SMV HDS Pilot RFQ Final.pdf

RFQ (Rev. 7/2010)

STATE OF COLORADO

OFFICE OF THE STATE ARCHITECT

STATE BUILDINGS PROGRAMS

REQUEST FOR QUALIFICATIONS

FOR

ARCHITECTURAL/ENGINEERING/CONSULTING SERVICES

For The Department of Public Health and Environment

For The Summitville Mine Water Treatment Facility HDS Pilot Testing and Treatment System Modification

RFQ (Rev.7/2010)

FOR

ARCHITECTURAL/ENGINEERING/CONSULTING SERVICES

TABLE OF CONTENTS

ADVERTISEMENTS

I. INTRODUCTION

A. Project Description/Minimum Requirements/Project Delivery B. Selection Process

1. Mandatory Pre-Submittal Conference

2. Architect/Engineer/Consultant Submittals

3. Screening Panel/ Short List

4. Oral Interviews

C. Schedule

II. SUBMITTAL REQUIREMENTS

A. Project Team B. Firm Capabilities C. Prior Experience D. Project Approach E. Work Location

APPENDIX 1: Acknowledgment and Attestation Form (Including Non-Conflict of Interest)

EXHIBITS

Exhibit A: Preliminary Scope of Work Exhibit B: Architect/Engineer Agreement SC5.1 (Including Federal

Requirements) Exhibit C: Preliminary Selection/Evaluation Form

RFQ (Rev. 7/2010) Page 1

State of Colorado

Department of Public Health & Environment Notice Number: SV-103

Project No: SV-103

Project Title: Summitville Mine Water Treatment Facility HDS Pilot Testing and

Project Description: The State of Colorado, Department of Public Health and Environment, Hazardous Materials and Waste Management Division (CDPHE), is requesting qualification statements from water treatment Consultant/Engineers to conduct pilot testing of a High Density Sludge (HDS) treatment process and provide options for modifying the existing treatment process at the Summitville Mine Water Treatment Facility (WTF) located in Rio Grande County, Colorado.

Scope of Services: RFQ for Services of Architects/Engineers.

The Colorado Department of Public Health and Environment desires to contract with an Engineering firm qualified to conduct the pilot program and provide engineering alternatives.

Areas of expertise that may be called upon include: chemical, civil, structural, mechanical, electrical, and instrumentation and control engineering; construction cost estimating; construction document development; construction administration.

Minimum Requirements: The minimum qualifications necessary to be considered for this work include the following: The Consultant’s key personnel proposed for this work must include an individual licensed to practice engineering in the State of Colorado. The team must have personnel with specific experience in treatability testing work for Mining Influenced Water (MIW), including MIW containing high aluminum concentrations.

Familiarity with high density sludge systems is also required.

Qualifications Due:

Date & Time: 10/29/2014 03:00 PM

Address: Attention: Tim Massangale, Senior Purchasing Agent Colorado Department of Public Health and Environment 4300 Cherry Creek Drive South Denver, Colorado 80246-1530

Phone: 303-692-2072

Email: timothy.massangale@state.co.us

RFQ (Rev. 7/2010) Page 2

Comments: If hand delivering the submittal, report to the Building B mail room and have the date and time stamped.

The RFQ documents are available on-line as an attachment to the posting of this request for qualifications at www.colorado.gov/vss.

Media of Publication: Daily Journal, Denver Valley Courier, Alamosa

Publication Dates: 9/18/14 and 9/25/14

Note to Editor:

Transmit two (2) copies of the Affidavit of Publication, and invoice to:

Steve Laudeman Dept of Public Health & Environment Room B215 4300 Cherry Creek Drive South Denver, Colorado 80246

RFQ (Rev. 7/2010) Page 1

ENGINEERING/CONSULTING SERVICES

DEPARTMENT OF PUBLIC HEALTH AND ENVIRONMENT

I. INTRODUCTION

A. PROJECT DESCRIPTION

The State of Colorado, Department of Public Health and Environment, Hazardous Materials and Waste Management Division (CDPHE), is requesting qualification statements from water treatment Consultant/Engineers to conduct pilot testing of a High Density Sludge (HDS) treatment process and provide options for modifying the existing treatment process at the Summitville Mine Water Treatment Facility (WTF) located in Rio Grande County, Colorado. A preliminary scope of work is provided in Exhibit A. CDPHE seeks responses only from Consultant/Engineers whose teams are experienced in designing and conducting pilot tests of HDS systems.

The team hired pursuant to this invitation to submit qualifications shall perform the agreed to services on behalf of CDPHE. The initial duties of the Consultant will be to coordinate and conduct the study and prepare a pilot study summary report and an options evaluation report to CDPHE. The evaluation summary report shall include the firms professional opinion as to the feasibility of the system to effectively and efficiently treat the acid mine drainage originating from the Summitville Mine site.

The evaluation and generation of a report are anticipated to be performed during an approximate duration of six months. The estimated budget for this project is $150,000.

Following review of the evaluation summary report, CDPHE may elect to implement some of the recommendations as well as other water treatment facility upgrades. If such implementation is desired, CDPHE anticipates amending the Architect/Engineer Agreement to have the Consultant/Engineer perform design and construction administration services. As such, the Consultant/Engineer’s statement of qualifications should address design and construction administration as well as the pilot testing.

B. SELECTION PROCESS

The selection of an architect/engineer/consultant will be conducted in accordance with the Colorado Revised Statutes, 24-30-1401 et. seq. The process will involve two stages: submittals will be screened and scored. A limited number of firms will be short listed and invited to participate in oral interviews. The CDPHE will attempt to negotiate a contract with the highest ranked firm following the interview segment.

Following is additional information relative to the selection process:

1. Mandatory Pre-Submittal Conference: No mandatory pre-submittal conference is scheduled. No optional pre-submittal conference is scheduled.

Additionally, prospective respondents may not schedule a site visit.

RFQ (Rev. 7/2010) Page 2

2. Engineer/Consultant’s Submittals: Specific requirements for submittals and scoring criteria are detailed in II. SUBMITTAL REQUIREMENTS. In order to facilitate review, one original and four (4) copies of submittals must be provided.

Submittals must be received at:

Tim Massangale, Senior Purchasing Agent

RE: SV-103

Colorado Department of Public Health and Environment 4300 Cherry Creek Drive South Denver, Colorado 80246-1530

Deadline for receipt (whether mailed or hand delivered) is: October 29, 2014 at 3:00 pm

Late submittals will be rejected without consideration. The CDPHE and the State of Colorado assume no responsibility for costs related to the preparation of submittals.

To be considered, firms must be registered with the Colorado Operations Resource Engine (CORE) Vender Self Service (VSS) at www.colorado.gov/vss.

3. Screening Panel/Short List: Submittals will be evaluated by a panel of individuals selected in accordance with state policies. The panel will review and score the submittals. Firms ranked the highest will be invited to an oral interview.

It is anticipated no fewer than three (3) or no more than five (5) will be interviewed.

4. Oral Interviews. It is anticipated that oral interviews will be conducted

December 9, 2014. Interviews will be conducted at: Colorado Department of Public Health and Environment, 4300 Cherry Creek Drive South, Denver Colorado 80246. The time for interviews is to be determined. Key personnel from the firm and major consultants who will be directly involved with the project should attend the interview. The interview panel will, in particular, be interested in knowing about the project approach proposed and in meeting the individuals who will act as the primary contacts with the CDPHE.

C. SCHEDULE

Following is the anticipated schedule of events for the RFQ process and an outline of the schedule for the balance of the project.

Advertisement September 18 & 25, 2014 RFQ Document Available September 17, 2014 Date Fax/Email Questions Due October 10, 2014 at 3:00 pm Date Answers Due to all Firms October 16, 2014 RFQ Submittal Due October 29, 2014 at 3:00 pm Interview List Released November 21, 2014 Oral Interviews (as scheduled) December 9, 2014 Notice of Award (projected) December 10, 2014 Negotiation of Contract January 2015 Contract Approval (projected) March 2, 2015

RFQ (Rev. 7/2010) Page 3

Anticipated Onsite Pilot Start April 1, 2015 Anticipated Project Complete August 28, 2015

D. OTHER

CDPHE will utilize the Architect/Engineer Agreement, State Form SC5.1, for the contract resulting from this RFQ. The pilot test work and options evaluation will be considered as Pre-Design work.

Pursuant to the State’s funding grant with EPA, the “fair share” goals for minority and women owned business enterprise utilization are 6.1% Minority Business Enterprise utilization and 6.6% Women Business Enterprise utilization. Other federal requirements will apply (see Architect/Engineer Agreement).

CDPHE and the State of Colorado assume no responsibility or liability for any costs incurred by any Consultant/Engineer or other firm associated with this Request of Qualification process. CDPHE reserves the right to request additional information or seek clarification of information.

II. SUBMITTAL REQUIREMENTS

The initial agreement will provide for the pilot testing and evaluation described above.

Following review of the evaluation summary report, CDPHE may elect to implement some of the recommendations. If such implementation is desired, CDPHE anticipates amending the Architect/Engineer Agreement to have the Consultant/Engineer perform design and construction administration services. Therefore, the Consultant/Engineer’s description of qualifications should address all these aspects of the project.

Prospective Consultant/Engineers are encouraged to limit resumes to one page each and total RFQ submittal (excluding resumes and exhibits) to no more than 20 pages.

The use of double-sided printing and recycled paper is encouraged.

Firms will be judged not only on their past experience for the type of work involved, but also on their ability to address issues critical to the success of the project requirements outlined in this RFQ document.

To avoid a potential conflict of interest, interested firms and their subcontractors will be required to demonstrate they had no prior involvement with the design, construction, or construction administration of the SMWTF by signing the Acknowledgment and Attestation Form contained in Appendix 1.

Following are elements that will be used to evaluate each firm's qualifications:

A. QUALIFICATIONS

The minimum qualifications necessary to be considered for this work include the following: The Consultant’s key personnel proposed for this work must include an individual licensed to practice engineering in the State of Colorado. The team must have personnel with specific experience in treatability testing work for Mining

RFQ (Rev. 7/2010) Page 4

Influenced Water (MIW), including MIW containing high aluminum concentrations.

Familiarity with high density sludge systems is also required.

Additional desired qualifications are:

Ten years experience in the field of water treatment design, with specific experience relating to removal of metals from water.

Extensive knowledge in metal hydroxide precipitation and dewatering of metal sludges.

Pilot process equipment owned and operated by the firm.

B. PROJECT TEAM

Identify the project principal, the project manager, key staff and subconsultants.

Describe who will be responsible for different aspects of the project. Present a brief discussion regarding how the team's qualifications and experience relate to the specific project.

Qualifications and relevant individual experience.

Unique knowledge of key team members relating to the project.

Experience on projects as a team.

Key staff involvement in project management and on-site presence.

Time commitment of key staff.

Qualifications and relevant subconsultant experience.

C. FIRM CAPABILITIES

Are the lines of authority and coordination clearly identified?

Are essential management functions identified?

Are the functions effectively integrated? (e.g., subconsultants’ role delineated)?

Current and projected work load.

Note: Organization charts and graphs depicting your capacity may be included.

D. PRIOR EXPERIENCE

Use this portion of your submittal to describe relevant experiences with the project type described in this RFQ document and various services to be provided.

Experience of the key staff and firm with projects of similar scope and complexity.

Demonstrated success on past projects of similar scope and complexity.

Experience in water treatment plant design and construction administration.

Demonstrated ability to objectively assess alternatives and consider long-term costs.

Prior experience working with code consultants.

References.

Note: Include the name and current telephone number of the owner’s project manager for every project listed.

RFQ (Rev. 7/2010) Page 5

E. PROJECT APPROACH

For the project and services outlined in the RFQ document, describe how you plan to accomplish the following project control and management issues:

Budget Methodology/Cost Control.

Establish and maintain estimates of probable cost within owner's established budget.

Control consultant contract costs

Coordinate value engineering activities Quality Control Methodology.

Insure State procedures are followed

Improve energy efficiency through the use of an integrated design process, life cycle costing, the use of an energy standard (current OSA energy code) and the specification of energy efficient materials, systems, and equipment

Insure the project is designed for durability and maintainability Schedule.

Manage the required work to meet the established schedule

F. WORK LOCATION

Describe where the prime and subconsultants will do the key work elements of this project.

Proximity of firm’s office and how it will affect coordination with the State's project manager and the potential project location.

Firm's familiarity with the project area.

Knowledge of the local labor and material markets.

APPENDIX 1

ACKNOWLEDGEMENT AND ATTESTATION FORM

(Including Non-Conflict of Interest)

By responding to these guidelines, the respondent(s) certify that he/she has reviewed the Agreement and its Exhibits contained herein, and is familiar with their terms and conditions and finds them expressly workable without change or modification.

Further, the respondent(s) and proposed subcontractors certify they have no prior involvement in the design, construction or construction administration of the Summitville Mine Water Treatment Facility.

I certify and declare that the foregoing is true and correct.

Subscribed on ________________________ at _________________________, Date City ____________________________, State of ____________________________, County State

Applicant or Corporate Officer Signature Date

Witness Date

NOTE: Use full corporate name and affix corporate seal (if available).

(Seal)

EXHIBIT A

PRELIMINARY SCOPE OF WORK

SUMMITVILLE MINE WATER TREATMENT FACILITY

HDS PILOT TESTING AND TREATMENT SYSTEM MODIFICATION

1.0 INTRODUCTION

The State of Colorado, Department of Public Health and Environment, Hazardous Materials and Waste Management Division (CDPHE), is requesting qualification statements from water treatment Consultants/Engineers to conduct pilot testing of a High Density Sludge (HDS) treatment process and provide options for modifying the existing treatment process at the Summitville Mine Water Treatment Facility (SMWTF) located in Rio Grande County, Colorado.

CDPHE seeks responses only from Consultants/Engineers who are experienced in designing and conducting pilot tests of HDS systems.

This scope of work will be implemented consistent with the State of Colorado Standard Architect/Engineer Agreement (SC5.1). The Scope of Work is intended to describe specific requirements regarding SMWTF HDS Pilot Testing and Evaluation project. If CDPHE chooses to implement any changes to the treatment process, the Architect/Engineer Agreement may be amended to include design and construction administration services. If CDPHE chooses to pursue such implementation, CDPHE will solicit bids from General Contractors utilizing Construction Documents prepared by the Consultant/Engineer and incorporating the State’s standard construction forms including the State’s general conditions.

The anticipated start date for this project is March 1, 2015.

1.1 Project Objectives

A HDS pilot study was performed by Canadian Environmental and Metallurgical, Inc. at the Summitville Mine during 2002. The results of the pilot are summarized in a report prepared for the United States Environmental Protection Agency (EPA) titled “HDS Pilot Study Report, Summitville Pre-Design.” The intent of this RFQ is not to repeat the previous effort, but to build on the results obtained.

The SMWTF was designed and constructed to operate as a HDS system; however it has failed to continuously attain the anticipated solids content in the thickener underflow or pressed solids.

The primary project objectives are to determine the optimal operating parameters for achieving an effective HDS process and to determine what modifications, if any, are necessary to retrofit the current treatment system into a HDS process.

Specific project objectives include:

1) Determine HDS design parameters, including sludge generation, underflow density, sludge recycle rate, retention time requirements, and aeration requirements. Provide a summary report.

2) Develop options for capital improvements to the treatment process that cover the range from no change to complete process replacement; and perform a cost-benefit analysis to determine operating cost implications and the payback period for the capital investment.

The prospective Consultant/Engineer is encouraged to carefully consider all aspects of the project. All qualification elements must be addressed in your statement of qualifications.

Beyond the general information presented in this RFQ, if your firm believes that an alternative scope of work or process approach would meet the project objectives, submission of those details should be included in your statement of qualifications and noted as such.

1.2 Background

The Summitville Mine Water Treatment Facility was constructed to remediate the mining influenced water generated at the former gold mining site. The Summitville Mine is a priority Superfund site for remediation pursuant to the Comprehensive Environmental Response, Compensation and Liability Act, 42 USC Section 9601-9675, as amended.

The Summitville Mine Superfund site is a remote abandoned gold mine located in southwestern Colorado about 25 miles southwest of Del Norte. Located at an average elevation of 11,500 feet, the site is characterized by long cold winters and short cool summers. Winter snowfall and summer thunderstorms produce over 50 inches of precipitation per year.

The SMWTF is a 1,600 gallon per minute system that was constructed in 2010 and 2011. It is operated generally from April through October each year, and shut down for the winter. The SMWTF treats water from the Summitville Dam Impoundment (SDI) which has a capacity of approximately 90,000,000 gallons of contaminated water. The chemistry of the SDI water varies throughout the operating season, with high metals concentrations in early spring, followed by a diluted spring flush, and generally increasing concentrations through late summer. Major contaminants are aluminum and iron, along with copper, manganese and zinc.

Generally, the facility includes:

a. Lift station and conveyance pipeline from the SDI to the SMWTF;

b. Precast concrete and steel frame building with process equipment areas, control rooms, laboratory, offices, restroom facilities, a maintenance garage for site vehicles, and equipment maintenance areas;

c. Process equipment including mix tank, reaction tank, flocculation tank, clarifier, pumps, instrumentation, chemical feed systems, and filter presses; and

d. Support facilities including reverse osmosis water treatment, compressed air, and HVAC systems.

1.3 Description of Current Treatment Process

Maximum design flow is 1,600 gallons per minute. Seasonal flow variations may range from less than 400 gpm to in excess of the design capacity. The SMWTF is generally operated April to October, and is shutdown during winter months. Influent is pumped from the SDI through the conveyance pipeline to the SMWTF.

The pumped water flows to a 84,000 gallon reactor tank where the pH of the water is adjusted to promote precipitation of metals hydroxides. Compressed air is supplied to the reactor through a system installed in 2012. The pH is adjusted with the addition of a lime slurry/recycled solids mixture overflowing from a 7,000 gallon mix tank. Previously formed solids are recycled to the mix tank at a set rate and slaked lime slurry is added as needed to maintain the pH in the reactor tank.

The reactor tank overflows to a 10,250 gallon floc tank. Polymer is added in line to the floc tank influent. At times, additional polymer may be added to the floc tank overflow pipe, en route to the thickener. The 70 foot diameter thickener is located exterior to the process building, but is covered with a geodesic dome structure for protection from weather. A rake mechanism moves settled solids from the base of the thickener into a center cone where they are withdrawn and either recirculated to the mix tank or wasted to the sludge holding tanks.

The two sludge holding tanks have a capacity of 36,000 gallons each. Sludge is stored until it can be batch processed through either of the two 125 cubic foot capacity plate and frame filter presses. The produced filter cake is disposed of at an onsite repository.

2.0 PRE-DESIGN WORK, ASSESSMENTS AND ANALYSIS

2.1 Pilot Study

In general, the scope of work for this item includes the following:

1. Review existing process information and reports.

Review previous HDS pilot study report, HDS Pilot Study Report, Summitville Pre- Design, dated November 26, 2002. Review existing process data, and become acquainted with current operating system to gain an understanding of how the process may be modified. Review the 2013 Operating Season Process Report prepared by Golder Associates, Inc., dated May 15, 2014.

2. Mobilize the piloting process to the site and prepare the process for operations.

To be considered an acceptable HDS process, the pilot system must incorporate the recycle of a significant amount of previously formed and settled solids to mix with lime for conditioning prior to the induction of the raw influent. The purpose of this recycle is to reduce alkali consumption, produce precipitated solids that are heavy and settle rapidly in a clarifier, and produce a dense underflow sludge that can easily be dewatered by conventional methods.

Conduct all required planning and procurement of all piloting equipment including tanks, reactors, mixers, pumps, clarifiers, pipes, hoses, equipment, and etcetera. 120 Volt electrical power, natural gas, and potable water are available at the SMWTF. The Consultant/Engineer shall procure all necessary materials for the pilot test, including reagents, polymers, and process control meters. It may be possible to procure some of these materials directly from the SMWTF, but this should not be assumed. The Consultant/Engineer may set up the pilot plant either inside or outside the existing building as space permits. There is the potential that inclement weather including snow and freezing temperatures could exist during piloting operations.

2. Conduct piloting operations and gather data.

Conduct pilot operations. It is estimated that the pilot program will consist of one week of startup, followed by a minimum of four weeks of operations. Monitor influent water quality and alter if necessary. Obtain and record process data and observations on a daily basis in an operating log. It is anticipated data obtained will include, at a minimum;

pH, percent solids, turbidity, settling rate, effluent quality, etc. At the end of the testing period, the Consultant/Engineer shall collect samples of influent, effluent, and filtercake and submit them to an approved independent laboratory for analysis. Proper chain-of-custody procedures shall be followed and documented. Sampling shall comply with 40 CFR 136. A copy of analytical results shall be provided to CDPHE. Analysis shall include, at a minimum, the following parameters:

Influent and Effluent: pH; TSS; Hardness; Sulfate; Total Calcium, Magnesium, and Arsenic; and Dissolved and Total Recoverable Metals (Aluminum, Cadmium, Copper, Iron, Lead, Manganese, Nickel, Silver and Zinc).

Filtercake: Percent Solids; Density; TCLP Metals; and Paint Filter.

Pilot operations will not be allowed to disrupt ongoing water treatment operations. Pilot operations staff will be required to coordinate activities with SMWTF operations staff.

SMWTF staff will not be available to assist with the pilot operations.

3. Compile all piloting data and information and submit a summary report.

Develop and submit a technical report presenting the results of the piloting effort. The report shall: 1) include daily observations, analytical results, reagent usage rates, flow rates, sludge generation, and pilot plant performance data, 2) provide focused findings that address the project objectives, 3) extrapolate and summarize the process performance at variable influent concentrations based on historic data, and 4) provide detailed design parameters including optimal underflow density, operating pH, sludge recycle rate, retention time, and aeration requirements.

2.2 Alternatives and Analysis Report

The Consultant/Engineer shall prepare a report to present alternatives to implement a HDS treatment system at the SMWTF. The alternatives presented shall include a range of options along with their corresponding capital and long-term costs. Options to be considered may include: no modification; modifications to treatment process using existing plant components;

modifications involving procurement of some new components; and complete change-out of the treatment system.

The report shall include, for each alternative presented: operational impact; conceptual drawings; estimated capital costs; estimated long-term operational costs; life cycle cost analysis; and references of similar implementations, if available.

Following review of the alternatives report, CDPHE may elect to have the Architect/Engineer Agreement resulting from this RFQ amended to include design services and construction administration services necessary to implement changes to the treatment system.

It is anticipated the Alternatives and Analysis Report will be complete by July 30, 2015.

3.0 DESIGN WORK

The contract resulting from this RFQ may be amended to include design and construction administration work. Engineering services would include: schematic design; design development; construction documents; engineers estimate of construction costs and duration;

bidding assistance; and construction administration. Construction would be by a General Contractor hired by CDPHE utilizing Construction Documents prepared by the Consultant/Engineer.

Rev. 1/2014

SC-5.1

EXHIBIT B

ARCHITECT/ENGINEER AGREEMENT

(SC5.1)

With Federal Requirements

Rev. 1/2014 ii

STATE OF COLORADO

OFFICE OF THE STATE ARCHITECT

DESIGN/BID/BUILD

(STATE FORM SC-5.1)

CONTRACT ID NUMBER:

AGENCY IDENTIFICATION NUMBER:

PROJECT NUMBER: SV-103

PROJECT

NAME:

Summitville Mine Water Treatment Facility HDS Pilot Testing and

ATTACHMENT 1

ARCHITECT/ENGINEER AGREEMENT TERMS AND CONDITIONS

(STATE FORM SC-5.1TC)

Rev. 1/2014 i

STATE OF COLORADO

OFFICE OF THE STATE ARCHITECT

STATE BUILDINGS PROGRAMS

ARCHITECT/ENGINEER AGREEMENT

TABLE OF CONTENTS (TABLE OF CONTENTS FOR ENTIRE AGREEMENT

LOCATED IN ARCHITECT/ENGINEER AGREEMENT TERMS AND CONDITIONS,

SC-5.1TC) Page(s)

RECITALS ..........................................................................................................…1

ENTIRE AGREEMENT

ARTICLE 1. BASIS OF COMPENSATION

1.1 PAYMENT

1.1.1 Total Compensation

1.1.2 Monthly Payments

1.5 CONDITION PRECEDENT

1.5.1 Sufficient Funding

ARTICLE 2. REIMBURSABLE EXPENSE

2.1 REIMBURSEMENT

2.1.1 Basic and Additional Services

2.1.2 Items for Reimbursement

ARTICLE 3. BASIC SERVICES OF ARCHITECT/ENGINEER ..............................3-4

3.1 THE SERVICES

3.1.1 Professional Services

3.2 DEVELOPMENT OF THE PROJECT

E. BIDDING PHASE

E.6 Copies of Documents

ARTICLE 11. MISCELLANEOUS PROVISIONS

11.11 DESIGNATED REPRESENTATIVES

SIGNATURE APPROVALS

Exhibits:

A. Architect/Engineer Proposal (Including Design Services Schedule and Certificates of Insurance)

B. Wage Rates Schedule C. Design Program/Facility Program Plan (if applicable) D. Certification and Affidavit Regarding Unauthorized Immigrants (required at contract signing prior to commencing work) E. Federal Requirements (including MBE/WBE Reporting)

Rev. 1/2014 1 of 5

(STATE FORM SC-5.1)

Agency I.D.

Number:

FEEA Contract ID No.:

Project Number:

SV-103

1. PARTIES. THIS AGREEMENT is entered into by and between the STATE OF COLORADO, acting by and through the Department of Public Health and Environment, hereinafter referred to as the Principal Representative, and having its offices at hereinafter referred to as the Architect/Engineer.

2. EFFECTIVE DATE AND NOTICE OF NONLIABILITY. This Agreement shall not be effective or enforceable until it is approved and signed by the State Controller or its designee (hereinafter called the “Effective Date”), but shall be effective and enforceable thereafter in accordance with its provisions. The State shall not be liable to pay or reimburse Architect/Engineer for any performance hereunder or be bound by any provision hereof prior to the Effective Date.

RECITALS

WHEREAS, the Principal Representative intends to conduct a study of the Summitville Mine Water Treatment Facility and the suitability of HDS treatment system modifications hereinafter called the Project; and

WHEREAS, authority exists in the Law and Funds have been budgeted, appropriated, and otherwise made available, and a sufficient unencumbered balance thereof remains available for payment In Fund Number , Account Number ,Contract Encumbrance Number ; and

WHEREAS, the State has Appropriated and the Principal Representative has been authorized to expend the total sum of Dollars ($ ) for this project including all professional services, construction/improvements, project contingencies, furnishings, movable equipment, reimbursable expenses and miscellaneous expenses; and

WHEREAS, funds are available for only a portion of the services defined herein, as more fully described in the funding Condition Precedent clause in Article 1.5

WHEREAS, the Principal Representative has established the Fixed Limit of Construction Cost in the amount of Dollars ($ ), and

Rev. 1/2014 2 of 5

WHEREAS, the ARCHITECT/ENGINEER was selected and determined to be the most qualified, and fees negotiated in accordance with the provisions of Section 24-30-1401, C.R.S. as amended, and

WHEREAS, this is a phase one waived contract, waiver number 175 Architect/Engineer Agreement for Capital Construction Form (SC-5.1).

ENTIRE AGREEMENT – The entire contract consists of the Architect/Engineer Agreement (SC-5.1) and Attachment 1, the Architect/Engineer Terms and Conditions (SC-5.1TC) incorporated herein by reference. The ARCHITECT/ENGINEER acknowledges having reviewed and accepted the Architect/Engineer Agreement Terms and Conditions (SC-5.1TC Rev 5/11).

NOW, THEREFORE,

The Principal Representative and the Architect/Engineer, for the considerations hereinafter set forth, agree as follows:

ARTICLE 1. BASIS OF COMPENSATION

1.1 PAYMENT

1.1.1 The total compensation for Basic Services fees (B through F), including a lump sum price for Reimbursable Expenses and, if applicable, Pre-Design and Post Construction Services fees (A and/or G), shall be allocated as follows:

A.

B.

C.

D.

E.

F.

G.

H.

$0.00

Pre-Design Phase (if applicable)

Schematic Design Phase

Design Development Phase

Construction Documents Phase

TOTAL COMPENSATION

Bidding Phase

Contract Administration Phase

Post Construction Phase (if applicable)

Reimbursable Expenses (Not to Exceed)

1.1.2 Payments to the Architect/Engineer on account of his fee shall be made monthly based upon Architect/Engineer's performance and progress, through a properly executed Application for Payment SC-7.1.

1.5 CONDITION PRECEDENT

1.5.1. (At the time of the execution of this Agreement, there are sufficient funds budgeted and appropriated to compensate the Architect/Engineer only for performance of the services through and including Pre-Design Phase (Phase A.) Therefore, it shall be a Condition Precedent to the Architect/Engineer's performance of the remaining services specified in _________________________________and the State's liability to pay for

Rev. 1/2014 3 of 5 such performance, sufficient funding must be appropriated and made available to the Principal Representative for the Project prior to _________________________________________and, as a further Condition Precedent, a written Amendment is entered into in accordance with the State of Colorado Fiscal Rules, stating that additional funds are lawfully available for the project. If either Condition Precedent is not satisfied by __________________________________, the Architect/Engineer's obligation to perform services for (scope of work) _____________________________________________ and the State's obligation to pay for such service is discharged without liability to each other. If funding is eventually made available after _____________________________________________, the Architect/Engineer has no right to perform services under ___________________ (article referencing scope of work) of this Agreement and the state has no right to require the Architect/Engineer to perform the said services.)

ARTICLE 2. REIMBURSABLE EXPENSE

2.1 REIMBURSEMENT

2.1.1 Reimbursable expenses are in addition to the compensation for Basic and Additional Services and include actual expenditures made by the Architect/Engineer and its employees, associate Architect/Engineer, and consultants in the interest of the Project.

Pay requests for reimbursable expense shall be submitted with receipts, statements, or other acceptable supporting data. The Architect/Engineer understands and agrees that a certain dollar amount as enumerated in line H of paragraph 1.1.1 has been established as a maximum amount to be paid for all reimbursable expenses.

2.1.2 The Architect/Engineer shall be reimbursed for:

(a) In accordance with the provisions of paragraph 3.2.E.6 (d) of this Agreement, for all copies over ( ) of the Construction Documents which are provided for the project.

(b) The costs of all items furnished by the Architect/Engineer in accordance with paragraphs 5.1.1 (d) and (e) as requested by the Principal Representative.

(c) Fees of special consultants if their employment is authorized in advance by the Principal Representative for other than the required architectural, structural, mechanical, electrical and civil engineering services; landscaping, if any; space planning/interior layout; and any other services included in this Agreement.

(d) Expense of data processing and photographic production techniques when used in connection with Additional Services.

(e) Expense of long distance telecommunication related to the performance of Basic Services.

(f) Expense of renderings, models and mock-ups requested by the Principal Representative other than those described in the designated services.

(g) Expense of mail, deliveries, mileage for local travel other than that necessary for the performance of Basic Services, and expense travel for special consultants as per Article 3.1 Basic Services of Architect/Engineer. Reimbursement of travel expenses is to be

Rev. 1/2014 4 of 5 based on reasonable and necessary travel costs within the limits of State/Federal per diem rates as published in the travel section of the State Controller’s Fiscal Rules, Meal and Incidental Per Diem Rates, Appendix A1.

(h) Expense of any additional insurance coverage or limits, including professional liability insurance, requested by the Principal Representative in excess of that required in Article 8.

(i) Other expenses as approved in writing by the Principal Representative and State Buildings Programs.

C. ARTICLE 3. BASIC SERVICES OF ARCHITECT/ENGINEER

3.1 THE SERVICES

3.1.1 For services in connection with the design of a funded project, the Architect/Engineer promises to perform the professional services for the contemplated project as delineated in the proposal letter dated , submitted by the Architect/Engineer, which is attached hereto and made a part hereof by reference as Exhibit A. In addition, the Architect/Engineer promises to perform the professional services as set forth in Terms and Conditions (SC-5.1TC) 3.2 A, B, C, D, E, F and G.

3.2 DEVELOPMENT OF THE PROJECT

E. BIDDING PHASE

.6 The Architect/Engineer shall furnish copies of the Construction Documents as follows, subject to limitations hereinafter set forth:

(a) For Bidding Documents: ( ) sets to insure distribution among prime contractors and subcontractors in accordance with the advertisement for bids.

(b) For Contract Documents: The Principal Representative will require up to ( ) sets. The Contract Documents bearing the seal and the signature of the Architect/Engineer and the appropriate responsible professional Engineering Consultants are to be signed by the Contractor and the Principal Representative at the Contractor's contract signing conference. The Architect/Engineer acknowledges that prior to the contract signing conference and State Buildings Programs authorizing the Notice to Proceed State Form SBP-6.26, a Letter of Compliance must be obtained from the State’s Code Review Agent verifying that the contract Documents and all addenda, value engineering recommendations and all other changes to the bidding documents are in compliance with the applicable codes as adopted by State Buildings Programs as indicated in Exhibit C.

(c) For Construction: Each prime contractor shall be furnished with ( ) sets or partial sets of the Contract Documents to insure prompt prosecution of the work.

(d) ( ) complete sets of drawings and specifications shall be the maximum required to be furnished by the Architect/Engineer. The Principal Representative will pay for all other sets of documents or partial sets of documents required at the cost of reproduction.

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D. ARTICLE 11. MISCELLANEOUS PROVISIONS

11.11 DESIGNATED REPRESENTATIVES, The Principal Representative and the Architect/Engineer authorize the following individuals to act on their behalf as Designated Representatives and points of contact as described in paragraphs 3.1.4 and 5.1.1(b);

For the Principal Representative: For the Architect/Engineer:

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SIGNATURE APPROVALS:

THE PARTIES HERETO HAVE EXECUTED THIS CONTRACT

*Persons signing for Architect/Engineer hereby swear and affirm that they are authorized to act on Architect/Engineer’s behalf and acknowledge that the State is relying on their representations to that effect. Principal is not a recognized title and will not be accepted.

THE ARCHITECT/ENGINEER STATE OF COLORADO, acting by and through:

Department of Public Health and Environment

By:

Legal Name of Contracting Entity

Lisa McGovern, Director of Purchasing and Contracts, for the Executive Director

Date:

*Signature APPROVED

DEPARTMENT OF PERSONNEL & ADMINISTRATION

By STATE BUILDINGS PROGRAMS

Name (print) Title State Architect (or authorized Delegate)

Date: By:

Steve Laudeman, Delegate

ALL CONTRACTS MUST BE APPROVED BY THE STATE CONTROLLER:

CRS §24-30-202 requires the State Controller to approve all State Contracts. This Contract is not valid until signed and dated below by the State Controller or delegate. Contractor is not authorized to begin performance until such time. If Contractor begins performing prior thereto, the State of Colorado is not obligated to pay Contactor for such performance or for any goods and/or services provided hereunder.

APPROVED:

STATE CONTROLLER'S OFFICE

State Controller (or authorized Delegate)

By:

Denise Burrows, Interim Controller

Project Name/Number:

Summitville Mine Water Treatment Facility HDS Pilot Testing and Treatment System Modification / SV-103

Contract ID No.:

ARCHITECT/ENGINEER AGREEMENT

DESIGN/BID BUILD

EXHIBIT A

ARCHITECT/ENGINEER PROPOSAL

(including Design Services Schedule and Certificates of Insurance, attached)

ARCHITECT/ENGINEER AGREEMENT

DESIGN/BID/BUILD

EXHIBIT B

WAGE RATES SCHEDULE

(attached)

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ARCHITECT/ENGINEER AGREEMENT

DESIGN/BID/BUILD

EXHIBIT C

DESIGN PROGRAM/FACILITIES PROGRAM PLAN

(attached, if applicable)

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ARCHITECT/ENGINEER AGREEMENT

DESIGN/BID/BUILD

EXHIBIT D

CERTIFICATION AND AFFIDAVIT REGARDING UNAUTHORIZED IMMIGRANTS

(required at contract signing prior to commencing work, attached)

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ARCHITECT/ENGINEER AGREEMENT

DESIGN/BID/BUILD

EXHIBIT E

FEDERAL REQUIREMENTS (Including MBE/WBE reporting) Attachment E-1 MBE/WBE Reporting

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Federal Grant Requirements

The following requirements are based on this contract being funded, at least in part, by the federal government through the U.S. EPA. The requirements are based on the Cooperative

Agreement between the Colorado Department of Public Health and Environment (CDPHE) and the Environmental Protection Agency (EPA) and regulatory requirements contained in 40 CFR

35 Subpart O.

CDPHE requires, and the CONTRACTOR agrees to comply with the following:

1. Insurance: The CONTRACTOR agrees that in all instances where this agreement requires the CONTRACTOR to include the State as either a named or additional insured party, the CONTRACTOR will also include the EPA as either a named or additional insured party.

2. CONTRACTOR Conflict of Interest: Prior to executing an agreement, CONTRACTOR shall provide: (1) information on its status and the status of parent companies, subsidiaries, affiliates, subcontractors and current clients as PRPs at the site; (2) certification that to the best of its knowledge and belief it has disclosed such information or no such information exists; and (3) a statement that it immediately shall disclose any such information discovered after submission of its bid or proposal or after award. CDPHE shall evaluate such information and shall exclude any bidder or offeror if CDPHE determines the offeror’s conflict of interest is significant and cannot be avoided or otherwise resolved.

3. The CONTRACTOR agrees to ensure that all space for conferences, meetings, conventions, or training funded in whole or in part under this agreement complies with the Hotel and Motel Fire Safety Act of 1990.

4. The CONTRACTOR agrees to use recycled paper for submittals and reports, which are prepared under this agreement and submitted to CDPHE.

5. Pursuant to CERCLA (Comprehensive Environmental Response, Compensation, and Liability Act, 42 U.S.C. sections 9601-9675), the CONTRACTOR shall meet the substantive requirements of all environmental laws and regulations except the procedural and administrative requirements of permit applications. The

CONTRACTOR shall submit to the CDPHE that information as necessary to demonstrate that the work will comply with the substantive portions of such environmental laws and regulations for review and approval by the CDPHE in lieu of performing the administrative or procedural aspects of applying for permits prior to initiating work that would otherwise be subject to an environmental permit.

6. The CONTRACTOR agrees to comply with requirements contained in 40 CFR 35, Subpart O, that are applicable to a party contracting with a grant recipient (CDPHE is the grant recipient). A summary of those requirements follows. Failure of this summary to specifically identify any such federal requirements does not relieve the

CONTRACTOR of his responsibility to comply with applicable parts of the federal regulation:

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A. Royalties and Patents.

The CONTRACTOR must report to CDPHE, promptly and in reasonable written detail, each known notice or claim of patent or copyright infringement under this Contract. In the event of any claim or suit against the State or CDPHE on account of any alleged patent or copyright infringement arising out of the performance of this Contract or out of the use of any supplies furnished or Work or services performed hereunder, the

CONTRACTOR must furnish to CDPHE upon request, all evidence and information in the CONTRACTOR’s possession or control pertaining to such suit or claim. Such evidence and information shall be furnished at the expense of the CONTRACTOR. If this Contract involves research, developmental, experimental or demonstration work and any discovery or invention arises or is developed in the course of or under this Contract, such invention or discovery shall be subject to the reporting and rights provisions of

Subpart K of 40 CFR Part 30, including Appendix B of said Part 30. In such case, the

CONTRACTOR shall report the discovery or invention to EPA directly or through the

CDPHE and shall otherwise comply with the CDPHE’s responsibilities in accordance with Subpart D of 40 CFR Part 30. The CONTRACTOR hereby agrees that disposition of rights to inventions made under this contact shall be in accordance with the terms and conditions of the aforementioned Appendix B. The CONTRACTOR shall include provisions appropriate to effectuate the purposes of this condition in all subcontracts involving research, development, experimental or demonstration work.

The CONTRACTOR agrees that any plans, drawings, specification, computer programs, technical reports, operating manuals or other “Subject Data” (as defined in Appendix C to 40 CFR Part 30) are subject to the rights in the United States, as set forth in said

Appendix C, including the right to use, duplicate and disclose such manuals, etc., in whole or in part, in any manner for any purpose whatsoever, and to have others do so.

For purposes of this paragraph, “grantee” as used in said Appendix C shall refer to the

CONTRACTOR. If the material is copyrightable, the CONTRACTOR may copyright such, as permitted by said Appendix C, but the CDPHE and the federal government reserve a royalty-free, non-exclusive and irrevocable license to reproduce, publish and use such materials in whole or in part, and to authorize others to do so. The

CONTRACTOR shall include provisions appropriate to effectuate the purpose of this condition in all subcontracts expected to produce copyrightable “Subject Data.”

B. Access.

The CDPHE and the EPA, or representatives of these parties, shall at all reasonable times have or be provided access to the work and facility.

C. Funding.

The agreement is funded, in part or in whole, by federal funds pursuant to a funding agreement between the CDPHE and a federal agency. As such the agreement is contingent upon continuing availability of federal funds for payment pursuant to the terms of the funding agreement with the federal agency.

D. Privity

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Neither the United States nor any of its departments, agencies or employees is, or will be, a party to the Agreement or any lower tier Subcontract.

E. Standards for Financial Management Systems.

(1) Accounting systems standards. The CONTRACTOR’s accounting system must provide control, accountability, and an assurance that funds, property, and other assets are used only for their authorized purposes. The CONTRACTOR must allow CDPHE to review the adequacy of the financial management system as described in 40 CFR section 31.20(c).

(2) Allowable costs. The CONTRACTOR’s systems must comply with the appropriate allowable cost principles described in 40 CFR section 31.22.

F. Audit and Access to Records.

(1) The CONTRACTOR shall maintain books, records, documents and other evidence directly pertinent to performance of Work under this Contract, including changes or amendments, in accordance with generally accepted accounting principles and practices consistently applied, and 40 CFR Part 30 in effect on the date of execution of this Contract. The CONTRACTOR shall also maintain the financial information and data used in preparation or support of any cost submissions required under 40 CFR section 35.6585. The EPA, the Comptroller General of the

United States, the United States Department of Labor, CDPHE and the State or any of their authorized representatives shall have access to all such books, records, documents and other evidence for the purpose of inspection, audit and copying during normal business ours. The CONTRACTOR will provide proper facilities for such access and inspection.

(2) Retention period. Consistent with 40 CFR Part 35.6705 the CONTRACTOR must maintain all records for 10 years following the State’s submission of the Financial

Status Report which covers completion of CONTRACTOR’s work, unless otherwise directed in writing by CDPHE, with the concurrence of EPA. If any litigation, claim, negotiation, audit, cost recovery, or other action involving the records has been started before expiration of the 10-year period, the records must be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular ten-year-period, whichever is later.

(3) Substitution of Microform. Microform copies may be substituted for the original records. The CONTRACTOR must have written CDPHE approval before destroying original records. The microform copying must be performed in accordance with the technical regulations concerning micrographics of Federal

Government records (36 CFR part 1230) and EPA records management procedures

(EPA Order 2160).

(4) Access to records is not limited to the required retention periods. The authorized representative designated in paragraph (1) of this requirement shall have access to records at any reasonable time for as long as the records are maintained.

(5) This right of access…