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Notice #: 0000038765-01
Professional Providers

(RESUME #1B-PROF-08/09)

Pursuant to the provisions of HRS 103D, the County of Kauai hereby provides public notice to invite persons engaged in the professional services listed below to submit current statements of qualifications and expressions of interest for the fiscal year 2008 – 2009:


1. Underwriting Services For Municipal Bond Financing. Responsible for developing plan of financing, credit rating process, and leading pricing and marketing efforts; organizes the efforts of all parties in structuring the financing and drafting the Offering Statement and
related documents; analyzes financing alternatives for Issuer; prepares presentations for
rating agencies and credit enhancers; reviews and helps shape principal legal documents;
directs investor pre-sale bond marketing efforts; sets interest rates and offering terms of the bonds, accepts orders from investors and underwriters, and commits capital to underwrite unsold bonds.

Estimated Cost. No costs are expended until bonds are sold. Professionals are paid out of the proceeds of the issue.

Questions should be directed to Wallace G. Rezentes, Jr., Director of Finance,
(808) 241-4200.

Consultants who are interested and capable of providing the professional services listed shall submit one (1) original and four(4) copies of a letter of interest and resume to:

Director of Finance
(RESUME #1B-PROF-08/09)
Division of Purchasing
4444 Rice Street, Rm 303
Lihue, HI 96766
Resumes shall include:

1. Reference to this Notice by noting “#1B-PROF-08/09” on the cover page of each resume, AND the name of the department and service that the resume is to be
directed to.

2. A brief history of the firm specifying it’s experience acting as underwriter on municipal bond financings; include the principal place of business average number of employees over the past five years and the location of all of the firms offices.

3. List the names, locations and roles of staff that will work on the County’s municipal bond
issue. Detail the public finance experience, education, training and any other information that will assist in the County’s evaluation of their expertise

4. A list of municipal bond financings completed over the past three years or currently

5. Summarize your firm’s ability to provide underwriting services for tax-exempt municipal bonds, including general obligation bonds, revenue bonds.

6. Describe your firm’s experience with tax-exempt obligations in the State of Hawaii.

7. The names and phone numbers of up to five (5) clients who may be contacted, including at least two (2) for whom municipal bond underwriting services were rendered during the
preceding year.

8. Securities Data Company, Inc. ranking as Negotiated Senior Manager and Competitive
Senior Manager for each of the past five years in long term general obligation, water
revenue, and multi-family housing bonds.

9. Discuss the firm’s institutional and retail marketing distribution and remarketing capabilities both nationally and in Hawaii. Identify how many full-time employees are dedicated to the sales and trading of municipal securities and the firm’s average trading volume in Hawaii municipal bonds. Describe how your firm would assist the County in improving their image with the municipal investor community in order to assure the widest distribution of their bonds at the lowest interest rate possible.

10. Disclose any lawsuits or administrative actions taken against you by the Federal
Government, a state, or a municipality during the past three years related to public finance. Disclose the nature and status of the action. If none, so indicate.

11. Any other pertinent information that should or may be considered in the evaluation of the firm’s qualifications.

12. Disclosure of any conflict of interest in providing services for the County of Kauai

Resumes may be amended at any time by filing a new statement. Any change in resumes that will be cause for disqualifying the firm from consideration for award shall be immediately reported to the Director of Finance.

Deadline for submissions is 4:00 PM (Hawaii Standard Time), Friday, June 27, 2008. Late submissions will be returned. Risk of late delivery shall lie with the sender.

Wallace G. Rezentes, Jr.
Director of Finance
County of Kauai
(SB38765 6/9/08)