The document is a contractor complaint form submitted to the Regulatory Compliance Office regarding Ansaldo Honolulu JV's failure to obtain a general engineering contractor's license from the State of Hawaii prior to submitting a proposal for the Core Systems Design-Build-Operate-Maintain Contract for the Honolulu rapid transit rail project. The complaint alleges that Ansaldo made offers to perform work requiring a license without being properly licensed, in violation of Hawaii law. The complainant seeks remedies under Hawaii Revised Statutes Chapter 444, including fines and potential forfeiture of Ansaldo's contractor's license.

2. PROJECT INFORMATION
2. OWNEROF CONSTRUCTIONSITE 3. CONSTRUCTIONSITEADDRESS:street and number
Gty and County of Honolulu
ADDRESS: PHONE CITYIZIP PHONE
4. Describe briefly the work induded with the contract:
The Core Systems Design-Build-Operate-Maintain Contract includes providing the rail cars, fare vending, train control, communications,
traction electrification, and operations and maintenance from the initial operating segment for the Honolulu rapid transit rail project and
for at least 10 years following the full operation of the system.
5. CONTRACTDATE 6. AMOUNT 7. AMT PAIDON CONTRACT 8. DATEWORKSTARTED 9. DATEWORK CEASED
Not yet signed $1,397,387,093 $0 Not yet started N/A
10. Why did you choose this contractor?
o Regular Contractor o Door-to-door Solicitation 0 Advertisement (enclose copy of the ad if possible)
o Referred by someone o Other (explain)
11. BRIEFLYSTATEYOUR COMPLAINT(Attach a separate sheet if necessary):
Ansaldo Honolulu JV failed to obtain an A General Engineering Contractor's License from the State of Hawaii prior to submitting
n n a
proposal for the Core Systems Design-Build-Operate-Maintain Contract for the Honolulu-High Capacity Transit Corridor Project.
See attached for further detail.
12. Is this project a: Residence 0 Commercial Building 0 Other !81
13. Is this project a: Addition 0 Repair/Replace 0 New Construction [gJ New Purchase [gJ
14. Is contract: Written ~ Oral 0 New Home Purchase Agreement 0
15. Are there any change orders? Yes 0 No ~
16. Is your complaint Failure to complete 0 Workmanship 0 Other ~ Failure to obtain license
17. Building permit obtained by: Contractor 0 You 0 Do not know ~
18. Who presented the contract? (name): 0 Salesperson
[gJ Do not know
o Contractor
19. Does this contractor have any employees? Yes 0 If so, how many? 0
----- No Do not know ~
20. 0
Were employees, subcontractors, or materialmen paid? Yes No 0 Do not know [gJ
21. Are any liens filed on this job? Yes 0 By whom?
0 [8]
--------------------- No Do not know

3. 22. Did you obtain an estimate from another contractor to complete or correct the job? Yes 0 No 0
If yes, please provide name, address, phone number of the contractor and a copy of the estimate.
N/A
23. What would resolve your complaint? Please remember that what you want as a resolution may not be within the
jurisdiction of this office.
Any and all remedies appropriate under Hawaii RevisedStatutes Chapter 444, including fines and forfeiture of Contractor's
Ucense.
Please attach complete COPIES of the following documents, if applicable. Do not send originals,
they will not be returned to you.
o CONTRACT o CHANGE ORDERS
o RECEIPTS o CANCELED CHECKS (FRONT AND BACK)
o CORRESPONDENCE o PLANS AND SPECIFICATIONS
o OTHER (PLEASE LIST)
FOR YOUR INFORMATION:
A. RICO cannot direct an unlicensed contractor to C. RICO cannot represent private citizens in court
complete or correct a project. nor collect any money for you. Please contact an
attorney for advice on filing such an action
B. In addition to this complaint. you may also file an
D. You may be able to file a claim through the
action in civil court. Please get advice from an
attorney on filing such a complaint. Recovery Fund. Please contact your attorney for
details. (Refer to Section 444-26. Hawaii Revised
If your dispute involves an amount of $3,500 or less,
Statures).
you may consider filing a claim in Small Claims Court
If you believe this complaint involves issues particularly affecting the elderly, please check here. 0
The information contained in this form is true, correct and complete to the best of my knowledge. I understand that RICO is
unable to represent private parties in court.
Sign here: ,,-.4 l ._it
~ loat .
~~~~~~~~~~~~~~~~~~ ~~~h(
Please submit this form with your ORIGINAL signature (failure to do 60 may delay the proceseinq of your complaint).
THANK YOU FOR ASSISTING OUR EFFORTS TO REVIEW YOUR COMPLAINT
This printed material can be made available for individuals with special
needs in braille large print or audio tape. Please submit your request to
the Complaints & Enforcement Officer at 586-2666.

4. Attachment to Part 11 of the Contractor Complaint Form
Without having a license, Ansaldo Honolulu N made an offer to perform work which required a
Hawaii contractor's license. The offer by Ansaldo was made in connection with the Core
Systems Contract for the Honolulu High-Capacity Transit Corridor Project (the rail project).
The City and County of Honolulu ("City") invited proposals on the rail project in two parts. Part
1 proposals (to determine priority listed offerors) were due on June 5, 2009. Part 2 proposals (to
receive a contract) were due on June 7, 2010. Ansaldo did not obtain its contractor's license
until October 15,2010, well after responses to Part 1 and Part 2 were due.
The City also requested two best and final offers ("BAFO"). Responses to BAF01 were due
January 18,2011 and responses to BAF02 were due February 24,2011.
The City required the contractor for the Core Systems Project to have an "A" general
engineering license. In addition, Hawaii law expressly requires a contractor to have a license not
only to perform work, but to make an offer to perform work on a contract. The law should be
applied to everyone. It is well-understood and even is a subject of a Frequently Asked Question
posted by the Contractor's Licensing Board on its website.
Ansaldo was awarded the Core Systems Contract. The notice of award was protested, among
other things, on the grounds that Ansaldo was not licensed prior to submitting its proposal.
While the Hearings Officer for the Office of Administrative Hearings interpreted the RFP to not
require that Ansaldo be disqualified from the contract, he also ruled as per the following, that the
Contractors Licensing Board should determine the penalties for Ansaldo' s violation.
The Hearings Officer does not in any way condone any violation
of the licensing laws by Ansaldo. However, where, as here,
Hawaii law does not explicitly require the disqualification penalty
that Sumitomo argues for, the issue of what consequences should
result because of Ansaldo's failure to have a license when
submitting responses to RFP Part 1 and RFP Part 2 is left to the
Contractors Licensing Board. HRS § 444-4 authorizes the Board
to enforce HRS Chapter 444 and, for example, suspend or revoke
any license on account oflicensing violations. HRS § 444-23
authorizes fines for violation of the licensing laws. The Board has
the authority to fashion a remedy and/or penalties it determines to
be appropriate under the circumstances.