asus, inc. subcontractor information · asus, inc. subcontractor information packet thank you for...

ASUS, Inc. Subcontractor Information Packet

Thank you for your interest in qualifying as an approved Subcontractor. This information will enable you to be Pre‐

Qualified and able to view current and upcoming RFP’s posted to the Bid Sync Web Portal.

Please review the enclosed information identified below:

Qualification Application

Non‐Disclosure Agreement and Acknowledgement

o Contractors/Engineers

o Professional Service Providers

Insurance Certificate Requirements

o Proof of Insurance Only for Pre‐Qualification

Summary of Small Business Size Standards (by Industry) – Reference

Small Business Administration Small Business Designation Requirements ‐ Reference

Bid Sync Information Letter ‐ Reference

Please submit the following documents in order for your request to be processed:

1. Qualification Application (must be completed, signed and dated)

2. Non‐Disclosure Agreement ‐Signed and dated

3. Acknowledgement – Signed and dated

4. Proof of Insurance – Current COI

Please return completed forms to ASUS’s Supplier Diversity Professional, Susi Cleveland by fax 540‐301‐0145 or by email

[email protected] .

For additional questions regarding one of our subsidiaries, please see the base listing below:

Location Contact Name E‐mail Phone _____

Joint Base Andrews, MD Debby Craig/Drucilla Jones [email protected] 757‐888‐0484

Ft. Eustis & Story, VA Debby Craig/Drucilla Jones [email protected] 757‐888‐0484

Ft. Bragg, NC Tomeika McClean [email protected] 910‐495‐1311

Ft. Bragg, NC Vanessa McCormick [email protected] 910‐495‐1311

Ft. Jackson, SC Cody Climp [email protected] 915‐564‐1332

Eglin AFB, FL Tomeika McClean [email protected] 910‐495‐1311

Eglin AFB, FL Jennifer Beekman [email protected] 909‐305‐2400

Fort Bliss, TX Pat Hernando/Cody Climp [email protected] 915‐564‐1332

1 (Rev. 10/05/2011)

QUALIFICATION APPLICATION Contractors, Consultants and Vendors

Section A: Company/Organization Profile Full Company/DBA/Entity Name: Year Established: No. of Years Using Current Name:

Remit to Address: Former Company/DBA/Organization Names(s):

City: State: Zip Code: Primary NAICS No:

DUNS No.: Federal Tax ID No.:

Contact Information | Company/Organization Type

Name: Corporation General Partnership

Title: Limited Liability Co

Individual / Sole Proprietorship

Office Ph: Limited Partnership

Limited Liability Partnership

Cell Ph: Limited Liability Partnership

State of Incorporation or Partnership:

Fax Number:

S.A.M. (System for Award Management) Registration is REQUIRED. To register, go to: www.aquisition.gov

E-Verify Company Profile is REQUIRED. To complete, go to: https://e-verify.uscis.gov/enroll/StartPage.aspx?JS=YES

Email Address:

Web Site Address:

‡Business Size Category | Primary Business Activities

Large Accounting Maintenance

Small Analytical Office Equipment/Supplies

Small Disadvantaged Business Building Painting

Indian Owned SB General Construct. Pipeline Contractor

Woman Owned SB Chemicals Professional Services

Veteran Owned SB Computer Hardware/Software

Pump Maintenance

Service Disabled Veteran Owned SB Consulting Reservoir/Tank Construction/ Maintenance

Alaskan Native Owned SB Contracting Security

HUBZone SB Federal Only Engineering Survey

Historically Black College & University/Minority Institution

Environmental Training & Education Specify:____________________

Other:________________________ Inspection

Waterworks Material Supplier

www.acquisition.gov

daberle

Typewritten Text

daberle

Text Box

https://www.uscis.gov/e-verify

2 (Rev. 10/05/2011)

Trade or Professional Licenses / State Certifications

Approximate Number of Current Employees

Estimated Annual Gross Revenue Prior Three (3)

Fiscal Years

Indicate the type of contractor, professional service, or specialty trade license(s) or certificate(s) maintained by your firm:

10 or fewer 10-50 50-100 100-500 Over 500

Year: Amount:

20___ $___________

20___ $___________

20___ $___________

Number:

Please attach a copy of each license or certification.

Bank Reference

Brief Financial Statement Name of Bank:

Phone Number:

Please attach a brief financial statement, or a current balance sheet, or bank and credit information.

Type of Account:

Account Number:

Type of Account:

Account Number: Please check the ASUS Subsidiaries with whom you desire to do work: Section B: Bondability and Insurance

Fort Bliss Water Service Company

Is your company currently bondable? (ASUS may require performance and payment bonds.)

Yes No N/A

Old Dominion Utility Services, Inc.

Has your company previously been bonded?

Yes No N/A

Old North Utility Services, Inc.

What is your Bond Limit Amount (Aggregated)?

Would your company meet the following minimum insurance requirements: Palmetto State Utility Services, Inc.

State required Worker’s Compensation?

Yes No N/A

Other: State required Automobile Insurance?

Yes No N/A

Emerald Coast Utility Services, Inc.

Terrapin Utility Services, Inc.

3 (Rev. 10/05/2011)

The following outlines the general minimum insurance limits

Type of Insurance Major

Construction

Minor

Construction

General Consulting, Management or

Engineering Services

Specialized Consulting

Work

Professional Services

General Liability

General Aggregate $2,000,000 $500,000 $2,000,000 $500,000 $2,000,000

Products-Completed Operations

$2,000,000 $500,000 $2,000,000 N/A $2,000,000

Personal & Advertising Injury $1,000,000 $100,000 $1,000,000 N/A $1,000,000

Each Occurrence $1,000,000 $100,000 $1,000,000 $500,000 $500,000

Auto Liability (any auto)

Company owned vehicles - Combined Single Limit

$1,000,000 $500,000 $500,000 $500,000 $500,000

Hired and non-owned vehicles - Combined Single Limit

$1,000,000 $1,000,000 $1,000,000 $500,000 $500,000

Company owned vehicles - Combined Single Limit - Applicable to Hazardous Material Suppliers

*$5,000,000 N/A N/A N/A N/A

Workers’ Compensation Statutory Statutory Statutory Statutory Statutory

Employers’ Liability

Each Accident $1,000,000 $500,000 $1,000,000 $500,000 $500,000

Disease – Policy Limit $1,000,000 $500,000 $1,000,000 $500,000 $500,000

Disease – Each Employee $1,000,000 $500,000 $1,000,000 $500,000 $500,000

Professional Liability (Errors & Omissions)

Each Claim N/A N/A $1,000,000 N/A $1,000,000

Annual Aggregate N/A N/A $1,000,000 N/A $1,000,000

Professional Liability Insurance? Yes No N/A

Please attach a sample copy of the applicable insurance certificates.

Note: *$1,000,000 primary and $4,000,000 in excess liability

Pollution Liability (To be solicited from construction subcontractors but not a requirement for pre-qualification)

Covering sudden and accidental discharges of hazardous materials

Aggregate $2,000,000

Per Occurrence $1,000,000

4 (Rev. 10/05/2011)

Section C: Health and Safety Experience Modification Rate

Is your firm subject to the EMR? Yes No

If yes, please provide rating for the past three (3) years.

Year EMR Year EMR Year EMR

20___ _____ 20___ _____ 20___ _____

OSHA Recordable Incident Rate Is your firm exempt from OSHA record keeping because of size (e.g. 10 or fewer employees) and/or industry type? Yes No N/A

If no, list your firm’s OSHA Recordable Incidence Rate for each of the past three (3) years.

Year Rate Year Rate Year Rate

20___ _____ 20___ _____ 20___ _____

Check the appropriate boxes below:

1. Does your firm have a written safetyprogram? Yes No N/A

2. Does your firm currently have a writtensafety plan which complies with currentOSHA standards? Yes No N/A

3. Does your firm currently have a writtensafety plan which complies with currentOSHA standards? Yes No N/A

4. Ever had a period when your firm waswithout required worker’s compensationinsurance or approved self-insurance? Yes No N/A

5. Has your firm experienced either a State orFederal Occupational Safety and HealthAdministration serious violation, or citation,or been assessed penalties?

If yes, number of instances?

Yes No N/A

6. Has your firm experienced either a State orFederal Environmental Protection Agency(EPA) issued Notice of Violation (NoV)and/or assessed any penalties?

If yes, number of instances?

Yes No N/A

7. Has your firm experienced a work-relatedfatality or an accident that resulted in thehospitalization of four (4) or moreemployees?

Yes No N/A

If you answered YES to any of the above questions, please attach an explanation for each.

5 (Rev. 10/05/2011)

Section D: Contractual / Financial / Legal Check the appropriate boxes below:

1. Does your firm have a written Code of Conduct?

Yes No N/A

2. Does your firm have any apparent or actual conflict of interest with GSWC, or with any of its employees, or are you a relative of any GSWC employee? If yes, please explain:

Within the last five (5) years, has your firm:

Yes No N/A

3. Files for bankruptcy (voluntary or involuntary)?

Yes No N/A

4. Had a state license or certification suspended or revoked?

Yes No N/A

5. Been suspended, debarred, disqualified, or otherwise prevented from bidding on, or completing any utility, local, state or federal agency project?

Yes No N/A

6. Had a client or owner submit a claim for arbitration against your firm? Indicate the:

Number of claims Type Client Verification information Case No(s)

Yes No N/A

7. Submitted for arbitration a claim against a client or owner concerning work on a project or any contract? Indicate the:


Yes No N/A

6 (Rev. 10/05/2011)

8. Had a contract terminated for cause or default by a client or owner? Indicate the:


Yes No N/A

9. Defaulted on a contract forcing a Surety to suffer a loss?

Yes No N/A

10. Experienced a client or owner making a demand on your payment or performance bonds?

Yes No N/A

11. Has a surety made payments on your firm’s behalf to satisfy a claim made against a payment or performance bond? Indicate the:


Yes No N/A

12. Been unable to obtain a bond or been denied a bond for a contract?

Yes No N/A

13. Had an insurance carrier, for any form of insurance, cancel or deny any form of insurance or refuse to renew an insurance policy for your firm? Indicate the:


Yes No N/A

14. Are there any current outstanding liens or stop notices for labor and/or material filed against your firm on any contracts?

Yes No N/A

15. Been sued? Indicate the:

Yes No N/A

7 (Rev. 10/05/2011)


16. Filed suit? Indicate the:


Yes No N/A

If you answered ‘yes’ to any of the above, please attach an explanation and details including the Agency, Client, name of Court and case numbers, etc.

17. What size projects is your company comfortable undertaking in view of existing capabilities and available financial resources? Single project value: $ Total value work in progress: $

18. Does your firm have an Accounting System, approved by either an agency of the US Government (e.g., DCAA) or any state government? Yes* No *If ‘yes’, please specify which agency:

19. What is the date of the last approval of your Accounting System by the specified agency?

Section E: Performance References A. Business References: List two (2) general business references:

Contact Company Phone Years?

1.

2.

B. List the two (2) highest value contracts completed in the prior three (3) years:

Owner/Client Contact & Phone Job Description

Contract Amount: Original $

Completed $

Complete Date:

Original Actual

1. $

$

2. $

$

8 (Rev. 10/05/2011)

C. List two (2) Subcontractors or Subconsultants (as applicable):

Company Service(s) Provided Contact Name Phone

1.

2.

D. List two (2) current Material Suppliers or Vendors:

Company Material or Service

Provided Contact Name Phone

1.

2.

Section F: Service(s) Provided

Check a maximum of five (5) type(s) of service(s) your firm performs in its own name. Do not include services that your firm subcontracts.

A B

Accountant A14 Barricades B03

Acquisitions A16 Bearings B04

Advertising A08 Blue Prints B05

Air Conditioning – Heating A02 Bolts B06

Air Conditioning Maintenance A03 Booster Pumps B01

Architects A06 Building Maintenance B02

Armored Services A07 Building Materials and Supplies B07

Asbestos & Lead Paint A01 C

Asphalt A09 Calibration C10

Audio Visual A05 Carpentry C01

Auto Repair A04 Carpet/Carpet Cleaning C11

Automobile – Lease A15 Catering/Food Services C12

Automobile – Parts A10 Cement/Concrete Supplies C13

Automobile – Rentals A11 Chemical Delivery C02

Automobile – Tires A13 Chlorine Equipment/Supplies C14

Automobile – Truck Purchases A12 Circuit Breakers C15

9 (Rev. 10/05/2011)

Clamps C16 Excavation E06

Coffee/Soft Drink Supplies C18 Exterminator E10

Compressors C22 Event Planner E07

Computer-Hardware C19 Event Rentals E08

Computer – Services/Maintenance C07 F

Computer – Software C20 Fencing F01

Concrete Contractor C23 Field Testing F02

Conservation C05 Financial Consultant F10

Construction Clean-up C03 Fire Extinguishers/Services F04

Consulting/Engineering C04 Fire Hydrants F03

Consulting – Engineers C21 First Aid Supplies F11

Contributions C17 Flashers F05

Corporate Gifts C24 Fleet F12

Corrosion Engineering/Insp. C06 Flooring F07

Courier Services/Maintenance C08 Floral Décor F13

Crane Rental C25 Flush Line F06

D Flush Out F08

Demolition Contractor D06 Franklin Quest Products F09

Development D01 G

Disaster Recovery D03 Gardening/Landscaping Services G06

Distribution Maintenance D02 Gas Chlorination Parts G03

Drafting Supplies D05 General Construction G01

Ductile Iron Pipe D04 General Contractor G04

E General Engineering G02

Earthwork E01 Generators G05

Electrician/Electrical E02 Geotechnical Services G08

Energy Efficiency Consultant E09 Graffiti Removal G07

Engineering Services E04 Graphic Design G09

Environmental Engineering E03 H

Equipment Rental E05 Hauling H02

10 (Rev. 10/05/2011)

Hazardous Waste Removal H01 Mailing Equipment M10

I Mailing Services M06

Industrial Oils I02 Manufacture M04

Industrial Supplies I03 Market Research & Communication M14

Inspection I01 Mechanical – Repairs M09

Investments I05 Media M13

IT Services I04 Medical Supplies M08

J Meter Boxes M12

Janitorial Services J01 Meter Installation M05

L Meter Reading M02

Laboratories Sampling L03 Meter Repairs M03

Laboratory Equipment/Testing L04 N

Language Interpreter L11

Land Leasing L15 O

Land Use Entitlement L14 Office Design O03

Landscaping L01 Office Machine Maintenance O01

Large Meter – Replacement L06 Office Relocation O02

Large Meter – Testing L07 Office Supplies O06

Large Water – Meters L10 Office Supplies – Equipment O04

Legal Consulting L12 Office Supplies – Furniture O05

Lineman’s Equipment L05 P

Locksmith L13 Paint/Decoration P01

Low Voltage Communities L02 Paving P02

Lubricating Products L08 Pest Control P09

Lumber L09 Photography P11

M Pipe Fittings and Valves P12

Machinery & Pumps M01 Pipeline P03

Maintenance Supplies M07 Pipeline Install & Convey P04

Maintenance Work M11 Plant Work P14

11 (Rev. 10/05/2011)

Plastic Service P13 Scrap Disposal S22

Plumbing P10 Security Services S09

Pole Installation P05 Security System S02

Printing – Stationery/Forms P15 Sewage Treatment S03

Professional Services P06 Shipping Services S14

Promotional Items P18 Sign Installation S04

Public Relations Consultant P20 Signs and Banners S15

Publishing/Periodicals P19 Small Meter S12

Pump Maintenance P07 Small Meter – Replacement S17

Pump Testing P08 Small Meter – Testing S18

Pumps/Pumping Equipment P16 Soil & Ground Water S05

Purification P17 Sprinkler Contractor S11

R Sprinkler Controls S19

Radio Repair/Installation R09 Storage Containers S20

Radios R05 Storage Tank Removals S06

Real Estate Acquisitions R10 Storm Drains S07

Real Estate Brokerage R11 Street Lighting & Signal Systems S16

Recruitment and Staffing R12 Structural Steel Fabrication S08

Recycling R07 Surveying S23

Rental/Leasing R04 Switches S21

Reservoir/Tank Construction R02 T

Reservoir/Tank Maintenance R03 Tank Services T06

Rock and Sand R06 Telephone T08

Roofing R01 Telephone – Cellular T07

Roofing Material R08 Telephone Installation T01

S Temporary Services T04

Safety Equipment S25 Tenting T09

Safety Training S10 Tools/Hardware Supplies T10

Sampling S01 Towing Services T11

12 (Rev. 10/05/2011)

Training T05 W

Transporting/Freight T17 Waste Removal W02

Trash Pick Up T12 Water and Sewer Separation W09

Travel Services T14 Water Hauler, Non-Potable W12

Tree Maintenance T02 Water Hauler, Potable W13

Tree Services T13 Water Quality Sampling W03

Trenching T03 Water Treatment Equipment W11

Trucking Services T15 Watershed Survey W10

U Welding W04

Underground Location U01 Welding Supplies W07

Uniforms U02 Well Drilling W05

Utility Equipment U03 Well Maintenance/Repairs W01

V Wiping Material W08

Valve Repairs/Maintenance V01 Wiring Systems W06

Vaults V02

Vendor Certification V03 Other:

Section G: Acknowledgement, Authorization, Certification and Execution

American States Utility Services, Inc. (ASUS) will utilize this Qualification Application and the information listed as part of its qualification and approval process. Applicant hereby authorizes ASUS to check and verify the information, including obtaining Dun and Bradstreet financial reports, conducting reference checks and performing public records reviews in connection with evaluation of this Qualification Application. Applicant certifies under 15 U.S.C. 645(d), any person who misrepresents its business size status shall (1) be punished by a fine, imprisonment, or both; (2) be subject to administrative remedies; and (3) be ineligible for participation in programs conducted under the authority of the Small Business Act. Signature below is self-certification of business size and status in accordance with the requirements of the Federal Code of Regulations 13 CFR 121.411(a). As prescribed in FAR 19.301(d), the U.S. Government may impose a penalty against a firm misrepresenting its business size and/or disadvantaged status for the purpose of obtaining a procurement award. Applicant certifies that the information contained herein is complete and accurate in all details to the best of their knowledge and belief.

The company and/or its principals ( are / are not) presently debarred, suspended, or determined ineligible for an award of a contract by any Federal Agency.

The company and/or its principals ( comply / do not comply) with non-segregated facilities in accordance with FAR 52.222-21.

All services must be performed professionally and properly, under appropriate licenses and certifications and required minimum insurance amounts. No work may be commenced without prior ASUS written

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13 (Rev. 10/05/2011)

agreement. Agreements with ASUS include requiring applicable insurance, FOB Destination, and generally pricing on a firm, fixed price basis inclusive of all cost elements such as expenses, fees, G&A, incidentals, labor, overhead(s), profit, supplies, taxes, travel, etc. ASUS may require performance and payment bonds. ASUS expects good faith, good customer service, and full cooperation.

Applicant understands and recognizes that Time is of the Essence in the performance of any ASUS contract. Applicant also understands that completing this Qualification Application and becoming qualified by ASUS does not obligate ASUS to enter into any particular contract or any contract at all with applicant.

This Qualification Application may be submitted to ASUS electronically by email, by fax, or by mail delivery. Applicant represents and certifies to the best of his or her knowledge that the information provided herein is true, accurate and complete as of the date indicated below.

Authorized Company/DBA/Firm/Organization Representative:

______________________________________ _____________________________ ___________ Please Print Name Title Date

______________________________________ Signature

Return completed Qualification Application to:

American States Utility Services, Inc. Attn: Susi Cleveland

3715 Latimers Knoll Court, Suite 103 Fredericksburg, Virginia 22408-7361

eFax: (540) 301-0145 email: [email protected]

‡American States Utility Services, Inc. fully supports legislation pertaining to the employment of Disadvantaged,

Women, Small, Disabled Veteran and HUBZone Small Business Enterprises. Under Federal, State, City and Local requirements, we are required to know the classification of your company. Each classification with a brief explanation is listed below.

1. SMALL DISAVANTAGED BUSINESS ENTERPRISE - A Small Business Concern as defined under Item 3 below and which is owned and controlled by socially and economically disadvantaged individuals. The term "Small Business Concern owned and controlled by socially and economically disadvantaged individuals" means a Small Business Concern.

· That is at least 51 percent unconditionally owned by one or more socially and economically disadvantaged individuals; or, in case of any publicity owned business, at least 51 percent of the stock of which is unconditionally owned by one or more socially or economically disadvantaged individuals; and

· Whose management and daily business operations are controlled by one or more such individuals. Subcontractor/Supplier shall presume that socially and economically disadvantaged individuals include Black Americans, Hispanic Americans, Native Americans (such as American Indians, Eskimos, Aleuts, and Native Hawaiians), and other minorities or any other individuals found to be disadvantaged by the Small Business Administration pursuant to Section 8(a) of the Small Business Act. (Must be certified through SBA see website www.sba.gov)

2. WOMAN SMALL BUSINESS ENTERPISE - Same as Small Business Enterprise (below except a woman owned and controlled whose management and daily business operations are controlled by one or more women.

3. SMALL BUSINESS ENTERPISE - A firm is generally considered such if its average annual receipts for its preceding 3 fiscal years do not exceed $12 million for Special Trades Contractors and $28.5 million for Heavy Construction, pursuant the governing regulations of the Small Business Administration (13 CFR Part 121 and FAR Part 19). (See website www.sba.gov/size)

4. DISABLED VETERAN BUISNESS ENTERPISE - Must be at least 51 percent owned who manages and controls the business is not required to be the disabled veteran business owner(s); and your home office must be located and the U.S. Disabled Veteran must be domiciled in California.

5. HUBZONE SMALL BUSINESS ENTERPRISE - a Small business concern that appears on the list of Qualified HUBZone Small Business Concerns maintained by the Small Business Administration. (Must be certified through SBA see website www.sba.gov)

6. LOCAL SMALL DISAVDANTAGED BUSINESS ENTERPISE - Certification through the Office of Local Business Development in the District of Columbia. (Business must be listed in the LSDBE Certified Contractors List). (See website http://olbd.dc.gov)

7. VETERAN-OWNED SMALL BUSINESS ENTERPRISE - A Small Business Concern, not less than 51 percent of which is owned by one or more veterans (as defined at 38 U.S.C. 101 (2)) or, in the case of any publicly owned business, not less than 51 percent of the stock of which is owned by one or more veterans; and the management and daily business operations of which are controlled by one or more veterans.

8. SERVICE DISABLED VETERAN-OWNED SMALL BUSINESS ENTERPRISE - Small Business Concern, not less than 51 percent of which is owned by one or more service-disabled veterans or, in the case of any publicly owned not less than 51 percent of the stock or which is owned by one or more service-disabled veterans; and the management and daily business operations of which are controlled by one or more service-disabled veterans or, in the case of a veteran with permanent and severe disability, the spouse or permanent caregiver of such veteran. Service-disabled veteran means a veteran, as defined in 38 U.S.C. 101(2), with a disability that is a service-connected, as defined in 38 U.S.C. 101(16).

9. MINORITY-OWNED LARGE BUSINESS ENTERPRISE - A business concern at least 51 percent of which is owned by, and whose management and daily business operations are controlled by, one or more members of a socially and economically disadvantaged minority group, namely, U.S. citizens who are Black Americans, Hispanic Americans, Native Americans, Asian-Pacific Americans, or Asian-Indian Americans (“Native Americans” means American Indians, Eskimos, Aleuts, and Native Hawaiians. “Asian Pacific Americans” means U.S. citizens whose origins are Japanese, Chinese, Filipino, Vietnamese, Korean, Samoan, Laotian, Kampuchean, Taiwanese or in the U.S. Trust Territories of the Pacific Islands. ”Asian-Indian Americans” means U.S. citizens whose origins are the Indian Subcontinent). Exceeds the size standards of Small Business Concern (See Small Business Enterprise above).

10. WOMAN-OWNED LARGE BUSINESS ENTERPRISE - Women-Owned and controlled business whose management and daily business operations are controlled by one or more women (not a small woman-owned business). Exceeds the size standards of Small Business Concern (See Small Business Enterprise above).

11. LARGE BUSINESS ENTERPRISE - Any business that exceeds the Small Business Concerns criteria.

1 CONFIDENTIALITY AGREEMENT

ASUS N-100 rev 7/28/2016

PROPRIETARY AND CONFIDENTIAL

CONFIDENTIALITY AGREEMENT NO: ________

ISSUED BY:

American States Utility Services, Inc. (“ASUS”) –

A wholly owned subsidiary of American States Water Company.

ISSUED TO:

_______________________________________

(the “ENGR/CONTR”)

ADDITIONAL PARTIES: American States Water Company and all subsidiaries of ASUS.

RELATED TO U.S. GOVERNMENT PRIME CONTRACT NO.:

SP0600-04-C-8265 (Fort Bliss, Texas)

SP0600-05-C-8250 (Joint Base Andrews, Maryland)

SP0600-05-C-8252 (TRADOC Fort Eustis and Fort Story, Virginia)

SP0600-05-C-8253 (Fort Lee, Virginia)

SP0600-07-C-8251 (Fort Jackson, South Carolina)

SP0600-07-C-8258 (Ft. Bragg / Pope Army Air Force Base / Camp MacKall, North Carolina)

SP0600-16-C-8231 (Eglin Air Force Base, Florida)

And any others as issued

EFFECTIVE DATE:

___________________

BRIEF DESCRIPTION OF PURPOSE OF CONFIDENTIALITY AGREEMENT:

ENGR/CONTR shall keep certain information confidential as ENGR/CONTR assists ASUS with various

aspects of ASUS’s business including but not limited to ASUS’ contracts with the U.S. Government .

IN WITNESS HEREOF, this CONFIDENTIALITY AGREEMENT is signed, sealed and delivered

as of the effective date referenced above:

ASUS:

By: ______________________________

Name: ______________________________

Title: ______________________________

Date: _____________________

ENGR/CONTR:

By: ______________________________

Name: ______________________________

Title: ______________________________

Date: _____________________

` Confidentiality Agreement No. _________


ASUS N-100 rev 7/28/2016


WHEREAS, the parties to this Confidentiality Agreement No. _______ (“Agreement”) are ASUS

(including its parent company American States Water and ASUS subsidiaries), as defined on page 1

of the Agreement, and ENGR/CONTR, as defined on page 1 of the Agreement (ASUS and

ENGR/CONTR may be referred to individually as a “Party” or collectively as the “Parties”);

WHEREAS, ASUS and its subsidiaries have entered into water and wastewater utilities privatization

contracts at various locations identified on page 1 with the United States Government (the “UP

Contracts”);

WHEREAS, ENGR/CONTR is an Engineering/Construction/Consulting firm that provides a variety

of services and business opportunities for variety of clients, and provides assistance to companies that

have contracted with the federal government;

WHEREAS, references in this Agreement to ASUS shall include by definition American States Water

and ASUS’ subsidiaries;

WHEREAS, ASUS engages in certain business activities related to the performance of the UP

Contracts, including but not limited to the preparation of proposals and Request for Equitable

Adjustments;

WHEREAS, ENGR/CONTR may assist ASUS in its preparation, strategy and submittals related to

proposals, REAs and engineering and construction plans, among other matters, and

WHEREAS, ASUS may provide ENGR/CONTR certain Confidential Information or Unclassified

Controlled Technical Information, as defined herein, so ENGR/CONTR may assist ASUS in

conducting business.

NOW, THEREFORE, in consideration of the mutual covenants contained herein as well as other

good and valuable consideration, the receipt and adequacy of which is hereby acknowledged, the

Parties hereto agree as follows:

1) Any and all information (whether oral, in hardcopy, in electronic format or in any other

medium) disclosed by ASUS or the Government to ENGR/CONTR that relates to the

management, business, finances, operations, products, systems and contracts of ASUS, along

with any and all information, correspondence, communications, deliverables, or Unclassified

Controlled Technical Information or otherwise, and identified as “Confidential Information”

(whether oral, in hardcopy, in electronic format or in any other medium) between the Parties,

shall be deemed “Confidential Information” and shall be kept confidential by ENGR/CONTR.

Confidential Information or Unclassified Controlled Technical Information shall be deemed

confidential regardless of whether such information is marked “confidential.” The rights

and obligations provided by this Agreement shall take precedence over any specific legends

or statements associated with the Confidential Information or Unclassified Controlled

Technical Information when received.

2) ENGR/CONTR understands that such Confidential Information or Unclassified



ASUS N-100 rev 7/28/2016


Controlled Technical Information may not be duplicated, copied, or otherwise reproduced

by ENGR/CONTR, or by its employees, agents, subcontractors, representatives, independent

contractors, etc. for any purpose other than those necessary to assist ASUS. ENGR/CONTR

shall use the highest degree of care to protect such Confidential Information or Unclassified

Controlled Technical Information and shall adhere to the requirements under DFARs

252.204-7012 Safeguarding of Unclassified Controlled Technical Information, Dec. 2015, as may

be further amended, and with DFARs 252.239-7010 Cloud Computer Services, Aug 2015, as may

be further amended. PARTIES shall ensure their lower tier subcontractors and vendors (jointly or

singularly Vendors) also meet these requirements prior to distributing any Confidential

Information or Unclassified Controlled Technical Information to, or utilizing Cloud Computer

Services from, such Vendors. Further, at the request of ASUS, ENGR/CONTR shall

promptly return to ASUS all Confidential Information and Unclassified Controlled Technical

Information or upon authorization of ASUS destroy (and certify the destruction of) all

Confidential Information and Unclassified Controlled Technical Information received from

ASUS and all copies thereof and all media in which such Confidential Information or

Unclassified Controlled Technical Information is contained. However, the ENGR/CONTR

is authorized to retain copies of Confidential Information or Unclassified Controlled

Technical Information contained in reports or databases prepared by the ENGR/CONTR

for the United States Government as necessary for historical deliverable

documentation/archival purposes in connection with the purpose set forth herein.

3) The confidentiality obligations discussed herein shall commence once ENGR/CONTR

receives any Confidential Information or Unclassified Controlled Technical Information,

regardless of the effective date of this Agreement. The confidential obligations discussed

herein shall survive the completion or termination of this Agreement.

4) ASUS provides the Confidential Information or Unclassified Controlled Technical

Information solely on an “as-is” basis. The Confidential Information or Unclassified

Controlled Technical Information is not warranted to be complete or error-free.

ENGR/CONTR agrees that ASUS will not be liable for any damages arising out of the use of

the Confidential Information or Unclassified Controlled Technical Information.

5) ENGR/CONTR shall not acquire any rights in the Confidential Information or Unclassified

Controlled Technical Information provided by ASUS under this Agreement. No license is

granted by this Agreement by either Party to the other, either directly or by implication,

estoppel, or otherwise.

6) ENGR/CONTR shall not provide any Confidential Information or Unclassified Controlled

Technical Information to any third-party, including United States government agencies

and ENGR/CONTR Vendors, without the express written permission of ASUS. The

ENGR/CONTR shall only provide the Confidential Information or Unclassified

Controlled Technical Information to ENGR/CONTR employees, agents, subcontractors,

representatives, independent contractors, etc. who must view the Confidential

Information or Unclassified Controlled Technical Information for the purposes of

performing work under the ASUS-ENGR/CONTR Contract. All such ENGR/CONTR



ASUS N-100 rev 7/28/2016


employees, agents, subcontractors, representatives, independent contractors, etc. must

sign an ASUS-provided Acknowledgement to this Agreement recognizing the terms of

this Agreement..

7) ENGR/CONTR shall not use any Confidential Information or Unclassified Controlled

Technical Information for any purpose other than for the purposes described in this

Agreement.

8) In the event that ENGR/CONTR is required by law or legal process to disclose any

Confidential Information or Unclassified Controlled Technical Information, ENGR/CONTR

shall provide ASUS with prompt oral and written notice of any such requirement within two (2)

business days of receiving notification of such possible disclosure. This notice will allow

ASUS to seek a protective order or other appropriate remedy to preclude or limit the disclosure

of the Confidential Information or Unclassified Controlled Technical Information.

ENGR/CONTR agrees to cooperate with ASUS in any reasonable efforts to obtain such

remedies, and ENGR/CONTR agrees not to disclose the Confidential Information without

ASUS’s prior written consent or Court order (following the exhaustion of all available avenues

of appeal.)

9) ENGR/CONTR shall promptly notify ASUS of any unauthorized disclosure of or access to

Confidential Information or Unclassified Controlled Technical Information of which the

ENGR/CONTR becomes aware and shall provide all reasonable cooperation and assistance in

recovering such Confidential Information or Unclassified Controlled Technical Information.

In addition, in accordance with the requirements of DFARS 252.204-7012 Safeguarding of

Unclassified Controlled Technical Information, ENGR/CONTR shall notify the U. S.

Government via the Department of Defense's DIB Cyber Incident Reporting and Cyber

Threat Information Sharing Portal as well as to ASUS within 72 hours of identification of

such unauthorized disclosure or release.

10) The Parties acknowledge that the breach or threatened breach of this Agreement may result in

immediate and irreparable harm to ASUS and such harm may be in addition to its other

remedies at law or equity (including monetary damages). As such, ASUS shall be entitled to

preliminary and other injunctive relief to restrain any threatened or continued breach of this

Agreement without any showing of irreparable harm or any other special demonstration of

harm.

11) ENGR/CONTR shall indemnify, defend and hold harmless ASUS against any and all losses,

damages, claims, expenses and attorneys’ fees incurred or suffered by ASUS as a result of a

breach or violation of this Agreement (including the unauthorized use or disclosure of the

Confidential Information or Unclassified Controlled Technical Information) by

ENGR/CONTR and/or employees, Vendors, agents, subcontractors, representatives,

independent contractors, etc.

12) Miscellaneous Provisions:



ASUS N-100 rev 7/28/2016


(a) This Agreement is governed by the laws of California, without reference to its rules

concerning conflicts of laws. Notwithstanding the provision of any Master Services

Agreement between the parties, any dispute regarding matters provided in or related to

this Agreement shall be resolved in the state or federal courts situated in California.

(b) No act or failure to act by either Party will waive any right contained herein; any

waiver must be specific, in writing and signed by an officer of the waiving Party in

order to be effective.

(c) This Agreement shall be binding upon the respective successors and assigns of each

of the Parties. ENGR/CONTR shall not be permitted to assign this Agreement

without receiving prior express written permission from ASUS.

(d) No amendment to this Agreement shall be valid unless it is in writing and signed by a

duly authorized representative of each Party.

(e) In the event that any provision of this Agreement conflicts with the law under which

this Agreement is to be construed or if any such provision is held invalid by a court

with jurisdiction over the Parties to this Agreement, such provision shall be deemed to

be restated to reflect as nearly as possible the original intentions of the Parties in

accordance with applicable law, and the remainder of this Agreement shall remain in

full force and effect.

(f) This Agreement supersedes all other prior agreements, oral or written, and all other

communications between the Parties relating to its subject.

(g) Any notices, requests, demands and other communications hereunder shall be deemed

to have been duly given to a Party when personally delivered or sent by facsimile,

e-mail, overnight delivery, express mail, or via certified mail, return-receipt

requested, if addressed to such Party at its address set forth herein below. Either

Party may change the address or contact person by providing notice of same to the

other Party.

If to ASUS: Mr. Jim Cotton

Sr. Vice President and Procurement Officer

American States Utility Services, Inc.

3715 Latimers Knoll Court, Suite 103

Fredericksburg, VA 22408

With a copy to: Mr. Jim Gallagher

Vice President of Management Services


630 East Foothill Boulevard

San Dimas, CA 91773



ASUS N-100 rev 7/28/2016


If to ENGR/CONTR: ____________________________________

____________________________________

____________________________________

____________________________________

____________________________________

(h) This Agreement may be executed in counterparts.

(Signatures on the cover page.)

CONFIDENTIALITY AGREEMENT ACKNOWLEDGEMENT ASUS N-200 (MAY 10) PROPRIETARY AND CONFIDENTIAL

CONFIDENTIALITY AGREEMENT NO: ________

ACKNOWLEDGEMENT

WHEREAS, American States Utilities Services, Inc. (including its parent and subsidiary companies) (“ASUS”) and (“ENGR/CONTR”) have entered into the above captioned agreement (“the Agreement”); and

WHEREAS, the Agreement imposes upon ENGR/CONTR certain obligations concerning the use and handling of ASUS’ Confidential Information (as defined therein); and

WHEREAS, the Agreement also provides that all employees, agents, subcontractors, representatives, and independent contractors of ENGR/CONTR who require access to ASUS Confidential Information must sign an ASUS-provided form recognizing the terms of the Agreement; and

WHEREAS, the undersigned individual (“Individual”) may require access to ASUS Confidential Information;

NOW, THEREFORE, in consideration of the mutual covenants contained herein as well as other good and valuable consideration, the receipt and adequacy of which is hereby acknowledged, ASUS and Individual agree as follows:

1) Individual has received, read, understood and agrees to abide by the terms and conditions of the Agreement, which is hereby incorporated by reference into this Acknowledgement.

2) The terms and conditions of the Agreement shall apply to Individual to the same extent that

these terms and conditions apply to ENGR/CONTR.

IN WITNESS HEREOF, this CONFIDENTIALITY AGREEMENT ACKNOWLEDGEMENT is signed, sealed and delivered as of the effective date referenced above:

ASUS:

By: ___________________________

Name (Print): _____________________

Title: ___________________________ Date: ______________________

Individual:

By: ____________________________

Name (Print):______________________

Company:_________________________ Date: ______________________

3715 Latimers Knoll Court, Suite 103 Fredericksburg, VA 22408

HOW TO REGISTER WITH BIDSYNC FOR ACCESS TO BID OPPORTUNITIES

WITH AMERICAN STATES UTILITY SERVICES AND ITS SUBSIDIARIES

Dear Valued Subcontractor/Vendor: American States Utility Services, Inc. (ASUS) and its Subsidiaries have partnered with BidSync to provide web-based bidding services to their subcontractors and vendors. This partnership makes it easier for you to immediately receive and respond to business opportunities via the Internet. ASUS and its Subsidiaries began posting bid opportunities on BidSync on March 1, 2014. Potential subcontractors and vendors are invited to register for free* on BidSync and review posted business opportunities from ASUS and its subsidiaries listed below:

• American States Utility Services, Inc. – Santa Ana, CA or Fredericksburg, VA • Emerald Coast Utility Services, Inc. Eglin AFB, FL • Fort Bliss Water Services Company – El Paso, TX • Old Dominion Utility Services, Inc. – Fort Eustis, Fort Story, or Fort Lee, VA • Old North Utility Services, Inc. – Fort Bragg, NC • Palmetto State Utility Services, Inc. – Fort Jackson, SC • Terrapin Utility Services, Inc. – Andrews AFB, MD

Each subcontractor or vendor may have one account with multiple users to ensure that you are aware of all bid opportunities. We ask that you do not create more than one account as this will cause unnecessary duplication and require multiple qualifications for your firm. The registration process takes less than five minutes. To register free of charge* with BidSync, enter the following URL address in your internet browser: https://www.bidsync.com/SupplierRegister?ac=register&pathid=1050& Registration gives you access to bid opportunities with American States Utility Services and its Subsidiaries. If you have any difficulties registering, contact BidSync Support at 1-800-990-9339 or via email at [email protected] Warm regards, Jim Cotton Vice President, Contracts & Proposal Development *Other agencies within BidSync's network may assess a fee.

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