RFI# 202607121 - Third-Party Reviews of Financial Assurance Documents_FINAL.docx

STATE OF MAINE

Department of Environmental Protection Bureau of Remediation and Waste Management

RFI# 202607121

Third-Party Reviews of Financial Assurance Documents

RFI Coordinator

Submitted Questions Due Date

August 17, 2026, no later than 4:00 p.m., local time

TABLE OF CONTENTS

Page

A. PURPOSE AND BACKGROUND

B. CURRENT CONDITIONS

C. CHALLENGE STATEMENT

D. GENERAL PROVISIONS

A. FEEDBACK REQUESTED

A. VENDOR SELF SERVICE SYSTEM (VSS)

B. QUESTIONS

C. RESPONSE SUBMISSION

A. GENERAL INFORMATION

PUBLIC NOTICE

State of Maine Department of Environmental Protection

RFI# 202607121

Third-Party Reviews of Financial Assurance Documents

The State of Maine is seeking information regarding the provision of third-party reviews of financial assurance documents for certain solid waste facilities.

A copy of the RFI and all related documents can be obtained through Vendor Self Service (VSS): https://mevss.hostams.com/PRDVSS1X1/AltSelfService

Responses must be submitted to the Office of State Procurement Services, via Vendor Self Service (VSS). Responses must be received no later than 4:00 p.m., local time, on September 7, 2026. Responses will be opened the following business day.

RFI TERMS/ACRONYMS with DEFINITIONS

The following terms and acronyms, as referred in the RFI, shall have the meanings indicated below:

State of Maine Department of Environmental Protection Bureau of Remediation and Waste Management

RFI# 202607121

PART I INTRODUCTION

A. Purpose and Background

This Request for Information (RFI) is an information gathering and market research tool, not a formal solicitation of a specific requirement (such as in a “Request for Proposals” document). The Department of Environmental Protection (Department) is seeking information regarding the provision of third-party reviews of financial assurance documents for solid waste facilities from interested parties as defined in this RFI document. This is an opportunity for interested parties to help the Department better understand a marketplace and/or specific subject matter.

Public Law 2026, Chapter 621 allows the Department to require an applicant or licensee subject to the financial assurance requirements of 38 M.R.S. § 1310-Y to conduct and submit an independent third-party financial review of any proposed form of financial assurance. Acceptable forms of financial assurance include at least one of the following:

1. A letter of credit;

2. A surety bond;

3. An escrow account:

4. A reserve account calculated in a manner consistent with the United States Internal Revenue Code;

5. An irrevocable trust account;

6. A corporate financial test that satisfies the requirements of 40 Code of Federal Regulations, Section 258.74(e);

7. A local government financial test that satisfies the requirements of 40 Code of Federal Regulations, Section 258.74(f);

8. A corporate guarantee that satisfies the requirements of 40 Code of Federal Regulations, Section 258.74(g); or

9. A local government guarantee that satisfies the requirements of 40 Code of Federal Regulations, Section 258.74(h).

Further, 06-096 C.M.R. ch. 400, §§ 11(A)(4)(d)(ii) and 11(B)(4)(b) specify that “[i]f an owner or operator elects to use a form of trust agreement that differs materially from Appendix B of this Chapter, the owner or operator shall pay the Department’s reasonable costs of review of the agreement which may include an outside independent attorney or trust officer of the Department’s choosing that has expertise in financial assurance mechanisms.”

The Department welcomes responses to this RFI including creative suggestions and feedback to enhance and expedite all future processes while providing efficient, reliable, and high-quality outcomes.

B. Current Conditions

The Department has been relying on its team of project management staff to review, evaluate, and provide comments on financial assurance mechanisms and their suitability in meeting the specific requirements of 38 M.R.S. § 1310-Y and 06-096 C.M.R. ch. 400, § 11 of the Maine Solid Waste Management Rules. The Department is seeking to enhance its reviews by having qualified individuals and/or companies assist project management staff by providing third-party consultations of financial assurance documents, as necessary, to ensure the documents meet applicable laws and rules.

C. Challenge Statement

This RFI is intended to explore the following overarching question: What level of interest and qualifications and experience does the Respondent have to conduct third-party reviews of financial assurance mechanisms?

D. General Provisions

1. All contact with the State regarding the RFI must be made through the RFI Coordinator. No other person/State employee is empowered to make binding statements regarding the RFI.

2. No award shall be made as a result of the RFI process. Issuance of the RFI does not commit the Department to issue an award or to pay expenses incurred by a Respondent in the preparation of a response to the RFI. This includes attendance at personal interviews or other meetings and software or system demonstrations, where applicable.

3. Issuance of this RFI in no way constitutes a commitment by the State of Maine to issue a Request for Proposal (RFP) or any other solicitation.

4. All responses must adhere to the instructions and format requirements outlined in the RFI and all written supplements and amendments (such as the Summary of Questions and Answers), issued by the Department. Responses must follow the format and respond to all questions and instructions specified below in the “Response Format” section of the RFI.

5. All records and documents regarding this RFI, including response submissions, will be public records, available for public inspection pursuant to 5 M.R.S. § 1825 B (6 &15) and the State of Maine Freedom of Access Act (FOAA) (1 M.R.S. § 401 et seq.). State contracts and information related to contracts, including all records, documents, supporting documents, and response submissions, are public records unless otherwise excepted by statute (Id).

6. Subject to the above and pursuant to applicable law, in the event that a Respondent believes any information that it submits in response to this RFI is confidential, it must mark that information accordingly, and include citation to legal authority in support of the Respondent’s claim of confidentiality. In the event that the Department receives a FOAA request that includes submissions marked as confidential, the Department shall evaluate the information and any legal authority from the Respondent to determine whether the information is an exception to FOAA’s definition of public record. If the Department determines to release information that a Respondent has marked confidential, it shall provide advance notice to the Respondent to allow for them to seek legal relief.

7. All applicable laws, whether or not herein contained, are included by this reference. It is the Respondent’s responsibility to determine the applicability and requirements of any such laws and to abide by them.

PART II INFORMATION SOUGHT

The Department is seeking information from knowledgeable stakeholders to assist the Department to better understand how to best perform a review of financial assurance mechanisms for solid waste facilities in accordance with Maine law and rules. Specifically, the Department seeks information regarding the Respondent’s level of interest as well as the Respondent’s qualifications and experience to conduct third-party reviews of financial assurance mechanisms.

The Department seeks detailed yet succinct responses that demonstrate the Respondent’s interest, experience, and/or familiarity with the subject matter.

A. General Information

Provide a brief overview of yourself and your organization, if applicable.

1. Please identify yourself and any organization you represent in this RFI.

a. Name of respondent

b. Organization and affiliation

c. Address (organizational, if responding on behalf of an entity)

d. Contact information (phone number(s) and email address)

2. Please identify your qualifications and experience in conducting reviews of financial assurance mechanisms and/or the drafting of financial documents. Please describe a pertinent example of such work conducted for a client.

B. Feedback Requested

Please address the Challenge Statement in Part I(C) of this RFI with particular attention to the following questions:

1. Given the acceptable forms of financial assurance specified in Part I(A), what qualifications and experience including certifications, if any, should the Department require to ensure that financial assurance mechanisms are competent and financially sound?

2. Based on the Respondent’s response to Question 1, should the Department consider updating the qualifications specified in 06-096 C.M.R. ch. 400, §§ 11(A)(4)(d)(ii) and 11(B)(4)(b) for the review of trust agreements? These qualifications may include being “an outside independent attorney or trust officer of the Department’s choosing that has expertise in financial assurance mechanisms.”

3. What specific elements should the Department consider when reviewing each type of financial assurance mechanism as noted in Part I(A) of this RFI.

4. Is there any other information that may be valuable for the Department to consider when evaluating the capability of an individual or organization to provide any of the requested services?

5. What additional information would improve the Department’s understanding of the subject matter of financial assurance for certain solid waste facilities as allowed under Maine law and rule?

PART III KEY RFI EVENTS AND PROCESSES

A. Vendor Self Service System (VSS)

The Office of State Procurement Services Vendor Self Service System website is found at the link below: https://www.maine.gov/dafs/bbm/procurementservices/vendors/vendor-self-service-system A copy of the RFI and all associated documents will be published in VSS.

Only documents published in VSS will be considered binding.

Any interested party may view open solicitations in VSS using the Public Access feature.

Vendors must have an active User ID and password in VSS to submit questions and respond to solicitations, including this RFI.

Vendor registration instructions and User Guide may be found at the link above, which include steps for searching for an existing account/User ID, or registering for a new account/User ID.

Vendors interested in responding to a solicitation are encouraged to obtain a User ID and password for VSS as soon as possible.

Vendors must have an active Vendor Code (VC or VS) to contract with the department.

B. Questions

1. General Instructions: It is the responsibility of all Respondents and other interested parties to examine the entire RFI and to seek clarification, in writing, if they do not understand any information or instructions.

a. Questions must be submitted in VSS as soon as possible but no later than the date and time published in VSS.

b. Questions should be clearly stated and reference the applicable section and/or page number of the RFI.

c. The Department assumes no liability for assuring accurate/complete/on time transmission and receipt.

2. Question & Answer Summary: Responses to all questions will be compiled in writing and published in VSS. It is the responsibility of all interested parties to go to VSS to obtain a copy of the Question & Answer Summary. Only those answers issued in writing in VSS will be considered binding.

C. Response Submission

1. Responses Due

a. Responses must be received no later than the Response Submission Deadline (closing date) published in VSS.

b. Any responses or any additional or revised response files received after the Response Submission Deadline will be rejected without exception.

2. Delivery Instructions

a. Responses must be submitted to the Office of State Procurement Services via VSS.

b. Only responses received via VSS will be considered. The Department assumes no liability for assuring accurate/complete receipt.

c. Response submissions containing links to file sharing sites or online file repositories will not be accepted as submissions. Only response submissions that have the actual requested files attached will be accepted.

d. Encrypted submissions received which require opening attachments and logging into a proprietary system will not be accepted. Respondents should work with their Information Technology team to ensure that the response submission will not be encrypted due to any security settings.

e. File size limits are 15MB per file. Respondents may separate their submissions into multiple files, as necessary, due to file size concerns.

3. Response Format

A list of key questions is included in Part II of the RFI. Respondents are not required to respond to every question, but the Department encourages interested parties to respond to any or all relevant aspects of the RFI.

Responses to this RFI may be developed in a manner that suits the Respondent; however, Respondents should:

· Complete Appendix A (Response Cover Page)

· Number/organize each response to correspond to the relevant question for clarity and ease of review.

The Department seeks detailed yet succinct responses that demonstrate the Respondent’s experience and/or familiarity with the subject matter. Based on the Respondent’s information, the Department anticipates issuing a Request for Proposals (RFP) and establishing a list of qualified vendors that could conduct this type of work in the future. Responses will be used as a guide to develop an RFP in the future that will provide a greater level of detail and delivery expectations. As this is not a competitive solicitation resulting in an award, Respondents must not provide any specific cost or customized pricing documentation in their response.

PART IV REVIEW OF RESPONSES RECEIVED

A. General Information

1. The Department will review responses received for the purpose of gathering information and market research only. The Department will not score or rate responses received.

2. The Department reserves the right to communicate and/or schedule interviews/presentations with Respondents, if needed, to obtain clarification of information contained in the responses received and/or additional information to enhance marketing research efforts.

APPENDIX A

STATE OF MAINE

Department of Environmental Protection

RESPONSE COVER PAGE

RFI# 202607121

Respondent Name:

Organization Name:

Tel:

E-mail:

Headquarters Street Address:

Headquarters City/State/Zip:

(Provide information requested below if different from above)

Lead Point of Contact for Proposal - Name/Title:

Tel:

E-mail:

Headquarters Street Address:

Headquarters City/State/Zip:

Overview of the Organization Include a brief overview of the organization and identify any experience related to providing third-party reviews of financial assurance documents.

State of Maine RFI# 202607121 1 Rev. 04/17/2026 – DAFS/Office of State Procurement Services image1.jpeg