usa.siemens.com/intelligenttraffic

January 9th, 2017

Chicago Smart Lighting Project

Chicago Infrastructure Trust

Table of Contents

Section I - Proposal Overview .................................................................................................. 5

Proposal Letter .................................................................................................................... 5

Executive Summary ................................................................................................................ 8

Project Management & Implementation Plan ......................................................................... 13

Field Deployment Support .............................................................................................. 21

Description .................................................................................................................... 21

Team Structure .............................................................................................................. 26

Approach to Project Phasing ........................................................................................... 38

Progress Reporting ......................................................................................................... 45

Schedule Milestones ...................................................................................................... 47

Approach for Performing the Work ................................................................................. 50

Project Management Plan .............................................................................................. 53

Communications and Coordination ................................................................................. 61

Quality Management Plan .............................................................................................. 63

Project Management, Profit, and Overhead “Markup”....................................................... 66

Public Relations & Communications Plan ............................................................................ 67

Communications Experience and Expertise ..................................................................... 67

Jasculca Terman Communications Experience and Expertise ............................................ 68

Public Relations and Communications Plan ......................................................................... 72

Situation Analysis, Goals and Audiences ......................................................................... 72

Strategic Approach ........................................................................................................ 73

Strategic Media and Marketing Campaign ....................................................................... 77

Ongoing Reporting ........................................................................................................ 81

Crisis Communications Plan Development .......................................................................... 82

Siemens/JT Crisis Communications Team/Protocol ........................................................... 82

M/WBE Participation Plan ................................................................................................... 84

M/WBE Participation Plan and Commitment .................................................................... 84

Siemens Supplier Diversity Commitment ......................................................................... 85

Workforce Development Plan ............................................................................................. 89

Approach for Performing Smart Lighting Work With a Diverse Workforce .......................... 89

Local Economic Initiatives .................................................................................................. 92

Section II - LED Conversion Proposal ...................................................................................... 93

LED Luminaire Specifications ............................................................................................. 93

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LED Luminaire Pricing & Conversion Unit Labor Pricing ........................................................ 94

Product Samples ............................................................................................................... 95

Section III - Infrastructure Stabilization Proposal ..................................................................... 96

Asset Condition Assessment Plan ....................................................................................... 96

Infrastructure Stabilization Unit Pricing ............................................................................ 103

Section IV - Technology Proposal ......................................................................................... 104

Technology Solution Overview ........................................................................................ 104

Functional, Technical and Logical Requirement................................................................. 105

LMS Core Functionality as Required by the City ................................................................. 106

System Architecture ........................................................................................................ 108

Lighting Management System Detailed Discussion ............................................................ 109

Integration & Interfaces ................................................................................................... 119

Reporting & Analytics ...................................................................................................... 120

Additional Functionality .................................................................................................. 120

Third-Party Products ........................................................................................................ 124

Hosting & Environments .................................................................................................. 124

Backup & Recovery .......................................................................................................... 126

Security & Accessibility .................................................................................................... 127

Maintenance & Support ................................................................................................... 131

Performance Standards & Service Level Agreements ......................................................... 136

Warranties ...................................................................................................................... 137

311 and 911 Integration .............................................................................................. 137

Functional, Logical, and Technical Requirements .............................................................. 142

Interrogatories ................................................................................................................ 143

Pricing Proposal .............................................................................................................. 144

Section V - Administrative Submittals .................................................................................. 145

Proposal Security ............................................................................................................ 146

Assumptions ................................................................................................................... 147

Project Experience ........................................................................................................... 148

References ...................................................................................................................... 151

Waste & Material Handling, Recycling and Disposal Facilities ............................................. 152

Addendum A - Value Engineering/ Value Added Services ...................................................... 153

Value Engineering ........................................................................................................... 153

Addendum B - Siemens Center of Excellence (COE) .............................................................. 158

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Addendum C – Resumes ..................................................................................................... 162

Appendix A – Quality, Project, and Communications Plans .................................................... 163

Appendix B – Affirmative Action/EEO Plan ............................................................................ 164

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Section I - Proposal Overview

Proposal Letter

Siemens’ executed Form 2: Form of Proposal Letter follows this page.

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Executive Summary

Statement of Interest

Siemens is pleased to present this proposal for the Chicago Smart Lighting Project to the Chicago Infrastructure Trust (CIT) in collaboration with the City of Chicago (City) and the Chicago Park District (Parks). Siemens, the world’s largest provider of environmental technologies, and its highly diverse team of local companies and Chicago residents, is ready to help the City of Chicago achieve the primary goals of the Smart Lighting Project: to improve public safety; to enhance quality of life; and to provide better, more reliable and responsive public service. This proposal outlines how Siemens intends to do this.

We understand that Chicago’s Smart Lighting Project is an unprecedented opportunity to build the infrastructure that will help achieve the long-term vision of the City’s Technology Plan: to be a city where technology fuels opportunity, inclusion, engagement and innovation for all.

Siemens has completed more municipal street lighting projects in the United States and globally than any other company, and will apply this unparalleled knowledge and experience to Chicago’s Smart Lighting Project. As the prime contractor for this project – and the world’s technology leader in smart street lighting – Siemens offers the City project management and technology expertise through one company, rather than needing to outsource technology solutions.

Siemens is an $80 billion corporation with 308,000 employees worldwide and has the financial wherewithal and global procurement capacity to ensure that Chicago will have access to the best people, product sources and prices. This means:

The City will save more money, faster. Siemens will complete the Smart Lighting Project in 30 months – 18 months faster than the RFP outlines. This will result in $18 million in additional City energy savings. Siemens is not tied to one manufacturer. Our vendor-neutral approach to procure light fixtures will help the City choose fixtures that best meet City needs at the lowest price.

Beyond technology prowess and purchasing power, Siemens will collaborate with Chicago to offer more opportunity, inclusion, engagement and innovation to residents in communities throughout Chicago. This will result in new jobs for City residents, safer neighborhoods and an enhanced quality of life. Our full proposal addresses all the RFP technical elements in great depth and detail.

Chicago Will Become Siemens Center of Excellence for Intelligent Transportation Systems

As part of Siemens commitment to Chicago, and because we understand the potential of the Smart Lighting Project to accelerate the City’s Technology Plan, we will designate the City of Chicago as a Siemens Center of Excellence – at no cost to the City.

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Through this program, Siemens will help Chicago become one of the largest cities in the United States to use the latest Smart City technology to improve safety, reduce traffic congestion and improve air quality. By integrating Intelligent Traffic software and hardware into Chicago’s traffic management systems, Siemens can help Chicago respond and adapt more quickly and effectively, in real time, to improve traffic flow and safety, as well as help reduce pollutants and greenhouse gas emissions in the air.

Examples of Siemens technology that will be included in the Center of Excellence is:

Software that integrates and reviews data from 70 different technologies and can automatically adjust traffic signals to respond to traffic. It also reports automobile emissions and greenhouse gas estimates Collision-avoidance technology for vehicles, through which cars can communicate with traffic management systems and other cars, to prevent collisions and enable autonomous driving Siemens Integrated Smart Parking Solution that monitors parking availability. Drivers can learn about open street parking via a smart phone app

Through our participation in Smart Cities initiatives around the world in cities such as London, England, Colombo, Sri Lanka, New Delhi and Bhubaneswar, India, Vienna, Austria, Seoul, Korea, Riverside and San Francisco, CA, Minneapolis, MN, Siemens can provide a global perspective on best practices in divergent economies and local climate conditions. As a result of this experience, we can develop the most cost-effective ways for the City to capitalize on the infrastructure of the Smart Lighting Project and build a platform today for future technologies that are either not yet cost-effective or market-ready.

Siemens is a known leader in Intelligent Transportation Solutions (ITS) and connected vehicle (CV) technology. We manufacture our own traffic signal controllers, develop our own traffic management software, and have integrated traffic management hardware and software in hundreds of major U.S. cities, including Phoenix, AZ, St Louis, MO, Minneapolis, MN, Ann Arbor, Michigan, Seattle, Washington, College Station, Texas, and The Tampa-Hillsborough Expressway Authority (THEA) project.

Over the past 40 years, Siemens has delivered more than 300 fully operational traffic signal control systems in the U.S and over 130 adaptive traffic control systems worldwide. We have been deeply involved in supplying roadside software equipment for the USDOT Connected Vehicle test beds, beginning in 2007, including:

2007: USDOT Test Bed in Novi, MI on 75+ intersections 2012: ITS World Congress, Orlando FL on International Drive and Universal Drive 2013: USDOT Safety Pilot Test Bed in Ann Arbor, MI 2014: ITS World Congress, Detroit, MI corridors in front of COBO center 2015: USDOT Connected Vehicle Pilot, Tampa, FL: 11 CV applications at 40 locations on 1,500 vehicles

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Details regarding the Center of Excellence and the attendant technologies can be found in Appendix B.

About the Siemens Team

Project Understanding and Approach

Our team is ready to deliver the largest and best public-private LED streetlight conversion in the United States. Every Siemens resource necessary will be committed to the City of Chicago and its financier to ensure that all phases and tasks of the project exceed expectations. Our objective is to partner with the City to deliver a project that reduces City operating costs and energy use significantly while building a foundation for Smart City wireless communications. We also understand the City’s imperative to use the Smart Lighting Project as a workforce development, jobs creation and community safety initiative that will enhance quality of life for Chicagoans in all 77 community areas. Through our team’s hiring practices, we will ensure involvement from residents from the entire City.

Supporting the City’s Vision

To affirm Siemens’ great interest in this project, we highlight the following selected components of this proposal that support the City’s greater vision:

Maximum Inclusion of Minority - and Woman-Owned Businesses. Siemens will exceed the M/WBE goals of 26% MBE and 6% WBE by utilizing 34.4% MBE and 15% WBE for total M/WBE utilization of 49.4%.

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Creation of New Jobs for More Chicago Residents. Siemens will create a minimum of 6 LED fixture recycling jobs for men and women who are ex-offender and homeless people in Chicago through a workforce development partnership with A Safe Haven Foundation. In addition, Siemens and its project team member companies will create 137 construction jobs in Chicago and Siemens will locate three warehouses in Chicago: 1 located in Chicago’s North side, 1 located on the South side, and a central warehouse location at A Safe Haven facility at 2501 W. Taylor Street. The Siemens workforce development hiring plan will meet the City’s requirement that City of Chicago residents perform 50 percent of the total project work hours and that City of Chicago Project Area Residents execute 7.5 percent of the total project work hours. Siemens and its project team member companies will hire these City residents directly, so the net effect will be more new jobs in positions that do not exist today. Opportunities for Students at Chicago Public Schools and Chicago City Colleges. Using its well-established relationships in the Science, Technology, Engineering and Math (STEM) education community, Siemens will collaborate with Chicago Public Schools and City Colleges to engage students in the Asset Condition Assessment portion of this project. Economical Access to Expert Managers, Training and Certification. Siemens’ experienced Smart Lighting managers from around the world will train and certify employees and managers of Siemens’ MBE and WBE partners and the project’s union employees. By hiring, contracting with, and training project team company employees directly, Siemens saves the City the significant cost of a “middleman” electrical contractor. Globally Recognized Project Management Excellence. Project management is core to Siemens’ 170-year-old track record and DNA. Siemens will manage the Chicago Smart Lighting Project from its office at 20 S. Clark Street in Chicago. Siemens will directly manage its local company partners and their employees to ensure performance and results. Unique History. Chicago was incorporated as a city in 1837. Just 10 years later, in 1847, Werner von Siemens founded Siemens. Siemens’ street light project management experience began in 1892 when Siemens installed the first permanent electric streetlights in a Berlin neighborhood. Effective Public Relations and Communications Plan. Maintaining a healthy dialogue with residents in all 77 Chicago community areas will be vital to the success of the Smart Lighting Project. The Siemens team includes Jasculca Terman (JT), a seasoned, well-respected Chicago strategic communications firm that has coordinated many multi-faceted public outreach and marketing campaigns. JT will work with the City to create a proactive community involvement, marketing and public relations plan to introduce and build support for the Smart Lighting Project.

Choosing Siemens to execute Chicago’s Smart Lighting Project will create jobs for Chicago residents, help Chicago’s local economy grow and save the City millions of dollars per year in operating costs. Siemens will use its global technology and LED street lighting retrofit experience to design and install an LED street lighting retrofit project that will reduce the City’s carbon footprint significantly, and deliver an open source wireless communications platform for current and future Smart City applications.

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Highlights of the Siemens Approach

Here we note several other significant components of our proposed approach that demonstrate our understanding of the project:

Commitment to Chicago and History of Successful Projects. Siemens is committed to the City of Chicago and the State of Illinois for the long term. Of Siemens’ approximately 50,000 US-based employees, more than 3,200 are located in the Chicago area. Other local projects include maintenance of supervisory monitoring and fire alarm systems at the Chicago Department of Aviation; installation of Cook County Sherriff’s video camera and recording system; and providing automatic train control, trucks and propulsion for 846 new rail cars at the Chicago Transit Authority. National Experience in Streetlight Conversions. Siemens has completed more than 162,000 LED streetlight conversions in more than 86 municipalities across the US. We have extensive experience in selecting appropriate fixtures for a multitude of lighting applications and environments – from working in densely populated cities, to interstate highways, and in suburbs. Innovative and Flexible Project Delivery. Our in-house ability to function simultaneously as a global technology integrator, licensed electrical contractor, and energy services company means that Siemens can be more flexible in collaborating with the City to achieve success. For example, to reduce costs, Siemens could coordinate with Chicago Department of Transportation (CDOT) crews that already are out in the field to: handle retrofits while repairing outages; become trained in installation and maintenance of fixtures; and perform future installations. 311 and 911 Integration. Siemens’ in-house technical staff will develop a seamless 311/911 integration to bring all the data collected and generated by this project into a common asset management database that links to the City’s 311. This work will also integrate the CLMS with 311 so that the new system automatically generates work orders for follow up by CDOT crews reducing the duration of outages significantly. The optional 911 integration offers the possibility of a pre-arrival automatic increase to lighting levels via 911 dispatch of a public safety response (Police/Fire/Ambulance) to a particular area during nighttime hours.

Summary

By choosing Siemens, the City of Chicago will be engaging a world leader in Smart City technology and hiring the company that has the most experience globally in streetlight retrofit projects. The Siemens team will be backed by the resources of a 170-year-old corporation with $80 billion in annual revenue. Our expedited project schedule will save the City and additional $18M in energy costs. Chicago will receive the designation of a Siemens Center of Excellence building a platform today for future technologies. Siemens will far exceed the City’s requirements for participation by minority- and woman-owned businesses, and is making it a priority to hire Chicago residents who are veterans and ex-offenders. Siemens offers all of these things to Chicago at a very competitive price.

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Project Management & Implementation Plan

The Proposer should describe its approach to the comprehensive implementation of the entire project as well as specifically for each of the three major elements outlined in Section 4.3.6.2 and further detailed in this RFP. The Proposer should use this narrative response as an opportunity to convey its understanding of the City’s specific requirements and how its proposed plan meets the City’s needs.

When combined with Siemens’ experience in streetlight conversions, the inclusion of web-based project status tracking technology, and our in-house project management resources, the nature of this project is such that Chicago-based M/WBE firms are well-positioned to perform the majority of the construction work. Unlike a large vertical construction project such as a building, LED streetlight conversion work does not require a series of dependent activities that must be completed in exact sequence (e.g., excavation, foundation, frame, roof, rough plumbing, rough electrical, etc) to ensure the project remains on schedule.

Rather, this LED fixture conversion requires the successful coordination of 35-40 crews completing independent activities as 4 teams of 8-10 crews, each accountable for their individual daily productivity as measured in lights installed per day. As a result, this initiative affords the City the unique opportunity to utilize a group of small M/WBE local businesses in a way that most large public infrastructure projects cannot. The nature of the work and an effective management plan is why Siemens can complete this project ahead of schedule using nearly 50% participation of exclusively Chicago-based M/WBE firms.

For clarification on terminology going forward:

“Implementation”= the full scope of work beginning at contract execution to project acceptance of the final work order by the City. In this response, we have assumed an implementation schedule of 30 months. “Scope development”= the work completed between contract execution and the first day of fixture installation. This includes the translation of Phase 1 atlas pages as designated by the City to final quantities of fixtures by lighting context. It also includes the ordering of fixtures, the lead time required to receive the first shipment, the set up of warehouses, and the on-boarding/training of all electricians. Finally, scope development includes the scoping and partial completion of the condition assessment task. Scope development for future phases of work will occur in parallel to implementation to ensure there is no delay for the installations to transition from Phase 1 to Phase 2 to Phase 3, and so on. In this response, we have assumed a scope development period of 6 months. “Installation”= refers to the scope of work beginning on the first day of fixture installation to project acceptance of the final work order by the City. On “Day 1” we anticipate the majority of Siemens and our subcontractor installers will be “on the street.” In this response, we have assumed an installation period of 24 months.

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Implementation (30 months) = Scope development (6 months) + Installation (24 months)

To describe the implementation of the LED fixture conversions, we present a plan that confirms and demonstrates that the Siemens team can complete this project on an expedited 30 month schedule. Please note that we have replaced the RFP terminology of “Project Year 1” with “Phase 1” etc. since we are proposing to complete each Phase in less than 1 year. Phase 1 corresponds to the 92,475 fixtures listed on Form 5 of the RFP. Within a phase, multiple work orders may be issued, such as one for the LED conversions and one for the infrastructure repairs. The scope of future phases is to be determined by the City.

Implementation Overview

Siemens Project Management and Implementation Plan (PMIP) is organized according to the three central elements of activity as defined by the City: 1) LED Fixture Conversion, 2) Targeted Infrastructure Stabilization Repairs, and 3) Lighting Management System. Our PMIP is illustrated with a timeline graphic following this section. The highlights of our implementation approach by each activity include:

1) LED Fixture Conversion

Siemens will complete the LED conversions in 30 months using 35-40 teams of installers, consisting of Siemens-hired Local 9 electricians and crews from City Lights (MBE), Horizon (WBE) and Quantum Crossings (MBE) each selected via Siemens’ competitive sub-bid process and review of capabilities and CDOT project experience. We will establish a simple and straightforward project metric to convert an average of 12,500 fixtures per month to allow all interested parties (Siemens, the City, and general public) to monitor project progress against schedule. We will track project status both internally and externally using CDM Smith’s web-based GIS application that has been specifically customized for streetlight conversions over the course of 12 large scale conversions completed by Siemens and CDM Smith since 2014. Siemens will secure commitments from our fixture manufacturers (Phase 1=Leotek, King Luminaire, NewStar) to ensure that the project’s supply chain flowing through our local distributor partners (PDC and Evergreen) is provides fixtures in a rate that syncs with our installation progress. We will stage construction activities from 3 City warehouses for the storage of LED fixtures, recycling/trash, and associated equipment: 1 located in Chicago’s North side, 1 located on the South side, and a central location (A Safe Haven facility) to serve the West/Downtown work areas for all Phases. We will use a local workforce development non-profit organization, A Safe Haven, to staff our fixture disassembly team for the recycling effort and EverLights for material hauling/disposal.

The scope development stage will include the following activities:

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Receipt from the city of the atlas pages that correspond to each of the four anticipated work areas; Installation of pilot fixtures as required by the RFP; Translation by Siemens from the City-selected atlas pages to LED fixture quantities (i.e., assigning lighting contexts to each fixture); Final approval submittals for CDOT/CIT sign-off prior to Phase 1 fixture/CLMS order; The signing of 3 warehouse leases and outfitting as necessary prior to initial shipment arrivals; Procurement and delivery of bucket trucks and the outfitting of all trucks with safety equipment and hand tools; The on-boarding and training of employees by both Siemens and our subcontractors; Procurement and delivery of fixtures via PDC and Evergreen; Kick-off meetings with ComEd to confirm the frequency and format of inventory adjustment submittals; The development of all public relations/communication plans going to forward to disseminate the positive environmental and financial benefits of the project, including a plan of how information will be shared in areas selected for Phase 1; and Periodic meetings with the City as required to finalize the scope of work and prepare for installation “Day 1.”

Note: Details about the Asset Condition Assessment Task are found in Section 3.

Siemens’ implementation plan to conduct the LED fixture conversion includes the following considerations:

Strategic locations for staging areas based on anticipated sequence of work: The City of Chicago covers 234 square miles with 4 anticipated geographically-defined work areas. The sheer area and street transportation network of the City requires careful planning to synchronize the flow of materials, bucket trucks, and electricians to execute the project in the distributed sequence that the City designates. Phase 1 work areas are expected to include each of the 4 major areas of the City: Downtown, South Side, West Side, and North Side and we’ve proposed 3 warehouse (construction staging areas) locations as a result.

As stated in the RFP, selected atlas pages (at least 10 contiguous pages) are expected to be chosen by the City in each of the above 4 areas. For the purposes of this PMIP, we assume that each of the four areas will have approximately equal amounts of fixture retrofits in Phase 1. However, team sizes can be shifted between areas as the respective workloads in each area require.

CDOT Permitting and Work Activity Coordination. Siemens anticipates that CDOT will allow permitting according to multiple atlas pages where conversions are ongoing with special attention paid to work hours and lane closures on arterial streets and downtown. By using our GIS tool, we can convert each atlas page selected for Phase 1 into a list of streets with corresponding address ranges as needed for the permit. We anticipate a nighttime work restriction for LED conversions located within the Central Business District.

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We will work with CDOT to closely coordinate construction activities with special events and planned road construction to minimize traffic disruptions or and/or conflicts with any public or private sector projects of concern. Our General Foremen will serve as the primary liaisons between the field crews and CDOT for permitting purposes and daily coordination of work activities with CDOT’s designated representatives. This protocol shall also apply to the infrastructure repair work described in the following subsection.

LED Conversion Participating Companies: In addition to Siemens installers, our LED conversions will be performed by the following subcontractors with extensive CDOT/streetlight installation experience:

City Lights (MBE) Horizon Electric (WBE) Quantum Crossings (MBE)

Siemens plans to allocate this work to the above subcontractors based on the final quantities established for each work item, respective pricing received from each subcontractor, available resources, and logistics. We solicited bids from City of Chicago-based electrical subcontractors only. The assignment of subcontractor crews and Siemens crews to each warehouse and work area described above is yet to be determined based on the quantities and locations of the various fixture types to be converted in Phase 1. Additional information on LED conversion subcontractors is provided in the “Team Structure” Section.

LED Conversion Work Crews: Each of the four work areas, hereafter “Downtown, South, West, and North,” will have 8-10 crews assigned per area. A streetlight conversion crew consists of 2 persons: 1) a journeyman electrician that performs all ground and aerial electrical work and 2) an apprentice/helper/”ground man” that assists with setting/removal of cones, handing up tools and fixtures/control nodes, and the recording of installation information in a tablet computer. Most of this work will be conducted without street or lane closures, meaning the street is being actively used by the general public while the conversions occur. The groundman also monitors the work area to ensure that perhaps unsuspecting pedestrians, bicyclists, and drivers are sufficiently warned of the work area in advance, allowing them to safely avoid it. When Foremen, Warehouse Managers, and Project Management staff are included, each of the 4 work areas has 20-24 employees each for a total of ~80-90 team members actively engaged in the LED conversion effort each day.

Warehouses: Based on Chicago’s north-south layout and transportation network described above, Siemens believes that 3 warehouses is optimal to reduce our crews’ daily travel time between where they acquire the fixtures and the job sites. Each of the four work areas will be supported by 3 dedicated warehouse facilities located within City limits in the following areas:

Warehouse # 1- Downtown/West Side: Approximately 5,000 square feet to be used for the temporary storage of LED fixtures and removed fixtures. This will also be the location where fixture disassembly occurs using our partner, A Safe Haven, therefore, the need for slightly more square feet of space. Fixtures from the North and South side work areas

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will be transported to this location for disassembly into various waste and recycling streams. Warehouse # 2- South Side: Approximately 3,000 to 5,000 square feet to be used for the temporary storage of LED fixtures, removed fixtures, and the parking of bucket trucks during nights/weekends as needed. Warehouse # 3- North Side Warehouse: Approximately 3,000 to 5,000 square feet to be used for the temporary storage of LED fixtures, removed fixtures, and the parking of bucket trucks during nights/weekends as needed.

To see project team members and warehouse locations on a map, please see the graphic in the next section.

Each of the 3 Siemens warehouses will have the following facilities: o Ability to accommodate the simultaneous loading and unloading of at least 4-5

bucket trucks; o Secure outdoor parking for bucket trucks during periods when work is not

occurring; o Lighting, security, and plowing as required; o Bathroom facilities; o Loading docks accessible by 53’ tractor trailers for fixture delivery and recycling

pickups; and o Secure outdoor space for open top roll-off trash and recyclable containers as

required.

Siemens’ proposed Downtown/West Side Warehouse is located at 2501 W. Taylor Street in Chicago’s Near West Side neighborhood and will serve as the staging area for approximately 50% of the LED conversions and 100% of the project’s fixture recycling effort. Our Siemens team has inspected the facility and received a quote to rent available warehouse space from A Safe Haven Foundation, whose headquarters is immediately adjacent at 2750 W. Roosevelt Rd. This warehouse can effectively serve two work areas based on its larger size, available loading docks, and the fact that a portion of the Downtown work (Central Business District) is anticipated to be completed between the hours of 10:00PM and 6:00AM, which will reduce the overlap with crews working in the West Side area primarily during daytime hours.

Either way, schedules of West/Downtown crews can be adjusted to ensure that loading dock access is not an issue. This location is both centralized for the West Side work areas and is convenient to I-290 for quick access to/from the Downtown work areas. Finally, this location has historically served as a nighttime staging area for A Safe Haven’s plowing and landscaping crews so we do not anticipate noise complaints from area residences should night work be staged from there.

The “Morning” Routine. Work crews will begin each day at each of the 3 warehouses by receiving their instructions from the Foreman regarding the day’s proposed work areas and the quantity and type of LED fixtures which need to be loaded on each truck. The crew will

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load the corresponding LED fixtures onto the truck, which was emptied of all removed HPS fixtures at the end of the previous work day. The GPS-enabled computer tablets assigned to each crew can be used for navigation, if necessary, in order to guide the crew to their first installation location in the most efficient manner based on traffic conditions. The Work Day. In some areas such as main streets, 2 to 3 crews would “leap frog” each other to minimize the impacts to the traveling public, each performing an LED conversion then moving to the “front of the line.” This plan may also be used in sections of the City where worker safety is a concern, especially during summer months. In other areas such as alleys, crews may temporarily close a one-block area and then 1 or more crews would exchange fixtures from one end to the other. In some low-traffic residential areas, single crews may work independently of each other. In each case, the crews will set up the appropriate work zone, complete the conversion, record all relevant data on the tablet computer, restore the area to its pre-conversion state by removing signs or cones, and move to the next fixture. Daily Crew Productivity Assumptions: Again following the assumption that Phase 1 consists of 92,475 fixtures spread approximately evenly into 4 distinct geographic work areas, results in approximately 23,000 fixtures per work area. According to the Phase 1 quantities, 86.5% of the LED fixtures are cobrahead types. Depending on many variables including the lighting context/fixture type, travel distance to/from work sites, weather conditions, etc., we anticipate that each crew will install an average of 15-18 LED fixtures per day.

In other words, some days will be more productive and others less, but the overall average will fall in the 15-18 fixtures per day range. This is based on Siemens’ similar LED streetlight conversions in US northern urban areas (i.e., places with winter weather), and takes into account unforeseen circumstances that could impact project schedule. Using a value at the low end of this range to be conservative, 15 fixtures per day, translates to 75 fixtures per crew per 5-day work week. With 40 crews assigned city-wide, that translates to 3,000 fixtures per week. Our proposed productivity rate of approximately 13,000 converted fixtures per month is more than double the City’s specified minimum of 6,250 converted fixtures per month (75,000 per project year in RFP Section 4.3.6.3). Siemens would maintain the flexibility to add more installation crews as necessary if the monthly productivity rate is below target. Siemens has a team and a work plan with sufficient contingencies in place that will make an expedited construction schedule a reality.

The “Evening” Routine: It is anticipated that crews completing cobrahead fixture conversions will not need to generally return to the warehouse during the day as there is sufficient storage space for the old/new fixtures on the truck. This will not be the case for crews installing the larger non-cobrahead fixture types who may need to return once at midday. At the end of each work day, crews will return to the warehouse and unload the removed fixtures. For the north/south side warehouse, the old fixtures will be placed in a tractor trailer with palletized containers (supplied by EverLights) for transport to the

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West/Downtown warehouse for disassembly by A Safe Haven crews. Once the bucket truck is empty, the crew will depart the warehouse site, completing their work day. Our recycling partner, Everlights, will manage the pick-up and hauling of various waste materials to their respective destinations: lamps, ballasts, recyclable metal, cardboard, trash, etc.

LED Conversion Engineering and Technical Support. Siemens’ Energy Engineers will monitor the transfer of inventory changes from the City to ComEd on either a weekly or monthly basis, depending on the stated preference. Our team will meet with ComEd at the project kick-off stage to confirm the work flows/data formats required to ensure this process allows the City to receive its inventory adjustments as soon as possible following the conversions. We can also review ComEd monthly invoices to ensure on the City’s behalf that the proper inventory adjustments have been made. As the City’s technical advocate in this regard, we will carefully document all inventory adjustment submittals should there be any question about the resulting ComEd billing adjustments.

The City’s detailed lighting specifications, the requirement of a retrofit project to use existing poles and mounting heights, and the City’s ability to adjust lumen output via the CLMS should minimize the amount of post-installation photometric analyses required. Where special cases exist, in our experience generally <5% of the inventory, our engineers will work with the City and our fixture manufacturers to determine what adjustments to the new LED lighting fixtures may be required in the rare occasions where further analysis is justified. We have worked with customers in the past to develop standards for the installations of lighting shields where needed to reduce light trespass on to private property.

2) Targeted Infrastructure Stabilization Repairs

Those activities primarily associated with targeted, directed, pole and wiring replacements and/or repairs to the existing outdoor lighting infrastructure.

The scope of the condition assessment and the methods by which it generates a prioritized capital improvement plan and detailed later in Section 3. We assume here that a scope for repair work has been generated for the corresponding phase and, therefore, this section focuses on the implementation of the stabilization work. We propose that the target infrastructure stabilization repairs (the “repairs” hereafter) will be performed by the following subcontractors with extensive CDOT experience:

City Lights (MBE)- electrical work Quantum Crossings (MBE)- electrical work New Era Painting (MBE)- pole painting only

Siemens plans to allocate this work to the above subcontractors based on the final quantities established for each work item, respective pricing received from each subcontractor, available resources, and logistics. We solicited bids from City of Chicago-based electrical subcontractors only. Additional information on these firms is provided in the “Team Structure” Section. Our project budget currently proposes a 100% allocation of the repair work to these

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three firms. This work will be staged (e.g., where corresponding equipment, new and removed materials are stored) from each of the above subcontractor’s facilities and will function as an independent operation using crews not participating in the LED conversions. Siemens has proposed this plan to ensure that the repairs scope of work has no adverse impact on the LED conversion (and vice versa) by virtue of the fact that separate crews and staging areas are utilized.

We would anticipate that the repair work would be generally be conducted most efficiently by a crew that is equipped to perform a particular type of repair for that given day, which comprises 5 categories of work as follows:

Removal and installation of aerial cable or alley feeder wire and fusing (Form 6 Items 1-5, 9); Removal and installation of streetlight poles (Form 6 Items 6-7); Installation of plastic pole doors (Form 6 Item 8); Pole painting (Form 6 Items 10-17); and Viaduct underpass conduit/wire replacement (Form 6 Items 18-19).

Siemens will track, manage, and report repair work in much the same way as the LED conversion using our web-based tool that will relay real-time status information about locations completed and those planned for completion for the various types of work. Our web-based tool will allow each crew to see exactly where the work is located by the type of repair needed. All repair work will be documented in our GIS database for billing purposes and integrated into the City’s 311 system for future asset management purposes.

Web-based dashboards will be customized by CDM Smith to allow the City to monitor specific aspects of the work via our GIS tool, say for example all poles painted in the last month. These data can be viewed in either dashboard, table, or map formats, depending on user preference. In all cases, the functionality of the fixture would be verified before the crews leave the area, and all construction debris cleaned up.

Infrastructure Repairs Engineering and Technical Support. As all work is above ground and all fixtures use 50% or less electricity than existing HPS/MH fixtures, the need for technical support for this work activity is expected to be minimal. Between Siemens and our subcontractor partners, we have the technical team members available should there be minor amounts of engineering support required.

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3) Lighting Management System

Those activities primarily associated with the design, installation, startup, commissioning, operation, and maintenance of a networked lighting management system that enables, at a minimum, remote monitoring and control of outdoor lighting.

The following 8 subsections describe the CLMS implementation steps (party responsible):

1. Field Network Design (Silver Spring)

Silver Spring will provide a network design specifying the placement of all network devices in order to ensure reliable and robust operation of all desired meter locations. The network design phase consists of several steps to finalize the design across the City.

The Initial Field Network Design is based off of the number and density of endpoints, mounting asset (pole) locations, as well as the characteristics of the Silver Spring mesh network solution. Silver Spring has completed the initial network design for Chicago which indicates approximately 50 access points for complete city coverage.

Siemens will then perform a site survey of each proposed network locations to ensure that the locations are viable. Siemens will also locate and propose to the customer alternate location if the original locations are not viable. These sites can be optimized to tie in to City of Chicago fiber to minimize the backhaul expense and optimize network performance. The output of these activities is an Enhanced Field Network Design. The enhanced design will determine the location of Access Points taking into consideration asset locations, network performance requirements, RF signal propagation, physical topography, deployment strategies and network device site restrictions and preferences. A Final Field Network Design will be provided after the network and streetlights in a contiguous area have been fully deployed and the area has been optimized by Siemens and Silver Spring field support staff.

2. Field Network Deployment Support (Silver Spring)

The main function of the field network deployment support task is to prepare and assist the city with the deployment of the APs and streetlights/photocells. Regardless of who is responsible for the physical installation of the equipment, Silver Spring will provide the following field deployment support in order to meet the deployment needs of the Customer:

Field Deployment Support Description

Training

Provide training to installation technicians, field personnel and contractors outlining the specific aspects of installing Silver Spring equipment. This training will be completed within a two-day time period.

Audit Provide a field audit of the installations of a sample of the early network and luminaire/photocell installations. Provide feedback and guidance to installation technicians to rectify observed

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Field Deployment Support Description

installation problems or issues.

Equipment Provisioning and Validation

Provide services to load (or train customers to load) device and location files into the application and ensure devices are registering correctly in the system.

Troubleshooting Assistance

Provide training for City of Chicago personnel on troubleshooting procedures for network devices and photocells/luminaires. This training will be completed within a two-day time period.

Work order management Provide guidance to the City of Chicago on their work order management system used to track installation activities and asset management data, including longitude/latitude GPS coordinates.

3. Field Network Installation (Silver Spring + Siemens)

Silver Spring will provide onsite training on how to install the limited number of network devices to provide coverage across the City. Siemens will install the devices to Silver Spring’s specifications. Typically, Access Point installations can be completed in just a few days. Given the “hang and run” design of the Access Point, there is minimal site improvements required beyond proper placement and installation of the mounting bracket, antenna and power cables. Beyond the external antennas, the Access Points do not contain Field Replaceable Units, such that faulty Access Points should be replaced with another Access Point.

The Access Point will have been manufactured with the necessary configuration parameters set such that upon power on the device will automatically connect (over the cellular WAN) to the Silver Spring Networks data center. Once connected, the Silver Spring Networks NOC will complete the commissioning by performing a system validation step that confirms the aforementioned configuration parameters and activates the Access Point to participate in the mesh network providing connectivity to the endpoints. Experienced Siemens staff will provide project management, training and troubleshooting support to ensure the network is installed, including:

Procurement and contracting of network installer(s) Project management of the network deployment Working with Silver Spring to coordinate the Silver Spring Access Point installation training Installing the APs as defined by the Enhanced Field Network Design Making any Moves/Adds/Changes required during the network optimization phase.

4. Endpoint Installation (Siemens Responsibility)

Silver Spring will provide onsite training on the field commissioning process associated with the control node integrated with the streetlight fixture. Silver Spring has included in our proposal a

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trial copy of the Inventory.Vision mobile app used for field commissioning. This app enables the installer to scan the bar code on a few components (i.e. photocell, fixture) and can upload this information directly to the StreetLight.Vision CMS server. This solution a) reduces the amount of time to perform the installation (on average, 20 fixtures per day or 70 photocells per day) and b) increases the accuracy of the asset management data collected since it eliminates the human error component. Once the devices have been uploaded into the StreetLight.Vision CMS server, there are a number of inventory reports that can be leveraged to view device settings and attributes. Siemens staff will provide project management, training and troubleshooting support to ensure the endpoints are installed, including:

Procurement and contracting of endpoint installers Project management of the endpoint deployment Coordination of Silver Spring delivered training for the endpoint installation contractor on installation of integrated endpoints (and optionally the field commissioning tools) Troubleshooting of installed endpoints and responsibility for correcting any installation errors during the deployment

5. Field Network Optimization (Silver Spring + Siemens)

Network Optimization is the final step of the network deployment for a geographical area or the entire field deployment. The purpose of the optimization is to ensure reliable and robust operation of the network. This analysis step may require the relocation of APs or possible placement of additional equipment in certain areas to improve performance. Often, the network will work without much supplemental tuning; however, this phase produces a network well suited to face adverse scenarios, such as a cellular carrier failure, while capable of high level performance under normal conditions.

During Network Optimization, Silver Spring will analyze endpoint parameters such as unreachable devices, hop count, number of re-queues, and AP loading and AP utilization. Any APs that might need to be added or moved will undergo a more thorough site analysis and testing to maximize placement and performance. The network optimization consists of both passive checks to determine the performance of the system as deployed as well as active tests that will test the performance of the network during adverse events such as outages. The network optimization phase is the final stage in deploying the field network and is vital to developing a reliable, robust network as well as documenting a baseline performance that can be used to predict trends and re-optimize the network as the solution footprint changes.

6. Streetlight.Vision Application Deployment (Silver Spring)

Siemens and Silver Spring will work with the City of Chicago to plan all aspects of the software installation including the number and type of software application environments, backhaul network planning, security planning, remote access, storage and backup. Depending on deployment option chosen, Silver Spring or the City will be responsible for the various aspects of the deployment. Silver Spring will provide professional services resources to assist Siemens’ IT

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staff with the deployment of the Streetlight.Vision application. Regardless of the hosting option selected for Streetlight.Vision application, Silver Spring will deploy a TALQ-ready interface. This software enables communications from the Streetlight.Vision application to the streetlight endpoints.

7. Application Integration and Configuration Assistance (Siemens and City responsibility)

Streetlight.Vision has a range of easy to integrate APIs for asset management. As an option, Silver Spring could work with the customer to assess the need for specific configuration and back office integration. In that case, Silver Spring would first examine the existing environment, systems, and capabilities against business and functional requirements. Silver Spring resources would work with the City to develop business requirements including initial data gathering, validating scope, and assessing capabilities. Silver Spring would then develop an Application High Level Design document. The High Level Design identifies the major systems in scope, system interaction diagrams, integration use cases, and any project assumptions. After review, Silver Spring will develop a detailed design focused on detailed data mapping, timing of data flows, and dependencies on system activity. Failure modes are identified and exception processing is designed and documented for both automated and manual process handling.

Silver Spring could configure the Application to meet the business requirements and work with the customer and/or 3rd party system integrators to plan and build out requirements for the integration. Even if Chicago chooses to engage Silver Spring for integration support, Silver Spring will not perform the actual system integration on customer owned back office systems. Silver Spring will instead act as an application expert in defining data flows, formats as well as configuring the system. Finally, Silver Spring could work with the customer and/or 3rd party integrators to test and troubleshoot the customer environment. Silver Spring has included support for integration between the Streetlight.Vision application and the Silver Spring CMS-to-OLN adapter described above.

8. Systems Training (Silver Spring + Siemens)

Silver Spring will provide a comprehensive training program to all executives, system users, system and network administrators that will interact with the System. This will include an in-depth review of all the features and functionalities in the Streetlight.Vision software and field commissioning tools, as well as an overview of the Silver Spring network technology platform. The training is set up in a number of modules that are relevant to different groups within the City of Chicago. Training will be delivered in a live instructor led session onsite at a Chicago facility. Training will be scheduled at a mutually agreed time that aligns closely with when the students will be able to take advantage of the new information. Our experience has shown that training too early results in a lack of engagement given the student won’t be able to use the new tools until sometime in the future. Similarly, training which is delivered too late results in frustrations trying to figure things out with no foundational knowledge to work from. Certain training can be delivered as a set of web training sessions given at flexible times throughout the deployment. The formal training classes use standard (generic) materials and systems, which

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ensure consistency to the program. Subsequent training can be provided to Chicago on the system as deployed in the city.

Additional or repeat training courses can be purchased as an option as well. Customers often find custom or repeat modules are useful when new personnel or new functionality is added. Silver Spring will work with the City of Chicago to ensure the correct level of training support is available to ensure the ability to manage the solution and enable business users’ ability to capture value.

Project Management and Implementation Plan – Phase 1

TargetedInfrastructure

Stabilization Repairs

LED FixtureConversion

LightingManagement

SystemPre Implementation

ConditionAssessment

Review ofAssessment

Data

Notice toProceed

LEDConversion

StabilizationPriority

InfrastructureStabilization

CompleteStabilization

Complete LEDConversion

Install CentralManagement

System

Complete LMSInstallation

Train City onLMS

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Team Structure

We begin this section by a summary listing of the local Chicago firms represented on the Siemens team, their anticipated project role, business address, and person designated as single point of contact. Additional descriptive information will follow this summary. Please see our team organizational chart as we briefly describe each team member individually in the text below.

Prime Contractor

Siemens Industry Inc. 20 South Clark Street, Suite 2210 Chicago, IL 60603 Firm Contact: Judy Martinez (3.5 years with Siemens) Supporting Team Members

Jasculca Terman Strategic Communications (Public Relations and Communication)730 N. Franklin Street, Suite 510 Chicago, Illinois 60654 Firm Contact: Jessica Thunberg

A Safe Haven Foundation (Recycling Ex-Offender Job Training) 2750 W Roosevelt Rd Chicago, IL 60608 Firm Contact: Sheri Gibson

CDM Smith (GIS, Web-Based Project Tracking) 125 S Wacker Dr # 600 Chicago, IL 60606 Firm Contact: Troy Thielen

Arcadis (Project Management- Budget, Cost Control, & Schedule) 120 S. LaSalle, Suite 1350 Chicago, IL 60603 Firm Contact: Jack Hartman

IBEW Local 9 Union Hall 4415 West Harrison Street, Suite 330 Hillside, IL 60162 Office contact: William Niesman, Assistant Business Manager

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MBE/WBE Certified Team Members

LED Conversion-Installation and Stabilization City Lights 936 West 40th Street Chicago, IL 60609 Firm Contact: John Candelaria Certification Type: MBE

M/WBE Compliance Sandi Llano & Associates 460 Eagle Drive, Suite 202 Elk Grove Village, Illinois, 60007 Firm Contact: Sandi Llano Certification Type: WBE

LED Conversion Installation Horizon Contractors 712 West Root Street Chicago, IL 60609 Firm Contact: Tina Chung Certification Type: WBE

LED Conversion - Distributor Evergreen Supply Company 8402 W. 183rd Street Tinley Park, IL 60487 Firm Contact: Colleen Kramer Certification Type: WBE

LED Conversion and/or Stabilization Quantum Crossings 111 East Wacker, Suite 990 Chicago, IL 60601 Firm Contact: Roger Martinez Certification Type: MBE

Recycling EverLights 8027 Lawndale Avenue Skokie, IL 60076 Firm Contact: Kelly Gallagher Certification Type: MBE/WBE

LED Conversion - Assessment Spaan Tech 311 South Wacker Drive, Suite 2400 Chicago, IL 60606 Firm Contact: Smita Shah Certification Type: WBE

LED Conversion - Distributor Product Distribution Companies 9511 S. Dorchester Ave Chicago, IL 60628 Firm Contact: Cleo Downs Certification Type: MBE

Targeted Infrastructure Stabilization Repairs New Era Painting 3029 W. 41st Place Chicago, IL 60632 Firm Contact: Thomas Blainey

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Siemens Chicago Team Places of Business (Blue)

Siemens Smart Lighting Project Proposed Warehouse Locations (Green)

A major feature of our team structure is that all team members’ primary places of business are within City limits or within just a few miles outside the City at the farthest. Simply put, all efforts were made by Siemens to give priority to Chicago-based businesses (via competitive price and quals-based bids) in the selection of our team members and in the same will done for the hiring of our project staff.

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Siemens Industry, Inc, Intelligent Traffic Systems (Siemens ITS) – Prime Contractor: The Siemens ITS Energy Services team is a dedicated organization within Siemens whose primary business is to work exclusively with local agencies to assist in the development of LED street light

conversion projects. To date, the Siemens ITS Energy Services team has completed over $60 million in street light conversion projects within the US, and has world-wide expertise. Siemens ITS will lead the project for the duration of the contract, and provide project management, installation crews, bucket trucks, tools, and the warehouse facilities

necessary to complete the job. Siemens ITS will also manage product procurement and provide logistical support for the delivery of the luminaires and network controls. In addition, dedicated members of our team will provide any utility bill reconciliation activity, and material and personnel support for warranty services.

Our efforts will be directed by a local, dedicated Siemens Project Manager, who will be responsible for all the logistics of the field installation, and include managing the field supervisor and installation team, safety and traffic control, material and staffing resources, and project schedule. The Project Manager will be the City’s primary point of contact for all project communication and will delegate responsibilities to the Team as necessary. After project completion, Siemens will retain full-time staff to support warranty services for the installed street lights.

Siemens will accomplish this by use of our PM@Siemens program, a globally recognized process methodology which is comprised of project phases, process steps, milestones and quality gates. The PM@Siemens program has resulted in Siemens being the first corporation ever to receive APM1 accreditation, as well as receiving PMI recognition. Recognition by these two bodies establishes Siemens as a corporation having world-class project management methodology – currently there are only 65 accredited companies world-wide.

Siemens is the only Energy Services Company (ESCO) that has self-performed conversions, giving us particular insight as to the nature of the work, and full control over the work schedule, staff, and resources assigned to your project.

As an added measure to ensure project schedule adherence, and to promote local participation and workforce development for warranty transition, Siemens has assembled a strong team of local firms. The respective firms and their project responsibilities follow.

1 Association for Project Management (APM) is the professional certification body and project management association in the UK.

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Jasculca Terman Strategic Communications (Public Relations & Communications)

For more than 35 years, JT has been Chicago’s pre-eminent independently owned public affairs firm. The development and management of public information and awareness campaigns is fundamental to what they do. For the Chicago-based company, Public Affairs is not just a division of the company – it is what they do, day in and day out. They look at each project with an issues- oriented, policy-driven approach, and focus our efforts on developing and implementing high impact strategies, as well as the tools and tactics to shape attitudes, perceptions and behaviors.

Jasculca Terman’s work spans a myriad of industries and issues – environment, energy, transportation, land-use, and infrastructure, economic and workforce development, education, health care and others. They have worked on issues and public awareness campaigns for local governments, state and federal agencies, private investors and developers, business associations, organized labor and others.

A Safe Haven Foundation (Recycling Ex-Offender Job Training)

For 22 years, ASHF has been providing housing, mental health, education, and workforce development services to formerly justice-involved individuals in Chicago at 2501 W. Taylor. ASHF believes that in order to effectively reintegrate formerly incarcerated individuals back into society, they must be provided with comprehensive services and ongoing access to support. Poverty has long been associated with pathways to criminality. Thus, through its network of integrated services, ASHF aims to tackle the myriad of issues that perpetuate poverty in order to reduce incentives to reoffend, thereby helping individuals of all backgrounds move on a path to sustainable independence.

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CDM Smith – Field Audit and GIS Database: Siemens has chosen engineering firm CDM Smith as our subcontractor for the field audit portion of this project. Siemens and CDM Smith have worked together over the past four years on many street light conversion projects, with marquee projects for the City of New Bedford, MA and the City of Manchester, NH. Siemens and CDM Smith have a proven track record of working well together supporting the goals of the communities they have served.

CDM Smith has grown from a New England-based firm to become a global Engineering News-Record (ENR) top 100 design-build firm, generating more than $1 billion in annual revenues. It has the resources required to meet any need that arises during the life of a project. As a full-service engineering and construction firm, CDM delivers exceptional client service, quality results and enduring value across the entire project lifecycle. Founded in 1947 as a three-person firm, the company has grown and diversified into a multidisciplinary staff of 5,000 in over 125 offices worldwide,

CDM Smith has developed a customized, cloud-based ArcGIS online (AGO) program that gives accurate information of the city’s current street light system and fixtures, and is updated in real time by field personnel during auditing and conversion work.

CDM Smith will conduct the field audit of the entire street lighting system, and will identify and work with local partners on any field audit/inventory work. Included in the audit will be a pole-by-pole evaluation of the street light assets identified in the City. They will also provide the GIS data collection services providing a web based database and mapping tool ensuring an accurate and current representation of the street light system. This will include the following street light system attributes:

GPS coordinates Foundation type Pole number/missing pole tags Asset Inspection/condition assessment Fixture wattage LED Installation date Fixture type Tree obstruction Pole type Other maintenance issues

Arcadis (Project Management – Budget, Cost Control & Schedule)

Arcadis is the leading global Design & Consultancy firm for natural and built assets. Applying their deep Chicago market sector insights and collective design, consultancy, engineering, project and management services they will work in partnership with Siemens to deliver exceptional program management to the Chicago Streetlight Project. Arcadis has 27,000 employees in over 70 countries and generates €3.4 billion in revenue and they have an office in Chicago.

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IBEW Local 9 Union Hall (LED conversion and Infrastructure Repairs)

A major component of our local job-creating approach is the utilization of local union resources to provide the quantity and quality of skilled employees to complete the conversions and repairs. Siemens has a long history of completing large electrical construction contracts by partnering with IBEW subcontractors and the local IBEW union, including recent streetlight conversions around the US, and for this project we will do the same with Chicago’s IBEW Local 9. Through our recent conversations with Local 9, we understand that as of early January 2017 there are the following available employees, by classification:

67 journeymen 35 helpers 23 trainees

An estimated 2/3 of these individuals are City of Chicago residents so we believe that it is very feasible to achieve the resident participation goals for project labor. In addition to those individuals listed above, Local 9 can draw candidates from area IBEW partners, if needed. Local 9 is represented by Kevin Schuster, Local 9 Assistant Business Manager and has committed to assisting us with vetting potential employees, giving preference to hiring Chicago residents, establishing prerequisites such as “OSHA 30” training, and working to ensure a fit between employee qualifications/capabilities and their intended role/responsibility. We will work in parallel with our subcontractor partners who are expected to also tap Local 9 for the new employees they need for this project.

City Lights, Ltd (LED Conversion & Infrastructure Stabilization - MBE)

City Lights, Ltd. Is a certified M/WBE electrical company specializing in infrastructure, industrial and commercial electric work. Over the past 20 years, they have worked on some of the most important structures in the City of Chicago, such as the Chicago Skyway, Children’s Memorial Hospital, O’Hare International Airport and Chicago street lighting. Collectively, there team of managers, consultants and field personnel have over one hundred years of construction and general contracting experience.

Their work experience includes both underground and overhead installation of traffic signals, electrical duct banks, changeable message signs, closed circuit television systems, fiber optic installations, highway advisory radios, solar panels, and weather sensors; lighting for highways, airports, parking lots, commercial buildings and subdivisions.

Horizon Contractors (LED Conversion – WBE)

Since 1996, Horizon Contractors, a Chicago-based company, has been providing electrical services to Chicago. Horizon has worked with the Chicago Park District, Chicago Department of Transportation, and Chicago’s Bureau of Electricity.

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Quantum Crossings (LED Conversion and/or Infrastructure Stabilization - MBE)

Since 2001, Chicago-based Quantum Crossings has been delivering expertise in telecommunications and related technology. They work in electrical services, voice communications, wireless services, installation services, networked managed services, video solutions, and computer aided design. Quantum Crossings individually crafts solutions for top-level involvement, including the latest, most reliable technology available. Therefore you can achieve the results you're looking for today and be poised for greater growth in the future.

Spaan Tech (Condition Assessment - WBE)

SPAAN Tech, Inc. is a dynamic, multi-faceted engineering and construction management firm recognized for its expertise in public and private infrastructure. Clients look to the firm for design engineering and construction management, as well as IT services, facilities management, energy management and program management.

Smita Shah founded and has led SPAAN Tech, Inc. since its inception in 1998. A licensed, Professional Engineer in Illinois, Wisconsin, Indiana and multiple other states, she is also a LEED AP, accredited by the U.S. Green Building Council.

New Era Painting (Light Pole Painting – MBE)

Established in 2009, this Chicago-based company has been in business for 12 years. Their work history includes work at O’Hare Airport, CTA, City Colleges of Chicago, Chicago Public Schools. They are M/WBE certified.

Sandi Llano & Associates (M/WBE, Workforce Development and EEO Compliance – WBE)

Sandi Llano has 36 years of proven experience as an M/WBE, Workforce Development and Compliance Officer in Chicago and the State of Illinois. As Metra’s DBE Director for 26 years and as a M/W/DBE consultant for 6 years, Sandi has developed excellent working relationships in the minority/women business and workforce community and can oversee and execute the Siemens M/WBE, Workforce Development and EEO Plans.

Evergreen Supply Co (LED Fixture Distributor – WBE)

Founded more than 25 years ago and Chicago-based, Evergreen Supply Company is an Electrical Distributor which provides lighting and electrical supplies to contractors involved in Chicagoland’s largest commercial and industrial construction projects and to building owners and managers.

They operate out of a 22,000 square foot warehouse with over $2M in inventory, 40 employees and a commitment to delivering the quality, value and expertise that each project demands.

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Everlights (LED fixture Recycling – WBE)

Everlights is the only woman-owned business that offers full service, nationwide recycling. They are uniquely positioned to service national organizations with multiple locations by offering more physical recycling locations than any other recycler, with very stringent criteria for quality. Everlights has the highest standards in the recycling industry and sets its own standards for bulb disposal. As a pioneer in the field, they are committed to helping businesses understand why it is critical to properly dispose of fluorescent lighting and other toxic waste, and then provide access to a safe destination facility to process that waste.

Production Distribution Companies (Led Fixture Distributor – MBE)

PDC specializes in servicing Local Government, Municipalities, Rail, Utilities, Transportation, Education, and the Contractor Market. Cleo Downs, as President and CEO of PDC, has over 26 years of distribution experience in both the electrical and electronic markets. Mr. Downs has assembled a staff of experienced professionals and promising newcomers to cover existing markets. PDC provides superior customer service for local small businesses through the telemarketing department, and services their larger customers with personal field sales consultants. PDC continually demonstrates a commitment to service.

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Communication

Reporting of issues, scheduling, and deviation in work progress, materials or other situations all flow to the Siemens Senior Project Manager (PM) – the single point of accountability to the City. As illustrated in the organization chart, the PM will have several direct reports and the structure flows down to the warehouses, each with their own management structure led by a foreman/general foreman. Siemens Project Manager for this project will be Mr. Skip Shein. Skip has 20 years of experience in lighting and controls, holds a Masters Degree in Mechanical Engineering, and is a certified Project Management Professional (PMP) by the Project Management Institute. A Chicagoland resident, Skip will be based out of our 20 S. Clark Street office.

The first line of communication is between the Project Manager, the Deputy Project/Commercial Manager (DPM), and the Quality Manager in Project (QMiP). The PM will have ultimate responsibility to oversee the project and ensure it stays on schedule, in budget, and meets all City requirements and specifications. Arcadis will provide support to the DPM for this task. The DPM will assist the PM with the day-to-day management of the project, and will have responsibility to ensure any reporting, data presentation, status reviews, and other project needs are taken care of. The QMiP has the responsibility of ensuring all quality gates, measures, and milestones are met; any deviations will be reported to the PM, and corrective action taken.

A Field Supervisor will report to the PM, and will act as intermediary between the installation crews and the PM. The Field Supervisor will also be required to perform installations, adding to the overall productivity of the crews. The Field Supervisor will be responsible for coordinating scheduling of crews, instruction in installation and data input for each luminaire installed, and instruction of safety protocols for each of his or her assigned work crews. Information regarding personnel, equipment, materials deficiencies in the field, and overall performance status will be conveyed to the DPM daily.

The above lines of communication apply to each of the three central elements of activity, and will occur thorough the span of the installation portion of the project.

Several other firms and agencies will report to the PM. Starting with the development and condition assessment task, CDM Smith will provide updated GIS information via tablet device to the PM daily via web-based dashboards. This will be received in the GIS database provided by CDM Smith, and can be reviewed and reported on daily by the PM to the City. This database will also be used during the installation. Crews, using tablet devices as well, to record pertinent fixture, pole and luminaire information. During the audit phase, the primary reporting will be between CDM Smith and the PM. Spaan Tech, a WBE firm located in Chicago, will collect condition assessment data and will fall under the purview of the PM.

Also, either prior to, or at the outset of the project start, if the City decides to incorporate a 311/911 integration scope, the necessary infrastructure such as a lighting management system (CLMS) will be set up so that as each luminaire is installed, specific testing and confirmation between the fixture location and the Citywide Lighting Management System (CLMS) can be

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verified. Siemens recommends this as the most effective method to both verify functionality and provide for an immediate availability for any integrated systems.

Our recycling partners, A Safe Haven and Everlights, two of our Chicago based partners, will also report directly to the PM, and will provide information regarding the number of fixtures disassembled and shipped to the recycling center. They will also report on the amount of recyclable material reclaimed to date, which will include the number of ballasts, aggregate weight of any aluminum, copper or other recyclable metals, and a total of the monies realized from these efforts. They will also communicate with the APM and Field Supervisor for scheduling of any personnel to accommodate the influx of converted material.

Three other entities which will report directly to the PM are the following:

Jasculca Terman - Community Engagement. Jasculca Terman will provide public outreach with regards to current project status, planned service areas, and any other pertinent information the City deems necessary.

Sandi Llano - M/WBE Compliance officer. Ms. Llano will ensure M/WBE and local resident compliance goals are met and reported, and all filing of forms takes place in a timely manner.

Arcadis - APM for budgeting and Scheduling. In this role, Arcadis will ensure the appropriate scheduling of and City functions such as traffic control, road closures, etc, are arranged.

An organizational chart of the team follows this page.

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Approach to Project Phasing

Project Understanding and Approach

Siemens has carefully analyzed the requirements set forth the RFP, and has come up with a preliminary approach to this project for the City. Bear in mind this is preliminary; Siemens is very willing to revise any and all of these steps to meet the City’s goals and objectives. A more detailed timeline may be found in our preliminary project schedule, following the Schedule Milestones section.

This section is organized chronologically according to the anticipated phases of the project with a description of where various team members would have specific responsibilities.

The Siemens team will provide the City of Chicago with high quality LED conversion services meeting all City requirements. The Siemens team anticipates an implementation schedule of 30 months as opposed to the RFP schedule of 48 months. Siemens estimates this expedited schedule could result in $18 million in additional energy savings. This savings estimate is based on the information provided by the City in the RFQ phase of this project. In this section a brief description of the LED conversion process is outlined as well as a response to all scope items covered in Appendix A- Scope of Work.

Phase 1: Project Development

In order to ensure a successful street light conversion project, the initial scope development is of utmost importance. Siemens and our partners CDM Smith and Spaan Tech will conduct a city-wide condition assessment of the street light system, collecting and confirming a CDOT pre-approved set of attributes. This establishes an accurate inventory of the system, enables accurate LED system design , and integrates into our web-based project management platform.

The Siemens team offers the City an unparalleled approach to the most effective use of web-based GIS for streetlight infrastructure. Utilizing the ESRI2 platform, Siemens provides an exceptional audit and project management tool that enables accurate scope definition and collaboration with the City through web-based information sharing. The Siemens team‘s audit approach is recognized by the industry as being an innovative solution; our Senior Energy Engineer Richard O’Hearn presented this approach at the Street and Area Lighting Conference in 2015.

Siemens utilizes the GIS field data to provide added value to customers with our customized design approach. In addition to designing to meet City lighting configurations, Siemens assists our customers in determining the appropriate balance between lighting levels and energy savings which can provide additional energy savings and quality lighting service.

2 Environmental Systems Research Institute an international supplier of geographic information system (GIS) software.

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Siemens will also assist the City in public outreach and notification regarding the LED conversion. A sample of their services is provided below; more detail can be found in the Public Relations and Communications section.

A web-based community project tracking portal and FAQ on City hosted website Print notifications such as postcards, door hangers, newspaper advertisements and articles, and other forms of advertisement Email and social media updates

Siemens will provide additional media support to make this street light project a success. Press events could include ceremonial “First Light” installations, utility rebate check presentations, and project white papers. Our internal marketing team will collaborate with the City to publicize the successes of the project.

Contract Development

The contract development phase encompasses all activities that occur between the notice of award and signing of a contract. It is in this stage that the final scope of work is refined as necessary. Below is a summary of the activities that would occur during this phase:

Review of the City’s existing inventory and data. The City has indicated that a detailed audit of fixture and pole locations has occurred and that a GIS layer is available. The condition assessment data would be incorporated with the inventory via GIS. This may be already done by the City or may need to be done by the Siemens Team as determined by the City at a later date. The GIS database will form the basis for identifying exactly which fixtures are “retrofit ready” and which locations first need supporting infrastructure repairs (permanent or temporary) before a retrofit can occur.

Kick-off Meetings with Stakeholders. Stakeholders may include City staff, elected officials, non-profit organizations, and interested residents. The Siemens team would work with City staff to ensure residents receive an opportunity to provide feedback and ask questions. With CIT’s oversight and approval, a project web page could be publicized as well as an email newsletter and social media campaign and associated efforts planned with the assistance of Quercus Consulting.

Support City staff in the appropriations process. The Siemens team will prepare presentation and related technical materials, FAQ’s, etc, to help City staff present and explain the financial, environmental, and economic development benefits of the project.

Customizing template communications plan. Siemens will establish regular communications protocols with key staff members. Regularly scheduled calls, weekly reporting, or regularly scheduled in-person meetings will be established to provide all City and Siemens Team members with the opportunity to stay current on project developments and coordinate activities. The frequency and participants of these meetings will change as the project

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moves from one phase to the next, but the pattern of communicating regularly will be established at the outset of the project and continue to final close-out.

Finalize Project Management plan. In this step we will confirm the plan and schedule with City officials, and ensure any variables such as Holidays, sporting or public events, or specific work hour restrictions are taken into account

Finalize Quality Plan. We will review and confirm our quality plan with the City.

Fixture and lighting controls selection. Using the GIS inventory and condition assessment data to establish final quantities by fixture type and wattage, final selections of the fixture and controls manufacturer(s) will be completed based on the RFP submittals, as refined by any new developments and input from the City that occurs post-award.

ComEd coordination. All of the savings projections rely on an LED tariff structure that recognizes a directly proportional decrease in annual kilowatt hours or the use of the lighting management system to collect meter-grade energy usage information. The frequency and lag time of all ComEd billing adjustments (e.g., weekly, monthly) to reflect the conversions should be established at this stage, ensuring that the cost/benefit calculation is accurate. Also, the attachment of any non-lighting devices to an unmetered system may require a separate ComEd approval regarding payment for the associated energy use as well as technical review and approval by ComEd.

Rebate opportunities. At this stage, Siemens will be investigating any utility rebate options to ensure all available rebates are secured for the City.

Final Contract Negotiations. Once the above tasks are completed, there will be a final meeting with all involved contract managers, project managers and city officials to finalize the contract, and to ensure all parties understand and agree to the terms and conditions, scope of supply, and schedule of the contract.

Ramp-up and On-boarding

The on-boarding and ramp phase encompasses any finalization of vendor contracts, determination of final allotment of personnel and resources, and other activities to begin work on the project. Activities include:

Assessment Planning. Siemens will review and coordinate the scope of work apportioned to CDM Smith and Spaan Tech, and the assessment schedule and scope.

Review of Resource Plan – verify everyone and everything is ready for the project per the final agreement.

Hire and Acquire Resources. Three areas of hiring will occur to fully staff the project:

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o Journeyman, apprentice electricians and groundmen (utilizing IBEW Local 9 personnel) as needed. Also acquire the necessary number of bucket trucks and related equipment.

o Condition Assessment Data Collectors: this effort will be completed by SpaanTech.

o Recycling/Fixture Disassembly: Siemens will coordinate with A Safe Haven Foundation to staff this project task.

Training. Siemens will work with the sub-contractors and Union installation personnel to ensure all appropriate training (i.e., OSHA, HazMat, technical) is provided to each person

Procurement

Following approval of the design and in consultation with the City of Chicago and notice to proceed, we will procure the selected material. As a vendor-neutral installer who completes retrofit projects all over the US, Siemens has the buying power and the procurement resources to secure competitive equipment pricing for this project from one or more manufacturers. Our Phase 1 proposed supply chain is:

PDC (MBE distributor): Leotek and NewStar fixtures Evergreen (WBE distributor): King Luminaire fixtures Silver Spring Networks (direct purchase): CLMS hardware and software

The delivery of material will be scheduled to stay several weeks ahead of the installation progress to both minimize the storage areas needed and avoid delays due to insufficient equipment supply.

Material Lead Time

During this phase, the suppliers have received the PO and begin manufacturing of the product to meet first delivery schedule. Activity such as ramp-up and on-boarding will take place, as will the assessment, eliminating any schedule dead-time. The particular activities at the vendor manufacturing site will include the following:

Manufacturing of the material by the vendor QC/QA by vendors, and verified by Siemens QC/QA audit and acceptance test. Siemens QA/QC verification will include, but is not limited to:

o material quality o color o final test functionality

Material will be loaded onto trucks or other forms of shipment, with all necessary bills of lading and tracking from vendor provided to Siemens Material receipt and stocking for installation on-site

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Prior to fixture arrival, Siemens will determine the best allocation of warehouse facilities based on the work plan as staging areas for product storage, receiving and shipping areas, loading and unloading areas for the installation team, and recycling of old fixtures, cardboard, etc. A local project management office will also be established, ideally at or near the warehouse facility. At this point, an initial project schedule will be submitted to the City and its representative members. Thereafter we will supply an updated schedule on a weekly basis as fixture ship dates and installation progress requires.

Phase 2: Project Implementation

More details about Phase 2 are found in the previous section so will we only summarize/highlight them here. Siemens will convert the 300,000+/- streetlights within the City Chicago in 30 months, 18 months faster than outlined in the RFP. Siemens will divide the City into smaller installation zones to allow for a phased approach to field auditing and LED conversion, thusly optimizing the installation schedule and providing the City with additional energy savings. Siemens anticipates 35-40 installation crews will be deployed during the implementation phase.

Siemens believes safety is paramount for our staff, the local community and the greater environment. Siemens employs a comprehensive Environmental Health & Safety program, including specific training on bucket truck safety, utility line safety, and other safety protocols.

Siemens performs street light conversion work in accordance with the Manual on Uniform Traffic Controls Devices (MUTCD) to ensure traffic flow and vehicular and pedestrian safety. Siemens will create and submit traffic control plans (TCPs) to the City’s Department of Transportation within one (1) week prior to the scheduled work on a City street. Siemens will provide typical TCPs during the project development phase to expedite the installation phase.

Materials will be recycled appropriately by our partners, A Safe Haven and Everlights, and all hazardous waste and general refuse will be handled in accordance with all applicable regulations and best practices learned from the 162,000 HPS street light fixtures processed to date. Siemens will credit 100% of salvage value from the materials against the project cost, which is estimated to be as much as $1.0 million. We will deliver 10% of materials to CDOT’s facility per the RFP language.

ComEd Billing Adjustments- Siemens will submit required information for rebate (if the City is deemed eligible) and billing adjustments to ComEd on a monthly basis. Siemens Energy Engineers will provide review of ComEd invoices to ensure that the inventory is accurately adjusted in accordance with the project’s progress. Following the installation of the street light fixtures, Siemens will prepare and submit the final rebate and billing change documentation for the final phase zone and continue to review the City’s monthly invoices until the entire system has been correctly updated by ComEd. Once the final rebate and billing adjustment verification is completed, a final project closeout report will be generated.

Final Inspection of Site – field supervisor would go and inspect work, quality, and issues, invite CIT for final inspection and acceptance. Create and resolve any punchlist items. The final

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portion of the Implementation Phase is commissioning and testing of the equipment to ensure all devices are performing as designed and communicating properly with each other and the access points, or gateways, depending on the configuration. Additional commissioning/testing details would be provided at the contract stage as the specifications develop and is also found in Section IV. The one-year workmanship warranty also provides ambient testing conditions for the new devices to operate in both hot and cold temperature extremes, and in wind/rain/snow/ice conditions.

Final Acceptance of Work Order – the Project Manager will meet with CIT to agree on any complete work and get a written, mutually agreed on acceptance of the WO. Siemens will provide a comprehensive summary of the project that includes, but is not limited to, final GIS Data including inventory and asset attribute information (including any final integration to 311 system close-out items as defined elsewhere in this response), as-built documentation (as-needed), a summary of any scope changes that occurred, a statement of Siemens warranty details with contacts and procedures, a statement of manufacturers’ warranties with contacts and procedures and summary of rebates, the final results of the rebate allocation, the energy savings to date and the final estimated energy savings for future years, summarizing the final results of the project.

Phase 3: Warranty [Clint]

Immediately following City acceptance of each work order, Siemens will provide one-year workmanship warranty (full parts/labor replacements) services supporting all work performed under that work order, including the LED conversions, CLMS hardware/software, and infrastructure repairs (to match the scope definition of the work order).

Siemens and the City will develop a protocol to ensure that the appropriate parties respond to reported outages or maintenance issues; this is another place where the GIS can be utilized. It is anticipated that the City would incorporate the GIS-based information into its 311 work order system for cost-tracking and crew dispatching purposes.

At the end of the one-year workmanship warranty, all remaining years on the product warranties transfer to the City. Thus, the City becomes responsible to contact the corresponding manufacturer to exchange failed equipment that fails under warranty for repair or replacement. Generally, Cities maintain an inventory of spares based on historical failure rates so that change-outs can occur immediately. Non-warranty issues include but are not limited to: damage from vandalism, vehicles, or tree branches, power surges, and power failure from the utility or the wire feed from ComEd’s secondary distribution feed (primarily for the alley lights only).

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The following flowchart gives a visual representation to the above Work Order phasing described in the preceding paragraphs.

Approach to Project Phasing for Work Order

Phas

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ProcurementNotice toProceed

MaterialLead Time

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LMSInstallation Inspection

BeginWarranty

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Progress Reporting

Provide outlines or flow charts describing the progress reporting processes that will be utilized to implement the overall comprehensive Project as well as specifically for each of the major work groupings outlined in Section 4.3.6.2, including outlining how Proposers intends to document and report the installation of LED fixtures.

This section highlights how Siemens will share project status information with the City using the application of the web-based GIS tool we’ve developed with CDM Smith and confine to refine and improve as additional LED conversion projects are completed. We commit to working with all City representatives to customize this application so that project information is shared in various ways with each target audience, including City staff, elected officials, the media, and the general public. We will utilize our PR partner, Jasculca Terman, in this process as the City directs.

Siemens team field crews will each use the ESRI data collection app loaded on iPads with 4G connectivity to plan and track the progress of the conversions and repair work in near real-time3. The logistics of this effort will depend on whether a lighting management system is employed as wireless controls would automatically begin to report their location and status as soon as they are energized.

The progress dashboard maps can be seen in any web-browser, making it easy to share with City staff, including a version that can be configured for the general public. In some cases, these web-based maps have been integrated into our customer’s municipal website, or project webpage. By placing real-time information at the fingertips of all interested parties, we encourage project transparency and are receptive to community interest in the project. Below are two sample screen shots of the “dashboards” to illustrate:

3 Typical refresh rates of maps are 60 120 seconds, depending on telecommunications bandwidth available

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A few highlights of the screen shot above include:

This information is web-based so access only requires access to the internet and then a login ID and password. The City will determine which staff members shall have access. Read/write privileges are granted as appropriate. This dashboard can be customized into versions for Siemens-City staff viewing only and a second version for public access. The left side contains a simple metric of conversions completed vs. conversions in scope and could be modified to provide information by work order, phase, full project, etc. A separate dashboard or window could be created for repair work status. Issue-tracking can be reported in dashboard format as shown on the first screen shot. Issues are situations noted by the electrician that require follow-up by either ComEd, the City, or the Siemens team depending on the nature of the issue. Issues could include tree trimming required, double pole, broken bracket arms, frayed or broken wiring, or pole condition. This effectively creates a second layer of condition assessment to perhaps catch things that cannot be observed from the ground by non-electricians. In the first screen shot, the map on the right side provides specific information about the status of individual conversions. The letters labeling each point would in the Smart Lighting Project example refer to each of the 13 lighting contexts as defined by the City and would indicate exactly what LED fixture(s) have been assigned that particular pole.

Schedule Milestones

Identify the major tasks and processes that must be accomplished throughout the term of the Contract to deliver the Project in accordance with the requirements of this RFP. Include both external tasks/processes, and tasks/processes internal to the Contractor such as major project management tasks and milestones.

Siemens has developed a project schedule with a 30 month implementation schedule assuming that the scope includes 300,000 LED fixture conversions and that our staffing levels are increased as necessary to complete the repair work in the same timeframe. Our schedule includes 6 months of scope development, and completion of fixture installations in 24 months. As a proposed acceleration of the current RFP estimation of four years to complete the project, this will create approximately $18 Million in additional energy savings via early completion. A summary is provided below with a project schedule found in Appendix C - Project Timeline. This will be customized based on CIT needs and agreement.

Siemens intends to develop Work Orders with the City in parallel with on-going Work Orders, As each previous Work Order draws to completion, planning, scheduling and other activity for the next Work Order will have already begun. This approach will be used to ensure maximize efficiency and reduce or eliminate any schedule delays. The goal will be to have our material distributors receiving shipments for the upcoming phase at least 2-4 weeks prior to the completion of the existing phase.

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Major milestones that will be accomplished using a 30 month implementation schedule are below, and a complete preliminary project plan follows this page.

1. Month 0 - Contract signature 2. Month 1 - Kick-off Meeting/Project Start 3. Month 2 - Begin Assessment 4. Month 2 - Start Procurement 5. Month 4 - First Delivery of Material 6. Month 6 - Start of Implementation 7. Month 6 - Start Work Order/Phase 1

Meetings with CIT Conversion of fixtures/Installation of CLMS network Infrastructure Upgrades Quality Check and Inspection

8. Begin Parallel Work Order Development 9. Repeat items 3-8 until item 10 is achieved 10. Month 30 - Complete last Work Order 11. Month 30 - Final Project Acceptance 12. Warranty period shall occur for 12 months following City’s acceptance of each phase

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Approach for Performing the Work

Describe the Proposer’s overall approach for performing major tasks and implementing major processes. At a minimum, describe:

A. Assignments of responsibility for major tasks/processes to team members and specific responsible personnel; and

B. General approach for tracking progress, continually evaluating quality, taking corrective actions, and routinely communicating schedule and quality issues within the team; and

C. General approach for tracking progress, continually evaluating quality, taking corrective actions, and routinely reporting schedule and quality issues with CDOT and the CDOT Project representative.

Many of these items were described in previous sections so we will not repeat them here. Our Project Management structure includes the following individuals:

Senior Project Manager- full responsibility for ALL project operational, financial and schedule elements; Deputy Project Manager- supports PM, provides redundancy in PM’s absence, and specializes in the financial management of the project: invoicing to City and to/from subcontractors; Quality Manager- ensures all aspects of quality are included in the project execution and that corrective actions are taken to remedy immediately; M/WBE Compliance- we have outsourced this function to Sandi Llano who will provide an independent function of ensuring that our team meets all commitments made to the City regarding compliance with participation goals; Arcadis- selected due to their demonstrated ability to provide accurate project budget forecasting, scheduling, and cost controls for large and complex City of Chicago infrastructure projects. We recognize the significant financial constraints associated with this project and the investors who will fund it require the utmost confidence that the project will be completed on time, on budget and achieve the projected operating cost savings. Arcadis’ track record of Chicago work and depth of local resources will provide the City and it’s investors with this necessary high level of competency as indicated by its role in the on-time/on-budget status of the following projects (total project value):

Chicago Department of Water Management Capital Improvement Program ($3.8B) Chicago Public Building Commission, including $1.1B Surveillance Camera Project ($3.0B) Chicago Housing Authority Surveillance Camera Project ($18.2M)

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Commercial Project Manager

As one additional step in quality control, is that of the Commercial Project Manager. Differing from the day-to-day budget monitoring of our Arcadis partner (who reports to the PM and CPM as needed), the CPM is a Siemens employee who will monitor the overall project budget, and material expenditures.

Mr. David Spence is the appointed Commercial Project Manager (CPM), and as the CPM, David will perform a detailed contract analysis and review the budget for every aspect of the contractual and project requirements. The associated budgets for each level of the contract will be entered into Siemens SAP system, and monitored for any variance.

Material purchases will go through at least two levels of approval and verification prior to the purchasing department ordering the material. This step ensures any deviation from the vendor on quoted pricing is captured and reconciled; however, there will not be any impact to the overall project timeline. The CPM will be monitoring costs applied to the project, and communicate any unexpected costs to the PM. The constant communication between the PM and CPM with regards to the amount of work complete compared to the budget expended and the earned value is one of our strongest qualities as this allows for real-time budget management.

Project Monitoring

Meeting the project schedule is paramount as it has been developed to minimize project costs and realize energy savings for the City as the fastest rate possible. Siemens will monitor the project closely, keeping track of the fixtures installed per day, and verifying the project is on schedule.

During installation, each technician will be issued a tablet computer, on which installation data will be recorded. This will include luminaire type and wattage, post foundation, wiring, or other conditions regarding the location of the light. This information will be reviewed and cross-checked by the field supervisor to ensure the installation is progressing as planned. This information will be relayed to the Project Manager, who, in the event of any unforeseen delay, will enact appropriate mitigation actions to bring the project back on schedule. If, for some unforeseen reason, the project should incur a significant delay, the PM will work closely with the City to determine the best course of action, and, if necessary, develop and propose a revised schedule.

Work crews are managed by the Field Supervisor and PM, and such activities include weekly progress meetings, schedule updates, and materials management plans. Deviations from the schedule, or factors that could lead to deviation, will be identified and a plan of corrective action developed.

Siemens has world-class experience in supply chain management. Each of our vendors and suppliers will have clear expectations of when materials and supplies will need to be delivered.

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Our materials management plan will also contain contingency for stock if necessary to mitigate schedule delays.

By closely monitoring the project, Siemens can adjust personnel and resources as needed to keep it on track. The benefit to the City is twofold: 1) energy savings are realized as quickly as possible, and 2) at any time Siemens can provide an accurate status for the project to the City.

At the conclusion of a specified zone or phase, the field supervisor and/or PM will conduct a pre-inspection of the area, and note any discrepancies. Items that will, at minimum and as applicable, be inspected are as follows:

All "as-built" drawings All certified payroll affidavits if not submitted earlier Certificate of electrical inspection A list of all equipment installed All operating and maintenance manuals for equipment installed

Once the Field Supervisor or PM is satisfied everything is complete and up to standard, they will then notify City personnel the zone is ready for inspection.

Earned Value Management System - EVMS

All of our project plans are required to include metrics of the Earned Value Management System (EVMS – a Siemens internal process) in order to ensure that all project requirements with regard to budget, time, scope, and quality are meeting met. Progress of a project is measured by comparing the planned work against actual work performed and accomplished. The stage gates ensure that all required steps are completed prior to going to the next gate, particularly when there are milestones involved for that specific phase.

The EVMS is also used to manage project risk so that the appropriate response can be identified earlier and proactive actions can be taken to reduce negative impact. If an overrun is forecast, the problem can be presented to stakeholders at the earliest possible point along with proposed solutions. An MTA (Milestone Trend Analysis) graph is also utilized to easily compare the plan to actual performance of the project based on the PM@Siemens stage gates.

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Below are samples of our project Percentage of Completion Report, which identifies the next forecasted milestones to complete along with any tasks that are behind, as well as an EVMS Report, showing the earned value of the project to date:

Project Management Plan

The Proposer must describe in detail its approach to project management, and include its plan for how the implementation will be managed. How will the Proposer ensure that the project is completed on time and within budget? The Proposer must describe its tools and methods for communication, issue and risk management, scope management, etc.

Having described the implementation plan for the LED conversion, we will highlight Siemens’ project management plan for the LED fixture conversion includes the following considerations:

Decentralized teams with supervision Use of a web-based tablet application to provide crews with an intuitive means of inputting and receiving installation-related information. Use of dashboards and reporting features to track the project status in real time. In the previous section, we established a target productivity rate of 10,000 fixtures per month in

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order to complete the project in a 30-month timeframe. This simple and straightforward target can be monitored on a regular basis by Siemens’ Project Management staff and the City to ensure that the project remains on track.

As a project company since its inception, Siemens has a well-established project plan in place for each project implemented. The purpose of the Project Management Plan (PMP) is to describe the Chicago Smart Lighting Project including its general conditions as well as to define organizational rules in the project. The plan is quite exhaustive, and a first draft has been attached in Appendix A for review by the City. As a general overview, the following is a description of how Siemens will approach and execute the project management plan.

PM@Siemens

Quality starts at the beginning of a project. From the moment the RFP is received until the last day of warranty, quality encompasses the life of the project. This happens with excellence in project management. The PM@Siemens program provides Project Managers with innovative processes that help reduce complexity and continuously improve project implementation. For 15 years, PM@Siemens has been defining and refining project management standards. As a result, today they are state-of-the-art and applied throughout the company, and to every project we undertake.

In any project, there can be a number of difficulties: customer expectations and project results fail to coincide because requirements are not set out clearly enough from the beginning; completion is delayed because of unexpected resource bottlenecks, or because a supplier’s ability to deliver is incorrectly estimated, and so on. Best-in-class firms use Quality Gates4 to make sure the project status attained is transparent, and to ensure that suitable measures will guarantee that a project is carried out successfully on time. The PM@Siemens process ensures these difficulties will be minimal.

Throughout the life of the project, clearly established Quality Gates provide the Project Manager with standardized procedures to take before each gate may be considered completed. These Quality Gates help us to identify risks in good time, and to eliminate them proactively. A high level overview of a standard PM@Siemens project flowchart5 with Quality Gates is below.

4 A Quality Gate is a collection of completion criteria and sufficiency standards representing satisfactory execution of a phase of a project plan.5 A full step-by-step process overview can found in the attachments section.

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Project Manager

Currently, Siemens has over 15,000 project managers world-wide, each of whom are PMP certified. The Project Manager has overall responsibility and control of the project. From developing the initial project schedule during RFP response to project completion, the PM is involved in every step. This ensures a complete knowledge and understanding of the project, and provides a single point of accountability for the project life cycle.

For this project our Senior Project Manager will be Skip Shein. Skip is currently assigned 100% to this project, has no other projects underway, and lives in the Chicagoland area. As PM, Skip will have full authority and responsibilities to direct, implement, and maintain the overall quality of materials and installation at the project level, and have authority to stop work and resolve problems.

The PM will be responsible for scheduling and arranging for site inspections, including the City inspection described in the RFP, and documenting compliance with the schedule, installation, and City requirements. The PM will also oversee subcontractor quality to ensure that all work on the project complies with the contract requirements.

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The PM’s primary responsibilities are as follows:

Develop project schedule and finalize acceptance with the City Develop, communicate, and distribute status reports Develop traffic control plans with the City Plan, schedule, and arrange inspections Develop and implement inspection procedures and records to document compliance with project specifications and drawings Provide accurate and timely reporting of deficiency items Follow up and ensure corrections of said items Develop and implement a document control records management system Review and approve or reject subcontractor submittals Develop effective communications and work processes with Siemens personnel and the City project personnel Provide progress reports to the City project personnel

Project Scheduling

A Program Master Schedule will be developed by the Project Manager and scheduling staff. This schedule will be developed in conjunction with each of the field supervisors and warehouse managers, and will roll-up into a Program Master Schedule.

A baseline schedule will be prepared containing the project summary schedules for proposed and approved work scope on the program, and will be the basis for identifying and analyzing the project critical path that drives project completion. Schedule activities will be integrated with the WBS and cost budget to ensure that activity detail, logic, duration, and resources fully represent the project work scope. Schedule durations for activities will represent the most likely duration to complete the work.

Key project milestones and deliverables will be reviewed to ensure they are incorporated into the schedule each proposed project. This ensures that milestone/deliverable status is driven by activity progress. This includes key milestones and schedule constraints from sources external to, but having influence on the project. Once the baseline schedule is created and approved, a copy will be used as the current schedule upon which progress and actual status information will be imposed. The baseline schedule should only be modified upon the approval of new project work and with the approval of scope change orders that affect any project schedule.

This schedule can be maintained by the project managers or schedulers based on project manager inputs. The program schedule updates will officially be performed after the close of each calendar month. More frequent updates can be made if required, but an official monthly update report will be developed which will include the month end updates. After each project has been completely updated, the schedule manager will analyze the schedule to identify the change to each project and the overall program schedule.

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Budget and Cost Control

Siemens uses SAP to keep and track all budget and cost control information including change orders and actual expenditures. This system also has customized business processes to track and house all project and program records and reports.

All project records are included in this system, which include submittals, requests for proposals, task orders, change orders, notice to proceeds, funding requests and reports, and invoicing. This information is initiated either by contractor, consultants, or the client. Forms within the interface are filled out by the participating groups and routed electronically for review, approval or to add additional information along the way which eliminates duplication of data entry and reduces errors.

Budgets will be developed and established at the project level. Project tasks will be developed based on the type of project and the structure, and will contain the WBS, and other project specific requirements. The project tasks will form the framework for each project’s overall budget. Upon approval, each project and task budget will be established in accordance with the WBS.

All costs will be monitored for each project and the overall program on a regular basis. Project Managers will have the ability to review their projects at any given time and work with the appropriate staff to make corrections. Near time data will be collected throughout the project and available to those who need to review.

Costs will be monitored and reported to the client at the close of each month in the cost status report. This information will also be available in the PMIS system. This report will be broken down by individual project and major tasks and will include, at a minimum, the following information:

• Original and current budget • Original and current commitments • Pending and approved changes • Projections/trends • Estimate at Completion (EAC) • Invoiced and paid to date • Estimate to Complete (ETC) • Variance to budget • Percent spent and percent complete

The expenditures will be compared to time-phased budget values to assess the relative performance to budget. Variances from the budget will be reported to management so that corrective measures may be taken for excess expenditures and/or underruns may be exploited for the benefit of the program.

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Project Safety

Safety is the top priority for all Siemens staff and subcontractors performing roadside lighting replacements. Siemens has a well-established Environmental Health and Safety program, which covers all aspects of safety. To ensure personnel are well aware of what is provided, below are some of the standard steps which are followed.

Pre-Project Safety Planning and Beginning a New Project

Before beginning any project, the jobsite supervisor will obtain and become thoroughly familiar with all procedures, rules, regulations, and requirements of the customer and the particular area where work is to be performed. This information is to be distributed to all supervisory personnel as a new project orientation before they begin work.

The supervisor is responsible for assembling all the appropriate hazard information. Hazard information required includes the following:

Hazardous processes, materials, equipment, and accompanying Material Safety Data Sheets (MSDS) Medical surveillance and industrial hygiene monitoring requirements Emergency reporting and responses Safety and personal protective equipment requirements Fire suppression equipment and responsibilities Special tools or equipment requirements Lock-out/Tag-out requirements NFPA 70e requirements Reporting requirements Orientation requirements Exit procedures Record keeping requirements Establishment of a site specific Emergency Action Plan (includes Evacuation and/or Shelter areas for hurricanes, tornados, earthquake, fire, etc.)

The job site supervisor will also be responsible for providing:

Information regarding designated physicians, hospitals, ambulances, security, or fire units that are to be used in the event of an accident, injury, or other emergency shall be developed and distributed. Arrangements for making contact with and using these services shall be formalized before beginning a project. All supervisory personnel shall know all arrangements and locations

Information Required at a Jobsite

The following is an outline of the material that will be maintained onsite.

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Federal and State Labor Law Postings Employee Right To Know Notice Harassment Policy OSHA Job Safety and Health Protection Employee Polygraph Protection Notice Equal Employment Opportunity Family Medical Leave Act Federal Minimum Wage

The following state required material will be displayed where employees routinely gather:

Unemployment Insurance Benefits Labor Laws for Minors Worker’s Compensation Law

In addition, current paperback copies of the 29CFR 1926 OSHA (Construction Industry Regulations), the 29CFR 1910 OSHA (General Industry Regulations) manuals, and OSHA 300 Logs will be kept at the jobsite office.

Risk Management Approach and Escalation

As the PM, Skip Shein has the support of the worldwide Siemens Mobility Division and Siemens in totality. Siemens is invested in Chicago with the recent opening of a downtown Chicago Office and 3200 employees in the Chicagoland Area. Our “Customers First” adage ensures our commitment to supporting Skip and the City of Chicago in completing this project on budget and on-time.

Working with complex concurrent projects at multiple locations presents numerous challenges and issues that require experience for efficient resolution. Our approach to problem resolution includes a holistic view of the impact, communication, and collaboration at all Siemens and CIT/CDOT/Park levels. When problems occur at any level of the service delivery model, the PM and engineers investigate the problem, develop a detailed understanding of the root cause, identify a solution and communicate with the customer to prioritize and implement the solution. The matrix below shows our organizational approach which allows escalation of problems and assignment of specialized resources to resolve a critical problem. It is our top priority to communicate any problems with CIT/CDOT/Parks quickly and collaborate on the resolution of the problem.

Risk Management Approach

Process Description

Risk Identification

Effective risk management includes early and aggressive risk identification through the collaboration of relevant stakeholders. When a potential risk is identified, it is nominated by anyone on the project and sent to the PM for evaluation. Once determined a legitimate threat, it is entered into the Chicago Streetlight Risk Register on the program portal,

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assigned an owner and tracked until closure. Upon contract award, risks are identified, principally during the planning phase. Information collected on each risk includes risk description, risk ranking, triggers, impact, likelihood, proximity and potential mitigation approaches.

Qualitative Analysis

Qualitative analysis is the process of defining risks according to their effects on schedule, requirements, performance measures, project cost, and deliverables. The PM prioritizes the risks based on our scoring system’s criteria (likelihood, impact and proximity) and focuses immediately on the risks with a higher probability and impact.

Quantitative Analysis

Quantitative analysis determines the potential consequences of each specific risk and its corresponding value definition. The PM will propose alternative mitigation paths, if mitigating, and determine the quantifiable impact on cost, schedule and performance if it should escalate to being a problem.

Risk Planning, Mitigation and Action

The qualitative and quantitative analysis results are a matrix prioritizing the risk elements based on a score of High, Medium or Low. The PM has the responsibility of providing a plan to mitigate, reduce the probability and resolve the risk if mitigation fails or it becomes an issue prior to mitigation. If the risk has little impact on project cost, schedule and performance, it is incorporated and monitored until something changes which affect its score.

Monitor and Control

The risks are reviewed weekly by the PM and monthly during the program reviews. Critical and high risks are addressed immediately and discussed daily. A risk is closed when the risk is resolved and there is no longer an occurrence or it is escalated to being an issue. This process is continual throughout the contract’s period of performance.

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Communications and Coordination

The proposal should include an initial communications plan that details the audiences, communication types, and frequencies.

More detail on the Communication Plan may be found in Appendix A.

The Communication Management Plan provides binding guidance on how the contractual and, where applicable, internal or normative obligations for the Communication Management. The following rules are specified for all project participants:

Communication requirements for the project participants Communication channels, project team list (contact data), communication matrix Meetings Correspondence Information security Distribution of information via the Intranet, Sharepoint, etc. Publications, photos, and film recordings Project accidents Attendance and vacation planning Terms, definitions, and project glossary Escalation during the project

The Project Manager is responsible for determining the specifications regarding communication and information throughout the project.

The following table lists the contact information for everyone involved in this project

Name Function Code/Distributor

Department TelephoneFax / Mobile

Email Address

Customer

Project sponsor

Project manager (technical)

Project manager (commercial)

Systematic communication is conducted in accordance with the assignments specified in the project organization chart, and the relationships and rules determined in this section.

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Additionally, open communication toward all parties is expected from all project employees and subcontractors.

Communication with the customer, partners and suppliers must be completed by means of the following communication channels and rules:

Parties Communication from/to

Remarks

Customer Project management

Construction site

Assembly

Procurement

Logistics

Internal reporting, Project reporting within Quality Management, Change and Complaint Management Plan, Statements of any kind to third parties (parties external to Siemens) about the contents or the situation of the project shall be coordinated in advance with the respective press office/communication department.

(Core-)Team Meetings

Generally, team meetings are carried out weekly. The cycle can be extended or shortened depending on the status of the project. Core team meetings are led by the Project Manager or in case of absence by a formally appointed deputy. The attendance of the core team members is mandatory except when otherwise stipulated with the Project Manager. Further participants are invited on demand.

Within the team meeting the status of the following topics should be determined regularly:

Project scheduling: content and deadline related status of the work order, materials, and milestones Status of project resources Status of the following specific topics Documentation (status of project and customer documentation) Requirements Management (progress according to the standard key figures) Commercial topics List of open points R/O list of the top five risks and opportunities Budget – actual v. target Key events in the reporting period New topics/tasks

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Minutes of Meetings, List of Open Points (LoP), are used to systematically gather outstanding issues of overriding importance that may arise while processing the project, and to ensure these issues are appropriately resolved. The LoP will be maintained by the PM, and will be accessible to the project team at all times. The current processing status of these issues will also be recorded in this list.

The list will be discussed on a regular basis with the project management during team meetings, where the corrective measures and completion deadlines will be specified, and the persons responsible for monitoring the corrective measures will be stipulated

Project Reviews will be held at regular intervals, and contain the following criteria: project progress, budget (on or off target), any accidents or safety issues, schedule or implementation area changes. At least quarterly, the project management (PM and CPM) will hold project reviews addressing the following focus topics:

Changes in actual commissioning costs Deadline situation Change costs Status of the commissioning costing updated on a monthly basis

These reviews will be appropriately documented, with the basic principle in the case of reviews being there must be a complete "open book" policy towards the Project Manager.

Quality Management Plan

Siemens will develop a customized quality plan that explains the quality relevant processes, activities, and measures. A draft example of Siemens Quality Plan may be found in Appendix A.

Our Quality Strategy

World-class quality needs standards. Siemens quality strategy is simple: Implement the elements of the Siemens Quality Management and continuously improve Product, Process, and People Quality.

To review implementation of the mandatory elements in our company's processes, along with other control tools, we have defined a process that is to be carried out on a regular basis. Self-assessment is the responsibility of each organization within Siemens, and is carried out by the quality manager.

The goals of self-assessment are:

Monitoring of the efficient implementation of the mandatory elements Assessment of the maturity level of the mandatory elements within the organization Identification of the strength and weaknesses of the existing Quality Management System Derivation of improvement measures with clear prioritization for their implementation

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Sharing of best practices

Quality managers carry out self-assessments using defined checklists. Methodologically speaking, they have three different approaches available to them. They can conduct self-assessment in interview form, in moderated workshops or as an assessment by experts in the area. The results of self-assessments are used as inputs to management reviews.

Quality Manager in Project

In addition to the PM, a Quality Manager in Project (QMiP) will be appointed. The QMiP works alongside the Project Manger as an expert and partner to ensure project development, scheduling, staffing, materials delivery and quality, and budget are met to the specified work plan. For this project, David Spence will serve as QMiP, assisting the local Project Manager. Some of the detailed responsibilities David will fulfill are as follows:

Coordinate and serve as quality manager to ensure that the contractual goals are attained Ensure project milestones are met, and any required reports to the customer are submitted Assist the Project Manger to resolve any quality issues with materials Seek the support and advice of the project team in the implementation of quality measures Prepare and maintain the QM plan and other procedural documents necessary for the project (e.g. audit plan, QM report) to define and demonstrate the project specific quality management Consult and support the project manager and all project members in QM matters and concerning PM process as well as milestone decision meetings and Quality Gates Review documents of procedural nature Monitor observance of the project QM system by all project members and escalate, if the quality requirements are not met Serve as an interface in QM matters to the customer, to partners and to subcontractors/suppliers Inform the project manager if nonconformities or weak points have been recognized, in order to allow corrective action

While the primary responsibility for quality lies with the Project Manger, the QMiP plays a substantial role in ensuring all quality gates, metrics, and measures are met.

Design Quality

As in past successful projects, the Siemens’ fixture selection approach is based on the perceived lumen methods, created by the Lawrence Berkley National Laboratory in July 1995. This approach has allowed Siemens to maximize energy savings for customers without sacrificing the quality of the lit environment. While energy savings is a driving factor for a system conversion,

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Siemens believes that a properly lit environment is as equally important as the energy and cost savings LED brings to the customer.

However, in some projects Customers like to play a larger role in this step, which is encouraged by the Siemens team. In this project, the City has spent a great deal of time and effort researching and validating the fixtures of choice; Siemens applauds The City for this effort.

Siemens will work in collaboration with the Customer to identify areas where additional improvements can be made to the design. One approach is to look at roadway classifications with wattage variances. In these areas, a visual analysis of the application will determine whether or not the location(s) with the different wattage exists because it is required by the application (i.e. intersections, pedestrian crosswalks, etc.) or it is a matter of inconsistency that has developed over time, and an improvement can be made.

Furthermore, Siemens considers the knowledge of those who live and work in the community to be the best. In coordination with City officials, Siemens’ would be willing to have our applications engineer, City personnel, and people familiar with the area provide discuss locations that have high pedestrian/vehicle or vehicle/vehicle incidents, or areas where vandalism and crime seem to be more pertinent. These are scenarios where Siemens will determine whether lighting is a factor.

Quality Control During Installation

All LED installation work shall be performed in accordance with the NEC, NESC, and OSHA provisions, and exclusively by individuals certified by OHSA as a “Qualified Electrical Worker.” Siemens will also use this as an opportunity to use local union members. Additionally, the workmanship standards that will apply at a minimum will include:

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Project Management, Profit, and Overhead “Markup”

Form 14 – Additional Project Pricing follows this page

43 Chicago Infrastructure Trust Chicago Smart Lighting Project RFP – Addendum #2

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Public Relations & Communications Plan

Communications Experience and Expertise

Siemens’ Corporate Communications team has extensive experience in designing, developing and launching highly effective brand and marketing campaigns that feature innovation solutions. Last year, the Company launched an “Ingenuity for Life” brand campaign, which has resulted in impressively high visibility and awareness and reception and likeability ratings. The campaign features specific examples of how Siemens has partnered with customers to move America forward with passion and purpose - a powerful mix of know-how, innovation, reliability, and responsibility that helps society, companies and people work and live better through intelligent infrastructure, reliable transportation, sustainable energy and advanced manufacturing.

In one example, Siemens’ “Ingenuity for Life” campaign showcased how we’re helping to transform manufacturing as experienced in our Digital Enterprise Showcase at the Digital Manufacturing and Design Innovation Institute in Chicago. This showcase helps manufacturers to explore the experience of working in a digital enterprise.

Additional customer co-marketing examples are available on our Website: usa.siemens.com.

Siemens Corporate Communications team in the U.S. includes more than 100 employees with expertise in the following functions:

Communications Strategy and Planning Marketing Communications Media and Public Relations Employee Communications Corporate Social Responsibility Government Affairs (this is a separate organization, but very closely aligned with Corporate Communications)

Communications Support for Chicago’s Smart Lighting Campaign

To support the Chicago Infrastructure Trust’s Smart Lighting campaign, Siemens Corporate Communications would coordinate with our Chicago partner, Jasculca Terman, by providing:

1. Governance and navigation. Siemens will name a single point of contact from within our US Corporate Communications organization to serve as the agency’s primary business partner - to establish project governance and activate Siemens tools, templates, platforms and processes on the agency’s behalf.

2. Access to Siemens subject matter experts. In addition to product and technical experts, Siemens will provide access, through your single point of contact, to subject matter experts and governing leaders in the fields of media relations, digital communications, social media, internal communications, branding and advertising, campaign management and exhibits

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and events. Streamlined access to key contacts will expedite answers as well as reviews and approvals of proposals, strategies and content.

3. Access to Siemens online self-service toolkit which includes the following assets: a. Photo and film library b. Digital asset management database c. Advertising asset database d. Norms and standards database e. Graphic symbols database f. Web icons g. Domain name tool h. Search recommendation tool i. Templates and guidelines j. Message cockpit

Jasculca Terman Communications Experience and Expertise

For JT’s full Strategic Communication Proposal, please refer to Section V-Additional Submittal Requirements.

Jasculca Terman Strategic Communications (JT), working closely with Siemens, would welcome the opportunity to serve as the Chicago Infrastructure Trust’s communications partner for this project.

The development and management of public information and awareness campaigns is fundamental to what we do. For more than 35 years, JT has been Chicago’s pre-eminent independently owned public affairs firm. Public affairs is not just a division of our company – it is what we do, day in and day out. We look at each project with an issues- oriented, policy-driven approach, and focus our efforts on developing and implementing high impact strategies, as well as the tools and tactics to shape attitudes, perceptions and behaviors.

Our work spans myriad industries and issues – environment, energy, transportation, land-use, and infrastructure, economic and workforce development, education, health care and others. We have worked on issues and public awareness campaigns for local governments, state and federal agencies, private investors and developers, business associations, organized labor and others.

Our Work

JT is proud to have been called upon to handle some of the highest profile and most significant projects in and around Chicago on behalf of government agencies, corporations, nonprofits, foundations and universities. From helping BP executives join the civic fabric of the city when the company first came to Chicago to working with the Chicago Cubs to build relationships with area residents when it first planned to expand bleacher seating; from building a coalition of more than 12,000 in support of the expansion of O’Hare in 2003 to coordinating event logistics

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and media to help open the new runways five years later; from strategizing with J.B. Pritzker and his team to develop the initial communications strategy for the launch of 1871 to implementing a robust media strategy to help launch the University of Chicago’s new incubator, the Chicago Innovation Exchange; from serving as executive producer of the World Summit of Nobel Peace Laureates to partnering with The Chicago Community Trust to conduct outreach across the city encouraging more than 55,000 individuals to host dinners to discuss the region’s future and how to make it better as part of its On The Table initiative. JT has been at the center of major, complex, challenging and impactful projects that have built our city and region and put it on the global map.

Through the projects we’ve worked on and the clients we support, JT has worked in nearly every Chicago neighborhood, and we’ve built relationships across the city at all levels, we know the players, the process and the dynamics. We understand what it takes to engage and motivate audiences around an issue.

Relevant project examples include:

We represented the City of Chicago and a coalition of business leaders on a campaign to promote expansion of O’Hare International Airport, ultimately securing the necessary government approvals. JT’s work with the Department of Aviation has continued through the Emanuel Administration to include the opening of new runways, media and logistics for the 2014 World Routes Development Forum and most recently work with the newly appointed Aviation Commissioner Ginger Evans to help develop her first develop major public speech.

Beginning in 2014, The Chicago Community Trust wanted to create a region-wide conversation about issues impacting our communities with the goal of inspiring action. And so was born On The Table. As project manager, JT was responsible for strategic counsel, communications and outreach. We engaged more than 11,000 (2014), 20,000 (2015) and 50,000 (2016) participants representing business, civic, government organizations and members of the general public to engage in mealtime conversations about the future of our region. Our social media efforts led to more than 4,500 digital conversations and propelled us to the number one trending spot on Twitter in Chicago.

JT was retained by ADA 25 Chicago – a network of 200 civic partners, businesses and organizations who came together to commemorate the 25th anniversary of the Americans with Disabilities Act (ADA) and advance access and inclusion for people with disabilities in Metropolitan Chicago. JT was a strategic partner in the development and direction of this initiative from the ground up – helping conceptualize its framework, goals and priorities. Specifically, we created and implemented all aspects of the very successful official public launch of ADA 25 Chicago and developed and implemented a wide range of outreach and engagement strategies, including a comprehensive media relations plan designed to raise awareness and recruit partners; a social media and website plan to support partner engagement strategies, showcase partner commitments and raise awareness; a video strategy and implementation plan that captured footage of

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more than 25 key partner events; and event planning for a culmination summit.

We have extensive experience working with community-based organizations, social service agencies and non-profits, many of whom we believe could be partners and/or advocates for this project. For example:

Since 2003, JT has served as communications firm of record for After School Matters, a nonprofit organization founded that partners with Chicago Public Schools, the Chicago Park District, the Chicago Public Library and more than 100 community-based organizations across the city to provide high quality out-of-school time opportunities for Chicago teens. JT provides strategic communications, media relations, crisis/issues management and event management support to After School Matters.

In fall 2016, JT coordinated event logistics, media relations and digital advertising and served as liaison to the Mayor’s office regarding a citywide hiring fair targeting 18-to-24 year olds out of school and out of work on behalf of Thrive and the 100K initiative.

Over the years, JT has worked with Safer Foundation, a non-profit that works to reduce recidivism by supporting the efforts of men and women with criminal records who are returning to their communities after prison. Our work has included ensuring federal, state and local policymakers are kept apprised of Safer’s work and its success and outreach to potential employers who are in a position to hire Safer clients.

In the last 35 years, JT has worked on a wide range of crisis assignments. We have the ability to jump right into the thick of a crisis situation, as well as help clients think about and plan for potential crises before they occur. Examples include:

JT was retained by a management company in the wake of a tragic fire at the Cook County Administration Building in which six people died. The key goal was to restore public and employee confidence in the safety of the building, which housed several public offices visited by hundreds of county residents each day.

JT was retained by a global insurance company after a tragic accident in which part of a window on the 29th floor of its high-rise headquarters building fell onto the pavement below, killing a woman.

JT has worked with dozens of school districts and municipalities to help mitigate issues before they become a crisis, as well as after an issue occurs. We’ve worked on issues including contract negotiations and strikes, data breaches, employee misconduct, transgender policy announcements, construction-related budget overruns and more.

Our Team

Our firm is small enough so that our senior people are involved in some way in every project, but also large enough to carry out the most complex, multi-pronged and fast-moving projects. JT’s

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strength comes from our team of professionals, who can do all that is needed to get projects off the ground quickly and successfully, from strategy and message development to media relations, event management, crisis communications planning and management, digital strategies and video and everything in between.

We have identified a dedicated project team to work with Siemens on the Smart Lighting Project. This team includes two senior strategists, a director-level day-to-day point of contact, as well as a team of public affairs professionals to assist with implementation. JT’s subject matter experts in digital strategies, video and media will also join the team to provide support. In addition, we have a strong relationship with Siemens and have established team protocols to ensure effective communications internally and with the Infrastructure Trust that are outlined later in this proposal. Full bios for the Siemens/JT team are included as an addendum to this proposal.

We envision this project to be a truly collaborative effort in which the Siemens/JT team will work side-by-side with the Trust staff to formulate and coordinate a successful public communications campaign designed to roll out and promote implementation the Smart Lighting implementation plan.

Accountability

JT has built its reputation on an in-the-trenches approach. We don’t just devise clever strategies and sit back and see what happens. JT is guided by an ethic of accountability. As such, we are committed to ongoing evaluation and regular reporting to ensure maximum impact of our efforts and return on the Infrastructure’s communications investment. We push ourselves to identify and adapt client strategies to address new opportunities and changing or challenging circumstances. This will be particularly important for this project, as we will need prioritize how best to utilize the $1 million budget over four years and provide the highest return on investment.

We would be proud to serve with Siemens as the Infrastructure Trust’s strategic communications partner on this vital project.

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Public Relations and Communications Plan

Each Proposal must include a public relations and communications plan that details the Proposers capacity to provide, and the proposed approach to, a public relations scope of work as outlined in Exhibit D. The plan should outline how the Proposer would prioritize elements of the Public Relations and Marketing scope to achieve the specified goals in the most efficient manner possible, given budget constraints. The plan should include the relevant expertise and experience of the proposed public relations and communications firm and outline the proposed staff (and corresponding title / labor category).

Proposers must also complete the hourly labor rate schedule for potential public relations and communications tasks as part of Form 14.

Siemens has teamed with Jasculca Terman, a trusted partner to both the City of Chicago and Siemens, and provides the following Public Relations and Communications Plan as outlined in Exhibit D of the RFP.

Situation Analysis, Goals and Audiences

The Smart Lighting Project is a major infrastructure initiative designed to move Chicago toward being a 21st Century “Smart” city. The safety, economic and environmental benefits to citizens are significant. Yet, projects of this magnitude inevitably raise questions and concerns from residents, ranging from how installation may disrupt traffic in their neighborhoods to scrutiny around potential cost to taxpayers. We know that many concerns often stem from a lack of information. Proactive, transparent, consistent and frequent communication is essential to building resident awareness, understanding and support for the Project.

Goals of the community engagement, marketing and public information plan include the following:

Work with the Chicago Infrastructure Trust to develop a compelling vision in a variety of written and visual formats of what the Smart Lighting Project will mean for and how it will benefit residents. Develop effective messages to counter potential critics of the project. Foster a public environment in which implementation of the Smart Lighting Project is supported and welcomed in neighborhoods. Educate and inform a broad range of audiences about the Project. Inform residents of installation plans and impact on their neighborhood at a hyper-local level.

Target audiences for the engagement campaign include, but are not limited to, the following:

Organizations and individuals that can be engaged as ambassadors for the Project, such as:

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Community and faith-based organizations. For example, Sunshine Enterprises in Woodlawn, Old Irving Park Association on the Northwest side and the Rogers Park Builders Group on the North side. Individual community influencers who have the respect and ear of residents – this may include clergy, local business leaders, community organizers, block club leaders and residents. Aldermanic offices Chicago Police Department’s CAPS program Environmental organizations

Business and civic organizations, such as the Chicagoland Chamber of Commerce, Civic Committee of the Commercial Club and Smart Chicago.

Residents

Strategic Approach

The Siemens/JT team prides itself on developing high-impact, creative strategies tailored to each client’s unique communications challenges. We implement these strategies with a political campaign-like focus and approach designed to achieve client goals. We believe that it is better to do a few things well than to do a bunch of “stuff” with diffused impact.

One of our unique assets in serving as the Chicago Infrastructure Trust’s strategic communications partner is our expertise in the practice of public affairs. Our client work often involves projects intended to enhance quality of life and economic prosperity for Chicago residents. Specifically, JT works with clients to develop and implement innovative strategies, tools and tactics to support public communications and engagement goals. This value-added, strategic communications perspective will maximize the impact and reach of the Chicago Infrastructure Trust’s public engagement campaign, particularly in the development of messages and materials to engage target audiences, as well as high-impact tactics to reach people where they work, live and play.

To be successful, we recommend a two-pronged communications focus in which we develop tools and tactics to raise awareness of the Project city-wide, as well as community-specific engagement strategies to ensure residents are aware of the impact on their specific neighborhoods prior to, during and after installation. Proactive and transparent communications early and often will be critical to help mitigate potential push back and criticism from residents.

Like any successful campaign, we will build on the momentum from one communications and engagement initiative to the next. While we will leverage economies of scale as we move from one community to the next, we will also take into consideration specific opportunities and challenges of each community, as well as reflect on and adjust our strategy based on lessons learned from phase-to-phase.

Below we outline our recommended approach. Note, our recommended strategy is designed to maximize the $1 million budget and include tactics we believe must be implemented to be

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successful. That said, there are tactics included in italics that would enhance our efforts. These items are not included in the current budget.

Campaign Brand

The Siemens/JT team will work with the Chicago Infrastructure Trust to develop a concise, compelling verbal and visual identity to brand the campaign. This will be key in building recognition and familiarity of the Project across the city. We will deliver key campaign messages through multiple channels, multiple times with the goal of establishing Project awareness and understanding. The campaign brand will be integrated into all aspects of our community engagement strategies to ensure consistent and ongoing delivery.

Verbal Identity: Message Development

Development of key messages that clearly articulate the goals and benefits of the Smart Lighting Project will provide the intellectual and emotional core of this campaign.

Drawing from a thorough review and analysis of public comments made previously about the Project and insights from the Chicago Infrastructure Trust, Siemens and others involved in the Project, JT will develop clear, concise and compelling messages designed to inform and respond to concerns of residents. Our messages will underscore the many ways in which the Project will directly benefit citizens, as well as the City overall.

We will develop both proactive and reactive messages as part of this campaign.

Proactive message themes will include:

Safety benefit to citizens: New lights will provide more reliable and improved nighttime visibility, giving communities a greater sense of safety.

Smart lighting allows for real-time reporting when lights are out, which will result in faster replacement eliminating extended periods of time when streets may be dark.

Economic benefit to citizens: The infrastructure improvement plan is expected to be paid for by borrowing against expected saving from using LED lights, therefore not costing taxpayers additional money.

Improvement plan will create local jobs related to elimination and replacement of existing fixtures. Specifically, the Siemens team will utilize a network of Chicago-based M/WBE partners, as well as create programs that provide job-training opportunities for individuals who traditionally have barriers to employment, such as ex-offenders. Longer lifespan of streetlights resulting in a decrease in long-term maintenance costs.

Environmental benefits: Reducing Chicago’s light pollution, which is currently more than any other city in the world, according to a study from the University of Colorado, will also result in energy efficiency and an improved quality of life for neighborhood residents.

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Reactive message themes to address potential concerns will include:

Privatization of city-owned infrastructure: The Smart Lighting Project is a public-private partnership in which the City and Park District will maintain ownership of and be responsible for maintenance of all lights. Installation will be led by Siemens and its skilled team of engineers and scientists who have installed more than 70,000 LED street lights in 47 U.S. cities in the last four years. As the City works to make Chicago a Smart City of the 21st Century, which will allow it to operate more efficiency and realize cost savings, public-private partnership such as this are required.

LED lights adversely impact human sleep patterns: The American Medical Association (AMA) raised concerns that blue-rich LED street lamps ‘operate at a wavelength that most adversely suppresses melatonin,’ a hormone that affects sleep. In a society that faces significant health challenges, including the negative effects of sleeplessness on the human body, it is possible that critics will use this message against the Project. To the extent possible, we will want to talk about how this Project seeks to meet the AMA’s recommended official policy about streetlights issued in June 2016.

New lights will limit ability to see the stars: In comments made at public meetings regarding the Smart Lighting Project, the issue of how the new lighting will impact citizens’ ability to see the stars was raised. Siemens’ proposed installation program includes directing the light downward and coverings that will not adversely impact star gazing.

While we seek consistency in our overall messaging, we recognize that messages targeting various audiences may require different positioning and perspective. For example, messages targeting the business community will focus on the economic benefits to the City and messages targeting Park District staff and users on the environmental benefits, while messages targeting local residents will need to be more customized to highlight how the plan will benefit their community directly. JT will work with the Chicago Infrastructure Trust to craft and refine a “message map” that can be modified to resonate with each of the Project’s key audiences. Once developed, these messages will be incorporated into all materials produced as part of our engagement strategy.

Message, Presentation and Media Training

Once we have finalized campaign messages, it will be important to ensure that campaign spokespersons are comfortable delivering these messages in a variety of settings, from formal presentations and community meetings to one-on-one stakeholder meetings and media interviews.

We will identify and train a diverse team of spokespersons, which we anticipate will include at least three Siemens representatives, City/Chicago Infrastructure Trust staff and possibly one or two resident supporters.

JT will facilitate a half-day message/presentation/media training workshop for spokespeople. This will include:

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Pre-survey to determine the experience and comfort level of spokespersons in giving presentations and participating in media interviews.

Review of campaign messages.

Skills-building session in which participants will learn basic presentation skills, how to deliver key messages as part of a media interview, etc.

If budget allows, we can extend the session to be a full day and develop customized scenarios in which spokesperson will be able to practice the skills they learned. Each scenario will be video recorded and participants will receive immediate feedback from JT’s trainers, as well as their peers.

Visual Identity: Look and Feel of Campaign

One of the ways we’ll deliver our messages will be through informative, visually compelling and user-friendly collateral materials. The Siemens/JT team will develop a campaign logo and curate images that will be used on all collateral in order to give the campaign a cohesive look and feel. Materials will be designed to communicate and reinforce key messages and engage target audiences both intellectually and emotionally.

Following are the foundational materials we will produce to support the public information campaign. We anticipate developing materials in multiple languages and designing to meet ADA requirements:

Basic Campaign Brochure: We recommend developing a basic brochure that includes compelling images, explains the Project, provides primary messaging, and reinforces the project’s goals and benefits. This brochure could serve as the basic handout for engagement activities and could be distributed to all business and organization supporters for display in their offices and distribution to their members. We would also develop an electronic version that could be emailed and downloaded from a website.

Direct Mail: We believe that direct mail will be the most cost-effective way to ensure we touch every Chicago resident impacted by this project. This piece must be visually appealing and provide community-specific information in order to catch the attention of residents. See the Direct Outreach section of this proposal for more information on distribution strategy.

Environmental Signage: If budget allows, and once installation begins, we recommend producing branded environmental signage that can be placed in impacted areas alerting residents of the project. This could include lamppost signs and/or branded service trucks.

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Strategic Media and Marketing Campaign

Campaign Infrastructure

Taking a campaign-like approach to this project requires us to build a campaign infrastructure to support our engagement efforts. In addition to the above-mentioned foundational materials, the Siemens/JT team will work with the Chicago Infrastructure Trust to establish the following foundational campaign elements:

Campaign Microsite: A campaign microsite will serve as a “one-stop shop” for residents to get information about the Project. Through our engagement efforts we will direct residents to the site for more information and regular updates. Website components could include:

Short welcome video featuring the Mayor and/or other Project spokespersons, as well as residents talking about the benefits of the Project to citizens. Interactive map of installation phases that allows residents to enter their neighborhood and learn when installation is scheduled to begin in their area. Renderings and images of how the new lighting will look once installed. Project fact sheet. Email portal to handle questions and requests for additional information Economic impact information, including the number of local jobs created as result of project, list of M/WBE partners utilized, etc. Profiles of Chicago Public Schools students and other community members serving as project ambassadors (See Direct Outreach section of proposal).

Campaign Video: JT’s in-house video production team will create a campaign video using animation and visual assets to help familiarize residents with the Project. This video can be used at community meetings, posted to digital channels and featured on the campaign website. We envision this video being a key touch-point to the Project by using simple, but impactful messages and animated images that provide a quick and easy to understand narrative. We also recommend the piece be narrated by a well-known Chicago voice, (such as Bill Kurtis, Mayor Emanuel or a talent from WBEZ) to help establish credibility for the Project.

Campaign Hotline: Per the RFP, it is our understanding that the Chicago Infrastructure Trust seeks to establish a campaign hotline staffed by live call takers for at least 14 hours a day on weekdays and eight hours a day on weekends. We recognize the importance of providing residents a number to call for more information, as some individuals are not comfortable and/or don’t have access to the Internet or simply prefer to talk with a real person. That said, based on available budget, we recommend an alternative, more cost-effective approach to meeting this need. Specifically, the Siemens/JT team can train 311 call takers to answer basic questions. It is our assumption, based on having conducted public information projects previously, that most residents will naturally call 311 for information. Residents with questions that are complex or require more detailed responses can be connected to a voicemail box to leave a detailed message that the Siemens/JT team will respond to within 24 hours.

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Direct Outreach

A targeted, aggressive direct outreach strategy is key to a successful engagement campaign. Our goal will be to identify individuals and organizations with whom we can engage as supporters and ambassadors and who are willing to help share information with their constituents. On a parallel track we will develop and implement a hyper-local resident outreach strategy aligned with the phased installation plan.

Grasstops Outreach/Ambassador Building

The Siemens/JT team will identify, engage and follow up with potential individuals and organizations that can serve as ambassadors. To engage their support we will send emails, conduct follow-up calls and host meetings as necessary to share Project information and secure their buy-in. Our team will then stay in contact to maintain their support and participation in awareness efforts. We will provide regular Project updates, content toolkits that include template materials they can share through their existing communications channels, including social, and, as needed, we will mobilize them to co-host community meetings providing our team additional opportunities to share information.

As outlined in the Audience section of this proposal, we will engage community and faith-based organizations, individual community influencers, CAPS representatives, environmental groups and alderman.

We will customize our approach to meet the needs of each group. We will establish a campaign liaison to all the alderman offices. This could be a member of the Siemens/JT team who will serve as a single point of contact for alderman and their staff. To help ensure staff is prepared to answer questions from constituents, we might suggest quarterly briefings allowing our team to provide updates and staff to ask questions.

We will also seek ways to engage organizations that work with underserved populations. For example, we will leverage the extensive M/WBE and community-based organization network that is part of the Siemens team to strategize around the most effective outreach tools. We will also request that they share information about the project with their constituencies.

Based on available budget, we can explore opportunities to partner with additional organizations such as Emerson Collective, Thrive Chicago, 100K, or A Safe Haven, all of which seek to find employment for Black men ages 18 to 24, homeless Chicagoans or ex-offenders. Roles could include distributing campaign materials in neighborhoods just prior to installation.

Resident Outreach

Aligned with the installation phases, JT will implement a hyper-local resident outreach strategy prior to installation beginning. Specifically, we recommend the following:

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Direct mail sent six weeks prior to the start. This piece will be designed to provide basic information about the Project, direct people to the website for more information and provide the date of a community meeting in their area should they seek more information.

Community meeting(s) one-to-two weeks prior to the beginning of installation. The Siemens/JT team will map out and “bundle” neighborhoods into installation phases and facilitate one community meeting for a defined geographic area.

We recommend a format in which a spokesperson welcomes everyone, shares the campaign video, and provides opening remarks, including an installation timeline specific to that community. Following the presentation, residents could be invited to ask questions.

Alternatively, if budget allows, we could facilitate a panel discussion. Following the video and opening remarks, a JT communications professional could facilitate a discussion between spokespersons about the Project, incorporating resident questions into the discussion. While this approach is more time intensive and requires additional resources, it does provide for a more interactive and engaging session.

Regardless the approach, JT will work with the City to identify and secure a location for each community meeting, seeking to partner with local community organizations or utilize City facilities to provide space in-kind. We will be sure that each site has appropriate set-up, including audio-visual equipment, tables, chairs, access to public transportation and easy parking, and that the facility meets ADA requirements, etc.

In addition to promoting through the direct mail piece, we will reach out to the ambassador network in that area, as well as the local alderman to help promote among their constituents.

Depending on available budget, another idea is to host Lunch-and-Learns with community influencers likely to receive questions about the Project could be an effective way to share information and correct misinformation. We could ask local chambers of commerce or large real estate offices in the area to host informational sessions for their members and agents. We might also seek time on the Local School Council agenda to provide Project updates.

Digital Engagement

Successful digital campaigns foster conversation and exploration around issues and ideas. We will develop an owned and paid digital engagement strategy that leverages the campaign micro-site, a variety of social media platforms, digital advertising and email (to the extent email lists are available) to both push information about and engage target audiences in the Project.

Specifically, we will establish campaign Facebook and Twitter pages to promote information. Using a mix of social media advertising and direct targeting, we will build audiences on both platforms. We will also promote social channels in all of our collateral materials. The Siemens/JT team will develop content and post responses to questions in order to maintain followers and engagement.

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We will also implement a social listening campaign in which we monitor chatter about the Project in order to gauge questions/concerns, as well as determine if misinformation is being circulated. We will work with the Chicago Infrastructure Trust to develop a response plan to address these questions/concerns and correct misinformation as appropriate.

Once installation begins, we will implement a search and social media advertising campaign that targets key communities impacted. We will use a “pay-per-click” optimized strategy, which is both the most cost-efficient and effective way to reach target audiences. Our team will be responsible for developing content and graphics for these ads.

Earned Media

The Siemens/JT team recommends an aggressive, targeted approach to media relations. We have extensive experience leveraging and maximizing media outreach tactics to ensure that our clients’ stories are told in the most positive and influential way. JT’s Director of Media Strategies and former Chicago Tribune reporter Colleen Mastony will lead JT’s efforts to develop and implement a comprehensive media strategy designed to maintain momentum over the four-year campaign.

Our media strategy will include the following components:

Campaign kickoff announcement. While this Project has been reported on previously, we will want to establish an official kickoff of the campaign at which time we will announce Siemens approach to installation. This will provide an opportunity to deliver key messages, introduce spokespersons and frame the campaign from the very beginning. We will seek to coordinate this announcement with the Mayor’s Office and Chicago Infrastructure Trust.

Editorial Board meeting. Prior to the announcement, we recommend a series of editorial board meetings with the Chicago Tribune, Chicago Sun-Times and appropriate community and minority publications, with content embargoed until announcement day. Our goal in recommending this approach would be that on the day of our announcement, positive editorials would run helping elevate the importance of this announcement.

Ongoing creative story pitches. Throughout the four-year campaign, the Siemens/JT team will work to identify new and unique story angles in order to keep reporters engaged in the Project. For example, following installation in a few neighborhoods, we plan to pitch a “resident roundtable” to WTTW’s “Chicago Tonight” with one campaign spokesperson and area residents from different communities talking about how the street lights have made their communities feel safer. We will pitch Chicago Inno on a story about how “Smart” street lighting is contributing to making Chicago a “Smart City” for the 21st Century. Perhaps the Chicago Tribune or Chicago Sun-Times would agree to publish an annual progress report story that features a map highlighting neighborhoods in which lights have been installed and showing a series of before and after photos.

Hyper-local and ethnic media outreach. Once installation begins, we strongly believe that hyper-local and ethnic media outreach will be important communication channels. For

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example, given the growth and popularity of DNA Info, we will conduct briefing meetings with DNA Info Editor Shamus Toomey prior to the start of every phase, and inviting their community-specific reporters to attend. We might even want to explore a paid advertising partnership with DNA Info in order to target each neighborhood. We will conduct similar briefings with ethnic newspapers as well. For example, when work begins in the Avondale/Polish Village neighborhood, which is home to a large Polish community, we recommend a one-on-one briefing with the editor of the Polish Daily News, the largest Polish-language newspaper in Chicago.

Traditional Advertising

Print, broadcast, billboards and transit ads provide another opportunity to inform residents about the Smart Lighting Project broadly. However, mass-market advertising can also be expensive, and more difficult to measure impact than with digital advertising or even direct outreach, which we strongly recommend (referenced above).

Working with advertising partners to most effectively utilize available budget, JT will develop an advertising strategy designed to complement the overall marketing campaign, with recommended placements aligned to key dates on the project timeline. For example, we might recommend a series of print ads timed to the campaign kick-off announcement; neighborhood bus shelter and community newspaper ads synchronized with the implementation phases; and radio spots, such as WBEZ’s Smart Quiz sponsorship, to provide updates two-years into the campaign. Specific tactics will not be determined until we develop an overall campaign budget. We will also work with the Chicago Infrastructure Trust and City of Chicago to explore opportunities to leverage in-kind billboard and transit ad space provided to the City for public information campaigns.

JT, along with its advertising partners, will be responsible for developing the creative and all media buying associated with implementing the agreed upon advertising strategy.

Ongoing Reporting

JT often works with clients to design and implement metrics to evaluate the ongoing effectiveness of public information campaigns. To support this process, JT will facilitate weekly or bi-weekly conference calls and regular meetings with members of the Project team. We will also submit monthly written reports to share project ideas and status updates. As needed, JT Accounts Director James Chase, who will serve as project manager for our work on this Project, will also be available to attend and provide a status report at staff meetings, with support from JT senior counselors Jim Terman and Dan Regan.

JT will work with the Chicago Infrastructure Trust to develop a series of more formal benchmarks to determine the impact of our specific tools and tactics, possibly including numbers of website visits, media placements secured, attendance at community meetings, social media conversations, etc. Regarding media coverage, we want to emphasize, however, that it is

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important to evaluate not just the number of media placements or inquiries received, but also the content and quality of placements.

On an annual basis, JT will develop a comprehensive wrap-up report that includes an analysis of the effectiveness of the tools and tactics implemented, a complete media summary that details the print, broadcast and online placements earned as a result of our efforts, and an overview of attendance and follow-up inquiries/opportunities resulting from our outreach activities.

Crisis Communications Plan Development

Issues management and crisis communications are core practice areas of JT. This project lends itself to both the need for issues management and crisis communications. For example, a tip that critics will protest a community meeting or a misinformation campaign circulating on social media will require issues management – the development of thoughtful, strategic responses to mitigate potential issues – and hopefully avoid a crisis. At the same time, an unexpected crisis could occur, such as a worker or resident injured during installation. This will require an immediate reactive response.

JT will work with the Chicago Infrastructure Trust to develop a rapid response protocol should such situations arise. This will include a detailed plan as to how information will be shared internally, prior to public communications. Specifically, we will identify a crisis communications team, which will include a mix of decision makers and subject-matter experts from Siemens, the City and JT. Our plan will include cell phone numbers for all members of the crisis team and internal communications protocols. To prepare, we will also develop crisis scenarios and using the established protocols flesh out key messages, prioritize target audiences, identify communications channels, and practice each scenario with spokespersons.

While no crisis is the same, our response will be guided by the following principles:

We will share and explain bad news first, before someone else has a chance to do it for us

We will communicate early and often with news and updates. Otherwise trouble fills a vacuum

We will develop messages that are compassionate, confident, consistent and credible

We will not speculate, but share what we know to be true and confirmed

We will take action and communicate what we’re doing to remedy or alleviate the situation

Siemens/JT Crisis Communications Team/Protocol

Should an issue arise or a crisis occur, senior managers of the Siemens/JT’ Smart Lighting Project will be available 24/7 to provide counsel, develop messages, and respond as necessary. Core members of the Siemens/JT’ crisis communications team include:

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Jim Terman, President, JT Dan Regan, Senior Vice President, JT Skip Shein, Siemens Project Manager Dimitrios Andrikos, Siemens Mobility Division Mary Beth Clay, Siemens Corporate Communications Judy D. Martinez-Faye, Siemens Chief City Executive for Chicago

Depending on how the issues/crisis is brought to the team’s attention, the Siemens/JT team will immediately alert a designated member of the Infrastructure Trust’s team. We believe it’s important that an Infrastructure Trust representative be part of the strategy conversations regarding how best to manage the issue or crisis from the beginning. Depending on the nature and level of crisis, we will assemble a crisis communications team, which will include a high-ranking decision maker on behalf of the City of Chicago, Siemens technical experts and legal counsel as appropriate.

A flow chart illustrating crisis communications is as follows:

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M/WBE Participation Plan

M/WBE Participation Plan and Commitment

Siemens is proud to submit an M/WBE Participation Plan that maximizes the economic impact (jobs, income, and business growth) for the socially disadvantaged in Chicago. This plan exceeds the project M/WBE goals, creates jobs for ex-offenders and homeless people in Chicago, and dedicates numerous positions to monitor and ensure compliance with M/WBE, Workforce Development and EEO regulations.

Siemens will exceed the M/WBE goals of 26% MBE and 6% WBE by utilizing 34.4% MBE and 15% WBE for a total M/WBE participation of 49.5% of the total contract value. M/WBE’s will be in management and/or leadership roles over the main elements of the work – materials, asset condition assessment, LED conversion, infrastructure stabilization and recycling.

Highlights of our M/WBE plan are as follows:

49.4% utilization of M/WBE firms in management and leadership roles over the main elements of the work

Creation of a new LED Light Recycling Job Training Program for 10 people who are homeless, ex-offenders in partnership with A Safe Haven - a not-for profit, social enterprise that helps people aspire, transform and sustain their lives as they transition from homelessness to self-sufficiency with pride and purpose

Engagement of Sandi Llano & Associates, a local firm specializing in tracking Chicago’s M/WBE, Workforce Development Plan and EEO compliance regulations

M/WBE Team

Drawing on the established relationships with the workforce of the City, Siemens has assembled the following team of M/WBE firms to complete the Smart Lighting Project:

Project Scope Firm MBE WBE Total Per

Cent of Work

Distributors (LED Fixtures)

Evergreen Supply X

100% M/WBE Production Distribution Companies, Inc. (PDC)

X

Asset Condition Assessment

Spaan Tech.

X 100% WBE

LED Fixture Installation

Quantum X Horizon Contractors X

Targeted Infrastructure Stabilization Repairs

City Lights X 100% MBE

New Era Painting X

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Recycling

Everlights A Safe Haven Foundation

M/WBE, Workforce Development, EEO Compliance

Sandi Llano & Associates

X

Siemens Supplier Diversity Commitment

Siemens is a multicultural organization with operations in nearly every country in the world. We promote diversity at all levels, and are increasingly looking to establish relationships with businesses recognized as small or diverse. For example, on February 25, 2016, Siemens held an M/WBE workshop in its downtown Chicago office for the purpose of driving deeper and more sustained relationships with the M/WBE community. Thirty people from 25 companies attended the event. We are now implementing the M/WBE Business Engagement Plan for a handful of these companies to train and identify future partnership opportunities with them.

We seek to support and mentor local M/WBE subcontractors and suppliers so that they are better able to succeed in future opportunities after this project is complete. Some of these measures include:

Providing a race-neutral and unbiased means for soliciting Subcontractors and Suppliers. Creating an M/WBE Utilization Program. Developing and distributing lists of viable M/WBE candidates. Making Good Faith Efforts to involve viable candidates in the Project. Inclusion of M/WBE utilization goal requirements in lower tier Subcontracts. Assisting new M/WBE firms and mentoring existing ones. Monitoring of M/WBE Efforts to check progress and compliance.

Siemens encourages and supports disadvantaged enterprises to compete for contracts. Our team will provide opportunities for M/WBEs and employ creative problem solving methods to build business capacity. These mentoring and training opportunities are intended to support their business development over the long-term, improve their ability to compete successfully for work, and to increase the complexity of the work they can secure in the future. Our size and experience allows us to pass-forward our lessons learned, policies, procedures, cost control, scheduling, and business planning to these firms, throughout the life of the project.

Siemens strives to ensure that businesses owned by minorities, women, the disadvantaged, the disabled, and veterans are provided equitable opportunity to participate in our competitive contracting and procurement processes. By partnering with these domestic third party suppliers, we not only fulfill many of our customers’ primary requirements, we also develop relationships that enhance SII’s creativity and innovation.

In furtherance of these goals, Siemens annually negotiates a Commercial Small Business Subcontracting Plan with the General Services Administration (GSA) under the Small Business

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Subcontract Program. Per the Plan, Siemens agrees to subcontract a target amount of its total planned subcontracting to qualified small business concerns in these six categories:

Small Business concerns (SB)Small Disadvantaged Business concerns (SDB)Women-Owned Small Business concerns (WOSB)HUBZone Small Business concerns (HUBZone)Veteran-Owned Small Business concerns (VOSB)Service-Disabled Veteran-Owned Small Business concerns (SDVOSB)

In addition to supporting Federal Small Business requirements, Siemens is committed to actively drive and fully support sourcing efforts of minority owned business enterprises, even if they are not a small business, in the following categories:

Minority Business Enterprises (MBE)Women Business Enterprises (WBE)Disadvantaged Business Enterprises (DBE)

Siemens is a richly multicultural organization with operations in nearly every country in the world. Our diversity practices are built on awareness and respect for local histories, cultures and needs. Here in the United States, Siemens promotes diversity at all levels, from entry level to the highest ranks. We recognize and respect differences and similarities that make our U.S.-based companies more competitive. Because we believe that all these similarities and differences enhance our strength as a company.

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Siemens Smart Lighting M/WBE Commitment - Exceeds Goals Set by CIT

Siemens strategically sought to leverage this streetlight project to create economic impact and maximize utilization of M/WBE’s and the socially disadvantaged in Chicago. We bypassed the step of creating a partnership with a large electrical firm, which would have created an additional, unnecessary level of bureaucracy and expense for this project.

Siemens chose an innovative approach that allows us to use our own LED fixture and electrical engineering expertise to create jobs (by hiring Local 9 electricians) and maximize the participation of local M/WBE firms in the streetlight project areas in the preceding table.

Promote Long-term Strategic Partnerships with Chicago M/WBE’s

An added benefit for having direct relationships with its subcontractors is that Siemens can promote long-term strategic partnerships with Chicago’s M/WBE’s and provide focused mentor-protégé programs and training when desired by M/WBE’s. This will help the M/WBE companies grow, create jobs in Chicago and promote the overall Chicago economy.

Siemens Supplier Development Programs aim at a sustainable mentoring and training relationship as well as the continuous identification of project opportunities.

During the mentoring and training program, Siemens provides opportunities for M/WBE’s to take project leadership roles to expand an M/WBE’s portfolio. Siemens also helps open the door to new market segments across the globe, and currently serves customers in 190 countries. M/WBE companies benefit from long-term contracts and higher volumes of work as preferred suppliers, and the opportunity to collaborate with a financially stable partner. Furthermore, Siemens customizes each Mentor-Protégé program to fit the unique goals of each M/WBE company.

Create Jobs for Ex-Offenders and Homeless People

Another capacity building and innovative utilization initiative is the creation of jobs and a job training program for ex-offender and homeless people in Chicago. Siemens has partnered with A Safe Haven Foundation (ASHF) to create LED fixture recycling jobs for 10 men and women who are ex-offenders and homeless. The training will provide graduates with up to 3 certifications upon completion of the training, OSHA 10, First Aid and CPR. These industry certificates will help trainees be competitive in the job market and are particularly important for ex-offenders who have more significant barriers to employment.

All training and recycling work will be completed at a training center located at 2501 West Taylor Street in Chicago. The facility is 25,683 sq. ft., of which 5,000 sq. ft. will be dedicated specifically to the Chicago Smart Lighting Project, while the remaining space will continue with various ASHF programs. All training will consist of a combination of instructor-led and on-the-job training. Siemens’ will provide trainees with all training materials, supplies, tools, safety gear, and testing fees during their training. Trainees will also be provided with CTA VENTRA fare cards during training and for the first two weeks after job placement to ensure that trainees are

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able to get to training and work. Trainees will not be required to pay anything out of pocket throughout the entire training. The schedule is as follows:

Orientation and TABE Testing – 2 Days STRIVE Job Readiness– 2 weeks, Monday through Friday, 9:00 a.m.–4:30 p.m. OSHA 10–1 week, Monday through Friday, 9:00 a.m.–1:00 p.m. CPR and First Aid - 2 Day Training LED Conversion Disassembly Technical Training – To be determined Hazmat Certification – 3 Day Training

M/WBE, Workforce Development, and EEO Compliance

Siemens commitment to utilize M/WBE firms for 49.4% of the contract, create 10 recycling jobs for ex-offenders and homeless people, and to create new jobs by hiring its own local electricians, requires oversight by a dedicated, M/WBE/EEO specialist with experience in Chicago. Siemens will engage Sandi Llano & Associates to execute its M/WBE, Workforce Development and EEO commitments

Sandi Llano has 36 years of proven experience in this field. As Metra’s DBE Director for 26 years, and as a M/W/DBE consultant for 6 years, Sandi has developed excellent working relationships in the minority/women business and workforce community and can oversee and execute the Siemens M/WBE, Workforce Development and EEO Plans.

Sandi will serve in a vital role, with the following as her particular functions:

Ensure the M/WBE firms will perform a commercially useful function in accordance with their areas of specialty Track payments to M/WBE firms Ensure Siemens and its subcontractors have a diverse workforce that is representative of the City of Chicago Track compliance with hiring goals established by the CIT for hiring ex-offenders and graduates/enrollees of Chicago Public Schools and Chicago City Colleges Track compliance with goals to include minority/women journey workers, apprentices and laborers Track residency Prepare appropriate reports

As plainly stated in the M/WBE Plan, Siemens demonstrates its support of Chicago's continued commitment to the success of minority- and women-owned businesses, and recognizes by promoting contracting opportunities to M/WBEs the City's growth and economic stability is enhanced. In addition, we acknowledge while the goal of the CIT for this project is to enhance public safety and quality of life for Chicagoans, it’s equally important to take full advantage of the economic benefits this capital project offers to Chicagoans.

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Workforce Development Plan

Proposals must include a Workforce Development Plan that at minimum addresses the major areas outlined below. The Workforce Development Plan should describe the Proposer’s subcontracting, hiring, staffing, and any other relevant strategies and plan to achieving the City’s desired workforce development goals

For the Chicago Streetlight Project, Siemens will have a diverse workforce that is representative of the residents of Chicago. Siemens Workforce Development Plan includes the following elements:

12 of 15 partner companies have Chicago addresses 49.4% utilization of local M/WBE firms Creation of 10 LED fixture recycling jobs for ex-offender and homeless people in Chicago Utilization of a student workforce from Chicago Public Schools and Chicago City Colleges Creation of new electrical construction jobs, including minority/women journeyworkers, minority/women apprentices and minority/women laborers 50% of total work hours to be performed by City of Chicago residents 10% of total work hours to be completed by persons who reside in a socioeconomically disadvantaged area as defined by Ex. G

Siemens Commitment to a Diverse and Local Workforce

It is Siemens intent to maximize the utilization of M/WBE companies, create jobs for ex-offenders and local residents, support local students enrolled in technical education programs and have a diverse workforce that is representative of Chicago. Siemens will achieve all workforce development participation requirements and goals on each Work Order assigned under the contract. Detailed information regarding our Affirmative Action/EEO plan may be found in Appendix B – Affirmative Action/EEO Plan.

Approach for Performing Smart Lighting Work With a Diverse Workforce

Asset Condition Assessment Hiring Requirements

Spaan Tech (WBE firm) will perform 100% the infrastructure condition assessment work. 50% of Spaan Tech’s work force will be individuals enrolled or graduated from a Chicago Public School OR City College of Chicago Program complying with Municipal Code 2-92-335; OR an individual participating in an Ex-Offender Apprentice Program complying with 2-92-336. Spaan Tech has contacted the following organizations for help in obtaining a qualified workforce: A Safe Haven, After School Matters, Ex Offender Apprentice Program, Veterans Employment programs, as well as area education institutions including technical and professional schools and Universities, such as the Dawson Institute, Daley College, University of Illinois (UIC) and Illinois Institute of Technology.”

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LED Conversion and Infrastructure Stabilization

City Lights (MBE), Horizon Contractors (WBE), Quantum Crossings (MBE), and Siemens will perform the LED conversion work. Each contractor will comply with the regulation that 50% of the total work hours must be performed by City residents. Each contractor will also comply with the regulation that 10% of total work hours must be performed by persons who reside in socioeconomically disadvantaged areas as defined by the map provided. In addition, each contractor will make good faith efforts to utilize qualified eligible residents of the City of Chicago in both skilled and unskilled labor positions.

Equal Employment Opportunity

Siemens will adopt Chicago’s goals for women and minorities in construction.

25% Minority journeyworkers 7% Women journeyworkers 25% Minority apprentices 7% Women apprentices 40% Minority laborers 10% Women laborers

Removal, Salvage, Disposal, and Recycling of Existing Luminaires

A cornerstone of the Siemens Workforce Development Program is the creation of a recycling job training program for ex-offenders. In a particularly notable partnership, Siemens will collaborate with A Safe Haven Foundation (ASHF) who will serve as a subcontractor and provide workforce development services for those individuals performing the LED Conversion and Infrastructure Stabilization component of the Chicago Smart Lighting project.

Siemens will work in partnership with ASHF to create an on-the-job green jobs disassembly training program, while creating a career pathway for trainees. As a result of the demand for a properly trained workforce, ASHF and Siemens will join forces and offer a well-rounded community-based green jobs recycling training program for ex-offenders who have been or are enrolled in a bona fide Apprentice Training Project. The training will offer warehousing disassembly and reassembly training and provide graduates with up to three certifications upon completion of the training.

M/WBE, Workforce Development and EEO Compliance

Sandi Llano & Associates, Inc. has been hired to ensure compliance with M/WBE participation and residency requirements.

Sandi Llano will verify M/WBE compliance and maintain employee residency records to ensure they meet all requirements. In addition, Ms. Llano will maintain copies of all supporting documentation of each employee’s actual record of residence, income and ensure all Certified

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Payroll Reports are transmitted to Siemens Compliance Officer for reporting to the Chicago Infrastructure Trust.

Workforce Development Plan Design

Siemens will coordinate with the City, and provide a detailed, City-centric Workforce Development Plan after award of the contract. Our plan will include the following areas of development:

Intake and Assessment Training and Knowledge Transfer Evaluation and Measurement Career Pathway

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Local Economic Initiatives

Siemens seeks favorable consideration for utilization of project-area subcontractors. 12 of the 15 partner companies have City of Chicago addresses. Siemens commits to subcontracting to 7 City-based businesses listed below.

The following 7 Siemens subcontractors meet Municipal Code Section 2-92-405 Bid Preference for City-Based Businesses because they (i) conduct meaningful day-to-day business operations at a facility located with the city and that facility is the place of employment for the majority of its regular, full-time workforce; (ii) hold all appropriate city licenses; and (iii) are subject to applicable city taxes.

A Safe Haven Foundation 2750 W. Roosevelt Chicago, IL 60608 Neli Vazquez-Rowland 773-435-8422 neli@asafehaven.com

Quantum Crossings 111 E. Wacker Street, Suite 990 Chicago, IL 60601 Roger Martinez 312-651-5307 rmartinez@quantumcrossings.com

Horizon Contractors 712 W. Root Street Chicago, IL 60609 Tina Chung 312-850-3010 horizoncontractors@sbcglobal.net

Evergreen Supply 312 N. May Street, Chicago, IL 60607 Colleen Kramer 708-417-8486 ckramer@evergreensupply.com

Production Distribution Co. (PDC) 9511 S. Dorchester Ave Chicago, IL 60628 Cleo Downs Cleo@pdcompanies.org

Spaan Tech, Inc. 311 South Wacker Drive, Suite 2400 Chicago, IL 60606-6780 Smita Shah Mobile (312) 401-4838 sshah@spaantech.com

New Era Painting 3029 W. 41st Place Chicago, IL 60632 Thomas Blaney tblaney@sbcglobal.net

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Section II - LED Conversion Proposal

LED Luminaire Specifications

Siemens’ vendor neutral project approach evaluates the specific needs of each customer rather than partnerships with “favored” manufacturers that bias our choices. For this project, we solicited pricing from each of the major LED fixture manufacturers shortly after release of the RFP. Nearly all responded, with a few saying they had committed to other teams and were therefore unable to provide pricing. After receiving bid packages from suppliers, Siemens went through a detailed selection process that included the review of competitive bids for all fixture types to determine the “best value” choices for Phase 1 of the Smart Lighting Project. We used a combination of the following considerations as prerequisites

Ability to meet City specifications and to provide the corresponding technical data for this response by our internal deadlines; Successful working history with CDOT locally and Siemens nationally on previous streetlight conversions; Demonstrated installation base and ability to produce fixtures in the necessary quantity to meet our proposed accelerated installation schedule; Ability to source product through local MBE/WBE distributors; Ten-year operating costs based on the fixture wattage required to meet City specifications; and Fixture price.

We can share more details about this process if selected by the City or in an interview format. At this point we have agreed to keep non-selected supplier submittals confidential. This process would be repeated in each phase of the project. When 1) lighting calculations, 2) annual energy savings, 3) rated life, and 4) pricing are combined, the following graphic shows the results of our Energy Engineer’s analysis:

VENDOR A(LEOTEK)

VENDOR: B VENDOR: C VENDOR: D VENDOR: E

FINAL STANDINGS

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We went through a similar process to arrive at King (acorn luminaires) and NewStar (viaduct lighting).

Leotek has a strong nationwide installation base as evidenced by the following customers:

Location State/Province Customer Type Number of Units California DOT (Cal Trans) CA DOT 40,000

Los Angeles CA Municipality 40,000 Ameren MO Utility 37,000 Seattle WA Municipality 30,000

Portland OR Municipality 28,000 Detroit MI Municipality 24,000

San Jose CA Municipality 20,000 Boston ME Municipality 14,000

Arlington TX Municipality 12,000 CODOT CO DOT 5,000

Siemens has installed tens of thousands of LED Leotek cobrahead streetlight fixtures and their reliability as evidenced by fixture failure rate in the first 2-3 years post-installation has been very impressive. As a result, we have the utmost confidence in Leotek as a fixture supplier for the majority of luminaires in Phase 1.

King Luminaire provides a high-quality option that will provide a long-lasting replacement product for the arterial and residential ornamental lighting contexts. King is a nationwide leader in the production of ornamental LED fixtures. Siemens has worked with King on a variety of LED conversions elsewhere in the US.

Our selected manufacturer for the viaduct lighting, New Star, deserves special mention to note they are a Chicago-based manufacturer, which enhances our team strategy to involve Chicago-based businesses in all aspects of this project. The roots of New Star Lighting go back to 1971 when Paul Ohadi founded Paul D Metals. The company was a metal fabrication shop located on the south side of Chicago making housings for other Chicago based lighting manufacturers as well as any other business that would help the company grow. In 1984, Paul purchased Star Lighting which he then changed the name to New Star Lighting. New Star began as a company focused in on confinement, healthcare, cleanroom, transportation, institutional and vandal resistant architectural luminaires. For 33 years, New Star has operated in the same location and if a problem should ever occur we have our team ready willing and able to resolve it.

The company started off with 12 employees in 1984 and is now over 140 employees still located in Chicago. They work on all different kinds of technologies: LED, Conventional HID, CFLS, Fluourescent, OLED, and induction. New Star is dedicated to providing the highest quality and latest technology on budget and on schedule. New Star is a true manufacturer and

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manufactures all fixtures from scratch. Their building engineers, purchases raw material, processes orders, shears metal, punches/cuts metal, forms the cut metal, welds, powder paint, and assembles the fixtures right in Chicago. They also carry sufficient inventory here in Chicago to reduce lead times.

Form 4 – LED Luminaires and Specifications follow this page.

Form 4: LED Luminaire Specifications Submittal Form

Lighting Context Residential Legacy (66 Foot ROW, One-Sided Light Pole Configuration)

Product Information Description Product Data(Summary)

Submittal ReferenceDocument

Luminaire Designation Residential LegacyLuminaire Manufacturer Leotek USA

Luminaire Model Number GCL1-80G-MV-WW-3R-XX-700-DALI-PCR7-WL Luminaire Spec Sheet

Luminous Flux – initial 20,800 lumens Luminaire Spec Sheet/LM-79

Luminaire input power—initial 185 watts Luminaire Spec Sheet/LM-79

Luminaire input power—maintained 185 watts Luminaire Spec Sheet/LM-79

Luminaire input voltage- nominalrange

120 -277 volts Luminaire Spec SheetDALI Spec Sheet

LED drive current - initial 700 milliamps Luminaire Spec Sheet/LM-79

LED drive current - maintained 700 milliamps Luminaire Spec Sheet/LM-79

CCT (correlated color temperature) 3000 kelvin Luminaire Spec Sheet/LM-79

CRI (color rendering index) 70 min Luminaire Spec Sheet/LM-79

EPA (effective projected area) -nominal

.8 sq. ft. Luminaire Spec Sheet

Luminaire Weight - nominal 18 lbs. Luminaire Spec Sheet

Control Interface ANSI C136.41, 7-pin Luminaire Spec Sheet

LED Driver – dimming capability Dimmable, 0-10V Dimmable, DALI DALI Spec Sheet

LED driver- rated life 22 years DALI Spec Sheet

Electrical transient immunity ANSIC136.2 combination wave test level

Basic(6kV/3kA)

Enhanced(10kV / 5kA)

Elevated(20kV/10kA)

Luminaire Spec SheetEMI Test Report

Vibration Test-ANSI C136.31 Level 2 Luminaire Spec Sheet3G Test Report

Luminaire warranty period 10 years Luminaire Spec SheetWarranty Document

IES LM-80 test duration 8568 hours IES LM-80-15 report

LED lumen maintenance at 36,000hours

96.3 % TM-21 calculator

Max. LED case temperature 82.5 degrees Celsius ISTMT report

Lighting Context Alley (New Wiring Harness)

Product Information Description Product Data(Summary)

Submittal ReferenceDocument

Luminaire Designation Alley – New Wiring HarnessLuminaire Manufacturer Leotek USA

Luminaire Model Number GCJ2-20H-MV-WW-2R-XX-900-DALI-PCR7-WL Luminaire Spec Sheet

Luminous Flux – initial 6120 lumens Luminaire Spec Sheet/LM-79

Luminaire input power—initial 58 watts Luminaire Spec Sheet/LM-79

Luminaire input power—maintained 58 watts Luminaire Spec Sheet/LM-79

Luminaire input voltage- nominalrange

120 -277 volts Luminaire Spec SheetDALI Spec Sheet

LED drive current - initial 900 milliamps Luminaire Spec Sheet/LM-79

LED drive current - maintained 900 milliamps Luminaire Spec Sheet/LM-79

CCT (correlated color temperature) 3000 kelvin Luminaire Spec Sheet/LM-79

CRI (color rendering index) 70 min Luminaire Spec Sheet/LM-79

EPA (effective projected area) -nominal

.39 sq. ft. Luminaire Spec Sheet

Luminaire Weight - nominal 7lbs. Luminaire Spec Sheet

Control Interface ANSI C136.41, 7-pin Luminaire Spec Sheet

LED Driver – dimming capability Dimmable, 0-10V Dimmable, DALI DALI Spec Sheet

LED driver- rated life 22 years DALI Spec Sheet

Electrical transient immunity ANSIC136.2 combination wave test level

Basic(6kV/3kA)

Enhanced(10kV / 5kA)

Elevated(20kV/10kA)

Luminaire Spec SheetEMI Test Report

Vibration Test-ANSI C136.31 Level 2 Luminaire Spec Sheet3G Test Report

Luminaire warranty period 10 years Luminaire Spec SheetWarranty Document

IES LM-80 test duration 10,000hours IES LM-80-15 report

LED lumen maintenance at 36,000hours

96.8 % TM-21 calculator

Max. LED case temperature 70.0 degrees Celsius ISTMT report

Lighting Context Alley (Existing Wiring Harness)

Product Information Description Product Data(Summary)

Submittal ReferenceDocument

Luminaire Designation Alley Existing Wiring HarnessLuminaire Manufacturer Leotek USA

Luminaire Model Number GCJ2-20H-MV-WW-2R-XX-900-DALI-PCR7-WL Luminaire Spec Sheet

Luminous Flux – initial 6120 lumens Luminaire Spec Sheet/LM-79

Luminaire input power—initial 58 watts Luminaire Spec Sheet/LM-79

Luminaire input power—maintained 58 watts Luminaire Spec Sheet/LM-79

Luminaire input voltage- nominalrange

120 -277 volts Luminaire Spec SheetDALI Spec Sheet

LED drive current - initial 900 milliamps Luminaire Spec Sheet/LM-79

LED drive current - maintained 900 milliamps Luminaire Spec Sheet/LM-79

CCT (correlated color temperature) 3000 kelvin Luminaire Spec Sheet/LM-79

CRI (color rendering index) 70 min Luminaire Spec Sheet/LM-79

EPA (effective projected area) -nominal

.39 sq. ft. Luminaire Spec Sheet

Luminaire Weight - nominal 7lbs. Luminaire Spec Sheet

Control Interface ANSI C136.41, 7-pin Luminaire Spec Sheet

LED Driver – dimming capability Dimmable, 0-10V Dimmable, DALI DALI Spec Sheet

LED driver- rated life 22 years DALI Spec Sheet

Electrical transient immunity ANSIC136.2 combination wave test level

Basic(6kV/3kA)

Enhanced(10kV / 5kA)

Elevated(20kV/10kA)

Luminaire Spec SheetEMI Test Report

Vibration Test-ANSI C136.31 Level 2 Luminaire Spec Sheet3G Test Report

Luminaire warranty period 10 years Luminaire Spec SheetWarranty Document

IES LM-80 test duration 10,000hours IES LM-80-15 report

LED lumen maintenance at 36,000hours

96.8 % TM-21 calculator

Max. LED case temperature 70.0 degrees Celsius ISTMT report

Lighting Context Arterial (Feeder) Legacy

Product Information Description Product Data(Summary)

Submittal ReferenceDocument

Luminaire Designation Arterial FeederLuminaire Manufacturer Leotek USA

Luminaire Model Number GCL1-60G-MV-WW-2R-XX-700-DALI-PCR7-WL Luminaire Spec Sheet

Luminous Flux – initial 15,600 lumens Luminaire Spec Sheet/LM-79

Luminaire input power—initial 135 watts Luminaire Spec Sheet/LM-79

Luminaire input power—maintained 135 watts Luminaire Spec Sheet/LM-79

Luminaire input voltage- nominalrange

120 -277 volts Luminaire Spec SheetDALI Spec Sheet

LED drive current - initial 700 milliamps Luminaire Spec Sheet/LM-79

LED drive current - maintained 700 milliamps Luminaire Spec Sheet/LM-79

CCT (correlated color temperature) 3000 kelvin Luminaire Spec Sheet/LM-79

CRI (color rendering index) 70 min Luminaire Spec Sheet/LM-79

EPA (effective projected area) -nominal

.8 sq. ft. Luminaire Spec Sheet

Luminaire Weight - nominal 18 lbs. Luminaire Spec Sheet

Control Interface ANSI C136.41, 7-pin Luminaire Spec Sheet

LED Driver – dimming capability Dimmable, 0-10V Dimmable, DALI DALI Spec Sheet

LED driver- rated life 22 years DALI Spec Sheet

Electrical transient immunity ANSIC136.2 combination wave test level

Basic(6kV/3kA)

Enhanced(10kV / 5kA)

Elevated(20kV/10kA)

Luminaire Spec SheetEMI Test Report

Vibration Test-ANSI C136.31 Level 2 Luminaire Spec Sheet3G Test Report

Luminaire warranty period 10 years Luminaire Spec SheetWarranty Document

IES LM-80 test duration 8568 hours IES LM-80-15 report

LED lumen maintenance at 36,000hours

96.3% TM-21 calculator

Max. LED case temperature 72.1 degrees Celsius ISTMT report

Lighting Context Residential Modern

Product Information Description Product Data(Summary)

Submittal ReferenceDocument

Luminaire Designation Residential ModernLuminaire Manufacturer Leotek USA

Luminaire Model Number GCL1-60G-MV-WW-3R-XX-700-DALI-PCR7-WL Luminaire Spec Sheet

Luminous Flux – initial 15,600 lumens Luminaire Spec Sheet/LM-79

Luminaire input power—initial 135 watts Luminaire Spec Sheet/LM-79

Luminaire input power—maintained 135 watts Luminaire Spec Sheet/LM-79

Luminaire input voltage- nominalrange

120 -277 volts Luminaire Spec SheetDALI Spec Sheet

LED drive current - initial 700 milliamps Luminaire Spec Sheet/LM-79

LED drive current - maintained 700 milliamps Luminaire Spec Sheet/LM-79

CCT (correlated color temperature) 3000 kelvin Luminaire Spec Sheet/LM-79

CRI (color rendering index) 70 min Luminaire Spec Sheet/LM-79

EPA (effective projected area) -nominal

.8 sq. ft. Luminaire Spec Sheet

Luminaire Weight - nominal 18 lbs. Luminaire Spec Sheet

Control Interface ANSI C136.41, 7-pin Luminaire Spec Sheet

LED Driver – dimming capability Dimmable, 0-10V Dimmable, DALI DALI Spec Sheet

LED driver- rated life 22 years DALI Spec Sheet

Electrical transient immunity ANSIC136.2 combination wave test level

Basic(6kV/3kA)

Enhanced(10kV / 5kA)

Elevated(20kV/10kA)

Luminaire Spec SheetEMI Test Report

Vibration Test-ANSI C136.31 Level 2 Luminaire Spec Sheet3G Test Report

Luminaire warranty period 10 years Luminaire Spec SheetWarranty Document

IES LM-80 test duration 8568 hours IES LM-80-15 report

LED lumen maintenance at 36,000hours

96.3 % TM-21 calculator

Max. LED case temperature 72.1 degrees Celsius ISTMT report

Lighting Context Arterial (Large)

Product Information Description Product Data(Summary)

Submittal ReferenceDocument

Luminaire Designation Arterial FeederLuminaire Manufacturer Leotek USA

Luminaire Model Number GCL1-60G-MV-WW-2R-XX-700-DALI-PCR7-WL Luminaire Spec Sheet

Luminous Flux – initial 15,600 lumens Luminaire Spec Sheet/LM-79

Luminaire input power—initial 135 watts Luminaire Spec Sheet/LM-79

Luminaire input power—maintained 135 watts Luminaire Spec Sheet/LM-79

Luminaire input voltage- nominalrange

120 -277 volts Luminaire Spec SheetDALI Spec Sheet

LED drive current - initial 700 milliamps Luminaire Spec Sheet/LM-79

LED drive current - maintained 700 milliamps Luminaire Spec Sheet/LM-79

CCT (correlated color temperature) 3000 kelvin Luminaire Spec Sheet/LM-79

CRI (color rendering index) 70 min Luminaire Spec Sheet/LM-79

EPA (effective projected area) -nominal

.8 sq. ft. Luminaire Spec Sheet

Luminaire Weight - nominal 18 lbs. Luminaire Spec Sheet

Control Interface ANSI C136.41, 7-pin Luminaire Spec Sheet

LED Driver – dimming capability Dimmable, 0-10V Dimmable, DALI DALI Spec Sheet

LED driver- rated life 22 years DALI Spec Sheet

Electrical transient immunity ANSIC136.2 combination wave test level

Basic(6kV/3kA)

Enhanced(10kV / 5kA)

Elevated(20kV/10kA)

Luminaire Spec SheetEMI Test Report

Vibration Test-ANSI C136.31 Level 2 Luminaire Spec Sheet3G Test Report

Luminaire warranty period 10 years Luminaire Spec SheetWarranty Document

IES LM-80 test duration 8568 hours IES LM-80-15 report

LED lumen maintenance at 36,000hours

96.3% TM-21 calculator

Max. LED case temperature 72.1 degrees Celsius ISTMT report

Lighting Context Arterial (Medium)

Product Information Description Product Data(Summary)

Submittal ReferenceDocument

Luminaire Designation Arterial - MediumLuminaire Manufacturer Leotek USA

Luminaire Model Number GCL1-80G-MV-WW-2R-XX-700-DALI-PCR7-WL Luminaire Spec Sheet

Luminous Flux – initial 20800 lumens Luminaire Spec Sheet/LM-79

Luminaire input power—initial 185 watts Luminaire Spec Sheet/LM-79

Luminaire input power—maintained 185 watts Luminaire Spec Sheet/LM-79

Luminaire input voltage- nominalrange

120 -277 volts Luminaire Spec SheetDALI Spec Sheet

LED drive current - initial 700 milliamps Luminaire Spec Sheet/LM-79

LED drive current - maintained 700 milliamps Luminaire Spec Sheet/LM-79

CCT (correlated color temperature) 3000 kelvin Luminaire Spec Sheet/LM-79

CRI (color rendering index) 70 min Luminaire Spec Sheet/LM-79

EPA (effective projected area) -nominal

.8 sq. ft. Luminaire Spec Sheet

Luminaire Weight - nominal 18 lbs. Luminaire Spec Sheet

Control Interface ANSI C136.41, 7-pin Luminaire Spec Sheet

LED Driver – dimming capability Dimmable, 0-10V Dimmable, DALI DALI Spec Sheet

LED driver- rated life 22 years DALI Spec Sheet

Electrical transient immunity ANSIC136.2 combination wave test level

Basic(6kV/3kA)

Enhanced(10kV / 5kA)

Elevated(20kV/10kA)

Luminaire Spec SheetEMI Test Report

Vibration Test-ANSI C136.31 Level 2 Luminaire Spec Sheet3G Test Report

Luminaire warranty period 10 years Luminaire Spec SheetWarranty Document

IES LM-80 test duration 8568 hours IES LM-80-15 report

LED lumen maintenance at 36,000hours

96.3 % TM-21 calculator

Max. LED case temperature 82.5 degrees Celsius ISTMT report

Lighting Context Residential Intersection

Product Information Description Product Data(Summary)

Submittal ReferenceDocument

Luminaire Designation Residential IntersectionLuminaire Manufacturer Leotek USA

Luminaire Model Number GCL1-80G-MV-WW-2R-XX-530-DALI-PCR7-WL Luminaire Spec Sheet

Luminous Flux – initial 16000 lumens Luminaire Spec Sheet/LM-79

Luminaire input power—initial 130 watts Luminaire Spec Sheet/LM-79

Luminaire input power—maintained 130 watts Luminaire Spec Sheet/LM-79

Luminaire input voltage- nominalrange

120 -277 volts Luminaire Spec SheetDALI Spec Sheet

LED drive current - initial 530 milliamps Luminaire Spec Sheet/LM-79

LED drive current - maintained 530 milliamps Luminaire Spec Sheet/LM-79

CCT (correlated color temperature) 3000 kelvin Luminaire Spec Sheet/LM-79

CRI (color rendering index) 70 min Luminaire Spec Sheet/LM-79

EPA (effective projected area) -nominal

.8 sq. ft. Luminaire Spec Sheet

Luminaire Weight - nominal 18 lbs. Luminaire Spec Sheet

Control Interface ANSI C136.41, 7-pin Luminaire Spec Sheet

LED Driver – dimming capability Dimmable, 0-10V Dimmable, DALI DALI Spec Sheet

LED driver- rated life 22 years DALI Spec Sheet

Electrical transient immunity ANSIC136.2 combination wave test level

Basic(6kV/3kA)

Enhanced(10kV / 5kA)

Elevated(20kV/10kA)

Luminaire Spec SheetEMI Test Report

Vibration Test-ANSI C136.31 Level 2 Luminaire Spec Sheet3G Test Report

Luminaire warranty period 10 years Luminaire Spec SheetWarranty Document

IES LM-80 test duration 8568 hours IES LM-80-15 report

LED lumen maintenance at 36,000hours

96.3 % TM-21 calculator

Max. LED case temperature 82.5 degrees Celsius ISTMT report

Product Information Description Product Data (Summary)

Submittal Reference Document

Residential Acorns

Product Information Description Product Data (Summary)

Submittal Reference Document

Lighting Context Park Pathway Cobrahead

Product Information Description Product Data(Summary)

Submittal ReferenceDocument

Luminaire Designation Pathway CobraheadLuminaire Manufacturer Leotek USA

Luminaire Model Number GCJ0-15H-MV-WW-2R-XX-700-DALI-PCR7-WL Luminaire Spec Sheet

Luminous Flux – initial 3910 lumens Luminaire Spec Sheet/LM-79

Luminaire input power—initial 35 watts Luminaire Spec Sheet/LM-79

Luminaire input power—maintained 35 watts Luminaire Spec Sheet/LM-79

Luminaire input voltage- nominalrange

120 -277 volts Luminaire Spec SheetDALI Spec Sheet

LED drive current - initial 700 milliamps Luminaire Spec Sheet/LM-79

LED drive current - maintained 700 milliamps Luminaire Spec Sheet/LM-79

CCT (correlated color temperature) 3000 kelvin Luminaire Spec Sheet/LM-79

CRI (color rendering index) 70 min Luminaire Spec Sheet/LM-79

EPA (effective projected area) -nominal

.39 sq. ft. Luminaire Spec Sheet

Luminaire Weight - nominal 7lbs. Luminaire Spec Sheet

Control Interface ANSI C136.41, 7-pin Luminaire Spec Sheet

LED Driver – dimming capability Dimmable, 0-10V Dimmable, DALI DALI Spec Sheet

LED driver- rated life 22 years DALI Spec Sheet

Electrical transient immunity ANSIC136.2 combination wave test level

Basic(6kV/3kA)

Enhanced(10kV / 5kA)

Elevated(20kV/10kA)

Luminaire Spec SheetEMI Test Report

Vibration Test-ANSI C136.31 Level 2 Luminaire Spec Sheet3G Test Report

Luminaire warranty period 10 years Luminaire Spec SheetWarranty Document

IES LM-80 test duration 10,000hours IES LM-80-15 report

LED lumen maintenance at 36,000hours

96.8 % TM-21 calculator

Max. LED case temperature 70.0 degrees Celsius ISTMT report

Lighting Context Park Pathway Shoebox

Product Information Description Product Data(Summary)

Submittal ReferenceDocument

Luminaire Designation Pathway ShoeboxLuminaire Manufacturer Leotek USA

Luminaire Model Number AR13-4M2-MV-WW-2-XX-700-DALI-PCR7-WL Luminaire Spec Sheet

Luminous Flux – initial 3410 lumens Luminaire Spec Sheet/LM-79

Luminaire input power—initial 36 watts Luminaire Spec Sheet/LM-79

Luminaire input power—maintained 36 watts Luminaire Spec Sheet/LM-79

Luminaire input voltage- nominalrange

120 -277 volts Luminaire Spec SheetDALI Spec Sheet

LED drive current - initial 700 milliamps Luminaire Spec Sheet/LM-79

LED drive current - maintained 700 milliamps Luminaire Spec Sheet/LM-79

CCT (correlated color temperature) 3000 kelvin Luminaire Spec Sheet/LM-79

CRI (color rendering index) 70 min Luminaire Spec Sheet/LM-79

EPA (effective projected area) -nominal

.47 sq. ft. Luminaire Spec Sheet

Luminaire Weight - nominal 15.4lbs. Luminaire Spec Sheet

Control Interface ANSI C136.41, 7-pin Luminaire Spec Sheet

LED Driver – dimming capability Dimmable, 0-10V Dimmable, DALI DALI Spec Sheet

LED driver- rated life 22 years DALI Spec Sheet

Electrical transient immunity ANSIC136.2 combination wave test level

Basic(6kV/3kA)

Enhanced(10kV / 5kA)

Elevated(20kV/10kA)

Luminaire Spec SheetEMI Test Report

Vibration Test-ANSI C136.31 Level 2 Luminaire Spec Sheet3G Test Report

Luminaire warranty period 10 years Luminaire Spec SheetWarranty Document

IES LM-80 test duration 10,000hours IES LM-80-15 report

LED lumen maintenance at 36,000hours

96.8 % TM-21 calculator

Max. LED case temperature 70.0 degrees Celsius ISTMT report

Page | 96

LED Luminaire Pricing & Conversion Unit Labor Pricing

Form 5 - LED Conversion Pricing Form follows this page.

Proposer: SIEMENS INDUSTRY, INC.

Luminance Capacity

Exhibit K Work Item

Fixture Conversion Unit Price ($/Fixture)

LED Luminaire Price ($/Fixture)

Total Price Per Conversion ($/Fixture)

Total Phase Price

Residential Legacy (66 Foot ROW, One-Sided Light Pole Configuration)

LEOTEK - GCL1-80G-MV-WW-3R-XX-700-DALI-PCR7-WL Default Item #4 $ 185.73 $ 316.81 $ 502.54 $ 8,291,910.00 Anticipated # of FixturesPhase: 16,500 Boosted $ 185.73 $ 412.93 $ 598.66 $ 9,877,890.00 Project Total: 64,000

Alley (New Wiring Harness)

LEOTEK - GCJ2-20H-MV-WW-2R-XX-900-DALI-PCR7-WL Default Item #1 $ 207.81 $ 224.12 $ 431.93 $ 7,126,845.00 Anticipated # of FixturesPhase: 16,500 (Total Alley Fixtures) Boosted $ 207.81 $ 264.69 $ 472.50 $ 7,796,250.00 Project Total: 64,000

Alley (Existing Wiring Harness)

LEOTEK - GCJ2 20H MV WW 2R XX 900 DALI PCR7 WL Default Item #2 $ 196.77 $ 144.59 $ 341.36 $ 5,632,440.00 Anticipated # of FixturesPhase: 16,500 (Total Alley Fixtures) Boosted $ 196.77 $ 185.16 $ 381.93 $ 6,301,845.00 Project Total: 64,000

Arterial (Feeder) Legacy (66 Foot ROW, One-Sided Light Pole Configuration)

LEOTEK - GCL1-60G-MV-WW-2R-XX-700-DALI-PCR7-WL Default Item #6 $ 188.42 $ 216.81 $ 405.23 $ 4,660,145.00 Anticipated # of FixturesPhase: 11,500 Boosted $ 188.42 $ 412.93 $ 601.35 $ 6,915,525.00 Project Total: 44,000

Residential Modern (66 Foot ROW, Staggered Light Pole Configuration)

LEOTEK - GCL1-60G-MV-WW-3R-XX-700-DALI-PCR7-WL Default Item #3 $ 185.73 $ 216.81 $ 402.54 $ 2,012,700.00 Anticipated # of FixturesPhase: 5,000 Boosted $ 185.73 $ 412.93 $ 598.66 $ 2,993,300.00 Project Total: 20,000

Arterial (Large) (100 Foot ROW, Opposite Light Pole Configuration)

LEOTEK - GCL1-60G-MV-WW-2R-XX-700-DALI-PCR7-WL Default Item #6 $ 188.42 $ 216.81 $ 405.23 $ 2,026,150.00 Anticipated # of FixturesPhase: 5,000 Boosted $ 188.42 $ 412.93 $ 601.35 $ 3,006,750.00 Project Total: 20,000

Arterial (Medium) (80 Foot ROW, Staggered Light Pole Configuration)

LEOTEK - GCL1-80G-MV-WW-2R-XX-700-DALI-PCR7-WL Default Item #6 $ 188.42 $ 316.81 $ 505.23 $ 2,020,920.00 Anticipated # of FixturesPhase: 4,000 Boosted $ 188.42 $ 412.93 $ 601.35 $ 2,405,400.00 Project Total: 20,000

Residential Intersection (66 Foot ROW, 45 Degree Angle)

LEOTEK - GCL1-80G-MV-WW-2R-XX-530-DALI-PCR7-WL Default Item #5 $ 185.73 $ 316.81 $ 502.54 $ 2,010,160.00 Anticipated # of FixturesPhase: 4,000 Boosted $ 185.73 $ 412.93 $ 598.66 $ 2,394,640.00 Project Total: 16,000

Viaduct

NEW STAR LIGHTING - ADDLP-WLR-C-MLED-JB Default Item #10 $ 329.20 $ 653.48 $ 982.68 $ 4,913,400.00 Anticipated # of FixturesPhase: 5,000 Boosted Luminance Capacity $ - $ - Project Total: 16,000

Residential Coach

KING LUMINAIRE - K427-T1EA-III-60(SSL)-4004-120:277-K21-SST Default Item #8 $ 185.73 $ 651.25 $ 836.98 $ 5,021,880.00 Anticipated # of FixturesPhase: 6,000 Boosted Luminance Capacity $ - $ - Project Total: 24,000

Arterial Acorn

KING LUMINAIRE - K118R-B3AR-IV-100(SSL)-1054-120-K23-4K-PR7-QD-BK-#17

Default Item #9 $ 196.77 $ 779.03 $ 975.80 $ 1,244,145.00

Anticipated # of FixturesPhase: 1,275 Boosted Luminance Capacity $ - $ - Project Total: 5,100

Park Pathway Cobrahead

LEOTEK - GCJ0-15H-MV-WW-2R-XX-700-DALI-PCR7-WL Default Item #7 $ 207.81 $ 137.92 $ 345.73 $ 345,730.00 Anticipated # of FixturesPhase: 1,000 Boosted Luminance Capacity $ - $ - Project Total: 4,000

Park Pathway Shoebox

LEOTEK - AR13-4M2-MV-WW-2-XX-700-DALI-PCR7-WL Default Item #7 $ 207.81 $ 283.48 $ 491.29 $ 98,258.00 Anticipated # of FixturesPhase: 200 Boosted Luminance Capacity $ - $ - Project Total: 800

FOR CIT INTERNAL USE ONLYTOTAL PHASE 1 COSTS DEFAULT LUMINANCE CAPACITY 45,404,683.00$ TOTAL PHASE 1 COSTS BOOSTED LUMINANCE CAPACITY 53,315,013.00$

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Product Samples

Siemens will deliver the requested product samples to the City as specified.

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Section III - Infrastructure Stabilization Proposal

Asset Condition Assessment Plan

Each Proposal must include a detailed narrative outlining the Proposers approach for a lighting asset condition assessment of every light fixture listed in the CDOT lighting inventory database that collects, organizes, and integrates the attributes outlined in Exhibit C

As previously described, the Siemens team includes the participation of CDM Smith as our GIS technical resource and Spaan Tech for field data collection staffing and oversight. For our asset condition assessment plan, we will first describe CDM Smith’s technical elements and then review the field work that Spaan Tech will lead. The insights gained are built into our condition assessment plan described in the next pages.

In preparation for this response CDM Smith and Spaan Tech performed a pilot condition assessment to refine our data collection approach and the associated cost estimate in terms of the minutes per fixture assumed. We set up the database of existing and proposed fields and then applied it to sample of streetlights in the City. The results of this work let us to a better understanding of the condition assessment task as inputs to maximizing the City’s repairs budget as one of the final deliverables. We also used the insight gained from performing similar work in other cities around this US.

We would anticipate a similar pilot data collection with CDOT staff would be performed during the scope development phase to finalize all aspects of the condition assessement.

One example of how the existing inventory GIS data was used by CDM Smith to help Siemens prepare this response was to answer a question related to the LED conversions. The assumption was that CDOT may require night work (10:00pm to 6:00am) for LED conversions within the central business district (CDM). Siemens asked CDM Smith to calculate the number and type of fixtures in this area to help us refine our labor estimate. On the following page is the graphic that was created:

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CDM Smith’s analysis of the CBD/CDOT lighting inventory led to the following statistics:

The CBD is approximately 3.8 square miles. The area encompasses over 200 different “street names” and has over 130 Miles of roads There are approximately 9,287 structures (poles) in the CBD. There are approximately 24,000 fixtures in the CBD.

Obviously, the City has not specified which atlas pages will be part of Phase 1 but the following exercise along with our stated assumptions, allowed Siemens to make informed decisions relative to the project labor pricing.

Other insights that came from our pilot study and related meetings:

Protocol for poles with multiple fixtures; Configuring fields as drop-down menus with frequently used choices first to minimize typing, user options, and maximize consistency of the data. The potential addition of CDOT data attributes and/or modification of others such as:

o Suspended – Has the pole been removed / knocked down etc. o Pole at Intersection – Yes/No (Helps with design to understand if fixture is major

or minor road (may depend on how the fixture is oriented from the pole) o Street Served – Street or location fixture is illuminating o Pole Color – 4 different colors o Mast Arm Condition – 1 to 5 o Hand Holes and Covers (Missing Damaged etc) o Pole Condition – Tree Trimming• o New Fields for Various type of Pole Accessories (possible criteria for evaluation of

said accessories). Such as Flags, Sensors, etc

Task 1 – System Design

Under Task 1 CDM Smith will design and configure the field data collection application for use during the retrofit process. Specific items related to this task include:

Configure field data collection application and secure sufficient server space for the data set; Perform a preliminary review of inventory data to identify potential issues with Siemens ahead of field retrofit work; Utilize existing data tables from Chicago the community to develop a web based application showing light fixture locations, for Siemens staff and their partners to log light locations and data points in conjunction with the fixture audit and retrofit process Drop-down menus will be developed from the existing data set and utilized to the extent possible within the application to simplify data entry for field crews.

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Task 2 – Data Management/Reconciliation/Quality Review CDM Smith will perform periodic quality assurance review on the collected data as Siemens partners and crews perform the fixture audit and retrofit. Specific items included under this task:

CDM Smith will provide Siemens with the field data application capable of updating light fixture retrofit data directly into the GIS database, Retrofit fixtures will generally be updated in the database as data is modified in the field, and larger database maintenance/updates will generally occur on a weekly basis, Training will be provided by CDM Smith as necessary to the Siemens audit and installation teams on the use of the tablets and application, CDM Smith will spot check pole placement within the GIS to ensure proper placement of light poles, especially for additions/deletions relative to the existing database, CDM Smith will review the condition assessment audit data periodically that is generated by Spaan Tech crews to identify any inconsistencies and ensure inventory attributes are complete (as per the Siemens audit schema). Location accuracy is expected to be within +/- 5-10-feet as per anticipated tolerances associated with tablet use CDM Smith will review data points collected by Spaan Tech staff and advise Siemens of any discrepancies or quality issues that must be addressed. Data gaps identified during subsequent analysis will also be identified by CDM Smith, for Siemens to follow up with additional field checks as needed until data set is complete. Each evening following field data collection for the light pole location audit, CDM Smith will perform a QA/QC of the data and flag any missing data attributes or other data discrepancies, so that they may be addressed the following day by Siemens and their field audit partners. CDM Smith will support audit data access and metrics reporting via an online Dashboard application. CDM Smith will reconcile the audit data in GIS Format and compile the audit database for the final deliverable. Any corrections provided by Siemens will be incorporated into the database. Reconciliation will account for the total number of points in the final database. The application will also accommodate database management on “other” work required or completed at individual poles, such as construction or maintenance work performed, that the City may defines. This functionality will allow installers to document extra work performed, and CDM Smith will work with Siemens to establish basic automated reporting for this additional data set.

Task 3 – Data Deliverable CDM Smith’s final deliverable will include the final GIS/georeferenced database of all field inventoried and retrofit light fixtures upon conclusion of the retrofit process. During the program, the following will be provided by CDM Smith:

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Dashboards (Web) on issue resolution, audit progress, completed work, and overall program progress. Public Outreach Maps (web) in support of Siemens public relations partner – including web site functionality for public/city to view scheduled work and progress by City wards, or neighborhoods, grid structure, or other cohorts to be defined with City and Siemens. Scheduling information from Siemens will be incorporated into data set to feed maps on a weekly basis. As-built GIS Dataset (GIS)

SPAAN Tech

Based on our pilot asset condition assessment work, we have developed a plan to staff this task with sufficient data collectors to meet the defined 120/300 day time schedule. All tablet computers for the data collection will be provided by Siemens and configured by CDM Smith.

SPAAN Tech Inc. (STI) will perform a visual condition assessment of every light fixture listed in the CDOT lighting inventory and the Chicago Park District’s fixtures that are not listed in the inventory. In addition to the condition assessments, the scope of work also includes collection of data such as pole material composition, pole height, base mount type, mast arm type, mast arm material and length all as defined in the scope of work and as programmed in the database.

Key elements of a successful and efficient assessment program are a well-defined and documented asset database, a well-defined rating system, properly trained staff, and finally a well-developed field operations plan.

STI is uniquely positioned to develop a sound assessment program. Our Principal for this task, Manju Prakash Sharma, PE, DEE, DWRE, developed and implemented a Condition Assessment Program for the Metropolitan Water Reclamation District of Greater Chicago’s complex network of assets across seven waste water treatment plants, over 550 miles of intercepting sewers, over a dozen ancillary Pumping Stations, Electric Distributions Stations, and other pumping and electrical assessment projects. In meeting Government Accounting Standards Board Rule 34’s modified approach, the MWRD was required to perform condition assessments of its assets on a three year cycle. Ms. Sharma was charged with developing and implementing the program as well as a schedule, staffing plan, rating system, staff training manuals, and a documenting system. The reports generated from the condition assessments were used in identifying and prioritizing repair and replacement projects.

Another key strength that STI brings is its familiarity with the CDOT lighting infrastructure. STI is currently working with CDOT in codifying and implementing a Distributed Antenna System (DAS) program. Through the DAS program, area Cellular providers are able to request and install Distributed Antennas on City’s street light poles. STI staff is working with CDOT in setting up an application process and in reviewing the applications from individual vendors for viability of installation based on light pole condition, type, and location, underground utilities coordination

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to make sure there are no conflicts with other utilities, and documenting the installations in CDOT lighting infrastructure database.

In addition STI is also well experienced in condition assessments, having done many assessment projects for various public agencies in the metropolitan Chicago area such as the Chicago Housing Authority, Illinois State Tollway Authority, Cook County Hospital system, to name but a few. STI’s Senior Electrical Engineer, Irwin Berman, PE has over 40 years of experience in designing and evaluating lighting systems for CDOT, IDOT, and ISTHA. With his extensive background in lighting systems, he is well positioned to setup this program.

Since the assets are spread over a large area, it is critical to set up a field operations plan that will minimize driving time and maximize efficiency. A pilot run of the assessments and collection of additional data was performed. STI believes that 25 teams of two can cover the entire area in 300 work days as requested in the RFP, barring weather-related delays. Daily work plans along with driving maps for each day will be strategically developed and provided to the evaluators before they are sent to field.

The assets will be evaluated, defined and categorized as good working condition, needs minor repairs, needs major repairs, or is in imminent need of repair/replacement. Repairs will be further identified in terms of scope and reason, such as safety, reliability, or extending useful life. This is to assist in prioritizing and scheduling the repair/replacement.

Technology will be used to maximize the efficiency. A robust training manual will be developed and all evaluators will be given rigorous training in how and what to inspect during visual inspections. Also, training will be provided on how and what additional data to collect and enter into the database. Finally, training will be provided in use of the database, so that information is readily added into the database at the time of inspection. Training will also cover, job safety, and public communication to make sure evaluators are proficient in all aspects before they are sent to the field. Proper supervision will be provided along with Q/QC review of the data collected.

Finally, STI, a WBE company, with a management team that is entirely comprised of minority females, fully understands and appreciates the City’s commitment to employ a diverse workforce that is representative of the City’s diversity. STI has identified and reached out to several organizations, such as a Safe Haven, After School Matters, Ex Offender Apprentice Program, Veterans Employment programs, as well as area education institutional including technical and professional schools and Universities, such as the Dawson Institute, Daley Colleges, University of Illinois (UIC) and Illinois Institute of Technology. STI has existing relationships with several of these institutions/organizations, for example, STI’s Senior Vice President serves on the UIC Civil Engineering Professional Advisory Board. STI will also reach out to local community job search centers that have listings of individuals who have been laid off and are looking for work.

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In conclusion, it is important to note that STI, through this program, will train and employ over 50 candidates. The training and experience will serve the candidates well in finding future employment.

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Infrastructure Stabilization Unit Pricing

Form 6 - Infrastructure Stabilization Pricing Form follows this page.

9 Chicago Infrastructure Trust Chicago Smart Lighting Project RFP – Addendum #2

10 Chicago Infrastructure Trust Chicago Smart Lighting Project RFP – Addendum #2

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Section IV - Technology Proposal

Technology Solution Overview

Proposer should recommend a comprehensive technology solution for the Project. Proposer shall provide in succinct narrative form, a description of the requirements noted in Section 2 of Exhibit B. Please provide details about the proposed solution including information about all components depicting the entirety of the LMS—the proposed network solution as well as the architecture of the central management system. The Proposer should use this narrative response as an opportunity to convey its understanding of City’s specific requirements and how its overall solution meets the City’s needs

Please note that this narrative response will be compared to your response to similar items in the functional and technical requirements presented in Form 7 Technology Specifications – Functional, Logical, and Technical Requirements and Form 8 Technology Specifications – Interrogatories.

Siemens, with their wireless-control technology partner, Silver Spring Networks is pleased to offer the City of Chicago an advanced lighting control as a service with accompanying Lighting Management System (LMS) that exceeds the core requirements requested by the City. With the Siemens hosted Silver Spring LMS platform, the City should feel confident that they are choosing the world’s most proven and capable networking/control system and have full confidence that the system will operate at scale and offer a platform for additional smart city applications. Key aspects of this proposal are:

The Streetlight.Vision (SLV6) LMS and Silver Spring-based controls is the only system that has been proven at the scale required by Chicago. Examples include Florida Power and Light with 500,000 luminaires, the City of Paris and Copenhagen.

Ability to provide individual luminaire and circuitry-based control on a single platform.

Silver Spring’s fully managed solution is backed by Industry-leading Service Level Agreements that guarantee network performance for the City. Silver Spring will own and operate the network on behalf of the City with Silver Spring’s two 7x24 Network Operations Centers and secure, redundant datacenters.

4th generation Smart Grid-communication system with 25 million devices in service to date.

The only standards-Based (IPv6, WiSun, TALQ) solution with multiple vendor options of smart streetlight controllers to allow for choice for the City.

A state-of-the-art network security that adheres to the rigorous NISTR 7628 Smart Grid Cybersecurity guidelines, and has been validated secure by multiple 3rd party security audits.

Networking technology designed, engineered in the US providing high-capacity (300kbps), high-power (1 Watt), fully redundant networking that can install on streetlights or utility poles and doesn’t require dedicated tower installations.

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The only proven solution to provide multiple Smart City / Smart Grid applications on the same network, including electricity/water/gas meters, video/surveillance cameras, electric vehicle chargers, motion sensors, and environmental sensors. Silver Spring has proven these solutions in the field in places like Paris, Miami, Copenhagen, Glasgow, San Francisco, and Melbourne, and supports multiple vendor devices and protocols.

Utility-grade metering system on the device with proven integration into a large number of utility billing systems.

Robust and vetting APIs for integration into City systems.

Through this low-risk system, Chicago will realize its project goals of improving public safety through lighting and providing a more reliable and responsive system that meets and exceeds current requirements and will grow as the City’s needs change. Further, with this system, Chicago will set up a smart-city canopy that will allow hundreds of thousands of other devices to connect.

The components of the solution are as follows:

Silver Spring enabled Photocell / Cabinet Control for luminaire control/monitoring

Hosted Streetlight.Vision LMS with access through a secure HTTPS browser. The City will maintain control of the system and full access to the data.

Network-As-A-Service: Silver Spring will provide the network infrastructure, its maintenance and upgrade and guarantee its performance through Service Level Agreements.

Functional, Technical and Logical Requirement

The City’s detailed functional, logical, and technical requirements for the Chicago Smart Street Lighting Program are outlined in Form 7 Technology Specifications – Functional, Logical, and Technical Requirements. The functional, logical, technical requirements represent functionality that is currently needed as well as functionality that is expected or is likely to be required in the future.

The Proposer shall use the Excel template provided and answer each requirement, on each worksheet, adding explanatory details as necessary in the “Comments” field. The Proposer may provide their comments in separately attached pages using the requirement number as a reference and referencing such document within the Comments field in the Excel template. The answer key included in Form 7 must be used when responding to each of the requirements. Proposer must use only one (1) code per requirement.

The Proposer must provide estimated costs, if any, and the projected time to complete the customization for all requirement responses of "CU." For requirement responses of “TP," the Proposer must indicate the third-party product that will be used to meet the requirement and include any additional costs in Form 9.

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LMS Core Functionality as Required by the City

Remote Monitoring and Control of Lighting

The LMS network uses the IPv6 Silver Spring 900Mhz mesh based on the Wi-Sun standards alliance. The network has been proven in many major cities in the United States including Chicago, Washington DC, Miami, San Francisco and now New York City.

Unlike tower-based systems that have difficulty reaching around buildings, our meshing technology has been perfected over the past 14 years to provide unparalleled connectivity for critical infrastructure assets.

The Silver Spring enabled SELC photocontrol allows for on/off/dim through either a programmed schedule, an onboard photo diode, or a combination of the two.

Each node will issue a real-time alert when it detects a luminaire issue, such as a dayburner, power quality issue, or device failure. Silver Spring will be able to issue an alert on pole power failure because of the inclusion of on-board super-capacitors which provide “last gasp” communication in the absence of power.

Secure Timely Data Transmission

As a consequence of Silver Spring’s focus with power utilities, Silver Spring has engineered the solution to adhere to the rigorous requirements of NISTR 7628 Smart Grid Cybersecurity. This includes end-to-end encryption with AES-256 bit keying, Public/Private PKI keys with the private key on the node stored in a dedicated hardware security module on the Silver Spring 4th generation System on Chip (SOC). In addition, Silver Spring employs 3rd party security penetration testing firms to constantly test and verify the integrity of the Chicago system.

Alerts are sent in real-time (including power failure) and the metering data is collected at a City defined schedule (typically 6 times per day) with extremely high success rates (99.5%+).

Lighting Asset Inventory

The Streetlight.Vision (SLV6) LMS provides full asset management tracking for the City; tracking items in the communications, luminaire and electrical systems. Lights can be uniquely identified with a City-developed naming convention and the system tracks all aspects of the asset including commissioning and warranty information.

The lighting assets can be assigned to groups (i.e. geozones) that are hierarchical – allowing the City to define groups based on geography, function or City districts.

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The SLV6 asset management system allows for full connectivity to other GIS systems through a robust set of RESTful interface APIs – allowing the lighting system assets to be maintained and tracked in the same manner as other City assets.

The SLV6 asset management system has maintenance convenience functions to allow for easy tracking of adds/moves and changes.

Energy Usage Data

Each smart streetlight controller node is capable of exceeding the 2% accuracy utility-grade energy monitoring requirement to capture data on a City specified interval (e.g. 15 minutes, 30 minutes, 1 hour) including power, energy, voltage, current, power factor, lumens, temperature.

The Silver Spring platform is further uniquely positioned to format and forward the energy information to a utility-grade Meter Data Management system (MDMS) for billing. Silver Spring has proven integration with all major MDMS providers.

Mobile Device Application

Silver Spring provides two methods for mobile LMS operation; an HTML-based SLV portal and a hardware-based commissioning tool. The SLV portal leverages direct access to the SLV system to allow for device commissioning and asset management adds/moves/changes.

The Silver Spring streetlight commissioning tool is a Silver Spring Commissioning Module (SSCM) that is mounted in an installation vehicle (bucket truck) with an external antenna and a portable data entry device such as an iPad, Android Tablet or hardened computer such as a Mesa that communicates wirelessly to the SSCM. The SSCM has a Silver Spring radio and a Wi-Fi radio. The portable data entry device connects to the SSCM over Wi-Fi and access a configuration webpage.

When a new streetlight controller is installed, the SSCM will detect the new controller and display the controller parameters. The installer can activate the light through the tool to verify operation. The installer can then enter any additional site-specific parameters such as pole ID, luminaire info, etc.

At the end of the deployment day, the SSCM should be connected to the Internet to synch the additional site-specific parameters to Streetlight.Vision.

311 System Integration

As a consequence of the fact that all Silver Spring deployments involve 3rd party application integration, Silver Spring has developed a wide set of RESTful APS, published Web Services Description Language (WSDLs) and methods of data interchange (e.g. FTP, SFTP, Enterprise Services Bus). Futher, Silver Spring has a team of system architects to provide expertise and guidance for integration.

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Adaptive Lighting

Provided to the City as an option, the development of a City of Chicago Lighting Design Guide.

911 System Integration

Similar to the 311 system integration, the LMS can also integrate with the 911 system. Key for this functionality is the SLV6 CMS’s ability to provide granular system access – i.e. full ability to limit the rights and actions available for specific users of the system. XXXX looks forward to discussing the integration requirements with the City.

System Architecture

MESH

XXXX-Owned Systems

Hosted Systems (likely SSN)

City Systems

CHICAGO

SSN Streetlight Adapter

Central Lighting Mgmt System

(w/ integrated Asset Mgmt) – Street Light Vision

NIC /

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Lighting Management System Detailed Discussion

Silver Spring Networks’ Streetlight.Vision version 6 (SLV6) as a hosted LMS

The only open TALQ-ready Central Management Software on the Streetlight Control Market: it controls and monitors more than 60 different models of devices from 40 different vendors, making it an open platform to that does not lock a customer into one proprietary system or a single manufacturer of control devices.

10 years of expertise in developing Streetlight Control and Monitoring software and supporting projects world-wide

500 projects in 15 countries including Oslo, Dublin, Miami, Paris, Lyon, Barcelona, Jakarta, Guangzhou, Dongguan, and Sydney

Hundreds of features to configure, control, monitor, operate, update and manage your entire streetlight network, developed with cities during the last

10 years.

The de-facto standard Central Management Software on the Smart Streetlight market

Available both as Enterprise Software (licensed) or SaaS (Software As A Service)

Open multi-supplier software platform

The Streetlight.Vision CMS enables you to command, control (ON, OFF and stepless dimming) and monitor more than 60 models of devices from 40 manufacturers over 20 different types of networks, within a single web user interface. Streetlight.Vision’s open data model enables control through wireless or power line networks. Photocells, control nodes, cabinet controllers, smart meters, pollution sensors, electrical vehicle charging stations, traffic controllers, etc. can all be controlled by the Streetlight.Vision Central Management Software. Unlike proprietary software designed by hardware manufacturers to control their own product, the Streetlight.Vision CMS is compatible with many different control systems, making them all compatible within a single software, to unlock cities from proprietary vendors and to offer long term solutions.

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Key Features

Feature Specifications

Web Application Server

Streetlight.Vision Central Management Software based on TOMCAT web services MySQL database engine Automatic data retention mechanism, differentiated for each attribute, to enable longer retention of energy, lamp running hours and other long term data Database hot backup processes Nagios server real time monitoring processes Java Enterprise based add-on modules

Open software platform

Support 20 control technologies, 60 models of devices from 40 More than 70 web services commands available to interface with your IT environment

Web user interface No thick-clients required iPhone, iPad, Android, Windows mobile user-interfaces based on HTML5

Automatic data collect

Synchronous or asynchronous data collect mechanism scalable to 500,000 devices. Automatic data aggregation for energy and lamp burning hours Many dynamic attributes collected for each light point including light level, power, voltage, current, power factor, ambient light, lamp running hours, energy, lamp failure, ballast failure, high/low power, high/low voltage, low power factor, high temperature, etc.

Inventory

Equipment Inventory to position, create, move, delete and operate various types of devices/objects with flexible lists of attributes Supports Light Point Controllers, Streetlight Segment Controllers, Electrical Vehicle Charging Stations, Environmental Sensors, Energy Meters, Parking Place, Waste Containers and more Export/import of inventory, reports, data Multiple online mapping systems (WMS) including Google, Bing, Nokia and ESRI Geographical Information Servers with either map/satellite or hybrid with full zooming. Exports for viewing in Google Earth

System configuration and commissioning

Light point controller commissioning Segment control commissioning Scheduler and calendar commissioning with time-based, sensor based or both No soft-limits to the number of schedule events with unlimited ability to assign schedules to lights on a daily, weekly, monthly or one-time occurrence. Constant Light Output (CLO) and Maintenance factor Over-the-air firmware/software updates

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User management and security:

User and user profile management and roll-based/access rights management to limit access to relevant WebApps, groups of devices and geographies System allowing multiple clients to be web hosted on the same Streetlight.Vision platform Customizable web desktop per user profile « Look&Feel » and dictionary per user profile Supports 16 languages including right-to-left languages Active Directory Integration User login screen with customized timeout

Control, Command and Monitoring

Individual and group light point real time control, command and monitoring on the map and in Scheduling and programming group command Stepless dimming schedulers and exception days in calendars User-friendly configuration of the ON/OFF/DIM programs and calendars for cabinet switching and groups of light points Control center feature to monitor all sites in a loop on large screens in control rooms

Alarm Management

Real-time alerts Collect any types of failure and events detected by Light Point Controllers and other types of devices Complex alarm types configurable by end-user, including geographical analysis, cabinet alarms, meter alarms based on metering data analytics, non-communication alarms (e.g. wire theft detection) Data analytics to trigger alarm conditions Alarm viewer with alarm priority

Failure analysis

Failure report triggered by end-user or scheduled to be automatically sent by email Failure analysis on map Analysis of data history of any metered value, including power, current, voltage, power factor, temperature, ambient light, lamp level, command level, etc. Export any historical data and reports

Energy analysis

Energy report triggered by the end-user or scheduled to be automatically sent by email Energy saving estimation per geographical zone CO2 equivalent savings estimation per geographical zone

Lamp age analysis Analyze lamp age and identify “old” lamps to replace them before they actually fail Track LED luminaire warranty based on failures

Reporting

Custom and pre-defined reports scheduled to be sent to the right user at the right time (e.g. day-burners, loss of communication, out lights) Save and rerun queries Reports based on specified groups of lights sent to email/FTP on specified

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interval. Extended Support for Smart City Devices

SLV6 is compatible with devices from more than 40 outdoor lighting control system manufacturers, power line and wireless. In addition, SLV6 now supports an expanded range of smart city devices, such as electrical vehicle charging stations, traffic cameras, environmental sensors, electrical meters, water meters, information panels and more.

SLV6 supports many protocols – including the new Open Smart City Protocol – to enable manufacturers of smart city devices to connect, control, monitor and command them through this new version of the SLV software and provide them to existing SLV customers.

Its new Software Developer Kit (SDK), SLV6 enables authorized software developers to add features (applications or widgets) to the SLV6 Platform and sell them to SLV customers. The SLV6 SDK is a framework for software developers to accelerate their go-to-market plans leveraging existing map-based and report-based HTML5 smart city components, as well as the SLV open data model.

With SLV6 and its ecosystem of authorized developers, cities and utilities will benefit from new smart city applications in record time and will manage their assets with “Less Energy and More Control”.

Dynamic Multi-Platform Web Desktop: Similar to tablets and smart phones, SLV6 provides end users a way to select apps and widgets that fit their business needs and position them on their customized web desktops available on Windows, Mac, and tablets. Control, Command, Monitoring: SLV6 provides control, command (for example: on, off, stepless dimming), and monitoring of any live attribute (e.g. current, voltage, power factor, energy.) for streetlight cabinet, outdoor light point control, EV charging stations, electrical meters and many other device types. Automatic Data Collect: SLV6 supports various methods for collecting metering attributes, such as events and alarms from the supported devices, including PUSH and PULL, synchronous and asynchronous methods. Asset and Inventory Management: SLV6 enables users to create, import, export and modify any device attributes, search for any device or set of devices, and develop custom inventory reports. Security: SLV6 provides a user- and role-based access control system to protect cities against unauthorized access.

Advanced Analytics: SLV6 provides tools to analyze the inventory and the behavior of each device or group of devices through canned, custom and scheduled reports.

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Network Detailed Discussion

Highlights of the Silver Spring Smart Energy Platform

A robust, general-purpose, single network fabric with high-performance bandwidth and low latency that provides reliable, secure, and cost-effective communications to multiple vendors’ streetlight controllers, smart city applications, ITS, smart water, parking, SCADA. A flexible architecture, including ample processing power and memory, adaptive networking, rapid and secure over-the-air firmware upgrades, support for distributed intelligence – all to provide a long-lived foundation for both a city or utility’s future needs.

An interoperable platform that supports internationally accepted standards such as IPv6, IEEE 802.15.4g, IEEE 802.15.4.2006, ZigBee SEP, 6LowPAN, TCP, UDP, HTTP, XML, CIM, and MultiSpeak today, among other industry standards. The processing power and memory in every Silver Spring device enables the platform to be upgradable over time to support additional standards as they continue to be defined, evolve, and gain widespread acceptance. An operationally scalable system, with the largest deployed IP-based Smart City/Grid Infrastructure worldwide, blends multiple wireless transports to provide full end-to-end IP connectivity in the manner most cost effective for a utility's diverse environments.

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Proven, deployed designs successfully connecting more than 25 million sensors, across widely varying terrain and serving multiple smart grid applications for utilities around the world. The Silver Spring Smart Energy Platform has successfully delivered in excess of 26 billion meter reads for utility customers, giving them the assurance that the Silver Spring system delivers millions of accurate and on-time meter readings, DA communications, and DR events, day in and day out.

A secure networking platform that incorporates an end-to-end, multi-layer security architecture and uses proven IP-based technologies and associated security techniques to allow utilities to operate large-scale networks while minimizing security risk. Stringent security mechanisms have been integrated into every layer of the Silver Spring Smart Energy Platform, including: sophisticated authentication and authorization techniques for all intelligent endpoints such as meters and grid sensors; required digital signatures and private keys to prevent any unauthorized access or activity on the system; and encryption for all communications across the smart grid.

Network Architecture

Silver Spring provides an open-standard (IPv6), flexible, scalable, and secure platform that serves as the communications infrastructure for not only smart city. In the Silver Spring IP-based Smart City solution, the Communications Module integrated into smart streetlight controllers provides the networking capability for a range of smart city endpoints. The standards-based IEEE 802.15.4g radio on the module operates on the unlicensed 900 MHz band using Frequency Hopping Spread Spectrum (FHSS) technology. The Silver Spring Access Points and Relays also utilize the FHSS technology to relay data from endpoints to the utility back office.

The communication flow is from the LMS hosted in Silver Spring’s data centers through a backhaul (either cellular or fiber WAN-connected) APs over the sub gigahertz NAN network to endpoints. The LMS has a direct IPv6 conversation with the endpoints with the APs providing an IPv6 routing function in addition to providing a WAN to NAN interface.

The Silver Spring Network

The Silver Spring architecture combines a powerful radio with significant processing power on each endpoint and network device. This design allows the Smart City Platform to support multiple applications and lets cities add capacity incrementally and economically as the network grows. Robust, scalable, and flexible, this architecture greatly simplifies and lowers the cost of the network deployment.

The Smart City Platform’s architecture ensures uniform operation across disparate deployment environments, from urban to rural. It also enables the platform to support a much higher ratio of endpoints per take-out point than other smart city solutions, supporting as many as 5,000 devices per AP with the ability to carry additional smart city application traffic (such as gas and water data, cameras, traffic cabinets, etc.) on the same AP. Silver Spring radios can potentially reach devices miles away, important for initial scattered deployment scenarios, and uses innovative software techniques to ensure highly reliable operation in dense deployments. In

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addition, Silver Spring’s standards-based APs can connect with any backhaul technology, including Ethernet/Fiber, cellular, WiMAX, or a variety of other wired and wireless options.

A mesh communications architecture is fundamental to a smart city solution that must scale to support millions of devices, each with modest bandwidth requirements (only a few kilobytes of data per day) but with a wide range of latency requirements. For example, a peer-to-peer design accommodates a mix of paths, with varying latency characteristics, which is a very economical approach. In addition, a meshed architecture is much more robust operationally and can accommodate the inevitable changes that will occur during the long life of a smart city deployment. Augmenting this high-performance, self-forming mesh network with cellular communications improves the economics of reaching remote, bandwidth-intensive, or hard-to-hear locales.

In contrast, deploying a point-to-point network across an entire city would present an extremely challenging initial design as well as burden the city with constant redesign and adjustment to address ongoing environmental changes such as foliage growth, new construction, or billboard construction. A mesh network automatically adapts and routes around these kinds of obstacles with support for cellular communications as needed.

Silver Spring Smart Energy Platform IP Support

Silver Spring’s platform is based on the Internet Protocol (IP) suite. The IP suite delivers proven technologies for addressing, routing, quality of service, security, and a host of related networking functions, all demonstrated at scale. It ensures interoperability both at the device and application level, allowing cities to run multiple applications and devices across the common infrastructure. The common network platform allows cities to integrate multiple transports, supporting a variety of backhaul options (cellular, fiber, other) throughout the city. With our smart city platform in place, the City of Chicago could conceivably connect any IP-enabled device to their network. The application mix is equally strong, for example extending the SLV6 platform to display traffic counts or adding widgets for work order management among many other use cases.

IP Support - The Silver Spring Smart Energy Platform is optimized for the needs of the City to gather and send data, program field equipment and signal devices throughout its service territory - all the way to the customer premise.

All NAN interfaces support both IPv4 and IPv6 (IPv4 is predominantly used for tunneling IPv6 on the WAN over the cellular network; DNP3 and other Distribution Automation protocols in the NAN). Ancillary, IETF RFC compliant Internet Protocols also include: DHCP (client/server), PPP, IPsec (AH and AH/ESP as appropriate), IKE, SNMPv2/3, DNS, NTP.

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Network Hardware

Access Point

The Access Point (AP) provides two-way connectivity between integrated photocells, cabinet controllers, other smart city devices and the SLV6 software and integration layers. The AP’s flexible communication features extend the reach and coverage of the network to thousands of devices, and offers scalability that dramatically lowers the total cost of ownership.

With the optional backup battery, the AP can reliably route scheduled read and management tasks even during an outage and it features full regulatory compliance and robust security to ensure network safety.

The AP is a weather-hardened router that can be mounted on power poles or street lamps. All outbound communications (requests for data) from head end software and all inbound data packets (data, alarms) pass through the AP. The AP can also pass information through multiple Silver Spring Relays (repeaters) or through Silver Spring-enabled electricity meters on the XXXX network via sophisticated mesh network routing that ensures greater reliability and redundancy. The AP may be optionally configured as Ethernet only, cellular only, or Ethernet and cellular.

Our sophisticated mesh network routing ensures greater reliability and redundancy in several ways:

Dynamic network discovery and self-healing properties – when terrain changes (e.g., foliage or a billboard), traffic loads change, or devices lose power, endpoints will adjust their paths through the network because they are constantly updating their best path back to the data center via a primary and secondary AP. The devices automatically join the network and register with an AP – no intervention is required. Backup power – APs and Relays can also include a battery for backup power. In the event of an outage, these network infrastructure devices can continue to forward network traffic, such as last gasp messages from meters, to the back office. Receiving these last gasp messages will allow the city or utility to immediately pinpoint the location of outages, making onsite crew visits more efficient and speeding the time to power restoration. Automatic failover – all endpoints store multiple paths back to the back office. When an Access Point fails, the endpoints begin sending traffic to their back-up AP immediately.

Other notable features of our network include:

“Over the air” firmware upgrades – we can upgrade the firmware of Silver Spring network devices, Silver Spring Communications Modules in photocells or cabinet controllers and other third-party devices, and third-party endpoints themselves (the firmware of a photocell or meter, for example). Network View: Reports showing network infrastructure are provided through our network management software.

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Security – Silver Spring protects communications via authentication, authorization, and encryption. Encryption happens at Layers 2, 3, and 7 and leverages keys administered by a Public Key Infrastructure (PKI) hierarchy. Each unique device pair and device-to-software pair uses unique key pairs.

Controllers and sensors

The Smart Photocell/Streetlight Control Node makes a typical streetlight luminaire "smart". It is a standard luminaire photocell control with an integrated Silver Spring Network Interface Card (NIC). It includes a standard twist-lock connector that enables simple installation into the photocell port on a luminaire without tools.

The smart streetlight controller can provide “last gasp” outage notification transmitting a message when they lose power, can be controlled by downloading a pre-determined dimming schedule and can provide dimming and brightening on-demand. Luminaire events are sent for a streetlight outage or retrieved as a part of the system-wide read of device data, typically conducted every four hours.

The Smart Streetlight Control Node is installed in just a few minutes on each LED Luminaire without tools using the 7-pin ANSI C136.41 socket. It controls the LED driver (ON, OFF and stepless dimming) through a 0-10 volts dimming interface or DALI and measures current, voltage, power, power factor, temperature, energy and burning hours. It identifies lamp and electrical issues and constantly measures and regularly sends lamp level (%), lamp command (%), cumulated energy consumption (kWh), active power (W), mains voltage (V), mains current (mA), power factor and temperature through the AMI Network. Each Smart Photocell switches the luminaires ON, OFF, or dims via its own scheduler (programmed by the LMS) and astronomical clock as a backup to the photocell, to avoid day burners.

Solution Components Silver Spring Networks

Silver Spring Streetlight NEMA Controllers

Integrated smart photocell with LED Luminaires using a 5 or 7-pin ANSI C136.41 Socket

Wi-Sun compliant mesh radio based on IEEE 802.15.4g, 1Watt broadcast power, 900MHz frequency-hop spread spectrum Smart-Grid caliber security (end-to-end AES-256, X.509 certificates, secure bootloader) Real-time power outage notification with Last Gasp Real-time luminaire event notification Full energy and luminaire metric tracking (Power, Energy, Volt, Current, Power Factor) with .5% accuracy at configurable intervals Other metrics – Burn Hours, Temperature, Lux Level. Fully-weatherized units: IP-66 enclosure, -40C to 70C, Built to long-life photocontrol standards (ANSI 136.10) Power: 120-277v Dimming through 0-10v or DALI driver through ANSI 136.41

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socket Optional integrated GPS On/Off/Dim through on-board photocell or astroclock Warranty: 1,5,10 year available. Schedule based on on-board sensor, time or both Time-stamped Event logs Autonomous behavior (i.e. smart controllers will operate and collect/retain data even if network is disconnected)

Silver Spring Decorative Controllers

Control-node in a sealed enclosure meant for internal mounting inside a luminaire or cabinet.

Wi-Sun compliant mesh radio based on IEEE 802.15.4g, 1Watt broadcast power, 900MHz frequency-hop spread spectrum Smart-Grid caliber security (end-to-end AES-256, X.509 certificates, secure bootloader) Real-time power outage notification with Last Gasp Real-time luminaire event notification Full energy and luminaire metric tracking (Power, Energy, Volt, Current, Power Factor) with .5% accuracy at configurable intervals Other metrics – Burn Hours, Temperature, Lux Level. Environmentals: 40C to 70C, Built to long-life photocontrol standards (ANSI 136.10) Power: 120-277v Dimming through 0-10v or DALI driver through ANSI 136.41 socket Optional buttonhole diode, external antennal On/Off/Dim through on-board photocell or astroclock Warranty: 1,5,10 year available. Schedule based on on-board sensor, time or both Time-stamped Event logs Autonomous behavior (i.e. smart controllers will operate and collect/retain data even if network is disconnected)

Silver Spring Cabinet Controller for Chicago

Leverages the Internal Decorative Controller for circuit-level on/off operation and a Silver Spring Smart Electric Meter for utility-grade energy monitoring.

On-Off control through LMS scheduling Utility-grade energy monitoring (Power, Energy, Volt, Current, Power Factor). Alerting on luminaire circuit power failure and luminaire-on-circuit failure

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Integration & Interfaces

Overview

Streetlight will have many touch points within CIT’s back office systems including 311 and 911 systems and work order management applications. To ensure that the system is secure and logically integrated, Silver Spring offers multiple integration options and methodologies. These capabilities are back by Solution Architects who have provided guidance to all of Silver Spring’s customers and have worked with major System Integrators such as IBM, Accenture, and CapGemini.

Read/Write Access

Silver Spring’s Streetlight.Vision platform provides an extensive web services API base on industry standard and widely used XML 1.0, SOAP 1.1 and HTTPS. Streetlight.Vision web services and JMS message queues (or direct TIBCO EMS 6.1 message queues) are integrated with back-office systems.

Integration options include:

Extensive web services Industry standard Java Message Service (JMS) messaging interfaces using the TIBCO Enterprise Messaging Server 6.1. UTILITYX integration can us JMS or native TIBCO messaging client libraries such as .Net/C#, Java, etc. Bulk file transfers using FTP or SCP. Email notifications using SMTP. Time synchronization using SNTP. Enterprise monitoring using SNMP v2 or v3.

Interface Details

Web User Interface: The Web UI is the primary user interface to the Head End system. The Web UI uses modern, interactive JavaScript technologies to provide a rich interactive and responsive user experience. The web UI is accessed over a secure HTTPS connection. The intuitive menus and tabs provide easy access to all AMM capabilities.

Time Synchronization Interface: Each Streetlight Communications Module (a.k.a. NIC) synchronizes time with its primary Access Point several times a day. If the primary Access Point is unable to provide time synchronization (for example, if a WAN disruption occurs), then the Module requests that service from its secondary Access Point or other available Access Points. Access Points and Headend application servers synchronize time with a CIT Secure Network Time Protocol (SNTP) server using UDP on port 123.

Enterprise Integration Platform Interface: The Headend web services, JMS message queues, FTP and SCP file transfer, LDAP and SMTP email interfaces provide extensive opportunities for integrations with CIT’s Enterprise Integration Platform. Silver Spring customers use these industry

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standard interfaces to integrate with a wide variety of third-party systems including Microsoft technologies.

Asset Management Interface: The Headend can provide scheduled or on-demand inventory descriptive statistics or bulk device record transfers that can be used by CIT’s Asset Management System(s) to maintain close synchronization between the status of SMP devices in the field and the corresponding back office. These device records are provided in tab separated (TSV), comma separated (CSV) or XML formats.

Meter Data Management (MDM) Interface: The head end’s native meter read export format, based on industry standard XML is widely used by Silver Spring customers and widely supported by popular MDM vendors. The Headend also supports other vendor proprietary export formats such as Oracle USM, Itron IEE, Lodestar, or HHF. Meter read exports can be transferred to the MDM using FTP, SCP or JMS.

Reporting & Analytics

SLV6 provides several functionalities for reporting and alerting, incluing:

The Report Manager function is an-ever expanding list of pre-defined reports (currently 20+ reports) that provide periodic reports on aspects of the systems performance (e.g. electrical, failure, energy reporting). Reports are defined against the lights of interest, given periodicity and distribution information (e.g. email or FTP). Certain reports also have configurable parameters relevant to the report.

The Data History function allows for collection of any of the recorded data (e.g. energy) on a particular luminaire on a configurable interval. The data can be viewed graphically or saved to a CSV.

In the Advanced Search function, ad hoc queries can be created, executed and saved on any parameter or sets of parameters on the asset inventory. The Alarm Manager function provides full ability to define simple or complex alarms and provide contextual responses either in email or sent out the RESTful API. The email interface can be used to send SMS messages based on accepted phone-to-email conventions used by mobile carriers.

Additional Functionality

The core Silver Spring platform used for lighting control provides a city-wide extensible RF network IP (Internet Protocol) “dial-tone” that can support additional Project Objectives. Silver Spring will be an active partner with the City to bring in other smart-city applications to the network.

It’s critical to note that though Silver Spring can provide “off-the-shelf” examples and concepts of other smart city applications, for a city the size of Chicago, each use-case needs to be individually investigated with the City’s requirements to provide an optimal solution. This has a primary benefit of being the best solution for the City and the secondary benefit in that it allows

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Chicago-based technology, if available, to be incorporated into the solution. This methodology of satisfying a core requirement and then adding other applications is the business of Silver Spring. Silver Spring can provide many examples (including ComEd) where this methodology was successfully implemented on top of very large streetlight or smart grid networks, including:

Improve Public Safety:

In Copenhagen, Silver Spring enabled bike counters communicate to intersection luminaires to raise light levels for bikes crossing the intersection.

At the Illinois Institute of Technology, we’ve partnered with students to build a lighting-aware public safety “panic button” application for smartphones.

At FPL, Silver Spring partnered to improve the time to repair outages across over 500,000 streetlights.

In Glasgow, Silver Spring partnered to add dynamic lighting capabilities tied in to smart cameras that detected pedestrian traffic.

Improve the Delivery of Public Goods and Services:

Silver Spring network provides the network for smart electric meters (and water/gas pilots). This is the function of the majority of the 25 million devices deployed by Silver Spring so there are robust ecosystems for electric/water/gas metering as well as deep experience in integrating with utility systems (e.g. MDMS, GIS, Outage Management Systems) with major software vendors.

The Silver Spring IOT (Internet of Things) router is the end-point for integrating Intelligent Transportation System (ITS) endpoints into the network, and an important tool for rapidly integrating third part products and solutions into Chicago’s Smart City applications portfolio.

Promote Economic Development:

Beyond technology, Silver Spring believes it’s important to invest in our customer and the community. As an example, as part of a partnership with ComEd to deliver Smart Grid technologies throughout Chicago and Northern Illinois’ 4.5M utility sensors, Silver Spring opened a new Chicago office in the iconic Willis Tower. With space for approximately 50 employees, a cutting-edge 7x24 Network Operations Center, and a Smart City and Smart Energy technology demonstration facility we opened in 2014. “By investing in modern, high-tech energy infrastructure, we are ensuring that Chicago is equipped to address 21st century challenges while making the city a more sustainable place to live and work,” said Mayor Rahm Emanuel. “Silver Spring Networks and ComEd are essential partners in accelerating economic growth by adding crucial jobs, opening state-of-the-art facilities, and helping Chicagoans save money.”

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We have also partnered closely with the Illinois Institute of Technology (IIT) in our CMSMART project to develop new applications leveraging Silver Spring technology. These student-led projects include a smartphone security application for location aware streetlight flashing for personal emergencies, Electric Vehicle charger integration, network-coupled pedestrian counters for retail and advertising data. In addition, Silver Spring anticipates working with the City for organized City-as-a-Platform hackathons to develop new City-exportable Smart City applications and ideas. In partnership with ComEd, Silver Spring launched A Smart Energy Future (http://www.asmartenergyfuture.com/), a free curriculum for educators to teach students about smart energy, smart cities, and career opportunities in green fields.

There are a number of other Silver Spring applications that can use the network; the users of which vary from other city departments to public companies.

City Applications

Water AMI: The City would be able to leverage the dense network established through streetlight controls to economically deploy a residential/commercial water metering system. This would allow the city to bill based on usage as well as identify infrastructure issues such as leaks. As the City is the anchor application for the network, the City could participate in a revenue sharing model for providing network services to the water provider. Police/Emergency Responder Lighting portal: This application would provide a portal to the police department for the control of streetlights for enhancing public safety or emergency responders. As an example, a police officer could use a smartphone application to locally raise or lower the lights around a security incident. Alternatively, an EMT could request that lights be raised around a traffic accident facilitate rescue efforts. This police / emergency responder application would need to be developed to the requirements of the city by a third party developer but would leverage the existing RESTful API’s inherent in the Streetlight.Vision CMS. The business model would be that the city police department would pay for the funding of the application development and maintenance and pay a recurring fee for access to the network. The City could then relicense the police/EMT access portal to other cities for a fee. Intelligent Traffic System Communication: The city can offer the mesh network to the traffic department to network ITS devices (e.g. existing traffic light controllers). This ITS information can be either terminated in the Streetlight.Vision CMS or be sent to a special traffic department management application.

This application requires local ITS controller adaptation to the network – i.e. develop a software driver that could interpret the communication from the ITS controller and put it in a standard format and then the use of the network itself. This software would reside in a Silver Spring communication device called the IoT Router, which the traffic department would purchase. The traffic department would fund the software work and then would pay the City for use of the network (perhaps $10-$20 per year per device). The numbers of ITS

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devices typically are an order of magnitude lower than the number of streetlights - so the estimated device count could be 10k to 30k.

Parking: With the established lighting network, the City can deploy a parking management system of their choice. Depending on city requirements, this could be simply a system that allows for kiosk-based payment through the network, or more technically intensive systems that would identify open slots through an intelligent camera. Array-of-Things: Silver Spring’s is in contact with Aragorn National labs to discuss integration.

Retail Applications

Outdoor Lighting Controls for Businesses: This use-case provides the same level of lighting controls the city uses, but for outdoor lights of retail customers. Here, the end customer would purchase networked streetlight controls and put them on their lights. The city would then provision the lights in the StreetLight.Vision CMS with a partitioned login access for the retail customer so they can only see their lights. Here, the retail customer can manage the lights – controlling them through a schedule or in real-time.

The business model is that the city could sell these services directly, or work with lighting contractors as a service that the contractors provide. Lighting contractors can bid for this business through a City-led RFP process.

Electronic Signage: The city can partner with a billboard advertising company to provide streetlight pole attached electronic signage. It’s recommended that the City go to RFP to solicit proposals for signage partners. The City would charge the advertising company for the pole attachment as well as use of the communication network. It’s recommended that the fee schedule to the advertiser scales with the prices the advertiser charges for the ad (i.e. some locations are more valuable because of the number of people who see the sign).

General Sensor Development: There are a number of other sensors that can be used for commercial, environmental or public safety. The general model is, end-customer purchases the unit and the city will charge for activation and yearly charge for use.

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Third-Party Products

As this is a Silver Spring hosted solution, there are no additional hardware devices required.

The integration of SLV6 may require an adaption or integration layer between SLV6 and the 311/911 system. Specifications for which will be proposed after scoping of detailed requirements with the City.

Hosting & Environments

Software-as-Service Overview

In a Software-as-a-Service deployment model, Silver Spring builds, owns, and manages the back office application at a Silver Spring secure datacenter. The City of Chicago will own and maintain the photocells in the field.

The SaaS solution provides the City with a secure web interface allowing full access to the Streetlight.Vision (SL.V). Software license fees are included in the monthly service fee. The solution utilized by the City of Chicago fully supports integration between Silver Spring and other client back office systems for on-demand transactions as well as bulk data transfer via a secure VPN connection.

By leveraging existing infrastructure at the Silver Spring datacenters, client environments can come online rapidly, significantly reducing one of the largest operational risks in any smart cities deployment. Security is assured through Silver Spring’s operation and maintenance best practices and SSAE SOC 1 Type II, N+1 redundant datacenters. A shared infrastructure (routers, storage, database, servers, backups, etc.) allows the City to avoid additional costs and delays associated with acquiring dedicated hardware without sacrificing data integrity and security. Silver Spring also offers disaster recovery and business continuity services as well as staging/test environments for upgrade/patch validation. Upgrades/changes to all environments are coordinated with clients using standard change management procedures. All SaaS environments are managed and monitored by Silver Spring’s 24x7 operations centre and staff. Silver Spring assures customers peace of mind by offering intrusion detection services and regular third-party penetration testing services.

Silver Spring can deploy as many environments needed by the City including production and testing. Optional environments for training and disaster recovery can also be included.

Silver Spring Hosting and Datacenter Security

Silver Spring is proposing a SaaS hosting solution utilizing the Silver Spring utility-grade hosting facilities for the deployment. With this model, security is assured through Silver Spring’s operation and maintenance best practices and SSAE 16 SOC 1 Type II certified datacenter. Silver Spring internal security controls are based on security industry best practices derived from ISO 27002. These controls include physical and environmental security, operational security, security of third parties, system security, virus and malicious code protection, network security

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management, media handling, backups, monitoring, access control, vulnerability and patch management, and incident management.

An intrusion detection system monitors network traffic for suspicious activity. Servers and networks are continuously monitored by Silver Spring’s NOC 24x7x365 for performance issues and any unusual activities that would be indicative of a security issue. Logs are maintained for audit purposes. Suspicious activities are reported to Silver Spring InfoSEC (Information Security), who investigate and determine if a security incident has occurred. If the suspicious activity has been identified as an incident, INFOSEC will follow a documented security incident response procedure to investigate, handle, remediate the incident, and notify customers.

Dedicated application servers are used to access customer data that is maintained in separate and secured database tables on shared database servers, leveraging shared network infrastructure at the Silver Spring datacenter. Access to the customer the Silver Spring AMI applications environment is via secure LAN-to-LAN (L2L), Business-to-Business (B2B) Virtual Private Network (VPN) using IPsec technology. Access to the application is implemented by employing SSL encryption for session privacy for the Silver Spring AMI applications’ web based user interface.

Datacenter Security - Silver Spring’s datacenter is located in a region free from most known natural disasters. The datacenter has SSAE 16 SOC 1 Type II audits to ensure protections against physical and cyber threats. Additionally, Silver Spring maintains a business continuity plan (BCP) and can include Disaster Recovery (DR) plan options for customer BCP requirements.

Facility Security and Integrity - The facility is monitored by closed circuit television (CCTV) surveillance cameras located at facility entrances. Physical access to the building and specific areas within the building is controlled, restricted, and monitored by a central proximity card access and biometric hand scan system.

Datacenter Access - The datacenter is designed as a secure location to protect the hardware for the infrastructure. There is no direct outside entry into the datacenters. The datacenter is located within a restricted area. Physical intrusion detection systems or alarms are in place to detect break-ins. Physical security and access controls address system hardware, wiring used to connect elements of the system, supporting services such as electrical power or telecommunications areas, backup media, and any other elements required for the system's operations.

Network Security - Logical access to any third-party networks is restricted by physical demarcation. All third-party network access requires a physical cross-connect between the

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customer cage and the facility’s “network Point of Presence”. No other third-party data networks are accessible from the customer cage.

Environmental Controls - The data centers are equipped with the following environmental protection equipment:

Power generators and UPS to provide power to critical servers and infrastructure devices Redundant heating ventilation and air conditioning (HVAC) systems to maintain temperatures and humidity within manufacturers’ specifications Heat and smoke detection and fire suppression systems to provide for notification of fire conditions

Backup & Recovery

Overview

Silver Spring has established formal policies and procedures to ensure that all key processes within the company have the requisite internal controls in place. This includes a business continuity plan and disaster recovery plan so that all critical operations will have appropriate redundancy, failover, and restoration capabilities. This includes geographically diverse data centers, and key resources to support the service.

Hardware failure is typically covered by redundant data center infrastructure deployed to help support either full, in rack redundancy of networking and server gear, or tools for fast recovery (DataGuard, VMware etc.)

Disaster Recovery (i.e. loss of a data center) of client environments is an optional component of Silver Spring’s standard hosting offering. When a customer buys a disaster recovery solution, the plans are exercised periodically based on the terms of the services contract.

The primary Silver Spring data center is hosted at Switch Communications in Las Vegas NV. The secondary data center hosting site is American Internet Services, San Diego CA.

Capabilities

To meet RTO and RPO requirements Silver Spring offers a High Availability (HA) solution for the Silver Spring platform that is achieved using a number of replication, virtualization and business continuity tools. Because the system stores data at multiple points (in photocells, at the head end, in the MDMS, etc.), the network as a whole is designed to be resilient to individual component failure.

The server component is designed and deployed in an “Active-Passive” configuration with a warm spare server immediately available for manual failover. The database component is designed and deployed in an “Active-Passive” configuration using Oracle DataGuard for local and remote (for Disaster Recovery) data replication and a manual failover process to activate the backup database server.

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Municipalities and Utilities understand the necessity of having high availability systems for network management. The City of Chicago’s RFP clearly emphasizes this with a requirement to ensure aggregated system availability of at least 99.9%. High availability systems are achieved through system design, high quality hardware and software, best practice operations and building in redundancies.

Silver Spring’s applications are designed to achieve very high levels of availability using optimal configuration, operation and monitoring of the systems and applications that are performed according to our internal best practices. Silver Spring will configure, operate and monitor the systems and applications in accordance with these best practices to achieve the desired aggregate availability. We apply these practices to our Managed Services and SaaS customers and have a proven track record of high system availability and we are more than happy to present specific performance against these metrics from our extensive experience. Furthermore, Silver Spring has designed a “fast fail-over” methodology and related set of procedures that is a critical requirement for achieving the stated levels of availability. Our response includes the consulting time and resources from our operations and monitoring team needed by Silver Spring and the City of Chicago to apply these best practices and achieve the required levels of availability.

Security & Accessibility

Security Overview

From the start, Silver Spring recognized that networks such as smart grid and smart city applications might be the target of malicious activity and understood the vulnerabilities presented by interconnecting millions of remote devices that have an operational life of 15 to 20 years. Consequently, the company has taken an architectural approach to security and embedded it throughout the hardware, software, and transactions running on its Platform. In addition, Silver Spring leverages standard IP-based security technologies, which have been developed collectively by the best security minds across the globe, proven to be highly scalable, and hardened over decades of worldwide use against a broad range of attacks.

Silver Spring employs the strictest security standards throughout the proposed Streetlight solution, including ISO 27001/2 and NIST 800-53. Thanks to security mechanisms such as authentication, authorization, and encryption, Silver Spring endpoints and supporting infrastructure are capable of detecting and alerting the network management system of attempts at unauthorized actions as well as preventing security breaches. Each component within the Silver Spring Streetlight Platform can securely and uniquely identify itself to every other relevant component of the system.

The architecture of the Silver Spring security system permits each component within the system to securely and uniquely identify itself to every other relevant component of the system using a cryptographic certificate hierarchy. The identity of an entity not only includes MAC addresses, but also the role the entity plays within the system (e.g., meter, Access Point, Repeater, etc.) and who assigned them the role (e.g., manufacturer, operator/utility, field services unit). No

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communication within the system can occur without identity confirmations; any node can refuse to communicate with any other entity. Trust is established in stages, and authorization policies are changed to allow increasing participation in the network as a device is placed into higher trust.

The Silver Spring system uses keyed-HMAC for mutual authentication between any two entities in the system - not only at the application layer but also at other layers (e.g., routing in data link layer). The common cryptographic suite for the Silver Spring system is as follows:

Elliptic Curve Digital Signature Algorithm (ECDSA) over the NIST P-256 curve Advanced Encryption Standard (AES), either 128 or 256 bits Secure Hash Algorithm (SHA) – SHA256 variation Diffie-Hellman (DH) Key Agreement and Elliptic Curve Diffie-Hellman (ECDH) Rivest-Shamir-Adelman (RSA) Public Key Cryptography Standard (PKCS) #1 – 2048 bit signatures True Random Number Generator (RNG) based on a noise or entropy source, can be combined with a Pseudo-Random Number Generator (PRNG) where the RNG seeds the PRNG

Silver Spring solutions employ Internet Protocol (IP)-based security protocols over the wide area network (WAN) to ensure data integrity and measure against any number of potential security issues in managing an Advanced Metering Infrastructure (AMI) network. These include deploying IP Security (IPsec) in transport mode between the back-office (Silver Spring applications) and the Access Point (AP)/MicroAP across the WAN. The payload of the IP packet is authenticated and encrypted in the current transport mode. The authentication algorithm used is Hash-based Message Authentication Code-Secure Hash Algorithm (HMAC-SHA1) for integrity protection and the AES Cipher Algorithm in Cipher Block Chaining (CBC) Mode with 128 bit key size for encryption (AES CBC-128).

The Silver Spring solution specifically conforms to Federal Information Processing Standard (FIPS) 186-2 (for digital signatures), FIPS 197 (for encryption), FIPS 140-2 Security Level 2 and 3 (for specific hardware security modules), and FIPS PUB 198 (for cryptographic hash functions).

The back-office has standard firewalls and security compartments, and three-tier architecture with:

Highly restricted port connectivity (access methods) between tiers Encrypted channels between tiers Encrypted channel, authentication/authorization for both UI (SSL) and programmatic APIs Support for customer password rotation/aging policies MD5 hash* of passwords at rest in database, data encrypted when archived

The connection between the Silver Spring SLV application and any back-office server (e.g., database) is a Transport Layer Security (TLS) or Secure Socket Layer (SSL) connection. Both ends of the connection may be authenticated – e.g., both server and clients present a digital certificate. It is recommended that the key pair used at each end to establish the TLS connection

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be stored in a Hardware Security Module (HSM) local to the device. This prevents insider attacks where passwords are shared. Only connections attempted with the correct client certificates will be permitted. TLS provides confidentiality, authentication and integrity protection of the connection.

Silver Spring interfaces include a WSDL API (Web Services Definition Language), a JMS (Java Message Service) API, both are available and commonly leveraged by both System Integrators and utility customers. The same web services used by Silver Spring AMI applications’ User Interface are exposed to enterprise back-office systems. The complete set of WSDLs and XSDs can be downloaded through the User Interface and invoked by the enterprise middleware or other back-office application.

Logging & Audit Trails

Logging and audit trails are maintained to provide accountability for specific activities on Silver Spring hosted systems and applications. Silver Spring integrates multiple data sources such a system logs, firewall and router logs, anti-virus, vulnerability management, VPN user activities, security events generated from NIDS and next generation threat prevention systems into a Security Information and Event Management (SIEM) platform. The SIEM platform provides real-time event monitoring and cross-correlation to detect and alert on critical offenses and security incidents. Further, Silver Spring leverages an outside managed SOC providing 24 x 7 security monitoring and response services.

Secure Access

The SLV system provides the functionality for the City of Chicago to create roles and assign privileges according to the business process policies. Application components require the proper roles and policies, enforced via digital certificates (X.509 format), to be presented to the controller to allow them to run specific operations (e.g. configure, disconnect, firmware upgrade, reads, etc.) Only the highest privilege is allowed to change policy mappings on the system. The system also enforces a role-based access for users with privileges being granted to only the appropriate user role.

Silver Spring’s CAAS stores user credentials in either a local database or in an LDAP data store. Where CAAS is deployed with LDAP, CAAS passes authentication requests from a client application to LDAP without visibility to the user. When LDAP group users log into a SSNI application, the CAAS Login page appears and they are prompted to enter their LDAP group credentials to log in. If CAAS is configured to run with an LDAP data store, CAAS sends the request for authentication to the LDAP data store. LDAP authenticates the credentials and authorizes use of views and privileges in those SSNI applications, to which the user or LDAP group has access.

Security Testing

Silver Spring goes beyond the industry-leading “secure by design” technologies and employs a “trust, but verify” security policy. We request independent third-party companies to perform a

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rigorous set of penetration testing each year. Over the last five years, Silver Spring and our customers have leveraged the cyber-security expertise of companies including Accuvant, Inguardians, Core Security, Harris, and Lofty Perch to perform these tests.

The security assessment tests cover a wide spectrum of Silver Spring products, including, but not limited to, the following hardware and software: SilverLink Applications (Streetlight Vision, Advanced Metering Manager, Firmware Upgrader, Meter Program Configurator, Demand Response Manager, Network Center, and Outage Detection System); other software such as CustomerIQ, the JMS message bus, CAAS, and the DR installer portal; SilverLinkOS firmware on Communications Modules, Access Points, Relays, Bridges, and Field Service Units (FSU); and Critical Operations Protector and KeySafe.

The vulnerability testing includes:

Network and application penetration testing – utilize common testing and attack methodologies to detect known vulnerabilities and attack vectors. Typical methodologies tested include denial of service, authentication/authorization deficiencies, buffer overflows, key management, injection/man-in-the-middle attacks, web services and XML content attacks.

Binary and source code analysis for firmware – Review more than one million lines of source code in the Silver Spring SilverLinkOS firmware to identify any dangerous function calls, application logic flaws, and authentication bypass vectors.

Hardware analysis and tampering attacks – Validate hardware tamper-resistance, including access to all serial ports, I/O pins and JTAG test interfaces and the ability to extract firmware.

Communication protocol analysis – Enumerate communication process and integrity of hardware messages and client-server communications, certificate management and trust relationships.

Performed at least once a year, and taking three to four months to complete, the rigorous process involves four key phases:

1. Testing – Silver Spring and the third party finalize the suite of products that will be tested and agree on a test plan. Then the third-party test team performs the testing in a lab environment that includes all the necessary hardware, software, and test systems.

2. Review/Validation – Once the test team completes the testing, it generates a report containing the results and findings and reviews it with Silver Spring to validate the findings.

3. Remediation/Tracking – Should any vulnerability emerge, the Silver Spring InfoSEC team works with the appropriate product management and engineering resources to submit/track prioritized defects for remediation in future product releases.

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4. Confirmation – the Silver Spring engineering and QA teams perform testing to validate any resulting defect resolution.

In addition to the annual product testing described above, which benefits all our customers, Silver Spring also performs rigorous testing of the back-office infrastructure – including servers, operating system/RHEL, hypervisor/VMware – for our hosted customers. This testing includes regular review and patching of key infrastructure such as SilverLinkOS, real-time vulnerability scanning and intrusion detection, security information and event management, and a 24x7 Security Operations Center (SOC) to respond to critical events.

Information and Communications Technology Security Standards

Silver Spring complies with ISO/IEC 13335, the five-part series of standards titled Information technology – Security techniques – Management of information and communications technology security. ISO/IEC 13335 most clearly and comprehensively defines the effective security areas and controls necessary to meet most regulatory compliance and standards, including those in the NIST Guidelines for Smart Grid Cyber Security, Vol. 3, Supportive Analyses and References (NISTIR 7628).

Silver Spring’s Smart Energy Platform architecture and security policies reflect the best practice controls recommended in ISO/IEC 13335 and NISTIR 7628, especially in the areas of asset management (including all assets in the field), access control (at every device), and physical and environmental security (in the datacenters that host our back-office servers). ISO/IEC 13335 consists of the following:

ISO/IEC 13335-1 Part 1: Concepts and models for information and communications technology security management is the first in the series. ISO/IEC 13335 parts 2-5, under the general title, Information technology – Guidelines for the management of IT Security, are subtitled as follows:

ISO/IEC 13335-2: Part 2: Managing and planning IT Security ISO/IEC 13335-3: Part 3: Techniques for the management of IT Security ISO/IEC 13335-4: Part 4: Technical Report (TR) – Selection of safeguards ISO/IEC TR 13335-5: Part 5: Management guidance on network security

Maintenance & Support

Support Terms

Silver Spring will provide the City of Chicago with 24x7x365 secure access to a web-based customer portal containing Silver Spring product documentation, Updates, and other “self-service” materials, including a ticketing system will allow City users to open and track the status of issues. Knowledgeable Silver Spring Customer Support will be available to provide the Support Services, on weekdays (excluding Silver Spring holidays as Silver Spring will specify annually in advance), during the hours listed. . Except as required for Priority 1 Incidents contact during

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Customer Support Business Hours may be made by telephone or email using the contact information provided in Table 1, or via a Silver Spring-provided ticketing system.

The initial term for Support Services is five (5) years from the date that City staff access the Software, and thereafter will renew automatically for successive 12 month periods unless the City gives notice of non-renewal at least 90 days before the scheduled expiration date of the then current term. The City may elect to renew or terminate Support Services for Software products individually. Fees are subject to CPI adjustment, starting on the first automatic renewal (i.e. beginning year 6).

For more information on support processes, escalation procedures, and tiers of support please refer to Silver Spring’s Support documentation.

Maintenance Approach

Siemens and Silver Spring are proposing a “Software as a Service” (SaaS) delivery model, therefore Silver Spring will assume all of hosting and software maintenance operations for the City. Silver Spring will also be responsible ongoing maintenance to meet contractually guaranteed network and platform performance metrics.

Silver Spring provides ongoing support to ensure customers have access to the technical support; software and firmware upgrades; and hardware replacements needed for optimal performance of the Streetlight Control solution. Support is broken into three separate offers:

Service Description

Software Maintenance

Software Maintenance provides the ongoing maintenance and support for your Silver Spring back office application including Streetlight.Vision. Software Maintenance includes:

Access to application upgrades, patches, fixes 24x7 Technical support via phone, email or online

Firmware Maintenance

Firmware Maintenance provides the ongoing maintenance and support for the firmware running on Streetlight Control equipment, including APs and Photocells.

Access to firmware upgrades, patches, fixes 24x7 Technical support via phone, email or online

Hardware Maintenance

Hardware maintenance provides the ongoing maintenance and support for Streetlight Control Field Network equipment including APs and photocells and luminaires. Hardware Maintenance includes:

24x7 Technical support via phone, email or online Replacement of broken network equipment components via

Return Material Authorization (RMA) process Extended warranty services

The matrix below demonstrates the uniqueness of the XXXX provided SaaS model and the offerings that are fully included relative to other AMI ownership and operating models:

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Scope Item Responsibility SaaS Licensed

Professional and System Integration XXXX SSN

Software Releases, Maintenance & Support XXXX/SSN SSN

Field Network Monitoring XXXX Chicago

Service Management XXXX Chicago

System Monitoring XXXX Chicago

Datacenter and Network Operations Services SSN Chicago

Security Audits and Incident Management SSN Chicago

Firmware Releases, Upgrades and Maintenance XXXX/SSN Chicago

Backhaul Operations (if applicable) SSN Chicago

IT Hardware Build, Install & Maintenance SSN Chicago

Software and Network Upgrades XXXX/SSN Chicago

Professional and System Integration Services

Siemens will provide a Project Manager and Solution Architect to oversee the implementation and customization of the control platform to suit the City of Chicago’s business requirements. Siemens’s Project Manager will be responsible for coordinating the efforts of various Siemens and Silver Spring teams, providing a single point of contact for the City. The City of Chicago should similarly expect to provide a Project Manager who will coordinate efforts within various City of Chicago departments and provide a unified voice for the ongoing business conversation with Siemens and Silver Spring.

Software Releases, Maintenance & Support

Software upgrades, patches and bug fixes are included in the software maintenance program in the SaaS model. Implementation (i.e. installing the software on the servers) of the upgrades, patches and bug fixes are also included during the SaaS model term as part of the ongoing operations and maintenance of the streetlight control platform.

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Field Network Monitoring & Management

For the SaaS option, Silver Spring will provide proactive monitoring of the health of the network including backbone (Access Point) as well as gathering and analysis or operational statistics and trends. Silver Spring will also monitor the VPN connection from the WAN backhaul to the LMS System. Silver Spring will respond to alerts, notify City staff, track the issue, troubleshoot problems, and escalate to Silver Spring subject matter experts or third party vendors as needed. As part of our SaaS offering, Silver Spring will offer network performance guarantees, backed up by SLAs and service credits.

For all support offers described above, the city will work with Silver Spring’s Technical Support organizations. Technical Support engineers will help the Chicago staff troubleshoot issues, open and track issues based on priority/severity and route issues to the correct Silver Spring teams for resolution.

Service Management

Silver Spring strictly follows the Information Technology Infrastructure Library (ITIL) processes for change management, incident management, and problem management. ITIL is a set of practices for IT service management (ITSM) that focuses on aligning IT services with the needs of business. In keeping with those practices, Silver Spring will provide the City with documentation and approval-control of required changes to the environment. Silver Spring will include the City on all Remedy ticket communications regarding schedule, approval, implementation, and completion status. Silver Spring will hold regularly scheduled meetings (normally weekly) with the City to review and discuss all open tickets and issues.

System Monitoring

As part of the SaaS model, Silver Spring will actively monitor and maintain the Smart City network. This includes the network components that exist within the service territory: Access Points and Relays. As the network serves a critical infrastructure supporting the City’s operations, it is designed and managed with resiliency, redundancy and stability. Silver Spring will commit to Service Level Agreements (SLAs), to maintain high network availability to ensure fast and reliable communications between streetlight control devices and the LMS.

Security Audits and Incident Management

With Silver Spring’s SaaS model, security is assured through Silver Spring’s operation and maintenance best practices and certified Datacenters. Silver Spring internal security controls are based on security industry best practices derived from ISO 27002. These controls include physical and environmental security, operational security, security of third parties, system security, virus and malicious code protection, network security management, media handling,

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backups, monitoring, access control, vulnerability and patch management, and incident management. Security event monitoring is maintained 24/7 to provide accountability for specific activities on Silver Spring systems and applications. To detect attacks and intrusions in the back office, security events and logging feeds are piped into a Security Information and Event Manager (SIEM). That device helps automate event aggregation, correlation, filtering, monitoring, and alerting. Inputs into the SIEM / security infrastructure include operating systems (authentication, sudo, privilege), network devices (switches, routers, firewalls), AAA systems, SecurID, vulnerability scanners, network intrusion detection systems (NIDS), web server and applications, database table modification and access, and various other logs and events from the back office and smart grid.

Firmware Releases and Maintenance

Access to Firmware updates, patches and bug fixes is included in the SaaS model. In addition, Silver Spring will manage the over-the-air upgrade of firmware on Silver Spring NICs and photocells or cabinet controls. Upgrade activities, like all operational changes, will be coordinated with the City and subject to the appropriate change controls.

Backhaul Operations (if applicable)

Silver Spring will be responsible for working with the City’s chosen cellular carrier to monitor WAN performance and escalate incidents, as appropriate.

IT Hardware Build, Install & Maintenance

Silver Spring will provide IT Hardware Build, Installation, & Maintenance for the City’s LMS within Silver Spring’s data center. This includes the setup and on-going management of the LMS performed by Silver Spring. In the SaaS model, the City of Chicago avoids having to make investments to purchase, own, and host the hardware and software at its Datacenter. Once Silver Spring builds the back office environment and performs initial setup, it will establish a secure remote administrative link from its Network Operations Centre (NOC) to the City’s data centers, in order to enable the secure delivery of meter, billing, and event data to the City of Chicago’s other back office systems (GIS, 311, 911, WOMS, etc.).

Network Operations Services

Network performance will be monitored by Silver Spring’s Network Operations Center (NOC). Network devices (APs/Relays) that are detected as having an adverse impact to communications are prioritized for investigation on an urgent basis; non-impacting devices (i.e., electric meters have alternate communication paths) are investigated within three business days.

Silver Spring will maintain a high degree of vigilance over the Chicago network with a dedicated team of professionals that manage the performance of the network, many of whom are based in Chicago’s Willis Tower. Silver Spring maintains Network Operations facilities staffed 24x7 in

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Chicago and San Jose, California, which will have primary responsibility in ensuring the City’s systems maintain all service levels. The NOC will identify, troubleshoot and resolve any incidents to ensure the network delivers the contracted SLAs. If necessary, the NOC will escalate field maintenance issues to local SSN staff or to the City, as appropriate. When required, the NOC will perform firmware upgrades to all endpoints and/or network infrastructure to resolve issues or enable new application features. Silver Spring also provides a 24x7x365 Customer Support group that manages incidents or questions raised by the City.

To provide this service to CIT, Silver Spring’s NOC will work closely with the City’s Operations team to accomplish the following objectives:

1. Monitor the overall performance of the network with a focus on proactively identifying issues before they can cause problems

2. Ensure high network device reliability and stable mesh communication coverage 3. Analyze smart meter data to ensure consistent communications and accurate data at the

meter layer of the network.

Performance Standards & Service Level Agreements

Silver Spring was a pioneer in providing industry leading Service Level Agreements (SLAs) as part of our smart energy deployments. Through our 24x7 Network Operations Center, we are able to guarantee performance across a range of business metrics. As shown in the table below, Silver Spring has consistently met SLAs for key accounts.

Customer Size:

2M-6M 2M-6M 500K-

1M 500K-

1M 500K-

1M 100K-200K

10K-100K

SW Uptime 100.00% 100.00% 99.92% 99.94% 100.00% 98.78% 100.00%

EP Reachability

99.80% 99.94% 98.16% 99.69% 99.98% 99.24% 99.94%

SLA Compliance

Yes Yes Yes Yes Yes Yes Yes

For streetlight deployments, beyond the Software Uptime and Endpoint Reachability metrics shown above, we also offer SLAs for On Demand Performance (ability to send real-time on/off/dim commands) and outage notifications.

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Warranties

General Warranty Information

Silver Spring warrants that its products meet applicable specifications, for an initial period which is approximately one (1) year from the date that product is shipped to the customer (Point of Origin). During the warranty period, Silver Spring will repair or replace any product which does not conform to its specifications. The warranty will be described in the warranty section of the customer contract signed by Silver Spring and CIT.

Customers may purchase an extended warranty from Silver Spring, typically covering up to a total of five (5) years, at least ninety (90) days prior to the expiration of the initial warranty period. Terms and conditions during the extended warranty period may differ from the standard warranty and are described in the extended warranty section of the customer contract signed by Silver Spring and CIT.

For more information on Warranty and Return to Manufacturer policies please refer to the Warranty Terms and RMA Procedures documentation.

311 and 911 Integration

With Siemens, the City of Chicago will take an important step towards the integrated ITS architecture of the future - the establishment of a lighting infrastructure that can well serve as a platform for a powerful and flexible central information and control hub. Having implemented numerous integrated traffic and transport management centers around the world, Siemens considers the major success factors of a 311/911 functionality to be:

A suitable integration platform product with proven performance in operational reliability A modular concept with high flexibility for future extensions as technology and demands develop and new data becomes available An efficient, work-flow-oriented user interface to ensure effective operations and minimized response times

The proposed 311/911 software integration will be done based on Siemens’ existing NextConnect middle ware. NextConnect is a modular and proven and highly customizable Siemens SW product. The current Siemens ITS SW product family looks back at more than 18 years of continuous development and experience and has been installed hundreds of times in over 15 countries around the world. This makes NextConnect an excellent choice as the basis for the central integration platform in this project and for potential further developments to come.

Our module-based approach ensures that the required functionality can be implemented on a common platform, sharing the same data access, and at the same time allowing for new features and applications can be added as the Chicago ITS implementation develops.

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In addition to our unique standing in the global marketplace and our rich history in ITS, and our wide-range of experience in traffic solutions, Siemens is also the logical company to implement this project, as our Project Managers, Software and Application Engineers, and Project Staff are among the most highly educated, trained and certified professionals in their respective fields.

Siemens’ personnel are experts in the fields of Smart City planning, traffic engineering, and Intelligent Transportation Systems (ITS). Our knowledge in these areas enables our staff to provide comprehensive services ranging from initial traffic impact studies, design services, inventory and audit services, transportation modeling, planning, systems engineering, and detailed design, through implementation and performance monitoring. Siemens combines the knowledge of transportation engineers, systems engineers, system integrators, software engineers, and Smart City planners to offer an unmatched combination of talent and experience.

Siemens develops and deploys innovative solutions that help agencies reduce traffic congestion, enhance transit use, monitor and manage transportation networks, and provide greater access to reliable traveler information. Siemens was founded based on the principle of providing quality solutions on time and within budget and is committed to customers, always striving to apply in-depth knowledge to solve the most challenging problems associated with the movement of people and goods to enhance a growing economy.

Siemens project management methodology has proven effective in measuring progress, anticipating problems, reacting quickly to changes in requirements, and maintaining schedule integrity. Our project management is designed with checks and balances that have resulted in Siemens’ impressive track record of successful projects. Siemens ITS is founded on superior products and services, linked with excellent project management to provide software-based information solutions. Siemens allocates significant budget to R&D activities, and Smart City solutions prior to deployment.

The team which we have selected to support the City of Chicago for this project includes:

Key Personnel Project Role Job Description Years of

Experience Areas Of Expertise

Senior Project Manager

Oversight and Management of SW Integration Development Project

15

Project management, Concert, SCOOT, Connected Vehicle, TACTICS, project implementation

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Nagendra Tripathi

Deputy PM

Daily SW Integration and Development project management

15

Project management, Concert, SCOOT, Connected Vehicle, TACTICS, project implementation, client interaction, planning and development

Dave Miller

Principal Systems Engineer

Lead of assessment and development team

36

Concert, SCOOT, Connected Vehicle, project administration and implementation, solutions development and concept of operations creation

Mark Rogers

Smart Cities and Advanced Traffic Management Solutions Consultant

Best Practice Sharing, Issue Resolution

31

Smart CitiesManager, Advanced Solutions: Concert, SCOOT, Connected Vehicle

About NextConnect

As a module of the Siemens ITS SW family, NextConnect was created in the US to allow disparate systems to communicate seamlessly. The development of this was based on experience wherein Siemens found there was a need to integrate platforms and systems involving third party components and systems as well as center-to-center applications requiring either standard or proprietary interfaces.

As a highly flexible module, NextConnect has the following key abilities:

NextConnect allows systems to communicate with each other often without modifying the source components NextConnect provides “translation” services to connect systems sharing common data using incompatible protocols NextConnect communicates both with central and field elements NextConnect supports NTCIP 2306 and TMDD Center-to-Center standards Communicates with systems that support DMS, CCTV, HAR, detector systems, signal systems, incidents, and Travel Time data

One benefit of NextConnect is to provide a standards-based Center-to-Center protocol for regional applications and allows for communication between systems often without

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modification of third party components. This results in customers being able to utilize existing infrastructure to minimize investment costs.

Chicago 311/911 (optional) System Interface

Our proposal includes a custom NextConnect adapter for pushing data to the Chicago 311System.

Following the requirements set forth by the City, the adapter will reside in the Light Management System (LMS) provided by Silver Spring, and provide the necessary 311 signaling actions requested. We will also be able to provide the optional 911 System integration by that same methodology at an additional cost.

NextConnect is written in Java and is based on a modular architecture consisting of a common data model representing the objects (i.e., street lights) and their data. It is composed of a set of adapters which interact with the data model on behalf of their interface. The adapter will push out incident signals which are confirmed and active, and are initiated by the Light Management System. These signals will activate the appropriate street light with the particular action (boost, flash, dim, etc).

The data model can also work with other objects, such as detectors, traffic signals, or digital message signs (DMS). These objects, if connected, can provide additional status information and measurement data such as traffic volume, lane occupancy, and vehicle speed. If there environmental detectors present, information such precipitation, temperature, or visibility can be gathered and can be provided in order to facilitate additional functionality and use cases.

Typically NextConnect receives data from the outside interface, and transform it into the data model representation internal to NextConnect, resulting in a bidirectional communications flow. One of the main advantages of this architecture is that existing adapters automatically benefit from new adapters. The new adapter (e.g. a Lufft RWIS adapter) will transform data to the internal data model representation, which is already understood by existing adapters (e.g. the OCPI adapter). New data is made available to any existing adapter and interface that it implements which supports the general data type (e.g. precipitation rate).

When integrating a new interface to NextConnect the system offers 2 main choices:

Create a new adapter inside NextConnect Create a separate application which interfaces via SOAP XML or NTCIP

The latter option is recommended for in-house development or contracting out to a 3rd party. It is entirely standard.

Assumptions

In order to integrate the NextConnect module, the following assumptions were made:

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NextConnect Three adapters were scoped: Silver Spring LMS, Chicago 311, Chicago 911 (optional) NextConnect will monitor the Silver Spring LMS for status to determine outages. NextConnect will create a ticket in the 311 system for the outage to confirm creation. When the LMS reports the light on, the 311 ticket will be closed. NextConnect will monitor the 911 system (optional) for incidents of configured types. When incidents of those types are found, tactics will use the lat/long information to find lights in the area and then send a dimming request to the LMS for those lights. When the incident is closed, NextConnect will cancel the dimming request. NextConnect will not be responsible for incidents that span night to day. It will reset the dimming level, not attempt to determine that it is time to turn the light off. Siemens’ recommendation is to host the NextConnect software in the customer data center. Optional Siemens could host the NextConnect software in the cloud at additional recurring costs. API requirements are handled by the LMS. One year of software support is included in our price. Section 508 and WCAG 2.0 standards are accessibility requirements and do not apply to NextConnect. In order to request lighting for incidents, the 911 system has to provide lat/long data and send to the LMS. The required 24x7 backhaul support desk will be provided as an “automatic” service. That is, the system will automatically detect the outage and create the ticket. This “24/7” service eliminates the overhead for an operator to generate tickets, and ensures reliability of ticket generation.

Customer Support

Siemens offers a variety of support packages to meet the varying needs of a city or agency. By default, all Siemens customers are entitled to free telephone and email support through the Austin based Technical Support Center (TSC). The TSC can be reached by a toll free number during regular office hours (8:00AM to 5:00PM Central Standard Time) Monday through Friday. During weekends and holidays a dedicated support engineer provides emergency telephone based support. The primary role for the TSC engineers is to evaluate the severity and provide immediate resolution to the customers pressing issues. TSC engineers will escalate and route the issue to the appropriate department within Siemens.

ITS Technical Support Center may be reached by phone at 877-420-2070 or by email at stssupport.mobility@siemens.com.

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Functional, Logical, and Technical Requirements

Form 7 - Functional, Logical, and Technical Requirements follows this page.

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Chicago Smart Lighting Technology Requirem

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image

basemaps.

YESBing,Google

supported

1.4.2The

systemallow

suserstotoggle

between

differentbasemaps.

YES

1.4.3The

systemintegratesw

ithGoogle

StreetView.

Optional

Yes1.4.4

Userscan

adjustzoomlevel.

YES1.4.5

Userscan

panin

anydirection.

YES1.4.6

Usersm

ayzoom

toa

pointoragroup.

YES

1.4.7The

systemallow

suserstoview

differentpointbased

orboundarybased

geographies.YES

HeiarchicalGeozonesallowforsegregation

ofthedeploym

ent(i.e.Wards)

Form7

Combined.xlsx

1.00Lighting

Managem

entSystemPage

1of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Lighting Managem

ent SystemO

ptionalResponse

Comm

ents

1.4.8

Thesystem

allowsusersto

viewControlPointlocations.

YESHigh

magnification

showindividuallights.

When

viewing

largegeographic

areas,lightpointsaresum

marized

intoclustericonsindicating

countinclusers.

1.4.9The

systemallow

suserstoview

attributesofeachControlPoint,

including,luminaire

typeand/orsensortype.

YESAssetview

orrealtime

view

1.4.10The

systemallow

suserstoview

thestatusofeach

controller(i.e.,online,online

reportingerror,offline)

YESStatusand

historyofstatusalarm

s

1.4.11Ifapplicable,the

systemallow

suserstoview

Gateway

status(i.e.,online,online

reportingerror,offline)ifapplicable

Yes

1.4.12The

systemallow

suserstoview

Luminaire

status(On,O

ff,Dimm

edState,Boosted

State,etc.)YES

Throughrealtim

econtrol

1.4.13The

systemallow

suserstoview

powerquality

requirements

(currentrequirement,peak

requirement).

YESRealtim

econtrolprovidescurrentlum

inairestatusw

ithallm

onitoredchannels

1.4.14The

systemenablesusersto

viewthe

peakrequirem

entina

prescribedtim

eperiod

(e.g.,last24hours).

YESRealtim

econtrolprovidescurrentlum

inairestatusw

ithallm

onitoredchannels

1.4.15

Thesystem

allowsusersto

viewlighting

systemenergy

consumption

(Dailyoverlastprescribed

time

period–

e.g.,Dailyforlast7

days).YES

Realtime,historicalorlifetim

e

1.4.16U

sersmay

searcharound

aradiusfrom

apointin

eithermilesor

feet.Usersshould

beable

tosetdistance.

CURoadm

ap1.4.17

Usersm

aysearch

within

apredefined

boundary.YES

ThroughGeoZones

1.4.18

Usersm

aydraw

/definetheirow

nboundariesand

searcharound

orwithin

thatcustomboundary

orpoint:Arounda

singlepoint,In

arectangle,W

ithina

freeform

polygon,Aroundand

alonga

route.

Optional

CUDevice

selectionand

groupcontrolcan

beachieved

throughpolygon

butnotgeneraldevice

search

1.4.19U

sersmay

searchw

ithinm

orethan

onepolygon

simultaneously.

Optional

YESGeozonesare

hiearchialallowform

ultizonesearching.

1.4.20U

sersmay

querym

ultipledata

typesatonetim

e.O

ptionalYES

Advancedsearch

allowsforad

hocquery

1.4.21

Usersm

ayadd

oneorm

orequery

filtersperdatatype

basedon

theschem

aforeach

datatype,and

usingstandard

operators(e.g.,showm

ealllightsthatare

outina

particulardistrict)YES

Throughadvanced

searchorreports

1.4.22U

sersmay

selectandrun

asaved

query.YES

1.4.23

Usersm

aynam

eand

savequeriesthatare

runregularly.

Optional

YES

1.4.24Controllerorsensordata

elementsdisplay

aninform

ationw

indoww

ithdata

elementson

hoveroveroronclick

foreachpoint.

YES

Form7

Combined.xlsx

1.00Lighting

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entSystemPage

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RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Lighting Managem

ent SystemO

ptionalResponse

Comm

ents

1.4.25U

sersmay

generatea

PDFofthe

map

andalldata

pointswith

adynam

iclegend.

YES

1.5The

Systemshallenable

userstoconfigure

thefollolw

ingvia

theGraphicalU

serInterface:

1.5.2

Usersm

ayconfigure

thereporting

frequencyofonline

ControlPointparam

etersforASIN

GLEControlPointorgroupsofControlPoints.

YES

1.5.3

TheLighting

Managem

entSystemshallbe

capableofdefining

Luminaire

groups,including"Atlas"boundariesdesignations

providedby

thecity.

YES

ThroughGeozones

1.5.4U

sersmay

modify

theO

N/O

FF,DIMM

ED,orBOO

STEDstate

ofasingle

Luminaire

orgroupofLum

inaires.Yes

1.5.5

Usersm

ayconfigure

andm

odifya

predefinedschedule

fortheO

N/O

FFand

DIMM

EDorBO

OSTED

stateofa

singleLum

inaireora

groupofLum

inaires.Yes

1.5.6The

LightingM

anagementSystem

doesnotlimitthe

numberof

times/eventsperday

thatmay

bescheduled.

YES

1.5.7

Schedulesmay

beeithertim

ebased,w

herebyControllersm

odifyLum

inaireoperation

when

aspecific

time

inthe

scheduleoccurs,or

eventbased,w

herebyControllersm

odifyLum

inaireoperation

when

thenexteventin

theschedule

occurs.

YES

1.5.8

TheLighting

Managem

entSystemshallbe

capableofcreating

programsfortim

ebased

ScheduledControlthatare

defined:On

adaily

recurringbasis,by

specificday

types,forspecialevents,andthe

schedulingshould

allowexception

days,forinstanceholidays.

YES

1.5.9

Eventbased

ScheduledControlsare

definedaccording

toinputs

fromsensorsorcom

mandsfrom

theLighting

Managem

entSystem.

YESThrough

onboardsensorsorRealtim

econtrolthrough

theU

IorRESTfulAPIcall

1.5.10

TheLighting

Managem

entSystemiscapable

ofDynamic

Control,w

herebythe

ON

/OFF,DIM

MED,orBO

OSTED

stateofa

singleLum

inaireora

groupofLum

inairesismodified

inresponse

todynam

icinputsfrom

sensorsorcomm

andsfromthe

LightingM

anagementSystem

.

YES

1.5.11

TheLighting

Managem

entSystemiscapable

ofPrioritizedControl,

whereby

theScheduled

ControlofindividualLuminairesorgroupsof

Luminairesism

odifiedaccording

toinputfrom

sensorsorcom

mandsfrom

theLighting

Managem

entSystem.

YES

Form7

Combined.xlsx

1.00Lighting

Managem

entSystemPage

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RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Lighting Managem

ent SystemO

ptionalResponse

Comm

ents

1.5.12

TheLighting

Managem

entSystemiscapable

ofTrueInputPow

erControl,w

herebythe

Luminaire

DIMM

EDorBO

OSTED

stateis

actuatedto

achieveto

adesired

trueinputpow

er(percentrelativew

atts).Pleasedescribe

anyLum

inairefeaturesthatare

requiredto

meetthis,and

whetherthisw

ouldbe

donevia

manualor autom

atedprocesses.

YES

1.5.13

TheLighting

Managem

entSystemiscapable

ofLightOutputControl,

whereby

theLum

inaireDIM

MED

orBOO

STEDstate

isactuatedto

achievea

desiredlightoutput(percentrelative

lumens).Please

describeany

Luminaire

featuresthatarerequired

tom

eetthis,andw

hetherthiswould

bedone

viam

anualorautomated

processes.

CU

Need

datafrom

luminaire

vendor(lightoutputtopow

ercurve)

1.5.14

TheLighting

Managem

entSystemiscapable

ofConstantLightO

utputControl,whereby

theLum

inaireDIM

MED

orBOO

STEDstate

isautomatically

actuatedto

achievea

maintained

constantlightoutput(lum

ens)overtime

bycom

pensatingforLum

inairelum

endepreciation.Please

describeany

Luminaire

featuresthatarerequired

tom

eetthis.

Yes

Need

datafrom

luminaire

vendor(lightoutputtopow

ercurve)

1.5.15The

LightingM

anagementSystem

canensure

thatam

aximum

Luminaire

trueinputpow

er(watts)isneverexceeded.

Yes

1.6U

serAdministration

1.6.1Allow

sadministratorsto

addusersto

thesystem

.YES

1.6.2Allow

sadministratorsto

assignrolesto

userswithin

thesystem

.YES

1.7N

otificationsandAlerts

1.7.1

TheLighting

Managem

entSystemshallbe

capablegenerating

outageoralertN

otificationsrelatedto

systemcom

ponents,which

arespecified

(predefined

and/orcustomized).N

otificationsshouldbe

automatically

senttoassigned

usersand/orusergroupsviaem

ailorSM

S.

YESAlarm

managerallow

sforcomplex

alarmcreation

with

supportofm

essagesthatprovideadditional,configurable

contextualinformation.

Alarmscan

besentto

email,SM

Sornorthbound

APIcall

1.7.2

TheLighting

Managem

entSystemshallbe

capableofdetecting

andreporting

wire

orcabletheftthrough

useofan

algorithmthat

identifieswhen

thefollow

ingconditionsexist:

1.Auser

definednum

berofControllersreportalossofelectrical

service2.The

lossofelectricalserviceoccursw

ithina

userdefined

time

window

3.TheControllersare

physicallylocated

consecutivelyalong

aroadw

ay

YES

Predefinedalarm

typew

ithconfigurable

parameters.

Form7

Combined.xlsx

1.00Lighting

Managem

entSystemPage

4of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Lighting Managem

ent SystemO

ptionalResponse

Comm

ents

1.7.3

TheLighting

Managem

entSystemshallbe

capableofcom

paringall

reportedControlPointparam

eterswith

optionalpredefined

maxim

umand

minim

umthresholds,and

generatingerrorm

essagesin

realtime

(basedon

reporteddata

availability)foranycondition

thatviolatesaspecified

thresholda

specifiednum

ber(1orm

ore)oftim

es.

YES

1.8W

orkO

rder&AssetM

anagement

1.8

TheCLM

Sshould

interfacew

ith311/the

City'sprimary

work

ordersystem

toenable

userstoconductcom

mon

work

orderanddispatch

activitiesfromthe

LightingM

anagementSystem

application/GUI.The

CLMS

shouldnotbe

thew

orkorderm

anagementsystem

ofrecord,butshould

providethe

primary

applicationforfield

stafftoreceive

assignmentsand

make

updates.TheCLM

Sw

illbethe

primary

assetm

anagementsystem

forstreetlightcomponents.

CUSiem

ens will provide softw

are to interface with the 311 system

.

1.8.1

TheLM

Sshallbe

capabaleofintegrating

with

theCity'sprim

aryw

orkordersystem

tom

anageservice

outages,routeand

dispatchcrew

sforsurveying

andm

aintenance.CU

Siemens w

ill provide software to interface w

ith the 311 system.

1.8.2

TheLM

Sshallshallbe

capabaleofintegrating

with

theCity'sprim

aryw

orkordersystem

andallow

sadispatcherto

assignm

aintenancew

orkto

crewsorcontractors.

CUSiem

ens will provide softw

are that create tickets in the 311 system w

ith sufficient data to allow

a dispatcher to assign resources.

1.8.3

TheLM

Sshallbe

mobile

friendly,allowing

fieldpersonnelto

receiveand

manage

theirwork

viaGPS

enabledm

obiledevicesthatinclude

tom

akeeditsto

theinventory

viaform

and/ormap

interfaces.YES

1.8.4

Anychangesto

thew

orkorderstatusbased

onthe

updatesmade

inthe

fieldshallbe

transmitted

tothe

City’s311/primary

work

orderm

anagementsystem

viaintegration

toensure

transparencyto

residentsandcalltakers.

CUSiem

ens will update 311 system

ticket status as needed.

1.8.5

TheLM

Sshallcontain

anassetm

anagementsystem

thatmaintains

information

abouteachlighting

structureand

itsassociatedfeatures,including

type,model,and

wattages;installation,

maintenance,rem

ovalanddisposaldates,and

warranty

information.

YES

Form7

Combined.xlsx

1.00Lighting

Managem

entSystemPage

5of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Lighting Managem

ent SystemO

ptionalResponse

Comm

ents

1.8.6

TheLM

Sshallcontain

anassetm

anagementsystem

thatmaintains

information

abouteachlightand

itsassociatedcircuitry,controller,

andpow

erfeed.YES

1.8.7

TheLM

Sshallenable

notificationto

ComEd,through

establishedFTP

dataexchange

processes,ofchangestothe

city'slightinginfrastructure

thataffectenergyusage

forbillingpurposes.

YES

1.9Reporting

1.9.1

TheLighting

Managem

entSystemshallbe

capableofcreating

Remote

Monitoring

reportsbasedon

thegeneration

ofanerror

message

orona

schedule.YES

1.9.2The

LightingM

anagementSystem

shallbecapable

ofcreatingpre

definedRem

oteM

onitoringreportscontaining:

YES

1.9.3Instancesofcom

munication

lossbetween

FieldDevicesand

theLighting

Managem

entSystemYES

1.9.4ControlPointsw

itherrorconditions,sorted

byerrortype

and/orElectricalService

PointlocationYES

1.9.5Energy

Consumption

DataforindividualLum

inairesand/orgroupsofLum

inairesYES

1.9.6Logsofw

orkassigned,dispatched

andcom

pletionfrom

thew

orkorderdispatch

systemPrim

eIntegration

Partners

1.9.7The

LightingM

anagementSystem

shallbecapable

ofcreatingcustom

izedRem

oteM

onitoringreports.

YES

1.9.7.1The

LightingM

anagementSystem

shallbecapable

ofcreatingpre

definedassetreports.

YES

1.9.7.2The

LightingM

anagementSystem

shallbecapable

ofcreatingcustom

izedassetreports.

YES

1.9.8

AdministratorsorN

etwork

OperationsStaffm

ayconfigure

thereporting

frequencyofonline

ControlPointparametersforall

ControlPoints.YES

1.9.9

AdministratorsorN

etwork

OperationsStaffN

etwork

Operations

Staffmay

configurethe

reportingfrequency

ofonlineControlPoint

parametersfora

singlecontrolpointorgroupsofcontrolpoints.

YES

1.10Application

Programm

ingInterfaces

Form7

Combined.xlsx

1.00Lighting

Managem

entSystemPage

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RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Lighting Managem

ent SystemO

ptionalResponse

Comm

ents

1.10.1The

LightingM

anagementSystem

shallhavean

APIcapableof

supportingintegration

throughw

ebservices(e.g.SO

AP,Restful).YES

1.10.2

TheLighting

Managem

entSystem’sScheduled

Controlinterfaceshould

providean

interfaceprotocol(e.g.,REST,SO

AP,XML)to

allowthird

partysystem

stocreate

programsforalternative

schedulestobe

automated

intothe

LMS

ScheduleControl.

YES

1.10.3

TheAPIsupportsprogram

matically

modifying

oroverridingthe

ON

/OFF,

DIMM

ED,orBOO

STEDstate

ofasingle

Luminaire

orgroupofLum

inaires(i.e.,when

atraffic

incidentisreportedvia

911,thelightlevelsofthe

lightsinthe

surroundingarea

willbe

raisedautom

atically).

YES

1.10.4

TheAPIsupportsgetting/retrieving

information

aboutindividualcontrollers/lum

inairesthatmay

thenbe

imported

intoanother

systemorused

ina

programto

kickoffan

eventina

thirdparty

system(i.e.,ifa

lightisout,aticketisopened

in311

viathe

Open311

API).

YES

1.11System

Documentation

1.11.1The

Systemshallprovide

userswith

searchableend

userhelpdocum

entationthatprovidesstep

bystep

instructionsforcomm

ontasks.

YES

1.11.2The

Systemhelp

information

shouldbe

accessiblefrom

theGU

I.YES

1.12Interoperability

andInterchangeability

1.12.1

TheLighting

Managem

entSystemshallbe

certifiedascom

pliantw

iththe

TALQv1.0.1

standard,andInteroperable

with

TALQcertified

FieldDevicesorField

Devicenetw

orks.N

A

SilverSpringN

etworksare

foundingm

embersofthe

TALQconsortium

andhave

engineeredthe

systembased

onthe

specification.Atthistim

e,anofficialTALQ

certificationprogram

doesnotexist,so

nosystem

canbe

TALQcertified.

SilverSpring,ishelpingto

developthiscertification

andw

illim

mediately

certifyagainstthis once

released.

1.12.2The

LightingM

anagementSystem

shallbeInteroperable

with

theBackhaulCom

munication

Netw

ork(s).YES

1.12.3The

LightingM

anagementSystem

shallbeInteroperable

with

theField

Devices.YES

1.12.4The

LightingM

anagementSystem

shallbeInteroperable

with

theSensor(s).

YES

Form7

Combined.xlsx

1.00Lighting

Managem

entSystemPage

7of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Lighting Managem

ent SystemO

ptionalResponse

Comm

ents

1.13

AvailabilityAsthe

systemsupportsem

ergencyresponse,the

systemm

ustbeavailable

24by

7,365daysa

yearw

itha

99.9%uptim

eto

accomm

odatescheduled

maintenance

activities.

YES

1.14Capacity

Thesystem

mustsupport500

simultaneoususers.

Yes

1.15

Compliance

with

CityIT

andIS

PoliciesandStandards

Thesystem

mustcom

plyw

ithCity

ofChicagoInform

ationTechnology

andSecurity

Policies.Yes

1.16

Logging/AuditAlladm

inistratoranduseroperationsare

loggedin

thesystem

andm

aybe

accessedvia

report.YES

1.17M

obilityThe

applicationshallbe

usableon

smallglass/m

obiledevices.

YES

1.18

Web

BrowsersM

inimum

Requirements

AppleSafarilatestversion

GoogleChrom

elatestversion

InternetExplorerlatestversionM

ozillaFirefox

latestversion

YES

Form7

Combined.xlsx

1.00Lighting

Managem

entSystemPage

8of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Chicago Smart Lighting Technology Requirem

entsForm

7: Functional, Logical, and Technical Requirements

Instructions:Foreachrequirem

ent,pleaseinsertan

"IN"ifthe

requirementw

illbe

metw

ithno

customization.

Inserta"CU

"ifcustomization

willbe

necessaryto

meetthe

requirement.

Inserta"TP"ifthird

partysoftw

arew

illbeneeded

tom

eettherequirem

ent.Insertan

"NA"ifthe

functionalityisnot partofthis

Proposal.

Ref #N

etwork

ResponseCom

ments

2.1The

BackhaulComm

unicationN

etwork

shallbecapable

ofaccom

modating

thefollow

ingbackhaulm

odels.Pleasespecifiy

which

model(s)yoursolution

employs:

1)Node

toLighting

Managem

entServer,2)N

odeto

AccessPointtoLighting

Managem

entServer,or3)Hybrid

Model(e.g.,com

binationofboth).

**Iftherespondentisinterested

inutilizing

anyCity

owned

Fiberforbackhaul,City

FiberMaps–

denotingthe

existinglocation

ofallCityow

nedFiber–

canbe

obtainedthrough

theCity'ssecure

SFTPsite.

INLM

Ssendsm

essagestothe

theN

odethrough

theAP.

TheAP

isanIPv6

routerthatbridgestheW

ANto

them

eshnetw

ork.

2.2BackhaulCom

munication

Netw

orkcom

ponentsshallbecapable

ofnorm

aloperationoveran

ambienttem

peraturerange

of50

degreesCto

70degreesC

(fullcomm

ercialenvironment).

Prime

2.3BackhaulCom

munication

Netw

orkcom

ponentsinstalledexternalor

remote

tolum

inairesshallberated

IEC60529

IP67orN

EMA

Type4X.

Prime

2.4BackhaulCom

munication

Netw

orkcom

ponentsshalloperatefrom

thefollow

ing(nom

inal±10%)input:U

niversalACinput(RM

SVolts)�

120277.

INSilverSpring

APand

Relays arefully

compliant.

PowerInputrange:

96to

277VAC,50

to60

Hz.

2.5The

BackhaulComm

unicationN

etwork

shall"usean

open,standardbased

physicallayerforcomm

unicationsuch

asIEEE802.15.4.g

forw

irelessmesh

networksor4G

LTEStandardsforCellularN

etworks(i.e.,

GSMorCDM

ATechnologies)."

INSilverSpring

adhearstoopen

standardsandfully

supports802.15.4.g

and4G

LTE.

2.6The

BackhaulComm

unicationN

etwork

shallbecapable

ofconnectingto

LightingM

anagementSystem

susingopen,standard

basednetw

orkingtechnologiessuch

asHTTPS,SMTP,SN

MP,CO

AP,TCP,UDP

orFTP.IN

Native

endto

endIPv6

network

with

IPv4IPSEc

tunnellingw

hengoing

throughpublic

transport(i.e.cellular)

2.7Alldata

comm

unicationsovertheBackhaulCom

munication

Netw

ork(i.e.,

between

FieldDevicesand

theLighting

Managem

entSystem)shallbe

securedusing

astandard

basedsecurity

protocol(e.g.,TLS,DTLS,IPsec).IN

SilverSpringsecurescoom

unicationoverthe

backhaulnetwork

usingIpsec

with

AES256

bitencryption.

Form7

Combined.xlsx

2.00N

etwork

Page9

of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Ref #N

etwork

ResponseCom

ments

2.8The

BackhaulComm

unicationN

etwork

shallbecapable

ofcomm

unicatingusing

InternetProtocolversion6

(IPv6).Everydevice

mustbe

addressablevia

anassigned

IPv6address.

INEvery

endpointon

SilverSpringnetw

orksareIPv6

addressableand

fullysupportthe

standard.

2.8The

BackhaulComm

unicationN

etwork

shallallowonly

authenticatedand

authorizedaccessto

network

servicesbya

LightingM

anagementSystem

orFieldDevice

(orFieldDevice

Netw

orkconnected

througha

Gateway).

Forexample,an

unauthenticatedField

Device(orField

DeviceN

etwork

connectedthrough

aGatew

ay)shallnotbeable

touse

theBackhaul

Comm

unicationN

etwork

toreportusage

oracceptcomm

andsfroma

LightingM

anagementSystem

application.

INAllSilverSpring

endpointsuse

publickey

basedauthenication

uniqueto

everyinstallation.

2.9The

BackhaulComm

unicationN

etwork

andany

connecteddevice

orsystem

shallbeable

toauthenticate

eachotherby

astandard

basedm

echanism(e.g.,X.509

certificatesorpreshared

keys).IN

SilverSpringusesa

private\publickey

infrastructurein

orderfordevicesto

authenicateonto

thenetw

ork.

2.1The

BackhaulComm

unicationN

etwork

andany

connecteddevice

orsystem

shallbeable

toauthorize

eachotherby

astandard

basedm

echanism(e.g.,X.509

certificates).IN

SilverSpringusesa

private\publickey

infrastructurein

orderfordevicesto

authenicateonto

thenetw

ork.

2.11The

dataexchange

between

theBackhaulCom

munication

Netw

orkand

anyconnected

deviceorsystem

shallbekeptconfidentialusing

astandard

basedalgorithm

(e.g.,AES128

orAES256).

INSilverSpring

usesAES256

bitencryption.

2.12The

dataexchange

between

theBackhaulCom

munication

Netw

orkand

anyconnected

deviceorsystem

shallbechecked

forintegrityusing

astandard

basedalgorithm

(e.g.keyedHM

ACw

ithSHA

256).IN

Everynode

establishesasym

metric

keyw

iththe

backoffice

server(application

layer)andusesitto

encrypt(usingAES

256)ordo

integritycheck

(usingkeyed

HMAC)ofthe

payloaddata

inboth

directionsthatincludesdatasuch

asconfigurationcom

mands,

meterusage

data,securitylogsetc.sentback

usingthatapplication.

2.13The

BackhaulComm

unicationN

etwork

shall becapable

ofmaintaining

time

eitheronitsow

norby

synchronizingw

itha

remote

service.IN

SilverSpringusesN

TPto

keepnetw

orktim

e.

2.14The

BackhaulComm

unicationN

etwork

shallprovidea

detailedview

ofthe

network

anditstopology,including

allconnectedField

Devices(orField

Devicenetw

orksconnectedthrough

aGatew

ayifapplicable),links,

andports.

IN

2.15The

BackhaulComm

unicationN

etwork

shallprovidea

detailedview

ofnetw

orkperform

ance,includingavailable

bandwidth,Field

Device(or

FieldDevice

network

connectedthrough

aGatew

ayifapplicable)

reachability,roundtrip

times,path

costs,andpacketdelivery

success/failure.

IN

Form7

Combined.xlsx

2.00N

etwork

Page10

of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Ref #N

etwork

ResponseCom

ments

2.16The

BackhaulComm

unicationN

etwork

shallprovidea

configurationm

anagementtoolthatprovidesthe

abilityto

viewand

remotely

applychanges,updates,and

patchestooperating

systemsand

applicationsonany

singleora

groupofBackhaulCom

munication

Netw

orkcom

ponents.

INSilverSpring

backoffice

systemincludesnetw

orkcenterand

firmw

areupgraderin

ordertom

anageend

pointsandupgrade

firmw

are.

2.17BackhaulCom

munication

Netw

orkcom

ponentsshallbecapable

oflogging

time

stamped

activity.Thelogging

levelshallbeconfigurable.Any

write

andexecute

operationscompleted

bythe

deviceshallbe

recordedtogetherw

iththe

sourceIP

address.

INSilverSpring

network

componentsfirm

ware

offerstime

stamped

loggingconfigurable

logginglevelsw

hichare

availablelocally

andoverthe

backhualnetwork.

2.18The

BackhaulComm

unicationN

etwork

shallprovidebasic

firewall

capabilities,includingfiltering

byport,protocol,source

IPaddress,and

destinationIP

address.IN

SilverSpringdeliversa

fullyconfigurable

packetlevelapplication

firewallratherthan

simple

listbased

packetsecurity.

2.19The

BackhaulComm

unicationN

etwork

shallbecapable

oftwo

way

comm

unication.IN

SilverSpringendpointssupportfulltw

ow

aycom

munication.

2.2The

BackhaulComm

unicationN

etwork

shallsupportfailovertoalternate

routes.IN

APback

upeach

otherandprovide

aselfhealing

mesh

with

redundantaccesstonetw

orkbackhaul.

2.21The

BackhaulComm

unicationN

etwork

shallbecapable

ofautomatic

retriesduringm

essage/packetdeliveryattem

pts.IN

Backhaulcomunicationsisautom

aticalretriedw

hencom

munication

islostonthe

backhaulcellularorEthernetnetworks

bythe

AccessPoints.2.22

TheBackhaulCom

munication

Netw

orkshall be

capableofgenerating

asynchronousalertsandrouting

bothitsow

nalerts and

otherdevices’alertsto

theLighting

Managem

entSystem.

INThe

SilverSpringm

eshautom

aticallytransportsand

reroutesasynchronousalersto

theLM

Sand

backoffice.

2.23The

BackhaulComm

unicationN

etwork

shall beable

toprioritize

thedelivery

ofspecifiedtraffic

types(e.g.,highpriority)overothers(e.g.,low

priority).IN

SilverSpringAccessPointsand

Relayssupportprioritizationof

traffic.2.24

TheBackhaulCom

munication

Netw

orkshall be

capableofaddressing

ofgroupsofField

Devices(orFieldDevice

networksconnected

througha

Gateway)forbulk

messagesincluding

remote

firmw

areupgradesand

configurationchanges.

INSilverSpring

backoffice

applicationsorganizedevicesin

groupsform

anagementand

firmw

areupgrades.

2.25The

BackhaulComm

unicationN

etwork

shallbecapable

ofmaintaining

Netw

orkAvailability

of98%ofactive

andfunctionalField

Devices(orFieldDevice

networksconnected

througha

Gateway)in

24hours,99.8%

ofactive

andfunctionalField

Devices(orFieldDevice

networksconnected

througha

Gateway)in

48hours

INSilverSpring

hasdesignedthe

network

availibilityto

meetand

exceed.

2.26The

BackhaulComm

unicationN

etwork

shallbecapable

ofmaintaining

around

tripm

essagetim

e(excluding

lowpriority

traffic)of95%w

ithin5

seconds,99%w

ithin10

secondsIN

SilverSpringhasdesigned

thenetw

orkavailibility

tom

eetandexceed.

Form7

Combined.xlsx

2.00N

etwork

Page11

of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Ref #N

etwork

ResponseCom

ments

2.27The

BackhaulComm

unicationN

etwork

shallbecapable

ofmaintaining

latencyforindividualon

demand

(highpriority

traffic)messagesof

averagesize

(upto

400bytes)w

ithin2

secondsorlessIN

SilverSpringhasdesigned

thenetw

orkavailibility

tom

eetandexceed.

2.28The

BackhaulComm

unicationN

etwork

shallbecapable

ofperforming

bulkfirm

ware

upgrades(aslowerpriority

traffic)95%in

24hours,100%

in4

daysIN

SilverSpringhasdesigned

thenetw

orkavailibility

tom

eetandexceed.

2.29Interchangeability

andInteroperability

2.29.1The

BackhaulComm

unicationN

etwork

shallbeInteroperable

with

theLighting

Managem

entSystem.

INSilverSpring

networksisfully

interoperablew

ithStreetlightVision.

2.29.7

TheBackhaulCom

munication

Netw

orkshallbe

Interoperablew

iththe

FieldDevices.

INSilverSpring

hasintegratedourN

ICsinseveralIntelligentPhotocell

Controllersofferingflexibility

ofpreferenceand

choicesfornetw

orkinglighting

fixtures.

2.29.10

TheBackhaulCom

munication

Netw

orkshallbe

Interoperablew

iththe

Sensor(s).

IN

Many

typesofsensorscanbe

connectedto

thenetw

orkto

helpm

onitorthelocalenvironm

entandplan

actions.Suchsensorsm

ayinclude

pollutants,which

canw

arncitizensw

henlevelsare

aboverecom

mended

limits,ornoise,w

hichcan

helpcity

plannersmake

designdecisions.

2.30Rated

Lifeand

Reliability2.30.1

Therated

lifeof allBackhaulCom

munication

Netw

orkcom

ponentsatanam

bienttemperature

of25degreesCelsiusshallbe

10yearsorm

oreIN

SilverSpringproductm

eetsthisrating.

Form7

Combined.xlsx

2.00N

etwork

Page12

of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Ref #N

etwork

ResponseCom

ments

2.30.2The

Vendorshallreportthereliability

ofthefollow

ingBackhaul

Comm

unicationN

etwork

components,asm

easuredby

Mean

Time

between

Failures(MTBF)Gatew

ay,Routers.

IN

SilverSpringproductsare

designedto

meetthe

extendedsystem

liferequirem

entsofthesm

artgrid.Allcomponentsuse

industrialgrade

componentsthatoperate

within

wide

rangesoftem

peratures,humidity,vibration,and

otherfactors.

SilverSpringN

ICshavecalculated

AFR(annualized

failurerate

basedon

actualfieldperform

ance,MTTF

calculationsandaccelerated

lifetestdata)of0.13%

,correspondingM

TBFof769

yrs.,andan

estimated

usefullifeexpectancy

of20years;Relaysand

EthernetAccessPoints,AFR

0.560%,M

TBF179

yrs.,and20

yrs.lifeexpectancy;cellularAccessPoints,AFR

1.99%,M

TBF50

yrs.,and13.5

yrs.lifeexpectancy.

Thelow

erMTBF

fortheAccessPointcan

beexplained

bythe

dataprovided

bythe

modem

manufacturersthatdrivesdow

nthe

overallM

TBFforthe

AccessPoint.Nonetheless,from

ahistorical

perspective,changesinm

odemtechnology

occurfasterthanequipm

enttime

tofailure.

2.30.3The

reportedM

TBFshall be

calculatedaccording

toTelcordia

SR332.

INSilverSpring

meetsthisrequirem

ent

Form7

Combined.xlsx

2.00N

etwork

Page13

of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Chicago Smart Lighting Technology Requirem

entsForm

7: Functional, Logical, and Technical Requirements

Instructions:Foreachrequirem

ent,pleaseinsertan

"IN"ifthe

requirementw

illbem

etwith

nocustom

ization.Inserta

"CU"ifcustom

izationw

illbenecessary

tom

eettherequirem

ent.Inserta

"TP"ifthirdparty

software

willbe

neededto

meet

therequirem

ent.Insertan

"NA"ifthe

functionalityisnot partofthisProposal.

Ref #Controllers

ResponseCom

ments

3.1Field

Devicesshallbecapable

ofnormaloperation

overanam

bienttem

peraturerange

of40

degreesCto

50degreesC

(fullcomm

ercialenvironm

ent).IN

3.2Field

Devicesinstalledexternalorrem

oteto

luminairesshallbe

housedin

enclosuresratedshallbe

ratedIEC

60529IP67

orNEM

AType

4X.IN

3.3Field

Devicesshalloperatefrom

thefollow

ing(nom

inal±10%)input:

UniversalAC

input(RMS

Volts)120277.

IN

3.4Provide

anestim

ateofthe

peakand

averagepow

errequirementofallField

Devices,anddescribe

them

ethodologyand

assumptionsused

tocreate

thisestim

ate.

Average=

2W;Peak

=5.6W

Peakisonly

ontransm

itestim

ate1%

dutycycle

3.5Controllersshallbe

integrated(m

echanicallyand

electricallyconnected)at

ControlPointsExternaltoLum

inaires,usinga

ANSI/N

EMA

C136.41standard

7term

inalpolarizedtw

istlock

receptacleforboth

electricalanddim

ming

controlsignalconnectivity.

IN

3.6Controllersshallbe

capableofactuating

thestatus(O

Nstate,O

FFstate)of

Luminaires.

IN

3.7Controllersshallbe

capableofactuating

aLum

inaireDIM

MED

orBOO

STEDstate

bycreating

acontrolsignalthatcom

plieswith

aspecified

DALIstandard

(e.g.,IEC62386).

IN

3.8Controllerdim

ming

controlsignalinteroperabilityshall be

verifiedw

ithall

Luminairesspecified.

INPrim

epartnersto

performthe

verificationw

iththe

specificLum

inairesintheirbid

3.9Actuated

changestoLum

inaireDIM

MED

orBOO

STEDstatesby

Controllersshalloccuratthe

following

rateInstantaneously,orasdictated

bythe

Luminaire.

INPrim

epartnersto

performthe

verificationw

iththe

specificLum

inairesintheirbid

3.1Actuated

changestoLum

inaireDIM

MED

orBOO

STEDstatesby

Controllersshalloccuratthe

following

rateovera

userprogramm

ablerange

(%change

perminute)disclosed

bythe

Vendor.IN

Prime

partnerstoperform

theverification

with

thespecific

Luminairesin

theirbid

Form7

Combined.xlsx

3.00Controllersand

SensorsPage

14of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Ref #Controllers

ResponseCom

ments

3.11Controllersshallbe

capableofm

easuringand

monitoring

overtime

thefollow

ingpow

erqualityparam

eters:1.RM

Sinputvoltage

(Volts)2.RM

Sinputcurrent(Am

ps)3.Apparentpow

er(VA)4.True

inputpower(W

atts)5.Pow

erfactorIN

ApparentPowernotsupported

butcanbe

derivedfrom

power

factor3.12

Controllersshallmeasure

powerquality

parametersateach

ControlPointforThe

Luminaire

AND

theController.

IN

3.13Controllersshallm

easureenergy

consumption

with

utilitygrade

accuracyand

precision±2%

.IN

SELCprovides.5%

3.14Controllerenergy

consumption

accuracyshallbe

verifiedw

ithall

Luminairesspecified.

INPrim

epartnersto

performthe

verificationw

iththe

specificLum

inairesintheirbid

3.15Controllersshallbe

capableofintegrally

sensing(orotherw

isedeterm

ining)and

monitoring

overtime

thefollow

ingenvironm

entalparametersat

minim

umam

bientlightlevel(e.g.,viaa

PhotoelectricSensor).O

ptionally,indicate

ifthefollow

ingm

aybe

provided1.Expected

sunriseand

sunsettim

es(e.g.,viaan

AstronomicalClock)2.GPS

Location3.Tem

perature

INAllsensorsare

includedexceptGPS

which

isoptional

3.16Field

Devicesshallbecapable

ofloggingIN

3.16.1Cum

ulativehoursin

theLum

inaireO

Nstate

foreachControlPoint

IN3.16.2

Cumulative

energyconsum

ptionofeach

ControlPointIN

3.17Field

Devicesshalllogcum

ulativeenergy

consumption

fileand

sendan

xml

filedaily

toan

SFTPsite

with

datafieldsspecified

byCom

Ed.IN

xmlfile

viaSFTP

come

fromLM

S(notdirectly

fromthe

fielddevice)

3.18During

Offline

Operation,Field

Devicesshallbecapable

ofSTORIN

Gthe

following

offlineTIM

ESTAM

PEDControlPointparam

eters:3.18.1

Controllerstatus(Online,O

ffline,Warning

orErrorcodes)IN

LastGaspprovidesrealtim

epow

erevents3.18.2

Luminaire

status(ON

,OFF,Dim

med

State,BoostedState,W

arningor

Errorcodes)IN

3.18.3Cum

ulativeO

Nstate

time

(minutes)

IN3.18.4

Cumulative

energyconsum

ption(kW

h)IN

3.19During

Offline

Operation

FieldDevicesshallbe

capableofSTO

RING

measurem

entsofallofflineparam

etersataSTO

RING

frequencyofless

thanonce

every60

minutes.

IN

3.20During

Offline

Operation

FieldDevicesshallbe

capableofSTO

RING

measurem

entsofallofflineparam

etersatthespecified

STORIN

Gfrequency

foraSTO

RING

periodofgreaterthan

2days.

INTypically

30days

3.21During

Online

Operation,Field

Devicesshallbecapable

ofREPORTIN

Gthe

following

onlineControlPointparam

eters:3.21.1

Controllerstatus(Online

time,O

fflinetim

e,Warning

orErrorcodes)IN

Form7

Combined.xlsx

3.00Controllersand

SensorsPage

15of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Ref #Controllers

ResponseCom

ments

3.21.2Lum

inairestatus(O

N,O

FF,Dimm

edState,Boosted

State,Warning

orErrorcodes)

IN

3.21.3Average

RMS

inputvoltage(Volts)in

theO

Nstate

IN3.21.4

AverageRM

Sinputcurrent(Am

ps)inthe

ON

stateIN

3.21.5Average

trueinputpow

er(Watts)in

theO

Nstate

IN3.21.6

Averageinputpow

erfactorinthe

ON

stateIN

3.21.7Cum

ulativeO

Nstate

time

(minutes)

IN3.21.8

Cumulative

energyconsum

ption(kW

h)IN

3.21.10Lastgasp,in

theeventthe

controllerislosingpow

erIN

3.21.11O

ptional:Ambientlightlevel(via

integralsensor)O

ptionalIN

Included3.21.12

Optional:LED

Driverstatus(e.g.Warning

orErrorcodes)O

ptionalIN

3.21.13O

ptional:GPSlocation

(viaintegralsensor)

Optional

INIncluded

3.21.14O

ptional:Temperature

(viaintegralsensor)

Optional

IN3.22

DuringO

nlineO

peration,FieldDevicesshallbe

capableofREPO

RTING

allonline

ControlPointparametersforALL

ControlPointsatam

aximum

ReportingFrequency

ofonceevery

24hours.

INTypically

6tim

esper day

3.23During

Online

Operation,Field

Devicesshallbecapable

ofREPORTIN

Gall

ControlPointparametersforA

SINGLE

ControlPointatam

aximum

ReportingFrequency

ofonceevery 60

seconds.IN

3.24Field

Devicesshallexecuteany

singlecom

mand

receivedfrom

theBackhaul

Comm

unicationN

etwork

inlessthan

60seconds.

IN

3.25Field

Devicesshallautomatically

REPORT

alldataSTO

REDduring

Offline

Operation

onceO

nlineO

perationisrestored.

IN

3.26Field

Devicesshallutilizea

securebootup

scheme

toverify

theintegrity

offirm

ware

imagesthatare

tobe

executed,therebypreventing

unauthorizedorm

aliciouslym

odifiedsoftw

arefrom

runningon

thedevice.

INU

singan

RSA1024

key

3.27Field

Devicesshallbecapable

ofcontrollinga

singleLum

inaireorgroupsof

Luminaires.

IN

3.28Changesin

theO

N/O

FF,DIMM

EDorBO

OSTED

statestogroupsof

Luminairesshallbe

staggeredto

limitthe

inrushcurrentthrough

otherelectricalcom

ponents(e.g.contactors,relays,circuitbreakers)onthe

Luminaire

groupelectricalcircuit.

IN3.29

FieldDevicesshallbe

capableofM

anualControl,whereby

theO

N/O

FFand

DIMM

EDorBO

OSTED

stateofa

singleLum

inaireorgroup

ofLuminairesis

modified

inresponse

tocom

mandsfrom

theLighting

Managem

entSystem.

IN

Form7

Combined.xlsx

3.00Controllersand

SensorsPage

16of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Ref #Controllers

ResponseCom

ments

3.3Field

Devicesshallbecapable

ofScheduledControl,w

herebythe

ON

/OFF

andDIM

MED

orBOO

STEDstate

ofasingle

Luminaire

oragroup

ofLum

inairesismodified

accordingto

apredefined

schedule.IN

3.31Field

Devicesshallbecapable

ofScheduledControlthatisdefined

foram

inimum

of(Instructions:enterappropriatenum

ber )times/eventsper

day).

INMinim

um=

2(on/off)

3.32Field

Devicesshallbecapable

ofScheduledControlthatiseithertim

ebased,w

herebyControllersm

odifyLum

inaireoperation

when

aspecific

time

inthe

scheduleoccurs,orevent

based,whereby

Controllersmodify

Luminaire

operationw

henthe

nexteventinthe

scheduleoccurs.

IN

3.33Field

Devicesshallbecapable

oftime

basedScheduled

Controlthatisdefined:

3.33.1O

na

dailyrecurring

basisIN

3.33.2O

na

weekday

recurringbasis

IN3.33.3

On

aw

eekendrecurring

basisIN

3.33.4Forspecialeventsw

hichoccuron

adaily

ordailyrecurring

basisIN

3.34Field

Devicesshallbecapable

ofeventbased

ScheduledControlthatis

definedaccording

toinputsfrom

integralsensorsortheLighting

Managem

entSystem.

IN

3.35Field

Devicesshallbecapable

ofPrioritizedControl,w

herebythe

ScheduledControlofindividualLum

inairesorgroupsofLuminairesism

odifiedor

overriddenaccording

toinputfrom

integralsensorsortheLighting

Managem

entSystem.

IN

3.36During

Offline

Operation

FieldDevicesshallbe

capableofm

aintainingLum

inairecontrolby:

3.36.1Continuing

tooperate

accordingto

them

ostrecentlyprogram

med

ScheduledControlora

defaultScheduledControlifone

hasnotyetbeenprogram

med.

IN

3.36.2Continuing

tooperate

accordingto

them

ostrecentlyprogram

med

AdaptiveControlora

defaultAdaptiveControlifone

hasnotyetbeenprogram

med,using

inputfroman

integralsensor.IN

3.37Field

Devicesshallbecapable

oflightoutputcontrol,whereby

theLum

inaireDIM

MED

stateisactuated

toachieve

adesired

lightoutput(percentrelative

lumens).

INN

eeddata

fromlum

inairevendor(lightoutputto

powercurve)

3.38Field

Devicesshallbecapable

of automatically

maintaining

constantLum

inairelightoutput(lum

ens)overtime

bycom

pensatingforLum

inairelum

endepreciation.

INN

eeddata

fromlum

inairevendor(lightoutputto

powercurve)

3.39Interchangeability

andInteroperability

Form7

Combined.xlsx

3.00Controllersand

SensorsPage

17of18

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Ref #Controllers

ResponseCom

ments

3.39.1

FieldDevicesorField

Devicenetw

orksshallbecertified

ascompliantw

iththe

TALQv1.0.1

standard,andInteroperable

with

TALQcertified

LightingM

anagementSystem

s.N

A

SilverSpringN

etworksare

foundingm

embersofthe

TALQconsortium

andhave

engineeredthe

systembased

onthe

specification.Atthistim

e,anofficialTALQ

certificationprogram

doesnotexist,so

nosystem

canbe

TALQcertified.

SilverSpring,ishelpingto

developthiscertification

andw

illim

mediately

certifyagainstthisonce

released.3.39.2

FieldDevicesshallbe

Interoperablew

iththe

LightingM

anagement

System.

IN

3.39.3Field

DevicesshallbeInteroperable

with

theBackhaulCom

munication

Netw

ork(s).IN

3.39.5Field

DevicesshallbeInteroperable

with

theLum

inairesspecified.IN

Prime

partnerstoperform

theverification

with

thespecific

Luminairesin

theirbid3.4

RatedLife

andReliability

3.40.1The

ratedlife

ofallFieldDevicesatan

ambienttem

peratureof25

degreesCelsiusshallbe

10yearsorm

ore.IN

3.40.2The

Vendorshallreport thereliability

ofthefollow

ingField

Devices,asm

easuredby

Mean

Time

between

Failures(MTBF)Gatew

ay,Controllers.IN

3.40.3The

reportedM

TBFshallbe

calculatedaccording

toTelcordia

SR332.

IN

Form7

Combined.xlsx

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Interrogatories

Form 8 – Interrogatories follows this page.

Form 8: InterrogatoriesThe Proposer should provide a full and complete response to each question listed below, considering allsystem components. Proposer should reiterate each question prior to the response.

1. Customer Service 1.1 Describe your customer support venues (e.g., web, phone and email), periods of coverage, andexpected response times.

Silver Spring has Customer Support Centers in San Jose and Melbourne (Australia) and NetworkOperation Centers (NOCs) in San Jose and Chicago that provide around the clock support coverage toour customers. Support is handled in accordance with ITIL service management processes includingprioritization, response, and resolution.

The Silver Spring Customer Support Team provides support on the following: Break Fix issues Product Education All Core Silver Spring Applications

Silver Spring currently provides three forms of contacting technical support:

Phone: Silver Spring has a dedicated support line; main support hours in the United Statesare 05:00 18:00 Pacific Time.

Email: Silver Spring has a dedicated support e mail alias. E mail sent to this addressautomatically opens a case in Jira (Silver Spring’s Case Tracking Software) and sends aresponse e mail to the customer containing a case number. The customer can provide moreinformation simply by responding to this e mail.

Portal: Silver Spring will be providing a web portal for customers where the customer canopen, view, and update support cases, as well as access additional product documentation.

Priority Levels include: Level 1: Mission critical functions in supported applications or Firmware within a production

system are stopped or unavailable such that The Customer cannot reasonably continuework.

Level 2: Major functions in supported applications or Firmware within a production systemare significantly and adversely affected. The function has major and material businessimpact to The Customer.

Level 3: Minor functions in supported software or Firmware are either severely degraded orinoperable and may have low business impact but do not prevent The Customer fromperforming regular business activity.

Level 4: Errors with day to day use of the product, whether classified as user interfacerelated, errors in documentation, presentation, or functionality that do not prevent TheCustomer from performing daily business.

The table below provides more detail on priority descriptions, typical response times, and escalationprocesses.

Table 1 –Priority Levels, Response and Resolution Process for Incidents and Questions

Priority Description Response Time and Continuing Communication

Resolution Process* Escalation

1 Mission criticalfunctions in supportedapplications orFirmware within aproduction system arestopped orunavailable such thatCustomer cannotreasonably continuework.

Silver Spring Detects: SilverSpring will contact Customer bytelephone within 30 minutes ofinitial detection, regardless oftime of day.Customer Detects: Customerwill contact Silver Spring bytelephone to report the incident.If this contact is outside ofCustomer Support BusinessHours, Silver Spring will contactCustomer within 30 minutes ofreceipt of the Incident toacknowledge receipt of thereport.Target: Silver Spring will meetthe stated Response times for90% of all Priority 1 Incidentsand will respond to 100% within4 hours of receipt of theIncident.Continuing Communication:Every 2 hours after initialcontact, unless the Partiesotherwise agree.

Silver Spring willinvestigate and work ona 24 x 7 basis to provideCustomer with a rootcause analysis and to:(1) resolve the Incidentwith a workaround;(2) implement a changeto eliminate the rootcause; or (3) downgradethe Priority to a P2, P3 orP4, whichever is earlier.Customer must beavailable 24x7 to workwith Silver Spring. If theroot cause is found (orsuspected) to be due toan Error, Silver Springwill issue an Error Reportand track the progresstoward the completionof a change whichresolves the Error,according to Table 3below.

If Silver Spring fails torespond within targetedresponse times, theIncident will be escalatedas follows:After 30 minutes: Customer SupportManagerAfter 1 hour :VP, Customer SupportAfter 4 hours:Client Delivery ExecutiveAfter 8 hours:VP, Smart Grid Servicesand Operations

2 Major functions insupportedapplications orFirmware within aproduction systemare significantly andadversely affected.The function has

major and materialbusiness impact toCustomer.

Silver Spring Detects: DuringCustomer Support BusinessHours, Silver Spring will contactCustomer within 90 minutes ofinitial detection.Customer Detects: Customer willcontact Silver Spring to reportthe Incident during CustomerSupport Business Hours.Target: Silver Spring will meetthe stated Response times for90% of all Priority 2 Incidents andwill respond to 100% within 4hours of receipt of the Incident.Continuing Communication:Every 6 hours after initial contactduring Customer SupportBusiness Hours, unless theParties otherwise agree, unlessthe Parties otherwise agree.

Silver Spring willinvestigate and workduring CustomerSupport Business Hoursto: (1) resolve theIncident with aworkaround;(2) implement a changeto eliminate the rootcause; or (3) downgradethe Priority to a P3 or P4,whichever is earlier. Ifthe root cause is found(or suspected) to be dueto an Error, Silver Springwill issue an Error Reportand track the progresstoward the completionof a change whichresolves the Error,according to Table 3below.

If Silver Spring fails torespond within targetedresponse times, theIncident will be escalatedas follows:After 90 minutes: Customer SupportManager After 4 hours VP, Customer SupportAfter 8 hours:Client Delivery ExecutiveAfter 24 hours: VP, Smart Grid Servicesand Operations

Priority Description Response Time and Continuing Communication

Resolution Process* Escalation

3 Minor functions insupported softwareor Firmware areeither severelydegraded orinoperable and mayhave low businessimpact but do notprevent Customerfrom performingregular businessactivity.

Customer will contact SilverSpring to report the Incidentduring Customer SupportBusiness Hours. Silver Spring willacknowledge the Incident within1 business day.Target: Silver Spring will respondto 100% within 1 business day ofIncident Report receipt.Continuing Communication:Weekly, unless the Partiesotherwise agree.

Silver Spring willinvestigate and workduring CustomerSupport Business Hoursto: (1) resolve theIncident with aworkaround;(2) implement a changeto eliminate the rootcause; or (3) downgradethe Priority to a P4,whichever is earlier. Ifthe root cause is found(or suspected ) to be dueto an Error, Silver Springwill issue an Error Reportand track the progresstoward the completionof a change whichresolves the Error,according to Table 3below.

4 Errors with day today use of theproduct, whetherclassified as userinterface related,errors indocumentation,presentation, orfunctionality that donot prevent Customerfrom performing dailybusiness.

Customer will contact SilverSpring to report the incidentduring Customer SupportBusiness Hours. Silver Spring willacknowledge the Incident withinone business day of receipt ofthe Incident.Target: Silver Spring willrespond to 100% within onebusiness day of receipt of theIncident.Continuing Communication:Weekly, unless the Partiesotherwise agree.

Silver Spring willinvestigate and workduring Customer SupportBusiness Hours to:(1) resolve the Incidentwith a workaround; or(2) implement a changeto eliminate the rootcause. If the root cause(or suspected root cause)is due to an Error, SilverSpring will issue an ErrorReport and track theprogress toward thecompletion of a changewhich resolves the Error,according to Table 3below.

1.2 Describe your customer support model. For example, would you accept support requests from anyCity staff member, or only from designated representatives? Do you provide a primary contact(s) for agiven customer account, or do you provide support by geographic region, or by area of functionalspecialty?

Silver Spring supports a three tier support model. We expect that our customer has an internal staffthat can act as front line support, and answer questions or handle typical, routine, or administrativetasks (e.g., password resets). We ask that requests from infrequent users of the system be directed tothis team of authorized customer support representatives or “power users.” Any issues that the powerusers are not able to address should be escalated to Silver Spring’s customer support team by email,phone, or via our web portal.

We organize our support team into regional groups that share responsibility for a named portfolio ofcustomers, who will share either product specialties (e.g., smart cities vs. utilities) or geographic focus(US East, US Central, US West, etc.). This allows for cross coverage while still ensuring that the SilverSpring Customer Service representative is familiar with the particular deployment and configuration fora given customer.

1.3 Describe any customer community activities you sponsor or support, such as online or in personvenues to allow customers to share ideas and solutions related to your products.

Silver Spring and XXX have engaged with a number of community activities, ranging from xxx to yyy. Weare particularly proud of our consumer outreach and school age education program that buildsawareness of clean energy technologies.

Community Outreach

Educating, engaging and empowering consumers in energy transformation is critical to realizing the fullpotential of smart technologies. In examining successful smart grid and smart city modernizationprojects, proactive, sustained consumer communication and engagement is an essential component tothe project’s success. Silver Spring has taken a proactive approach to educating all stakeholders on thevalue of its technology and engaging with them for feedback. Silver Spring works closely with municipaland utility customers on their consumer engagement and education programs, bringing innovative andproven education and engagement strategies to the conversation. Silver Spring’s philosophy is topartner closely with the municipality or utility from the start to ensure a smooth communications rollout of new technology solutions. For example Silver Spring has developed and executed the consumereducation strategy and plan for the Maui Smart Grid Project, working closely with multiple stakeholdergroups. As part of these efforts, Silver Spring provided classroom materials that helped teachersexplain the impact of clean technologies, and how little changes in behavior could make a significantimpact on the environment. Examples of this curricula, which Silver Spring would be happy to sharewith the City of Chicago and its schools, are available at http://www.asmartenergyfuture.com.

Silver Spring is also a core member of Power Over Energy (POE), a social media energy literacy campaigncreated by a coalition of energy and environmental groups to educate and engage consumers about ourenergy challenges and motivate them totake action.

The program has three primary goals:

1. Generate awareness about ourenergy and technologychallenges

2. Educate consumers aboutenergy efficiency and benefits ofrenewables, smart grid, andsmart city applications

3. Engage consumers in the energyconversation

As a result of our efforts with POE to bring awareness of energy challenges and solutions, we havegenerated the following benefits:

1. Generated awareness aboutour energy challenges

Reached over 96.6 million consumers worldwide

Organic reach 28.4million, Paidadvertising 68.2 million

2. Educated consumers aboutenergy efficiency and benefitsof renewables and the smartgrid

Over 505,000 Facebook Likes

Over 295,000 YouTube Views

Over 1,400 Twitter followers

3. Engaged consumers in the conversation Engagement Rate: 4.5% (Facebook average: 0.75%)

1.4 Describe the product enhancement process and the role that customers play in determining andprioritizing new features and enhancements. Describe any changes or updates you have made to yoursolutions in the past year as a direct result of customer feedback.

Silver Spring relies heavily on customer feedback in both validating and prioritizing features andproducts for its roadmap. Silver Spring has a customer driven Streetlight User Group that meetsmonthly and provides regular feedback to Silver Spring. Recent session topics have included: use of pins6 and 7 for sensor inputs, dynamic lighting, metering accuracy specifications, and the commissioningprocess. Outside of this forum every customer has the ability to submit product feature requests via anonline portal or through Silver Spring employees such as the assigned Project Manager, SolutionArchitect, Smart Grid Engineer or directly to the Product Manager. Silver Spring conducts regularroadmap reviews with customers either through webinar or as part of a Quarterly Business Review,which leads to another opportunity for feedback. Finally, Silver Spring Product Managers often solicitcustomers directly for feedback on product features, including performing design reviews with selectcustomers on a given a product release.

Customer feedback plays a major role in shaping Silver Spring’s roadmap. Our development of a mobileinstallation tool, integration with video cameras for people and traffic counting, auto commissioningfunctionality, and failure reporting user interface have all been keyed from feedback from leadcustomers (including Florida Power and Light, Halifax Regional Municipality, Oklahoma Gas and Electric,Urban Control and their customers Bristol and Westminster).

1.5 Describe the content and delivery method (i.e., context sensitive, online, knowledgebase, etc.) ofadministrative and end user documentation sets, as well as the frequency of documentation updates.Also, describe the availability of user authored content, such as community wikis.

Silver Spring provides a world class Support Portal to our customers, which includes KnowledgeManagement, Ticket Management, Software Download and Community for our customers.

Knowledge Management

The Knowledge Management module runs Natural Language Search and Knowledge Centric Support(KCS) Processes. Customers can search all Silver Spring documentation, including User Guides,Advanced System Admin Guide, Release Notes, Product Bulletins, Installation Guides, and more througha one click search. Customers are also able to access Knowledge Base (KB) Articles which are publishedby our Product Experts for advanced troubleshooting. Silver Spring Support Agents are fully trained withthe KCS Process to capture and share knowledge with other departments and customers in a timelymanner. Customers will be able to find any documentation or KB Articles just seconds after they arepublished.

In the Knowledge Management module, Silver Spring provides installation documentation and trainingmaterials for all hardware components. We also provide troubleshooting procedures for hardwareequipment. For software, Silver Spring offers Release Notes, User Guides, and HTML Help, depending onthe product. Firmware documentation consists of Release Notes.

Additional resources include:

• Integration and Installation Guides• Configuration Documentation is included in the User Guides• Integration Guides include API documentation, SOA/Web Service documentation• Online help library (embedded in the product)

User documentation is availablethrough the application user interface(in electronic format). Thesedocuments may only be used inaccordance with the terms of themaster agreement. Silver Springprovides all documentation andtraining material in Adobe Acrobat(PDF) format. Silver Spring does notoffer printed documentation or MSWord (DOC) documents.

Ticket Management

The Support Portal provides a fullintegration with our Ticketing Systemwhich runs ITIL process as the backbone. Customers can submit, view, update and close tickets from a

single portal. Silver Spring Technical Customer Support staff follow ITIL process to ensure tickets arerouted to the right experts for assistance. Tickets are tracked according to priority, and are regularlystatuses, so customers have full visibility into troubleshooting progress. Interactions between thecustomer and support staff are also logged, providing a complete history of the incident.

Software Download

From the Silver Spring Download Center, customers can locate and download the latest software,patches, documentation from our Cloud Storage any time.

Community

Customers can also join the Silver Spring Online Community and collaborate with other experts andindustry leaders. Customers are able to post best practices, ask questions, and search Silver Spring’sknowledge base to answer their own questions.

1.6. Describe the support (including documentation and online forum) provided for APIs and/or webservices that enable the customer to extend system functionality.

More than 500 cities in 16 countries are using the Streetlight.Vision (SLV) City Management Platform.With SLV6, the newest version of the SLV software, cities and operators benefit from a comprehensivesolution for centrally controlling, commissioning and monitoring a multi application smart city network.SLV6 is a mature, innovative andfeature rich control andmonitoring solution that hasbeen proven to deliver reliableoutdoor lighting control, trafficmonitoring and city planningapplications.

SLV6 pushes the open platformto the next level. Whilecontinuing our long history ofmulti network support(including over 40 differentvendors and many smart citydevice types), southbound APIsto integrate new types ofdevices, and well establishednorthbound APIs to easilyintegrate with 3rd party systems, SLV6 now provides the SLV6 software developer kit (SDK) for thirdparty developers, integrators and customers to add their own smart city apps and widgets on the SLVplatform and sell them to existing and new SLV customers through the SLV6 App Store.

SLV APIs are published and accessible to end customers and partners via the following website:http://www.streetlightvision.net/download/docs/api/.

2 Data Migration 2.1 As noted in the RFP, the City will need to migrate data from its streetlights database to the newsystem. Describe a recommended or typical data migration timeline for an organization such as the City.

Streetlight Vision has very simple data upload feature, allowing the city to easily upload assetinformation into the system. Silver Spring will provide a template, and work with the City to create acustom data model for the data format stored in the existing database. Once that is complete, a simpleAccess or Excel column matching process will allow the City to get the data into a form that can besimply uploaded into the system. The process of a one time data load can be completed in a day or twoonce the information is extracted from the existing GIS records.

2.3 Describe the data migration services you offer.

Silver Spring would be happy to provide an initial one day configuration workshop for free as part of ourwork with the City. If the City would like additional help to manipulate data, complete an integration toSLV’s North Bound or South Bound APIs, or complete other custom work, we would need additionalinformation in order to scope and price the level of effort.

From an integration standpoint, Silver Spring recommends a 5 day workshop to review, plan and specifythe data integration and migration scope whereby the City and/or its systems integrator will walk SilverSpring through its desired business processes and use cases. Silver Spring will, in turn, assess the level ofeffort required to feed the joint workplan that our implementation partner, the City, and its systemintegrator can execute with Silver Spring’s support.

For a single platform to platform integration with our SLV system, Silver Spring’s expected level of effortcan vary from just a few workdays to over 125. This is why we recommend the workshop approach firstso as to not over burden a project financially.

Silver Spring’s principal resource for this work, a Solution Architect, will serve as our ‘go to’ resourcesupporting your system integration during planning, data mapping, data migration, code testing andfinal acceptance testing. These resources have supported numerous integrations in the past, and have awell defined set of integration “blueprints” to follow. 3. Architecture 3.1 Describe how, where, and by whom your solution is hosted, and the platforms that are used:hardware and operating system platforms and database management system. Is the product on a standalone server? Is it on multiple servers? Is it on dedicated or shared server(s)?

Hosting

In a Software as a Service deployment model, Silver Spring builds, owns, and manages the back officeapplication at our Silver Spring secure datacenters in Las Vegas and San Diego. The City will own andmaintain the Smart Streetlight Controller and network elements in the field.

The SaaS solution provides the City of Chicago a secure web interface allowing full access to theStreetlight.Vision (SL.V). Software license fees are included in the monthly service fee. The solutionutilized by Chicago users fully supports integration between Silver Spring and other client back officesystems for on demand transactions as well as bulk data transfer via a secure VPN connection.

By leveraging existing infrastructure at the Silver Spring datacenters, client environments can comeonline rapidly, significantly reducing one of the largest operational risks in any smart cities deployment.

Security is assured through Silver Spring’s operation and maintenance best practices and SSAE SOC 1Type II, N+1 redundant datacenters. A shared infrastructure (routers, storage, database, servers,backups, etc.) allows the City to avoid additional costs and delays associated with acquiring dedicatedhardware without sacrificing data integrity and security. Silver Spring also optionally offers staging/testenvironments for upgrade/patch validation. Upgrades/changes to all environments are coordinated withclients using standard change management procedures. All SaaS environments are managed andmonitored by Silver Spring’s 24x7 operations center and staff. Silver Spring assures customers peace ofmind by offering intrusion detection services and regular third party penetration testing services.

Silver Spring can deploy as many environments needed by the City of Chicago including production andtesting. Optional environments for training and disaster recovery can also be included.

Silver Spring Hosting and Datacenter Security

Silver Spring is proposing a SaaS hosting solution for the deployment. With this model, security isassured through Silver Spring’s operation and maintenance best practices and SSAE 16 SOC 1 Type IIcertified datacenter. Silver Spring internal security controls are based on security industry best practicesderived from ISO 27002. These controls include physical and environmental security, operationalsecurity, security of third parties, system security, virus and malicious code protection, network securitymanagement, media handling, backups, monitoring, access control, vulnerability and patchmanagement, and incident management.

An intrusion detection system monitors network traffic for suspicious activity. Servers and networks arecontinuously monitored by Silver Spring’s NOC 24x7x365 for performance issues and any unusualactivities that would be indicative of a security issue. Logs are maintained for audit purposes. Suspiciousactivities are reported to Silver Spring InfoSEC (Information Security), who investigate and determine if asecurity incident has occurred. If the suspicious activity has been identified as an incident, INFOSEC willfollow a documented security incident response procedure to investigate, handle, remediate theincident, and notify customers.

Dedicated application servers are used to access customer data that is maintained in separate andsecured database tables on shared database servers, leveraging shared network infrastructure at theSilver Spring datacenter. Access to the customer the Silver Spring AMI applications environment is viasecure LAN to LAN (L2L), Business to Business (B2B) Virtual Private Network (VPN) using IPsectechnology. Access to the application is implemented by employing SSL encryption for session privacyfor the Silver Spring AMI applications’ web based user interface.

Datacenter Security Silver Spring’s datacenter is located in a region free from most known naturaldisasters. The datacenter has SSAE 16 SOC 1 Type II audits to ensure protections against physical andcyber threats. Additionally, Silver Spring maintains a business continuity plan (BCP) and can includeDisaster Recovery (DR) plan options for customer BCP requirements.

Facility Security and Integrity The facility is monitored by closed circuit television (CCTV) surveillancecameras located at facility entrances. Physical access to the building and specific areas within thebuilding is controlled, restricted, and monitored by a central proximity card access and biometric handscan system.

Datacenter Access The datacenter is designed as a secure location to protect the hardware for theinfrastructure. There is no direct outside entry into the datacenters, and the datacenter is located withina restricted area. Physical intrusion detection systems or alarms are in place to detect break ins. Physicalsecurity and access controls address system hardware, wiring used to connect elements of the system,supporting services such as electrical power or telecommunications areas, backup media, and any otherelements required for the system's operations.

Network Security Logical access to any third party networks is restricted by physical demarcation. Allthird party network access requires a physical cross connect between the customer cage and thefacility’s “network Point of Presence”. No other third party data networks are accessible from thecustomer cage.

Environmental Controls The datacenters are equipped with the following environmental protectionequipment:

Power generators and UPS to provide power to critical servers and infrastructure devices

Redundant heating ventilation and air conditioning (HVAC) systems to maintain temperaturesand humidity within manufacturers’ specifications

Heat and smoke detection and fire suppression systems to provide for notification of fireconditions

Database and Operating System

Silver Spring utilizes a Red Hat Linux operating system. Products are hosted as an instance on a sharedserver. As part of our SaaS offering, Silver Spring will perform any ongoing upgrades and patchinstallation as well as 24x7 monitoring of the application. Silver Spring can provide these services viatheir 24x7x365 Network Operations Centre (NOC). As part of the application management offer, SilverSpring will also guarantee Streetlight.Vision availability through an SLA backed up by service credits.

3.2 Describe any initial configuration or implementation decisions that cannot later be changed, oraltered only with great effort or expense.

The Silver Spring platform allows for great flexibility in changing configurations and components withlittle to no additional expense.

The City would need to decide on the hardware configuration for the streetlight controller includingintegrated GPS, metering accuracy, activation of pins 6/7 and surge protection. As these parameters arehardware based, changing these would require swapping out the hardware. If the City wanted to movefrom one Silver Spring controller vendor to another, this could be done with no disruption (i.e. bothvendors can coexist in the same network).

The City and Silver Spring would need to finalize the location of the ~40 gateways. If the City wanted tochange locations or add incremental infrastructure, this could be done with minimal effort and expense.Further, the City could move to alternative backhaul technologies with minimal expense.

SaaS/Licensed LMS: If the City wished to transition from a SaaS hosting model to on premise licensedsoftare (or vice versa), this could be done, but would require a transition fee.

LMS Transition: If the City wished to transition from one TALQ compliant (or TALQ ready) LMS toanother, this could be done, but would require some amount of testing and a well thought outtransition plan.

3.3 Describe any interfaces and APIs that are available to support integrations/interoperability.

Silver Spring’s Streetlight.Vision platform provides an extensive web services API base on industrystandard and widely used XML 1.0, SOAP 1.1 and HTTPS. Streetlight.Vision web services and JMSmessage queues (or direct TIBCO EMS 6.1 message queues) are integrated with back office systems.

Interface Details LMS North Bound Interface: The Streetlight.Vision LMS has an extensive RESTful API for integration ofother system including but not limited to GIS, Work Order Management (WOMS), 311, 911. The API ispublished at this link: http://www.streetlight vision.com/download/docs/api/index.html

Web User Interface: The Web UI is the primary user interface to the Head End system. The Web UI usesmodern, interactive JavaScript technologies to provide a rich interactive and responsive user experience.The web UI is accessed over a secure HTTPS connection. The intuitive menus and tabs provide easyaccess to all AMM capabilities.

Time Synchronization Interface: Each Streetlight Communications Module (a.k.a. NIC) synchronizes timewith its primary Access Point several times a day. If the primary Access Point is unable to provide timesynchronization (for example, if a WAN disruption occurs), then the Module requests that service fromits secondary Access Point or other available Access Points. Access Points and Headend applicationservers synchronize time with a CIT Secure Network Time Protocol (SNTP) server using UDP on port 123.

Enterprise Integration Platform Interface: The Headend web services, JMS message queues, FTP andSCP file transfer, LDAP and SMTP email interfaces provide extensive opportunities for integrations withCIT’s Enterprise Integration Platform. Silver Spring customers use these industry standard interfaces tointegrate with a wide variety of third party systems including Microsoft technologies.

Asset Management Interface: The Headend can provide scheduled or on demand inventory descriptivestatistics or bulk device record transfers that can be used by CIT’s Asset Management System(s) tomaintain close synchronization between the status of SMP devices in the field and the correspondingback office. These device records are provided in tab separated (TSV), comma separated (CSV) or XMLformats.

Meter Data Management (MDM) Interface: The head end’s native meter read export format, based onindustry standard XML is widely used by Silver Spring customers and widely supported by popular MDM

vendors. The Headend also supports other vendor proprietary export formats such as Oracle USM, ItronIEE, Lodestar, or HHF. Meter read exports can be transferred to the MDM using FTP, SCP or JMS.

3.4 The City desires the ability to roll out upgrades, features enhancements, updates and fixes for thesolution quickly and easily. Describe how the solution meets this goal.

The Silver Spring platform fully meets this goal. Given our breadth of devices and network footprint, webelieve we have more experience managing the deployment of new features, updates, and fixes throughfirmware and software upgrades or endpoint hardware expansion than any other provider. Weencourage the City to evaluate the commitment of other players to backward compatibility of theirproducts – we are still supporting our first generation product alongside our latest generation 5technology, all interoperating on the same network. Firmware As a part of the managed Network As A Service, Silver Spring networks, under the direction of the City,will provide managed firmware upgrade services. Silver Spring will coordinate with the City on testing ofnew firmware as well as deployment methodology. System wide firmware upgrades is a standardmanaged operation for our Chicago and San Jose based Network Operations Center. Silver Springroutinely manages the upgrade of millions of devices for our utility and city customers. The Silver SpringNIC (network interface card) is provided sufficient memory and processing power to allow for many newfeatures and functions without running out of resources. Because of our unique peer to peer butsecure firmware download, a full system upgrade can happen within 24 hours. In addition, our solutionis capable of upgrading not only the firmware on our communication module, but also the firmware ofour photocell partner and, uniquely, the firmware on upgradable LED drivers.

SoftwareAs a standard LMS Software As A Service (SaaS) feature, Silver Spring will upgrade the City’s LMS as amanaged service. Working in coordination with the City, the LMS will always provide the latest features,upgraded during agreed upon change management windows.

Endpoint Hardware Silver Spring has an active roadmap to continually improve our hardware, typically increasing speed andthe latency of the system. It is a design axiom though that all new hardware and communicationmodules need to interoperate and be fully backward compatible with older versions. In this regard, theCity can continue to take advantage of newer generations of hardware without stranding existingversions. For example, many of our customers are on generation 1 of our hardware but are activelypurchasing and deploying generation 5 hardware on the same network.

3.5 Describe the use of all clients, cookies, plug ins, extensions, third party software, and/or embeddedapplications required for all product functionality.

With the Network As A Service and Software As A Service deployment models, the City just needs toemploy standards based HTML5 browsers that support secure connections.

3.6 What Lighting Management System functions that are available via the desktop are NOT available ontablet, mobile and/or other handheld devices?

As the LMS is a Server based Web application utilizing HTML5, it is accessible on smartphones, tabletsand PCs. The City may make a policy decision to have remote users configured with a subset of thefunctionalities for security – but this is a policy decision, not a technological limitation.

3.7 What are your recommended bandwidth requirements per user for Internet connectivity and forWAN/LAN delivery of Lighting Management System services to users? Explain your recommendations.

With the Network As a Service deployment model, the backhaul communications from the gateway tothe datacenter is provided as a part of this service. LMS Web access should have consumer gradeInternet speed of 1Mbps or greater.

3.8 Please describe the difference in your proposed approach between circuit level controls and lightlevel controls.

Circuit level controls typically consist of a smart control node at the circuit cabinet to provide on/offfunctionality as well as an in line residential smart electric meter to provide energy metering. Circuitlevel controls are able to provide circuit level on/off, light failure indication at the circuit level andenergy consumption at the circuit level but are not able to provide luminaire level dimming, faultdetection or energy monitoring. Silver Spring has also deployed more advanced cabinet controllers withmultiple relays in Copenhagen and elsewhere, and would be happy to discuss the best technicalapproach for the City’s needs.

4. System/Software/Firmware Updates 4.1 How do you communicate plans and arrangements for scheduled maintenance? How muchdowntime is required for maintenance? How far in advance would we be warned of scheduledmaintenance and scheduled system unavailability? What tools are available to continue core functionsduring down time? How are jobs that are scheduled to run during down times handled?

Silver Spring generally schedules a weekly maintenance window of four hours. The window is not alwaysused (or may not be used for the full window), but the timeslot is reserved in the event that Silver SpringOperations submits a change control. These windows are typically scheduled outside of critical periods(e.g., during the day to eliminate or reduce impact on on/off times). Typical uses of the maintenancewindow include database retention, application of patches, configuration changes, and upgrades.

Silver Spring would be happy to review our Change Management Policy with the City, and agree tooperational practices that minimize impact on the City’s business functions. Silver Spring typicallycoordinates weekly meetings to review upcoming change and maintenance activities, and the City wouldtypically have many weeks of lead time to accommodate planned changes.

While the software system is typically not accessible or operational during a software upgrade, the fieldnetwork continues to operate. Dynamic lighting, schedules, data collection, and photocell operationwould perform without any requirement on the CMS. Once the CMS is upgraded, the status of anyactions (e.g., confirmation of a light state change) or standard data collect (e.g., metrology data) wouldbe collected as normal, and would include all data collected while the system was “offline.”

Other activities, such as firmware upgrade, could be completed with limited impact to the system. SilverSpring utilizes a “seed and flip” approach, where the latest firmware image is distributed to a smallnumber of devices, who then transfer it to their neighbors in the mesh network. Once a firmware imageis downloaded to the device, it can be scheduled for an upgrade, where the new image becomes theprimary, while the previous image is retained for a potential rollback. The streetlight controllers areable to operate as normal except during the “flip” process, which is scheduled for a non critical (e.g.,daylight) operation.

4.2 Describe the frequency of both major and minor releases and patches. Describe the impact thesechanges.

Major firmware / software releases happen twice a year, with minor releases approximately every othermonth. The timing of releases is non deterministic as Silver Spring employees a feature based ratherthan time based release cycle. Silver Spring will work with the City to determine if they should take aparticular release, but recommends that the City upgrade at least once a quarter to be on a wellsupported release. Silver Spring recommends that the reboot into new software occur during the day tominimize any impacts.

4.3 What is the impact to the overall system during Upgrades? Complete downtime? If so, for how long?What other impacts to the system have been experienced by other customers as result of theseupgrades?

During a firmware upgrade of the network and controllers, the system remains available and functionalwhile the new firmware is deployed to all of the controllers. A brief (less than 1 minute) outage occurson each controller as it reboots and comes up on the new version of the firmware. Depending on thesize of the mesh network, it may take another 1 to 4 hours for the network to stabilize with optimalmesh routing from controllers to Access Points.

During a software upgrade of the LMS, the system is down. Most upgrades are completed within 1 to 2hours, though typical maintenance windows are four hours. After the upgrade, the Silver SpringOperations team will complete a post upgrade validation which confirms all functionality prior tomaking the system available for use by the City.

5. SLA/Availability 5.1 Describe how the solution minimizes business disruption and maximizes system availability especiallyduring normal business hours. What are the biggest risks to the solution, in terms of availability (e.g.,power outages, network outages, data corruption, software bugs, reliance on external power), and howare these risks mitigated? Provide any examples you can of large outages that have occurred, how longthey have lasted, and how you resolved them.

Silver Spring will provide LMS management and hosting as part of our SaaS deployment option. SilverSpring will perform any ongoing upgrades and patch installation as well as 24x7 monitoring of theapplication. Silver Spring can provide these services via its 24x7x365 Network Operations Center (NOC).As part of the application management offer, Silver Spring will also guarantee LMS availability throughan SLA backed up by service credits.

As part of the SaaS option, Silver Spring will host the LMS at our datacenter as well as provide server,database, storage and application administration for the relevant environments, including configurationmanagement and analysis of operations statistics and trends. Silver Spring will respond to alerts, trackthe issue, troubleshoot problems, and escalate to Silver Spring subject matter experts or third partyvendors as needed to minimize business disruption.

5.2 Describe what kind of scheduled down time the solution requires, noting the frequency, duration andpurpose. What tools are available to continue core functions during down times? How are jobs that arescheduled to run during down times handled?

Silver Spring generally schedules a weekly maintenance window. The window is not always used, but thetimeslot is reserved in the event that Silver Spring Operations submits a change control. Typical uses ofthe maintenance window include database retention, application of patches, configuration changes, andupgrades. Silver Spring will notify the City if the weekly maintenance window will be used and for whatpurpose. The City will have the ability to approve or request a reschedule of the maintenance. Allmaintenance windows will be scheduled outside of normal business hours.

6. Scalability & Performance 6.1 Describe how the solution manages peaks and spikes in usage or data transmission over varyingperiods of time, including seconds, minutes and hours.

The Silver Spring Architecture provides robust application level prioritization at many levels that notonly allow for critical messages to achieve their application level timing requirements but also provideways to allow other applications to be appropriately prioritized.

The first defense against contention is that Silver Spring has designed a high bandwidth network that isunderutilized. In this manner, contention will rarely arise and the need for forwarding decisions basedon priority levels will be infrequent.

Application Level Prioritization: The Silver Spring head end system is the main arbiter of all jobs and hasfunctionality to prioritize one job over another. For example, reading parameters of the photocell haspriority over firmware seeding and the head end will defer the firmware upgrading activity until thesystem device read job concludes.

Packet and Network Level Prioritization: The Silver Spring mesh network supports RF prioritization fordifferentiated traffic types. Beyond the various bandwidth efficiency mechanisms implemented in thenetwork, contention management has been implemented in every network device in order todifferentiate traffic on an end to end basis and ensure that high priority traffic is delivered reliably, andahead of lower priority traffic.

Contention management has been integrated into every mesh infrastructure device (e.g., meters,Relays, Access Points, Bridges) through the implementation of eight strict priority egress queues basedon packet priority. Packet priority is a packet persistent MAC level parameter that ranges from 0 to 7 (7being the highest priority) set at packet creation and is maintained until the packet reaches its final nodedestination (i.e., Access Point, Bridge or meter).

Prioritization outside of the mesh is maintained in the IP DSCP fields to allow for head end system to setpriority at the IP level to be used in the RF mesh.

6.2 Describe the largest live implementation of the proposed solution, as well as details about theperformance of that solution.

Silver Spring is currently deploying over 500,000 streetlight controllers and its SL.V platform at FloridaPower & Light. Over 300,000 streetlights have been installed to date (326,775 as of Dec 7th). Thisproject represents the largest smart streetlight deployment in North America. FPL is satisfied with theperformance of the solution. Silver Spring will also be deploying over 250,000 streetlights statewide forOklahoma Gas & Electric (OGE) pending regulatory approval, and is in the process of completing itsdeployments in Copenhagen and Paris, as well as scale deployment rollouts in Halifax, Providence,London, among others.

6.3 If a City staff member located at 30 N. LaSalle wants to know how much power a node is consumingin the South Shore community; how long will that staff member have to wait to obtain/view that data viathe LMS?

Assuming the City staff member has the appropriate access to the South Shore community devices, theinstantaneous power consumption can be viewed by going to the Real Time Control application in theLMS. The time for data acquisition and display is ~5 seconds after the user logs into the system, withmuch of that latency driven by the cellular network (i.e., it could be reduced by utilizing City fibernetworks). The same information could be obtained via an API call to the LMS from a City of Chicagoapplication that made the appropriate calls to the SLV LMS. 7. Security & Accessibility 7.1 Describe how your solution complies with standards (such as ISO 27001) and any organizationalinformation technology audits that have been completed.

Silver Spring policies are based on security industry best practices derived from ISO 27001/2. Thesecurity measures associated with the written policies include physical and environmental security,operational security, security of third parties, system security, virus and malicious code protection,network security management, media handling, backups, security and operational monitoring, accesscontrol, vulnerability and patch management, and incident management. Silver Spring’s hosting facilitiesperform yearly SSAE 16 Type II type audits and results can be provided to the customer. Silver Springperforms yearly security penetration test on the product and infrastructure.

7.2 Describe plans for disaster recovery and operations and what would occur in the in case of a majordisaster?

Silver Spring has established formal policies and procedures to ensure that all key processes within thecompany have the requisite internal controls in place. This includes a business continuity plan anddisaster recovery plan so that all critical operations will have appropriate redundancy, failover, andrestoration capabilities. This includes geographically diverse data centers, and key resources to supportthe service.

Hardware failure is typically covered by redundant data center infrastructure deployed to help supporteither full, in rack redundancy of networking and server gear, or tools for fast recovery (DataGuard,VMware etc.)

Disaster Recovery (i.e. loss of a data center) of client environments is an optional component of SilverSpring’s standard hosting offering. When a customer buys a disaster recovery solution, the plans areexercised periodically based on the terms of the services contract.

The primary Silver Spring data center is hosted at Switch Communications in Las Vegas NV. Thesecondary data center hosting site is American Internet Services, San Diego CA.

7.3 Describe the solution’s use of and support for secure protocols to safeguard data in transit and atrest.

From the start, Silver Springrecognized that smart grid or smartcity networks might be the target ofmalicious activity and understoodthe vulnerabilities presented byinterconnecting millions of remotedevices that have an operational lifeof 15 to 20 years. Consequently, thecompany has taken an architecturalapproach to security and embeddedit throughout the hardware,software, and transactions runningon the Smart Energy Platform. Inaddition, Silver Spring leveragesstandard IP based securitytechnologies, which have beendeveloped collectively by the best security minds across the globe, proven to be highly scalable, andhardened over decades of worldwide use against a broad range of attacks.

Silver Spring employs the strictest security standards throughout our proposed AMI solution, includingISO 27001/2 and NIST 800 53. Each component within the Silver Spring Smart Energy Platform cansecurely and uniquely identify itself to every other component of the system.

The Silver Spring system uses keyed HMAC for mutual authentication between any two entities in thesystem not only at the application layer but also at other layers (e.g., routing in data link layer). Thecommon cryptographic suite for the Silver Spring system is as follows:

Elliptic Curve Digital Signature Algorithm (ECDSA) over the NIST P 256 curve Advanced Encryption Standard (AES), either 128 or 256 bits Secure Hash Algorithm (SHA) – SHA256 variation Diffie Hellman (DH) Key Agreement and Elliptic Curve Diffie Hellman (ECDH) Rivest Shamir Adelman (RSA) Public Key Cryptography Standard (PKCS) #1 – 2048 bit signatures True Random Number Generator (RNG) based on a noise or entropy source, can be combined

with a Pseudo Random Number Generator (PRNG) where the RNG seeds the PRNG

The Silver Spring solution specifically conforms to Federal Information Processing Standard (FIPS) 186 2(for digital signatures), FIPS 197 (for encryption), FIPS 140 2 Security Level 2 and 3 (for specific hardwaresecurity modules), and FIPS PUB 198 (for cryptographic hash functions).

The back office has standard firewalls and security compartments, and 3 tier architecture with:

Highly restricted port connectivity (access methods) between tiers Encrypted channels between tiers Encrypted channel, authentication/authorization for both UI (SSL) and programmatic APIs Support for customer password rotation/aging policies MD5 hash of passwords at rest in database, data encrypted when archived

Silver Spring Optional Capability The add on, optional capability in KeySafe augments Silver Spring’s industry leading security in two keyways: KeySafe stores the encryption keys in a Hardware Security Module (HSM) that is FIPS 140 Level 3certified and tamper proof. If anyone attempts to compromise the keys, the HSM zeroes out the keys,preventing their misuse.

Silver Spring Hosting and Data Center Security Silver Spring is proposing our SaaS solution as an option. With this model, security is assured throughSilver Spring’s operation and maintenance best practices and SOC 2 Type II certified data center. SilverSpring internal security controls are based on security industry best practices derived from ISO 27002.These controls include physical and environmental security, operational security, security of thirdparties, system security, virus and malicious code protection, network security management, mediahandling, backups, monitoring, access control, vulnerability and patch management, and incidentmanagement.

7.4 Describe the solution’s support for encryption in backups and in replica sets.

Encryption is provided for data at rest backups and replica sets.

7.5 Describe how your solution handles data recovery or the ability to roll back in the event of human orsystem error. Is the recovery process a self service mechanism or, must the vendor perform the recovery?Are there any costs associated with this service?

End user configuration settings are persisted in the SL.V database and are preserved during productupgrades. The Silver Spring Network Operations Center (NOC) maintains configuration settings throughvarious property files. During an upgrade, the configuration property files are carried forward to thenew version. In the event of an error, configurations can be rolled back automatically within a SaaSenvironment. Silver Spring currently remotely manages SL.V configurations for existing customerswithout any security issues or concerns. In this scenario, a secure VPN tunnel is established for remotemanagement. Worst case, a previous backup of the database can be restored to the system.

7.6 What protocols have been established for dealing with unauthorized access to or disclosure ofconfidential data?

Silver Spring is very committed to protecting customer information, including privacy. All customer datais considered confidential and will not be shared or disclosed to any outside parties. Silver Spring has aformal Global Privacy Policy available on request, which covers how Silver Spring collects, uses,discloses, transfers, and stores customer information.

Silver Spring has a formally documented security incident response plan that includes a formalescalation process. When Silver Spring suspects or has been notified of a possible security incident orcompromise, Silver Spring investigates to determine if a) a breach or compromise has actually occurred,or b) the suspicious activity is the result of a system anomaly. If a breach or compromise is confirmed,Silver Spring locks down the affected systems. Silver Spring senior management then notifies customermanagement of the breach or compromise and works with the customer to further investigate andremediate the issue.

7.7 Describe what data validation the solution performs on records as they are created or edited andindicate whether this is different for batch jobs as compared to single records.

Silver Spring does not perform validation, editing or estimation to data collected but recommends theuse of a Meter Data Management System (MDMS) for this purpose.

7.8 Describe how the solution tracks changes to records. Is there an audit trail for edits? Is it possible torevert to previous versions of a record?

Logging and audit trails are maintained to provide accountability for specific activities on Silver Springhosted systems and applications. The LMS includes an application for the City to view activities in theLMS on a per user account basis. Database backups can be used to revert to previous versions of arecord.

7.9 Describe the extent to which the solution has been designed to comply with laws and regulationsgoverning the storage and use of “protected” user data (see Exhibit 8 section A35: Data Protection Policywith Contractors.).

Silver Spring’s InfoSEC team has reviewed Exhibit 8 section A35 and concluded that these policies do notapply to the data which is stored in the LMS or within a controller. Silver Spring is happy to discuss thistopic further with the City.

7.10 Describe how your data storage practices and procedures adhere and or deviate from the policiesoutlined in Data Protection Policy with Contractors outlined in Volume II of the RFP.

Silver Spring’s InfoSEC team has reviewed Exhibit 8 section A35 and concluded that these policies do notapply to the data which is stored in the LMS or within a controller. Silver Spring is happy to discuss thistopic further with the City. 8. Identity Management 8.1 Describe how administrative rights are assigned within the solution. Can administrative rights beassigned to identities stored in external identity stores, such as Active Directory? Can administrativerights be assigned to groups, as well as users?

The system provides the functionality for the City to create roles and assign privileges according to thebusiness process policies. Application components require the proper roles and policies, enforced viadigital certificates (X.509 format), to be presented to the controller to allow them to run specificoperations (e.g. configure, disconnect, firmware upgrade, reads, etc.) Only the highest privilege isallowed to change policy mappings on the system. The system also enforces a role based access forusers with privileges being granted to only the appropriate user role.

Silver Spring’s LMS stores user credentials in either a local database or in an LDAP data store. WhereLMS is deployed with LDAP, LMS passes authentication requests from a client application to LDAPwithout visibility to the user. LDAP authenticates the credentials and authorizes use of views andprivileges in those SILVER SPRING applications, to which the user or LDAP group has access.

8.2 Describe how your solution addresses group based permissions. Also describe any differences in whatpermissions and privileges can be managed for a group vs. an individual account.

The principle of least privilege is used in conjunction with RBAC (Role Based Access Control). SilverSpring has implemented principles of least privilege practices by limiting access levels to what isrequired for each group to perform their responsibilities and job duties.

8.3 Describe the level of granularity of access controls for staff functions (principle of least privileges). Forexample, can certain data elements be made read only for some staff and read write for others?

Please refer to Silver Spring’s response to 8.2.

9. Integration and Extensibility 9.2 Describe how the solution exposes data through documented web services and APIs, includingsupported data operations (read, write, update, delete, and so on).

SLV6 pushes the open platform to the next level. While continuing our long history of multi networksupport (including over 40 different vendors and many smart city device types), southbound APIs tointegrate new types of devices, and well established northbound APIs to easily integrate with 3rd partysystems, SLV6 now provides the SLV6 software developer kit (SDK) for third party developers,integrators and customers to add their own smart city apps and widgets on the SLV platform and sellthem to existing and new SLV customers through the SLV6 App Store.

SLV APIs are published and accessible to end customers and partners via the following website:http://www.streetlightvision.net/download/docs/api/.

9.4 For all major reporting, updating, importing and exporting functions, describe the level of staffexpertise needed to perform the operation. In particular, identify which functions require theintervention of a database administrator or Systems/IT personnel as opposed to functions that staff canperform on their own. In each case, include the specific technology or platform in which the technicalfunction must be performed.

The LMS application (SLV) includes the following applications which enable the end user (staff level) togenerate reports, alarms and export data:

The “Report Manager” WebApp enables users to create reports that are automaticallycomputed and sent by the Streetlight.Vision CMS Web Server to selected users by email orFTP. Below is the list of the reports available in the Streetlight.Vision CMS Web Server:

Type Description

Type Description Citigis report Uploads a file in a format specific to the CITIGIS software to an FTP server

Day burner report Generates a report listing all devices that consumed more than 20 watts. Thisreport is to be scheduled during the day, ideally after the switch OFF at sunrise.

Failures HTML report

Generates a report containing the list of failures detected in the selected geozone

Failures report Uploads a text file listing the failures detected in the selected geozone to an FTPserver for use by a third party software

Generic device last values

Generates a report containing the latest value of selected attributes for all thedevices belonging to the selected geozone and sends it via email and/or uploads itto an FTP server

Generic device values

Generates a report containing all the values collected for the selected attributesfor all the devices belonging to the selected geozone since the last time the reportwas generated and sends it via email and/or uploads it to an FTP server

Latency report Generates a report containing the time difference between the moment acommand was sent to a device and the moment the device applied that command

Lifetime report Generates a report compiling the percentage of expected lamp lifetime for allStreetlights belonging to the selected geozone

Low power factor report

Generates a report listing the devices with a power factor lower than 0.6. Tochange this configurable value, please change this report’s config.xml file on theserver

No data ever received

Generates a report listing the devices that never sent any data to the SLV CMSsoftware

OnOff Segment report

Generates a report containing the switch on and off times of the mains supplyinside the street lighting cabinet for all Controllers belonging to the selectedgeozone

Over 140V voltage report

Generates a report listing the devices with a mains voltage above 140 Volts. Tochange this configurable value, please change this report’s config.xml file on theserver

Over voltage report

Generates a report listing the devices with a mains voltage above 245 Volts. Tochange this configurable value, please change this report’s config.xml file on theserver

Over wattage report

Generates a report listing the devices with a consumed power above 125% of theirlamp’s wattage. To change this configurable value, please change this report’sconfig.xml file on the server

Symology report Uploads a file containing the list of failures detected in the selected geozone andwritten in a format specific to the SYMOLOGY maintenance software to an FTPserver

UMSUG report Generates a file following ELEXON’s Unmetered Supplies User Group (UMSUG)specification in the United Kingdom and uploads it to an FTP server. TheStreetlight.Vision CMS passed the UMSUG certification in conjunction with certainLPCs. This file contains the time at which the LPCs executed ON, OFF and dimmingcommands, along with the list of failed LPCs and lamps in the selected geozone

Under 110V voltage report

Generates a report listing the devices with a mains voltage below 110 Volts. Tochange this configurable value, please change this report’s config.xml file on theserver

Type Description Under voltage report

Generates a report listing the devices with a mains voltage below 210 Volts. Tochange this configurable value, please change this report’s config.xml file on theserver

Under wattage report

Generates a report listing the devices with a consumed power below 20% of thelamp wattage. To change this configurable value, please change this report’sconfig.xml file on the server

Weekly Energy Report

Generates a report providing the energy consumption and energy savings for theselected geozone and its sub geozones for the past week

The “Alarm Manager” WebApp enables you to manage alarm definitions on theStreetlight.Vision CMS Web Server. Alarms can be defined based on several types ofconditions (or “triggers”) and against different types of equipment. Below is the list of allalarm types available in the Streetlight.Vision CMS Web Server:

Alarm type Description Controller alarm: comparison between two/three/four I/Os

Checks whether certain logical conditions on the state of the Digital Inputsand/or Outputs of a specified Controller are verified (e.g. Is the state of DO1different from DI1?)

Controller alarm: last known state of an I/O

Checks whether the last known state of a Digital Input or Output of aController equals a specified value

Controller alarm: no data received

Checks whether data has been received from a specified Controller within acertain period

Controller alarm: ON/OFF at dusk/dawn

Checks whether a Controller’s Digital Input or Output was switched ON (orOFF) within a specified time around sunrise (or sunset)

Controller alarm: ON/OFF times versus previous day

Checks whether the time at which a specified Controller’s Digital Input orOutput has been switched on (or off) today is different from that time on theday before

Controller alarm: state of the I/Os in the last hours

Checks whether the state of a Digital Input or Output of a Controller was at aspecified value in the past N hours

Device alarm: critical failure or warning on a single device

Checks whether a critical failure or warning condition has been detected onthe selected device

Device alarm: data analysis vs previous day / (fixed time)

Checks whether a specified attribute of a device has significantly deviatedfrom its behavior on the previous day

Device alarm: failure ratio in a group

Checks whether any of the specified failures has been detected on more thana specified ratio of devices

Alarm type Description Device alarm: multiple failures on multiple devices

Checks whether any of the specified failures has been detected on any of thespecified devices

Device alarm: no data received

Checks whether data has been received from a device within a certain period

Device alarm: single failure on multiple devices

Checks whether any of the specified failures has been detected on more thana specified number of devices

Device alarm: too many failures in an area

Checks whether any of the specified failures has been detected on more thana specified number of devices within a circular area

Generic alarm: multiple triggered alarms

Checks whether more than a certain number of specified alarms are currentlytriggered at the same time

Meter alarm: comparison to a trigger

Checks whether a specified metering value of an Electrical Meter hasexceeded a certain range

Meter alarm: data analysis vs previous day / (at fixed time)

Checks whether a specified metering value of an Electrical Meter hassignificantly deviated from its behavior on the previous day

The “Equipment Inventory” WebApp enables you to export the list of all devices belongingto a geozone into a CSV file for one of the reasons below:o Updating an attribute (e.g. latitude and longitude) using an external data source,o Importing devices into a 3rd party asset management system,o Importing additional devices into the CMS

Because Silver Spring is providing a SaaS environment administration and support of the backofficesystem components will be provided by Silver Spring personnel. With regards to the use of the system,Silver Spring’s expert training program is designed to provide affected business groups, business usersand system administrators the focused training they will need to get the most out of the AMI system.The training is set up in a number of modules that are relevant to different groups within the utility. Thetraining can be delivered as a set of web training sections given at flexible times throughout thedeployment or in a two day live training session.

10. Testing 10.1 How can City staff test changes, updates, etc. before making changes to the productionenvironment?

Silver Spring recommends a minimum of two environments for the LMS: Production and Test. The Testenvironment is where a new software update is applied first to enable the City to test changes insoftware. Once the City has approved the version of software, it can then be applied to the Productionenvironment.

11. Solution Administration 11.1 Describe how does a City staff member accesses the solution?

Silver Spring’s SL.V interface is based on HTML5 and is easy to navigate via “point and click” mechanismsand help screens, and supports current versions of the following browsers:

Apple Safari latest version Google Chrome latest version Internet Explorer latest version Mozilla Firefox latest version

11.2 Who will administer the solution components?

Silver Spring is presenting the City with a SaaS solution, therefore Silver Spring will install and maintainsolution components. The City will have “admin” privileges in the LMS, which enables them to add useraccounts, create geozones, add/remove devices, define and commission calendars, etc. The solutionallows the City to focus on the core business of supporting the streetlights with the assurance of SilverSpring’s SaaS solution maintaining the software and network components.

11.2 Describe how user access control is delegated. Who sets permissions?

The City will have “admin” privileges in the LMS to set up new accounts with the necessary privileges.The SLV LMS has a simple user administration function, where new roles can be defined. Super useraccess is restricted to the minimum number of persons required to perform this role. Escalation inprivilege is upon request and all activity is logged to central and local servers.

A user profile defines which applications within the LMS s/he has access to, as well as a list of blockedactions for that particular user, allowing for full customization of the user’s access rights. A list of theconfigurable enabled/blocked actions is shown below.

Below is the list of all the actions that can be blocked for a user profile via the Blocked Actions field.

Action name DescriptionCommission a controller Prevents the user from commissioning any Controller in Equipment

InventoryDelete a device Prevents the user from deleting any device in Equipment InventoryDelete a geozone Prevents the user from deleting any geozone in Equipment

InventoryExecute a command on a list ofdevices

Blocks the preconfigured (90%, 80%, 70%, …) dimming levelbuttons on the widget of a group of Streetlights in Real TimeControl

Execute a command on onedevice

Blocks the preconfigured (90%, 80%, 70%, …) dimming levelbuttons on the Streetlight widget in Real Time Control

Exit from manual mode on asegment controller

Blocks the “Automatic” button for the digital outputs on theController widget in Real Time Control

Exit from manual mode on adevice

Blocks the “Automatic” button on the Streetlight widget in RealTime Control

Exit manual mode on a list ofdevices

Blocks the “Automatic” button on the widget of a group ofStreetlights in Real Time Control

Replace a lamp Blocks the “Replace lamp” action in Equipment InventoryReplace a Light Point Controller Blocks the “Replace node” action in Equipment Inventory

Action name DescriptionSend a Switch ON command to adevice

Prevents the user from switching on any Streetlight or Switch inReal Time Control

Send a Switch OFF command to adevice

Prevents the user from switching off any Streetlight or Switch inReal Time Control

Send real time commands to agroup of light points

Blocks the “On” and “Off” buttons, preconfigured (90%, 80%, 70%,…) dimming level buttons and also the use of the slider on thewidget of a group of Streetlights in Real Time Control

Send real time commands to alight point

Blocks the “On” and “Off” buttons, preconfigured (90%, 80%, 70%,…) dimming level buttons and also the use of the slider on theStreetlight widget in Real Time Control

Switch a segment controlleroutput

Blocks the “On” and “Off” buttons for the digital outputs on theController widget in Real Time Control

Synchronize segment controller’sclock

Blocks the time synchronize button on the back of the Controllerwidget in Real Time Control

Update a geozone Prevents the user from modifying any geozone in EquipmentInventory

11.3 How many users may administer the solution component?

There is no hard limit to the number of administrators. The City can determine how many they want.

11.4 Where are logins displayed?

The Users WebApp enables users to add, edit and delete user groups (called user profiles in the LMS),access rights and user accounts.

Each user profile has its own skin (“look and feel”), language, top level geozone and user accessrights/restrictions.

Each user account inherits the properties of its user profile. Each user account is defined with, at least, alogin, a password and an email address.

11.5 Does the solution identify users by login within reports? If so, what reports?

The Log Viewer WebApp provides a report for all user actions over the specified time range.

SmartLighting

RFPAddendum

#2Form

#9

Chicago Smart Lighting RFP Form

9 – Technology Specifications and Services Pricing Form

12345678910

COST SU

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Unit Cost

Num

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PHASE CO

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IMPLEM

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PHASE COSTS (Pole

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PHASE COSTS (Circuit

level implem

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COST

Year 2 (Lightlevel

implem

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COST

Year 2 (Polelevel

implem

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COST

Year 2 (Circuit

level im

plementation)

COST

Year 3 (Lightlevel

implem

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COST

Year 3 (Polelevel

implem

entation)

COST

Year 3 (Circuit

level im

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n)

COST

Year 4 (Lightlevel

implem

entation)

COST

Year 4 (Polelevel

implem

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COST

Year 4 (Circuit

level im

plementation)

COST

Year 5 (Lightlevel

implem

entation)

COST

Year 5 (Polelevel

implem

entation)

COST

Year 5 (Circuit

level im

plementation)

TOTAL (Light

Level Im

plementation)

TOTAL (Pole

Level Im

plementation)

TOTAL (Circuit

Level Im

plementation)

1Lighting

Managem

entSystemLicensing

Costs(includingany

extendedw

arrantyand/or

maintenance)

$437,619.93

$437,619.93

$437,619.93

$427,119.93

$427,119.93

$427,119.93

$427,119.93

$427,119.93

$427,119.93

$427,119.93

$427,119.93

$427,119.93

$427,119.93

$427,119.93

$427,119.93

$ 2,146,099.63 $ 2,146,099.63 $ 2,146,099.63 a

2LM

Sextended

warranty

(ifapplicable)

$419,287.22

$419,287.22

$419,287.22

$$

$$

$$

$$

$$

$$

$ 419,287.22 $ 419,287.22 $ 419,287.22 b

3LM

Sm

aintenance&

support(ifapplicable)

n/an/a

n/an/a

n/an/a

n/an/a

n/an/a

n/an/a

n/an/a

n/a

4Controllers(including

anyextended

warranty

and/ormaintenance,

licensefees)

66.59361,900

lights270,000

poles22,732

circuits

$24,172,819.33

$18,053,198.33

$1,589,020.60

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$ 24,468,412.65 $ 18,348,791.65 $ 1,884,613.92 c

5N

etwork

Buildout(ifapplicable)

n/an/a

n/an/a

n/an/a

n/an/a

n/an/a

n/an/a

n/an/a

n/a $ $ $

6Backhaul

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costs(ifapplicable)Help

deskTier1

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$ $ $

5Im

plementation

ServicesCosts$

2,891,716.72$

2,891,716.72$

2,891,716.72 $ $ $ d

6Training

Costs$

24,000.00$

24,000.00$

24,000.00 $ $ $ e

7O

therCosts(providedetails)

$706,085.00

$36,706,085.00

$ $ $ $

(addmore

linesasnecessary) $ $ $

TOTAL

$ 28,651,528.19 $ 58,531,907.19 $ 5,361,644.46 $ 501,018.26 $ 501,018.26 $ 501,018.26 $ 501,018.26 $ 501,018.26 $ 501,018.26 $ 501,018.26 $ 501,018.26 $ 501,018.26 $ 501,018.26 $ 501,018.26 $ 501,018.26 $ 30,655,601.22 $ 60,535,980.22 $ 7,365,717.49

1SYSTEM

AND LICEN

SING CO

STS DETAIL Unit Cost

Num

ber of U

nits

IMPLEM

ENTATIO

N

PHASE COSTS

(Lightlevel

implem

entation)

IMPLEM

ENTATIO

N

PHASE COSTS (Pole

level im

plementation)

IMPLEM

ENTATIO

N

PHASE COSTS (Circuit

level implem

entation)

COST

Year 2 (Lightlevel

implem

entation)

COST

Year 2 (Polelevel

implem

entation)

COST

Year 2 (Circuit

level im

plementation)

COST

Year 3 (Lightlevel

implem

entation)

COST

Year 3 (Polelevel

implem

entation)

COST

Year 3 (Circuit

level im

plementatio

n)

COST

Year 4 (Lightlevel

implem

entation)

COST

Year 4 (Polelevel

implem

entation)

COST

Year 4 (Circuit

level im

plementation)

COST

Year 5 (Lightlevel

implem

entation)

COST

Year 5 (Polelevel

implem

entation)

COST

Year 5 (Circuitlevel

implem

entation)TO

TAL (LightLevel

Implem

entation)TO

TAL (PoleLevel

Implem

entation)

TOTAL (Circuit

Level Im

plementation)

aLM

SSoftw

are $ $ $

SaaSFees(SLV)

ProductionEnvironm

ent$

1.17361,900

$425,019.93

$425,019.93

$425,019.93

$425,019.93

$425,019.93

$425,019.93

$425,019.93

$425,019.93

$425,019.93

$425,019.93

$425,019.93

$425,019.93

$425,019.93

$425,019.93

$425,019.93

$ 2,125,099.63 $ 2,125,099.63 $ 2,125,099.63

bThird

PartySoftw

are( listeach

applicationseparately)

$ $ $

(addmore

linesasnecessary) $ $ $

cO

therSystemCosts

(Comm

unicationsTester)$

3,500.003

$10,500.00

$10,500.00

$10,500.00

$ 10,500.00 $ 10,500.00 $ 10,500.00

AnnualSoftware

Maintenance

&Support

$700.00

3$

2,100.00$

2,100.00$

2,100.00$

2,100.00$

2,100.00$

2,100.00$

2,100.00$

2,100.00$

2,100.00$

2,100.00$

2,100.00$

2,100.00$

2,100.00$

2,100.00$

2,100.00 $ 10,500.00 $ 10,500.00 $ 10,500.00

TOTAL

$ 437,619.93 $ 437,619.93 $ 437,619.93 $ 427,119.93 $ 427,119.93 $ 427,119.93 $ 427,119.93 $ 427,119.93 $ 427,119.93 $ 427,119.93 $ 427,119.93 $ 427,119.93 $ 427,119.93 $ 427,119.93 $ 427,119.93 $ 2,146,099.63 $ 2,146,099.63 $ 2,146,099.63 a2

NETW

ORK CO

ST DETAIL

Unit Cost

Num

ber of U

nits

IMPLEM

ENTATIO

N

PHASE COSTS

(Lightlevel

implem

entation)

IMPLEM

ENTATIO

N

PHASE COSTS (Pole

level im

plementation)

IMPLEM

ENTATIO

N

PHASE COSTS (Circuit

level implem

entation)

COST

Year 2 (Lightlevel

implem

entation)

COST

Year 2 (Polelevel

implem

entation)

COST

Year 2 (Circuit

level im

plementation)

COST

Year 3 (Lightlevel

implem

entation)

COST

Year 3 (Polelevel

implem

entation)

COST

Year 3 (Circuit

level im

plementatio)

COST

Year 4 (Lightlevel

implem

entation)

COST

Year 4 (Polelevel

implem

entation)

COST

Year 4 (Circuit

level im

plementation)

COST

Year 5 (Lightlevel

implem

entation)

COST

Year 5 (Polelevel

implem

entation)

COST

Year 5 (Circuitlevel

implem

entation)TO

TAL (LightLevel

Implem

entation)TO

TAL (PoleLevel

Implem

entation)

TOTAL (Circuit

Level Im

plementation)

aN

etwork

BuildO

ut $ $ $

CellularAccessPointw/Accessories

and9

YearExtended(10

YearTotal)W

arranty

$8,463.23

46$

389,308.35$

389,308.35$

389,308.35 $ 389,308.35 $ 389,308.35 $ 389,308.35

Relayw

/Accessoriesand9

YearExtended

(10YearTotal)W

arranty$

2,068.885

$10,344.38

$10,344.38

$10,344.38

$ 10,344.38 $ 10,344.38 $ 10,344.38

bN

etwork

Maintenance

&Support

$ $ $

(addmore

linesasnecessary) $ $ $

cO

therCosts(AP+Relayinstallation)

$384.99

51$

19,634.49$

19,634.49$

19,634.49 $ 19,634.49 $ 19,634.49 $ 19,634.49

Allcostsshouldbe

inU

Sdollars.

Indicatepaym

enttermsifan

earlypaym

entdiscountisoffered,includingthe

percentagediscountand

when

thepaym

entisdue.PaymentTerm

sshalladdressspecifiedCom

ponent(material),installation,training

andstart

up,andcom

missioning

costs.Alsoindicate

anyotherspecialdiscountsorprogram

sthatyoufeelcould

benefittheCity.

TheTotalCostin

theCostSum

mary

shallnotreflectanysuch

discounts.Provide

anyproposed

optionalhardware,softw

are,andim

plementation

servicesonadditionalpages.

Thesubm

ittalshallincludea

listofuserreplaceable

Componentsand

theirunitcosts.The

submittalshallinclude

pricingfora

singlesource

written

Hardware

Componentreplacem

entwarranty

coveringm

aterialandw

orkmanship

forEXTENDED

periods,

ITEM

Instructions to Respondent:

ITEM

ITEM

Complete

theCostSum

mary

below,w

hichshallbe

arollup

ofallsubsequentCostDetailsections.CostSum

mary

shallrepresentthefullcostofhardw

are,software,

implem

entation,andotherservicesoverthe

firstfive(5)years.

TheTotalCostshould

includeallhardw

are,software,and

servicescostsnecessaryto

deliver theproposed

solutionata

fixedfee.

Thetim

ingofallcostsshould

match

Respondent'simplem

entationplan.

TheProposalshould

providecostsfordeploying

thesolution

atindividuallightlevel,pole

levelandcircuit

levels.Ifcostsarebased

onquantity

discounts,pleaseindicate

suchand

providedetails.

Complete

theCostDetailsectionson

subsequentpages,which

shallincludeunitpricing

andtotalcostsasapplicable.

Incase

ofadiscrepancy

between

theunitand

totalpricing,the

unitprice(s)shallgovern.U

seadditionalpagesasnecessary

toprovide

theCity

with

adetailed

understandingofallassociated

costs.Inthe

FieldDevicessection,

CostDetailsectionsindicateanticipated

costitems.

Pleaseadd

itemsasneeded/proposed.

ChicagoSm

artLightingRFP

Addendum2

December9,2016

SmartLighting

RFPAddendum

#2Form

#9

(addmore

linesasnecessary) $ $ $

TOTAL

$ 419,287.22 $ 419,287.22 $ 419,287.22 $ $ $ $

$ $ $ $ $ $ $ $ $ 419,287.22 $ 419,287.22 $ 419,287.22 b

3FIELD DEVICES CO

ST DETAIL

Unit Cost

Num

ber of U

nits

IMPLEM

ENTATIO

N

PHASE COSTS

(Lightlevel

implem

entation)

IMPLEM

ENTATIO

N

PHASE COSTS (Pole

level im

plementation)

IMPLEM

ENTATIO

N

PHASE COSTS (Circuit

level implem

entation)

COST

Year 2 (Lightlevel

implem

entation)

COST

Year 2 (Polelevel

implem

entation)

COST

Year 2 (Circuit

level im

plementation)

COST

Year 3 (Lightlevel

implem

entation)

COST

Year 3 (Polelevel

implem

entation)

COST

Year 3 (Circuit

level im

plementatio)

COST

Year 4 (Lightlevel

implem

entation)

COST

Year 4 (Polelevel

implem

entation)

COST

Year 4 (Circuit

level im

plementation)

COST

Year 5 (Lightlevel

implem

entation)

COST

Year 5 (Polelevel

implem

entation)

COST

Year 5 (Circuitlevel

implem

entation)TO

TAL (LightLevel

Implem

entation)TO

TAL (PoleLevel

Implem

entation)

TOTAL (Circuit

Level Im

plementation)

aControllers(SELC)

66.59$

24,098,921.00$

17,979,300.00$

1,515,122.27 $ 24,098,921.00 $ 17,979,300.00 $ 1,515,122.27

Comm

unicationsModulesw

/9Year

Extended(10

YearTotal)Warranty

$ $ $

bO

ccupancySensors(optional)

$ $ $

(addmore

linesasnecessary) $ $ $

cO

therDeviceCosts

$ $ $ Firm

ware

Maintenance

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$73,898.33

$ 369,491.65 $ 369,491.65 $ 369,491.65 Installation

Tools$

1,000.00TBD

$ $ $ TO

TAL $ 24,172,819.33 $ 18,053,198.33 $ 1,589,020.60 $ 73,898.33 $ 73,898.33 $ 73,898.33 $ 73,898.33 $ 73,898.33 $ 73,898.33 $ 73,898.33 $ 73,898.33 $ 73,898.33 $ 73,898.33 $ 73,898.33 $ 73,898.33 $ 24,468,412.65 $ 18,348,791.65 $ 1,884,613.92 c

4IM

PLEMEN

TATION

SERVICES COSTS DETAIL

QU

ANTITY

(if applicable)U

NIT CO

STTO

TAL a

BusinessAnalysisandRelated

Services0.00

$ $

bSystem

IntegrationDevelopm

ent0.00

$ 1.00 $ 1,117,000.00

cConfiguration,Testing

andAcceptance

1.00 $ 103,537.80 $ 103,537.80

dData

Migration

0.00 $ $

gProjectM

anagement

1.00 $ 799,613.63 $ 799,613.63

hO

therImplem

entationServices

0.00 $ 1.00 $ 243,000.00

FieldN

etwork

Design1.00

$ 21,711.56 $ 21,711.56 EndpointInstallation

Support1.00

$ 198,436.78 $ 198,436.78 N

etwork

Optim

ization1.00

$ 201,265.72 $ 201,265.72 Application

DeploymentServices

1.00 $ 105,000.00 $ 105,000.00

Netw

orkDeploym

entSuppor t1.00

$ 102,151.24 $ 102,151.24 TO

TAL7

$ 2,891,716.72

5TRAIN

ING CO

STS DETAIL Detail all classes available including different levels of user training and administrator training if available.

QU

ANTITY

(if applicable)U

NIT CO

STTO

TAL

aApplication

Training1.00

$ 24,000.00 $ 24,000.00

TOTAL

1 $ 24,000.00 $ 24,000.00

6ADDITIO

NAL SERVICE FEES

IMPLEM

ENTATIO

N

PHASE COSTS

(Lightlevel

implem

entation)

IMPLEM

ENTATIO

N

PHASE COSTS (Pole

level im

plementation)

IMPLEM

ENTATIO

N

PHASE COSTS (Circuit

level implem

entation)

COST

Year 2 (Lightlevel

implem

entation)

COST

Year 2 (Polelevel

implem

entation)

COST

Year 2 (Circuit

level im

plementation)

COST

Year 3 (Lightlevel

implem

entation)

COST

Year 3 (Polelevel

implem

entation)

COST

Year 3 (Circuit

level im

plementatio

n)

COST

Year 4 (Lightlevel

implem

entation)

COST

Year 4 (Polelevel

implem

entation)

COST

Year 4 (Circuit

level im

plementation)

COST

Year 5 (Lightlevel

implem

entation)

COST

Year 5 (Polelevel

implem

entation)

COST

Year 5 (Circuitlevel

implem

entation)TO

TAL (LightLevel

Implem

entation)TO

TAL (PoleLevel

Implem

entation)

TOTAL (Circuit

Level Im

plementation)

aControllerm

odificationsto24/7

powerforcontrollersthatm

ustberew

ired(assum

e20%

of12,478cabinets=

2,495)

$706,085.00

$706,085.00

$

bPole

wiring

toallow

singlenode

tocontrol2

ormore

fixtures$

36,000,000.00

TOTAL

$ 706,085.00 $ 36,706,085.00 $ $ $ $ $

$ $ $ $ $ $ $ $ $ $ $

7PRICIN

G ASSUM

PTION

S AND ADDITIO

NAL N

OTES:

•Pricing

isin$U

SD.•

SSNreservesthe

righttore

pricecircuitlevelnetw

orkscenario,asthere

isnotenoughinform

ationto

determine

network

requirementsforthe

limited

numberofnetw

orkendpoints/cabinetlocations.

•Firm

ware

Maintenance

shallbepurchased

for$0.50perdevice

peryearpaidannually

inadvance.Includesaccessto

Firmw

areU

pdates,andtechnicalsupportforFirm

ware

issues.•

Netw

orkHardw

areand

ProfessionalServicesareincluded

asacom

ponentoftheongoing

NaaS

ServiceFees.

•Subscription

software

licensesincludedin

SaaSFeesforthe

following

applications:StreetLightAdaptor(SLA)andStreetLight.Vision

(SL.V).•

Software

asa

Service(SaaS)M

onthlyfeesforthe

Production(PRO

D)environmentsupportup

to361,900

streetlightsendpoints.•

Software

asa

Service(SaaS)pricing

foradditionalenvironmentscan

beprovided

uponrequest.

•SaaS

Monthly

feesforthePRO

Denvironm

entincludesthefollow

ing:Softw

areM

aintenance&

SupportPostdeploym

entsupport,hosting,and24x7

NO

Cm

anagement

FieldN

etwork

Monitoring

andM

anagement:

Proactivem

onitoringofthe

healthofthe

network,asw

ellasgatheringanalysisofoperationalstatisticsand

trends.

311 integration

Included w/ integration above

ITEM

IITEM

NO

TES

NO

TES

ITEM

ITEM

911 integration (optional)

e

d

ChicagoSm

artLightingRFP

Addendum2

December9,2016

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

Form 9 – Technology Specifications and Services Pricing Form

123The

Proposalshouldprovide

costsfordeployingthe

solutionatboth

theindividuallightand

circuitlevels.

456789The

submittalshallinclude

alistofuser

replaceableCom

ponentsandtheirunitcosts.

10The

submittalshallinclude

pricingfora

singlesource

written

Hardware

Componentreplacem

entwarranty

coveringm

aterialandw

orkmanship

forEXTENDED

periods,beyondthe

requirementspecified.Pricing

shallbeprovided

for10years .

COST SU

MM

ARY

IMPLEM

ENTATIO

N

PHASE COSTS (Light

level im

plementation)

IMPLEM

ENTATIO

N

PHASE COSTS (Pole

level im

plementation)

IMPLEM

ENTATIO

N PHASE CO

STS (Circuit

level im

plementation)

COST

Year 2 (Lightlevel

implem

entation)

COST

Year 2 (Polelevel

implem

entation)

COST

Year 2 (Circuitlevel

implem

entation)

COST

Year 3 (Lightlevel

implem

entation)

COST

Year 3 (Polelevel

implem

entation)

COST

Year 3 (Circuitlevel

implem

entation)

COST

Year 4 (Lightlevel

implem

entation)

COST

Year 4 (Polelevel

implem

entation)

COST

Year 4 (Circuitlevel

implem

entation)

COST

Year 5 (Light

level im

plement

COST

Year 5 (Polelevel

COST

Year 5 (Circuit

level

(LightLevel

Implem

entation)

(PoleLevel

Implem

entation)

(CircuitLevel

Implem

entation)

1Lighting

Managem

entSystemLicensing

Costs(includingany

extendedw

arrantyand/or

maintenance)

$$

$$

$$

$$

$$

$$

$$

$ $ $

2LM

Sextended

warranty

(ifapplicable)

$ $ $

3LM

Sm

aintenance&

support(ifapplicable)

$ $ $

4Controllers(including

anyextended

warranty

and/ormaintenance,

licensefees)

$$

$$

$$

$$

$$

$$

$$

$ $ $

5N

etwork

Buildout(ifapplicable)

$$

$$

$$

$$

$$

$$

$$

$ $ $ 6

Backhaul$

$$

$$

$$

$$

$$

$$

$ $ $ $

7N

etwork

support&m

aintenancecosts(ifapplicable)

$ $ $

5Im

plementation

ServicesCosts$

$$

$$

$$

$$

$$

$$

$ $ $ $

6Training

Costs$

$$

$$

$$

$$

$$

$$

$ $ $ $

7O

therCosts(providedetails)

$$

$$

$$

$$

$$

$$

$$

$ $ $ (add

more

linesasnecessary) $ $ $

TOTAL

$ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $

1SYSTEM

AND LICEN

SING CO

STS DETAIL IMPLEM

ENTATIO

N

PHASE COSTS (Light

level im

plementation)

IMPLEM

ENTATIO

N

PHASE COSTS (Pole

level im

plementation)

IMPLEM

ENTATIO

N PHASE CO

STS (Circuit

level im

plementation)

COST

Year 2 (Lightlevel

implem

entation)

COST

Year 2 (Polelevel

implem

entation)

COST

Year 2 (Circuitlevel

implem

entation)

COST

Year 3 (Lightlevel

implem

entation)

COST

Year 3 (Polelevel

implem

entation)

COST

Year 3 (Circuitlevel

implem

entation)

COST

Year 4 (Lightlevel

implem

entation)

COST

Year 4 (Polelevel

implem

entation)

COST

Year 4 (Circuitlevel

implem

entation)

COST

Year 5 (Light

level im

plement

ation)

COST

Year 5 (Polelevel

implem

entation)

COST

Year 5 (Circuit

level im

pleme

ntation)

TOTAL

(LightLevel

Implem

entation)

TOTAL

(PoleLevel

Implem

entation)

TOTAL

(CircuitLevel

Implem

entation)

aLM

SSoftw

are$

$$

$$

$$

$$

$$

$$

$$

$ $ $ (add

more

linesasnecessary) $ $ $

bThird

PartySoftw

are( listeach

applicationseparately)

$ $ $

(addmore

linesasnecessary)$

$$

$$

$$

$$

$$

$$

$ $ $ $

cO

therSystemCosts

$ $ $ AnnualSoftw

areM

aintenance&

Support$

$$

$$

$$

$$

$$

$$

$$

$ $ $

TOTAL

$ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $

2N

ETWO

RK COST DETAIL

IMPLEM

ENTATIO

N

PHASE COSTS (Light

level im

plementation)

IMPLEM

ENTATIO

N

PHASE COSTS (Pole

level im

plementation)

IMPLEM

ENTATIO

N PHASE CO

STS (Circuit

level im

plementation)

COST

Year 2 (Lightlevel

implem

entation)

COST

Year 2 (Polelevel

implem

entation)

COST

Year 2 (Circuitlevel

implem

entation)

COST

Year 3 (Lightlevel

implem

entation)

COST

Year 3 (Polelevel

implem

entation)

COST

Year 3 (Circuitlevel

implem

entation)

COST

Year 4 (Lightlevel

implem

entation)

COST

Year 4 (Polelevel

implem

entation)

COST

Year 4 (Circuitlevel

implem

entation)

COST

Year 5 (Light

level im

plement

COST

Year 5 (Polelevel

COST

Year 5 (Circuit

level

(LightLevel

Implem

entation)

(PoleLevel

Implem

entation)

(CircuitLevel

Implem

entation)

aN

etwork

BuildO

ut $ $ $

Instructions to Respondent:Com

pletethe

CostSumm

arybelow

,which

shallbea

rollupofallsubsequentCostDetailsections.

CostSumm

aryshallrepresentthe

fullcostofhardware,softw

are,implem

entation,andotherservicesoverthe

firstfive(5)years.

TheTotalCostshould

includeallhardw

are,software,and

servicescosts necessaryto

delivertheproposed

solutionata

fixedfee.

Thetim

ingofallcostsshould

match

Respondent'simplem

entationplan.

Complete

theCostDetailsectionson

subsequentpages,which

shallincludeunitpricing

andtotalcostsasapplicable.

Incase

ofadiscrepancy

between

theunitand

totalpricing,theunit price(s)shallgovern.

Use

additionalpagesasnecessaryto

providethe

Cityw

itha

detailedunderstanding

ofallassociatedcosts.In

theField

Devicessection,pleasepropose

threedifferentquantity

optionsfortheoptionaloccupancy

orothersensors(100,500,2000).

CostDetailsectionsindicateanticipated

costitems.

Pleaseadd

itemsasneeded/proposed.

Allcostsshouldbe

inU

Sdollars.

Indicatepaym

enttermsifan

earlypaym

entdiscountisoffered,includingthe

percentagediscountand

when

thepaym

entisdue.PaymentTerm

sshalladdressspecifiedCom

ponent(material),installation,training

andstart

up,andcom

missioning

costs.Alsoindicate

anyotherspecialdiscountsorprogram

sthatyoufeelcould

benefittheCity.

TheTotalCostin

theCostSum

mary

shallnotreflectanysuch

discounts.

Provideany

proposedoptionalhardw

are,software,and

implem

entationserviceson

additionalpages.

ITEM

ITEM

ITEMConfidential:U

seordisclosure

ofdatacontained

onthissheetissubjectto

therestriction

onthe

titlepage

ofthisbid.

RequestforProposal("RFP")forLibraryM

anagementSystem

SpecificationN

o.120714

(addmore

linesasnecessary)$

$$

$$

$$

$$

$$

$$

$ $ $ $

bN

etwork

Maintenance

&Support

(addmore

linesasnecessary)c

OtherCosts

$ $ $ (add

more

linesasnecessary)$

$$

$$

$$

$$

$$

$$

$ $ $ $

TOTAL

$ $ $ $ $ $ $ $ $ $ $ $

$ $ $ $ $

3FIELD DEVICES CO

ST DETAIL

IMPLEM

ENTATIO

N

PHASE COSTS (Light

level im

plementation)

IMPLEM

ENTATIO

N

PHASE COSTS (Pole

level im

plementation)

IMPLEM

ENTATIO

N PHASE CO

STS (Circuit

level im

plementation)

COST

Year 2 (Lightlevel

implem

entation)

COST

Year 2 (Polelevel

implem

entation)

COST

Year 2 (Circuitlevel

implem

entation)

COST

Year 3 (Lightlevel

implem

entation)

COST

Year 3 (Polelevel

implem

entation)

COST

Year 3 (Circuitlevel

implem

entation)

COST

Year 4 (Lightlevel

implem

entation)

COST

Year 4 (Polelevel

implem

entation)

COST

Year 4 (Circuitlevel

implem

entation)

COST

Year 5 (Light

level im

plement

COST

Year 5 (Polelevel

COST

Year 5 (Circuit

level

(LightLevel

Implem

entation)

(PoleLevel

Implem

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Page | 145

Section V - Administrative Submittals

1Chicago Infrastructure Trust Chicago Smart Lighting Project RFP – Addendum #2

Form 1: RFP Response Checklist

CHICAGO SMART LIGHTING PROJECT REQUEST FOR PROPOSALS (RFP) PROPOSAL SUBMITTAL ADMINISTRATIVE CHECKLIST

NOTE: THIS CHECKLIST IS INTENDED TO ASSIST PROPOSERS BUT MAY NOT BE A COMPLETE LIST OF REQUIRED DOCUMENTATION.PROPOSER IS SOLELY RESPONSIBLE FOR ENSURING THAT IT INCLUDES ALL REQUIRED DOCUMENTS WITH ITS PROPOSAL.

Section I Proposal Overview Required Content

Proposal Letter

Executive Summary

Project Management & Implementation Plan

Implementation Overview

Team Structure

Approach to Project Phasing

Schedule Milestones

Approach for Performing the Work

Project Management Plan

Communication and Coordination

Quality Management Plan

MBE/WBE Participation Plan and Commitment

Workforce Development Hiring Plan and Commitment

Public Relations and Communications Plan

Form 14: Additional Project Pricing

Local Economic Initiatives Commitment (if applicable)

Section II LED Conversion Proposal Required Content

Form 4: LED Luminaire Specifications Submittal Form (Microsoft Excel Format)

Form 5: LED Conversion Pricing Form (as amended by Addendum #2)

LED Luminaire Product Samples (to be delivered separate from Proposal content)

Section III Infrastructure Stabilization Proposal Required Content

Asset Condition Assessment Plan

Form 6: Infrastructure Stabilization Pricing Form (as amended by Addendum #2)

Section IV Technology Proposal Required Content

Technology Solution Overview

2Chicago Infrastructure Trust Chicago Smart Lighting Project RFP – Addendum #2

System Architecture

Integrations & Interfaces

Reporting & Analytics

Additional Functionality

Third Party Products

Hostings & Environments

Backup & Recovery

Security & Accessibility

Maintenance & Support

Performance Standards & Service Level Agreements

Warranties

Form 7: Technology Services Functional, Logical, and Technical Requirements (Microsoft Excel Format)

Form 8: Interrogatories

Form 9: Technology Specifications and Services Pricing Form (Microsoft Excel Format) (as amended by Addendum #2)

Section V – Administrative Submittals Required Content

Form 1: RFP Response Checklist

Proposal Security

Exceptions

Form 3: Project Experience Form

Form 11: Project Reference Form

Applicable M/WBE Participation Plan Submittals from Form 10

SCHEDULE B: MBE/WBE Affidavit of Joint Venture

SCHEDULE C: MBE/WBE Letter of Intent to Perform as a 2nd Tier Subcontractor to the Prime Contractor

SCHEDULE C (Construction): MBE/WBE Letter of Intent to Perform as a SUPPLIER

SCHEDULE D: Compliance Plan Regarding

SCHEDULE F: Report of Subcontractor Solicitations for Construction Contracts

SCHEDULE H: Documentation of Good Faith Efforts to Utilize MBEs and WBEs On Construction Contracts

Form 12: Proposer’s Affidavit Regarding Identification of All Waste and Material Handling and Disposal Facilities

Form 13: Proposer’s Commitment to Minority and Female Employee Utilization Goals

Page | 146

Proposal Security

Page | 147

Assumptions

Siemens does not take any exceptions to the terms and conditions as provided in Volume II of the RFP.

Since Siemens is agreeing to a fairly high cap on liquidated damages, and there may be circumstances delaying the project not attributable to Siemens, in order to avoid any negative impact on the project resulting from corresponding time consuming discussions, we would very much appreciate to discuss with you whether (i) a reduction of the individual liquidated damages amount currently provided for, and/or (ii) a minimum percentage threshold of the work outstanding to be reached before triggering any liquidated damages would make sense in this project.

Page | 148

Project Experience

Proposals must include three completed versions of Form 3: Project Experience, outlining relevant project experience, completed for each of the three major elements of the Project:

(i) LED Conversions,

(ii) Infrastructure Stabilization, and

(iii) lighting management systems.

Proposers may include the experience of any Prime Team Member on such forms. A maximum of 10 projects may be provided on each form. Projects completed within the past 5 years will be given greater weight in evaluation.

Street Light Conversion Experience in the U.S.

Siemens is the leader in the LED street light conversion field. Our staff of professionally certified Engineers, Project Managers, and Electricians has extensive experience executing successful street light conversion projects. As industry recognized leaders, our Staff has developed a unique approach to roadway lighting conversions that has earned recognition among the roadway and outdoor lighting industry organizations.

Key benefits of partnering with Siemens are:

Extensive experience installing LED street lights; with over 162,000 LED street light conversions in 86 communities throughout the US. Knowledge and experience installing and maintaining networked control systems; with over 20,000 street light control nodes installed in the US and 70,000 abroad. In-house street light and traffic signal maintenance organization; currently providing maintenance services for 400,000 street lights and 10,000 signalized intersections Provide in-house financing via Siemens Financial Services (SFS); SFS has successfully funded over $1.5 Billion in performance contracts.

In the United States, Siemens has a record of project performance that is unsurpassed in the industry, and has executed more than $2.6 billion in performance contracts. Siemens has helped more than 700 customers realize energy and operational savings over the past ten years. We have implemented more than 1,500 guaranteed performance-based solutions projects for our customers, updating thousands of street lights and buildings with the latest energy savings technologies.

The Siemens Performance Based Solutions Process

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Working together with you, we will develop a comprehensive plan specifically catered to your strategic and technical business goals – while promoting energy conservation and addressing environmental concerns.

This involves:

Performing a preliminary analysis to determine your organization’s current energy usage and identify areas to maximize energy savings. Producing a detailed energy analysis to determine the collection of improvement measures that will best satisfy the investment criteria and make the most positive impact. Delivering and installing your new equipment and implementing the improvement measures. Conducting regular measurement and verification to ensure that you are maximizing your energy savings.

Below is a brief description of some of our recent marquee street light conversion project contracts we have executed:

Metropolitan Area Planning Council (MA) - Siemens staff installed 26,000 fixtures in 23 communities in the New England area, with realized energy savings of $1.1 million dollars per year. In addition Siemens staff is currently providing warranty services. Cape Light Compact (MA) - Siemens staff installed more than 16,000 LED fixtures, resulting in an annual customer savings of $875,000. Siemens staff is currently providing warranty and maintenance services. City of Providence, RI - Siemens staff installed 16,780 Networked LED fixtures, resulting in $1,400,000 in annual savings. Siemens staff is currently providing warranty and maintenance services.

Networked Lighting Experience in the U.S.

Siemens has intimate knowledge of networked outdoor lighting control systems has participated in the development and implementation of a variety of systems in the US. Siemens has recently been awarded and is installing networked controlled LED street light systems at the following three sites:

Client Number of Networked Street Lights Providence, RI 16,800 College Station, TX 5,054 Barrington, RI 1,800

Siemens staff will have successfully installed over 20,000 LED street lights with networked control systems by the end of January 2017. In addition, Siemens staff is currently developing networked street light control projects in Pittsburgh, PA, San Jose, CA, Honolulu, HI and Denver, CO. The combined total of all projects in development is over 100,000 networked controlled street lights.

Page | 150

Networked Lighting Experience Global

Siemens street light experience also extends outside of the U.S. This gives us an unparalleled perspective as many of the countries we’ve worked in have energy grids and lighting systems and design requirements not common in the U.S. This versatility directly benefits the City as we have shown we can successfully perform in unique conditions with a variety of control technologies.

Key global projects are:

City Country Number of Networked Street Lights Bratislava Slovakia 42,000 Transport Company of the City Ceske Budejovice

Czech Republic 11,300

Silven Bulgaria 9,600 Most Czech Republic 7,700

In addition to those projects provided on Form 3, Siemens also submits the following for consideration illustrating our involvement in and familiarity with the City of Chicago.

Customer Reference Contract

Value Scope Years

Chicago Department of Aviation

Contract #28945 $17,018,651 Maintenance of the supervisory monitoring system and the fire alarm system at O’Hare airport

2014-2018

Chicago Department of Water

Contract #25050 (Siemens is a subcontractor to FH Paschen)

~$10,000,000 Springfield Avenue Pumping Station Electrification Project

2011-2014

Chicago Department of Water

Contract #30366 (Siemens is a subcontractor to MG Electric)

~$10,000,000 South Water Purification Plant Replacement of Switchgear and Addition of Standby Power

2014

Chicago Housing Authority

Solicitation #14-01298

$6,089,828 Surveillance camera maintenance and support services

2014-2019

Chicago Park District Specification #P-09025

$4,600,000 Energy service performance contract

2010-2020

Illinois Department of Transportation

Contract # 14-01-DPIT

$225,000,000 Purchase of 32 diesel locomotives

2014-2020

METRA Contract #K52841 $1,413,877 Replacement of Traction Power Switch Gear and Traction Power Rectifiers

2015-2017

Cook County Sherriff Contract #1355-12953

~$4,000,000 Sherriff’s Video Camera and Recording Systems

2013-2015

Page | 151

References

Form 11 – References follows this page.

Page | 152

Waste & Material Handling, Recycling and Disposal Facilities

Form 12 - Proposer’s Affidavit Regarding Identification of All Waste and Material Handling and Disposal Facilities follows this page.

Page | 155

Addendum A - Value Engineering/ Value Added Services

Value Engineering

How Can Siemens and the City Reduce Project Costs without Affecting Quality?

Siemens’ in-house ability to function as a global technology integrator, licensed electrical contractor, and energy services company, offers us the unique ability to be more flexible and collaborate with the City to achieve shared success. Siemens will work with City officials to examine all possible means of reducing project costs through innovation and alternative project delivery. This section describes creative ways in which the City could reduce costs associated with completing the Smart Lighting Project while maintaining the desired savings and final deliverable as defined in the RFP. In the following pages, we will briefly describe each concept and present the potential savings value. The criteria for inclusion in this section were a net project cost savings of at least $100,000 and no impact on the project schedule, quality, or final deliverable. The value engineering ideas presented in this section could cumulatively save the following:

$17M in up front project capital costs (Ideas # 1 to # 4); $18M in one-time energy savings; and (Idea # 5); and $2M in perpetual annual energy savings (Idea # 6).

If Siemens is selected by the City for this project, we would welcome the opportunity to further develop these ideas as formal Contractor Value Engineering Proposals (CVEP).

Idea # 1: Partner with CDOT to enable City crews to install a portion of the fixtures either systematically or via routine outage responses.

Idea # 1 Value: If the CDOT installed 7,500 LED cobrahead fixtures in each of four phases (~10% of the total), the associated savings would be over $6.0M in avoided labor costs.

Description: As an innovative way to reduce costs, Siemens could offer the Chicago Department of Transportation (CDOT) the opportunity to participate in the installations should their resources allow during any or all project phases. This would eliminate the contract labor cost associated with each fixture installation performed by CDOT. Since CDOT crews are already visiting poles to repair outages, the possibility of instead performing a fixture retrofit exists. Alternatively, as more LED fixtures are installed, perhaps CDOT could perform installations in later phases if resources do not allow today. This would also provide an effective training exercise on installation and maintenance. Rather than training CDOT crews at the end of the project, in this scenario, CDOT would already have installed thousands of fixtures and CLMS nodes at project completion.

Caveats: CDOT crews would be supplied with the same tablets as our crews to ensure that installations are similarly recorded and tracked for project management, ComEd billing adjustments, and invoicing purposes. Please note that our proposal does not rely in any way on

Page | 156

CDOT participation in the installation and a ~ 10% participation in the installations would not affect the unit prices or schedule we have presented in this response. We may need to re-compute the M/WBE participation % should the City choose this option. We understand both the cost and financing pressures on this project and therefore, are seeking to be creative in alternative project delivery options.

Idea # 2: Consider opportunities to consolidate or eliminate redundant lighting not required to meet City lighting specifications when the fixtures are converted to LED.

Idea # 2 Value: The City lists 29,100 “Residential Coach” and “Arterial Acorn” fixtures in RFP Form 5. A portion of these are attached to the side of a streetlight pole where a cobrahead fixture on the same pole illuminates the same area, including both the street and sidewalk (see photos below). If the new LED cobrahead was selected to meet all lighting specifications, many of these ‘side of pole’ fixtures could be eliminated. If 10,000 coach or acorn fixtures were eliminated, about 1/3 of the total, the calculated savings would be over $10M in avoided material and labor costs.

Description: The above pictures show common Chicago examples where the cobrahead luminaire (upper left), which is mounted about twice as high as the acorn (“coach”) fixture below, (lower right) can provide sufficient lighting of both the roadway and sidewalk. Project

Page | 157

cost considerations are critical given that this infrastructure is replaced only every 20 to 30 years (or longer) at significant cost, thus these opportunities to consolidate infrastructure should be studied during this “once in a generation” lighting renewal. There would also be less infrastructure for the City to maintain and replace in the years ahead, including additional CLMS nodes.

Caveats: In some lighting applications or areas, the fixtures may have aesthetic or historical characteristics that make their removal difficult. It would need to be determined if street lighting in particular districts falls under the jurisdiction of the Historic Preservation Division and if so, if the necessary support could be gained for this type of cost savings measure.

Idea # 3: Examine if an alternative fixture style can provide a more cost-effective and aesthetically appropriate solution for selected non-cobrahead lighting styles:

Idea # 3 Value: The reduced cost of an alternative style fixture can drive down cost on the order of $500 or more per fixture. If City selected more cost effective styles for 2,000 fixtures (about 5% of the total non-cobra/non-viaduct lighting inventory), then the associated savings would be over $1.0M in avoided material costs and likely long-term savings via reduced maintenance costs.

Page | 158

Description: The above example of lighting fixtures in front of The Art Institute of Chicago shows a fixture that could be expensive to maintain since it consists of six individual luminaires, all of which will likely fail at different times. The City could consider a single or double acorn fixture as option to maintain a historically appropriate new LED fixture at a lower cost. Other examples of where something besides a 1:1 fixture replacement might be considered include:

Reducing quad or double acorn fixtures to a fewer fixtures that produce equivalent lighting; Replacing flood lights with cobrahead fixtures; and Replacing shoebox style fixtures with cobrahead fixtures.

Caveats: Same as Idea # 2. In some lighting applications or areas, the fixtures may have aesthetic or historical characteristics that make any alterations difficult, even in the interest of long-term cost savings for the City. It would need to be determined if street lighting in particular districts falls under the jurisdiction of the Historic Preservation Division and if so, if the necessary support could be gained for this type of cost savings measure. Also, when retrofitting new fixture styles to existing poles, it is critical to ensure that the tenon diameter and height or mounting bracket are compatible to ensure a strong and long-lasting fit between the new luminaire and ‘old’ pole, including satisfactory color matching.

Idea # 4: Have the City contract directly with PR firm rather than as a subcontractor on the project team.

Idea # 4 Value: At least $160,000 assuming $1M project budget is expended, consisting of prime contractor mark-ups of PR firm’s billings to City.

Description: By contracting directly with our PR partner, Jasculca Terman, the City would save on the mark-ups associated with management and oversight by Siemens.

Caveats: Taking PR out of this contract would require additional management by the City to ensure that PR-related tasks, deliverables, and schedules are met. Additional work may be required to ensure coordination between PR-related activities and the project team if this contract is no longer under the “umbrella” of the overall project.

Idea # 5: Expedited project completion in 30 months, rather than 48 months.

Idea # 5 Value: No impact to project cost. This idea has already been presented in detail previously in this proposal so only summary information is presented here. If baseline annual operating (energy) cost savings resulting from this project are $12M, then every month of accelerated completion saves the City an additional $1M. Reducing the project implementation schedule from 48 months to 30 months as Siemens has proposed in this response, would save the City approximately $18M in energy costs.

Page | 159

Description: The installation team and project management approach that Siemens has created for this project will provide the necessary resources and processes to enable an expedited completion of the work. The early completion of the project generates additional savings for the City’s benefit in reduced ComEd costs.

Caveats: While Siemens has committed the resources to ensure an accelerated schedule can be achieved, this proposal creates additional responsibilities for the City and CDOT as well. An expedited project schedule means that City turnaround of project submittal approvals, permits, and financing all have to occur on an accelerated schedule.

Idea # 6: Negotiate CLMS measured kilowatt hour energy billing from ComEd

Idea # 6 Value: No impact to project cost. If baseline annual operating cost savings are $12M, then increasing energy savings through recognition of the CLMS-measured energy use by ComEd could save an additional $2M per year in energy costs.

Description: The CLMS system can provide extremely accurate “meter grade” information on the kilowatt-hour use of all “smart” streetlights. By negotiating with ComEd, the City could push for billing to be based on CLMS-measured use, like each of the City’s other ComEd accounts, rather than the assumed use formula (annual operating hours times fixture total wattage) which is used today. In addition, this would allow the City to take advantage of any scheduled dimming that may be tested and implemented over time. Based on Siemens’ experience with CLMS and utility tariffs elsewhere in the use, we estimate that an additional 15-20% of savings could be generated by the switch to measured use and the incorporation of dimming at selected locations.

We understand that dimming will not be feasible where public safety concerns outweigh the desire to generate additional cost savings. As a subject matter expert on CLMS installations elsewhere in the US, including utility tariff design, Siemens is uniquely positioned to advocate on the City’s behalf in this initiative to drive down operating costs by taking full advantage of the installed technology. Finally, conversion to measured/meter-based usage would allow ComEd to be fairly compensated for the energy use associated with any non-lighting technologies that are powered from the streetlights.

Caveats: The conversion to measured use would mean that ‘dayburners’ (lights on during daytime due to failure of photocell) would negatively impact the City’s bill. The CLMS, however, will enable the City to be notified immediately when dayburners occur. Whereas the City’s current budget is fixed based the quantities of fixtures, respective wattages, and annual operating hours, measured use would create increased variation in annual costs. This year-to-year variation, however, would not differ greatly from that which occurs in all other categories of the City’s metered energy use, e.g., buildings, water/sewer pumps, traffic signals, City vehicles’ fuel usage, etc.

Page | 160

Addendum B - Siemens Center of Excellence (COE)

As part of our proposal Siemens is including, at no additional cost, a significant long term commitment to Chicago. Siemens has established a formal program to designate key cities as a Center of Excellence for critical intelligent transportation technologies.

Siemens has established COE’s in the City of Ann Arbor, MI for advanced adaptive traffic solutions and the city of Seattle, WA for advanced traffic management systems. Siemens would like to extend the program to include the city of Chicago for intelligent street lighting solutions.

Intelligent LED street lighting networks are proving to be a transformational force in smart cities, providing an affordable option for cities to deploy an IoT platform that is delivering real quantifiable results. A smart city is one that has undergone a digital transformation, where communication infrastructure has been deployed via an intelligent network to address challenges within city communities. These challenges include parking, traffic, transportation, street lighting, water and waste management, safety and security.

While not specifically in the Smart Lighting Project scope of work, the intent of this section is to describe applications that could be built ‘on top of’ the foundation provided by Silver Spring Networks CLMS. The ability to add non-lighting capabilities was a primary factor in our selection of SSN. Clearly, the City is looking beyond street lighting as evidenced in 1) each stage of the CIT’s procurement (RFI/RFQ/RFP), 2) the City of Chicago Technology Plan, and 3) the involvement of the City’s Department of Innovation and Technology (DoIT) in the selection process and the project to follow. In summary, the purpose of this section is to answer the following question: “What could be added to the open source platform that the CLMS will provide in the short-term and how is Siemens uniquely qualified to collaborate with the City of Chicago in Smart City initiatives in the long-term after our successful implementation of Smart Lighting?

Each of the concepts described in the following pages take advantage of a CLMS wireless communications network that provides comprehensive coverage for nearly every square foot of Chicago’s 234 square miles, creating a variety of possibilities for the City going forward. This creates real possibilities for Chicago’s City Technology Plan to move from the theoretical to the realization of its vision. The City’s plan describes 28 initiatives that fall under the following five broad strategies summarized here:

Digital engagement via next generation infrastructure (e.g., free wifi access in public spaces across the City); Workforce development via efforts building digital literacy skills;

Page | 161

Improved public services via open and connected government; Civic collaboration that empowers residents to be catalysts for innovation; and Attract and retain STEM-trained professionals to position Chicago as a tech-friendly city in the long-term.

Each of Siemens’ “Value Add” concepts presented below is a partial step toward the implementation of one or more of these strategies/initiatives and includes actual products being manufactured or technologies being field-tested in comparable environments either locally or elsewhere in the US. In other words, these technologies are more than just a “wish list” of ideas on paper, they are “real” Siemens’ projects either fully operating or being field-tested at present. We believe that Chicago wants a Smart City partner that can do more than just offer concepts in this proposal response, the City seeks a partner that can leverage the experiences of US and global deployments that reach across all of the many Siemens business units and markets. As a few examples to highlight these experiences which may be of interest to the City, please find the summaries listed below.

The Center of Excellence program will be customized to the cities unique needs but have some significant benefits across all COE cities. They include:

Smart Cities Pilot Program

Siemens is in a unique position to provide the City of Chicago cutting edge intelligent traffic technologies pilots at no additional cost.

Siemens City Performance Tool (CyPt) is a dynamic simulation tool used by major cities across the globe. This Siemens developed tool studies a series of more than 70 technologies from Building, Transport and Energy Technologies at different time periods and implementation rates. It analyzes impacts to reduce greenhouse gas emissions from buildings and transport, as well as air pollutants such as particulate matter (PM) and nitrogen oxides (NOx). It also looks at the creation of new local jobs to install, operate and maintain city solutions.

Connected V2I Roadside Unit - Siemens is at the forefront of communication systems that allow for cars on the road to communicate with traffic management systems and other cars in order to reduce collisions and enable autonomous driving. This technology is being rolled out by the USDoT throughout the United States. Siemens will provide twenty (20) roadside units for this pilot.

Siemens Integrated Smart Parking Solution - Siemens has developed a smart city sensor that can be installed on any street light pole or building that can enable a smart city parking solution. This solution provides citizens with access to available street parking via a smart phone app. Siemens will provide twenty (20) sensors for this pilot.

Page | 162

STEM Programs

Since 1998 the Siemens Foundation has invested more than $90 million in the United to advance workforce development and education initiatives in Science, Technology, Engineering, and Math, also known as STEM. Our mission is inspired by the culture of innovation, research and continuous learning that is the hallmark of Siemens’ companies. Together, the programs at the Siemens Foundation are narrowing the opportunity gap for young people in the U.S. in STEM careers, and igniting and sustaining today’s STEM workforce and tomorrow’s scientists and engineers.

Additionally, The Siemens Science Foundation has teamsed up with Discovery Channel to create Siemens Science Days which are part of an innovative program to engage students in math and science at an early age and promote the importance of STEM education. Siemens has hosted hundreds of these events through the US over the last 18 years.

Siemens has several programs available in the United States, each with its own unique benefit.

Siemens Competition in Math, Science, and Technology

Launched by the Siemens Foundation in 1999, the Siemens Competition is the flagship initiative of the Foundation and a symbol of our commitment to education in the United States. The nation’s premier competition in math, science and technology, the Siemens Competition promotes excellence in math, science and technology. High school students submit innovative individual and team research projects to regional and national levels of competition as they vie for college scholarships ranging from $1,000 up to $100,000.The Siemens Competition honors the best and brightest students for their accomplishments in math and science – students who are changing the world for the better. The recognition of students participating in the Siemens Competition is tacit recognition that high expectations spur high achievement and that academic excellence is a community effort involving parents, teachers, schools and mentors.

Benefits for Students

Through participation in the Siemens Competition in Math, Science & Technology, students engage in rigorous science research, experience the excitement of new discoveries, and gain personal satisfaction in developing a project and seeing it through to completion. The Siemens Competition is recognized by colleges and universities as the premier math and science research competition in the United States. More than $600,000 in scholarships is awarded to students annually through the Siemens Competition during regional and national events.

Our Partners

The Siemens Foundation partners with the nation’s premier colleges and universities:

California Institute of Technology Carnegie Mellon University The George Washington University

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Georgia Institute of Technology Massachusetts Institute of Technology The University of Notre Dame The University of Texas at Austin

Siemens Science Day

Siemens Science Day is an innovative program that ignites young students’ interest in math, science and technology. In an effort to reach students at an early age, Siemens created Siemens Science Day to encourage Siemens employees to visit local elementary and middle schools and introduce math and science subjects in a fun, interactive way. The program expanded with an online platform to enable all parents and teachers to engage students in math and science through tools and hands-on activities for students in grades K through 6.

Siemens Science Day provides an opportunity to talk about the importance of science and technology as "cool" subjects that can lead to exciting career opportunities. In addition to speaking to students about math and science, volunteers conduct hands-on experiments developed by Discovery Education.

STEM Middle-Skill Initiative

The Siemens Foundation has launched a workforce development program to help close the opportunity gap for young adults in STEM middle-skill careers. Leveraging the experience and expertise of Siemens as an industry leader and pioneer in workforce development, the Foundation identified this crucial area as a place where we can have an important impact on America’s workforce.

Businesses like Siemens are looking for qualified workers to expand and improve their STEM workforce. America’s young adults face the unique challenge of competing for 21st century jobs with international peers, while also facing significant barriers to postsecondary education and training that adequately prepares them for work. Addressing this disconnect is critical for America’s employers and the next generation of workers.

Many of these jobs require competencies in science, technology, engineering, and math, or a combination of these STEM fields. These “middle-skill” jobs (referring to the credential, which is more than a high school diploma but less than a four-year degree, and not the level of talent) are essential to our nation’s economic growth and provide promising career opportunities. This new workforce development program will increase access to these skills and help businesses and workers achieve greater prosperity.

Our vision for closing the opportunity gap:

Raise middle-skill awareness in national forums and through partnership programs Promote a positive perception of STEM middle-skill opportunities Identify and scale effective training models

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Partners for STEM Middle-Skill Initiative:

The Aspen Prize for Community College Excellence is the nation’s signature recognition of high achievement and performance among America’s community colleges and recognizes institutions for exceptional student outcomes in four areas: student learning, certificate and degree completion, employment and earnings, and high levels of access and success for minority and low-income students. The Center on Education and Skills at New America (CESNA) is dedicated to broadening the array of high quality educational options for students of all ages, including through greater access to apprenticeship. While there has been renewed interest in apprenticeship recently, investments have focused on adult students and job seekers. But there are good reasons to believe that extending apprenticeship opportunities to younger Americans – those in their last two years of high school– would generate important benefits for students and society. In fact, youth apprenticeship is common in countries with the most successful apprenticeship systems and is often credited for the very low rates of youth unemployment or underemployment in those countries. The National Governor’s Association Center for Best Practices on a Scaling Work-based Learning project to expand the use of effective training models for young adults in STEM middle-skill jobs. The goal – work with states to scale effective work-based learning programs for young adults and employers and share best practices broadly.

More information for the rest of what is available may be found at the following website.

https://www.siemens-foundation.org/

Examples of press releases from the City of Seattle and Ann Arbor regarding current COE programs are listed below.

Ann Arbor: “Ann Arbor, MI Named Siemens First Center of Excellence for Intelligent Traffic Technology”

~ Business Wire

http://www.businesswire.com/news/home/20151214005798/en/Ann-Arbor-MI-Named-Siemens-Center-Excellence

Seattle:

“Seattle to Install Siemens Software That Intelligently Syncs and Manages City’s Traffic System to Increase Visibility and Reduce Congestion”

~Business Wire

http://www.businesswire.com/news/home/20160517005351/en/Seattle-Install-Siemens-Software-Intelligently-Syncs-Manages http://www.seattletimes.com/seattle-news/transportation/new-software-to-help-seattle-streets-respond-to-traffic/

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Addendum C – Resumes

Judy D. Martinez-Faye(312) 520-0010

JudyDMartinez1@gmail.com

SUMMARY Results oriented attorney with experience in litigation, lobbying, and managing major governmentdepartments.Proven record of efficiently and effectively managing complex projects, hundreds of employees,multi-million dollar budgets, and contracts totaling billions of dollars.Recognized for leadership, management, negotiation, problem-solving, and relationship buildingskills.

EXPERIENCE CHIEF CITY EXECUTIVE – CITY OF CHICAGOSiemens Industry, Inc. (10/12 to present)Global powerhouse in electronics and electrical engineering.

Joined Siemens “Cities Center of Competence” – new initiative comprised of 80 executivesworldwide, including 3 in the U.S. – Chicago, Los Angeles and New York.Chief City Executive for Chicago - responsible for increasing Siemens corporate presence inChicago.Establish Siemens strategy across its entire portfolio, manage all City of Chicago accounts,develop partnerships and create holistic solutions.Leverage Siemens global experience and deep portfolio of infrastructure solutions to help Chicagodigitize its infrastructure

VICE PRESIDENT & GENERAL COUNSELThe Hope Institute for Children & Families (6/11 to 9/12)Not-for-Profit which provides residential, education and health services to children with severedevelopmental disabilities and autism throughout the State of Illinois.

Managed all legal, operations and government relations activities for organization with 600employees, $42M budget and campuses in Springfield and Chicago Illinois.Managed all legal correspondence, criminal, civil, custody and guardianship cases.Reviewed, negotiated and drafted contract provisions for approximately 80 contracts.

COMMISSIONERCity of Chicago Department of General Services (8/09 to 6/11)Provide maintenance, repair, construction, and leasing services for 425 City of Chicago facilities,including all police and fire stations, libraries, and senior centers.

Managed City Department with 550 employees and $250M budget.Reduced budget by 12% in the first year by streamlining services, increasing the use oftechnology, and leveraging contracting opportunities.Supervised procurement of $100M in natural gas/electricity and energy efficiency programs.Chosen by Mayor Richard M. Daley to be the Master of Ceremonies at his annual Hispanic HeritageMonth celebration and to represent him at multiple speaking engagements.Featured on ABC7 for "Making a Mark on Chicago" as part of Hispanic Heritage Month Sept. 2009.

FIRST DEPUTY PROCUREMENT OFFICERCity of Chicago Department of Procurement Services (2/08 to 8/09)Responsible for all legal, legislative, procedural, and policy matters regarding contract andprocurement issues for 44 City of Chicago departments.

Managed department’s 103 employees, $10M budget, and 2,000 contracts totaling $3.48B.Streamlined certification process for minority and women owned businesses, created anaggressive outreach campaign and eliminated the certification application backlog of hundreds ofapplications.Created the “Procurement Best Practices Roundtable” to discuss procurement issues and bestpractices with the Chicago Transit Authority, Park District, Public Schools, City Colleges andothers.Terminated contracts with 58 vendor firms who were convicted of criminal offenses or fraud orhad not complied with procurement standards.Directed media relations and responded to Freedom of Information Act requests, issued pressreleases and answered media inquiries daily.

DEPUTY DIRECTORMayor Richard M. Daley’s Office of Intergovernmental Affairs (5/06 to 2/08)Organized, researched, reviewed and analyzed legislative proposals impacting City operations.

Analyzed and responded to key legislation submitted to the Cook County Board of Commissioners.Interfaced with three lobbying teams to promote the City’s policies and agendas at the federal,state, and local levels.

Responsible for prioritizing the City’s capital needs, making funding recommendations, andtracking progress to ensure funded projects were completed in a timely manner.Helped develop Mayor Daley’s stance on immigration legislation; acted as the liaison between theMayor’s Office, Latino elected officials, and community groups.Responded to departmental needs raised in Mayor’s Office Performance Management Program.

DIRECTORIntergovernmental and Community Affairs, Chicago Park District (06/04 to 5/06)Directed the lobbying and community relations arm of the Chicago Park District.

Managed staff of 6 professionals responsible for interfacing with 560 parks.Analyzed and responded to all federal, state, and local legislation.Managed and analyzed proposals from 23 Park District departments requiring authorization by theChicago Park District Board of Commissioners.Coordinated 300 advisory councils, drafted guidelines and by-laws, and established new councils.

Organized 3,100 park volunteers who planted gardens, placed mulch, and raked leaves.

ASSISTANT TO MAYOR RICHARD M. DALEYMayor Richard M. Daley’s Office of Intergovernmental Affairs (03/02 to 05/04)City Council Team (09/03 to 05/04)

Organized, researched, analyzed, and drafted hundreds of City Council legislative proposals.Negotiated legislative terms with corporations, community groups, elected officials and Citydepartment heads.Provided input to mayoral press releases, speeches, and strategic communications.Communicated daily with top Mayoral aides, 50 aldermen, and 40 City department heads.

Springfield Team (03/02 to 08/03)Served as Mayor Daley’s chief lobbyist on crime and gun control issues.Reviewed hundreds of bills, involving housing, education, transportation, health care, labor andenvironment to determine effect City Departments.Testified during committee hearings.

ASSISTANT STATE’S ATTORNEYCook County State’s Attorney’s Office (09/98 to 03/02)Worked in the Appeals, First Municipal (Misdemeanors), and Community Prosecutions units for the2nd largest State's Attorney Office in the US.

Conducted 30 bench trials, wrote 40 appeals and argued 4 cases before the Illinois AppellateCourt. Selected by State’s Attorney Richard Devine to participate in the West Side “CommunityProsecutions” pilot program focused on reducing recurring crime.Negotiated misdemeanor cases with defense attorneys, presented plea agreements requestingfavorable consideration, and recommended defendants’ bond amount for thousands of cases.Featured in multiple newspaper articles including Chicago Sun-Times “30 Under 30."

National Hispanic Prosecutors Association, Regional President (2001-2002)

LAW CLERK (04/97 to 09/98)Hon. Thomas Fitzgerald Presiding Judge, Criminal Division (former Chief Justice of Ill.Supreme Court) Drafted legal memoranda for over 40 judges relating to procedural and substantive rules and

laws.

EDUCATION CHICAGO-KENT COLLEGE OF LAW, Juris Doctor(05/98)

Chicago-Kent Trial Advocacy Team: won multiple national competition awardsCALI Academic Achievement Award for Intensive Trial Advocacy, Highest Grade

Chicago-Kent’s National Trial Advocacy Team, Coach (1998-2002)

DEPAUL UNIVERSITY, Bachelor of Arts: Sociology, Minor: Business Administration(06/95)

INTERESTS Cabrini Green Legal Aid, Board Member (2007 - 2011)Chicago Bar Foundation Pro Bono Week Committee, Member (2007-2008)Boys & Girls Club of Chicago (General Wood - Pilsen), Mentor (2005-2007)Greater Chicago Food Depository, Volunteer (2005-2007)University of Chicago Comer Children’s Hospital, Baby Cuddler/Play Room (2005-2007)

[Type text]

SKIP SHEIN, ME, MEM Program Manager

Skip is responsible for preparation and implementation of subcontracts, selection and purchasing of equipment, scheduling of work, approval of subcontractors. Experience in managing all aspects of performance contracting construction projects.

Relevant Projects:

New Trier High School Phase-1,2

Skip developed general scope for all energy conservation measures including conversion of radiant heating system to very large scale VAV systems. Systems included custom designed RTUs and air distribution systems plus fully integrated DDC controls. Dolton Aluminum Skip provided complete project management of a natural gas peak electrical power load generation system. Activities included design validation, installation management, system validation and project turnover. Brookfield LaGrange SD95, $2.2M Skip developed the energy conservation measures including window replacement, boiler replacement and new DDC controls. Large spaces were upgraded for demand ventilation control strategies in order to maximize potential energy savings. Oak Lawn SD123, $1.1M Skip provided complete project management activities related to lighting upgrades and pavement replacement. Skip also worked with the development engineers to design and then implement a compete HVAC retro-commissioning across 6 buildings. Chicago Park District, $12.5M Skip was instrumental in both the design and project management of this multi-phase project. Beginning in 2010, HVAC upgrades at 10 large park facilities was designed and then implemented. Skip was instrumental in creating a district wide WAN based DDC system based upon a Tridium controller located in each building. Phase 3 included the complete replacement of the McFetridge Sports center ice rink. Skip was also the project manager overseeing all aspects on site and construction work. Village of Buffalo Grove, $4.0M A two part project, renovating the Villages street lighting from HPS top LED lights, and replacing the Village’s water meters to infrastructure. Skip was project manager overseeing the conversion of the Village of Buffalo Groves street lights. Northwestern University, Evanston, $3.5M Skip provided project management activities related to upgrading the campus

Education:

BS- Mechanical Engineering, Illinois Institute of Technology

MEM – Master, Engineering Management, Northwestern University

Employment History:

Siemens Industry: 15 yrs

Johnson Controls.: 5+ years

Certifications:

PMP – Project Management Professional

[Type text]

SKIP SHEIN, ME, MEM Program Manager

controls and converting their lab facilities to state of the art controls.

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Dimitrios Andrikos

Head of Sales Operations

I am the Head of Bid and Project Management at Siemens Industry Inc., USA, for the Intelligent Traffic Systems (ITS) business. We are an integrated solution provider for Traffic Services, Energy Services, Advanced Traffic Management and Connected Vehicle. I am in charge of the Bid and Proposal Team, the Sales Applications Engineering Team, Distributor Management, Business Development and Marketing and Communication activities. I am also heading the ITS Advanced Software Solutions Sales team, and I am an active member of the Siemens Urban Development Task Force. In my capacity I have been instrumental in driving positive change and the overall turnaround of the ITS US business over the past two years. Some of my key achievements during this time:

Development and implementation of a uniform sales- and bid approval process Development and implementation of a uniform pricelist for HW, SW and Services Development and implementation of Sales KPI and Order Won/Loss reporting and analysis Sales lead for key project wins such as Seattle Concert and Seattle Scoot

Employment History 1996 – Present with Siemens 2016 – Present, Director of Bid and Project Management, ITS USA

For Mobility ITS in Austin. Responsible for overseeing all activities for ITS Project Managers, and Bid Managers. Also responsible for managing all ITS USA projects staff (PM, technical staff, support staff) for projects currently underway. in charge of the Bid and Proposal Team, the Sales Applications Engineering Team, Distributor Management, Business Development and Marketing and Communication activities. I am also heading the ITS Advanced Software Solutions Sales team.

2014 – 2016, Head of Sales Operations, ITS USA

For Mobility ITS in Austin. Managing nine direct reports and in charge of the bid and proposal team, the technical sales team, product sales, the distributor network, business development and strategic projects and marketing and communication activities. Additionally Head of Advanced Software Solutions Sales, focusing on Advanced Traffic Management and Connected Vehicle technologies.

2012 – 2014, Senior Manager, Market and Competitor Intelligence, Germany Responsible for 2 out of 3 of the main strategic planning processes within Siemens: Managing the Business Target Agreement- (BTA) and Strategic Review (SR) process for the whole IC MOL Division. Moreover responsible for market and competitor analysis and conducting benchmarking projects within the division.

2009 – 2011, Regional Sales/Business Manager. Germany Responsible for business development and -planning. Defining and implementing country specific strategies as well as market entry- and/or exit strategies, concluding business target agreements with the regional representatives, budget planning and controlling, supporting

Dimitrios Andrikos

Introduction

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Dimitrios Andrikos

Resume

and monitoring of sales and acquisition activities in the regions, performance dialogues and project reviews with the regions.

2007 – 2009, Regional Commercial Business Manager, Germany

For Eastern Europe, Near Middle East, South Africa and Asia at Siemens AG, Intelligent Traffic Solutions Headquarters in Munich. With split profit and loss responsibility for the Urban business segment in regions and an annual business volume of about 80 Million Euro together with the Regional Business Managers. Supporting the implementation of country specific strategies as well as market entry- and/or exit strategies, concluding business target agreements with the regional representatives, budget planning and controlling, contract management, supporting and monitoring of sales and acquisition activities in the regions, performance dialogues and project reviews with the regions.

2003 – 2007, Commercial Project Manager, Germany

Urban Traffic Solutions Headquarters in Augsburg and Munich. With Commercial responsibility for some of the largest international traffic projects within the business segment Urban in countries such as Greece, Poland and U.A.E. E.g. Siemens Share in TMS Athens project: 18 Mio. EUR. Responsible for the Commercial Preparation of Bids mostly for international Public Tenders in the Urban Traffic Control and Management Area, conducting the Bid No Bid- and LoA Process and thorough commercial management of international Projects in the Area of Urban Traffic Control, claim management, controlling and reporting of project results.

Customer Projects - Highlights with key contribution

THEA/USDOT Connected Vehicle Project 2016 Seattle Concert Project 2016 ATMS-TTSS Krakow, Poland 2006 ATMS, Dubai “Falcon” 2005 ATMS Athens, “Summer Olympics” 2004

Strategic Projects – Project Manager 09/2013 – 11/2013 Strategic benchmarking project for IC MOL RCM IT in Munich, Germany

Strategy and portfolio benchmarking project in the area of IT based intermodal solutions with focus on E-Ticketing and IMP. Project scope was to benchmark RCM IT’s portfolio and strategy in that area against selected benchmarking partners. Tasks within the project were to collect, evaluate and analyze existing as well as new information on benchmarking partners to provide a strategic overview on benchmarking partners with focus on success factors and USPs in regards to their portfolio.

07/2012 – 09/2012 Strategic growth initiative project for IC MOL RCM ITS in Novato, CA., USA

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Dimitrios Andrikos

Resume

Go to market and growth initiative project for Republic ITS (RITS). The scope was to design and develop an implementation plan for growing the RITS service business in the US, in line with the IC MOL growth initiative and turnaround USA program, and based on the already existing Geographic Expansion Plan for the ITS Service Business in the US.

Education September 1999 Diploma of Business Administration, University of Cooperative Education

in Mannheim, Germany Languages

German (native speaker)

English (fluent)

Spanish (advanced)

Greek (advanced)

Siemens Industry, Inc., Intelligent Traffic Systems

Summary Mr. Schuckel is the customer’s single point of contact for Siemens LED retrofit street lighting projects, ensuring the best possible outcome for our clients. Prior to becoming an Account Manager, Clint served as an Energy Engineer for approximately 25,000 LED streetlight conversions in nearly 30 Massachusetts municipalities since joining Siemens in 2012.

As an Energy Engineer, Clint provided technical support to these efforts by completing the design and energy analysis for outdoor lighting projects, securing the maximum available utility rebates on behalf of customers, facilitating the purchase of street lights from the local electric utility, and providing engineering assistance for traffic signal projects. As a former municipal official who for nearly a decade was responsible for the maintenance of thousands of street lights and traffic signals and led related energy efficiency efforts, Clint understands the many components of city and town infrastructure energy efficiency projects that result in favorable public reaction, significant financial cost and energy savings, and the successful completion of contracts on schedule and budget.

Education Bachelor of Science, Civil Engineering/Municipal Program, University of Michigan Master of Science, Civil Engineering/Transportation Program, Texas A&M University

Employment History 2012 - Present Siemens Industry, Inc.

2013-Present, Account Manager 2012-2013, Senior Project Engineer

Responsibilities include: Primary contact with customer Siemens interface for contractual and finance issues Assist with time schedules Assist with documentation

2003 -2012 Director of Transportation Division, City of Newton DPW, MA

2002 – 2003 Transportation Engineer, Howard/Stein-Hudson Associates

Clint Schuckel

Account Manager

2000 – 2002 Civil/Transportation Engineer, Vollmer Associates LLP

1997 – 2000 Project Engineer, Bellomo-McGee Inc

1996 – 1997 Research Assistant, Texas Transportation Institute Reference Projects City of Manchester Street Light Conversion

Role: Account Manager Project Details: Street light conversion and maintenance contract for 9,000 lights Completed: Active contract City of New Bedford Street Light Conversion Role: Account Manager

Project Details: Street light conversion and maintenance contract for 10,000 lights

Completed: Active contract

Cape Light Compact Street Light Retrofit

Role: Account Manager

Project Details: Streetlight retrofit for 8,100 lights for multiple cities

Completed: Active Contract

Certifications Professional Engineer (Massachusetts – Civil #45080) Professional Traffic Operations Engineer (ITE – #1036) Roadway Lighting Fundamentals and Analysis, LightFair Institute

IMSA Work Zone Safety, Traffic Signal Technician II Roadway Lighting I, Traffic Signal Inspector

Siemens Industry, Inc., Intelligent Traffic Systems

Summary Mr. O’Hearn has over 7 years in the roadway lighting industry, focusing on turnkey & energy efficiency projects on the national level. He has acted as a consultant for a joint venture between the U.S. Dept. of Energy & the National Renewable Energy Labs, as the industry expert in roadway lighting data collection. Since joining Siemens Mr. O’Hearn has been involved in numerous energy analysis projects and has added rich value and expertise to each opportunity he has been assigned.

Education Post-Bachelors Program, Accounting; University of Massachusetts Dartmouth Bachelor of Science, International Business; Massachusetts Maritime Academy

Employment History 2014 – Present Energy Engineer, Siemens Industry, Inc. Responsibilities include:

Utility analysis GIS data oversight Luminaire selection Energy calculations Utility bill adjustments Rebate calculations & applications Energy Assessments Investment Grade Audits Project Energy Management Guaranteed Energy Savings Analysis and Management

2014 – 2014 Program Manager, Lighting Solutions, ConserVision Energy

2012 – 2014 Sr. Project Manager, Phillips Lighting

2007 – 2012 Applications Engineer, Speclines

Reference Projects

City of Manchester Street Light Conversion

Role: Energy Engineer Project Details: Street light conversion and maintenance contract for 9,000 lights

Richard O’Hearn Jr., CEM

Senior Energy Engineer

Siemens Industry, Inc., Intelligent Traffic Systems

Completed: Active contract City of New Bedford Street Light Conversion Role: Energy Engineer

Project Details: Street light conversion and maintenance contract for 10,000 lights

Completed: Active contract

Cape Light Compact Street Light Retrofit

Role: Energy Engineer

Project Details: Streetlight retrofit for 8,100 lights for multiple cities

Completed: Active Contract

Other Experience Relevant to this Project AutoCAD, Lighting Design, Project Management, Facility Simulations

Certifications Certified Energy Manager (CEM), Association of Energy Engineers; 3/2013 AGi32: Emphasis on Roadway Lighting & Design, Lighting Analysis; 3/2010

Professional Associations Plymouth Energy Committee (Plymouth, MA), Committee Member; 6/2013 - Current

Siemens Industry, Inc., Intelligent Traffic Systems

Summary Mr. Spence has over 17 years of experience with Siemens in Technical and Commercial Project Management and Material Handling, Infrastructure, Traffic Solutions, and Energy Solution projects. He is experienced in Customer Service and Customer Relationships. Mr. Spence has managed installation teams ranging from 12 to 60 employees and is an expert in financial analysis and controls on customer projects.

Education Master of Science in Business, Accounting; University of Phoenix Bachelor of Science in Business, Accounting; University of Phoenix Associate’s Degree, Contract Management; George Washington University

Employment History 1997 – Present Siemens Industry, Inc. 2014-Present, Senior Commercial Project Manager & Technical Project Manager 2010-2014, Senior Project Manager 2007-2010, Commercial Project Manager 1997-2007, Project Manager Current responsibilities include:

Manage all aspects of the construction phase of projects Manage financial aspects, including timeline, deadlines, and financial obligations Manage project schedules Supervise and manage all third parties, including subcontractors and suppliers Supervise and manage all project team members as they relate to the current project Ensure projects are completed on time and in budget

Reference Projects

City of Manchester Street Light Conversion

Role: Commercial Project Manager and Technical Project Manager Project Details: Street light conversion and maintenance contract for 9,000 lights Completed: Active contract City of New Bedford Street Light Conversion Role: Commercial Project Manager

Project Details: Street light conversion and maintenance contract for 10,000 lights

David Spence

Senior Commercial Project Manager & Technical Project Manager

Siemens Industry, Inc., Intelligent Traffic Systems

Completed: Active contract

Cape Light Compact Street Light Retrofit

Role: Commercial Project Manager

Project Details: Streetlight retrofit for 8,100 lights for multiple cities

Completed: Active Contract

Other Experience Relevant to this Project Electrician and Electronic Controls Technician, US Navy trained Certified Classroom Instructor, US Navy trained MS Project, MS Office, SAP Certifications Project Management Professional, Project Management Institute; May, 2006 PM3@Siemens, Siemens Project Management Excellence, September 2007 Certified Manager, Institute of Certified Professional Managers; October 2013

Siemens Industry, Inc. Intelligent Traffic Systems

Goutham Lingannagari Senior Project Manager Mr. Lingannagari is the Head of ITS Project Management, and our Senior Project Manager. He has 15 years of progressively responsible experience in leading large technical teams, managing complex projects, engineering traffic and transportation infrastructure projects and technical sales. Currently his responsibilities include supervision of project management staff, lead project manager for large or complex projects, management of client deliverables, budget management, client interface, lead for client updates and meetings, manage project timelines, create project data files and detailed project implementation, schedule and deliverables.

Project Experience Tampa-Hillsborough Expressway Authority Connected Vehicle Project Mr. Lingannagari is the Project Manager for this project, working closely with Siemens employee, Dave Miller, who is the concept developer. In 2016, the THEA-Siemens team was awarded the USDOT Connected Vehicle grant. During Phase 1, we developed a Concept of Operations and in Phase 2 we are actively implementing the solution. Designed to promote vehicle to infrastructure interfacing to provide a safer and less congested motoring experience, along with key features targeting pedestrian safety, Siemens is implementing technology that is innovative and stepping into brand new arenas, however Siemens has been developing and testing portions of this solution for the last ten years.

Seattle Center of Excellence Project– Seattle, Washington Mr. Lingannagari has managed and directed the Seattle project for several years and has been a critical customer interface, as well as the project manager. In 2015, Seattle was named a Siemens Center of Excellence. With upgrades and updates to all of their ITS systems over the last three years, all of these individual projects, were gathered into the COE overall project. The Seattle Concert system interfaces to the WSDOT freeway system using a web services interface to acquire freeway and ramp detector data. This data is used to trigger response plans to coordination adjust arterial timing plans based on freeway congestion and ramp queue length. In addition, an interface to an Acyclica Bluetooth/Wifi travel time system was developed.

SCDOT Concert Project – Columbia, South Carolina Mr. Lingannagari started on the SCDOT project as the Deputy PM and software engineer, but assumed the Project Manager role three years ago. The Concert solution is a centralized traffic management control system- collecting data and controlling- cameras, signs, input and management of data from incidents (maintenance, accidents, break-downs, construction). It also pushes approved information to a public site as well. The system is also used for emergency management in case of a needed evacuation. The system was first installed in 2009, and last year was upgraded to the current version of Concert. The SCDOT Concert ATMS supports six TMCs across the state.

Education MBA, Business, University of Texas, Austin, 2016

MS, Civil & Environmental Engineering, Arizona State University, Tempe, 2003

BS, Civil Engineering, Osmania University, Hyderbad, India, 2001

Registrations Project Management Professional (PMP), #1399319, 2011

Professional Traffic Operations Engineer (PTOE), #2844, 2010

Years of Experience 15 Core Competencies Project Management Planning and Development Managing large and complex projects

Communication Client interaction

Affiliations Institute of Transportation Engineers (ITE), TexITE, Capital ITE

Project Management Institute (PMI), Austin PMI Chapter

Siemens Industry, Inc. Intelligent Traffic Systems | 1

Nagendra Tripathi Deputy Project Manager Mr. Tripathi is an invaluable member of the Siemens team. With roles in project management, software engineering, software lead, and scrum master, he is deeply involved in our products and is a critical piece of our project management team. Mr. Tripathi has been a dedicated Siemens team member for 17 years, showing outstanding leadership skills. His current responsibilities include leading client meetings, creating detailed project implementation schedules and deliverables, supervision of field and office staff involved in projects, budget management, and client satisfaction. Mr. Tripathi is also a published author, with many industry leading papers in publication.

Project Experience Tampa-Hillsborough Expressway Authority (THEA) Connected Vehicle Project – Tampa, Florida Mr. Tripathi is the Deputy PM for this project. In 2016, the THEA-Siemens team was awarded the USDOT Connected Vehicle grant. During Phase 1, we developed a Concept of Operations and in Phase 2 we are actively implementing the solution. Designed to promote vehicle to infrastructure interfacing to provide a safer and less congested motoring experience, along with key features targeting pedestrian safety, Siemens is implementing technology that is innovative and stepping into brand new arenas.

Seattle Center of Excellence Project– Seattle, Washington Mr. Tripathi worked on the Seattle project as an application and system engineer and most recently as deputy PM. In 2015, Seattle was named a Siemens Center of Excellence. With upgrades and updates to all of their ITS systems over the last three years, all of these individual projects, were gathered into the COE overall project. The Seattle Concert system interfaces to the WSDOT freeway system using a web services interface to acquire freeway and ramp detector data. This data is used to trigger response plans to coordination adjust arterial timing plans based on freeway congestion and ramp queue length. In addition, an interface to an Acyclica Bluetooth/Wifi travel time system was developed.

SCDOT Concert Project – Columbia, South Carolina Mr. Tripathi has worked as an application engineer for the Concert portions of this project. The Concert solution is a centralized traffic management control system- collecting data and controlling- cameras, signs, input and management of data from incidents (maintenance, accidents, break-downs, construction). It also pushes approved information to a public site as well. The system is also used for emergency management in case of a needed evacuation. The system was first installed in 2009, and last year was upgraded to the current version of Concert. The SCDOT Concert ATMS supports six TMCs across the state, including the main TMC in Columbia and five remote TMCs from a single Concert system hosted in the SCDOT data center.

Education MBA, Business Administration, Kennesaw University, Kennesaw, 2016 MS, Computer Science, Southern Polytechnic State University, Marietta, 2006 BS, Computer Science, Jacksonville State University, Jacksonville, 2000

Registrations Project Management Professional (PMP) PMI-PMP #1533258, 2012

Years of Experience 15

Core Competencies Project Management Planning and Development Client interaction

Affiliations PMI, 2012

Siemens Industry, Inc. Intelligent Traffic Systems

Dave Miller Principal Systems Engineer: Advanced Systems

Mr. Miller has more than 36 years of experience in the management, design and development of critical control systems including intelligent traffic control, transit control, vehicle active safety, petrochemical process control, pipeline control and oil field production. Working for Siemens since 1999, Mr. Miller is a vital member of the Siemens Advanced Systems team, working on developing new products and innovative approaches for use of existing technologies, as well as implementation in more complex solutions. Mr. Miller serves on the ITE Connected Vehicle Task Force and is the USDOT Chair of the Joint Committee on Advanced Transportation Control.

Project Experience Tampa-Hillsborough Expressway Authority (THEA) Connected Vehicle Project – Tampa, Florida In 2016, the THEA-Siemens team was awarded the USDOT Connected Vehicle grant. During Phase 1, we developed a Concept of Operations and in Phase 2 we are actively implementing the solution. Designed to promote vehicle to infrastructure interfacing to provide a safer and less congested motoring experience, along with key features targeting pedestrian safety, Siemens is implementing technology that is innovative and stepping into brand new arenas. Mr. Miller is the Lead Engineer and Manager of this project, working with the USDOT, THEA, and other partners to develop and implement this project.

USDOT Connected Vehicle Safety Pilot Deployment in Ann Arbor, MI Siemens was involved in the 2012 USDOT Safety Pilot in Ann Arbor, MI consisting of Siemens central software and controllers communicating to 2,000 equipped vehicles, as well as interoperability demonstration with another controller manufacturer. Mr. Miller was a chief architect for this project, ensuring customer requirements were met and the pilot was successful.

Education Master of Science, Engineering,University of Texas, AustinGraduate Work, Electrical andComputer Engineering (Control Theory) University of IowaBachelor of Science in Electricaland Computer Engineering, University of Iowa

Years of Experience 36

Core Competencies Connected Vehicle SolutionsAdvanced technologiesDeveloping Concept of Operationswith clients

Affiliations Chair of the Joint Committee onAdvanced Transportation ControlMember of ITE ConnectedVehicle Task Force (SystemsEngineering and Policy)Member of Institute ofTransportation Engineers (ITE) Member of Society ofAutomotive Engineers (SAE) Member of International Councilon Systems Engineering (INCOSE) Chair of NE 3TS TransportationManagement Systems TechnicalCommittee

Siemens Industry, Inc. Intelligent Traffic Systems | 1

Mark Rogers Advanced Traffic Management Solutions Consultant

Mr. Rogers is the customer’s single point of contact for Siemens Advanced Solutions, ensuring the best possible outcome for our clients. Mr. Rogers began his career as a software developer and is familiar with all aspects of the software lifecycle as it pertains to the Capability and Maturity model. His primary work was in the design and development of real-time urban traffic management systems as well as freeway incident detection algorithms. Since employed with Siemens, he has represented our products and services advancing to the understanding and representation of our most complex and advanced lines. He has shown himself to be both knowledgeable and a staunch client advocate..

Project Experience Tampa-Hillsborough Expressway Authority (THEA) Connected Vehicle Project – Tampa, Florida In 2016, the THEA-Siemens team was awarded the USDOT Connected Vehicle grant. During Phase 1, we developed a Concept of Operations and in Phase 2 we are actively implementing the solution. Designed to promote vehicle to infrastructure interfacing to provide a safer and less congested motoring experience, along with key features targeting pedestrian safety, Siemens is implementing technology that is innovative and stepping into brand new arenas. Mr. Rogers is the Account Manager and has been a major part of the planning and client interaction of the project.

SCDOT Concert Project – Columbia, South Carolina Mr. Rogers has been the Account Manager for this project for several years and has been instrumental in determining the client needs. The Concert solution is a centralized traffic management control system- collecting data and controlling- cameras, signs, input and management of data from incidents (maintenance, accidents, break-downs, construction). It also pushes approved information to a public site as well. The system is also used for emergency management in case of a needed evacuation. The system was first installed in 2009, and last year was upgraded to the current version of Concert. The SCDOT Concert ATMS supports six TMCs across the state, including the main TMC in Columbia and five remote TMCs from a single Concert system hosted in the SCDOT data center.

Education BS, Computer Science, Universityof Georgia

Years of Experience 31

Core Competencies Account Management Contract ManagementClient interface

OUR TE AM // Staff biographies

Jim TermanP RE SI DE N T

Jim Terman is co-owner and President of Jasculca Terman Strategic Communications (JT). When Jim and his partner Rick Jasculca started JT in 1981, they made a critical decision to build the firm into a premier, full-service, turnkey public affairs firm – a niche then unheard of and largely unfilled in most of the Midwest. They concluded that the firm’s effectiveness would be enhanced by serving an eclectic mix of public affairs clients with diverse agendas. It has proven to be a winning formula for both JT and its clients.

Jim is actively involved in many of the firm’s public affairs projects, oversees its crisis communications assignments and directs JT’s corporate administration. He has three decades of experience in public affairs and public relations, serving as senior strategist on a variety of issues to a host of corporate and public sector clients, including issue advocacy in areas of health, education and the environment. Jim’s crisis communications work at JT has included numerous projects that focus on zoning and expansion-related issues, product liability, labor disputes, employee related negligence and litigation, as well as mergers, public accusations of hospitals and employee misconduct.

Prior to establishing JT, he served in the White House as associate counsel to Vice President Walter Mondale. During his tenure with the White House, Jim traveled throughout the United States and overseas, managing scheduling and logistics arrangements for the Vice President. He also served on the advance team for President Clinton’s visits to South Korea, Berlin and Moscow, as well as several U.S. cities. Previously, Jim served as counsel to U.S. Senator Adlai Stevenson III and was an attorney in private practice.

Jim was born and raised in the Chicago area, earned degrees from the University of Denver and IIT-Chicago Kent College of Law. He has served on the board of directors for the Chicagoland Chamber of Commerce, Chicago Convention and Tourism Bureau, Special Children’s Charities and Jewish Community Centers of Metropolitan Chicago, and is associated with several civic and professional organizations, including the Economic Club of Chicago, Metropolitan Planning Council and the City Club of Chicago.

In June 2014, Jim and his partner Rick Jasculca were honored with the Lifetime Achievement Award from the Publicity Club of Chicago.

OUR TE AM // Staff biographies

Dan ReganSENIOR VICE PRESIDENT

Dan provides strategic counsel and project management for a variety of clients. Since joining JT in 1992, Dan has played a key role in accounts ranging from retail, education, health care, energy, environment, transportation and public policy issues.

Dan has worked on a wide range of municipal initiatives and issues. He led a successful media relations campaign on behalf of several municipalities to defeat firefighter minimum manning legislation in Springfield. The campaign resulted in media stories in outlets throughout Illinois and favorable editorials from major daily newspapers across the state. He provided overall strategic counsel and direction for an outreach campaign with a local municipality relating to the expansion of Willow Road in the northern suburbs. This included message and materials development, community outreach, development of a website and coordination of community support for testimony at regular IDOT Community Advisory Group meetings. The highly controversial development, which had been the subject of community debate for over three decades, was approved by IDOT in spring 2012.

For the past two years, Dan has been the project manager for The Chicago Community Trust’s On the Tableinitiative, which resulted in 80,000 participants discussing community issues throughout Chicago and the suburbs in May 2014 and 2015.

He also continues to provide crisis communications support for a variety of clients including corporations, nonprofit organizations, school districts and municipal agencies. He has provided strategic counsel and support to a range of clients including Blue Cross Blue Shield of Illinois, CenterPoint Properties, the United Mitochondrial Disease Foundation, Northwestern University and the Teachers’ Retirement System of Illinois.

A lifelong Chicago-area resident and father of four, Dan received a bachelor of arts in communications from DePaul University in 1990.

OUR TE AM // Staff biographies

James ChaseAC C O U N TS D IR EC TO R James Chase joined Jasculca Terman Strategic Communications (JT) in 2008 after completing an eight-month internship at the firm and has since risen through the firm’s ranks from junior account assistant to accounts director. During this time, James has worked with a wide range of clients, gaining diverse experience in grassroots outreach, media relations, research and event management.

In May and June 2016, James was a member of the JT project team providing public affairs support to Uber in connection with a proposed ordinance before the Chicago City Council that would impose new regulations on ride-sharing companies. James oversaw the account staff tasked with materials development, including speaker remarks, fact sheets, flyers and signage, grassroots outreach, media monitoring and support for a series of press and community engagement events. The City Council ultimately passed a less restrictive compromise ordinance that was supported by the ride-share industry.

From June 2014 through early 2016, James and a team of senior JT staff assisted CenterPoint Properties in managing communications in response to efforts by the Village of Elwood to limit entrance points to the neighboring CenterPoint Intermodal Center, a trucking and rail logistics hub that has grown to become the largest inland port in North America. James attended numerous federal court hearings, Illinois Commerce Commission hearings and Illinois Department of Transportation public meetings to provide summaries and analysis to guide CenterPoint’s communications response. James also developed messaging and drafted media statements for distribution following key developments in the proceedings.

James works with the nonprofit Skills for Chicagoland’s Future (Skills) to promote its recruitment, placement and training services to Cook County job seekers, employers and potential funders. In this role, he assisted with the development and execution of a communications plan surrounding the organization’s launch in September 2012, including message development, media outreach, community engagement and advertising. He currently leads the team that provides agency-of-record communications support to the organization, generating consistent media coverage of Skills’ achievements and positioning the organization as a thought leader on workforce development issues.

James earned his bachelor’s degree in English with a minor in marketing from The College of William & Mary.

OUR TE AM // Staff biographies

Venita Griffin D I RE C TO R, D I GI TAL S TR ATE GI E S AN D E N GAG E ME N T

Venita joined the JT team in May 2015, bringing with her more than 10 years of corporate and nonprofit digital marketing experience. She leads JT’s digital department by staying on top of the ever-evolving mix of tools available in order to guide clients in determining the best digital tactics to amplify their message.

Venita has worked with several JT clients during times of crisis, using our social media listening software to stay on top of online conversations. She also advises on the how they can use their digital channels to preempt and stay ahead of a crisis.

Over the course of her career, Venita has conceptualized and managed a wide variety of digital projects – from site builds to social media campaigns, content development to mobile apps. Prior to joining JT, Venita worked as a consultant, managing digital projects for The Healthcare Information and Management Systems Society, a global, cause-based, not-for-profit organization focused on better health through information technology. She previously managed social media content and campaigns for American Airlines and a Warner Bros. television project. Venita’s work has been honored with awards from the Association of National Advertisers (Multicultural Excellence Awards), the Association of Women in Communications, the Communicator Awards and the Publicity Club of Chicago.

A New Orleans native, Venita now lives on the north side of Chicago. She received her B.A. in journalism and her M.S. in integrated marketing communications. She serves on the board of directors for The Red Pump Project and the Voices of the Formerly Incarcerated.

OUR TE AM // Staff biographies

Colleen MastonyD I RE C TO R OF ME DI A STR ATE GI E S

After nearly 20 years as a reporter for newspapers and magazines, Colleen Mastony brings a sophisticated understanding of today’s rapidly changing media marketplace. She understands how newsrooms work, how reporters think and the power of a story well-told. At JT, she helps our clients tell their unique stories in more effective ways. An admitted news junkie, Colleen thrives in fluid and fast-moving situations that require a deep understanding of policy issues and a nimble communications strategy. In a crisis, she knows how to anticipate reporters' questions, because for years she asked those questions herself. Her deft research, writing and communications skills have proved invaluable in honing messages, preparing executives for interviews, drafting talking points and successfully pitching reporters.

Since joining JT, Colleen has worked with a variety of clients including, Chicago Shakespeare Theater for its yearlong festival “Shakespeare 400 Chicago,” the Chicago-based arts nonprofit Project&, the National Council of State Boards of Nursing (NCSBN), Opportunity International, among others. Colleen has also helped in many crisis situations developing strategic messaging and providing media counsel for clients. Colleen’s work at JT is informed by the 13 years she spent as a reporter for the Chicago Tribune, where she handled assignments for every news desk, including foreign, national, metro and features. Prior to the Tribune, she worked at the Palm Beach Post in Florida and at Forbes magazine in New York City. She has reported from the Arctic Circle, Europe and Africa; her stories – which often explored policy issues in health, education, poverty and criminal justice – have been nominated three times for the Pulitzer Prize. A graduate of the University of Pennsylvania, she lives in Evanston with her husband, Douglas, who is a reporter for the Wall Street Journal.

OUR TE AM // Staff biographies

Lauren M. Foley V I CE P RES I DE N T, SP ECI AL P R OJ EC TS AN D V ID E O P R O DU C TI ON

Lauren joined Jasculca Terman Strategic Communications (JT) in June 2004 as an account executive. She returned to JT in 2006, after serving for one year as associate director of marketing communications at the University of Illinois at Chicago. At JT, Lauren, now vice president of special projects and video production, works on a wide variety of projects for both public and private sector clients, specifically in stage management and video production.

In 2013, Lauren served as the production liaison to City Hall/ field producer on the IDA nominated series, CHICAGOLAND, produced by Robert Redford and Laura Michalsychn of Sundance Productions and Marc Levin and Marc Benjamin of BrickCity TV.

Most recently, Lauren and her team have worked with the Chicago Community Trust to produce a series of videos in conjunction with the On the Table initiative. In addition, Lauren has produced videos for a wide range of clients including ADA 25 Chicago, IAMHP, DeVry University,Advantage Academy, the National Minority Supplier Diversity Council, the American Medical Association, the Illinois Holocaust Museum & Education Center, the Abraham Lincoln Bicentennial Commission and the Presidential Appointee Leadership Program.

Lauren served as stage and production manager for the 12th World Summit of Nobel Peace Laureates, held in Chicago April 23-25, 2012. In partnership with the Permanent Secretariat of the World Summit of Nobel Peace Laureates, the Robert F. Kennedy Center for Justice and Human Rights and The Chicago Community Trust Lauren and the JT team developed and implemented a comprehensive program of events for the Summit: a theatrical and compelling opening ceremony, six Davos-style panel sessions, two award ceremonies, two formal dinners, three lunches and several video messages.

Lauren graduated from Marquette University with a bachelor’s degree in broadcasting and electronic communications.

OUR TE AM // Staff biographies

Carly BradfordV I CE P RES I DE N T O F EV E N TS & I N TER N ATI O NAL AD V AN C E

Since joining Jasculca Terman Strategic Communications (JT) in September 2005, Carly has played a lead role in many events and international advance-related projects.

Since 2008, Carly has worked with Advocate Charitable Foundation to plan their annual gala fundraisers. She serves as the main point of contact between the hospitals and their respective event venues and vendors. She works closely with the event committee to develop a unique event that leaves a lasting impression with guests. She helps identify venues, develop creative themes and manages day-of logistics and the speaking program for both events. For the 2010 U.S.-Saudi Business Opportunities Forum in Chicago, Carly coordinated community outreach. This involved 10-plus outreach events throughout the City of Chicago, visiting locations such as elementary schools, universities and trading floors. Carly coordinated all transportation logistics for this program, as well as briefing and preparing the Saudi delegation. Carly also served as the project manager for the 2011 U.S.-Saudi Business Opportunities Forum held in Atlanta, GA.

In April 2009, Carly served as the overall project manager for the inaugural gala and grand opening of the Illinois Holocaust Museum & Education Center. She provided transportation and advance logistics services for special guests, including President Bill Clinton, General Colin Powell and Elie Wiesel. Carly worked with the Museum's education department on its inaugural academic symposium, coordinating symposium event logistics and domestic and international travel arrangements for all participating panelists. Prior to joining JT, Carly interned with Star Trax Corporate Events and Governor Jennifer Granholm (D-MI). She graduated from Michigan State University with a bachelor’s degree in social relations.

OUR TE AM // Staff biographies

Jordan TroyAC C O U N T EX EC U TIV E

Jordan joined Jasculca Terman Strategic Communications (JT) after completing an eight-month internship at the firm. She has experience conducting strategic research and grassroots outreach, assisting in event planning and management, and providing media relations for clients.

Jordan served as the assistant project manager for Social Media Week Chicago. She helped create the weeklong agenda, managed speaker outreach and coordination, assisted in audience development and oversaw the Advisory Board.

Jordan is a member of the project team for After School Matters, a nonprofit organization that provides Chicago teens innovative out-of-school activities to introduce them to rewarding careers and help them develop marketable job skills. Her work includes garnering coverage of the organization in Chicago print and broadcast media, as well as in community and ethnic publications.

She also contributes to work on a variety of clients including BP, Chicago Innovation Exchange, National Minority Supplier Development Council, One Million Degrees and Sinai Health Systems. Jordan also co-manages JT’s year-round internship program.

Jordan graduated from the University of Wisconsin-Madison with bachelors degrees in nonprofit management and political science. Prior to joining JT, she worked on several political campaigns, in addition to completing internships at two foundations in Madison, WI.

OUR TE AM // Staff biographies

Emily HanhartAC C O U N T EX EC U TIV E

Emily joined Jasculca Terman Strategic Communications (JT) in May 2016, bringing a strong background in media relations, digital strategy and event management.

At JT, Emily contributes to a variety of clients, including BP, Uber, The Chicago Community Trust, Skills for Chicagoland’s Future and the Economic Club of Chicago.

As a member of the project team for BP America, Emily provides ongoing support for government affairs, environmental and regulatory issues in Chicago and Northwest Indiana. She also works with BP to maximize the impact of the company’s community engagement and corporate social responsibility programs.

Emily currently helps coordinate BP’s government outreach and promotion to support the Student Conservation Association’s environmental and youth employment programming in Chicago and Indiana. SCA is currently expanding its presence in the region thanks to a two-year, $1 million BP grant. Emily also played a role in facilitating BP’s annual Statistical Review of World Energy held at the company’s Chicago office.

She also provides full-service communications support for Skills for Chicagoland’s Future to boost their local and national profile as an innovative nonprofit tackling unemployment and underemployment in the Chicagoland area.

Before joining JT, Emily served as the communications director at Nouveau Inc., a consulting firm in Dallas, Texas, where she managed events and media relations for clients in the energy and transportation industries. There, she was responsible for programming an expert panel discussion hosted at the U.S. Capitol Visitor’s Center that featured former U.S. ambassadors and foreign policy experts discussing the lack of energy connectivity among countries of the European Energy Union.

Emily graduated from Miami University with a dual bachelor’s degree in journalism and strategic communications.

John Milburn

Experience

2002 - Present Horizon Contractors, Inc. Project Manager, General Foreman, Foreman Supervise workforce and equipment to ensure proper completion of scope of work for outside electrical work including CDOT, OEMC, Chicago Park District, & Bureau of Electricity Job Order Contract and other projects. Types of work include street lighting, park lighting, underground repairs, cameras, and traffic corner upgrades. Ensure safety and maintain schedule. Work directly with general contractors and city departments for scheduling and logistics. Estimating and project management duties.

1990-2002 Pinner/Lyons Pinner Foreman, Journeyman, Helper

Operate equipment, high voltage work.

1987-1989 The Lockformer Co. Machinist

1983-1986 U.S. Army Cannon Crewman, Heavywheel mechanic

Education/Training

Local #9 IBEW Lineman Training

Runnion Mobile Crane Safety

PERSONNEL RESUME

1

JILL ISHII, CSTPROGRAM CONTROLS

Ms. Ishii is a project controls professional and a detail oriented individual who strives to produce results that precisely meet established goals and quality standards. She offers expertise in planning, scheduling, earned value analysis and applying measurement criteria to assess performance against goals. Ms. Ishii holds a Bachelor’s of Science in Civil Engineering from Illinois Institute of Technology.

Project Experience

Department of Water Management Capital Improvement ProgramCity of Chicago Department of Water Management, Chicago, Illinois

As a program controls specialist, Ms. Ishii is currently responsible formaintaining the Master Program Schedule by adding new projects including relationships, resources, activity codes, planned dates and location data. She is also responsible for maintaining a scheduling process and reviewing all data which integrates P6, GIS and MS Access. This reduces the time it takes the Department of Water to complete small repairs by scheduling crews using geographical proximity data to increase efficiency.

Ms. Ishii is also responsible for Program Reporting to Management both written and dashboard reporting. Detailed data mining and analysis is required to meet the needs of the Department and the Mayor’s Office.

Ms. Ishii updates and tracks actual construction dates and installed pipe through field status reports, and prepares Cost of Delay reports for construction subcontractors.

Asset Identification and Turnkey Industrial LabellingMarking Services Incorporated, Milwaukee, WI

As the project planner and scheduler, Ms. Ishii deployed a global P6 database and maintained all global enterprise data. Ms. Ishii was responsible for creating resource and cost loaded project schedules for a $5 million project portfolio. Ms. Ishii performed periodic site visits for quantities survey and understanding of schedule impacts. She updated progress and prepared KPI analysis of engineering and installation rates and the resulting effects on the schedule. Ms. Ishii implemented a new cost monitoring and control system and prepared weekly project cost and cash flow reports. Additionally, she provided capacity planning reports to manufacturing based on forecasted material quantities and the project installation schedule.

EDUCATIONBS Civil Engineering Illinois Institute of

Technology 2012

YEARS OF EXPERIENCETotal – 3 yearsWith ARCADIS – 1 year

PROFESSIONAL ASSOCIATIONSAACE Certified Scheduling Technician

SOFTWARE EXPERTISEPrimavera P6MS Access

PERSONNEL RESUME

1

MAUREEN MCNANEYVICE PRESIDENT, PROGRAM CONTROLS

Ms. McNaney is an accomplished program controls professional with experience developing and implementing fiscal management policy, strategic planning and information technology strategies. She offers expertise in program management, operating and capital budgeting and planning, providing financial analysis and developing and applying measurement criteria to assess performance against goals. Ms.McNaney holds a Masters of Business Administration with concentrations in Management of Information Systems and Finance from DePaul University.

Project Experience

Department of Water Management Capital Improvement ProgramCity of Chicago Department of Water Management, Chicago, Illinois

As Program Controls Manager, Ms. McNaney was responsible for the financial management of the $2.2 billion 5-year Capital Improvement Program at the City of Chicago Department of Water Management. She oversaw a team of 18 personnel and managed the creation and continuous improvement of the budget and cost control system, program controls system, scheduling process and the implementation of Orion Program Management Information System, a web-based document control system, which serves as a centralized location for all project documents. Additionally she oversaw the integration of GIS with P6, Banner CIS, InforEAM and the City Service Request System (CSR). She oversaw processing of all consultant and contractor invoices, notice to proceeds, and change orders; management of the geographical information system (GIS) for water and sewer infrastructure; and maintenance and improvement of the cost-tracking database. In addition she is familiar with the City of Chicago Financial System (FMPS) and the City of Chicago’s Capital Program Management System (CPM).

DC Sewer Program ManagementDistrict of Columbia

As the Regional Program Controls Manager, Ms. McNaney is currently responsible for the assessment and implementation of an integrated Program Management Information System for DC Water using the clients own enterprise tools which include: Contract Manager, Primavera 6, and ESRI Geographical Information System.

EDUCATIONMBA Finance and Management

Information Systems, DePaul University 2002

BA Business Administration St Mary’sUniversity 1987

YEARS OF EXPERIENCETotal – 28 yearsWith ARCADIS – 8 years

SOFTWARE EXPERTISEOrionProjectNet; CWCitadon Collaboration Workspace ParagonOracle ERPSQLPeopleSoftCUFSUnisys

PERSONNEL RESUME - Maureen McNaney

Project Experience Continued

2

Public Building Commission of ChicagoPublic Building Commission of Chicago, Illinois

As Senior Controls Manager, Ms. McNaney created a temporary billing system for project consultants and subconsultants while acting as a liaison between program staff and the client to establish best practice procedures for budget and cost control functions.

Chicago Transit Authority Capital Improvement ProgramChicago Transit Authority, Chicago, Illinois

Ms. McNaney was responsible for reporting on the $2.2 billion budget for the client’s Capital Improvement Program, including budgeting, analysis, assessment of financial results and interaction with project managers to insure on-time and within budget project delivery. She built effective relationships in a matrix management environment to ensure that legislative goals were met, participated in the development of, and provided analysis for, the rolling 5-year Capital Improvement Program. Additionally, she trained client staff on the Enterprise Resource Planning (ERP) system and project financial responsibility, performed major project financial and cash flow analysis of $922 million to ensure the availability of funds when required and cost savings/reporting process initiatives to ensure within budget results, and created program and project metrics for the client to assess the health of individual projects and the program as a whole. Ms. McNaney designed, implemented and continuously improved the Program Controls System for weekly, monthly and quarterly project reporting (integrated with ERP and Primavera Scheduling Software), design review tracking, change order tracking, contractor evaluation tracking, and invoicing to the client. She created, implemented and trained consultant and client staff on the Federal Transit Administration approved project reporting structure as well as created, designed and implemented a monthly report to summarize project status for the client’s Transit Board of Directors Meetings.

Northwestern University, Budget and PlanningNorthwestern University, Chicago, Illinois

Employed by Northwestern University, Ms. McNaney identified, recommended and implemented long-term resource planning and allocation issues to University leadership. She developed the first three-year strategic operating and capital budget plans; introduced block budgeting concepts to perpetuate the University’s Highest Order of Excellence Plan on an area level. Additionally, she identified and developed analytical approaches that expedited the budget planning process and analyzed results of investments made to units against University goals, Rubicon insurance premium rates, endowment funds, debt financing, and the legal office operations resulting recommendations and implementation of policy restructuring.

Chicago Transit Authority, Paratransit AdministrationChicago Transit Authority, Chicago, Illinois

Ms. McNaney coordinated monthly, quarterly and annual financial budgeting and reporting of the $27.7 million program and analyzed demand patterns to provide maximum service with limited funding to comply with the Americans with Disabilities Act. She developed and implemented mid and long-range information technology, internal audit strategies, and the Mobile Data Terminal Project to improve service and resource allocation. Ms. McNaney initiated and provided oversight of internal and external audits and investigations and developed and implemented new plans to ensure the proper use of federal funds. She ensured vendor contract compliance and service quality, and developed future contracts and agreements. Additionally, she developed policies and procedures for the administration of the special service initiatives based on community outreach programs and advisory council meetings.

8027 N. Lawndale Avenue S kokie, IL 60076 • main: 877.934.9873 • fax: 773.734.9874 • everlights.com

EverLights is a certified WBE/DBE/S BE company • Better Business Bureau A+ accredited

K elly G allag herE xperienc e

2006-present EverLights, Inc. S kokie, IL

P res ident and C E O C OO – C hief of Operations Manage the daily operations of the business. This includes setting quality standards, hiring and firing of all employees, creating job descriptions for each employee, assigning individual, team, and group goals, holding weekly operations and staff meetings, create all company policies, manage and handle bi-annual reviews of individual and team performance, create work flow, training on safety, recycling, installation, utility rebates, and products. Project Management – I lead all project activities and make decisions on which projects to bid on as supplier. My responsibilities include:

Review RFP and RFQ for possible bidding of workPrice fixed job costs. Do job material buy outs and negotiations.

C FO – I oversee the capital structure of EverLights, including developing our financial strategy, forecasting, and modeling for future growth. S ince 2006, I increased our service territory from servicing only C hicago and its surrounding suburbs, to successfully servicing clients in all 50 states, as well as C anada, Puerto Rico and S t. C roix. I also increased the scope of services performed and added product sales and installation to our targeted markets. C BDO – chief business developer for company. When I bought the company, the annual revenue of EverLights was $990,000 (2006). Under my leadership, I have grown annual revenues to $8,000,000 (2015) and projecting a business growth of 75% for 2016.

1995-2006 EverLights, Inc. C hicago, IL

Vic e P res identC OO – Manage the daily operations of the business. This included establishing vendor relationships, creating safety procedures and obtaining the necessary permits that pertained to our recycling services, and the hiring, firing, and training of all employees.Business Development – responsible for carving out the market for lamp recycling, which did not exist in 1995. To do this, I created a grass roots campaign, which included direct marketing to large companies and lobbying state and federal legislators. I successfully created the lamp recycling market in C hicago, as well as implemented three pieces of legislation that encouraged and/or mandated lamp recycling.

8027 N. Lawndale Avenue S kokie, IL 60076 • main: 877.934.9873 • fax: 773.734.9874 • everlights.com

EverLights is a certified WBE/DBE/S BE company • Better Business Bureau A+ accredited

Individual and C ompany Hig hlig hts : 2010 E ve rLights re ce ive s Illinois G ove rnors S usta ina bility Awa rd2010 Kelly G allagher named Entrepreneur of the Year by Enterprising Woman’s Magazine2010 EverLights was a finalist in the C ity of C hicago G reen Works2011 Kelly G allagher presents on energy efficient lighting and lamp disposal for BO MA and C ity O f C hicago, C enter for G reen Technology2012 EverLights recognized for outstanding contributions for the 2012 G reen Apple Day of S ervice2012 EverLights becomes and A+ member of Better Business Bureau2012 Kelly G allagher receives Waste Industry Rosy Award2012 Kelly G allagher completes G oldman S achs 10,000 small businesses program2012 Kelly G allagher member of BO MA Diversity C ommittee2013 Kelly G allagher member of BO MA Diversity C ommittee2013 EverLights moves to S kokie, Illinois 2013 EverLights adds additional truck to fleet of vehicles2013 EverLights web portal launched2014 EverLights member of S kokie C hamber of C ommerce2014 Kelly G allagher presents to BO MA members on energy efficient upgrades2014 EverLights named Illinois’ “2nd largest lighting distributor” by ComEd’s BILD energy efficient lighting program2014 EverLights becomes a small business trade ally for C omEd2014 Kelly G allagher trains with C omEd energy efficient lighting upgrade program2014 Kelly G allagher takes classes in lighting upgrades and installation with G E and TC P lighting2014 Kelly Gallagher takes a “Discover Lighting” course with IESNA. 2014 Kelly G allagher takes a lighting controls course with Lutron. 2014 Kelly Gallagher takes “Lighting and Installation” on-line course. In 2014, EverLights gains DBE status with PAC E. In 2015, EverLights signs contract with Wal-Mart to handle lamp recycling across the country. In 2015, Kelly G allagher accepted to the C ity of C hicago C AS E business development program. In 2015, EverLights named top BILD distributor for C omEd. In 2015, EverLights named GE’s top LED distributor in the Midwest.

8027 N. Lawndale Avenue S kokie, IL 60076 • main: 877.934.9873 • fax: 773.734.9874 • everlights.com

EverLights is a certified WBE/DBE/S BE company • Better Business Bureau A+ accredited

In 2015, EverLights is a supplier for several C ity of C hicago lighting projects, as well as IS HTHA and IDO T lighting projects.In 2016, implemented new ERP system, that provided automation for internal processes, quote tracking, and customer maintenance.In 2016, Kelly G allagher joins FWC .In 2016, hired company Vice President

In 2016, secured Northwestern as a client to handle all lighting needs. In 2016, EverLights invests in new ERP system. In 2016, EverLights supplies the lamps and fixtures for the C ook C ounty retrofit project.In 2016, first direct contract supplying pole and fixture lighting to IDO T.In 2016, developing new web site and on-line store for lighting and recycling.

Associations

BOMAChief EngineersAssociation of Lamp and Mercury RecyclersWBDCIllinois Road BuildersWoman in GreenForesight Business AllianceNAWBOIllinois Recycling AssociationIllinois Electrical Association Little Wheels Woman President Organization Goldman Sachs 10,000 Small Business Alumni Association Skokie Chamber of CommerceChicago Chamber of CommerceFWCCASE

ROGER J. MARTINEZ

EMPLOYMENT Quantum Crossings, LLC, Chicago, IllinoisPresident & CEO

March 2001 I deliver over 30 years of hands-on experience inTo Present telecommunications and related technology. Most recently, I have

personally managed all telecommunications services for the ChicagoPublic Schools, a 680-school network with more than 17,000 lines.

I have provided oversight telecommunication project management andtechnical wiring assistance to Exelon Corporation.

Prior to being President & CEO of Quantum Crossings LLC, I was VicePresident of Telecommunications at the Chicago Board of Trade (CBOT)– then the world’s largest Futures Exchange. During my 12 years atCBOT, I oversaw the planning, implementation, and operation of thecontinually evolving data and voice communications – key tomaintaining CBOT’s fast-paced business operations.

I was Director of Network Engineering for Continental Airlines’ familyof carriers prior to coming to Chicago at the Board of Trade. During thistime, I was responsible for systems engineering as well as hardware andsoftware development for a nationwide voice and data network thatrequired unparalleled 24-hour reliability.

Chicago Board of Trade Chicago, IllinoisJanuary 1989 Vice President, Information TechnologyTo 2001 Responsible for the planning, implementation, and operation of the wide

area data networks and voice communications. This includes budgetplanning and execution for $10M in revenues, $8M in operatingexpenses, and $10M in capital expenditures.

Created a business work plan to design and implement a worldwidedata network for the CBOT EUREX electronic exchange for 400locations. This gave me an in-depth view of products and servicesassociated with CISCO, Lucent, AT&T, MCI/Worldcom/Sprint,Level 3, IXNET, PSINet, TNS, Ameritech, Qwest, and others.Currently responsible for the management of 65 staff employees.Recently lead a team of consultants and staff in the issuance ofseveral requests for proposals seeking new and emerging technologysolutions for a wide area data network, an in-building data network,wireless communications, and a replacement PBX.Recently involved in 4 major projects acting as team lead and groupparticipant regarding the CBOT Electronic Exchange, Y2K planningand design, VBAND trading floor telecom system, VOIP Networkdesign and planned implementation.

Frequently communicate project and department goals and strategicplans with the Board of Directors, President, Chairman, andCommittees of the Exchange. A mutually trusting and competentrapport has now been established with the CBOT Executive Staffand the Board Members.Total financial responsibility for supporting a profitable department.Year 2000 Revenues are expected to be in excess of $10M.International coordination efforts and project planning this year withDeutsche Borse Systems in Germany led to a joint cooperationworkplan between CBOT Network Engineering and DTBEngineering.

August 1984 Continental Airlines (System One Corporation) Houston, TexasJanuary 1989 Director of Network Engineering

Responsible for providing system engineering and hardware/softwaredevelopment for a nationwide voice and data network for ContinentalAirlines, Eastern Airlines, New York Air, Frontier, and People Air.

Engineering Project leader for implementing a worldwide voice anddata network.Provide design and planning efforts for the associated networkbilling system and network control center for 24 x7 monitoring.Provide engineering for the airline reservation ACD, PBX, and X.25packet switched data network.

Senior Engineer, Data NetworksProvide engineering design, planning, cost analysis, vendor analysis,product selection, and project management for the SNA and ALCdata networks.Design a worldwide SNA/SDLC network for Continental AirlinesMaintenance Database.

June 1973 Southwestern Bell Telephone Company Houston, TexasAugust 1984 Manager Special Services Engineering – 1982 to 1984

Managed 5 Supervisors and 14 Clerks in implementing the DetailedContinuing Property Record (DCPR) material accounting managementsystem.Engineering Consultant - 1983Special assignment to ARAMCO in Saudi Arabia providing technicalconsulting of their Service Order, Billing, Trouble Reporting, and AssetInventory system. The results of my work provided ATTI with two moresix-month consulting contracts to ARAMCO.Manager Network Operations – 1980 to 1982Managed 8 supervisors and 76 technicians at the SWBT Houston #1 TollOffice and NASA Office.Manager/Engineer Various Disciplines – 1973 to 1980Over a seven year period, I had four different positions and wasresponsible for Special Service Circuit Design Engineers, Transmissionand T1 Equipment planning and installation, Data and Voice CircuitDesign, and PBX Engineering and planning.

EDUCATION Master of Management, Kellogg Graduate School 1994

Northwestern University Evanston, Illinois

Bachelor of Science Electrical Engineering 1973The University of Texas Austin, Texas

SKILLS Management Training – Performance Appraisal, Interviewing Skills,Executive Presentations, Management Effectiveness, Employee LaborRelations, Line Supervision, Outstanding Customer Service, Training.

Technical Training – Lucent Platform Infrastructure, CISCO PlatformInfrastructure, VOIP Networking, Frame Relay and ATM Networks,Network Fundamentals, LAN/WAN Internetworking, TCPIP Networksand Administration, Routing and Switching, Internetwork Protocols &Network Architecture, X.25 Packet Switching, T1 Networking andDesign, Voice Communication Design, Digital Switching Technology,CCS7 Signaling System 7 Technology.

PERSONAL Married. Two Children. Excellent Health. Interest in family activities,golf, snow skiing, and foreign travel.

Page | 166

Appendix A – Quality, Project, and Communications Plans

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Project -Chicago Street Lighting Retrofit-

Project Management Plan

DRAFTRetrRet

an an

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Name Department Date Manual signature

Enabled sgd.

Formal check sgd.

Content check sgd.

Prepared: sgd.

DRAFTTTT

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Document history

Version Ext. ID

Version Int. ID

Date Author Sections changed

Change

DRAFTTTTTFTFT

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Table of Contents 1 Introduction ................................................................................................................. 7

1.1 Purpose and Scope .................................................................................................... 7

1.2 Terms and Abbreviations ........................................................................................... 8

1.3 Documents and Tools ................................................................................................ 91.3.1 Additionally Applicable Documents ............................................................................... 91.3.2 Referenced Documents and Tools ............................................................................. 10

2 Project Information ................................................................................................... 12

2.1 Project Description ................................................................................................... 122.2 Project Profile ........................................................................................................... 12

2.3 Project Overview ............................................................ Error! Bookmark not defined.

2.4 Milestones ................................................................................................................. 12

2.5 Project targets .......................................................................................................... 122.5.1 Target Agreement ....................................................................................................... 132.5.2 Project Manager/Commercial Project Manager .......................................................... 132.5.3 Subproject Manager ................................................................................................... 13

2.6 Contract Structure .................................................................................................... 13

2.7 Contract ..................................................................................................................... 132.7.1 Customer Contract ..................................................................................................... 132.7.3 Vendor Contract ......................................................................................................... 13

2.8 Project Categorization .............................................................................................. 13

2.10 Delimitation / List of Supplies and Services ........................................................... 14

2.11 Distribution of Tasks ...................................................... Error! Bookmark not defined.

3 Project Organization ................................................................................................. 15

3.1 Project Organization ................................................................................................. 15

3.2 Project Roles and Responsibilities ......................................................................... 15

3.3 Signature Rules .............................................................. Error! Bookmark not defined.

3.4 Appointments and Discharges ................................................................................ 15

3.5 Deputy Arrangement ................................................................................................ 15

4 Project Management ................................................................................................. 16

4.1 Project planning and project start ........................................................................... 164.1.1 Kick-off meeting .......................................................................................................... 164.1.2 Project planning workshop .......................................................................................... 16

4.2 Time and Resource Management ............................................................................ 174.2.1 Time and Resource Planning ..................................................................................... 174.2.2 Progress Control / Reporting / Controlling .................................................................. 17

4.3 Risk and Opportunity Management......................................................................... 17

4.4 Contract Management .............................................................................................. 184.4.1 Change Order and Claim Management ...................................................................... 18

4.5 Work Breakdown Structure (WBS) .......................................................................... 19

DRAFT............

....................................

............................................................................................................................................

................. ........... Error! Bookmark not definekmark

...................................................................................................................

.........................................................................................................................................................................................................

ject Manager ......................................ager ....................................................................................

.......................................................................................................

.....................................................................................................................................................................................................................

.................................................................................................

gorization gorization......................................................

on / List of Supplies and Services ..on / List of Supplies and S

bution of Tasks .................................bution of Tasks ...........................

Project Organization ct Organization ........................................

Project Organization Project Organizat .................

Project Roles and ResponsibProject Roles and R

Signature Rules ..............ture Rules ...........44 Appointments and Dments and D

Deputy Arrangemrang

Project ManProject Man

Project pProject pck-ock-o

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4.6 Stakeholder Management ........................................................................................ 19

4.7 Requirements Management ..................................................................................... 19

4.8 Configuration Management ..................................................................................... 19

4.9 Change and Complaint Management ............................ Error! Bookmark not defined.

4.10 Documentation Management ................................................................................... 20

4.11 Interface Management .................................................... Error! Bookmark not defined.

4.12 Site Management ...................................................................................................... 20

4.13 Commercial Project Regulations ............................................................................. 20

4.14 Procurement ............................................................................................................. 204.15 Supplier Management .............................................................................................. 20

4.16 Delivery and Export Regulations ............................................................................. 21

4.17 Logistics Management ................................................... Error! Bookmark not defined.

4.18 Environment, Health and Safety Management ....................................................... 21

4.19 System Assurance Management (RAM und Safety Management) ........................ 21

5 Project Realization ................................................................................................... 22

5.1 System Management ...................................................... Error! Bookmark not defined.

5.2 Project-specific development ........................................ Error! Bookmark not defined.

5.3 Design and Engineering ........................................................................................... 22

5.4 System Test and Integration .................................................................................... 22

5.5 Installation and Commissioning .............................................................................. 22

5.6 Verification and Validation ....................................................................................... 225.7 Approval .......................................................................... Error! Bookmark not defined.

5.8 Acceptance ............................................................................................................... 23

5.9 Warranty Management ............................................................................................. 23

6 Quality Management ................................................................................................. 24

6.1 List of Relevant Standards ............................................ Error! Bookmark not defined.

6.2 QM Audit Program .................................................................................................... 24

6.3 List of Metrics to be applied in the Project ............................................................. 24

6.4 Continuous Improvement ........................................................................................ 256.4.1 Lessons Learned ........................................................................................................ 256.4.2 Project Closure Report ............................................................................................... 256.4.3 Customer Satisfaction Survey..................................................................................... 256.4.4 Reference Letter from Customer ................................................................................ 25

7 Communication ........................................................................................................ 26

7.1 Project Reviews ........................................................................................................ 26

7.2 (Core-)Team meetings .............................................................................................. 26

7.3 Meeting Plan and Documentation ........................................................................... 26

7.5 Reporting .................................................................................................................. 27

7.6 Regulations for Correspondence .................................. Error! Bookmark not defined.

DRAFT........

..........................

.......................................................................................................

..........................................................................................

.................. .......... Error! Bookmark not definemark n

ement ................................................ement ...............................................

AM AM und Safety Management) ...........und Safety Mana

............................................................................

.............................................. .......................................... Error! Bo

opment ........................................ ment ........................................ ErroE

eering ...............................................................................................

nd Integration .........................................................................

and Commissioning .........................and Commissioning ........

tion and Validation ............................tion and Validation ................roval ...................................................roval ................................................

Acceptance .......................................ptance .......................................

Warranty Management ...............Warranty Manage

Quality Management ality Management ........

List of Relevant StandaRelevant Standa

QM Audit Program .Pro

List of Metrics tetrics

Continuous ContinuousLessons LLessons LProject Project

stosto

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7.7 Escalation Process ................................................................................................... 28

7.8 Communication to third parties ............................................................................... 28

7.9 IT Management, Communication Tools .................................................................. 28

8 Resource management ............................................................................................ 29

8.1 Intellectual Property, Knowledge Transfer and Licenses ...................................... 298.1.1 Third-party Intellectual Property Rights in the Project ................................................. 298.1.2 Siemens Intellectual Property (IP) ................................ Error! Bookmark not defined.8.1.3 Confidentiality and ToT Rules ....................................... Error! Bookmark not defined.8.1.4 Open-source and Other Third-party Software Components ........................................ 29

8.2 Human Resources Processes ................................................................................. 298.2.1 Project Organization and Human Resources Management ........................................ 298.2.2 Certificates of Competence .......................................... Error! Bookmark not defined.8.2.3 Cross-border Staffing (Delegation) ............................... Error! Bookmark not defined.

8.3 Project Infrastructure and Office Organization ...................................................... 308.3.1 List of Addresses and Contacts of All Project Participants .......................................... 308.3.2 Office and User Software ............................................................................................ 30

8.4 Product & Solution Security .......................................... Error! Bookmark not defined.

9 Lists ...........................................................................................................................31

9.1 List of Figures ........................................................................................................... 31

9.2 List of Tables ............................................................................................................ 31

DRAFTookmookm

.............................

......................................ment .......ment .....................................

.... ... Error! Bookmark not defError! Bookm........ ........ Error! Bookmark not defineError! Bookmar

tion .....................................................tion ..........................................ct Participants .....................................ct Participants ..................................

..................................................................................................................

................................. ............................ Error! Bookmark E

......................................................................

.........................................................................................................

............................................................................................................

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1 Introduction

Responsibility

The responsibility for this document lies with the respective appointed Project Manager. This refers to creation as well as to updates. The Project Management Plan has to be updated as per PM200. Afterwards at least an annual review is to be made.

The responsibility for adequate communication lies also with the Project Manager.

Explanatory note: If the Project Manager is mentioned in this document, this comprises basi-cally this person as well as a formally appointed deputy as required.

1.1 Purpose and Scope The purpose of the Project Management Plan (PMP) is the description of the Chicago Street Lighting Retrofit project including its general conditions as well as to define organizational rules in the project.

This document applies to all Siemens personnel involved for the entire duration of the pro-ject. According to PM@Siemens the project starts with the PM080 and ends with PM700.

DRAFTManagMana

ment, this compriment, thred. red.

PMP) is the description of the ChicaMP) is the descriptioconditions as well as to define organs as well as

personnel involved for the entire dersonnel involved for the enhe project starts with the PM080 anect starts with the PM080 an

Project -Chicago Street Lighting Retrofit- State: Int. ID: A6Z00032830951 Version: J 8 Project Management Plan released Ext. ID: ---, Version: --- of DCC: EBD 31 © Siemens AG, 2016 All rights reserved Restricted

1.2 Terms and Abbreviations The following terms and abbreviations are used in this document:

Abbreviation Description

BU Business Unit

CE CE marking

Cenelec European Committee for Electrotechnical Standardization

CPM Commercial Project Manager

DIV Division

DPW Dynamic Process World

ECC Export Control and Customs

EPIQ Enhanced Project- and Integrated Quality Management (Tool)

IP Intellectual Property

LoA Limits of Authority

LoR List of Responsibilities

MO Mobility (Division)

MO MM Mobility Management (Business Unit)

PM Project Manager

PM@Siemens Project Management@Siemens

PM080 Project Milestone i.e. PM080

PMP The Project Management Plan

QM Quality Management / Quality Manager

QMiP Quality Manager in Project

RAMS Reliability, Availability, Maintainability and Safety

ToT Transfer of Technology

UL Underwriters Laboratories Inc.

WBS Work Breakdown Structure

WPC World Project Controller

Table 1 Terms and Abbreviations DRAFTdada

TTTTegrated Quality Management (Tool) egrated Quality Management (T

FTFTFTsibilities

AFTDivision)

AFty Management (Business Unit) Management (Business Unit) AFroject Manager anag AFProject Management@Siemens nagement@Siemens ARProject Milestone i.e. PM080 Project Milestone i.e.

RARThe Project Management Phe Project Manage

RARQuality Management / QQuality Management /RARQuality Manager in Quality Manager in RADRReliability, Avai

DRDRTransfer of Tr

DRDRUnderwUndeDRDRWBS WBS WoDRDRC C DDDDTerms anTerms an

Project -Chicago Street Lighting Retrofit- State: Int. ID: A6Z00032830951 Version: J 9 Project Management Plan released Ext. ID: ---, Version: --- of DCC: EBD 31 © Siemens AG, 2016 All rights reserved Restricted

1.3 Documents and Tools

1.3.1 Additionally Applicable Documents

Reference Document Document no. Version

/M2/ Requirements for project schedule A6Z00034760852 -

/M3/ Risk and Opportunity Management MO MM-13037 1.1

/M8/ PM@Siemens Guide PM-Guide 5.2

/M9/ Implementation of PM at Siemens in the Mobility Division worldwide

MO-7257 2.0

/M17/ EHS Regulations EHS in projects @Mobility

/M19/ Quality and Safety Policy MO MM A6Z00002747331 K

Table 2 Additionally applicable documents

DRAFTTTTTTTTTFTTFTFTPM-GuidePM-GuideFT FTAFTn the MO-7257MO-7257

AF AFTAFAFAFAFAF

RAARAARAARADRD

EHS Regulations EHS Regulati

DRDDRD9/ Quality and Safety Pol9/ Quality and SafetDDDDDD

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1.3.2 Referenced Documents and Tools

Reference Document Document no.

/R6/ Customer Contract

/R8/ Vendor Contract

/R10/ List of responsibility - LoR A6Z00034844016 (Template)A6Z00034844003(Template komplex)

/R11/ Project Organization Chart A6Z00032966778 (Template)

/R12/ Responsibility Matrix A6Z00032982536 (Template)

/R13/ Signature Rules A6Z00033356321 (Template)

/R17/ Work Breakdown Structure (WBS) A6Z00032921423 (Template)

/R18/ Project Time Schedule Sample Schedule(Various templates)

/R19/ Contract Schedule

/R20/ System Assurance Plan

/R21/ Risk and opportunity table A6Z00037912796 (Template)

/R22/ Change Order and Claim List (Give-and-Take List) A6Z00033380436 (Template)

/R25/ Requirements Management Plan A6Z00028865579 (Template)

/R26/ RM Status Report Realization Phase A6Z00032883959 (Template)

/R29/ Change and Complaint Management Plan A6Z00036978966 (Template)

/R30/ Project-Specific Document Management Plan A6Z00032340180 (Template)

/R31/ Abbreviations and Terms

DRAFTTTTTTFTFTFTA6Z0003484401616

FT (Tem (TeA6Z00034844003A6FT(Template kompl(FTFTA6Z0003296FAFTFTA6Z0003FAFFA6Z0AFAFFAFF

RARAreakdown Structure (WBS) reakdown Structur

RAect Time Schedule ect Time Schedule RAContract Schedule chedule

DRDSystem Assurance Plan System Assurance Pl

DRD21/ Risk and opportunity table 21/ Risk and opportunity tablDRDR22/ Change Order and ClaR22/ Change Order DRDDDDDDDquiquiD

Project -Chicago Street Lighting Retrofit- State: Int. ID: A6Z00032830951 Version: J 11 Project Management Plan released Ext. ID: ---, Version: --- of DCC: EBD 31 © Siemens AG, 2016 All rights reserved Restricted

Reference Document Document no.

/R33/ Site Management Plan

/R34/ Project Procurement Plan MO MM SCM (Template)

/R35/ Subcontractors Management Plan A6Z00033050846(Template)

/R36/ Logistic Management Plan A6Z00033449016(Template)

/R37/ EHS Plan Template

/R38/ System Architecture/System Concept

/R39/ User Requirement Specification A6Z00016204614 (Template)

/R41/ Test Plan

/R42/ Installation and Commissioning Plan

/R43/ Verification and Validation Plan A6Z00037749391

/R44/ Warranty Management Plan A6Z00032549053 (Template)

/R45/ Quality Management Plan A6Z00033079774 (Template) A6Z00033202554(Addendum external) A6Z00033202773(Addendum internal)

/R46/ Communication Management Plan, Contact list of project participants The list of project participants is part of communication management plan but usable separately.

A6Z00032550849(Template)

/R47/ External Reporting A6Z00032649707(Template)

/R54/ Assignment Customer Satisfaction A6Z00034361344 (Template)

/R55/ Questionnaire Customer Satisfaction A6Z00034361347 (Template)

/R56/ MoM Project Status meeting (core team) with LoP A6Z00035426257 (Template)

/R57/ Minutes of Meeting kick-off meeting

/R58/ Minutes of Meeting project planning workshop

Table 3 Referenced documents and tools

DRAFn A6Z0FAFT334334

Tmplate)mplate)

TemplateTempla

TT TTA6Z00016204614162046

FT (TemplaTFTFTFTFTFTFTFTA6Z00037749FAFTFTA6Z00032FAFFA6A6FAFF

nication Management Plan, nication Management Plan, act list of project participants act list of project part

he list of project participants is part of clist of project participants is part of cmanagement plan but usable separatement plan but usable separatRAExternal Reporting External Reporting

DRDDRDDRDDDDDDDD

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2 Project Information

2.1 Project Description Present a brief verbal description of the project and its special aspects.

Example for C projects:

The project task is the delivery of a signaling system for Line 12 of the South Antarctic Metro consist-ing of Sicas, TG MT and Vicos OC 100. Project start is on January 1, 2011 and the term of project will be 24 months until December 2012.

Special features: A cold-resistant version of the S 700 K point machine is required. Installation work can only take place in the winter months from June to August.

The project is funded by the International Tourist Board Antarctica. The operator will be London Un-derground. Certification based on British certification regulations.

A more comprehensive description is expected for A/B projects, including:

-Vision

-Customer introduction, customer data

-Project goal (customer perspective)

-Customer expectation

-Project history

-Project classification

-Project scope

- Strategic importance for customer and Siemens and other stakeholders

2.2 Project Profile The projects profile can be viewed in EPIQ Error! Reference source not found. (Project list

Project data).

2.3 Milestones The milestones according to PM@Siemens can be viewed in EPIQ Error! Reference source not found..

DRAFTh Antarctic Meh Antarc

1 and the term of pr1 and th

chine is required. Installation work chine is required. Instal

ntarctica. The operator will be London ntarctica. The operator will be Londonegulations. gulatio

r A/B projects, including: ojects, including

portance for customer and Siemens anor customer and Siemens an

.2 Project Profile .2 Project Profileprojects profile can be viewprojects profile can be v

ct data). ct data

Project -Chicago Street Lighting Retrofit- State: Int. ID: A6Z00032830951 Version: J 13 Project Management Plan released Ext. ID: ---, Version: --- of DCC: EBD 31 © Siemens AG, 2016 All rights reserved Restricted

2.4 Project targets The general project objectives as well as the personal goals derived from the core team members in relation to this project are documented in the Project Target Matrix Error! Ref-erence source not found..

2.4.1 Target Agreement

2.4.2 Project Manager/Commercial Project Manager The target agreement for the Project Manager is available under Error! Reference source not found..

2.4.3 Subproject Manager The target agreements for the Subproject Managers are available under Error! Reference source not found..

2.5 Contract Structure

2.6 Contract Will be add after contract award.

2.6.1 Customer Contract George Marquisos Managing Director The Chicago Infrastructure Trust 35 East Wacker Drive Suite 1450 Chicago, Illinois 60601

E-mail: smartlighting@chicagoinfrastructure.org

2.6.2 Vendor Contract Will be add after contract award.

DRAFTct Manager ct Managerunder under Error! Reference source ferenc

t Managers are available under t Managers are availab Err

t Structure t Structure

Contract Contract e add after contract award. e add after contract award.

Customer C Customerarquisos arquiso

ector ector rastrrastr

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2.7 Project Categorization The project is classified as a C-project.

2.8 Delimitation / List of Supplies and Services A list of supplies and services is part of the customer contract /R6/. This list can be found in section RFP Volume 1 Instructions to Proposers (ITP) Addendum #1.

st cast ca

Project -Chicago Street Lighting Retrofit- State: Int. ID: A6Z00032830951 Version: J 15 Project Management Plan released Ext. ID: ---, Version: --- of DCC: EBD 31 © Siemens AG, 2016 All rights reserved Restricted

3 Project Organization

3.1 Project Organization The current Project Organization Chart is available at /R11/.

3.2 Project Roles and Responsibilities The roles and responsibilities as they are set up in the project are available in the Responsi-bility Matrix at /R12/.

3.3 Appointments and Discharges Appointments and discharges follow the internal regulations according to the PM guideline /M9/.

Appointment PM: Error! Reference source not found.

Appointment CPM: Error! Reference source not found.

Appointment WPC: Error! Reference source not found.

3.4 Deputy Arrangement

Role Deputy role

PM CPM, System Manager

WPC CPM (onshore-/-offshore)

QMiP Line Manager

RM QMiP

… …

Table 4 Deputy Arrangement

DDRAFTes es t are available in the Responsare available in th

Discharges charges nternal regulations according to theons ac

r! Reference source not found.erence source not found.

Error! Reference source not founence source not foun

Error! Reference source not Error! Reference so

Deputy Arrangement puty Arrangement

DRDRMM DRPC PC DDDD

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4 Project Management

4.1 Project planning and project start

4.1.1 Kick-off meeting The Minutes of meeting of the kick-off-meeting can be found here /R57/.

4.1.2 Project planning workshop

Minutes of meeting and results of the project planning workshop

Topics/Tasks References

Common contract reading Contract analysis

Determination of the project organization Project Organization Chart /R11/

Definition of project targets Projecttargetmatrix Error! Reference source not found.

Determination of responsibilities Responsibility Matrix /R12/

Risk- and Opportunity Management R/O-Table (updated) /R21/

Stakeholder Management Stakeholder Portfolio Error! Reference source not found. (updated) & Stake-holder List Error! Reference source not found.

Definition of the work packages Work Breakdown Structure (WBS) /R17/

Scheduling Project time schedule /R18/ incl. mile-stones and obligations to cooperate

Change Order and Claim Management Change Order und Claim List (Give & Take List) /R22/ Change Order & Claim Strategy Error! Reference source not found.

Further topics if necessary, e.g. communication rules, project overview, project definition etc.

Minutes of Meeting /R58/

Table 5 Minutes of meeting and results of the project planning workshop

DRhange Order and Claim Managemenhange Order and Claim ManDRAFTR57/. R57/.

planning workshop lanning workshop

AAAAFTrences FTFTA

Contract analysis analysis

AAAFAProject Organization Chart /Project Organization

AAAFAProjecttargetmatrix Projecttargetmatrix ErroErrosource not found.rce not founAAAF

RAes Responsibility MaResponsibility Ma

RARARARAnagement nagement R/O-Table (uR/

RARARARAment ment StakeholStasourcsourholdholdfofoRARARARA

of the work packages of the work packages

DRuling uling

DRDRif necessaif necessa

erviewerviewD

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4.2 Time and Resource Management

4.2.1 Time and Resource Planning Timeline planning and controls in the project are summarized in a single internal schedule that contains all necessary activities as well as contractual and content-related deadlines and milestones. This schedule also contains our internal deadlines and milestones according to PM@Siemens.

The structure used in the internal schedule exactly maps the Work Breakdown Structure, cf. Section 4.5, see also: /R17/. The minimum requirements for the quality of the schedule that shall be obtained are described in /M2/.

The internal project time schedule can be found at /R18/.

The Assist PMs will use own subschedules which are more detailed than the overall sched-ule. These subschedules must correspond to the overall schedule using interface milestones. This is the responsibility of the Subproject Manager. The shedules showing in detail which Atlas page will be in conversion state and how long.

Scheduling may include resource planning. However, resource planning can also be done separately. In this case, the Project Manager is responsible for the alignment of both plans.

4.2.2 Progress Control / Reporting / Controlling Status requests, schedule updates and non-compliance analysis for current planning is done on a monthly basis, in critical phases more frequently as considered necessary by the Pro-ject Manager.

The responsibility for progress control, reporting and controlling lies with the project sched-uler, please refer to the Project Organization Chart /R11/.

4.3 Risk and Opportunity Management The management of risks and opportunities is ruled by the PM@Siemens guide /M8/ and the work instruction for risk and opportunity management /M3/.

Objectives:

detect and evaluate risks and opportunities as early as possible

analyze and rate risks and opportunities in detail

define and control a strategy to manage risks and opportunities

limit the number and magnitude of occurring NCCs

DRAFTonesones

k Breakdown Structk Breakde quality of the schedule te quality of the

8/. 8/.

re more detailed than the overall sre more detailed than the overall se overall schedule using interface moverall schedule u

anager. The shedules showing in dThe shedulehow long.

nning. However, resource planningning. However, resource planct Manager isager responsible for the al responsible for the al

ss ss Control / Reporting / CoControl / Reporthedule updates and non-complianchedule updates and non-complia

sis, in critical phases more frequents, in critical phases more frequent

onsibility for progress control, repoonsibility for progress coplease refer to the Project Organizaplease refer to the Project Org

Risk and ORisk andement of riskement of risk

for ris for ris

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Roles and responsibilities:

The overall responsibility lies with the Project Manager. Please refer to the Project Organiza-tion Chart /R11/. The individual risk owners, as well as the core team and where necessary additional specialists shall provide support in this.

The responsibility to control the management of risks and opportunities lies with the business manager.

Reporting CREs in IMAPP, where applicable, is the responsibility of the Commercial Project Manager.

Reporting tools used in this project:

The project keeps the complete list of risks and opportunities in the R&O table /R21/. Pro-jects with a reporting obligation in IMAPP use IMAPP to report risks and opportunities as well.

Interval of the risks and opportunity management activities:

Every new risk or opportunity triggers an update of the R&O table /R21/. A systematic review and update shall occur each time the concurrent costing is updated (monthly/quarterly de-pending on project category). A risk workshop shall be held quarterly. All reviews are record-ed in a MoM.

4.4 Contract Management The general requirements for Contract Management are stipulated in/M9/.

The responsibility for contract management is defined within the context of the project organ-ization /R11/ and the description of roles and responsibilities /R12/.

4.4.1 Change Order and Claim Management The project-specific detailed change order and claim strategy can be found in Error! Refer-ence source not found.. Single events that are related to financial regulation and clarifica-tion are documented in the mandatory Change Order and Claim List (Give-and-Take List) /R22/ (and in case a Contract Manager was assigned to the project by Legal in CLAMATO). The MIKA provides all issues that are covered in the scope of the contract.

Access to the contract, Change Order and Claim List (Give-and-Take List) and Change Or-der and Claim Strategy for all team members is ensured by the Document Manager.

The responsibility for these subjects is defined within the context of the project organization /R11/ and the description of roles and responsibilities /R12/.

DRAFThe Commerche Com

tunities in the R&O table /R21/. Protunities in the R&O table /R21/. PPP to report risks and opportunitiesPP to report risks and opportunities

nagement activities: nagement activities:

ers an update ofn update of the R&O table /R2 the R&O table /R2ffe the concurrent costing is updatedcurrent costing is updated

. A risk workshop shall be held quaA risk workshop shall be held qua

Contract Management ntract Management eral requirements for Contract Manaral requirements for Co

responsibility for contract managemresponsibility for contract managation /R11/ and the description of roation /R11/ and the description of ro

Change Change OOecific deecific de

fofo

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4.5 Work Breakdown Structure (WBS) The WBS of the project is available at /R17/.

4.6 Stakeholder Management A systematic stakeholder management provides a deep understanding of targets, power and interests of all parties involved into the project as well as the social environment.

A stakeholder in general is every person, group or organization with a certain interest in the well-being or not well-being of the project and its results.

The stakeholder portfolio Error! Reference source not found. is used to identify the project stakeholders and analyze their attitudes towards the project as well as their possible influ-ences on it.

The stakeholder list Error! Reference source not found. lists the stakeholders, describes their positions and influences and most importantly records the stipulated actions and those responsible for dealing with them. Stipulated actions have to be monitored and their out-comes have to be documented.

The responsibility for the Stakeholder Management lies with the Project Manager.

4.7 Requirements Management The general requirements for the Requirements Management at MM are described in the RM Project Execution Process Manual Error! Reference source not found..

The project-specific application is described in the Requirements Management Plan /R25/.

The status of the requirements is monthly reported in predefined templates /R26/ and Error! Reference source not found..

The responsibility for the Requirements Management is documented in the Project Organiza-tion Chart /R11/.

4.8 Configuration Management The general requirements for the configuration management are described in the Configura-tion Management Guideline Error! Reference source not found..

The project-specific application is described in the Configuration Management Plan Error! Reference source not found..

The responsibility for the subject is assigned in the Project Organization Chart /R11/.

DRAFTtargtarg

vironment. vironm

th a certain interestth a certa

und.und. is used to identify the projecs used to identify oject as well as their possible influ-oject as well as their possible

ot found.t found lists the stakeholders, des the srtantly records the stipulated actionecords the st

ted actions have to be monitored anve to be

der Management lies with the Projeanagement lies with the Proje

uirements Management uirements Managemrements for the Requirements Manements for the Requirements Ma

ion Process Manual rocess Manual Error! ReferenError! Referen

ct-specific application is described it-specific application

tatus of the requirements is monthlytatus of the requirements is mference source not found.ference source not fou .

e responsibility for the Requiree responsibility for the Rehart /R11/. hart /R

onon

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4.9 Documentation Management Documentation management follows the guidelines for Document Management Error! Ref-erence source not found..

The project-specific application is described in the Documentation Management Plan /R30/.

The "list of documents" is the essential instrument to manage and control the project's docu-mentation, see Project Factory Error! Reference source not found..

The responsibility for the subject is assigned in the Project Organization Plan /R11/.

For a register of project relevant abbreviations and terms please refer to /R31/.

4.10 Site Management The Site Management Plan is listed under /R33/.

The responsibility for the subject is assigned in the Project Organization Plan /R11/.

4.11 Commercial Project Regulations The commercial project execution follows legal and business requirements. This is described in the Financial Reporting Guidelines Error! Reference source not found. and PoC-Accounting Guideline Error! Reference source not found. .

The subject is handled by the Commercial Project Manager.

4.12 Procurement The procurement of the project is handled via the Standard Procurement Guidelines and Processes Error! Reference source not found. and Error! Reference source not found..The Project Procurement Manager (or contact in procurement department) is specified in the Project Organization Chart /R11/.

The supplies and services to be sourced by procurement are specified in the project pro-curement plan /R34/.

4.13 Supplier Management Supplier management is broken down into two sub topics, supplier selection and commis-sioning on the one hand and the actual management of deliveries on the other hand.

DRAFTrol the prorol the

....

anization Plan /R11/. anization Plan

ease refer to /R31/. ease refer to /R31/.

/R33/.

signed in the Project Organization Pgned in the Project Organiz

rcial Project Regulationrcial Project Regulationct execution follows legal and businct execution follows legal an

porting Guidelines porting Guidelines Error! Referenceferedeline ne Error! Reference source noError! Reference source no

is handled by the Commercial Projby the Commercial Proj

.12 Procurement .12 Procurement ocurement of the projecocurement of the proj

ss Error! ReferencError! ReferenProcuremenProcuremen

ation ation

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The regulations for Supplier Selection and Commissioning can be found in Error! Reference source not found..

The Project Procurement Manager supports the supplier selection and commissioning. The responsibility for the management of (sub-) suppliers is specified the following:

Deliveries by insert supplier are processed by:

CPM for contractual and commercial topics

PM for technical content

PM for scheduling coordination

At PM650 at the latest, the PM assesses the suppliers selected by Supplier Management in the "Click 4 suppliers easy" tool. If necessary, the PM is assisted in this by the QMiP.

4.14 Delivery and Export Regulations The contractual provisions for the supply of hardware, software and documents shall be ob-served in the project. To ensure a timely feedback on deliveries accepted by the recipient a control loop has to be agreed upon between the project and the addresses of deliveries. Ex-isting agreements or regulations can be adopted.

Role responsible in the project for the organization of hardware deliveries is Assist PM.

Role responsible in the project for the organization of software deliveries is Technical Man-ager.

Role responsible in the project for the organization of document deliveries is Document Man-ager.

The Siemens-wide binding regulations for the use of Incoterms must be observed, see Error!Reference source not found..

4.15 Environment, Health and Safety Management The requirements regarding EHS are defined in the contract and in the Siemens specific pro-cesses and guidelines /M17/.

The responsibilities and activities regarding EHS management are set out in the project spe-cific EHS Plan /R37/.

The role of the EHSMiP is specified in the Project Organization Chart /R11/.

DRAFTby Supplier Managemeby Supplier ted in this by the QMiP. ed in this by the

egulations egulations ardware, software and documents e, software a

eedback on deliveries accepted by eliverieween the project and the addresseween the project and the a

n be adopted. adopted.

for the organization of hardware deanization of hardware d

ject for the organization of softwareject for the organization o

the project for the organization of dthe project for the organization o

s-wide binding regulations for the uding regulations for the uce source not found.ce source not found...

15 Environmen15 Environmrements regardingrements regardin

guidelines /Mguidelines /M

eses

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4.16 System Assurance Management (RAM und Safety Management)

The requirements on system assurance are defined in the contract section insert section.

The necessary activities and roles are described in the System Assurance Plan /R20/.

The responsibility for this topic is specified in the Project Organization Chart /R11/.

DRAFT

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5 Project Realization

5.1 Design and Engineering The design and engineering of the customer system follow the processes and engineering guidelines for each respective technical (sub-) system as specified in the processes of MM Error! Reference source not found..

5.2 System Test and Integration System integration targets the integration of individual work results on component/subsystem level to functional system elements and/or to a functioning overall system. The system inte-grator combines the hard- and software components according to system architecture and system specification and plans, coordinates and controls the execution of the tests through-out the project realization phase.

The system integration activities are described in the overall Test Plan /R41/ of the project.

The responsibility for these work packages is specified in the Project Organization Chart /R11/.

5.3 Installation and Commissioning Our obligations during the installation and commissioning period are described in the con-tract section insert section.

The Installation and Commissioning Plan is listed under /R42/.

The responsibility for the subject is assigned in the Project Organization Chart /R11/.

5.4 Verification and Validation The objective of verification is to examine the work results of a specific project phase and judge on the fulfillment of requirements with respect to completeness, correctness and con-sistency. Validation intents to demonstrate, by analysis and test, that the system meets its requirements, and is suitable for operation in accordance with its intended environment.

The activities to be undertaken in this project are described in the Verification and Validation Plan /R43/.

The responsibility for the subject is assigned in the Project Organization Chart /R11/.

DRAFTprocproc

work results on component/subsystwork results on component/subtioning overall system. The systemtioning overall system. The system

ents according to system architectunts according to syand controls the execution of the testrols the exec

escribed inscribed in the overall Test Plan /R the overall Test P

packages is es is specified in the Projectecified in the Project

stallation and Commissstallation and Commiss during the installation and commig the installation and commi

DRDRn nse on..

stallation and Commissioning Plan stallation and Commissioning

he responsibility for the subject is ashe responsibility for the subject is as

VerificaVerificaverifverif

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5.5 Acceptance The acceptance criteria are described in the contract insert section .Their fulfillment will be proven by Site Acceptance Tests. They are described in the Test Plan /R41/.

The responsibility for the acceptance by the customer lies with the responsible Project Man-ager.

5.6 Warranty Management Our obligations during the warranty period are described in the contract section insert sec-tion.

The procedures to be followed by the project during warranty phase are covered in the War-ranty Management Plan /R44/.

The responsibility for the subject is assigned in the Project Organization Chart /R11/.

DRAFTTTcontract section contract sectio

rranty phase are covered in the Warranty phase are covered in th

the Project Organization Chart /R11e Project Organiza

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6 Quality Management The quality management is designed to ensure that the contractual goals are attained. The responsibility lies primarily with the Project Manager but also with every project member. The QMiP has the role of a coordinator and quality controller.

Quality Management is performed according to the rules defined in the policy /M19/.

The Quality Management Plan for the project is available at /R45/.

6.1 QM Audit Program The MM-QM system is monitored according to the audit program of MM and meets the re-quirements according to ISO 9000. Additional required project specific audits need to be planned in the project.

6.2 List of Metrics to be applied in the Project With the context of quality management in the project, monthly metrics shall be created and controlled

Costs planned vs. Cost to Complete, monthly by Commercial Project Manager for the Project Manger

Milestones, planned vs. actual, monthly by scheduling, Subproject Managers or Project Manager

Requirements, progress and alignment of known vs. accepted vs. proved requirements, monthly by Requirement Manager for the Project Manager and QMiP

Submittals/documents, planned vs. actual documents that have been provided and acknowledged by the customer, monthly by Documentation Manager for Project Manag-er and QMiP

System faults, status and progress, monthly starting on completion of commissioning by Test Manager or Change/Complaint Manager for Project Manager, QMiP and Change Control Board.

Operational impacts (when the system is in testing, trial or operation, such as emergency brakes and delays), weekly by Test Manager, Site Manager or Warranty Manager for the Project Manager DRAFTrogram of MM and meets the re-rogram of MM and meets

project specific audits need to be project specific audits need to

o beo b applied in the Projed in thment in the project, monthly metricsin the project, monthly metric

to Complete, monthly by Commerco Complete, monthly by Commerc

ned vs. actual, monthly by schedulined vs. actual, monthly by sch

ents, progress and alignment of knprogress and alignment of kny by Requirement Manager by Requirement M for the

bmittals/documents, planned vs. acbmittals/documents, planneacknowledged by the customer, macknowledged by the customer, er and QMiP er a

System faults, status and prSystem faults, status anst Manager or Changest Manager or Chang

l Board. l Boar

al impaal impa

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6.3 Continuous Improvement

6.3.1 Lessons Learned Lessons Learned are observed throughout project execution, whenever applicable, a dedi-cated Lessons Learned event is performed after PM200 and PM650. The basis for Lessons Learned shall be e.g. audit findings, NCC, project experiences or similar. The Project Man-ager is responsible for the execution of the lessons learned event. He is supported by the QMiP for the facilitation and documentation of any Lessons Learned.

6.3.2 Project Closure Report A project closure report Error! Reference source not found. will be created before the clo-sure of PM670 by the Project Manager. The project closure report is designed to enable the organization to review the project processes and may be used to trigger improvements.

6.3.3 Customer Satisfaction Survey Triggering the analysis is the responsibility of the Project Manager. The customer satisfaction survey used to calculate the net promoter score (NPS) is conducted centrally by MM BD in cooperation with the Segments´ sales regions.

6.3.4 Reference Letter from Customer After customer acceptance the customer will be asked to provide a reference letter. This is the responsibility of the Project Manager.

DRAFTThe The

is supporteis suppd. d.

ot found.ot foun will be created before theore thct closure report is designed to enact closure report is

nd may be used to trigger improvemay be used to tr

faction Survey ction Survesponsibility of the Project Manager.y of the Project Manager.

net promoter score (NPS) is conduet promoter score (NPS) is conduments´ sales regions. ments´ sales regions.

Reference Lettference Letter from Custer from Custmer acceptance the customer will ber acceptance the

ponsibility of the Project Manager. onsibility of the Project M

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7 Communication The rules of communication are defined in the project-specific Communication Management Plan /R46/.

7.1 Project Reviews The frequency and contents of project reviews are defined in MO-7257 /M9/.

7.2 (Core-)Team meetings Team meetings must be carried out weekly. Minutes of meeting can be found here /R56/.

7.3 Meeting Plan and Documentation Official meetings are always recorded by minutes. Those minutes are written and distributed on the day of the meeting. Decisions and action items in the meetings are always recorded with responsibilities and due dates. Open points are to be recorded and tracked in the LoP of the project or in another appropriate way (e.g. in the Change Management Tool like ChampFX). Necessary clarifications are treated like action items as well. These rules apply within the project, but are enforced with external parties also.

Figure 1 Project Reviews

DRAFT7 /M9/. 7 /M9/

(Core-)Team meet(Core-)Team meam meetings must be carried out eam meetings must be carried out

MeetingMeetingareareDRAect Rev

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7.4 Internal Reporting Internal reporting follows the respective regulations. At the time of creation of this Project Management Plan, the following is required:

Commercial reporting as a quarterly report (source: IMAPP / EPIQ)

Project reporting via Project Status Report (PSR) (source: EPIQ)

7.5 External Reporting External reporting in this context is only understood to be the reporting about the project sta-tus. Tax reports are covered by the general commercial regulations; see Section 4.12 Com-mercial Project Regulations.

DRAFTeporting about the project eporting about tulations; see Section 4.12 Com-ulations; see Section

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7.6 Escalation Process Problems that cannot be handled by the project team or have/will have/might have a signifi-cant impact on the performance of the project (technical, commercial, contractual, quality etc.) shall be escalated as required in a step-by-step process. This applies to internal as well as to external topics. That means the organizational levels within the project or eventually within the line organization are addressed sequentially.

Exceptions are only permissible in the case of imminent danger or damage and in case that responsible persons at the respective organizational level are not immediately available. This will be decided on a per-case basis by the project management or their deputies.

7.7 Communication to third parties Statements of any kind to third parties (parties external to Siemens) about the contents or the situation of the project shall be coordinated in advance with the respective press of-fice/communication department. If project members are addressed or asked by third parties, they shall politely but firmly decline to make a statement. It is usually sufficient to refer to the confidentiality obligation as employees of Siemens AG and to ask the requesting person to contact the press office of Siemens AG.

This regulation does not only apply to third parties outside the project but also to requests from contractual partners, such as customers or consortium partners as well their other ven-dors and partners who are involved in the project.

7.8 IT Management, Communication Tools All project members are subject to the rules and requirements that apply to the use of IT equipment of the respective country organization. Any deviations thereof are only permissible in coordination with the project management and the line organization.

Special attention shall be paid in this context to information security. DRAFTge ange an

mediately avmediatetheir deputies. their de

arties artiesernal to Siemens) about the contenernal to Siemens) about the conten

dvance with the respective press oance with the respembers are addressed or asked byre address

ke a stke atement. It is usually sufficieIt is uss of Siemens AG and to ask the reqof Siemens AG and to ask t

s AG.

apply to third partid par es outside the pros outside the prosuch as customers uch as customers or consortium paor con

are involved in the project. are involved in the project.

IT Management, anagement, CommCommect members are subject to the ruleect members are subject to

pment of the respective country orgpment of the respective country coordination with the project manacoordination with the project mana

cial attention shall be paid incial attention shall be pa

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8 Resource management

8.1 Intellectual Property, Knowledge Transfer and Li-censes

8.1.1 Third-party Intellectual Property Rights in the Project See guideline: Usage of Open-source and Other Third-party Software Components at MO MM under Error! Reference source not found..

8.1.2 Open-source and Other Third-party Software Compo-nents

The role of the Software Manager according to the guideline Error! Reference source not found. is assumed by Technical Manager.

Mandatory output is a software delivery plan including Siemens, COTS and open source software. Software clearing shall be planned and executed according to the guideline Error!Reference source not found.. The license overview Error! Reference source not found.has to be handed over to the customer as per PM650.

8.2 Human Resources Processes

8.2.1 Project Organization and Human Resources Management At MO MM, the projects are integrated into the line and are provided with project employees from the specialist departments. At a disciplinary level, all project employees remain part of their respective organizational units. This means that also the personnel responsibility for the project employees remains in the line.

The project is set up as a self-contained organizational unit within MO MM. Core team mem-bers are assigned to the Project Manager at the organizational and disciplinary level. This means that the responsibility for human resources management lies with the Project Manag-er.

DRAFTs in the Projes in th

oftware Components at Moftware Compo

hird-party Software Comphird-party Software Comp

ing to the guideline ing to the guideline Error! ReferenErager. ger.

elivery plan plan including Siemens, COTuding Siemens, COTall be planned ed and executed accordand executed accor

nd.nd.. The license overview . The license overview Error! Ro the customer as per PM650. o the customer as per PM

Human Resources Prman Resources Pr

2.1 Project Organiza2.1 Project OrganizaMO MM, the projects are integMO MM, the projects are

e specialist departmene specialist departmective organizatioctive organizati

yees remyees rem

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8.3 Project Infrastructure and Office Organization

8.3.1 List of Addresses and Contacts of All Project Partici-pants

A list of all core team members and essential contacts with the customer and their consult-ants, if applicable, is listed under referenced documents /R12/.

8.3.2 Office and User Software In order to avoid problems during the exchange of documents and information, the following applications are mandatory in the project:

MS Office Version......... with

Word version.........

Excel version.........

Outlook version.........

MS Project version……..

Visio version…….

PowerPoint version…….

PDF version…….

……..

Other versions may be used provided that data are saved and transmitted in the standard formats of the versions mentioned above.

DRAFTents and information, the followingents and information, the

……. …….

s may be used provided that data abe used provided that data athe versions mentioned above. e versions mention

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9 Lists

9.1 List of Figures Figure 1 Project Reviews ........................................................................................................ 26

9.2 List of Tables Table 1 Terms and Abbreviations ........................................................................................... 8

Table 2 Additionally applicable documents ........................................................................... 9

Table 3 Referenced documents and tools ........................................................................... 11

Table 4 Deputy Arrangement ................................................................................................ 15

Table 5 Minutes of meeting and results of the project planning workshop ...................... 16

DRAFT..........................................................................................

..............................................................................................................

......................................................................................................................

...........................................................................................

of the project planning workshop ..roject plann

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Project: -Chicago Street Lighting Retrofit-

Communications-Management-Plan

DRAFTRetRe

nagement-Plannagement-Pla

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Contents1 Introduction ................................................................................................................. 4

1.1 Purpose ....................................................................................................................... 4

1.2 Scope ........................................................................................................................... 4

1.3 Terms and abbreviations ........................................................................................... 51.3.1 Abbreviations ................................................................................................................ 5

1.4 Documents and tools ................................................................................................. 51.4.1 Input documents ........................................................................................................... 51.4.2 Referenced documents and tools ................................................................................. 5

2 Tasks, Roles and Responsibilities ............................................................................ 7

3 Project Team Directory .............................................................................................. 8

4 Communication Channels and Rules ...................................................................... 10

4.1 Internal Reporting ..................................................................................................... 104.1.1 Quality Management .................................................................................................. 104.1.2 Change and Complaint Management ......................................................................... 104.1.3 Document Management ............................................................................................. 114.1.4 Requirements Management ....................................................................................... 11

4.2 External Reporting ................................................................................................... 11

4.3 Communication to third parties ............................................................................... 11

5 Communication Matrix ............................................................................................. 12

6 Project Meetings ....................................................................................................... 14

6.1 Project Language ..................................................................................................... 14

6.2 Invitation, Organization and Agenda ....................................................................... 14

6.3 (Core-)Team Meetings .............................................................................................. 15

6.4 Minutes of Meeting ................................................................................................... 15

6.5 List of Open Points (LoP) ......................................................................................... 16

6.6 Project Reviews ........................................................................................................ 16

7 Correspondence Rules ............................................................................................ 18

7.1 Correspondence with Customers ........................................................................... 18

7.2 Correspondence with Suppliers .............................................................................. 18

7.3 Other Correspondence with Partners outside the Project .................................... 18

7.4 Correspondence within the Project (Project-/Core Team) ..................................... 18

7.5 Filling Correspondence ............................................................................................ 197.6 Documents for Project Processing ......................................................................... 19

7.7 Document Exchange with External Siemens Divisions ......................................... 19

7.8 Project Information Distribution List....................................................................... 19

DRAFT...................

....................................................................

.........................................................................

.........................................................................................................

..................................................................................................................

............................................................................................................................................................................

ement ...................................................................................................................................................................

nt ........................................................t ............................................

............................................................................................................

to third parties ...................................ties .................................

tion Matrix ........................................tion Matrix .......................

ct Meetings .........................................ct Meetings ..................................

oject Language .................................ect Language .................................

Invitation, Organization and Agendon, Organization and Agend

(Core-)Team Meetings ..............(Core-)Team Meet

Minutes of Meeting ............nutes of Meeting ...

List of Open Points (LoOpen Points (Lo

Project Reviews .....eview

Correspondenonde

CorresponCorrespon

CorresCorres

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8 Correspondence Rules Reaction Times and Deadlines ........................................ 20

9 Information Security ................................................................................................. 21

9.1 IT Management, Communication Tools .................................................................. 21

9.2 Publications .............................................................................................................. 21

9.3 Photos and Film Recordings ................................................................................... 21

10 Communication in the Event of a Project Accident ............................................... 22

11 Absence and Vacation Planning ............................................................................. 23

12 Escalation during the Project .................................................................................. 24

13 Lists ...........................................................................................................................25

13.1 List of Figures ........................................................................................................... 25

13.2 List of tables ............................................................................................................. 25

DRAFT........

.................................

.............................................................

........................................................................................... ..2

................................................................................................................

.......................................................................................................................

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4

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1 Introduction These project regulations do not replace the mandatory binding regulations in accordance with the process specifications.

1.1 Purpose The Communication Management Plan provides binding guidance on how the contractual and, where applicable, internal or normative obligations for the Communication Management from PM100 for the project are met and forms part of the project manual and quality documentation.

The plan implements the requirements of the PM@Siemens Guide /E01/, the Implementation of PM@Siemens in the Mobility Division worldwide /E02/ and the Project Management Plan template of MO MM /E03/.

The following rules are specified for all project participants:

Communication requirements for the project participants

Communication channels, project team list (contact data), communication matrix

Meetings

Correspondence

Information security

Distribution of information via the Intranet, Sharepoint, etc.

Publications, photos, and film recordings

Project accidents

Attendance and vacation planning

Terms, definitions, and project glossary

Escalation during the project

1.2 Scope The business case/project-specific MO MM Communication Management Plan applies to the full term of the business case/project.

The agreements apply to project-specific documents that are to be created.

DRAFThow the cohow th

mmunication Manammunict manual and quality t manual and

mens Guide /E01/, the Implementatimens Guide /E01/, the ImplemE02/ and the Project Management PE02/ and the Project Management

t participants: ipants:

project participants ants

t team listeam list (contact data), communic (contact data), com

ormation via the Intranet, Sharepoinormation via the Intranet, Sha

photos, and film recordings photos, and film recordi

ccidents s

dance and vacation planning ance and vacation p

erms, definitions, and project glossaerms, definitions, and project

Escalation during the project Escalation during the project

Scope Scope ase/prase/pr

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1.3 Terms and abbreviations

1.3.1 Abbreviations The following abbreviations are used in this document:

Abbreviation Explanation

BS Business segement

BSS Business subsegment

BU Business unit

CCB Change Control Board

DCC Document kind classification code

LoP List of open points

MM Mobility Management

MO Mobility

PACT Project acceleration through coaching and teamwork

QM Quality Management

QMiP Quality manager in project

RAM(S) Reliability, Availability, Maintainability (and Safety)

Table 1 Abbreviations

1.4 Documents and tools

1.4.1 Input documents

Reference Document title Document ID / source Version

/E01/ PM@Siemens Global Project Management PM Guide

/E02/ Implementation of PM@Siemens in the Mobility Division worldwide

MO-7257

/E03/ Project Management Plan A6Z00019782913 J

Table 2 Input documents Doject Moject MDImplementationImplementatioDRDDRAFTTTTTTFTFTFTFT

n through coaching and teamwork hing an

AFement ement

AFanager in project in project AFility, Availability,ility, Maintainability (and S Maintainability (and SAFRAs s

Documents and tools cuments and tools

1 Input documents 1 Input documentsDReferen DDRtitle DRDPM@Siemens GlobPM@Siemens GDDMobility DivisMobility DivisDDD

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1.4.2 Referenced documents and tools

Reference Document title Document ID / source

Version

/R01/ Project Organization Chart A6Z00032966778

/R02/ MoM Project Status Meeting (core team) with LoP

A6Z00035426257

/R03/ Document Management Plan A6Z00032340180

/R04/ Information Security Guide Intranet link

/R05/ Attendance and Vacation Planning A6Z no. or link

/R06/ Minutes of Meeting Template project specific A6Z no. or link

/R07/ External project report A6Z00032649707

/R09/ Information Security Framework Intranet link

/R10/ Change and Complaint Management Plan A6Z no. or link

/R12/ Requirements Management Plan A6Z no. or link

/R13/ Document management plan (project-specific)

A6Z no. or link

Table 3 Referenced documents and tools

DRAFT180180

k k

To. or link o. or lin TT6Z no. or link 6Z no. or link TTA6Z00032649707 A6Z00032649707 TFTFTFTIntranet link eFTFTment Plan nt Plan A6Z no. or link 6Z no.FTAFTAFTAFent ent Plan A6Z no. or link A6

AFAFent plan (project-t plan (project- A6Z no. or lA6Z noAFAFAFAFuments and tools tools

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2 Tasks, Roles and Responsibilities The project manager is responsible for determining the specifications regarding communication and information throughout the project.

DRAFT

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3 Project Team Directory The following table lists the contact information for everyone involved in this project. The email addresses and telephone numbers in this table should be used to communicate with these individuals.

Name Function Code/Distributor

Department Telephone Fax / Mobile

Email Address

Customer

Project sponsor

Project manager (technical)

Project manager (commercial)

Scheduler

Team assistance

Contract manager

QMiP

Documentation manager

Configuration manager

Requirements manager

Test manager

Installation manager

Safety manager DRAFTemail addresses and teemail addres

FTFTone

FT/ Mob

FTFTFTFT FTFT FTAFT

AFAF AFAAF ARARA

RARARA

RARARA RARRARA RRADRRARA

manager manager

DRDRDRRents ents er er

DRDRDRDRmanager manage DRDRDRn manager n manag DDDerer DDDSSDDDD

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Name Function Code/Distributor

Department Telephone Fax / Mobile

Email Address

RAM manager

Purchaser

Subproject manager

Team members

…

…

…

Table 4 Project Team Directory

DRAFSSD

AFTTTTTEmail

TT TT TFT

FTFT FTFT FTAFT

AFTAFTAF

AFAAAFFF

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4 Communication Channels and Rules Systematic communication is conducted in accordance with the assignments specified in the project organization chart /R01/ and the relationships and rules determined in this section.

Additionally, open communication toward all parties is expected from all project employees and subcontractors.

Communication with the customer, partners and suppliers must be completed by means of the following communication channels and rules:

Parties Communication from/to

Remarking

Customer Project management

Construction site

Assembly

Procurement

Logistics

Shipment

Subproject A

Assessor

Security authority

Table 5 Communication Channels

4.1 Internal Reporting Internal reporting follows the respective regulations. At the time of creation of this Project Management Plan, the following is required:

Commercial reporting as a quarterly report (source: IMAPP / EPIQ)

Project reporting via Project Status Report (PSR) (source: EPIQ)

4.1.1 Quality Management Project reporting within Quality Management takes place via the Project Status Report (PSR). (Source: EPIQ)

4.1.2 Change and Complaint Management For more details please refer to the Change and Complaint Management Plan /R10/, Chapter 3 “Change and complaint status reporting”.

DRAFTtedted

TTTTFTFTFTAFTAFAAFAAF

RARARARARAcation Channels cation Channe

Internal Reporting rnal Reporting reporting follows the respective regreporting follows the resp

agement Plan, the following is requagement Plan, the following is re

Commercial reporting as a quarCommercial reporting as a quar

Project reporting via ProjectProject reporting via Pro

QualitQualit

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4.1.3 Document Management For more details please refer to the project-specific Document Management Plan /R13/, Chapter 6.3 “Document controlling”.

4.1.4 Requirements Management For more details please refer to the Requirements Management Plan /R12/, Chapter 5.1 “Reporting”.

4.2 External Reporting External reporting in this context is only understood to be the reporting about the project status, especially towards the customer.

Tax reports are covered by the general commercial regulations; see section 4.13 Commercial Project Regulations, Project management plan /E03/.

4.3 Communication to third parties Statements of any kind to third parties (parties external to Siemens) about the contents or the situation of the project shall be coordinated in advance with the respective press office/communication department. If project members are addressed or asked by third parties, they shall politely but firmly decline to make a statement. It is usually sufficient to refer to the confidentiality obligation as employees of Siemens AG and to ask the requesting person to contact the press office of Siemens AG.

This regulation does not only apply to third parties outside the project but also to requests from contractual partners, such as customers or consortium partners as well their other vendors and partners who are involved in the project. DRAFT

2/, C2/, C

o be the reporting about the project o be the reporting about the projec

ercial regulations; see section 4.13regulations; semanagement plan /E03/. plan /E0

cation to third parties o third parties third parties (parties third parties (parties external to Sieexte

shall be coordinated in advance witshall be coordinated in advn department. If project members an department. If project membe

l politely but firmly decline to make politely but firmly decline to makenfidentiality obligation as employeeiality obligation as employee

contact the press office of Siemens ontact the press offi

egulation does not only apply to thiregulation does not only applym contractual partners, such as cusm contractual partners, such as cu

endors and partners who are invoendors and partners who are invo

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5 Communication Matrix The following tables provide an overview of the communication requirements for the project.

Communication type Goal Medium Frequency Participants Responsible party

Preparation/results

PACT Workshop Accelerate the start of the project

Personal At the start of the project

Project sponsor Project team Stakeholders

Project manager PACT flipcharts and LoP

Kick-off meeting Introduction and presentation of the project, organization, roles and responsibilities, scope of supply, and targets

Personal One-off Project sponsor Project team Stakeholders

Project manager Agenda Minutes

Project team meeting Exchange of information and progress monitoring

Personal Conference call Live meeting

Weekly Project team Project manager Agenda Minutes LoP

Customer meetings Customer information Monthly or in accordance with the contract

Meeting Minutes

Technical design meeting

Exchange of information and progress monitoring according to the technical design

Personal Weekly Project planning Integration etc.

Technical responsible party

Agenda Meeting minutes

Monthly project status meetings

Status meeting with the management/project sponsor

Personal Conference call

Monthly Project sponsor etc.

Project manager Business unit discussion template

DRus meeting with the us meenagement/project sponsor nagement/project sponsor DRAFTt.t.

FTFFTFTParticipants TTTTFTTstart of start oproject project

Project sponsor Project team ProjeStakeholders Sta

P

FTAFTT

One-off Project sponsorf Project teamStakeholdSt

AFTAAFT

sonal Conference call all Live meeting Live me

Weekly Projeekly ProjAFRRAAF

Monthly or Maccordanaccwith thwith conconRARRA

nformation and and onitoring according nitoring according

hnical design hnical design

Personal Personal RDRRDDPersonarsonaConfeDRDRDDD

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Communication type Goal Medium Frequency Participants Responsible party

Preparation/results

Installation/site meeting Exchange of information and progress monitoring of the site(s)

Personal Conference call

Monthly Responsible party for the site

Agenda Meeting minutes

Quarterly report Management information Quarterly According to the quarterly report

Report

Table 6 Communication Meetings Matrix

DRAFT

DFTTT

cipants

T forTFTTrly rly Ac

FTFTFTFTT

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6 Project Meetings Regular meetings to exchange information and monitor the progress must be scheduled during project implementation.

6.1 Project Language

Occasion Languagein Project English

with customer English

related to contract English

internal meetings English

Protocol (ext) English

Protocl (int) English

Table 7 Project language

6.2 Invitation, Organization and Agenda Meetings should be organized with a planned schedule and specified duration for each item on the agenda. The number of meeting participants should be kept to a minimum to ensure the meeting process is highly efficient.

Generally, an agenda /R02/ will be sent out in good time before each meeting. This is provided to help participants prepare for the meeting.

Invitations to the meeting should be sent out, [if possible, as a meetings request via MS Outlook] with prior notice of at least [5 working days before the date of the meeting] by the moderator of the meeting.

The moderator of the meeting is also responsible for the:

Organization of the meeting rooms

Infrastructure (projector, conference call, live meetings etc.)

Moderation of the meeting

Organization of notes

Monitoring the time frame for individual agenda items during the meeting

If it is a regular meeting, the tasks and open points from the last report are generally discussed and documented at the start of the meeting, the new measures from the current meeting are then agreed upon at the end of the meeting.

DRAFTTTTTTTFTFTFTFTFTFTFTFTAFFTF, Organization and Agenzation and Age

nized with a planned scnized with a planned schedule and heumber of meeting participantumber of meeting participants shou

ss is highly efficient. ss is highly efficient

agenda /R02/ will be sent out in gooa /R02/ will be sent out in goohelp participants prepare for the melp participants pre

ons to the meeting should be sent oons to the meeting should b

DR]]look] with prior notice of at least with prior notice of at least ]] [5oderator of the meeting. oderator of the meeting.

moderator of the meeting ismoderator of the meetin

nization of the menization of the me

cture (projecture (proje

of tof t

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6.3 (Core-)Team Meetings Generally team meetings are carried out weekly. The cycle can be extended or shortened depending on the status of the project. The meeting is performed using the MM standard agenda /R02/; its contents are to be discussed in the meeting. It is recommended to document the results by using the provided template (especially to inform not participating team members). At least the list of open points has to be maintained, where tasks, scheduling targets and responsible persons are documented and can be tracked. This document has to be versioned after the meeting and filed in the valid archive.

Core team meetings are led by the project manager or in case of absence by a formally appointed deputy. The attendance of the core team members is mandatory except when otherwise stipulated with the project manager. Further participants are invited on demand.

Within the team meeting the status of the following topics should be determined regularly:

Project scheduling: content- and deadline-related status of the therein included work packages, supplies and milestones

Status of project resources

Status of the following specific topics

Technical sub-systems (incl. System Management, Test, RAMS, project logistics and QM)

Documentation (status of project and customer documentation)

Requirements Management (progress according to the standard key figures)

Commercial topics

List of open points

R/O list of the top five risks and opportunities

Costs situation [general, procurement, etc.]

Key events in the reporting period [on a monthly basis]

New topics/tasks

Team meetings must be carried out insert frequency (weekly/biweekly). A series of dates has been agreed [add reference]. [Method: conference call, video conference, location, or switch between locations.] Minutes of meeting can be found here /R06/.

6.4 Minutes of Meeting Official conferences are to be documented in minutes of meeting. For each meeting, [the person who issued the invites/meeting moderator] must compile minutes of the meeting /R06/ that include the following points, as a minimum:

Results / agreements according to each item on the agenda

DRAFTracrac

rchive. rchive.

bsence by a formbsence mandatory except whe mandatory e

pants are invited on demand. pants are invited on

s should be determined regularly: s should be determined regu

d status of the therein included wod status of the therein included wo

tem Mm Management, Test, RAMS, proanagement, Test, RAMS

project and customer documentatiocustomer documentatio

ement (progress according to the stement (progress accordin

oints oints

the top five risks and opportunities op five risks and opportunities

DRsituation uatio neral, prRy events in the reporting period y events in the reporting pe

New topics/tasks New topics/tasks

am meetings must be carried oam meetings must be carDDagreed agreed ]ence .Dlocation MinutesMinute]

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Distributed tasks and open items with responsibilities and schedule

Official meetings are always recorded by minutes. Those minutes are written and distributed on the day of the meeting. Decisions and action items in the meetings are always recorded with responsibilities and due dates. The minutes of the meeting must [be signed by all parties] after the meeting and must be filed in the valid archive with the current list of open points /R02/.

If the minutes of the meeting cannot be signed immediately, they must be distributed to all of the parties within [2 working days] by the [meeting moderator]. If any disagreements with the minutes of the meeting are not raised within 14 days, they shall be deemed to be accepted.

6.5 List of Open Points (LoP) To systematically gather outstanding issues of overriding importance that may arise while processing the project, and to ensure these issues are appropriately resolved, a LoP will be maintained, which will be accessible to the project team at all times. The current processing status of these issues will also be recorded in this list.

All outstanding issues will be defined in this LoP. The processing and completion of these points will be tracked by the [QMiP] supported by the project management.

The list will be discussed on a regular basis with the project management during team meetings, where the corrective measures and completion deadlines will be specified, and the persons responsible for monitoring the corrective measures will be stipulated.

The latest LoP is filed at /R02/.

The effectiveness of the results must be assessed once corrective measures have been implemented. The LoP forms a basis for Q reporting.

The LoP also includes a record of the open points from [installation, assembly, testing, validation, initial inspection, type testing, certification, etc.]

6.6 Project Reviews The frequency and contents of project reviews are defined in MO-7257 /E02/. DRAFT

disdissagreemsagree

deemed to be aeemed

riding importance that may arise whriding importance that may arise whes are appropriately resolved, a LoPs are appropriately

oject team at all times. The current am at all timed in this list.

n this LoP. The processing and comthis LoP. The processing a

Asupported by the project managemported by the project manage

regular basis with the project manas with the project mantive measures and cotive measures and completion deadmp

monitoring the comonitoring the rrective measuresctive

d at /R02/. d at /R

ss of the results must be asseof the results must be assessedssedd. The LoP forms a basis for Q repoP forms a basis for Q repo

P also includes a record of the openP also includes a record of

DRation, initial inspection, type test

Project RProject Ry and conty and cont

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Figure 1 Project Reviews

DRAFT

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7 Correspondence Rules

7.1 Correspondence with Customers Any binding statement to external parties must be made in writing. Verbal statements to external parties are not binding. The customer must be informed about this specification in a separate letter from the project manager.

Any external correspondence with the customer must only be conducted [by or in agreement with the customer project manager]. All correspondence must be archived in accordance with the specifications in the document management plan /R03/.

7.2 Correspondence with Suppliers Correspondence with suppliers can be completed via email. Any legally binding agreements must generally be reached by Purchasing or other representative eligible persons in consideration of the mobility signature agreements REFERENCE.

Incoming and outgoing documents must be recorded and clearly identified as specified in the Document Management Plan /R03/.

7.3 Other Correspondence with Partners outside the Project

Correspondence with other partners is completed by email, fax, or letter, as required. The applicable signature agreements must be observed. All correspondence must be archived in accordance with the specifications in the Document Management Plan /R03/.

7.4 Correspondence within the Project (Project-/Core Team)

Correspondence within the project must generally be completed via email and must be archived in accordance with the specifications in the Document Management Plan /R03/.

DRAFTs ss s

Tucted ucted [

e archived in accordance archived in

Suppliers Suppliers pleted via email. Any legally bindingemail. Any

g or other representative eligible peg or other representativ agreements REFERENCE. agreements REFERENCE.

s must be recorded and clearly idebe recorded and clearly ide/R03/.

her Correspondence wiher Correspondence wProjectoject

ndence with other partners is compndence with other partable signature agreements must beable signature agreements m

cordance with the specifications in tcordance with the specifications in

CorrespCorrespTeamTeam

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7.5 Filling Correspondence General project correspondence, such as plans, calculations, and confidential documents must be archived in accordance with the specifications in the Document Management Plan /R03/.

7.6 Documents for Project Processing Documents of common interest must be archived on the joint [project drive/share point] [specifying the storage location and possible subfolder structure].

Confidential correspondence must not be stored according to the Document Management Plan /R03/ on this drive.

7.7 Document Exchange with External Siemens Divisions

Documents of common interest with external Siemens [divisions must be archived on the Sharepoint/project drive specifying the storage location and possible subfolder structure so that they can be exchanged].

7.8 Project Information Distribution List The following distribution lists are used during the project to distribute information (also refer to chapter 3 “Project Team Directory”)

[Distribution list 1 Responsible for the distribution role/name]

[Distribution list 2 Responsible for the distribution role/name]

The distributors are managed and updated in the project office. DRAFTTct driv

T]]]..

to the Document Management to the Document Man

ge with External Siementh Extern

AFexternal Siemens ernal Siemens [divisions mus

RAForag ation and possible

roject Informatioject Information DistrDist distribution lists are used during ttion lists are used during thh

3 “Project Team Directory”) 3 “Project Team Dire

DRDistribution list 1 Respo

DR[Distribution list 2 Respon

distributors are managed andistributors are manage

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8 Correspondence Rules Reaction Times and Deadlines

[e.g.: Correspondence: Description of the time frame and definition of the responsibility]

[e.g.: Claims: Description of the time frame and definition of the responsibility]

The defined deadlines and reaction times must be observed by all of the project team members.

DRAFT

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9 Information Security The Information Security Intranet /R04/ sets the standard for all measures regarding information security and serves as a reference for contractual agreements with internal service providers as well as controls and revisions. Also refer to the valid regulations on the InSpiRe Intranet (Information Security Policies and Regulations) Error! Reference source not found. as well as to the overview of all applicable regulations governing information security in the Information Security Framework /R09/.

9.1 IT Management, Communication Tools All project members are subject to the rules and requirements that apply to the use of IT equipment of the respective country organization. Any deviations thereof are only permissible in coordination with the project management and the line organization.

Special attention shall be paid in this context to information security.

9.2 Publications Each publication or distribution of information about the project to third parties must be approved by the project manager.

9.3 Photos and Film Recordings Photos and film recording and the use of such materials, e.g. for advertising purposes by third parties, including sub suppliers, or the distribution via presentation slides must be approved by the project manager. DRAFTon Tools on Tools

ments that apply to the use of IT ents that apply to the usedeviations thereof are only permissdeviations thereof are only perm

he line organization. he line organizatio

o information security. ormation security

n of information about the project toion about the project toanager. nager.

Photos and Film Recordhotos and Film Recordd film recording and the use of suchfilm recording and t

rties, including sub suppliers, or therties, including sub supplieoved by the project manager. oved by the project manager.

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10 Communication in the Event of a Project Accident

In the event of personal injury, accidents, or other incidents, all of the project management must be informed in writing and over the phone.

Additionally, free help can be requested via the mobility emergency number

011 800 - 07 24 59 29 in the USA and Canada

This free number can be called 24 hours a day, 7 days a week from anywhere around the world. In all cases where the Mobility Division needs to be informed, this service enables important and urgent information to be passed on.

This number should particularly be called in the following cases:

Accidents with/without personal injuries (internal and external) if there is a link to MM projects/products or a link cannot be excluded.

Significant technical or high-profile problems during production of a project, especially safety-related defects.

Environmental damage, fires.

The following detailed information will be requested in the event of a call:

Who is making the call (name, telephone number, role)?

What has happened where and how?

Have people been injured?

Which project is affected?

What indications are there to the possible cause?

Who is on site and can provided further information (name, availability)?

DRAFTanywhere arouanywh

ed, this service enabed, this se

cases: cases

and external) if there is a link to MMand external) if there is a link to M. .

ms during production of a project, esuring production

will be requested in the event of a cae requested in the event of a

me, telephone number, role)? one number, role)?

here and how? ere and

njured? njured?

s affected? s affec

ations are there to the possible causns are there to the possible caus

on site and can provided further infd can provided further inf

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11 Absence and Vacation Planning The attendance of all project members can be looked up in the attendance list, which is kept up-to-date on a daily basis.

This also helps to support overall planning of attendance and absence in the project team. All planned and approved vacation requests must therefore also be entered in the list.

Each project member is responsible for entering the times when he or she is absent in the attendance list /R05/.

In the event of sickness, [the role / name] must be informed. As a basic principle, all vacation plans must be clarified and approved by the project manager and the disciplinary superior beforehand.

DRAFTis is

basic principle, all basic prnd the disciplinary supernd the discipli

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12 Escalation during the Project Problems that cannot be handled by the project team or have/will have/might have a significant impact on the performance of the project (technical, commercial, contractual, quality etc.) shall be escalated as required in a step-by-step process. This applies to internal as well as to external topics. That means the organizational levels within the project or eventually within the line organization are addressed sequentially.

In practice, this means that the organizational levels of the line are addressed one after the other and will not be escalated directly to the BU management WITHOUT the involvement of the BSS or BS management. The same applies to communications with third parties as well as to escalation within the project. The responsible persons within the project team should be contacted initially, followed by the subproject managers, and ultimately the project manager. Team members will not escalate matters to the managers of the line organization without first consulting the project management.

Exceptions are only permissible in the case of imminent danger or damage and in the event that the responsible persons at the respective organizational level are not immediately available. This decision will be made on a case-by-case basis by the project management or their deputies.

DRAFTessed oessed

OUT the invoOUT ths with third parties s with th

hin the project team shouhin the project d ultimately the project managerd ultimately the projec

s of the line organization without firs of the line organization w

minent danger or damage and in thminent danger or daorganizational level are not immednizational level

ase-by-case basis by the project me basis b

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13 Lists

13.1 List of Figures Figure 1 Project Reviews ........................................................................................................ 17

Figure 2 Regulation for correspondence (internal/external) ...... Error! Bookmark not defined.

13.2 List of tables Table 1 Abbreviations .............................................................................................................. 5

Table 2 Input documents ......................................................................................................... 5

Table 3 Referenced documents and tools ............................................................................. 6Table 4 Project Team Directory .............................................................................................. 9

Table 5 Communication Channels ....................................................................................... 10

Table 6 Communication Meetings Matrix ............................................................................. 13

Table 7 Project language ....................................................................................................... 14

DRAFToooo

................................................................................................

.................................................................................................................

...............................................................................................................................................................................................................

............................................................................

Matrix .................................................Matrix ...............................

.............................................................................................................

Project -Chicago Street Lighting Retrofit-- State: Int. ID: Version: 1QM Plan - External Addendum released Ext. ID: , Version: of DCC: 28 © Siemens AG, 2015 All rights reserved Restricted

Project -Chicago Street Lighting Retrofit--

QM Plan - External Addendum

DRAFTRetrRet

endum ndum

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Contents1 Introduction ................................................................................................................. 4

1.1 Purpose and scope..................................................................................................... 4

1.2 Terms and abbreviations ........................................................................................... 5

1.3 References .................................................................................................................. 61.3.1 Input documents ........................................................................................................... 61.3.2 Other valid documents .................................................................................................. 6

2 Standard Quality Management Plan - Addendum .................................................... 8

2.1 Siemens Quality Management ................................................................................... 82.1.1 Mandatory Elements of the Siemens Quality Management .......................................... 82.1.1.1 Siemens quality vision, principles and strategies .......................................................... 82.1.1.2 The nine mandatory elements ...................................................................................... 82.1.1.3 Quality, environment, health & safety at Mobility .......................................................... 92.1.2 Siemens Business Process Management and Reference Process House ................... 92.1.3 Customer Relationship Management ............................ Error! Bookmark not defined.2.1.4 Supply Chain Management ........................................................................................ 102.1.4.1 SCM tasks, goals and strategy ................................................................................... 102.1.4.2 Procurement ............................................................................................................... 102.1.4.3 Supplier management................................................................................................. 102.1.4.4 Supplier Quality Management .................................................................................... 122.1.5 Product Lifecycle Management................................................................................... 132.1.5.1 Quality management in system and software developmentError! Bookmark not defined.2.1.5.2 Quality management in factory ................................................................................... 132.1.5.3 Quality management in production ............................................................................. 132.1.5.4 Handling, storage, packaging, preservation and delivery ............................................ 142.1.6 Siemens Project Management .................................................................................... 142.1.6.1 PACT workshop .......................................................................................................... 142.1.6.2 Quality Gates .............................................................................................................. 15

2.2 Mobility Management Quality Management............................................................ 162.2.1 Quality Management in MM Customer Projects .......................................................... 162.2.2 Quality Targets ........................................................................................................... 182.2.3 Mobility Management Project Management and Execution ........................................ 192.2.3.1 Project management procedures ................................................................................ 192.2.3.2 Competence, qualification and training for project management ................................ 192.2.3.3 PM milestones ............................................................................................................ 192.2.3.4 Project organization .................................................................................................... 212.2.4 Project Management Plan .......................................................................................... 212.2.5 Responsibilities in MM Customer Projects .................................................................. 212.2.6 Project Management at Distributed Locations .............. Error! Bookmark not defined.2.2.7 Lessons Learned ........................................................................................................ 21

2.3 Cooperation with Customers ................................................................................... 222.3.1 Communication ........................................................................................................... 222.3.2 Provision of Customer Property .................................... Error! Bookmark not defined.2.3.3 Customer Satisfaction Survey..................................................................................... 22

2.4 QM-Related Processes in the Customer Project .................................................... 232.4.1 Auditing ......................................................................................................................232.4.2 Safety Management ................................................................................................... 232.4.2.1 Safety Assessment Center ......................................................................................... 232.4.2.2 Assessment and approval .......................................................................................... 232.4.3 Change and Complaint Management ......................................................................... 242.4.4 Control of Documents ................................................................................................. 242.4.5 Configuration Management ........................................................................................ 24

DRAFT............

.................................

.......................................................ement ....................................ement ..................

.................................................................................................................................................................................................

bility .....................................................bility ..............................................and Reference Process House ..........and Reference Process House .........

......................... ......................... Error! Bookmark notError! Bookmark not.........................................................................................

.........................................................................................................................................................

............................ ...........................................ment ....................................................ent .........................................

gement..................ent.......................................................................in system and software developmentem and software developmentEE

ent in factory .......................................y .....................................ement in production .............................ment in production .............................

orage, packaging, preservation and delorage, packaging, preservatProject ManagemenProject Manage t ...................................

workshop worksho .......................................................................ty Gates ..............................................ty Gates ..........................................

Mobility Management Quality Manality Management Quality ManaggQuality Management in MM CustomeManagement in MM CustomeQuality Targets .............................Quality Targets ....Mobility Management Project MMobility ManagemenProject management proceduoject management p

3.23.2 Competence, qualification etence, qualificatio2.3.32.3.3 PM milestones .............stones ..............3.4.3.4 Project organization .ganiz

Project ManagemenagResponsibilitiesibilitieProject ManaProject ManaLessons LeLessons Le

oopeoope

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2.4.6 Requirements Management ....................................................................................... 242.4.7 QM Report for Safety Case ........................................................................................ 242.4.8 Project Metrics ............................................................................................................ 24

3 Topics complementing MM standard QM plan ....................................................... 25

3.1 Quality management on site .................................................................................... 25

3.2 Tools and utilities ..................................................................................................... 25

4 Lists ...........................................................................................................................26

4.1 List of figures ............................................................................................................ 26

4.2 List of tables ............................................................................................................. 26

Attachment I. List of Reference documents with links ....................... Error! Bookmark not defined.

Attachment II. Project specific templates ....................................................................................... 28

DRAFT............

...............................

..........................................

....... ....... Error! Bookmark not deError! Book

....................................................... ...................................... 2

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1 Introduction

1.1 Purpose and scope This addendum to the MM standard quality plan explains those quality relevant processes, activities and measures, which exceed the scope of the provisions of the standard quality plan and have to be agreed and implemented at the interface to the customer. It also includes an outline of the corresponding work results and evidences.

This addendum applies to the customer project Chicago Street Lighting Retrofit and is binding for all persons involved.

DRAFTtantan

stomer. Itstomer. .

Lighting Retrofit and is Lighting Retro

Project -Chicago Street Lighting Retrofit-- State: Int. ID: Version: 5QM Plan - External Addendum released Ext. ID: , Version: of DCC: 28 © Siemens AG, 2015 All rights reserved Restricted

1.2 Terms and abbreviations The following terms and abbreviations are used in this document:

Term Explanation

Baseline The identification of significant item states within the revision history of a system configuration.

Contractor ... sometimes Party B

Customer / Purchaser ... sometimes Party A

Milestone Events of special importance. Often they are located at the transition of one phase to another.

PM@Mobility Framework for Project Management at MO

PM@Siemens Framework for Project Management at Siemens

Project According to DIN 69901-5:2009-01 an undertaking which is essentially characterized by the uniqueness of the conditions in their entirety, for example, objective, time, financial, personnel and other limits, delimitation with respect to other undertakings and project specific organization to DIN 69901-5:2009-01 .

Project (management) phase

According to DIN 69901-5:2009-01 a period of time during the course of a project which is, in terms of the work to be performed therein, distinct from other periods.

Quality Gate A point in the project process chain where decisions that will ensure quality have to be made based on synchronized and comprehensive transparency about the project status.

Sub-Contractor / Supplier

t.b.d.

Table 1 Terms

Term / abbreviation Explanation

CEO Chief Executive Officer

CoC Center of Competence

DCC Document classification code

DM Document Management, Document Manager

DIN German Institute for Standardisation

DPW Dynamic Process World

ECC Export Control Customs

EH&S Environmental Protection, Health and Technical Safety

EMC Electromagnetic Compatibility

EN European Standard

FAI First Article Inspection

TTy are located at the transition oare located at theTent at MO ent at M

FTgement at Siemens gement at SiemenFTAFT2009-01 an undertak

AFTess of the cond

AFal, person

AFres ndertak

AF DIN 69901-5:2009-01 . FTAFN 69901-5:2009-01 a period of t

RAF in terms of the work to be pe

RAAFpoint in the project process chain whepoint in the project process

quality have to be made based on syquality have to be made batransparency about the project statransparency about the proj

RARt.b.d. RADRDRDRTerms

DRDRTerm / DRDRExplanationDRDRO Chief O Ch ExDDCenCeDDDDDD

Project -Chicago Street Lighting Retrofit-- State: Int. ID: Version: 6QM Plan - External Addendum released Ext. ID: , Version: of DCC: 28 © Siemens AG, 2015 All rights reserved Restricted

Term / abbreviation Explanation

FAT Factory Acceptance Test

KVP Continuous Improvement Process

LoP List of Open Points

MM Mobility Management

MO Mobility

N.B, Not named

PACT Project Acceleration by Coaching and Teamwork

PM Project Management, Project Manager, Project Milestone

PMP Project Management Plan

QMiP Quality Manager in Project

R&D Research & Development

SAP PLM SAP Product Lifecycle Management

SAT Site Acceptance Test

SCM Supply Chain Management

SQM Supplier Quality Management

ToCO Total Cost of Ownership

t.b.d. To be defined

Table 2 Abbreviations

1.3 References

1.3.1 Input documents

Reference Document title Document ID / source Version

[E01] Volume I: Instructions to Proposers (ITP) Addendum #1

- 1

[E02] AGREEMENT FOR CHICAGO SMART LIGHTING PROJECT

- 1

Table 3 Input documents

1.3.2 Other valid documents

Reference Document title Document ID / source

Version

[PMP] Project Management Plan - J

DRDDRefere DDRAFTk k

Tect Milestone ect Milesto TTTFTFageme FTFTgement

AFTyy Management Manag

AFof Ownership wnership AFefined AFRA

References eferences

Input documents Input document

DRtitleDRD] Volume I: Instruction] Volume I: InstrucAddendum #1 Addendum #1 DDAGREEMENTAGREEMENTLIGHTING LIGHTING DDDuu

Project -Chicago Street Lighting Retrofit-- State: Int. ID: Version: 7QM Plan - External Addendum released Ext. ID: , Version: of DCC: 28 © Siemens AG, 2015 All rights reserved Restricted

Reference Document title Document ID / source

Version

[PORG] <project specific project organization plan>

[CHMPLAN] <project specific change management plan>

SWQAPLAN <project specific software quality assurance plan>

[SCHEDULE] <project specific master time schedule>

[RESSPLAN] <project specific resources plan>

[RMPLAN] <project specific requirement management plan>

[TESTPLAN] <project specific test plan>

[VERVALPLAN] <project specific verification and validation plan>

[ACCTPLAN] <project specific acceptance test plan>

[SAFEPLAN] <project specific safety plan>

[CMCPLAN] <project specific communication plan>

[REVPLAN] <project specific review plan>

[DOCLIST] <project specific document list>

[DOCDELLIST] <project specific document delivery list>

[INSTCOMMPLAN] <project specific installation and commissioning plan>

[ACROTERM] <project specific catalogue of acronyms and terms>

[TRNGPLAN] <project specific customer training plan>

[CONTRACT] Customer contract incl. appendices

Table 4 Other valid documents

DRACT] Customer contract incl. aACT] Customer co

DRAFTTTTTT

FTFTFTFTtest plan> t plan> FTAFT

lan>

AFTAFmunication plan> munication plan>

AFAFreview plan> ew plan> AFAFcific document list> ment AFAFspecific document delivery list> ent delivery list>

RAAject specific installation and ject specific installation andommissioning plan> ommissioning pla

RAA<project specific catalogue of acrony<project specific catalogue of acroand terms> and RAR] <project specific customer tra<project specific customer traRDRDRDRDRDR4 Other valid documents 4 Other valid document

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2 Standard Quality Management Plan - Addendum

2.1 Siemens Quality Management

2.1.1 Mandatory Elements of the Siemens Quality Management

2.1.1.1 Siemens quality vision, principles and strategies Our Quality Vision

Quality is an essential pillar of the Siemens brand. We have one Quality Vision: "Siemens stands for world-class quality"

Our Quality Principles

Our Quality Vision is based on the following fundamental principles:

Quality is determined by our customers.

Quality means understanding and exceeding customer expectations.

Quality starts at the top.

Quality is a value of all employees.

Quality needs to be integrated into products and processes at an early stage.

Quality is a matter of measurement and transparency.

Quality needs continuous improvement.

Customer loyalty is the reward of Siemens quality.

Our Quality Strategy

World-class quality needs standards. Therefore our quality strategy is: "Implement the Mandatory Elements of the Siemens Quality Management and continuously improve Product-, Process- and People Quality."

2.1.1.2 The nine mandatory elements The mandatory elements for Siemens Quality Management were derived and defined from benchmarks with other leading companies.

To review implementation of the mandatory elements in our company's processes, along with other control tools we have defined a self-assessment process that is to be carried out by the organizational units on a regular basis. Self-assessment is the responsibility of the heads of the organizational units and is carried out by the quality manager.

DRAFTQuality ManagQuality

es and strategies es and strategies

d. s for world-class quality" orld-class qua

llowing fundamental principles: wing fundamental principles:

customers. ers.

nding and exceeding customer expeeeding customer expe

op. op.

e of all employees. e of all employees

s to be integrated into products andto be integrated into products and

a matter of measurement and traner of measurement and tran

ty needs continuous improvement. ty needs continuous im

omer loyalty is the reward of Siemeomer loyalty is the reward of Sie

ur Quality Strategy ur Qu

d-class quality needs standd-class quality needs stent the Mandatory Eent the Mandatory

oduct-, Procesoduct-, Proces

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The goals of self-assessment are:

Monitoring of the efficient implementation of the mandatory elements

Assessment of the maturity level of the mandatory elements within the organization

Identification of the strength and weaknesses of the existing Quality Management System

Derivation of improvement measures with clear prioritization for their implementation

Sharing of best practices

Quality managers carry out self-assessments using defined checklists. Methodologically speaking, they have three different approaches available to them. They can conduct self-assessment in interview form, in moderated workshops or as an assessment by experts in the area. The results of self-assessments are used as inputs to management reviews.

2.1.1.3 Quality, environment, health & safety at Mobility MO has implemented a management system for Quality, Environment, Health & Safety (EH&S) that complies with the requirements of [ISO9001], [ISO14001] as well as [OHSAS18001] and is certified by the DET NORSKE VERITAS.

Principles, objectives and strategy for the business policy of Siemens Mobility Division as well as regulations regarding the organization, the processes and the controlling are outlined in the Management manual Error! Reference source not found. and in instructions from the Siemens intranet portal “Mobility Quality Management Page”.

The CEO of the division promotes the development and implementation of the Management system by planning strategies and stipulating appropriate targets and objectives. The system is also monitored by means of a controlling process.

The Management system is binding for every employee.

2.1.2 Siemens Business Process Management and Reference Process House

The Siemens Business Process Management is a set of principles and definitions for the process management in the company. Thus it is the basis for a target oriented and uniform design, implementation and controlling of all processes from the customer to the customer - generating financial benefit for the company and, in turn, generating an advantage for our customers. DRAFT

s. Methodologs. Met They can conduct sThey can

an assessment by experts an assessment bts to management reviews. ts to management rev

th & safety at Mobility th & safety at

AFTality, Environm

AF01], [ISO

AF ET NORSKE VERITAS.

AFe business policy of Siemens

RAFation processes and thrror! Reference source not foundnce source not found

RAal “Mobility Quality Manag

RAon promotes the developmen

RAg strategies and stipulating appro

DRAy means of a controlling proces

DRement system is bin

.1.2 Siemens Busi.1.2 Siemens BusineneProcess Hous H

mens Business Promens Business Pronagement innagement in

entatioentatio

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2.1.3 Supply Chain Management

2.1.3.1 SCM tasks, goals and strategy The core task and goal of Supply Chain Management as a worldwide function with its own portfolio within the Siemens Managing Board is to optimally exploit the value-creation potential inherent in the supply chain for the benefit of Siemens. Supply Chain Management's direct responsibility for material costs only addresses value totaling almost 50 percent of sales. Supply Chain Management thereby makes a vital contribution to the economic success of Siemens.

Consequently, the global Supply Chain Management Strategy must be systematically and closely focused on the company strategy ("One Siemens") and the resulting business strategies of the Divisions. It is supplemented by external best practices, where these are of value to Siemens.

2.1.3.2 Procurement All supplies and subcontracts are processed according to the processes of the strategic procurement department of Mobility Management. Their involvement ensures

Use of qualified and if necessary certified preferred suppliers

Centralized activities for monitoring, auditing and assessment of suppliers,

Passing on applicable requirements of the customer contract to suppliers and subcontractors.

Ordering of material is generally performed by means of the tool SAP.

Quality Gates in the Procurement Process

MO MM has also rolled out the Quality Gates system, already successfully implemented in our customer projects, in the development projects at our suppliers.

The aim is to achieve a primary quality improvement of the development results and a cost reduction in the medium term, by enforcing the Siemens standards in all development projects, in particular with respect to development tasks assigned to external suppliers.

The project manager is responsible for the execution of supplier Quality Gates, the implementation in the projects is supported by the relevant purchaser in charge. The execution of the supplier Quality Gates takes place in the EPIQ tool.

The procurement processes are detailed for the employees in the Dynamic Process World.

2.1.3.3 Supplier management Suppliers are a key component of success. Only if suppliers provide excellent materials and services world-class quality can be guaranteed.

DRAFTost 50 post 50

to the economto the

y must be systematically andmust be systemaand the resulting business and the resulting busin

al best practices, where these are al best practices, where these

essed according to the processes oessed according to the procManagement. Their involvement enagement. Their involvement

ssary certified preferred suppliers ified preferred suppliers

r monitoring, auditing and assessmr monitoring, auditing and assessm

ble requirements of the customer coble requirements of the cu

erial is generally performed by meaal is generally performed by mea

Gates in the Procurement Processates in the Procurem

MM has also rolled out the Quality GMM has also rolled out the Qualur customer projects, in the developur customer projects, in the develop

aim is to achieve a primary qaim is to achieve a primon in the medium termon in the medium ter

n particular with n particular with

anager ianager itt

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So it gets more and more important to find reliable partners for a long-term strategic cooperation. It is the procurement’s task to select suitable suppliers, to control and improve their performance steadily. The targets are to raise the quality and to sink costs within the cooperating network between the vendor and Siemens. The base for accomplishing those goals is built by an integrated supplier management.

Figure 1 Mobility Management supplier management system

Supplier Selection

During the process of supplier selection the suppliers for a future cooperation are selected in cross-functional teams (consisting of purchasing, logistics, quality and technology). Not the lowest price is decisive here, but the highest value of a possible supplier relationship for the company which is determined by a calculation of the Total Costs of Ownership (ToCO).

Supplier Evaluation

All important suppliers are evaluated at least once a fiscal year by their performance on the fields of purchasing, logistics, quality and technology. These evaluations are done in the tool Click 4 Suppliers (c4s easy) and by criteria which are coherent throughout Siemens, so every Siemens-employee can see the results.

DRAFTMobility Management supplier maManagement supplier ma

lier Selection lier Selection

uring the process of supplier selecuring the process of supplier selecss-functional teams (consistinss-functional teams (cons

price is decisive here, bprice is decisive herewhich is determinwhich is determi

tiotio

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Supplier Classification

Within the Classification the evaluation of a supplier’s past performance (Supplier Evaluation) is complemented by a future-orientated rating. This rating consists of the Strategic Evaluation in the categories market structure, competitiveness, technology and commitment as the Risk Evaluation (insolvency risks, supply chain risks, procurement market risks and legal- and compliance risks. The Supplier Classification is the aggregation of these three results.

Supplier Development

Based on the analysis of the results from Supplier Evaluations and –Classifications we work out measures to develop the supplier (Active Development/ Self Optimization). Consequent Supplier Development is the key to future increases of the supplier’s performance and to cost reductions.

Reverse Rating

Reverse Rating enlarges the instrument of Supplier Management with an external view of the supplier on Siemens. The most important suppliers are asked to evaluate the cooperation with MO MM on the fields of “functional cooperation” and “MO MM as a customer” compared to the “Best in Class”.

2.1.3.4 Supplier Quality Management Supplier Quality Management SQM is an integral part of a quality-oriented consistent supplier management. It includes all activities and measures, which ensure that the required delivery quality is achieved and continuously improved.

Preventive measures, defect prevention and cross-functional cooperation between Quality and Procurement, with the involvement of further functions (e.g. Logistics, Manufacturing, Project Management, R&D/Engineering) are the basis for SQM.

Supplier Quality Management at MO MM, as part of Strategic Purchasing,

Is the connecting link between strategic purchasers, projects, production, requirement originators and suppliers with regard to quality and supply guarantee

Ensures that suppliers’ products / services are developed and produced in line with acknowledged standards and that supplies comply with our quality requirements

Provides support for projects as methodological expert and ensures a continuous improvement process in the CoC and KVP round.

Tasks of SQM

Preventive

Necessary preventive measures to check new suppliers, new production plants or new products for their quality capability

Assessment of quality capability on global purchasing markets

DRAFT–Classifications –Class

Optimization). ConseqOptimizatiopplier’s performance and to cplier’s performan

plier Management with an externalr Management wuppliers are asked to evaluate the ce asked to

cooperation” and “MO MM as a custcooperation” and “MO M

Quality Management nagemenement SQM is an integral part of a qement SQM is an integral

t. It includes all activities ant. It includes all activities and measd achieved and continuously improveachieved and continuously improv

easures, defect prevention and cross, defect prevention and crosrement, with the involvement of furtement, with the invo

Management, R&D/Engineering) aManagement, R&D/Engine

pplier Quality Management at MO Mpplier Quality Management at MO

Is the connecting link betweenIs the connecting link beriginators and suppliers wriginators and supplier

res that suppliersres that suppliersedged stanedged stan

ppoppo

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Performance of risk assessments

Systematic

Performance of supplier audits and evaluation of quality capability within the context of supplier assessment and development and consistent measures management

Conclusion of quality assurance agreements and coordination of their implementation

Internal

Determination and annual updating of audit planning

Participation in existing CoC

Monitoring and implementation of quality functions for FAI / FAT and Quality Gates at suppliers

Interface between MO MM BE PME QM and MO MM P

Coordination of experts for technical evaluation competence within the context of quality management

Monitoring of the single-sourcing situation

2.1.4 Product Lifecycle Management

2.1.4.1 Quality management in factory The processes of the Mobility Management factories (operations department) comprise:

Production

Supply chain management

Obsolescence management

Development/engineering hardware indoor equipment

Development/engineering hardware outdoor equipment

Type test EMC, climate, mechanical

Logistics services center

ECC export controlling

2.1.4.2 Quality management in production Manufacturing of products is an integral part of the processes of operations department ("factory"). Production comprises the following partial processes:

Process prearrangement provision of manufacturing practices

Process prearrangement quality inspections

Manufacture and inspect product

Storage

DDDDRDRDRAFTFAT and Quality GatesFAT and Qu

P P

competence within the context of qucompetence within the context of q

le Management Manageme

managemanagement in factory in facto

RAMobility Management factori

DRanagement

DRggscence managemen

DRvelopment/engineering har

DRDevelopment/engineering hardwDyyType test EMC, climateDrogistics services centeDexport controlling

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Maintenance of tools and machines

Management of measuring equipment

Create and handle Q report

Special product release

Production stop

Failure processing

Use decisions

Hardware factory acceptance test FAT

Designation of inspection status takes place by means of stamps:

P stamp plant-internal designation after manufacturing steps ("Quality requirements met")

D stamp expression of the final testing performed on a product (application only permissible by certain technically qualified employees)

If required, a declaration of conformity according to EN ISO / IEC 17050:2004 will be issued.

The production processes are detailed for the employees in the Dynamic Process World.

2.1.4.3 Handling, storage, packaging, preservation and delivery TBD by Suppplier

2.1.5 Siemens Project Management

2.1.5.1 PACT workshop Depending on the complexity and risk involved as well as the current project situation, planning and teaming workshops are necessary to create the basis for collaboration and execution of the project toward the defined targets.

PM@Siemens has developed a specific workshop methodology which is recommended for executing this requirement: a PACT workshop.

PACT stands for ”Project Acceleration by Coaching and Teamwork“ and is rolled out globally through a network of professionally trained PACT Facilitators.

PACT Workshops are based on a methodical framework that is different in form for specific situations during the life cycle of a proposal / project. The basis is the two types of PACT Workshops defined for use in the sales phase after the “go“ decision and after handover from sales to project execution.

DRAFTs: s:

("Quality requirements met") ("Quality requirements met

product produchnically qualified employees) ally qualified em

ording to EN ISO / IEC 17050:2004ISO / IE

d for the employees in the Dynamicfor the employees in the Dy

storage, packagiackaging, preserng, preser

Siemens Prmens Project Managemoject Managem

5.1 PACT workshop 5.1 PACT workshoepending on the complexity and risepending on the complexity and ris

nning and teaming workshopsnning and teaming worksion of the project towardion of the project towa

ens has develoens has develorequiremrequirem

Project -Chicago Street Lighting Retrofit-- State: Int. ID: Version: 15 QM Plan - External Addendum released Ext. ID: , Version: of DCC: 28 © Siemens AG, 2015 All rights reserved Restricted

2.1.5.2 Quality Gates The Siemens Quality Gate concept was developed on the basis of benchmarks of world-class QM systems, and on already-existing good practices at Siemens.

A Quality Gate is a point in the process chain where decisions that will ensure quality have to be made, based on synchronized and comprehensive transparency about the project status.

Consistent use of Quality Gates therefore includes a standardized procedure (frequently also called the "Q-Gate process") at fixed points in the process chain (PM milestones see 2.2.3.3, corresponding QMiP tasks see 2.2.1). This procedure has three components, namely:

A preparatory Readiness Check

A management decision taken at the Q-Gate Meeting about continuing the project, and

Controlling of any measures that have to be taken.

DRAFTestoneeston

ponents, namponent

out continuing the project, anut continuing the

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2.2 Mobility Management Quality Management

2.2.1 Quality Management in MM Customer Projects The Quality Manager in Project supports the project manager in his/her overall responsibility for achieving the project targets.

He/she is responsible for establishing, monitoring and assuring the proceedings and processes appropriate to the project, i.e. the QM system of the project.

In detail this scope of responsibility includes the following project tasks:

Prepare and maintain the QM plan and other procedural documents necessary for the project (e.g. audit plan, QM report) to define and demonstrate the project specific quality management

Consult and support the project manager and all project members in QM matters and concerning PM process as well as milestone decision meetings and Quality Gates

Review documents of procedural nature

Monitor observance of the project QM system by all project members and escalate, if the quality requirements are not met

Serve as an interface in QM matters to the customer, to consortium partners and to subcontractors/suppliers

Assist in monitoring of subcontractors/suppliers and eventually participate in acceptance tests of their deliveries

Arrange internal and eventually external audits and follow-up activities

Inform the project manager if nonconformities or weak points have been recognized, in order to allow corrective action

Report to the project manager, to the quality management organization and if necessary to higher management levels about important QM matters current to the project

To be able to fulfill this task, both functional independence of the QMiP must be ensured and close and trusting co-operation of QMiP and project manager is indispensable. In carrying out his responsibilities the QMiP is authorized to participate in any project internal meeting respectively to convene meetings for resolving any QM-related questions.

Exemplary tasks of the QMiP associated with the PM milestone process

Overall tasks, applicable to any phase milestones and Quality Gates are:

Participation in milestone checklist preparation as of the start of the phase (readiness check) and coordination of relevant further Quality Gates and appropriate project specific milestones.

DRAFToverall overa

he proceedings and he proceede project. proje

project tasks: projec

cedural documents necessary for thcedural documents necessary fornd demonstrate the project specificnd demonstrate the project specific

er and all project members in QM mroject memilestone decision meetings and Qumilestone decision meetin

al nature ature

roject QM system M sys by all project meby all project menot met

in QM matters to in QM matt the customer, tohe cusppliers ppliers

toring of subcontractors/suppliers atoring of subcontractors/suppliersir deliveries eliverie

e internal and eventually external ainternal and eventu

orm the project manager if nonconform the project manager if order to allow corrective action order to allow corrective action

Report to the project manager,Report to the project manager,to higher management leveto higher management

le to fulfill this task,le to fulfill this taskusting co-opeusting co-ope

ibilitiesibilities

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Moderate and document the milestone meeting.

PM080 - Start of project Participate in securing that an appropriate project handover method (proposal to project)

is used.

PM100 - Order receipt clarified Participate in preparation and implementation of internal kick-off (for example, PACT).

If applicable, coordinate interface with existing QM (onsite).

Create a project specific QM plan.

Participate in securing that the test schedule, test plans, verification and validation plans are complete and correspond to the appropriate quality.

Create a project specific audit plan (processes, safety etc.).

Participate in securing that documentation (structure and scope, customer documentation) has been coordinated.

Participate in tailoring processes relevant for the project.

PM200 - Approval of detailed planning PM260 - End of development PM265 - End of engineering Participate in check that the effectiveness of the used requirement management process

is sufficient.

Participate in monitoring that the test schedule and test planning are implemented and performed.

Participate in coordination of requirements to be met by configuration management.

Participate in securing of introduction of complaint management in the project.

Apply quality metrics.

Participate in securing that necessary layouts are edited, for example copyrights; adapt document requirements to suit the project, e.g. headers, numbering etc.

Control that open points from type testing and FAI are dealt with.

PM300 - Dispatch approval Participate in securing that the error and failure report process in the project is

functioning properly.

Participate in controlling of proper preparing and documentation of the FATs.

Participate in controlling that open points from type testing, FAI and FAT are dealt with.

PM400 - Material and resources at site no specific QMiP tasks

DRAFTor examplor exam

s, verification and validation planss, verification and validality. ality.

safety etc.). safety

structure and scope, customer ructure and scope,

vant for the project. vant for the project.

anning g

g gthat the effectivenethat the effec ss of the used rs of

monitoring that the testmonitoring that the test schedule a schedule ad.

ipate in coordination of requiremenpate in coordination

articipate in securing of introductionarticipate in securing of introd

Apply quality metrics. Apply quality metrics.

Participate in securing that neParticipate in securing tocument requirements toocument requirements

ol that open poinol that open poin

hh

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PM550 - Construction/installation completed Record and monitor all incidents relevant to quality.

Participate in review of the configuration recording as to whether it is implemented correctly throughout the entire work process.

Participate in check that all documents and templates relevant to commissioning are available.

PM600 - Release for customer acceptance Participate in securing that the configuration documents are archived securely and in

good time (parts with safety relevance and software releases).

Participate in securing that the as built-documentation is available.

PM650 - Customer acceptance Participate in planning and execution of the customer acceptance (SAT).

Participate in accompanying of the first and last lot, ensuring that any identified problems are reported promptly.

PM670 - Project closure Participate in work through open points from acceptance and securing that the entire

LoP (list of open points) is completed.

Participate in securing that the project is handed over to a warranty project manager, in an orderly fashion, where applicable.

PM700 - End of warranty No tasks for the QMiP in this phase, responsibility is transferred to the warranty PM.

2.2.2 Quality Targets Derived from the principles of the mandatory elements, the following individual quality requirements, targets and guiding principles have to be observed by each project team member:

Quality, environment, health and safety are personalEach team member is personally responsible for the quality of his work packages. No reviewer, releaser or Quality Manager will relieve from this responsibility.

Quality, environment, health and safety are obligatoryExisting or expected quality problems, delays or other deficiencies will immediately be reported to those being concerned.

Quality, environment, health and safety are all-embracingEach team member has defined tasks and responsibilities. All work results are planned and will be produced documented, traceable and on time.

DRAFTchived securely achived

es). es).

s available. s availa

customer acceptance (SAT). ustomer acceptance

nd last lot, ensuring that any identiflot, ensuring

open points from acceptance and sts from acceptance andis completed. is com

ng that the project is handed over tng that the project is handn, where applicable. n, where applica

of warranty rranty sks for the QMiP in this phase, respks for the QMiP in th

.2.2 Quality Targets .2.2 Quality Targets ed from the principles of ted from the principles o

ents, targets and gents, targets and g

vironviron

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2.2.3 Mobility Management Project Management and Execution

2.2.3.1 Project management procedures t.b.d. by customer and PM

2.2.3.2 Competence, qualification and training for project management

t.b.d.

2.2.3.3 PM milestones The relevant PM milestones for the project with respect to the project execution and warranty phase are defined as following.

Corresponding essential tasks of the QMiP are given in chapter 2.2.1.

PM080 - Start of project

Milestone PM080 concludes the “Project Handover” phase from the bid team to the project execution team. The expertise from the “Bid” and “Contract Negotiations” phases is documented and archived so that the designated and adequately certified project managers have the required information and knowledge to commence the detailed analysis and planning of the project.

PM100 - Order receipt clarified

Milestone PM100 concludes the “Project opening and clarification phase” and completes the project ramp up phase and initial project management planning with a Quality Gate.

PM200 - Approval of detailed planning

Milestone PM200 concludes the “Detailed planning phase” with release for purchasing and manufacture. When releasing production for individual lots, it may make sense to repeat the milestone either in whole or in part at certain points (for example first and last article).

PM260 - End of development

Milestone PM260 as an MO MM specific milestone concludes the adaptation development phase for project specific functionalities with the release of the implemented and tested new functions.

DRAFTfor projectfor pr

h respect to the project execution anpect to the proje

MiP are given in chapter 2.2.1. MiP are given in chapter 2

the “Project Handover” phase fromthe “Project Handover” phase fromertise from the “Bid” and “Contract ertise from the “Bid” and “

ived so that the designated and adeived so that the designated anformation and knowledge to commnformation and knowledge to com

project. ject.

Order receipt clarified Order receipt clarified

stone PM100 concludes the “Projecstone PM100 concludes the “Prooject ramp up phase and initial prooject ramp up phase and initial pro

- Approval of detaile- Approval of detai

M200 concludM200 concludWhen reWhen re

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PM265 - End of engineering

Milestone PM265 as an MO MM specific milestone concludes the customer installation specific data engineering and configuration phase with the release of tested installation specific configured product software and release of material for purchase.

PM300 - Dispatch approval

Milestone PM300 concludes the “Purchasing and Manufacture” phase with the dispatch approval. This refers to the dispatch to the final project site. When granting dispatch approval for individual lots it may make sense to repeat the milestone either in whole or in part at certain points (for example first and last article).

PM400 - Material and resources at site

Milestone PM400 concludes the “Dispatch” phase and starts construction and installation at the final project site. When starting assembly for individual lots, it may make sense to repeat the milestone either in whole or in part at certain points (for example for the first and last articles).

PM550 - Construction/installation completed

Milestone PM550 concludes the “Construction/Installation” phase at the final project site by handing over the plant from assembly to commissioning. When commissioning individual lots, it may make sense to repeat the milestone either in whole or in part at certain points (for example for the first and last articles).

PM600 - Release for customer acceptance

Milestone PM600 concludes the “Commissioning” phase at the final project site with a Quality Gate and initiates the acceptance phase with the customer. When accepting serial plant completion, it may make sense to repeat the milestone either in whole or in part at certain points (for example the first and last articles).

PM650 - Customer acceptance

Milestone PM650 concludes the “Acceptance” phase with customer acceptance. Generally, commercial operation commences after this milestone. When customer acceptance is granted for serial plant completion, it may make sense to repeat the milestone either in whole or in part at certain points (for example the first and last articles).

PM670 - Project closure

Milestone PM670 concludes the “Project closure phase” with a Quality Gate. In this process the project organization is dissolved and the project is handed over to the line organization – for example, for the fulfillment of the warranty obligations.

DRAFTh thh th

nting dispanting din whole or in pan who

d starts construction and installationd starts construction and installatindividual lots, it may make sense tondividual lots, it may make sense to

n points (for example for the first anoints (for example

completed mpleted

“Construction/Installation” phase atction/Installation” phase atssembly to commissioning. When commissioning. When c

repeat the milestone eitherrepeat the milestone eith in wholrd last articles). d last articles).

e for customer acceptance for customer acceptance

M600 concludes the “Commissionincludes the “CommissioninGate and initiates the acceptance phGate and initiates the acc

completion, it may make sense to rcompletion, it may make sensrtain points (for example the first anrtain points (for example the first an

0 - Customer acceptanc0 - Customer accepta

PM650 concludePM650 concludperation cperation c

l plal pla

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PM700 - End of warranty

Milestone PM700 concludes the “Warranty” phase and completes the project both technically and commercially. When processing serial article completion, the concluding PM700 must be performed on the last article.

2.2.3.4 Project organization The project organization is part of the PMP.

2.2.4 Project Management Plan The PMP is downloadable on the project folder.

2.2.5 Responsibilities in MM Customer Projects The responsibility matrix is downloadable in the project folder.

2.2.6 Lessons Learned A lessons learned will be carried out after each Work order to improve the project execution for the City of Chicago.

DRAFTCustomer Projects stomer Projen the project folder. folder.

ned rried out after each Work order to imried out after each Work order to im

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2.3 Cooperation with Customers

2.3.1 Communication Communication Plan applies.

2.3.2 Customer Satisfaction Survey Will be carried out after the first work order. And then instantly. ntly. ntly.

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2.4 QM-Related Processes in the Customer Project

2.4.1 Auditing Quality Audit of the project will be planned and executed during the execution phase.

2.4.2 Safety Management

2.4.2.1 Safety Assessment Center

Safety Assessment Center

Based upon the fulfilled preconditions

Evidence of quality management certified according to DIN ISO 9000 ff.

Evidence of qualified personnel and technical equipment for execution of inspection and assessment

Organizational independence of design/development departments and inspection/assessment body

Establishment of a safety assessment center

Nomination of a functional competent head of the safety assessment center

Mobility Management is authorized to execute inspection and assessment tasks for safety systems and equipment by own employees.

These tasks are arranged in the organizational unit Safety Assessment Center SAC. The SAC is directly assigned to the head of MO MM BE and functionally independent with regard to their evaluations. This organizational separation between SAC and projects is guaranteed.

The SAC is an acknowledged and competent partner concerning evaluation of safety of our systems and products. The Federal Railway Authority (Eisenbahn-Bundesamt, EBA) has accredited the SAC as inspection body in accordance with ISO 17020 / EN 45004 and as EBA acknowledged and responsible inspector.

2.4.2.2 Assessment and approval t.b.d.

DRAFTution ution

certified according to DIN ISO 9000ertified according to DIN IS

el and technical equipment for exectechnical equipment for exe

dence of design/development depadence of design/development depassment body ssment body

f a safety assessment center f a safety assessment center

of a functional competent head of tha functional competent head of th

agement is authorized to execute iis authorized to execute iand equipment by own employees. and equipment by own

e tasks are arranged in the organize tasks are arranged in the orgahe SAC is directly assigned to the hhe SAC is directly assigned to the h

ard to their evaluations. This oard to their evaluations. Tnteed.nteed.

s an acknowleds an acknowledproducts. products. DAC

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2.4.3 Change and Complaint Management t.b.d.

2.4.4 Control of Documents t.b.d.

2.4.5 Configuration Management t.b.d.

2.4.6 Requirements Management t.b.d.

2.4.7 QM Report for Safety Case t.b.d.

DRAFTt t

afety Case fety Case

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3 Topics complementing MM standard QM plan

3.1 Quality management on site In coordination with the site management the availability of QM resources and processes on site during the installation and commissioning phase shall be assured to

Establish installation/commissioning specific QM procedures

Monitor actuality of documentation applied on site

Monitor correct implementation of installation, commissioning and test processes

Monitor proper preparation and filing/archiving of test result reports

Perform quality audits according to the project audit plan

Prepare QM records and QM reports, if necessary.

3.2 Tools and utilities In the project the following tools will be applied:

Tool Producer, version Scope of application

TBD

Table 5 Tools and utilities applied in the project

DRARARAProducer, ver

RARAFTes and es and

d to d to

ssioning and test processes ssioning and test process

test result reports test re

ct audit plan t audit

ecessary. ary.

ilities es ols will be applied: plied

RASco

RARA

RARRA RARRRARARATools and utilities applied in the pand utilities applied in the p

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4 Lists

4.1 List of figures Figure 1 Mobility Management supplier management system ............................................ 11

4.2 List of tables Table 1 Terms........................................................................................................................... 5

Table 2 Abbreviations .............................................................................................................. 6

Table 3 Input documents ......................................................................................................... 6

Table 4 Other valid documents ............................................................................................... 7

Table 5 Tools and utilities applied in the project ................................................................ 25

Table 6 Input documents ............................................................. Error! Bookmark not defined.

DRAFT..........................................................................................

.........................................................................................................

.......................................................................................................................

...........................................................................................

e project ............................................t ...................

............................................ ...................................... Error! Boo

Optional customer logo; observe usage rights!

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DRAFT

Optional customer logo; observe usage rights!

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Attachment I. Project specific templates If applicable, project specific templates may be listed here.

DRAFT

Page | 167

Appendix B – Affirmative Action/EEO Plan

Siemens Industry, Inc. Small Offices Plan (MO)

2016 - 2017

Affirmative Action Plan

FOR INDIVIDUALS WITH DISABILITIES AND PROTECTED VETERANS

© 2016 THOMAS HOUSTON associates, inc.

All rights reserved. This publication may not be reproduced, stored in a retrieval system, or transmitted in whole or in part, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the express written permission of THOMAS HOUSTON associates, inc.

STATEMENT OF CONFIDENTIALITY

This Affirmative Action Plan contains confidential information, which is subject to the provision of 18 U.S.C. §1905. Chrysler Corporation v. Brown, 441 U.S. 281, 19 FEB 475(1979).

Copies of this Affirmative Action Plan and all related appendices, documents and support data are made available on loan to the U.S. Government upon the request of the Government on the condition that the Government hold them totally confidential and not release copies to any person whatsoever. This Affirmative Action Plan and its appendices and other supporting documents contain much confidential information, which may reveal, directly or indirectly, the Company's plans for business or geographical expansion or contraction. The Company considers this Affirmative Action Plan to be exempt from disclosure, reproduction and distribution under the Freedom of Information Act upon the grounds, among others, that such material constitutes: l) personnel files, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy, which are exempt from disclosure under 5 U.S.C. §552(b)(6); 2) confidential commercial or financial information which is exempt from disclosure under 5 U.S.C. §552(b)(4); 3) investigative records compiled for law enforcement purposes, the production of which would constitute an unwarranted invasion of personal privacy, which are exempt from disclosure under 5 U.S.C. §552(b)(7)(c); and as 4) matters specifically exempted from disclosure under 5 U.S.C. 552(b)(3). Notice is hereby given of a request pursuant to 41 C.F.R. §60-40.1 - §60-40.8 that portions of the Plan be kept confidential.

No information contained in the Affirmative Action Plan is to be copied, removed from the premises, or released to other individuals without a prior notification to Siemens Industry, Inc. Employees and applicants who receive permission to see relevant portions of the Affirmative Action Plan must treat the information contained therein as confidential and are not permitted to copy or remove information from the Company premises.

The Company wishes to make the following clear: it does not consent to the release of any information whatsoever contained in this Affirmative Action Plan under the Freedom of Information Act or otherwise. If the U.S. Government, or any agency or subdivision thereof, is considering breaching the conditions under which this Affirmative Action Plan was loaned to such Government, or is considering a request for release of this Plan under the Freedom of Information Act, request is hereby made that the Government immediately notify the Chief Executive Officer of this Company of any and all Freedom of Information Act requests received by the Government or any other contemplated release of this Plan by the Government which relates to information obtained by the Government from this Company.

This Company further requests that everyone who has any contact with this Affirmative Action Plan, or its supporting appendices, documents and other data treat such information as totally confidential, and that such information not be released to any person whatsoever. Retention or disclosure of information relating to identifiable individuals may also violate the Privacy Act of 1974.

Analyses contained in this AAP are conducted to comply with the technical requirements of 41CFR §60-2. The analyses are used in the proactive practice of affirmative action. The results of these analyses are neither a finding nor an admission of discrimination.

THOMAS HOUSTON associates, inc. ii

TABLE OF CONTENTS

STATEMENT OF CONFIDENTIALITY ................................................................................................................ I

TABLE OF CONTENTS ............................................................................................................................... II

APPENDICES ......................................................................................................................................... III

EEO POLICY STATEMENT.......................................................................................................................... 1

I. FACILITY IDENTIFICATION STATEMENT ....................................................................................................... 3

II. 60-741.5/60-300.5 EQUAL OPPORTUNITY CLAUSE................................................................................... 1

III. 60-741.40/60-300.40 APPLICABILITY OF THE AFFIRMATIVE ACTION PROGRAM REQUIREMENT.......................... 5

IV. 60-741.41/60-300.41 AVAILABILITY OF AFFIRMATIVE ACTION PROGRAM .................................................... 6

V. 60-741.42/60-300.42 INVITATION TO SELF-IDENTIFY .............................................................................. 7

VI. 60-741.43/60-300.43 AFFIRMATIVE ACTION POLICY ............................................................................ 10

VII. 60-741.44/60-300.44 REQUIRED CONTENTS OF AFFIRMATIVE ACTION PROGRAMS ..................................... 11

(A) POLICY STATEMENT .......................................................................................................... 11

(B) REVIEW OF PERSONNEL PROCESSES ...................................................................................... 12

(C) PHYSICAL AND MENTAL QUALIFICATIONS ............................................................................... 14

(D) REASONABLE ACCOMMODATION TO PHYSICAL AND MENTAL LIMITATIONS ..................................... 15

(E) HARASSMENT.................................................................................................................. 16

(F & G) OUTREACH AND POSITIVE RECRUITMENT; INTERNAL & EXTERNAL DISSEMINATION OF POLICY ............ 17

(H) AUDIT AND REPORTING SYSTEM .......................................................................................... 24

(I) RESPONSIBILITY FOR IMPLEMENTATION ................................................................................. 25

(J) TRAINING ....................................................................................................................... 26

(K) DATA COLLECTION ANALYSIS ............................................................................................... 27

VII. 60-741.45/60-300.45 UTILIZATION GOALS/BENCHMARKS .................................................................... 28

APPENDICES

THOMAS HOUSTON associates, inc. iii

APPENDICES

APPENDIX HEADING

I 60-300.44(k)/60-741.44(k) Protected Veteran/Individuals

with Disabilities Data Collection Analysis

II 60-741.45 Utilization Analysis Individuals with Disabilities

Siemens

THOMAS HOUSTON associates, inc. 1

EEO POLICY STATEMENT This is to affirm Siemens (the “Company”) policy of providing Equal Employment Opportunity to all employees and applicants for employment in accordance with all applicable Equal Employment Opportunity/Affirmative Action laws, directives and regulations of Federal, State and Local governing bodies or agencies thereof.

It is also the policy of Company to not discriminate against any employee or applicant for employment because of race, color, creed, religion, national origin, citizenship status, ancestry, sex, age, physical or mental disability, marital status, family responsibilities, pregnancy, genetic information, sexual orientation, gender expression, gender identity, transgender, sex stereotyping, protected veteran or military status, or any other consideration not related to the person's ability to do the job or otherwise made unlawful by federal, state or local law, and to provide equal employment opportunity and affirmative action for qualified individuals. This policy statement is included in this Affirmative Action Program and is posted on Company bulletin boards.

The Company will endeavor to recruit, hire, train, and promote persons in all job titles in accordance with this Affirmative Action Program. All other personnel actions are administered without regard to race, color, creed, religion, national origin, citizenship status, ancestry, sex, age, physical or mental disability, marital status, family responsibilities, pregnancy, genetic information, sexual orientation, gender expression, gender identity, transgender, sex stereotyping, protected veteran or military status, or any other consideration not related to the person's ability to do the job or otherwise made unlawful by federal, state or local law, and all employment decisions are based only on valid job requirements.

Eric Spiegel, President and CEO Siemens USA supports this policy and has assigned Kate Will as EEO Coordinator with overall responsibility for: annually updating the Affirmative Action Plan and the implementation of affirmative action activities as required by law.

The Veteran and Disabled Affirmative Action Plan shall be available to any employee or employment applicant for inspection in the Human Resources Department during normal business hours.

Kate Will’s responsibilities include designing and implementing an audit and reporting system that will:

Measure the effectiveness of the Company’s Affirmative Action Program. Indicate any need for remedial action. Determine the degree to which our objectives have been attained. Determine whether individuals with known disabilities and protected veterans have had the opportunity to participate in all Company-sponsored educational, training, recreational, and social activities.

Measure compliance with the Affirmative Action Program’s specific obligations.

Employees and applicants shall not be subjected to harassment, intimidation, threats, coercion, or discrimination because they have engaged in any of the following activities:

Filing a complaint. Assisting or participating in an investigation, compliance review, hearing, or any other activity related to the administration of Executive Order 11246, Section 503 of the Rehabilitation Act of 1973, as amended, Section 4212 of the Vietnam Era Veterans Readjustment Assistance Act of 1974, the Veterans Employment Opportunities Act of 1998 or any other Federal, State or local law requiring equal opportunity for individuals regardless of race, color, creed, religion, national origin, citizenship status, ancestry, sex, age, physical or mental disability, marital status, family

Siemens

THOMAS HOUSTON associates, inc. 2

responsibilities, pregnancy, genetic information, sexual orientation, gender expression, gender identity, transgender, sex stereotyping, protected veteran or military status.

Opposing any act or practice made unlawful by Executive Order 11246, Section 503 of the Rehabilitation Act of 1973, or its implementing regulations, Section 4212 of the Vietnam Era Veterans Readjustment Assistance Act of 1974, the Veterans Employment Opportunities Act of 1998 or any other Federal, State or local law requiring equal opportunity for individuals regardless of their race, color, creed, religion, national origin, citizenship status, ancestry, sex, age, physical or mental disability, marital status, family responsibilities, pregnancy, genetic information, sexual orientation, gender expression, gender identity, transgender, sex stereotyping, protected veteran or military status.

Exercising any other right protected by Executive Order 11246, Section 503 of the Rehabilitation Act of 1973, or its implementing regulations, or Section 4212 of the Vietnam Era Veterans Readjustment Assistance Act of 1974 or the Veterans Employment Opportunities Act of 1998.

10/1/2016

Siemens

THOMAS HOUSTON associates, inc. 3

I. FACILITY IDENTIFICATION STATEMENT

Siemens Industry, Inc. - Small Offices Plan (MO)

THOMAS HOUSTON associates, inc. 1

II. 60-741.5/60-300.5 EQUAL OPPORTUNITY CLAUSE

(a) Equal Opportunity for Individuals with Disabilities and Protected Veterans. Siemens

Industry, Inc. will not discriminate against any employee or applicant for employment

because of physical or mental disability or protected veteran status in regard to any

position for which the employee or applicant for employment is qualified. Siemens

Industry, Inc. agrees to take affirmative action to employ, advance in employment,

and otherwise treat qualified individuals with disabilities and qualified protected

veterans without discrimination based on their physical or mental disability or

protected veteran status in all employment practices, including the following:

(i) Recruitment, advertising, and job application procedures;

(ii) Hiring, upgrading, promotion, award of tenure, demotion, transfer, layoff,

termination, right of return from layoff and rehiring;

(iii) Rates of pay or any other form of compensation and changes in compensation;

(iv) Job assignments, job classifications, organizational structures, position

descriptions, lines of progression and seniority lists;

(v) Leaves of absence, sick leave, or any other leave;

(vi) Fringe benefits available by virtue of employment, whether or not

administered by Siemens Industry, Inc.;

(vii) Selection and financial support for training, including apprenticeship and on the

job training, professional meetings, conferences, and other related activities,

and selection for leaves of absence to pursue training;

(viii) Activities sponsored by Siemens Industry, Inc. including social or recreational

programs; and

(ix) Any other term, condition, or privilege of employment.

Siemens Industry, Inc. agrees to list all employment openings with the local

employment service delivery system (ESDS) where the opening is located and by any manner

Siemens Industry, Inc. - Small Offices Plan (MO)

THOMAS HOUSTON associates, inc. 2

and format permitted by the appropriate ESDS which will allow that system to provide priority

referrals of protected veterans. All employment openings will be listed except: executive and

top management positions, those positions that will be filled from within the Company’s

organization and positions lasting three days or less. The term “employment openings”

includes full time employment, temporary employment of more than three days duration and

part-time employment. Listings with employment services will be concurrent with the use of

any other job search firm and their contact information will be provided to the ESDS. The ESDS

will be advised of, the company’s status as a federal contractor, contact information for the

hiring official in each location in the state, and request for priority referrals of protected

veterans.

Siemens Industry, Inc. agrees to comply with the rules, regulations and relevant orders

of the Secretary of Labor issued pursuant to the Rehabilitation Act of 1973, as amended, the

Vietnam Era Veterans Readjustment Assistance Act of 1974, as amended, and the Veterans

Employment Opportunities Act of 1998 (“the Acts”).

In the event of the Siemens Industry, Inc.’s non-compliance with the requirements of

this clause, actions for non-compliance may be taken in accordance with the rules, regulations

and relevant orders of the Secretary of Labor issued pursuant to the Acts.

Siemens Industry, Inc. agrees to post in conspicuous places, available to employees

and applicants for employment, notices in a form to be prescribed by the Deputy Assistant

Secretary for Federal Contract Compliance Programs. Such notices shall state the rights of

applicants and employees as well as Siemens Industry, Inc.’s obligation under the law to take

affirmative action to employ and advance in employment qualified individuals with disabilities

and qualified protected veterans. Siemens Industry, Inc. will ensure that individuals with

disabilities and protected veterans are informed of the contents of the notice. For example,

Siemens Industry, Inc. may have the notice read to a visually disabled individual, or may lower

the posted notice so that a person in a wheelchair might read it. With respect to employees

who do not work at one of the Siemens Industry, Inc. physical locations, Siemens Industry, Inc.

will satisfy its posting obligation by posting such notices in an electronic format ensuring that

such employees have access to the electronic posting notice. When utilizing an electronic job

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posting application system, Siemens Industry, Inc., will provide an electronic notice, included in

a conspicuous manner with or as part of the electronic application, informing job applicants of

their rights.

Each labor organization or representative of workers with which there is a collective

bargaining agreement or other contract understanding will be notified that the Company is

bound by the terms of section 503 of the Rehabilitation Act of 1973, the Vietnam Era Veterans

Readjustment Assistance Act of 1974 and the Veterans Employment Opportunities of 1998, as

amended, and is committed to take affirmative action to employ and advance in employment

individuals with disabilities and protected veterans.

Siemens Industry, Inc. will include the provisions of this clause in every subcontract in

excess of $100,000 and in purchase orders so that such provisions will be binding upon each

subcontractor or vendor. Exemptions may be applied in accordance with the rules, regulations,

or orders of the Secretary issued pursuant to section 503 of the Rehabilitation Act of 1973, the

Vietnam Era Veterans Readjustment Assistant Act of 1974, and the Veterans Employment

Opportunities Act of 1998, as amended. Siemens Industry, Inc. will take such action with

respect to any subcontract or purchase order as the Deputy Assistant Secretary for Federal

Contract Compliance Programs may direct to enforce such provisions, including action for non-

compliance.

(a) Subcontracts. Siemens Industry, Inc. will include the equal opportunity clause in

each of its subcontracts subject to this part.

(b) Adaption of Language. Such necessary changes in language may be made to the

equal opportunity clause as shall be appropriate to identify properly the parties

and their undertakings.

(c) Inclusion of the Equal Opportunity Clause (EO) in the Contract. It is not

necessary that the equal opportunity clause be quoted verbatim in any contract,

subcontract, or purchase order. The EO clause will be made a part of the

contract by citation to 41 CFR 60-741 and 41 CFR 60-300.5(a) and by inclusion of

the prescribed language, in bold text.

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(d) Incorporation by Operation of the Act. By operation of the Act, the equal

opportunity clause shall be considered to be a part of every contract and

subcontract required by the Acts and the regulations in this part to include such

a clause. This applies whether or not it is physically incorporated in such

contract and whether or not there is a written contract between the agency and

Siemens Industry, Inc.

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III. 60-741.40/60-300.40 APPLICABILITY OF THE AFFIRMATIVE ACTION PROGRAM REQUIREMENT

(a) This Affirmative Action Plan has been prepared in accordance with the provisions of

Subpart C - Affirmative Action Program.

(b) This Affirmative Action Plan is reviewed and updated annually.

(c) This Plan will be submitted within 30 days of a request from the OFCCP, unless the

request provides for a different timeframe. Siemens Industry, Inc. will make the

Affirmative Action Plan promptly available upon the OFCCP’s request.

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IV. 60-741.41/60-300.41 AVAILABILITY OF AFFIRMATIVE ACTION PROGRAM

The Affirmative Action Plan, absent the data metrics, is available to any employee or

employment applicant for inspection upon request. The location and hours during which the

Plan may be obtained is posted on Company bulletin boards.

Upon request, the Company provides the Affirmative Action Plan, absent the data

metrics, for inspection. The Company bulletin boards display the location and hours during

which employees or applicants may obtain the Plan.

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V. 60-741.42/60-300.42 INVITATION TO SELF-IDENTIFY

Siemens Industry, Inc. will invite applicants to inform the contractor whether the

applicant believes that he or she is an individual with a disability or a protected veteran who

may be covered by the Act. This invitation may be included in the application materials for the

position, but in any circumstance shall be provided to applicants prior to making an offer of

employment to a job applicant.

In addition to the pre-offer invitation Siemens Industry, Inc. will invite applicants to

inform the contractor whether the applicant believes that he or she is an individual with a

disability and whether he or she belongs to one or more of the specific categories of protected

veteran for which the contractor is required to report under the regulations. Such an invitation

shall be made at any time after the offer of employment but before the applicant begins his or

her job duties. The invitation invites the individual to express any wishes to benefit under the

Affirmative Action Program. A copy of the Invitation to Self Identify is included at the end of

this section.

The invitation states that a request to benefit under the Affirmative Action Program

may be made immediately and/or at any time in the future. The invitation also summarizes the

relevant portions of the Act and the Affirmative Action Program.

Furthermore, the invitation states that the information is being requested on a

voluntary basis, that it will be kept confidential, that refusal to provide it will not subject the

applicant to any adverse treatment, and that it will not be used in a manner inconsistent with

the Act. If an applicant so identifies himself or herself as an individual with a disability or a

disabled veteran in the post-offer self-identification, Siemens Industry, Inc. will inquire of the

applicant whether an accommodation is necessary, and if so, will engage with the applicant

regarding reasonable accommodation.

Siemens Industry, Inc. may also make such inquiries to the extent they are consistent

with the ADA (e.g., in the context of asking applicants to describe or demonstrate how they

would perform the job). The contractor will maintain a separate file of all medical examinations

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and inquiries on persons who have self-identified as individual with a disability or a disabled

veteran.

Siemens Industry, Inc. will keep all information on self-identification confidential and

provide the information to the OFCCP upon request. This information will be used only in

accordance with these regulations. If an applicant identifies himself or herself as an individual

with a disability or a disabled veteran in the post-offer self-identification detailed in paragraph

(b) of this section, the contractor should inquire of the applicant whether an accommodation is

necessary, and if so, should engage with the applicant regarding reasonable accommodation.

The contractor may make such inquiries to the extent they are consistent with the Americans

with Disabilities Act of 1990 (ADA), 42 U.S.C. 12101, et seq. The contractor shall maintain a

separate file in accordance with § 60-741.23(d) on an individual with a disability and § 60-

300.23(d) on persons who have self-identified as disabled veterans.

Nothing in this section relieves Siemens Industry, Inc. of its obligation to take

affirmative action with respect to those applicants or employees who are known to the

contractor to be an individual with a disability or a protected veteran.

Nothing in this section relieves Siemens Industry, Inc. from liability for discrimination

under the Act.

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Siemens Industry, Inc.

INVITATION TO SELF-IDENTIFY NOTICE

This employer is a Government contractor subject to section 503 of the Rehabilitation

Act of 1973, as amended, and the Vietnam Era Veterans’ Readjustment Assistance Act of 1974,

as amended by the Jobs for Veterans Act of 2002, 38 U.S.C. 4212 (VEVRAA), which requires

Government contractors to take affirmative action to employ and advance in employment: (1)

disabled veterans; (2) recently separated veterans; (3) active duty wartime or campaign badge

veterans; and (4) Armed Forces service medal veterans under 41 CFR 61-300.

If you are an individual with a disability, a protected veteran, a pre-JVA veteran or a

pre-JVA special disabled veteran and would like to be considered under the affirmative action

program, please tell us. You may inform us of your desire to benefit under the program at this

time and/or at any time in the future. This information will assist us in placing you in an

appropriate position and in making accommodations. The affirmative action plan is available

for inspection in the Human Resources Department during normal business hours. Submission

of this information is voluntary and refusal to provide it will not subject you to any adverse

treatment. Information you submit related to your disability will be kept confidential, except

that (i) supervisors and managers may be informed regarding job related work restrictions and

any necessary accommodations; (ii) first aid and safety personnel may be informed, when and

to the extent appropriate, if the condition might require emergency treatment; and (iii)

Government officials engaged in enforcing laws administered by the OFCCP or the Americans

with Disabilities Act, may be informed. The information provided will be used only in ways that

are consistent with the laws referenced above.

10/1/2016

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VI. 60-741.43/60-300.43 AFFIRMATIVE ACTION POLICY

It is the policy of Siemens Industry, Inc. not to discriminate against individuals because

of their physical or mental disability or veteran status and to take affirmative action to employ

and advance in employment qualified individuals with disabilities and qualified protected

veterans at all levels of employment, including the executive level. Such actions apply to all

employment activities.

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VII. 60-741.44/60-300.44 REQUIRED CONTENTS OF AFFIRMATIVE ACTION PROGRAMS

(a) POLICY STATEMENT

It is the policy of Siemens Industry, Inc. not to discriminate against individuals because

of their physical or mental disabilities or protected veteran status and to provide equal

employment opportunity and affirmative action for qualified individuals with disabilities and

qualified protected veterans. The policy statement is included in this Affirmative Action Plan

and is posted on Company bulletin boards.

Siemens Industry, Inc. will provide applicants and employees who identify as

individuals with a disability or a disabled veteran the notice in a form that is accessible and

understandable to the individual with a disability or disabled veteran (e.g., providing Braille or

large print versions of the notice, or posting the notice for visual accessibility to persons in

wheelchairs).

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(b) REVIEW OF PERSONNEL PROCESSES

Siemens Industry, Inc.’s personnel processes provide for careful, thorough, and

systematic consideration of the job qualifications of applicants and employees with known

disabilities and known protected veterans for job vacancies filled either by hiring or promotion,

and for all training opportunities offered or available. When protected veterans are considered

for employment, Siemens Industry, Inc. relies only on that portion of the applicant’s military

record, including his or her discharge papers, relevant to the requirements of the opportunity in

issue. Siemens Industry, Inc.’s personnel processes do not stereotype individuals with

disabilities or protected veterans in a manner which limits their access to all jobs for which they

are qualified. Siemens Industry, Inc. will ensure that applicants and employees with disabilities

have equal access to its personnel processes, including those implemented through information

and communication technologies. Siemens Industry, Inc. will provide necessary reasonable

accommodation to ensure applicants and employees with disabilities and protected veterans

receive equal opportunity in the operation of personnel processes. Personnel processes will be

periodically reviewed and Siemens Industry, Inc. will make any necessary modifications to

ensure that these obligations are carried out. A description of the review and any necessary

modifications to personnel processes or development of new processes will be included in the

affirmative action program required under this part.

To ensure that these obligations are carried out, examples of procedures that may be

developed as a result of these reviews are:

(1) The application or personnel form of each known individual with a disability or

known protected veteran should be annotated to identify each vacancy for

which the applicant was considered. The forms will be retrievable for review by

the Department of Labor and Siemens Industry, Inc.’s officials for use in

investigations and internal compliance activities.

(2) The personnel or application records of each known individual with a disability or

known protected veteran should include:

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(i) The identification of each promotion for which the employee with a

disability or protected veteran was considered, and

(ii) The identification of each training program for which the individual with a

disability or protected veteran was considered.

(3) In each case where an employee or applicant who is an individual with a

disability or protected veteran is rejected for employment, promotion, or

training, a statement of the reason will be appended to the personnel file or

application form as well as a description of the accommodations considered.

The statement of the reason for rejection (if the reason is medically related), and

the description of the accommodations considered, will be treated as

confidential medical records. This statement will be available to the applicant or

employee concerned upon request.

(4) Where applicants or employees are selected for hire, promotion, or training and

Siemens Industry, Inc. undertakes any accommodation which makes it possible

to place an individual with a disability or protected veteran on the job, the

application form or personnel record will contain a description of that

accommodation and the record will be treated as a confidential medical record.

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(c) PHYSICAL AND MENTAL QUALIFICATIONS

(1) All physical and mental job qualification standards for positions will be reviewed

to ensure that, to the extent that qualification standards tend to screen out

qualified individuals with disabilities or qualified disabled veterans, they are job-

related for the position in question and are consistent with business necessity.

(2) Whenever Siemens Industry, Inc. applies physical or mental job qualification

standards in the selection of applicants or employees for employment or other

change in employment status such as promotion, demotion or training,

consideration will be given to the following: to the extent that qualification

standards tend to screen out qualified individuals with disabilities or qualified

disabled veterans, the standards shall be related to the specific job or jobs for

which the individual is being considered and are consistent with business

necessity.

(3) Siemens Industry, Inc. may use as a defense to an allegation of a violation of

paragraph (c)(2) of this section that an individual poses a direct threat, as

defined in the regulations, to the health or safety of the individual or others in

the workplace. Once Siemens Industry, Inc. believes that a direct threat exists,

Siemens Industry, Inc. shall create a statement of reasons supporting its belief,

addressing each of the criteria for “direct threat” listed in the regulations. This

statement shall be treated as a confidential medical record and shall be retained

as an employment record subject to the recordkeeping requirements.

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(d) REASONABLE ACCOMMODATION TO PHYSICAL AND MENTAL LIMITATIONS

Siemens Industry, Inc. will make reasonable accommodation to the known physical or

mental limitations of an otherwise qualified individual with a disability or qualified disabled

veteran unless it can demonstrate that the accommodation would impose an undue hardship

on the operation of its business. If an employee who is known to be a disabled individual or

disabled veteran is having significant difficulty performing his or her job, and it is reasonable to

conclude that the performance problem may be related to their known disability, Siemens

Industry, Inc. will confidentially notify the employee of the performance problem. Inquiry will

be made as to whether the problem is related to the employee’s disability. If the employee

responds affirmatively, Siemens Industry, Inc. will confidentially inquire whether the employee

is in need of a reasonable accommodation.

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(e) HARASSMENT

Siemens Industry, Inc. will develop and implement procedures to ensure those

employees with disabilities and protected veterans are not harassed because of their disability

or protected veteran status.

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(f & g) OUTREACH AND POSITIVE RECRUITMENT; INTERNAL & EXTERNAL DISSEMINATION OF POLICY

(1) Required Outreach Efforts

Siemens Industry, Inc.’s shall undertake and design appropriate outreach and positive

recruitment activities, outlined in this section, to effectively recruit qualified individuals with

disabilities and protected veterans.

Additionally, Siemens Industry, Inc. recognizes that the success of our outreach

program is dependent upon internal support from supervisory and management personnel and

other employees who may have had contact with individuals with disabilities and protected

veterans in the past. In order to assure greater employment cooperation and participation in

our efforts, Siemens Industry, Inc. will implement the internal procedures outlined in this

section. These procedures will be designed to communicate and promote the Company’s

obligation to engage in affirmative action efforts to employ and advance in employment

qualified individuals with disabilities and qualified protected veterans. It is intended that these

procedures will foster understanding, acceptance and support among executive, management,

supervisory and other employees and to encourage such persons to take the necessary actions

to aid us in meeting our obligations.

The scope of recruitment efforts and internal practices will be determined with

consideration to all circumstances, including current resources.

(2) Examples of outreach and recruitment activities

Examples of existing and forecasted external and internal dissemination and

implementation, as well as outreach and positive recruitment activities are as follows:

Post all pertinent policies on Company bulletin boards and Company intranet.

Conduct periodic audits to ensure pertinent policies and all required state and

federal posters are appropriately displayed as required.

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Notify union(s) of the existence of the company’s Affirmative Action Program

and Non-Discrimination obligations/policies and the union obligations under the

Programs/Policies. Meet with union officials and/or employee representatives

to inform them of the Company’s policy, and request their cooperation.

Include the required equal opportunity clause mandatory language on all

government contracts, as well as on all sub-contracts or purchase orders.

Include the EEO tag line in all recruitment solicitations or employment

advertisement placed by or on behalf of the contractor.

File the VETS-4212 report annually.

List all full-time and part-time employment openings with the local employment

service office in any “manner and format” that the appropriate employment

service delivery system (ESDS) permits that will allow it to provide priority

referrals of protected veterans.

Provide equal opportunity to qualified disabled veterans, Pre-JVA special

disabled veterans and individuals with disabilities to online application systems

by making reasonable accommodation to ensure equal access for submitting to

job openings.

Make the full Protected Veterans and Individuals with Disabilities Affirmative

Action Plan, absent the data metrics, available to any employee or applicant for

employment upon request.

EEO policy statement to include top United States executive’s support for the

Affirmative Action Plan.

Establish a procedure and conduct an annual review of personnel processes to

provide for careful, thorough and systematic consideration for equal access of all

applicants and employees who are known to be a protected veteran and/or an

individual with a disability for all job vacancies and training opportunities.

Ensure that applicants and employees with disabilities have equal access to

personnel processes, including those implemented through information and

communication technologies. Conduct periodic review of these processes and

make any necessary modification to ensure these obligations are carried out.

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Develop and adhere to a schedule for the periodic review and update of position

descriptions, including all physical and mental job qualification standards, tests

and other selection criteria to ensure they are consistent with job relatedness

and business necessity and include only valid, job related criteria.

Make reasonable accommodations to the known physical or mental limitations

of an otherwise qualified disabled veteran, Pre-JVA special disabled veteran, or

individual with a disability unless it can demonstrate that the accommodation

would impose an undue hardship on the operation of its business.

Develop and implement procedures to ensure that employees are not harassed

because of their protected veteran or disability status.

Invite voluntary self-identification of protected veteran at pre-offer and post-

offer stages of employment.

Invite voluntary self-identification of Individuals with Disabilities (IWD) at the

pre-offer and post-offer stages of employment, using the mandatory required

OFCCP form.

If the invitation to self-identify is included with the application materials, it is

kept completely separate from the application.

Review and revise qualification standards, tests and other selection criteria to

ensure job relatedness and business necessity.

Ensure that compensation is not reduced because of disability benefits or the

actual or anticipated cost of the individual’s reasonable accommodation.

Ensure that policy/process regarding voluntary medical examinations and

activities reflects that these need not be job related and consistent with business

necessity.

Enlist assistance and support of specialized recruiting sources/organizations from

the OFCCP expanded list.

Establish meaningful contacts in recruiting and developing on-the-job training

opportunities in order to provide employment opportunities for protected

veterans and individuals with disabilities.

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Send written notification of Company policy related to its affirmative action

efforts to all subcontractors, vendors, and suppliers, requesting appropriate

action on their part.

Participate in work-study programs with Department of Veterans Affairs and

rehabilitation facilities which specialize in placement, training, or educating

disabled veterans, and with work-study programs for students, trainees, or

interns with disabilities.

Make available protected veterans and individuals with disabilities for

participation in career days, youth motivation programs, and related activities in

their communities.

Document and annually evaluate all outreach and recruitment activities.

Maintain the data collected for the current and two prior AAP years; (1) Evaluate

the criteria used to assess the effectiveness of each outreach and recruitment

effort; (2) Document the conclusion as to whether each effort was effective.

Include the EEO Policy in the Company policy manual, or otherwise make the

policy available to its employees.

Inform all employees and prospective employees of the company’s commitment

to engage in affirmative action to increase employment opportunities for

protected veterans and individuals with disabilities.

Publicize in the company newsletter, magazine, annual report, and other media

its commitment to engage in affirmative action to increase employment

opportunities for protected veterans and individuals with disabilities.

Conduct special meetings with executive, management, and supervisory

personnel to explain the intent of the affirmative action policy and individual

responsibility for effective implementation, making clear the top Chief Executive

Officer’s support for the Affirmative Action Policy.

Discuss the policy thoroughly in both employee orientation and management

training programs.

Feature pictures of protected veterans and individuals with disabilities and

accomplishments of same in company publications.

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Design and implement an audit and reporting system that will measure the

success of the affirmative action program and take any necessary action to

address identified deficiencies.

Train all personnel involved in recruitment, screening, selection, promotion,

disciplinary and related processes to ensure the commitments in the affirmative

action program are implemented.

Document the following computations or comparisons pertaining to applicants

and hires on an annual basis and maintain them for a period of three (3) years:

(1) The number of applicants who self-identified as protected veteran or

individuals with disabilities or who are otherwise known to be individuals with

disabilities; (2) The total number of job openings and total number of jobs filled;

(3) The total number of applicants for all jobs; (4) The number of protected

veteran applicants hired, the number of applicants with disabilities hired; and (5)

The total number of applicants hired.

Develop and implement an Educational Assistance Program and communicate

the availability to all employees.

Develop and utilize workforce flexibility programs in order to attract and retain

employees.

Develop and utilize summer, co-op, and/or internship programs that promote

the employment of protected class members.

Develop and implement an Employee Assistance Program and communicate the

availability to all employees.

Conduct employee satisfaction surveys on a periodic basis.

Develop Employee Resource Groups (ERG)/Affinity Groups and communicate the

availability to all employees.

Inform organizations, community agencies, and community leaders for

minorities, females, protected veterans and individual with disabilities, of the

Company’s affirmative action policy in writing.

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Actively support and establish meaningful working relationships with local and

national community service agencies, organizations, and programs designed to

support and improve the employment opportunities for protected class

members.

Establish meaningful contacts and working relationships with specialized

recruiting sources, community agencies, and/or organizations for protected class

members.

Require Human Resources and/or Senior Management review and approval for

all hires to ensure compliance with established Company guidelines.

Post open positions at any of the following: web-sites, secondary schools,

professional organizations, trade and association journals; and/or participate in

job fairs, targeting protected class members.

Develop and utilize an employee referral system, encouraging all employees to

participate.

Require Human Resources and/or Senior Management review and approval for

all promotions to ensure compliance with established Company guidelines.

Review all pertinent employment records when making competitive promotion

selections.

Ensure that seniority practices do not have a discriminatory effect.

Require Human Resources and/or Senior Management approval for review and

all terminations to ensure compliance with established Company guidelines.

Develop and utilize a progressive discipline/termination policy and/or process for

the resolution of employee performance issues for all involuntary terminations.

Conduct exit interviews on a consistent basis.

Require Human Resources and/or Senior Management review and approval for

all layoffs/reductions in force to ensure compliance with established Company

guidelines.

Develop and consistently utilize a layoff/reduction in force policy and/or process

when such actions occur.

Conduct adverse impact analyses prior to a layoff/reduction in force.

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Require Human Resources and/or Senior Management review and approval for

all job offers to ensure compliance with established compensation guidelines.

Develop and consistently utilize salary ranges to ensure equity in position

salaries.

Review exempt/non-exempt designations to ensure full compliance with FLSA

regulations.

Conduct periodic pay equity analyses and determine salary adjustments through

a process that includes measurable components.

Develop and consistently utilize a formal performance evaluation and merit

increase program and train management personnel on the process.

(3) Assessment of external outreach and recruitment efforts.

Siemens Industry, Inc.’s shall, on an annual basis, review the outreach and recruitment

efforts it has taken over the previous twelve months to evaluate their effectiveness in

identifying and recruiting qualified individuals with disabilities and qualified protected veterans.

Siemens Industry, Inc. shall document each evaluation, including, at a minimum, the criteria it

used to evaluate the effectiveness of each effort and the contractor’s conclusion as to whether

each effort was effective. Among these criteria, shall be the data collected pursuant to

paragraph (k) of this section for the current year and the two most recent previous years.

Siemens Industry, Inc.’s conclusion as to the effectiveness of its outreach efforts must be

reasonable as determined by OFCCP in light of these regulations. If Siemens Industry, Inc.

concludes the totality of its efforts were not effective in identifying and recruiting qualified

individuals with disabilities and protected veterans, it shall identify and implement alternative

efforts in order to fulfill its obligations.

(4) Recordkeeping obligation

Siemens Industry, Inc. shall document all activities it undertakes to comply with the

regulations of this section, and retain these documents for a period of three (3) years.

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(h) AUDIT AND REPORTING SYSTEM

Siemens Industry, Inc. shall design and implement an audit and reporting system that

will:

(i) Measure the effectiveness of the Company’s Affirmative Action Program.

(ii) Indicate any need for remedial action;

(iii) Determine the degree to which our objectives have been attained;

(iv) Determine whether individuals with disabilities and known protected veterans

have had the opportunity to participate in all Company-sponsored educational,

training, recreational, and social activities;

(v) Measure compliance with the Affirmative Action Program’s specific obligations;

(vi) Document the actions taken to comply with the obligations of paragraphs (h)(i)

through (v) of this section, and retain these documents as employment records

subject to the recordkeeping requirements.

Where the affirmative action program is found to be deficient, Siemens Industry, Inc.

shall undertake necessary action to bring the program into compliance.

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(i) RESPONSIBILITY FOR IMPLEMENTATION

The EEO Coordinator, named in the Facility ID statement, is the Company individual

assigned responsibility for implementation of Siemens Industry, Inc.’s affirmative action

activities. The EEO Coordinator’s identity appears on all internal and external communications

regarding the Company’s Affirmative Action Program. This individual will be given necessary

top management support and staff to manage the implementation of this Program.

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(j) TRAINING

All personnel involved in the recruitment, screening, selection, promotion,

disciplinary, and related processes will be trained to ensure that the commitments in this

Affirmative Action Plan are implemented.

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(k) DATA COLLECTION ANALYSIS

Siemens Industry, Inc. shall document the following computations or comparisons

pertaining to applicants and hires on an annual basis and maintain them for a period of three

(3) years:

(1) The number of applicants who self-identified as an individual with disability or a

protected veteran or who are otherwise known to be an individual with

disability;

(2) The total number of job openings and total number of jobs filled;

(3) The total number of applicants for all jobs;

(4) The number of individuals with disabilities and protected veteran applicants

hired, and;

(5) The total number of applicants hired.

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VII. 60-741.45/60-300.45 UTILIZATION GOALS/BENCHMARKS

The utilization goal or benchmark, as applicable, is not a rigid and inflexible quota

which must be met, nor is it to be considered either a ceiling or a floor for the employment of

particular groups. Quotas are expressly forbidden.

Siemens Industry, Inc. shall annually evaluate its utilization of individuals with

disabilities in each job group, or in its entire workforce as provided in paragraph (d)(2)(i) of this

section.

Establish a utilization goal of 7% for the employment of qualified individuals with

disabilities for each job group.

Siemens Industry, Inc. shall establish a benchmark for protected veterans by adopting

the OFCCP National Percentage of Veterans in the Civilian Labor Force or develop Individualized

Hiring Benchmarks based on the five specified factors.

Adopt OFCCP National Benchmark for Hiring Protected Veterans in the civilian

labor force.

Siemens Industry, Inc. Small Offices Plan (MO)

2016 - 2017

Affirmative Action Plan

© 2016 THOMAS HOUSTON associates, inc.

All rights reserved. This publication may not be reproduced, stored in a retrieval system, or transmitted in whole or in part, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the express written permission of THOMAS HOUSTON associates, inc.

STATEMENT OF CONFIDENTIALITY

This Affirmative Action Plan contains confidential information, which is subject to the provision of 18 U.S.C. §1905. Chrysler Corporation v. Brown, 441 U.S. 281, 19 FEB 475(1979).

Copies of this Affirmative Action Plan and all related appendices, documents and support data are made available on loan to the U.S. Government upon the request of the Government on the condition that the Government hold them totally confidential and not release copies to any person whatsoever. This Affirmative Action Plan and its appendices and other supporting documents contain much confidential information, which may reveal, directly or indirectly, the Company's plans for business or geographical expansion or contraction. The Company considers this Affirmative Action Plan to be exempt from disclosure, reproduction and distribution under the Freedom of Information Act upon the grounds, among others, that such material constitutes: l) personnel files, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy, which are exempt from disclosure under 5 U.S.C. §552(b)(6); 2) confidential commercial or financial information which is exempt from disclosure under 5 U.S.C. §552(b)(4); 3) investigative records compiled for law enforcement purposes, the production of which would constitute an unwarranted invasion of personal privacy, which are exempt from disclosure under 5 U.S.C. §552(b)(7)(c); and as 4) matters specifically exempted from disclosure under 5 U.S.C. 552(b)(3). Notice is hereby given of a request pursuant to 41 C.F.R. §60-40.1 - §60-40.8 that portions of the Plan be kept confidential.

No information contained in the Affirmative Action Plan is to be copied, removed from the premises, or released to other individuals without a prior notification to Siemens Industry, Inc. Employees and applicants who receive permission to see relevant portions of the Affirmative Action Plan must treat the information contained therein as confidential and are not permitted to copy or remove information from the Company premises.

The Company wishes to make the following clear: it does not consent to the release of any information whatsoever contained in this Affirmative Action Plan under the Freedom of Information Act or otherwise. If the U.S. Government, or any agency or subdivision thereof, is considering breaching the conditions under which this Affirmative Action Plan was loaned to such Government, or is considering a request for release of this Plan under the Freedom of Information Act, request is hereby made that the Government immediately notify the Chief Executive Officer of this Company of any and all Freedom of Information Act requests received by the Government or any other contemplated release of this Plan by the Government which relates to information obtained by the Government from this Company.

This Company further requests that everyone who has any contact with this Affirmative Action Plan, or its supporting appendices, documents and other data treat such information as totally confidential, and that such information not be released to any person whatsoever. Retention or disclosure of information relating to identifiable individuals may also violate the Privacy Act of 1974.

Analyses contained in this AAP are conducted to comply with the technical requirements of 41CFR §60-2. The analyses are used in the proactive practice of affirmative action. The results of these analyses are neither a finding nor an admission of discrimination.

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TABLE OF CONTENTS

STATEMENT OF CONFIDENTIALITY ................................................................................................................ I

TABLE OF CONTENTS ................................................................................................................................ I

APPENDICES .......................................................................................................................................... II

EEO POLICY STATEMENT.......................................................................................................................... 1

I. FACILITY IDENTIFICATION STATEMENT ....................................................................................................... 3

II. 60-2.10 GENERAL PURPOSE AND CONTENTS OF AFFIRMATIVE ACTION PROGRAMS ............................................ 1

III. 60-2.11 ORGANIZATIONAL PROFILE ...................................................................................................... 2

IV. 60-2.12 JOB GROUP ANALYSIS ............................................................................................................ 3

V. 60-2.13 PLACEMENT OF INCUMBENTS IN JOB GROUPS................................................................................ 4

VI. 60-2.14 DETERMINING AVAILABILITY .................................................................................................... 5

VII. 60-2.15 COMPARING INCUMBENCY TO AVAILABILITY ............................................................................... 7

VIII. 60-2.16 PLACEMENT GOALS .............................................................................................................. 8

IX. 60-2.17 (A) DESIGNATION OF RESPONSIBILITY ....................................................................................... 10

X. 60-2.17 (B) IDENTIFICATION OF PROBLEM AREAS .................................................................................... 11

XI. 60-2.17 (C) ACTION-ORIENTED PROGRAMS .......................................................................................... 13

XII. 60-2.17 (D) INTERNAL AUDIT AND REPORTING SYSTEM .......................................................................... 18

XIII. 60-20 SEX DISCRIMINATION GUIDELINES ............................................................................................ 19

XIV. 60-50 GUIDELINES ON DISCRIMINATION BECAUSE OF RELIGION OR NATIONAL ORIGIN .................................. 21

XV. AAP CONCLUSION .......................................................................................................................... 22

APPENDICES

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APPENDICES

APPENDIX HEADING

I Job Group Structure Chart Personnel Activity Tables

II Organizational Profile/Workforce Analysis

III Job Group Analysis

IV Recruiting Area Report Availability Analysis Placement of Incumbents/Utilization Analysis/

Placement Goals Analysis by Job Group Narrative

V Analysis of Affirmative Action Progress

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EEO POLICY STATEMENT This is to affirm Siemens (the “Company”) policy of providing Equal Employment Opportunity to all employees and applicants for employment in accordance with all applicable Equal Employment Opportunity/Affirmative Action laws, directives and regulations of Federal, State and Local governing bodies or agencies thereof.

It is also the policy of Company to not discriminate against any employee or applicant for employment because of race, color, creed, religion, national origin, citizenship status, ancestry, sex, age, physical or mental disability, marital status, family responsibilities, pregnancy, genetic information, sexual orientation, gender expression, gender identity, transgender, sex stereotyping, protected veteran or military status, or any other consideration not related to the person's ability to do the job or otherwise made unlawful by federal, state or local law, and to provide equal employment opportunity and affirmative action for qualified individuals. This policy statement is included in this Affirmative Action Program and is posted on Company bulletin boards.

The Company will endeavor to recruit, hire, train, and promote persons in all job titles in accordance with this Affirmative Action Program. All other personnel actions are administered without regard to race, color, creed, religion, national origin, citizenship status, ancestry, sex, age, physical or mental disability, marital status, family responsibilities, pregnancy, genetic information, sexual orientation, gender expression, gender identity, transgender, sex stereotyping, protected veteran or military status, or any other consideration not related to the person's ability to do the job or otherwise made unlawful by federal, state or local law, and all employment decisions are based only on valid job requirements.

Eric Spiegel, President and CEO Siemens USA supports this policy and has assigned Kate Will as EEO Coordinator with overall responsibility for: annually updating the Affirmative Action Plan and the implementation of affirmative action activities as required by law.

The Veteran and Disabled Affirmative Action Plan shall be available to any employee or employment applicant for inspection in the Human Resources Department during normal business hours.

Kate Will’s responsibilities include designing and implementing an audit and reporting system that will:

Measure the effectiveness of the Company’s Affirmative Action Program. Indicate any need for remedial action. Determine the degree to which our objectives have been attained. Determine whether individuals with known disabilities and protected veterans have had the opportunity to participate in all Company-sponsored educational, training, recreational, and social activities.

Measure compliance with the Affirmative Action Program’s specific obligations.

Employees and applicants shall not be subjected to harassment, intimidation, threats, coercion, or discrimination because they have engaged in any of the following activities:

Filing a complaint. Assisting or participating in an investigation, compliance review, hearing, or any other activity related to the administration of Executive Order 11246, Section 503 of the Rehabilitation Act of 1973, as amended, Section 4212 of the Vietnam Era Veterans Readjustment Assistance Act of 1974, the Veterans Employment Opportunities Act of 1998 or any other Federal, State or local law requiring equal opportunity for individuals regardless of race, color, creed, religion, national origin, citizenship status, ancestry, sex, age, physical or mental disability, marital status, family

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responsibilities, pregnancy, genetic information, sexual orientation, gender expression, gender identity, transgender, sex stereotyping, protected veteran or military status.

Opposing any act or practice made unlawful by Executive Order 11246, Section 503 of the Rehabilitation Act of 1973, or its implementing regulations, Section 4212 of the Vietnam Era Veterans Readjustment Assistance Act of 1974, the Veterans Employment Opportunities Act of 1998 or any other Federal, State or local law requiring equal opportunity for individuals regardless of their race, color, creed, religion, national origin, citizenship status, ancestry, sex, age, physical or mental disability, marital status, family responsibilities, pregnancy, genetic information, sexual orientation, gender expression, gender identity, transgender, sex stereotyping, protected veteran or military status.

Exercising any other right protected by Executive Order 11246, Section 503 of the Rehabilitation Act of 1973, or its implementing regulations, or Section 4212 of the Vietnam Era Veterans Readjustment Assistance Act of 1974 or the Veterans Employment Opportunities Act of 1998.

10/1/2016

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I. FACILITY IDENTIFICATION STATEMENT

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II. 60-2.10 GENERAL PURPOSE AND CONTENTS OF AFFIRMATIVE ACTION PROGRAMS

Siemens Industry, Inc.’s Affirmative Action Plan is a management tool designed to

ensure equal employment opportunity. A central premise underlying affirmative action is that,

absent discrimination, over time our workforce, generally, will reflect the gender, racial and

ethnic profile of the labor pools from which we recruit and select.

Our Affirmative Action Program ensures equal employment opportunity by

institutionalizing our commitment to equality in every aspect of the employment process.

As part of this Affirmative Action Program, we will monitor and examine employment

decisions and compensation systems to evaluate the impact of those decisions and systems on

women and minorities.

Effective affirmative action programs include auditing and reporting systems as a

means of measuring our progress toward achieving the workforce that would be expected in

the absence of discrimination. Included in this Affirmative Action Program is a diagnostic

component that includes a number of quantitative analyses designed to evaluate the

composition of our workforce as compared to the composition of the relevant labor pools.

These analyses are important tools used by management to monitor and direct affirmative

action program goals. Where problem areas have been identified, our Affirmative Action

Program will include specific practical steps designed to address these situations.

Our Affirmative Action Program is more than a paperwork exercise. It includes those

policies, practices, and procedures that we use to ensure that all qualified applicants and

employees are receiving an equal opportunity for recruitment, selection, advancement, and

every other term and privilege associated with employment. Affirmative action is a part of the

way we regularly conduct our business. We believe that when affirmative action is approached

from this perspective, there is a positive correlation between the presence of affirmative action

and the absence of discrimination.

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III. 60-2.11 ORGANIZATIONAL PROFILE

An organizational profile is a depiction of the staffing pattern within an establishment.

It may be used to determine whether barriers to equal employment opportunity exist in our

organization. It provides an overview of the workforce that may assist in identifying

organizational units where women or minorities are under represented or concentrated. For

purposes of this Affirmative Action Plan, we have chosen to use the traditional workforce

analysis as our organizational profile.

There are no formal lines of progression; therefore, our workforce analysis includes a

listing of each job title ranked from the lowest paid to the highest paid within each department

or other similar organizational unit including departmental or unit supervision.

For each job title, the total number of incumbents, the total number of male and

female incumbents and the total number of male and female incumbents in each of the

following groups is given: Blacks, Hispanics, Asians, Native Hawaiian/Pacific Islanders, American

Indian/Alaskan Natives and 2 or More Races. The salary grade for each job title is given. All job

titles, including all managerial job titles, are listed.

The Organizational Profile/Workforce Analysis is included in this Affirmative Action

Plan in Appendix II.

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IV. 60-2.12 JOB GROUP ANALYSIS

A job group analysis combines job titles within our establishment. Jobs with similar

content, wage rates, and opportunities are combined to form job groups. Similarity of content

refers to the duties and responsibilities of the job titles which make up the job group. Similarity

of opportunities refers to training, transfers, promotions, pay, mobility, and other career

enhancement opportunities offered by the jobs within the job group. The Job Group Structure

Chart is included in this Affirmative Action Plan in Appendix I.

Our job group analysis includes a list of the job titles that comprise each job group.

The job group analysis is also annotated to identify jobs located at another establishment. The

Job Group Analysis is included in this Affirmative Action Plan in Appendix III.

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V. 60-2.13 PLACEMENT OF INCUMBENTS IN JOB GROUPS

The percentage of minorities and the percentage of women we employ in each job

group is stated in the Placement of Incumbents/Utilization Analysis/Placement Goals report in

Appendix IV.

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VI. 60-2.14 DETERMINING AVAILABILITY

Availability is an estimate of the number of qualified minorities or women available for

employment in a given job group, expressed as a percentage of all qualified persons available

for employment in the job group. The purpose of the availability determination is to establish a

benchmark against which the demographic composition of our incumbent workforce can be

compared in order to determine whether barriers to equal employment opportunity may exist

within particular job groups.

We have separately determined the availability of minorities and women for each job

group. In determining availability, we have considered at least the following factors:

(1) The percentage of minorities or women with requisite skills in the reasonable

recruitment area. The reasonable recruitment area is defined as the

geographical area from which we usually seek or reasonably could seek workers

to fill the positions in question.

(2) The percentage of minorities or women among those promotable, transferable,

and trainable within our organization.

In determining availability, the EEO Tabulation 2006–2010 (5 Year American

Community Survey data) has been used. Further explanation of data used in the availability

calculations is provided in the source/reason column of the availability analysis.

For each job group, the reasonable recruitment area has been identified by a review

of the current workforce to determine where employees/positions are physically located as

well as the area(s) from which recruitment is done for each position. The Recruiting Area

Report is included in this Affirmative Action Plan in Appendix IV.

For each job group, the pool of promotable, transferable, and trainable employees has

been identified. Feeder pools were used to determine the percentage of minorities and/or

women among those promotable within the Company. In order to define comprehensive

feeder pools, each title in the workforce was reviewed for promotional sequence opportunities.

The resulting availability percentages are used in the Availability Analysis in Appendix IV.

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Any training programs available to employees are for the purpose of job

enhancement, rather than to make specific jobs available to otherwise unqualified individuals.

Most training is conducted through basic, on-the job training.

Where a job group is composed of job titles with different availability rates, a

composite availability figure for the job group has been calculated. Within each job group, we

have determined the proportion of each job title contained in the job group. We have

separately determined the availability for each job title within the job group and have

proportionately weighted the number of incumbents in each job title. Thus, the sum of the

weighted availability estimates for all job titles in the job group represents the final availability.

The Availability Analysis is included in this Affirmative Action Plan in Appendix IV.

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VII. 60-2.15 COMPARING INCUMBENCY TO AVAILABILITY

We have then compared the percentage of minorities and women in each job group

determined pursuant to §60-2.13 with the availability for those job groups determined

pursuant to §60-2.14.

Where the percentage of minorities or women employed in a particular job group is

less than would be reasonably expected, given their availability percentage in that particular

job group, we have established a placement goal in accordance with §60-2.16. Placement goals

are included in the Placement of Incumbents/Utilization Analysis/Placement Goals report in

Appendix IV.

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VIII. 60-2.16 PLACEMENT GOALS

Placement goals serve as objectives or targets reasonably attainable by means of

applying every good faith effort to make all aspects of the entire Affirmative Action Program

work. Placement goals also are used to measure progress toward achieving equal employment

opportunity.

Any determination under §60-2.15 that a placement goal is required constitutes

neither a finding nor an admission of discrimination.

Where we have established a placement rate goal for a particular job group, that

placement rate goal is at least equal to the availability figure derived for women or minorities,

as appropriate, for that job group. Placement rate goals, as determined, will provide direction

for future placements. The Analysis by Job Group Narrative is included in this Affirmative

Action Plan in Appendix IV.

Placement goals are not rigid and inflexible quotas, which must be met, nor are they

considered as either a ceiling or a floor for the employment of particular groups. Placement

rate goals are not quotas, which are expressly forbidden.

All employment selection decisions are made in a nondiscriminatory manner.

Placement goals do not extend preferences to any individual, nor adversely affect an

individual's employment status, on the basis of race, color, creed, religion, national origin,

gender, sexual orientation, age, gender identity, genetic information, disability, or protected

veteran status.

Placement goals do not create set-asides for specific groups, nor are they intended to

achieve proportional representation or equal results.

Placement goals are not used to supersede merit selection principles. It is understood

that affirmative action programs prescribed by the regulations in this part do not require hiring

a person who lacks qualifications to perform the job successfully, or hiring a less qualified

person in preference to a more qualified one.

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A publicly announced preference for American Indians as authorized in 41 CFR §60-

1.5(a)(7), reflecting permissive employment preference for American Indians living on or near

an Indian reservation in placement goals, has not been made.

Placement goals are included in the Placement of Incumbents/Utilization

Analysis/Placement Goals report in Appendix IV of this Affirmative Action Plan.

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IX. 60-2.17 (A) DESIGNATION OF RESPONSIBILITY

The EEO Coordinator named in the Facility ID Statement in Section I is responsible and

accountable for the effective implementation of the Affirmative Action Program. To ensure

effective implementation of the Affirmative Action Program, the EEO Coordinator will have the

necessary authority and resources, as well as the support of and access to top management.

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X. 60-2.17 (B) IDENTIFICATION OF PROBLEM AREAS

An in-depth analysis of employment processes has been performed to determine

whether and where potential impediments to equal employment opportunity exist. The results

of this analysis are outlined below.

Any identification of problem areas listed below constitutes neither a finding nor an

admission of discrimination. The total employment process as it relates to the areas identified

will be regularly monitored to assure no discriminatory patterns are in existence. Action-

oriented programs targeted to correct any areas identified are listed in Section XI §60-2.17 (c) –

Action-Oriented Programs.

(1) Siemens Industry, Inc. has conducted a Job Area Acceptance Range (JAAR)

analysis to identify potential problem areas in minority or female distribution

within organizational units. Upon review of the current workforce by

department, Siemens Industry, Inc. has identified an appearance of

concentration and/or under representation of some target groups in some

departments when compared to the representation of the same target groups in

related workforce totals.

(2) Siemens Industry, Inc. has conducted a Utilization Analysis to identify potential

problem areas in minority or female utilization. Upon review of the current

workforce by job group, Siemens Industry, Inc. has identified areas where the

percentage of minorities and females is less than would be reasonably expected

given their availability rates. For each area identified, a placement goal has been

established in accordance with 60-2.16. Placement goals are included in the

Placement of Incumbents/Utilization Analysis/Placement Goals report in

Appendix IV.

(3) Siemens Industry, Inc. has conducted an Impact Ratio Analysis to identify

potential selection disparities in personnel activities. Apparent selection

disparities in some of the selection processes exercised during the plan year

have been identified. Each apparent selection disparity will be reviewed in order

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to identify and correct any existence of impediments to equal employment

opportunity.

(4) Siemens Industry, Inc. has conducted a Comparative Salary Report (CSR) to

identify potential gender or race/ethnicity based disparities in the Company’s

compensation systems. Compensation systems, directed by union contracts

where applicable, are administered without regard to race, color, religion,

national origin, gender, sexual orientation, age, genetic information, disability or

veteran status. These programs are administered within established and

approved policies and without regard to any disability income, pensions or other

benefits the employee receives from another source.

(5) The selection, recruitment, referral and other personnel procedures will be

periodically evaluated to determine whether they may result in disparities in the

employment or advancement of minorities or women.

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XI. 60-2.17 (C) ACTION-ORIENTED PROGRAMS

Action-Oriented Programs outlined in this section have been targeted for

development and execution in order to address the potential problem areas identified pursuant

to 60-2.17(b) and to attain established goals and objectives. Programs and procedures will be

reviewed in conjunction with the potential problem areas identified and updated as necessary

to achieve desired results.

The execution of action-oriented programs incorporates good faith efforts made to

remove barriers, expand employment opportunities, and produce measurable affirmative

action results.

File the EEO-1 report annually.

Conduct periodic audits of all Company facilities to ensure they are desegregated

as well as comparable for both genders.

Request and maintain the gender/race/ethnicity of each employee and

applicant.

Keep all personnel or employment records on file for a period of not less than

two years, maintaining the current and prior year AAP and supporting

documentation.

Post all pertinent policies on Company bulletin boards and Company intranet.

Conduct periodic audits to ensure pertinent policies and all required state and

federal posters are appropriately displayed as required.

Notify union(s) of the existence of the company’s Affirmative Action Program

and Non-Discrimination obligations/policies and the union obligations under the

Programs/Policies. Meet with union officials and/or employee representatives

to inform them of the Company’s policy, and request their cooperation.

Include the required equal opportunity clause mandatory language on all

government contracts, as well as on all sub-contracts or purchase orders.

Include the EEO tag line in all recruitment solicitations or employment

advertisement placed by or on behalf of the contractor.

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EEO policy statement to include top United States executive’s support for the

Affirmative Action Plan.

Include the EEO Policy in the Company policy manual, or otherwise make the

policy available to its employees.

Incorporate the Pay Transparency Nondisclosure Provision in employee manuals

or handbooks; and disseminate the nondiscrimination provision by either

electronic posting or by posting a copy of the provision in conspicuous places

available to employees and applicants for employment.

Discuss the policy thoroughly in both employee orientation and management

training programs.

Design and implement an audit and reporting system that will measure the

success of the affirmative action program and take any necessary action to

address identified deficiencies.

Train all personnel involved in recruitment, screening, selection, promotion,

disciplinary and related processes to ensure the commitments in the affirmative

action program are implemented.

Evaluate the workforce by organizational unit to identify potential problems in

minority or female distribution.

Evaluate the workforce by job group to identify potential problems in minority or

female utilization.

Evaluate personnel activity to identify potential selection disparities.

Evaluate compensation systems to identify potential gender or race/ethnicity

based disparities.

Evaluate selection, recruitment, and other personnel procedures to identify the

potential for disparate results.

Monitor records of all personnel activity at all levels to ensure non-

discriminatory policies are carried out and produce internal reports on a

scheduled basis regarding EEO objectives attained.

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Review report results with all levels of management, advise management

regarding program effectiveness and make recommendations for improvement.

Communicate, document, and comply with the personnel policies and practices

outlined in the Sex Discrimination Guidelines.

Develop and implement an Educational Assistance Program and communicate

the availability to all employees.

Develop and utilize workforce flexibility programs in order to attract and retain

employees.

Develop and utilize summer, co-op, and/or internship programs that promote

the employment of protected class members.

Develop and implement an Employee Assistance Program and communicate the

availability to all employees.

Conduct employee satisfaction surveys on a periodic basis.

Feature pictures of minority and/or female employees, accomplishments,

promotions of same, and publish articles covering EEO programs in Company

publications.

Develop Employee Resource Groups (ERG)/Affinity Groups and communicate the

availability to all employees.

Inform organizations, community agencies, and community leaders for

minorities, females, protected veterans and individual with disabilities, of the

Company’s affirmative action policy in writing.

Actively support and establish meaningful working relationships with local and

national community service agencies, organizations, and programs designed to

support and improve the employment opportunities for protected class

members.

Establish meaningful contacts and working relationships with specialized

recruiting sources, community agencies, and/or organizations for protected class

members.

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Require Human Resources and/or Senior Management review and approval for

all hires to ensure compliance with established Company guidelines.

Post open positions at any of the following: web-sites, secondary schools,

professional organizations, trade and association journals; and/or participate in

job fairs, targeting protected class members.

Develop and utilize an employee referral system, encouraging all employees to

participate.

Require Human Resources and/or Senior Management review and approval for

all promotions to ensure compliance with established Company guidelines.

Review all pertinent employment records when making competitive promotion

selections.

Ensure that seniority practices do not have a discriminatory effect.

Require Human Resources and/or Senior Management approval for review and

all terminations to ensure compliance with established Company guidelines.

Develop and utilize a progressive discipline/termination policy and/or process for

the resolution of employee performance issues for all involuntary terminations.

Conduct exit interviews on a consistent basis.

Require Human Resources and/or Senior Management review and approval for

all layoffs/reductions in force to ensure compliance with established Company

guidelines.

Develop and consistently utilize a layoff/reduction in force policy and/or process

when such actions occur.

Conduct adverse impact analyses prior to a layoff/reduction in force.

Require Human Resources and/or Senior Management review and approval for

all job offers to ensure compliance with established compensation guidelines.

Develop and consistently utilize salary ranges to ensure equity in position

salaries.

Review exempt/non-exempt designations to ensure full compliance with FLSA

regulations.

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Develop and consistently utilize a formal performance evaluation and merit

increase program and train management personnel on the process.

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XII. 60-2.17 (D) INTERNAL AUDIT AND REPORTING SYSTEM

The effectiveness of our Affirmative Action Program will be periodically measured

through internal auditing. Siemens Industry, Inc. recognizes the actions listed below as being

key to the success of our Affirmative Action Program:

(1) Monitoring records of all personnel activity (i.e. applicant flow, hires,

employment declinations, promotions, transfers, terminations, layoffs and

compensation), at all levels, to ensure all nondiscriminatory policies are carried

out. Appendix I contains activity tables summarizing this information.

(2) Requiring internal reporting on a periodic basis as to the degree to which equal

employment opportunity and organizational objectives are attained.

(3) Reviewing report results with all levels of management; and advising top

management of program effectiveness and submit recommendations to improve

unsatisfactory performance.

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XIII. 60-20 SEX DISCRIMINATION GUIDELINES

The purpose of this section is to implement the requirements of Executive Order

11246, outlining opportunities for individuals regardless of sex.

(60-20.2)

(a) Employees of both sexes are recruited for all jobs.

(b) Advertisements in newspapers and other media for employment do not express

a sex preference.

(60-20.3)

(a) Written personnel policies expressly indicate that there shall be no

discrimination against any employee on account of sex.

(b) Employees of both sexes are given equal opportunities for available jobs that

they are qualified to perform.

(c) There is no discrimination based upon sex in employment opportunities, wages,

hours, or other conditions of employment. This includes employer contributions

for insurance and similar "fringe benefits".

(d) There is no distinction between married and unmarried persons of one sex that

is not made between married and unmarried persons of the opposite sex.

Employment is not denied to women with young children; an employee of one

sex in a particular job classification will not be terminated upon reaching a

certain age unless the same rule is applied to members of the opposite sex.

(e) Physical facilities are made available to employees of both sexes.

(f) A female employee will not be denied the right to any job that she is qualified to

perform in reliance upon a State "protective" law.

(g) Women will not be penalized in their conditions of employment because they

require time away from work on account of childbearing. Following childbirth,

and upon signifying her intent to return to work within a reasonable time, every

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effort will be made to reinstate female employees to the same position or an

available position of like status and pay, without loss of service credits.

(h) There will be no age discrimination for male and female employees on the basis

of sex in retirement policy.

(60-20.4)

(a) Seniority or progression lines are not based solely upon sex.

(60-20.5)

(a) Wage ranges are not related to or based on the sex of the employee.

(b) Siemens Industry, Inc. does not restrict one sex to certain job classifications.

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XIV. 60-50 GUIDELINES ON DISCRIMINATION BECAUSE OF RELIGION OR NATIONAL ORIGIN

(60-50.2)

It is the policy of Siemens Industry, Inc. to take affirmative action to ensure that

applicants are employed and that employees are treated during employment without regard to

their religion or national origin. Such actions include, but are not limited to the following:

employment, upgrading, demotion, transfer, recruitment or recruitment advertising, layoff,

termination, rates of pay or other forms of compensation and selection for training.

Procedures and programs outlined elsewhere in this plan are utilized to ensure that

the Company's obligation to provide equal employment opportunity without regard to religion

or national origin is being fully implemented.

(60-50.3)

Reasonable accommodations to the religious observances and practices of employees

will be made, except where such accommodation would cause undue hardship on the conduct

of the Company's business. In determining the extent of this obligation, at least the following

factors will be considered:

(a) Business necessity;

(b) Financial costs and expenses; and

(c) Resulting personnel problems.

Siemens Industry, Inc. - Small Offices Plan (MO)

THOMAS HOUSTON associates, inc. 22

XV. AAP CONCLUSION

The realization of the Affirmative Action Program and the goals of this plan are of

continuing vital importance to Siemens Industry, Inc. This Affirmative Action Program has been

carefully designed to address specifically the requirements of Executive Order 11246, and the

implementing rules and regulations of the Office of Federal Contract Compliance Programs. To

this end, the efforts of all members of management are directed toward the accomplishment of

these objectives during this AAP year. Significant attention has been paid to detail to fully

implement the Affirmative Action commitments of the Company.

Siemens Industry, Inc.'s management is committed to this Affirmative Action Program

and will continue to strive for its successful implementation.

Page | 168

Appendix C – Diversity at Siemens

usa.siemens.com/diversity

Siemens is a richly multicultural organization with operations in nearly every country in the world. Our diversity practices are built on awareness and respect for local histories, cultures and needs. Here in the United States, Siemens promotes diversity at all levels, from entry level to the highest ranks. We recognize and respect differences and similarities that make our U.S.-based companies more competitive. Because we believe that all these similarities and differences enhance our strength as a company.

Employee Resource Groups at Siemens

Siemens sponsors Employee Resource Groups (ERGs) formed by employees with commonalities in areas such as ethnicity, gender, disability and sexual orientation. With 1 ,000 ERG members, ERGs and 122 active chapters, ERGs offer employees an inclusive, supportive environment, networking opportunities, tools to promote personal and professional development and access to mentoring networks. At the same time, ERGs add value to the company and employee engagement by helping to drive these four key objectives: business alignment, personal and professional development, talent acquisition and community involvement.

Partnering with Diverse Suppliers The mission of our Supplier Diversity Program is to provide small businesses and others owned by minorities, women, the disadvantaged, the disabled, and veterans the opportunity to present their products, services and expertise to Siemens. During our fiscal year ending Sept. 30, 2013, Siemens Corporation, its businesses, subsidiaries, and legal entities spent more than $1.5 billion for goods and services from small and diverse-owned businesses. Our Supplier Diversity program makes it easy for potential suppliers to do business with Siemens.

Diversity Matters at Siemens

Sustaining and Developing Siemens‘ Position as a Diversity Employer of Choice

Siemens has been recognized for our robust diversity-focused recruiting program:

• In 201 , Siemens was selected for the 1 th straight year asa Top Supporter of Historically Black Colleges andUniversities (HBCUs) by the deans of the 14 ABETaccredited, HBCU engineering programs and the corporate-academic alliance Advancing Minorities’ Interest inEngineering (AMIE).

• Listed as a Top Employer for the following majors by TheBlack Collegian magazine: Mechanical Engineering,Industrial Engineering, Electrical Engineering, IT / MIS,Accounting / MIS and HR.

• Recognized by the readers of Diversity / Careers inEngineering and Information Technology as a Best DiversityCompany. Siemens has also been recognized as a Top FiftyCompany for diversity by readers of Woman Engineermagazine.

•

Being a Good Corporate Citizen

From recruitment to education initiatives and community outreach, Siemens puts the principles of diversity into action for the benefit of our current and future employees, our customers, and the communities in which we live and work.

• The Siemens Caring Hands Foundation is a not-for-profitorganization that is an independent, public charityrecognized under Section 501(c)(3) of the Internal RevenueCode. It was established to receive, manage and allocatefunds for charitable activities. It has historically received alarge portion of its support from charitable contributions by

•

usa.siemens.com/diversity

Diversity Matters at Siemens

Siemens employees. Through its signature program, the Siemens Caring Hands Community Excellence Awards, was awarded a total of $106,000 for 98 projects in FY13 and 14. The Siemens Caring Hands Foundation was also instrumental in raising significant funds from Siemens employees to be contributed toward various recent disaster relief efforts.Siemens Corporation matched dollar-for-dollar the employee contributions toward disaster relief.

201 marked the f year that Siemens was in the National Partners Program for the American Cancer Society’s Making Strides Against Breast Cancer. In the f years combined with corporate sponsorship and employees fund-raising efforts, nearly $1million was raised.

• Siemens Caring Hands is a program run by SiemensCorporation that is designed to encourage volunteerismby providing organizational assistance and resources forSiemens employees who want to volunteer their time tomake a difference in their communities. To date, Siemens’employees have logged 31,731.5 volunteer hours and 623projects have been entered into the tool.

• The Siemens Foundation, an independent, tax-exempt,not-for-profit organization, is supported in large part bycontributions from Siemens businesses in the U.S. Itsmission is based on the culture of innovation, researchand educational support that is the hallmark of Siemens’companies.

More than $85 million has been invested by the Siemens Foundation in the United States in support of workforce development and educational initiatives in the areas of science, technology, engineering and mathematics to prepare America’s next generation of workers.

The Key Programs run by the Siemens Foundation are as follows:

The Siemens Competition in Math, Science & Technology is the signature program of the Siemens Foundation, and partners with world-class colleges and universities to recognize

exceptional achievements by high school students in STEM research. Finalists have an opportunity to achieve national recognition for research projects and receive scholarship awards ranging from $1,000 to $100,000.

The Siemens Foundation’s workforce development initiative focuses on preparing America’s next generation of workers for STEM middle-skill jobs.

The Siemens Merit Scholarship Program was established to recognize scholastic excellence among dependent sons and daughters of full-time employees at participating Siemens businesses. Administered by the Siemens Foundation on behalf of the participating businesses, this annual competition is conducted through the National Merit Scholarship Corporation.

The Siemens Foundation partners with employee liaisons and leaders at Siemens business locations across the United States to multiply the impact of employee involvement in philanthropic outreach.

Other Initiatives to Develop Future Leaders:

Other Investments in Historically Black Colleges and Universities: The Building Technologies Division provides 200-plus African-American high school students from Chicago Public Schools the opportunity to visit and tour Historically Black Colleges and Universities (HBCUs). Siemens PLM Software has provided more than $1.2 billion based on commercial value of in-kind software to HBCUs. Siemens / National Academy of Engineering Fellowships were provided for two AMIE (Advancing Minorities’ Interest in Engineering) students with a cash value of $15,000.

Disability Awareness at Siemens

Siemens Employee Network for Disabilities’ vision is to provide a world where barriers are removed, perceptions are changed, and everyone has the opportunity to participate fully in community life. Some of the important initiatives include:

• LIFE@Siemens: Learning Internship for Future Employment isdesigned to help special needs children develop independencewhile learning skills that will translate into being able to thriveand contribute in a workplace after school

• Community Outreach: Members volunteer with non-profits andgovernment organizations

• Special Olympics: Members volunteer at summer games andparticipate in fundraising events

Siemens Industry, Inc. 20 S. Clark Street Suite 2210 Chicago, IL 60603

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