 1 Hawaii County Waste Reduction Facility Design-Build-Operate Project Stage 1 Proposal Submittal Form 6 -Resume Template General Information Name: Firm: Title: Year employed by f rm: years Total Professional Experience: years Proposed Role on WRF Project _ Professional Registration and Licenses (type/state/year): Professional Affiliations and Publications: Education: Relevant Project Experience Project: Location: Current Status: Date of Involvement: from through County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms, Form 6 Design-Build-Operate Project Request for Stage 1 Proposals Page 1 of 2 Experience, training and description of role played relevant to the WRF Project: Contact Person Name: Title: Address: Phone: Fax: County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms, Form 6 Design-Build-Operate Project Request for Stage 1 Proposals Page 2 of 2 Hawaii County Waste Reduction Facility Design-Build-Operate Project Stage 1 Proposal Submittal Form 7 -Change in Team Members (To be completed by Stage 1 RFP respondent only after the short-listing, if applicable.) Proposed change in Team Member (s) Reason for proposed change: Hawaii County Approval County of Hawaii December 28, 2005 Waste Reduction Facility Attachment D -Stage 1 Proposal Submittal Forms, Form 7 Design-Build-Operate Project Request for Stage 1 Proposals Page 1 of 1