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Jacobs CLP Audit Proposal - FINAL

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					        Docket No. 11-09-09


Independent Management Audit of The
Connecticut Light and Power Company


             PROPOSAL


                Prepared For

   The Connecticut Public Utilities
        Regulatory Authority


             Submitted By

     Jacobs Consultancy Inc.
              5995 Rogerdale Road
             Houston, Texas 77072
           Telephone: 1 832 351 6000
               Fax: 1 832 351 7766


            December 19, 2011




                      i
 5995 Rogerdale Road
 Houston, TX 77072 USA
 1 832 351 6000 Fax 1 832 351 7766


December 19, 2011

Mr. Robert Palermo
State of Connecticut
Public Utilities Regulatory Authority
Ten Franklin Square
New Britain, CT 06051

RE:    INDEPENDENT MANAGEMENT AUDIT OF THE CONNECTICUT LIGHT AND
       POWER COMPANY CONCERNING DOCKET NO. 11-09-09

Dear Mr. Palermo:

Jacobs Consultancy Inc. (Jacobs) is pleased to offer its services to conduct an
independent management audit of The Connecticut Light and Power Company (CL&P or
Company) concerning CL&P’s preparedness for and response to major outage events
pursuant to Docket No. 11-09-09 to The Connecticut Public Utilities Regulatory Authority
(PURA or Authority). Our proposal, which is structured in accordance with your Request
for Proposal dated November 30, 2011, fully addresses your requirements.

The two storm events of 2011’s early fall and CL&P’s restoration response have been
the source of much discussion and controversy. The Authority and other state agencies
would like a thorough review of management’s efforts to determine how best to avoid a
repeat of similar results in the future. Jacobs has reviewed CL&P’s performance
previously and made a number of recommendations to enhance CL&P’s restoration
efforts. This time, Jacobs proposes to expand its team with subcontractors specializing
in the management aspect of storm restoration and vegetation management policy to
help identify the more systemic issues with the restoration effort. Jacobs recognizes that
sound management and auditing principles will guide the successful outcome of this
critical management audit. Consequently, the following principles will be applied:

     Use only highly experienced professionals whose understanding of the utility
      industry goes far beyond merely performing consulting assignments and who have
      also held leadership roles within the T&D organizations of electric utilities; more
      importantly, are experts on emergency restoration planning and execution.

     Minimize logical and factual errors during the assessment process by adhering to a
      proven methodology and a formal review process.




Utilities Practice                          ii
    Develop positive recommendations, that when implemented, will lead to tangible
     performance improvement for CL&P.

    Provide a project team composed of experienced and knowledgeable principals
     who will actually be assigned to the project at competitive rates.

    Utilize an approach that reflects a deep understanding of the emergency
     restoration process and integrates it with our proven management audit
     methodology to deliver the results the Authority is expecting.

Jacobs appreciates the opportunity to submit this proposal to PURA for the proposed
scope of work. Thank you for your consideration. We look forward to the privilege of
working with you on this important assignment. If you should require additional
information or details, or if there is any matter that requires clarification, please contact
me at 702-434-7361, or via email at Salvatore.Marano@jacobs.com.



For Jacobs Consultancy,



Salvatore D. Marano, P.E.
Managing Director, Utilities Practice

cc: Frank DiPalma, Jacobs Consultancy Inc.




Utilities Practice                            iii
                                         Table of Contents

Section                                                                                                            Page

1      BACKGROUND ...................................................................................................... 1
2      SCOPE OF WORK .................................................................................................. 3
3      JACOBS’ AND SUBCONTRACTOR EXPERIENCE AND REFERENCES ............. 4
  Jacobs Consultancy References ............................................................................. 5
  River Consulting Group References ........................................................................ 8
  Arbor Global References ........................................................................................ 10
4   RÉSUMÉS ............................................................................................................. 12
5      ORGANIZATION OF PROJECT TEAM ................................................................ 17
6      APPROACH .......................................................................................................... 18
    6.1    Introduction .................................................................................................. 18
    6.2    Audit Approach and Methodology .............................................................. 19
      6.2.1     Phase I - Planning and Orientation ......................................................... 19
       6.2.2         Phase II – Investigation and Fact Finding ............................................... 21
       6.2.3         Phase III - Conclusion and Draft Report Development ........................... 23
       6.2.4         Phase IV - Recommendation Development ............................................ 24
       6.2.5         Phase V - Develop Final Report ............................................................. 25
    6.3    Methods ........................................................................................................ 28
      6.3.1    Interview Technique ............................................................................... 29
       6.3.2         Data Review Techniques ....................................................................... 29
  6.4   Deliverables.................................................................................................. 30
  6.5   Detailed Work Plan ...................................................................................... 33
  6.6   Project Schedule .......................................................................................... 55
7   AFFIDAVITS ......................................................................................................... 58
  7.1   Affidavit I ...................................................................................................... 58
  7.2   Affidavit II ..................................................................................................... 59
  7.3   Affidavit III .................................................................................................... 60
  7.4   Affidavit IV .................................................................................................... 61
  7.5   Affidavit V ..................................................................................................... 62
8   AFFIRMATIVE ACTION ........................................................................................ 64
9      LEGAL COMPLIANCE ......................................................................................... 67
10        INSURANCE ..................................................................................................... 68



Utilities Practice                                            iv
11        INDEMNITY ....................................................................................................... 69
APPENDIX A ................................................................................................................ 70
  Résumés .................................................................................................................. 70
APPENDIX B .............................................................................................................. 121
  Cost Estimate ........................................................................................................ 121
  Reimbursement Schedule .................................................................................... 123
APPENDIX C .............................................................................................................. 124
  Jacobs Consultancy Inc. Terms & Conditions .................................................... 124
APPENDIX D .............................................................................................................. 128
  Recommendations from 2010 Outage Report ..................................................... 128
APPENDIX E .............................................................................................................. 129
   Initial Data Request ............................................................................................... 129
   Initial Interview Request ....................................................................................... 133




                                           Table of Figures
Figure                                                                                                              Page
Figure 1 - CL&P Service Territory Map ............................................................. 2
Figure 2 – Jacobs’ Organizational Chart ........................................................ 17
Figure 3 - Proposed Work Plan Flow Chart .................................................... 27
Figure 4 - Proposed Project Schedule ............................................................ 57
Figure 5 - Jacobs Equal Employment Opportunity Data ............................... 64
Figure 6 - Estimated Labor Hours by Task ................................................... 121
Figure 7 - Proposed Project Costs ................................................................ 122




Utilities Practice                                             v
1 BACKGROUND
Tropical Storm Irene (August 28, 2011) and the Storm Alfred (October 29, 2011) struck
various portions of Connecticut negatively impacting the provision of service to electric
customers. As a result of these storms, in particular, during Storm Alfred extensive
damage and power outages occurred affecting nearly 70%, or nearly 810,000 of
Connecticut Light and Power Company’s (CL&P) customers, many of whom were out of
power for up to 11 days. The storm related damage resulted in a need for CL&P to
rebuild or repair a significant amount of distribution system in the areas affected.
Pursuant to these events the Authority opened Docket No. 11-09-09 to examine, among
other items, electric distribution company action and response, including communication
to customers and towns, to significant power outages that have occurred as a result of
these two storms in the CL&P and UI service areas.

The Authority, by Ruling dated November 15, 2011, granted the motion of the Attorney
General to expand the scope of the Docket to include an independent management
audit of CL&P concerning its preparedness for and response to major outage events.
This audit is the subject of this proposal.

As a result of CL&P’s performance in restoring electrical service to its customers the
Attorney General office in concert with PURA are ordering an additional focused
management audit of CL&P. The scope of this audit is to identify any systemic
management issues associated with CL&P’s emergency restoration plan and its
execution, including communications, during major events. The audit will include a
review of the level of management attention and its willingness to acquire the needed
temporary resources to effect a speedy restoration effort. In addition, the audit will
include a review of the appropriateness of CL&P’s tree trimming and vegetation
management programs to determine if the level of investment and approach are
consistent with the needs of the service territory.

As noted above, this RFP is in addition to a prior RFP (Request for a Proposal) for a
Consultant to Act as an Extension of Staff Regarding Docket No. 11-09-09 that focused
specifically on CL&P’s and UI’s performance during the above-mentioned storms.
Jacobs responded to that RFP and, if awarded that work along with this proposed work
effort, anticipates there will be opportunities for synergies between the two studies that
could result in overall cost efficiencies, therefore, we stand ready to discuss potential
savings with PURA.

CL&P provides residential, municipal, commercial, and industrial electric service to
approximately 1.2 million customers in 149 cities and towns in Connecticut as shown in
Figure 1. As the largest electric utility in the State of Connecticut, CL&P receives annual
revenues exceeding $3.6 billion per year.



Utilities Practice                           1
The state commissioned a high-level review of Storm Alfred by Witt Associates and we
have reviewed their report and its 27 recommendations for improvement. Further, we
understand that CL&P has retained a consultant on their behalf to examine storm
response. We will incorporate information from that study, if available to us, into our
audit efforts.



                       Figure 1 - CL&P Service Territory Map




Utilities Practice                         2
2 SCOPE OF WORK
The purpose of this management audit is to perform an independent management audit
of CL&P’s preparedness for and response to major outage events.

Jacobs understands it will be responsible for studying the following elements from a
management perspective:

   1. Emergency response planning, preparedness, and training.
   2. Emergency response execution.
   3. Communications with state and local governments, media, and customers
      concerning storm damage, restoration priorities, and restoration timetables.
   4. Coordination of emergency response efforts with state and local governments.
   5. Securing and managing outside work crews.
   6. Tree trimming and vegetation management policies and practices.

An important distinction between this management audit RFP and the previous PURA
RFP (Outage0811a), dated November 30, 2011, which was requesting support for the
Authority’s Staff, beyond the obivous, is the need to focus attention on CL&P’s
management’s mindset before, during, and after the events and restoration efforts.
Management must make a number of critical decisions early on and through the process
to ensure adequate preparation and response for the speedy restoration of its
customers.There is significant management activity just after an event to understand and
improve response. Yet as time passes, management attention shifts to other matters
and even with annual drills, management becomes complacent and many of the ERP
learnings and processes can become hazy. In addition, critical team members are
shifted for a host of different reasons.

To facilitate your review, we have organized the remainder of our proposal to include the
following sections in accordance with Attachment 3 of the RFP, Proposal Guidelines.
Please note the numbering displayed follows the section numbering below:

   3. Jacobs’ Experience and References
   4. Résumés
   5. Organization of Project Team
   6. Approach
   7. Affidavits
   8. Affirmative Action
   9. Legal Compliance
   10. Insurance
   11. Indemnity


Utilities Practice                          3
3 JACOBS’ AND SUBCONTRACTOR EXPERIENCE AND
  REFERENCES
Jacobs’ proposed team for this assignment have direct and significant prior experience
assessing and managing electric utility storm preparation and outage restoration
activities. In addition, our consultants have prior experience with electric distribution
lines, poles, and all other physical services related to the distribution of electric power to
households in the affected service areas as well as knowledge of management and
information systems. In particular, our team has extensive experience in the review of
utility management emergency preparedness and operations, including:

      Development of emergency response strategic and tactical plans.
      Emergency planning, training, and preparedness.
      Implementation and execution of emergency response plans, including
       coordination with state and local governments.
      Communications with state and local governments, customers, and media
       concerning outages and service restoration efforts.
      Contracting for the services of additional work crews, including identifying the
       need for and securing the services of additional work crews.
      Management during the restoration effort, including the management of company
       employees and the additional work crews.
      Post-storm forensic analysis of distribution failed equipment.
      Experience in understanding the implications of T&D management decisions on
       the health of those systems and the potential impact during significant natural
       disasters.
      Experience conducting management audits of electric distribution companies,
       preferably with regard to emergency planning and preparedness.
      Experience with tree trimming and vegetation management policies and
       practices.

We believe our performance history is best assessed by our clients themselves. Listed
below are selected descriptions of current projects and projects within the last four years
and references of clients who will be able to provide you additional insight with respect to
our commitment to service and our qualifications.




Utilities Practice                            4
Jacobs Consultancy References
Maryland Public Utilities Commission (2011)
Jacobs is currently conducting a due diligence review of the proposed
Exelon/Constellation merger. The assignment covers thorough review of the operations
and reliability functional areas of the current and merged utility and includes preparation
of direct filed testimony, surrebuttal testimony, and standing cross-examination.

Reference
Leslie Romine, Deputy Staff Counsel
Office of Staff Counsel
Public Service Commission of Maryland
6 St. Paul Street
Baltimore, MD 21202
Phone: 410-767-8055
Email: lromine@psc.state.md.us


Massachusetts Public Service Commission (2010-2011)
Jacobs was asked to conduct an independent management audit of Fitchburg Gas and
Electric Light Company (FG&E) d/b/a by the Massachusetts Department of Public
Utilities (DPU). In conducting our review, the management practices of both FG&E and
Unitil were assessed in the areas of strategic planning, staffing, and workforce
management, management and control, customer and public relations, and emergency
preparedness and response planning. Balancing our analysis against industry best
practices in each of the above focus areas, we developed 16 recommendations for
improvement.

Reference
Laura Koepnick, Hearing Officer
Massachusetts Department of Public Utilities
One South Station
Boston, MA 02110
Phone: (617) 305-3520 (direct)
Email: laura.koepnick@state.ma.us

Connecticut Public Utilities Regulatory Authority (2010)
Jacobs conducted a storm response audit of Connecticut Light and Power Company and
United Illuminating in response to a major winter storm in March 2010. Jacobs
conducted its investigation in six focus areas: Emergency Planning, Preparedness,
Restoration Performance, Mutual Assistance, Post-Storm Activities, Best Practices, and
Other. Based on our investigation and analysis, we concluded CL&P and UI did many


Utilities Practice                           5
things well in their response to the March severe rain and wind storm. However, there
were also a number of concerns or areas in need of improvement identified. In total,
Jacobs provided ten CL&P and five UI recommendations.

Reference
John Buckingham, Project Manager-Electric Division
State of Connecticut
Connecticut Public Utilities Regulatory Authority
Ten Franklin Square
New Britain, CT 06051
Phone: (860)827-2891
Email: john.buckingham@po.state.ct.us


New Jersey Board of Public Utilities (2010-2011)
Jacobs is near concluding an in-depth management audit of Public Service Electric and
Gas Company, with focus areas covering Electric Distribution and Operations
Management and includes areas such as System Operations and Maintenance, System
Reliability, System Planning, Load Management, Fuel Management, Pooling interchange
and economic dispatch, and Smart Grid activities. This review covered a broad array of
specific focus areas including: external interfaces, staffing, costs, budgeting and project
execution and we review PSE&G’s advancement into renewable energy, demand
reduction programs. We developed a total of six specific recommendations covering
operations and maintenance, load management and system pooling.

Reference
Richard Jackson, Executive Director
New Jersey Board of Public Utilities
44 South Clinton Avenue (9th Floor)
Post Office Box 350
Trenton, New Jersey 08625-0350.
Phone: 609-777-3300
E-mail: richard.jackson@bpu.state.nj.us

Maryland Public Utilities Commission (2010)
Analyzed from a reliability and operations perspective the problem areas, deficiencies,
and merits of the proposed acquisition of Allegheny Energy (AYE) by First Energy Corp.
(FE). Combined, the companies provide 24,000 MW of electricity to over 6.2 million
customers in the nation's largest investor-owned electric system. Jacobs’ role was to
serve as the Maryland Public Service Commission’s expert electric witness testifying as
to the potential impact on AYE’s Potomac Edison reliability and safety in a post-merger
environment in the following areas:



Utilities Practice                           6
      Energy services and conditions of operation
      Employee impacts
      Capital and maintenance plan and budgets
      Service reliability
      Transmission reliability

Specific support activities include: analysis of pre-filed materials, participate in discovery,
provide expert analysis, provide expert testimony, develop cross-examination, and
developed merger conditions.


Reference
Leslie Romine, Deputy Staff Counsel
Office of Staff Counsel
Public Service Commission of Maryland
6 St. Paul Street
Baltimore, MD 21202
Phone: 410-767-8055
Email: lromine@psc.state.md.us


Illinois Commerce Commission (2008)
Jacobs recently conducted a comprehensive workforce analysis study of five electric
utilities in Illinois (MidAmerican Energy Company, AmerenCILCO, AmerenCIPS,
AmerenIP, and Commonwealth Edison) to determine the adequacy of the total in-house
staffing in each job classification or job title critical to maintaining quality reliability and
restoring service in each electric utility’s service territory. Each report contained a yearly
detailed comparison beginning with 1995 and ending in 2006 of each electric utility’s
ratios of:
      In-house workers, commonly referred to as “linemen”, to customers
      Customer service call-center employees to customers
      Meter service or repair employees to customers

The investigation also included an assessment of asset management practices, use of
technology, operational practices, system maintenance and condition, call center, safety
and training. To assess workforce adequacy in each of these areas, we examined ratios
of staffing levels, use of contractors, overtime, work-order backlog, system reliability
performance, and customer satisfaction. We then balanced our analysis with each
individual's utilities outsourcing philosophy. In addition to developing final reports for
each utility, five public hearings were attended.



Utilities Practice                             7
Reference
Harry Stoller, Project Manager
Illinois Commerce Commission
527 East Capitol Avenue
Springfield, IL 62701
Phone: 217.785.5278
Email: hstoller@icc.illinois.gov

State of North Dakota Energy (2010-2012)
Jacobs is currently assisting the State of North Dakota in developing a comprehensive
state-level Energy Assurance Plan. This project involves a detailed review of the
individual utilities’ emergency plans, restoration strategies, and communications plans
and includes development of training sessions and tabletop exercises.

Reference
Jeff Rotenberger
Project Manager
ND Department of Commerce
Email: jprotenberger@nd.gov

Maine Public Utilities Commission (2007)
Members of Jacobs’ proposed project team conducted a comprehensive review of
Central Maine Power’s distribution system planning, design, operations and
maintenance. Included a physical field condition assessment of the distribution system
with a focus on vegetation management and staffing.


Reference
Ralph Howe
Maine Public Utilities Commission
Phone: (207) 287-1371
Email: ralph.howe@maine.gov



River Consulting Group References
City Public Service of San Antonio (2009 & 2011)
Developed a multi-level storm plan. This emergency restoration plan is designed to
handle any level of storm or natural disaster that might be experienced by the company.
The engagement included; developing the strategic emergency restoration plan,
providing a template for the tactical plans, defining the key roles and responsibilities for



Utilities Practice                           8
the ERP organization and developing the damage assessment process and data
collection tools. The plan also included the first operational focused restoration
dashboard to support three levels of restoration management. All three divisions and
upper management accepted the resulting plan. In 2011, modified the plan to include
ERCOT ordered load shedding. Presented the overall plan to all functional areas within
the utility.


Reference
Keith Jordan
City Public Service of San Antonio
Manager of Distribution Operations
Phone: (210) 353-3414
Email: kajordan@cps-ems.com


CenterPoint Energy (2008-2009)
Performed a comprehensive audit of the company’s post-Ike hurricane restoration
efforts. Ike caused 98% of the company’s customers to be without power for up to 18
days. The final report was used as evidence in the Commission approval of $650M in
capital expense recovery. As part of the work we prepared formal testimony to be
submitted on behalf of the client. In addition, the report addressed design and
maintenance standards. As a direct result of the audit the company redesigned its
emergency restoration plan incorporating the recommendation made in the audit.


Reference
John Hudson
CenterPoint Energy
Administrator Regulatory Activities & Compliance
Phone: (713) 207-5285
Email: john.hudson@centerpointenergy.com

AmerenUE (2007-2008)
Conducted an in-depth review of AmerenUE’s restoration activities as a result of a
unique set of back-to-back summer wind events which caused significant outages to a
major portion of their system. Working in conjunction with the Missouri Commission Staff
and the utility, it was determined that the overall strategy was reasonable, but there were
a number of tactical improvements necessary. Further, it was determined that AMR
solution was less practical during the onset of the restoration effort, but beneficial during
the final stage. An oral presentation was made to the PSC Commissioners. The
Commission staff and company executives were appreciative of the presentation. The
company has implemented the recommendations.




Utilities Practice                            9
Reference
Thomas R. Voss
AmerenUE
President & CEO
Phone: (314) 554-2549
Email: tvoss@ameren.com


Arbor Global References
Forest Service National Urban and Community Forest Advisory Council             (2011 -
2012)
Arbor Global (AG) is currently providing expert consulting services as a lead consultant
to support the development of a national best management practices standard for
electric utilities and municipalities to most effectively prepare for and respond to tree-
related problems during storms or other natural disasters. Information collected to date
includes a survey and compilation of international programs and processes for
preparation and response to storm emergencies, surveys, and interviews with key utility,
tree contractor as well as municipal staff directly involved with storm preparation and
response to determine successes and challenges. Data analysis and correlation is
currently being conducted. AG will meet with key electric utility, municipal, and tree
contractor industry leaders in early 2012 to complete development of a national storm
preparation and response best management practice.

Reference
Teresa Trueman-Madriaga, Program Manager
Smart Trees Pacific
92-963 Hunekai Pl
Makakilo, HI 96707
Phone: 808- 672-3383
Email: ttruemad@gmail.com

Kauai Island Utility Cooperative (2010)
Arbor Global (AG) recently conducted a comprehensive review and assessment of Kauai
Island Utility Cooperative's (KIUC) tree and vegetation management program. This
review and assessment included an examination of program documents, field
inspections of the overhead line system, and interviews with KIUC and contractor VM
staff. Recommendations to enhance VM program cost-effectiveness and service
reliability were developed based on established industry standards and performance and
AG’s extensive experience and understanding of international line clearance practices.




Utilities Practice                          10
Reference
John ‘Jack’ Leavitt, T&D Manager
Kauai Island Utility Cooperative
Ste 1, 4463 Pahee Street
Lihue, HI 96766-2000
Phone: 808-246-2349
Email: jleavitt@kiuc.coop

Hawaii Electric Company (2010)
Arbor Global (AG) recently conducted a comprehensive review and assessment of
Hawaiian Electric Company's (HECO) tree and vegetation management program policy,
procedures, and specifications. AG also conducted an intensive review of the findings,
conclusions, and recommendations of a recent program assessment conducted by
Environmental Consultants Incorporated (ECI) and KEMA. AG developed and provided
recommendations to modify document language to clarify and ensure conformance with
policy, procedures, and specifications resulting in enhanced program effectiveness and
regulatory conformance.

Reference
David Louie, Managing Partner
Roeca Luria Hiraoka LLP
900 Davies Pacific Center
841 Bishop Street
Honolulu, HI 96813-3917
Phone: (808) 538-7500
Email: rlh@rlhlaw.com
(Mr. Louie has recently been appointed Attorney General of Hawaii)




Utilities Practice                        11
4 RÉSUMÉS
A seasoned Jacobs’ management team will perform this review. Three of our proposed
team members were involved in the 2010 storm review for the Authority and given the
importance of the communications aspect. We have added another expert to address that
area during our review, therefore, we have proposed a project with first-hand utility
management experience in this area with a comprehensive understanding of the technical
issues and how they relate to emergency outage planning and restoration. We believe that
Jacobs’ staff provides the Authority real-world operating and utility management experience
with specific backgrounds in all the areas of the Companies’ operations that impact their
performance relating to emergency preparedness, planning, and response.

The individuals who comprise our team have a long history of working with governmental
agencies and as managers and/or advisers to utility companies. Our consultants are in
the unique position of having extensive experience in all aspects of utility management,
coupled with an understanding of the emergency planning, operations, and maintenance
practices and procedures related to electric service reliability. Additionally, we are
experts in the pragmatic best practices necessary to dramatically improve utility
management and particularly service reliability. We believe our team’s extensive
experience and qualifications, related to every aspect of this project, and its recent work
effort for the Authority in regard to the outages from the severe weather over the period
of March 12 through March 14, 2010, will satisfy the Authority’s desire for an
investigation of the service response and communications of The Connecticut Light and
Power Company and The United Illuminating Company during Tropical Storm Irene and
Storm Alfred.

Detailed résumés for our proposed project staff are included in Appendix A.

      Frank DiPalma, Director at Jacobs Consultancy will serve as the Project
       Manager. Mr. DiPalma is a management consultant with over 30 years of
       experience. He has in-depth knowledge of storm outage assessment and overall
       expertise in electric utility operations management, marketing, business
       development, customer service, process engineering, project management, labor
       relations, strategic planning, change management, and regulatory compliance.
       Recently was project manager for the Massachusetts Commission’s Fitchburg
       Management and Storm Restoration Audit and for the Connecticut Department of
       Utility Control’s (DPUC) Investigation into the Service response and
       Communications of the Connecticut Light and Power (CL&P) and the United
       Illuminating for a major storm in March 2010. Mr. DiPalma was Project Manager
       for the Illinois Commerce Commission’s Workforce Adequacy Study covering the
       five major electric utilities in Illinois. In addition, while working for the Connecticut
       DPUC, Mr. DiPalma was the project manager for the Management Audit of
       CL&P. Also, while working for the California Public Utility Commission, he was


Utilities Practice                            12
       the financial program manager for PG&E’s Vegetation Management audit and
       program manager for the audit of PG&E’s electric and gas capital distribution
       expenditures. Mr. DiPalma has served as expert witness in numerous
       proceedings involving electric reliability and has spoken at conferences on the
       subject. Previously, he was associate director at Stone & Webster Consulting,
       vice president of operations and engineering for Mountaineer Gas and has held
       numerous senior management positions at PSE&G.
      Salvatore D. Marano, P.E., Managing Director at Jacobs Consultancy, will serve
       as Engagement Director. His extensive knowledge, vast experience and
       distinguished reputation in the energy and utility industry allows him to effectively
       manage the flow of information, while providing his valuable opinions and
       strategic insight to senior client leadership personnel. He has served as
       Responsible Officer on auditing efforts both domestically and internationally. Mr.
       Marano managed the development of contingency plans and mobilization and
       communications tests of the Peoples Gas preparedness which included the
       participation of Nicor and Nipsco and several transmission companies. He has
       managed and critiqued emergency response preparedness and effectiveness
       while in operating roles during his career in the utility industry. Mr. Marano has
       managed, as Engagement Director, the California Public Utility Board Audit of
       PG&E’s gas and electric distribution capital expenditures and the audit of PG&E’s
       Vegetation Management Program; the Diagnostic Management Audit of
       Connecticut Power & Light for the Department of Public Utility Control and the
       Audit of the Street-Lighting Financial and Physical Assets of CL&P. Mr. Marano
       was the Responsible Officer assisting the NJBPU’s analysis of how the Exelon-
       PSEG merger may or may not affect the reliability of electric and gas service and
       pipeline safety in the State of New Jersey, including the review of Exelon and
       PSEG’s emergency and security plans. Mr. Marano provided expert testimony
       and testified during the hearings relating to the proposed merger of Exelon and
       PSEG for gas regarding safety and reliability of the gas delivery business.

      Mike Rafferty, Group Manager at Jacobs Consultancy, will serve as Task Leader
       for the mutual assistance area. He brings over 34 years of utility industry
       experience and is actively participating on the Institute of Electronic and Electrical
       Engineers (I.E.E.E.) Smart Grid Group and actively participates on the Power and
       Energy Society Distribution Reliability Working Group. He is currently managing
       two state-level energy assurance projects that address ESF-12 coordination at
       the state level. He has in-depth knowledge of storm outage assessment and
       overall expertise in electric utility operations management, marketing, business
       development, customer service, process engineering, project management, labor
       relations, strategic planning, change management, and regulatory compliance.
       Recently participated in the Massachusetts Commission’s Fitchburg Management
       and Storm Restoration Audit and in the Connecticut Department of Utility


Utilities Practice                           13
       Control’s (DPUC) Investigation into the Service response and Communications of
       the Connecticut Light and Power (CL&P) and the United Illuminating for a major
       storm in March 2010. Mr. Rafferty also participated for the Illinois Commerce
       Commission’s Workforce Adequacy Study covering the five major electric utilities
       in Illinois.  Mr. Rafferty was Project Manager for a major winter storm
       investigation for the Utah Department of Public utilities of PacifiCorp’s storm
       response adequacy for that 2003 storm.
      Bill Williams, Group Manager at Jacobs Consultancy, has been working in the
       utility industry for over 25 years. His experience spans a wide variety of
       consulting engagements including; process redesign, customer service,
       emergency restoration plan (ERP) reviews, management audits, workforce
       adequacy, storm reviews and strategic planning. Recently, he has been involved
       with a management audit of Fitchburg Gas and Electric, and a review of the
       service response and communications of The Connecticut Light and Power
       Company and The United Illuminating Company. In addition, he has been
       responsible for managing his own consulting firm. He has also been a senior
       consultant for Stone & Webster. Mr. Williams’ utility career started at City of
       Lakeland electric and Water Department where he gained valuable insights into
       storm restoration efforts as well as overall utility operations.
      Robert Grant, President of River Consulting Group, will serve as Task Leader for
       the emergency response area. He has been working in the utility industry for over
       40 years. His experience spans a wide variety of consulting engagements across
       the globe including: process redesign, consolidation of functions, emergency
       restoration plan ERP development and reviews, capital expenditure reduction
       programs, asset management, new technology impact assessments and strategic
       planning. Recently, he led three major focused ERP reviews (Ameren, Puget
       Sound Energy and CenterPoint Energy), which led to the redesign of major
       emergency processes and plans. In addition, he has been responsible for
       managing the North American utility practice for two large consulting firms. He
       has also been an officer and/or senior executive consultant for KEMA, Inc., AT&T
       Solutions, Stone & Webster and Booz Allen Hamilton. Mr Grant’s career started
       at Boston Edison (NStar) where he gained valuable insights to the utility
       operations and the business in general. He participated in several storm
       restoration efforts.


      Kevin K. Eckert, President of Arbor Global, will serve as Task Lead in the
       vegetation management area. He has been working in the utility tree and
       vegetation management (UVM) industry for over 30 years. His experience
       includes a diverse scope of direct design and/or administration of UVM programs
       for utilities in New England, Hawaii, and Asia, and international consulting
       engagements. UVM consulting projects include: program review and modification


Utilities Practice                         14
       to increase cost-effective, electric service reliability, development of state-of-the-
       art policies, procedures and specifications, design and implementation of
       emergency preparation and response plans, development of inventory and data
       management processes and tools, and expert witness services. Recently, he has
       led three focused reviews (CLP Power, Hawaiian Electric Company, Kauai Island
       Utility Cooperative) that have provided proven standards and initiatives to
       enhance programs and processes that improve system reliability, public and
       worker safety, and/or storm performance. In addition, he is currently serving as a
       lead consultant in the development of a national utility and municipal storm
       preparation and response best management practice. He has served as
       President of the international Utility Arborist Association, Chair of the EEI
       Vegetation Management Task Force, Chair of the Hawaii State Urban and
       Community Forestry Council, and is currently President of Smart Trees Pacific, a
       non-profit tree management organization established to work with utilities,
       municipalities, and private clients throughout the Pacific Rim. Mr. Eckert’s career
       started at Asplundh Environmental Services (now ECI) and continued at New
       England Electric, Eastern Utilities, and Hawaiian Electric Company where he
       designed and administered measurably successful tree and vegetation
       management programs and actively participated in numerous, major storm
       preparation and response events.
      Terry Cole, Communications Practice Director for Jacobs, will serve as Task
       Lead in the communications area. She has early 25 years experience in the utility
       industry in developing, assessing, and implementing strategic communications
       programs for public agencies across North America. A former reporter, she spent
       10 years gaining real-world utility experience serving as communications leader
       for a utility in a growing suburb of Atlanta. She is currently leading an extensive
       community outreach and strategic communications program around pipeline
       replacements for AGL Resources, the nation's largest natural gas-only
       distribution company based on customer count. The company serves about 4.5
       million utility customers in seven states. She has managed communication
       assessments for Spectra Energy and for Fitchburg Gas and Electric Light
       Company. In connection with the Fitchburg Project, she specifically reviewed both
       external and internal communications associated with their extensive 2010 storm
       outage. Her analysis included the use of various forms of social media and
       customer communications. In addition, she has served as a senior
       communications consultant to Peoples Gas Light and Coke Company in the city
       of Chicago for the largest infrastructure improvement project in its history to
       replace approximately 1,900 miles of cast/ductile iron main.
      Mari Carney and Thierry Tam will provide administrative and research support
       for the project.




Utilities Practice                           15
The key team members listed above will be supported by the competent, capable, and
expansive resources of the entire Jacobs’ organization and affiliate companies.




Utilities Practice                      16
5 ORGANIZATION OF PROJECT TEAM
Our proposed project organizational structure provides PURA and Jacobs a
straightforward means of directing, coordinating, and communicating tasks. The Project
Manager is the central point of contact with PURA to coordinate resourcing the tasks
Jacobs is supporiting. The organizational chart below shows the key project team
members and their primary area(s) of responsibility. We will notify PURA in writing of
any changes in the personnel originally proposed to perform this assignment.



                      Figure 2 – Jacobs’ Organizational Chart




Utilities Practice                        17
6 APPROACH
This chapter provides a discussion of Jacobs’ approach and philosophy to management
audits. It includes an in-depth description of the process used by Jacobs to show its
compliance with the required scope of work, including how the audit will be planned,
implemented, supervised and managed by Jacobs’ personnel, and the philosophy
behind Jacobs’ approach to each step.

6.1 Introduction
Jacobs’ approach is designed to complete a focused management audit of the utility in
the most efficient and effective manner and with the least amount of disruption to
Company operations. Jacobs’ consistent ability to meet the commitments of its audit
schedules and to produce effective results relies on the following approach:

      Development of a formal work plan with clearly defined deliverables.
      Use of only experienced, senior professionals, who possess the appropriate
       combination of professional maturity, utility knowledge, audit work experience
       and, whenever possible, a previous working relationship with the assigned
       Project Manager or Lead Consultants.
      Use of both quantitative and qualitative data to evaluate actual performance.
      Development of conclusions that are consistent with generally-accepted auditing
       standards, which require thorough documentation of the facts that support the
       findings, relied on for those conclusions.
      Continuously reviewing how conclusions reached in one area of an audit
       framework may impact other areas and to determine how overall performance
       may be improved through a clearer understanding of those connections.
      Proper maintenance of work papers in a manner that supports the documentation
       of findings.
      Ensuring that the concerns of Authority staff are being addressed.
The philosophy behind Jacobs’ audit approach is simple. It rests on a conviction that
open and constructive communication between audit parties produces the strongest
conclusions and, as a result, the most effective recommendations. Although Jacobs will
perform an independent and objective management audit of CL&P, communication rests
at the heart of the project. As a result, Jacobs will conduct the audit as follows:

      Maintain open and positive communications with all parties to the audit, which
       improves results by minimizing factual, logical and process errors, and ensuring
       that there are no surprises.




Utilities Practice                         18
      Discuss any concerns the PURA Staff may have and incorporate those into the
       work plan as appropriate.
      Work jointly with the PURA project manager to develop a clear and concise work
       plan embodying the PURA Staff objectives.
      Coordinate schedules with the PURA Staff and the Company’s Audit Team for
       interviewing personnel.
      Hold regular bi-weekly briefings with the PURA staff to ensure they are informed
       of Jacobs’ activities and preliminary observations.
      Ensure Jacobs’ approach integrates the ethics and practices contained in the
       Federal Auditing Guidelines, known as the “Yellow Book.”

6.2 Audit Approach and Methodology
Jacobs’ approach embraces a four-phase process that includes: planning and
orientation; investigation and fact-finding, procedural analysis; and the development of a
final report. These phases are outlined in more detail below.

6.2.1 Phase I - Planning and Orientation
The objectives of Phase I are as follows:

      Understand the audit objectives and scope.
      Incorporate PURA Staff’s expectations into the audit.
      Finalize contractual, project reporting, and other administrative processes.
      Understand the current operations, organization, and key management
       processes of the Company.
      Develop and gain approval of an initial detailed work plan (the “Work Plan”).

Jacobs will meet with PURA Staff and Company project managers to complete logistical
and contractual arrangements. Those arrangements will include, but not necessarily be
limited to, policies, and processes for:

      Requesting and tracking interviews and data.
      Setting and meeting agreed to response times.
      Managing confidential information.
      Adhering to auditing standards.
      Managing working papers and documentation requirements.
      Identifying additional PURA Staff issues or concerns.



Utilities Practice                          19
      Managing quality control.

Jacobs will perform the following activities during the orientation phase:

      Present an initial set of data requests to the Company to be delivered to Jacobs
       prior to the beginning of on-site interviews.
      Attend the Company’s audit kick-off presentation and if practical, conduct initial
       executive interviews.
      Schedule and conduct additional interviews.
      Issue a follow-up request for additional documents.
      Review and analyze all the initial data and information received.
      Meet with PURA Staff to understand emerging issues and concerns.
      Refine the initial work plan to reflect this new information.
      Refine initial analyses of audit requirements with respect to the eight audit
       elements and determine how the revised work plan applies to the process for
       completing work related to each element.
      Obtain the approval of PURA Staff to proceed with the refined work plan.

Because the development and delivery of an initial data request and an initial interview
request are critical elements of launching Jacobs’ Phase I approach, a preliminary draft
of these documents has been completed by the Jacobs team and is included in
Appendix E to this proposal. Jacobs has already identified the individuals or positions
who will be interviewed initially. Final initial interview guides and schedules will be
prepared once an orientation meeting has been scheduled by the Company.

The RFP did not identify a desired time schedule for the consultant to issue a draft report
to Staff. Based on our experience for an audit of this type, we have developed a
proposed timeline and project schedule as shown in Section 6.6.

To aid in schedule adherence and to allow the Jacobs team to refine the work plan
further, we will provide the Company with an initial data request, which will give the
individual Jacobs team members a deeper understanding of the Company’s approach to
the restoration process. As stated previously, drafts of data requests, subject to PURA
Staff approval, are included in Appendix E to this proposal. Jacobs’ ability to meet the
proposed schedule will require the Company to be responsive to data and interview
requests on a timely basis.

To that end, Jacobs recommends that a turnaround schedule of ten business days be
accepted as the standard for the return of Company reports and existing data. Jacobs
will negotiate delivery times for specially-requested analysis, reports, and data. This


Utilities Practice                           20
approach has been proven to result in on-time delivery of high-quality work products by
Jacobs.

Should Jacobs be awarded both the technical audit1 and this management audit, we will
be able to shorten Phase I substantially as a result of having much of the data and
information already in hand. This will translate into an opportunity for an overall lower
project cost.

6.2.2 Phase II – Investigation and Fact Finding
During Phase II, the primary data gathering and analysis will be performed for each of
the six audit elements. This process will incorporate the following activities:

         Develop a chapter report outline of the potential issues to be addressed for each
          of the six audit elements and other areas identified by the PURA Staff or Jacobs
          during Phase I activities.
         Review and enhance the criteria for each of the six audit elements (see Task 3 –
          Analysis, page 33, for a list of initial criteria developed for each of the six audit
          elements).
         Develop a set of questions and data requirements to support the formation of
          findings and conclusions addressing each of the potential issue area’s criteria.
         Identify and request individuals or positions for interviews that will allow Jacobs
          to better understand the strategic deployment, policies, and processes used by
          the Company to conduct business.
         Prepare interview guides to be distributed to intended interviewees, allowing
          adequate preparation time to facilitate a smooth and accurate transfer of
          information.
         Document all interviews in standardized, accessible, summary format using
          Microsoft Word.
         Issue additional data requests required to support further analyses.
         Perform and document field observations.
         Perform data sampling to quantitatively evaluate criteria.
         Arrange for additional or follow-on interviews.
         Review all assembled data against criteria for each issue and forms a set of
          initial findings applying known industry best practices and comparisons.
         Reference all findings against data responses and interview summaries.

1
    Request for a Consultant to Act as an Extension of Staff Regarding Docket No. 11-09-09



Utilities Practice                               21
         Draft initial conclusions.
         Conduct three-party, fact-verification sessions.
         Review results with PURA Staff.

Depending on the subject area, some of the above steps may be combined or
rearranged to facilitate a more complete understanding of a process or issue. It is
important to understand the chapter report outline is critical to managing both the
schedule and the budget. This outline permits Jacobs to focus on what is most important
for the specific element’s analysis. In this manner, the required data is gathered and the
interviews remain focused. This process allows Jacobs to identify other opportunities as
they emerge during the discovery effort.

While the focus of this audit is on CL&P management’s emergency response planning
and performance, Jacobs believes it will be necessary to examine first, the veracity of
CL&P’s emergency response process and documentation against industry standards
and second, to examine how well CL&P followed their own plan in recovering from
Tropical Storm Irene and Storm Alfred. Further, Jacobs anticipates reviewing CL&P’s
response to the two storms individually, then comparing and contrasting the data to
identify opportunities for significant improvement. This is why the CL&P’s orientation and
Jacobs’ initial data requests are so important to refining the work plan and, as a result,
managing costs. This management audit can also identify potential areas where the two
storm responses have common issues, which can lead to higher efficiencies and be
better attuned to leading practices. Further, the team will evaluate how well CL&P
integrated the last set of recommendations2 from the Jacobs report dated October 26,
2010 into their ERP. In doing so, the Authority can better understand CL&P’s
management commitment to improving its performance.

In addition, the Jacobs team will need to carefully evaluate CL&P’s emergency
restoration plan to determine if it is designed to drive an accelerated restoration by early
identification of potential additional resource needs and minimize the movement of
crews. As a function of this audit, Jacobs specifically expects to identify:

         Opportunities to enhance the existing emergency plan
         Clarify CL&P and NU senior management role and focus in directing restoration
          efforts
         Opportunities to use technology to shorten restoration




2   Please refer to Appendix D for a listing of these recommendations




Utilities Practice                               22
We will examine opportunities to appropriately use tree trimming advanced methods to
minimize the number of trees parts in the wires during these types of events.

It is Jacobs’ policy to focus team attention on critical and substantive issues. In this
manner, CL&P’s management can focus post-audit efforts on the implementation of
recommendations, which will yield the greatest returns for their Connecticut customers.

6.2.3 Phase III - Conclusion and Draft Report Development
Although this is normally part of the Phase II process, it is identified here as a separate
phase to accommodate an additional review of the conclusions by Jacobs’ management.
The Engagement Director will also rely on this internal feedback when analyzing the
overall continuity of all audit conclusions relative to the PURA Staff’s stated objectives.

During Phase III, Jacobs also will perform the following activities:

      Complete chapter report outlines that contain findings and preliminary
       conclusions.
      Convert the completed outlines into chapter reports, which contain the following
       information:
       o   Description of the task and the audit element or area;
       o   Description of industry leading practices;
       o   Evaluation criteria and metrics used, if applicable;
       o   Description of the Company’s performance in the element or area; and
       o   Findings and conclusions, including detailed supporting annotations.
      Performance of a quality verification review on each task report by key senior
       members of the Jacobs team, including identification of items that require further
       analysis be conducted.
      Edit the completed chapter reports for clarity and consistency.
      Forward completed draft reports to the PURA Staff for review, comment, and
       release when Staff concurs with the report.
As a matter of course, Jacobs will apply the “reasonable person” test to all its
conclusions to ensure the ensuing recommendations are sound, fair, cost-effective, and
consistent with leading practices and existing regulation.

To foster the desired results, Jacobs will incorporate the following elements into the
Phase III effort.




Utilities Practice                           23
          Formal team meetings upon start-up of the project.
          Attendance by all team members at the Company’s orientation session, either
           in person or remotely.
          Preparation of a draft and final work plan for each audit element by that
           element’s Lead Consultant with the assistance of the supporting consultants
           engaged for that area, including formal written signoffs.
          Development of a detailed style sheet for the draft and final report by the
           audit editor.
          Approval of the draft and final work plan for each audit element by the Project
           Manager, Engagement Director, and editor, including formal written sign-offs.
          Ongoing document tracking and reporting by the editor and the Project
           Manager.
          Approval of each interview summary by the Lead Consultant for that audit
           element and by the Project Manager, including a formal written sign-off.
          Formal cross-cutting team meetings led by the Project Manager.
          Approval of draft report by the Project Manager, Engagement Director, and
           editor, including formal written sign-offs.
          Approval of each “straw” recommendation by the Project Manager and
           Engagement Director, including formal written sign-offs.

6.2.4 Phase IV - Recommendation Development
During Phase IV, the Jacobs team will further analyze the information collected and
develop findings, conclusions, and recommendations relative to each of the six focus
areas. Should there be areas that could produce immediate benefit we will suggest to
PURA that joint discussions be held with CL&P, PURA, and Jacobs.

Based on our continuing analysis, we will develop recommendations that satisfy
conclusions that are approved by the PURA Staff. Jacobs recognizes its responsibility to
develop independent recommendations; however, there may be several areas of focus
where collaboration with the PURA Staff and CL&P may accelerate acceptance and
implementation. It is important to obtain company support of these recommendations so
the benefits may be expeditiously delivered to customers.

The Jacobs team will meet with the PURA Staff and the Company to forge workable
recommendations, which the Company can begin to implement as soon as practical.
This will be achieved through collaboration with the parties to develop acceptable
recommendations with achievable timetables. To facilitate this outcome, Jacobs will
perform the following activities:


Utilities Practice                         24
      Reach consensus on conclusions and order of value.
      Develop recommendation options for each conclusion or group of conclusions,
       including the performance of an initial cost-benefit analysis of the options.
      Present this information to the PURA Staff and the Company as a starting point
       for discussion.
      Conduct frank and open discussions with company management and, if
       necessary, with IBE directly as to how to best achieve the desired results.
      Refine the recommendations and opportunity analyses, where applicable, and
       develop a clear implementation schedule that may be reasonably achieved by
       the Company and monitored by the PURA Staff upon receipt of an Authority
       order.

Jacobs’ key outcome measures for its internal evaluation of this audit task are: (1) each
delivered recommendation must be founded on solid conclusions that are data-driven;
(2) each delivered recommendation must serve, at a minimum, the best interest of the
CL&P’s customers. These are the only criteria that Jacobs believes the Authority will
accept when presented with the final audit report for this project.

6.2.5 Phase V - Develop Final Report
During Phase V, Jacobs will assemble a draft of the final report in a form that is
consistent with the six defined audit elements presented in the RFP, and any additional
areas of review that are requested or approved by PURA Staff. The draft report will be
reviewed by PURA Staff first and, subsequently, by the Company for the verification of
facts.

Each element or area will be presented in the following chapter format:

      Introduction - includes a description of the subject area and its importance to
       emergency restoration planning, and a concise list of recommendations that will
       be presented in detail in that chapter.
      General Health Statement - Jacobs’ overall opinion of the current status of the
       element or area being presented compared to leading practices or other
       accepted performance measures.
      Chapter by Chapter Discussion of Individual Recommendations (as agreed to by
       all parties) - will include an introductory description of the recommendation;
       properly annotate discussion of the supporting conclusions, findings and facts; a
       cost-benefit discussion and analysis, as appropriate; and an implementation
       timeline. Where it makes sense, Jacobs may outline several options for
       consideration and will evaluate each option, citing the advantages and


Utilities Practice                         25
       disadvantages of each. In some instances, CL&P may disagree with the
       recommended option and through further exploration Jacobs may incorporate
       their concerns and refine the recommended options so that they are viable for
       implementation.

In addition to the element and area chapters, an executive summary and a
recommendation roadmap chapter will be included in the final report.

The overall methodology is depicted in the diagram below.




Utilities Practice                        26
                                                  Figure 3 - Proposed Work Plan Flow Chart




            PROJECT INITIATION
                                                   Initial Meeting with PURA                               Initial meeting with CL&P




                 PAHSE
                                           Initial meeting with the Authority to refine Scope     Initial meeting with CL&P to establish project
                                           of Work                                                logistics and receive company orientations




                                                              General Review                            Functional Area Review

                                                - Request of Documents                          - Emergency Operations
           INVESTIGATION& FACT FINDI NG




                                                - Interviews with Knowledgeable Individuals     - Preparedness

                                                - Reviews of .…                                 - Restoration Performance

                                                     - Emergency Plans                          - Staff Adequacy
                      PHASE




                                                     - Organization                             - Mutual Assistance

                                                     - Process, Policies, Procedures            - Communications

                                                     - Programs and Plans                       - Post-Storm Actions

                                                     - Communications                           - Best Practices

                                                     - Workforce




                                                                                                       Analysis and Conclusions
           CONCLUSION DEVELOPMENT




                                                                                                 - Analyze Document Responses

                                                                                                 - Correlate with Interview Notes
                   PHASE




                                                                                                 - Develop Analytical Comparisons

                                                                                                 - Rank against Industry Practices

                                                                                                 - Assess Adequacy Processes

                                                                                                 - Develop Findings & Conclusions
         RECOMMENDATIONS




                                                                                                              Recommendations
           DEVELOPMENT




                                                                                                 - Validate Findings
              PHHSE




                                                                                                 - Substantiate Conclusions

                                                                                                 - Develop Recommendations




                                                   Audit Trail                                                     Reporting

                                          - Interview Notes                                      - Scheduled Meetings
                                          - Document Requests
                                          - Document Responses                                   - Status Reports
           REPORTING




                                          - Work Papers
             PHASE




                                          - Project Briefings                                    - Draft Final Audit Report
                                          - Correspondence
                                                                                                 - Final Audit Report
                                          Indexed copy of report with findings
                                          cross-referenced to notes, documents
                                          and work papers




Utilities Practice                                                                         27
6.3 Methods
The Jacobs team prides itself on its ability to present an accurate portrait of the
management audit in the final report, regardless of the type of work that is being
performed. The rigor that allows Jacobs to produce such a high-quality audit is the same
approach that will be applied to the focused management audit of CL&P.

The methodology behind Jacobs’ management audit proposal is built on four essential
elements:

   1. Facts. Facts are data or other information that can be reasonably proved as an
      actual depiction of some characteristic of the company. Generally these are
      gleaned from one or more of the following sources:
              Hard financial, reliability, staffing or other performance data that is non-
               disputable.
              Interview results that are captured and are verifiable by data,
               observations, or other interviews.
              Physical observation of field or process related activities.
   2. Findings. A finding is reached after reviewing a summary of the facts and
      depicts the auditor’s best judgment based on a reasonable analysis.
   3. Conclusions. A conclusion is a determination reached after reviewing a
      summary of findings, which requires the auditor to form an overall opinion about
      a specific topic based on analysis against relevant criteria and industry leading
      practices and suggests some form of action.
   4. Recommendations. A recommendation is an actionable and prescriptive
      statement based on a number of conclusions and some level of cost/benefit
      analysis and is generally time-bound.

The accurate retrieval of facts serves as the basis for developing findings, conclusions,
recommendations, and measurable results. Jacobs embeds its factual references within
the draft report (generally as footnotes) to allow for efficient verification of facts. This is
an essential quality verification tool used by Jacobs to ensure report accuracy, minimize
errors and, ultimately, to help to create confidence in the recommendations that are
presented due to the ability to expeditiously respond to questions and concerns.

Jacobs will be responsible for developing its findings and conclusions and will take the
lead on developing reasonable recommendations. All recommendations remain subject
to the approval of PURA Staff and may be developed in a collaborative fashion with the
Company to craft workable solutions and timetables. Should the Company be restricted
or unwilling to collaborate on a specific recommendation, Jacobs will independently
develop appropriate and reasonable recommendations for review by the PURA Staff first



Utilities Practice                            28
and will bring the recommendations that the PURA Staff believe are most promising to
the Company at that point.

Another critical component of conducting an effective management audit is the approach
used to conduct interviews, data sampling, cost/benefit analyses, and the organization of
data elements. The methodologies used by Jacobs in this regard are presented below.

6.3.1 Interview Technique
With a task report outline in hand, Jacobs’ team members will develop a list of questions
necessary to gain insights into each of the audit elements being evaluated. These
questions will be assembled into interview guides, which will be used to manage the
individual interviews; these questions are used to identify additional data requests before
the interview.

Interviewees will be provided with an interview guide summary one week in advance of
the interview so they may adequately prepare complete and accurate responses.
Interviewees will be advised that additional topics may be covered during the interview
process as issues unfold.

Further, Jacobs encourages the individuals being interviewed to present samples,
flowcharts, and other documentation to support their answers. These documents, if not
part of a prior data request, will be added to the data request list. The goal of Jacobs’
interview approach is to gain a fair, accurate, and complete picture of the facts in order
to produce high-quality findings. PURA Staff is also welcome to attend and observe
interviews, either in person or by telephone.

Interview guides will be tailored to the level and special restoration duties of the
individual who will be interviewed to ensure a productive session. As an example, the
Jacobs team would discuss strategy and policy with senior level managers while
focusing on process at the supervisory and line levels. In this manner, it is possible to
test the validity and effective implementation of management strategies or policies all the
way through the organizational chain to determine the true value and effectiveness to
the Company.

6.3.2 Data Review Techniques
To quantify impacts to the business and validate what Jacobs is being told by company
personnel, a sampling of data will be undertaken. Sampling methodology depends on
the topics under analysis, but in all cases the sample will follow the approach below:

      Identify data sources required to address and test the criteria stated in the task
       report outline.
      Determine if the sampling will be by past performance data and process review.



Utilities Practice                          29
      Request the data from the Company or arrange for physical observations.
      Analyze the sample data and develop findings.
      Validate the findings by comparing and contrasting those findings with other
       information sources, such as interview notes.

Sampling data may:

      Represent a range of T&D maintenance programs by both type and dollar value.
      Cover a specific period of time; e.g., five years of historical tree trimming budget
       and actual data.
      Depict major restoration spend by vendors.
      Represent staffing and emergency restoration augmentation.

6.4 Deliverables
The audit process will generate a large number of documents and work plans through
the delivery of the final audit report. Those documents and plans will need to be
available to the PURA Staff during and after completion of the audit. The RFP defines a
range of deliverable products related to this project. Jacobs’ technique to approaching
these documents and the documentation of an audit is provided below.

      Work Plan. Jacobs will work closely with PURA Staff during the creation of an
       initial audit work plan. During the process of developing that plan, PURA Staff’s
       comments, suggestions, and concerns will be integrated into the document.
       Jacobs’ project manager will be responsible for submitting initial and final draft
       work plans to the project manager for the PURA Staff. In addition to the items
       included in the RFP scope for the work plan, Jacobs will include the tools it
       proposes to use to analyze data and findings, and a detailed schedule of with
       objectives and milestones associates with each audit element. PURA Staff’s
       approval of the work plan will signal the Jacobs team to begin Phase II work.
       Because no successful plan is ever static, but rather a dynamic tool which adapts
       to circumstances, the audit work plan may be modified during the course of the
       audit if Jacobs finds a significant issue with ramifications to customers that was
       not covered in the work plan, and PURA Staff agrees that the issue merits a
       modification to the original plan.
      Briefings. Jacobs will provide regular briefings to PURA Staff on the progress of
       the audit and will identify emerging issues. It is possible that, as the audit
       progresses, Jacobs may be required to provide preliminary assessments of
       findings to the Authority or senior members of the PURA Staff or other
       government offices. These briefings can be conducted in person, by telephone or
       with written reports, as requested by the project manager for the PURA Staff. In


Utilities Practice                          30
       all cases, the briefings will be documented and become part of the audit work
       papers.
      Progress Reports. The final work plan will define a schedule for Jacobs to
       provide formal report briefs to the PURA Staff and others identified by the project
       manager for the PURA Staff. These formal progress reports will be become part
       of the audit work papers.
      Draft Reports. The preliminary schedule for delivery of the initial draft audit
       report is set forth in Section 6.6 of this proposal. This initial draft report, which is
       intended to be representative of the final audit report, will be reviewed by PURA
       Staff, who will comment on the draft. Jacobs will edit the initial draft and present
       a revised initial audit report to PURA Staff, who will authorize Jacobs to send the
       revised draft report to the CL&P for review when the PURA Staff is satisfied with
       the product. It is expected there will be two passes at the draft report stage in
       order to address PURA Staff concerns and CL&P factual concerns.
      Final Report. Following receipt of comments from PURA and CL&P, Jacobs will
       assemble and deliver the final report to PURA.

In addition to the deliverables set forth in the RFP, Jacobs will prepare and maintain the
following documents:

      Data Requests. Jacobs will generate written requests for documents and other
       data that will be distributed by the Jacobs project manager. These document
       requests will clearly identify the data, analysis or documents being requested, as
       well as the individual or department who requested to provide the documents.
       Data requests, as with interview requests, will be assigned a unique number for
       document tracking purposes and will be maintained as audit work papers.
      Interview Requests and Summaries. Jacobs uses a formal interview request
       form that acts as a record of the request. All interview requests will be assigned a
       unique number. This approach supports an organizational system that permits
       Jacobs to track the Company’s responsiveness and provides a formal reference,
       which will be used to track the task and to document Jacobs’ findings in the draft
       and final reports. Jacobs also will prepare a formal interview summary which
       includes: a unique document reference number; the name of the individual
       interviewed; the individual’s title and affiliation; the interviewer; the interview date
       and time; interview facts and observations; potential issues; and any follow-up
       required, including the preparation of subsequent data requests resulting from
       the interview. Typed summaries will become a permanent part of the audit work
       papers. As a general rule, Jacobs does not include findings or conclusions in
       interview summaries.




Utilities Practice                            31
      Project Management Reports. A monthly progress report that includes person-
       days expended during the past month and any audit-related expenses will be
       provided to the PURA Staff’s project manager by the 10th day of the following
       month. This report will record the information by activity and individual team
       member. It will be presented alongside the approved work plan and budget and
       will calculate the percentage of completion at that point in time. Any deviations,
       delays or remediation needs will be captured in this monthly report.

All of the above documents, together with analyses, and any other information gathered
as part of this management audit will be considered to comprise the engagement
working papers. Consistent with the requirements set forth in the Audit Guide, these
documents will be organized into a concise electronic package, which will be provided to
the PURA Staff at the time Jacobs delivers the final audit report.

A. Project Management
Effective project management begins with a logical, effective, and an efficient work plan
that is clearly understood and accepted by the parties. The Engagement Director and
Project Manager will be responsible for crafting and managing the overall work plan. In
engagements of this magnitude, the Project Manager will be assigned to devote
reasonable effort to managing both the audit costs and schedule using acceptable
project management tools.

Jacobs’ Project Manager is responsible for the day-to-day execution of the work plan
and schedule, while the Engagement Director focuses on the development of the central
issues, budget management, and the management of key relationships. Both the Project
Manager and Engagement Director have a long and productive working relationship
relative to management audits assignments.

A key aspect of Jacobs’ approach to process control is to limit contact for audit process
decisions to the Project Managers assigned by Jacobs and its client, which in the case
of this audit is a representative assigned by PURA Staff, who is Jacobs’ primary client,
and an additional representative assigned by CL&P. Jacobs welcomes PURA Staff and
CL&P personnel as active participants in the audit review process and will work through
its Project Manager to accommodate requests throughout the course of the audit.

The Project Manager will also make any or all Jacobs’ team members available to PURA
Staff to discuss emerging issues, as needed. Using quality audit tools and experienced
consultants, together with maintaining open and honest communication between project
managers, will lead to a positive audit experience for all parties involved in the process.
Again, Jacobs understands the travel limitations of the PURA Staff, therefore, will make
use of structured conference calls as much as possible.




Utilities Practice                          32
A significant benefit to this approach is that it prevents surprises by encouraging an
open, ongoing, informal dialogue. Jacobs assembled an experienced team of
professionals who understand how to minimize the disruption of a client’s normal
activities and when it is important to reach out with information or for advice.

In conducting this audit, the Jacobs team will perform all work in a professional manner
and in accordance with accepted government accounting standards.

6.5 Detailed Work Plan
The comprehensive assessment will consist of six proposed in-depth areas of focus or
tasks. Tasks 1-4 represent the elements expressed in the RFP. The complete array of
tasks is as follows:

Task 1 - Project Initiation
   1. Kick-off Meeting PURA
   2. Kick-off Meeting CL&P
   3. Finalize Scope

Task 2 - Discovery & Analysis
   1. Initial Discovery Request
   2. Review Initial Discovery Responses
   3. Utility Interviews
   4. Analyze Evidence
   5. Additional Discovery Requests
   6. Analyze Discovery Requests

Task 3 - Procedural Analysis
   1. Emergency response planning, preparedness and training;
   2. Emergency response execution;
   3. External Communications;
   4. Securing and managing outside work crews; and
   5. Tree trimming and vegetation management policies and practices.

Task 4 – Reporting
   1. Staff Meetings
   2. Progress Reporting
   3. Draft Report
   4. Final Report

The specific methodology for accomplishing each task is described in detail below:

Task 1 - Project Initiation
In Task 1, we will conduct initiation meetings with the Authority and the companies. We
will develop and submit a preliminary data request list for each of the companies. At the
conclusion of Task 1, we will provide a detailed work plan adapted for each company for




Utilities Practice                          33
review and approval by the Authority.       The specifics of these initial activities are
described below:

Initiation Meetings
The initiation meetings with the Authority and the companies will provide Jacobs a
thorough understanding of the Authority's expectations. We anticipate a one-half day
project initiation meeting with the Authority to complete contract formalities and discuss
project logistics.    We request a one-half day group meeting with appropriate
representatives from the companies to provide team introductions and discuss project
logistics. We would welcome the Authority’s participation in this group meeting.

After the project initiation meeting, we will submit to the Authority a detailed
memorandum documenting the results of the meetings. If modifications to the
memorandum are needed, the Authority will submit a request for modifications to Jacobs
within five working days of receipt of the memorandum.

Initial Data Requests
In addition to the discovery already requested by PURA, we will review data from the
prior study, the Witt Associates study, and information that may be available from the
recent CL&P contracted consultant study. Based on this review, we will prepare
supplemental or updated data requests as appropriate. We anticipate these data
requests to include: operating policies, construction standards, reliability data, system
configuration, work center locations, maintenance work order, and work order backlog
information. As discussed earlier, our initial data request may be found in Appendix E.
As we progress through the analyses, we will formulate additional data requests as
needed. Recognizing the timing constraints in this engagement, we will provide data
requests on a timely basis and expect a commitment from the companies for rapid turn-
around.

For illustrative purposes, a typical initial data request is shown below. We recognize
some of the typical discovery requests listed below have already been sent as
interrogatories to the companies on September 28, 2011.

Initial Interview Requests
During our review of the 2010 severe weather event, we conducted a number of
interviews to gain knowledge in several areas; first, to become familiar with general
company policies and response plans, and second, to explore the specifics of the 2010
weather event. Armed with the results of those prior interviews, we will seek to
supplement that knowledge and explore the Hurricane Irene event in detail.
Consequently, the total number of interviews may be less than in the prior study, but it
will allow for additional focus into communications and staffing. Based on this


Utilities Practice                          34
background, we will develop and submit requests for functional area interviews to each
company. We will utilize consistent interview guidelines and interview question outlines
that will be provided to the interviewees in advance of the interview process. As
discussed earlier, our initial interview request is contained in Appendix E.

Task 2 - Discovery
We will initiate Task 2 with a review of the information that is available to us. This
information includes any of the CL&P and UI’s self-assessments pertaining to Hurricane
Irene outages and the responses that will be provided in our initial data requests. The
purpose of this examination is to provide sufficient background information on the depth
and areas of specific assessment that will be undertaken.

Our preliminary analyses include reviewing the potential reliability problems and risks
identified in the previous assessments of each utility during the outages, as summarized
below, and determining whether these problem areas affected the utility’s storm
preparedness and restoration efforts.

This effort will include a careful review of the initial discovery request and in responses
to this as well as to the Interrogatory already filed by the Authority. We understand that
as of this date, no testimony has yet been filed. As part of this task, we will analyze all
pre-filed testimony as it becomes available.

We will conduct structured interviews with appropriate staff members of CL&P to delve
into their respective emergency response plans and responses with particular emphasis
on response to Hurricane Irene.

As an outcome of our reviews on the initial discovery and the company interviews and
our analysis of evidence, we will request and analyze additional discovery.

Part of our discovery and analysis will involve research into the specific storm pattern
responsible for the outages. We will investigate the extent to which advanced knowledge
of the pending severity of the storm was known and the ensuing response from CL&P
and UI.

Task 3 - Analysis
Jacobs believes in order to address the intent of the Authority’s RFP, we need to
examine CL&P’s planning and execution closely to determine if management has fully
embraced the restoration process and ethic. To do this, we will apply a set of criteria
developed over the years, which represents the best practices of the industry and
determine if CL&P has incorporated them into the ERP strategy, tactical plans, and
implementation. In Task 3, we will probe in detail the following planning and response
elements.


Utilities Practice                          35
Task 3.1 - Emergency Response Planning, Preparedness, and Training
At the heart of a successful restoration effort is the plan. Our belief is that when the
emergency occurs, management shouldn’t be determining what to do, but rather
executing a well thought out plan. One key tenet is to plan for the worst case event and
then scale back. In this task, we will review the adequacy of CL&P’s overall emergency
response planning process as well as the Emergency Response Plan. At the highest
level, there should be a strategic (What?) and tactical plan (How?). To thoroughly review
emergency outage planning, Jacobs will focus on the following areas:

   1. Adequacy of emergency plan.
   2. Training and preparedness of organization in emergency planning.


   1. Adequacy of Emergency Plan:
   Strategic Plan
   The objective of the strategic plan is to provide the framework for executing a
   successful restoration effort post a major disruption to the transmission and
   distribution systems.
   The strategic plan has the following elements:
          Overview of the plan.
          Event category definitions and the likely precipitators.
          ERP organization to manage all aspect of the restoration.
          Roles and responsibilities defined.
          Key positions identified with requirements, primary, and back-up personnel.
          Key activation thresholds.
          Specific strategies for addressing each category of storm damage.
          Defined training elements and frequency.
       Criteria
              Are the guiding principles consistent with leading practices?
              Does the Plan allow for a balanced recovery effort?
              Are the overall objectives of the Company’s emergency restoration plan
               consistent with industry leading practices?
              Are these objectives are comprehensive and at the level needed to
               establish an integrated perspective on and effective emergency
               response?
              Convey an overarching corporate philosophy that prompt safe restoration
               of service is job number one.
              Contain senior management's strongest endorsement.
              Does the plan cover all levels of system failure?



Utilities Practice                         36
             Does the Plan address multiple types of disasters?
             Is the Plan distributed and formally reviewed by all participants?
             Does the Plan integrate all aspects of a recovery effort into a cohesive
              and seamless exercise?
             Does the Plan have a well defined organization?
             Are roles and responsibilities of each position well documented?
             How will company line forces be used?
             Is the Plan well understood by all personnel involved with a recovery
              effort?
             Is there a formal training schedule and activities?
             Is there a means test for understanding after training?
             Are annual drills performed and evaluated?
             Is there a unified communications plan?
             In the absence of communications systems can a restoration proceed in
              an orderly manner?
             Are there triggers for both escalation and de-escalation of repairs?
             How will management handle 10 to 20 times the number of field forces?
             Is there an order of restoration?

   Tactical Plans
   The objective of the tactical plans is all field forces to mobilize immediately and move
   into the affected areas to commence restoration. As such, the tactical plans are very
   prescriptive in nature and will include the following:

         Identified “restoration islands” within a region or operations center control
          area.
         Key individuals assigned specific “restoration island” responsibilities.
         A formal approach to managing foreign crews with specific assignments.
         Are service area emergency circuit list regularly updated?
         What is the policy for adding circuits to the emergency restoration list?
         Estimates of the number of crews available to work by type and equipment
          compliment for different levels of damage.
         Resource augmentation plans.
         Predefined staging areas with formal layouts.
         Contact lists for lodging, feeding and support functions.

      Criteria
             Are call-out lists regularly updated?
             Are primary and secondary staging areas identified and arranged for in
              advance?



Utilities Practice                          37
             Are staging area layouts fully formulated?
             Are sleeping and eating accommodations prearranged?
             Are emergency materials handling facilities in place?
             Is material transport identified?
             Does the utility make use of recently retired personnel to augment
              staffing?
             Are restoration islands established with identified supervisors?
             How will local management communicate with foreign crews?
             Are there crew guides pre-identified?
             Are damage assessors fully qualified?
             Are support vendors identified and included in the plans?

   Information Systems
   The role of information systems is to identify where trouble is located and track
   restoration efforts. Specific systems include: SCADA, DMS, EMS, OMS, and
   AMR/AMI. I/T systems can be both a blessing and a curse; Management needs to
   know when to use or not use them.

         Key systems used to identify trouble.
         Communication systems to talk with the field.
         Roll out plan for extending I/T systems in the field.
         Ability to maintain systems during an event.
         AMI communications backhaul integrity.

      Criteria
             Is there good coordination between systems to prevent duplication of
              information?
             How is I/T rolled out and maintained during an event?
             How and when is each system used during the restoration effort?
             Has system operations ever shutdown OMS during an event?
             Which systems do System Operators rely on most heavily?
             Is the OMS tied to an outage map on the Company’s website?
             How are field reports reconciled with OMS system data?
             How is outage data captured?
             Does the Company use AMR/AMI solutions?
             How and when is AMI/AMR communications backhaul integrity
              maintained?




Utilities Practice                          38
   Imminent Event Actions
   While it is difficult to impossible to predict all major forms of system disruption, those
   that can be predicted lend themselves to preparations which can better position a
   utility for the coming restoration effort. Typically, hurricanes, severe weather events,
   and ice storms have certain predictability to them. While earthquakes and some wind
   events, Micro bursts, occur without much advance notice.

         Weather event tracking.
         Timetable of actions to be taken.
         Critical decisions identified.
         Thresholds established with actions defined.

      Criteria
             Is there a formal process for tracking weather and other events?
             Are there models to predict potential damage?
             In the event of an approaching weather system, is there a set of pre-
              defined actions?
             When is the emergency operations center (EOC) activated?
             Can the lead system operator make the call to open the EOC?
             Are there well established triggers for calling in additional resources?
             Are there formal relationships in place to bring on contractors and utility
              crews?
             What is the plan for mobilizing company personnel?
             What is the trigger for holding key employees beyond their normal work
              day?
             Is there an organization responsible for tracking imminent events?


   Event Assessment
   Immediately after the emergency passes it is critical to begin both the restoration
   effort and the damage assessment. In some states it is required that a company
   also conducts a forensic analysis of the damage, to determine if there are design,
   maintenance or material issues which exacerbated the damage.

         Formal damage assessment processes.
         Managing assessment information.
         Determination of resource requirements.
         Staging site setup.

      Criteria
             Is there a formal initial damage assessment (SCAN) process?


Utilities Practice                           39
              Is there a formal detailed damage assessment?
              Is there a formal forensic assessment plan?
              How are damage assessors selected and trained?
              What is the process for managing damage assessors?
              How are wire-downs handled?
              When are staging sites selected?
              How are staging sites setup?
              Is there a formal process managing and using the data gathered?
              What is the process for determining internal restoration target?
              How are resource requirements predicted?


   Logistics
   When a restoration event demands the need for additional resources, there is the
   additional burden of providing the basic necessities for those workers. Specifically,
   there is a need to provide, lodging, meals, fluids, laundry services for the crews.

         Formal process for logistics.
         Logistics management.

      Criteria
              Are there formal contracts in place for lodging, meals, and laundry
               services?
              Are logistic companies available to provide the necessities if local
               services are interrupted?
              Is there a formal process for track foreign crews during their stay?
              How is emergency communications managed?
              Is there a formal process for receiving a formal Declaration of Emergency
               from the state?
              Is there an individual responsible for getting certificate of tax exemptions
               for foreign crews traveling through other states?
   Supply Chain
   Essential to any restoration effort, is the need for a strong supply chain capable of
   getting all the materials necessary at the right time and to the right place at a
   reasonable cost. Further, be ready to reduce ordering to prevent over spend.

         Formal contracts for emergency material supply.
         Formal process for managing emergency material stores.
         Formal alternate supplier program.




Utilities Practice                          40
      Criteria
             Are there formal vendor contracts in place to provide additional materials
              and equipment?
             Is there a formal process for obtaining materials from other utilities?
             Is there a process for local distribution of materials into affected areas?
             Is there a formal process for vehicle fueling?
             Is heavy transport pre-arranged?
             Are there formal arrangements for vehicle fuels?
             Are local supply depots identified and arranged for?
             Is there a plan to extend local warehousing staff to support emergency
              satellite stores areas?

   Resource Dispatch and Management
   The field crews who mobilize and restore the system again are at the heart of any
   restoration effort. Managing these forces is critical to a timely restoration effort and
   to minimizing public outcries of poor performance. In recent times, crews have been
   called in to work an event only to be asked to wait on work orders and other critical
   elements. Local news crews gravitate toward these delays and use them to create
   news stories. In addition, it is critical to have the right crews and equipment for the
   work at hand.

         Formal plan for expand system operations during an emergency.
         Adequate communication modes to minimize field delays and ensure safety.
         Formal foreign crew management plan.
         Formal operations dashboard for tracking work.
         Management responsibilities well defined.

      Criteria
             Are there adequate lines of communication available to handle the
              volume of crews?
             Is there a plan to expand system dispatch?
             How does the Company determine which crews to send to which site?
             What are the triggers for demobilizing crews in an area?
             How are foreign crews managed?
             Is there an off system receiving center(s) for foreign crews?
             Is there a formal safety program for all foreign crews?
             How is work time captured and productivity measured?
             How is a balanced restoration achieved?
             How are foreign crews evaluated and when?
             How is the restoration work assigned and accounted for?


Utilities Practice                          41
   Verification
   Verification is essential as the restoration proceeds. It helps Management track
   progress and allows the Company to report progress made to its various publics. The
   process needs to be very formal to ensure accurate reporting of progress.

         Formal verification process repair time.
         Formal verification process for work completed.

      Criteria
             Is the process of verification formalized?
             Is there one individual ultimately accountable for verifying progress?
             Are progress updates reasonable and consistent with the type of work
              being performed?
             Is field management aware of the importance of verification?

   2. Training and preparedness of organization in emergency planning
   Training ensures all employees understand their roles, responsibilities, and reporting
   relationships. In addition, training provides needed information on how to do a
   particular job in the most effective way.

             Formal training programs with comprehension testing.
             Formal schedule for annual training.
             Formal process for updating training with ERP changes.
             Formal drills with independent evaluations.

      Criteria
             Are there formal training programs for key positions? Which positions?
             Is there a formal annual schedule for training?
             Is training attendance monitored?
             Are formal drills conducted annually?
             Is there an independent evaluation of the drills?
             Are appropriate resources are used?
             Are simulations realistic (multiple contingency scenarios are covered)?
             Is there a formal process for capturing and addressing issues from the
              drills?
             Is there Review Training for employees with underground emergency
              responsibilities, including training for equipment failure and manhole
              events?


Utilities Practice                         42
                 Is there a formal process to assess the training provided in
                  communication and reporting techniques, including emergency
                  communication?
                 Is there a formal process to assess the apprenticeship program for field
                  personnel to assure the training is effective and practical?
                 Is there formal damage assessor training which includes process and
                  hands-on field training?

Task 3.2 - Emergency Response Execution
Having an Emergency Restoration Plan is one thing, following it is another. It is critical
to understand if the plan was followed and if any deviation from the plan occurred what
caused the deviation. We will review CL&P’s actual emergency outage performance,
including execution of its Emergency Response Plan. Our focus will be on the
effectiveness and efficiency of outage performance during two storm events. Since this
will be well after the fact, we will perform this analysis using interviews of all levels of
participants and external interviews as we. We will develop timelines to determine when
decisions and actions were taken. To thoroughly review storm restoration performance
and effectiveness, Jacobs will focus on the following areas:

     Imminent event actions
     Event assessment
     Logistics
     Supply chain
     Resource dispatch and management
     Staffing adequacy
     Post-storm actions
     Best practices

     Imminent Event Actions
     Both storm events allowed for advance notification, as such we want to understand
     CL&P’s pre-storm activities to ensure rapid implementation of the plan and the
     shortest restoration time.

         Weather tracking.
         Timetable of decisions and actions.
         Critical decisions identified.
         Emergency operations center (EOC) EOC activation.
         Thresholds established with actions defined.


Utilities Practice                            43
      Criteria

             Did CL&P follow the pre-storm plan?
             When was storm tracking initiated?
             Where models used to predict potential damage?
             Did CL&P take appropriate and timely actions?
             When did executive management commit to outside resources?
             Was the EOC activated in a timely manner to support pre-planning
              activities?
             Who opened the EOC and did it require executive level approval?
             Where triggers and attendant actions appropriate for calling in additional
              resources?
             How were outside resource commitments achieved?
             Did CL&P make adequate use of non-technical personnel during this
              period?
             How did CL&P handle its line resources prior to both storm’s landfall?
             Is there an organization responsible for tracking imminent events?
             How were contractor crews already on CL&P property incorporated into
              the workforce?

      Event Assessment
      Immediately after the storms passed, identify actions taken by CL&P to
      understand the extent of the damage. In some states it is required that a
      company also conducts a forensic analysis of the damage, to determine if there
      are design, maintenance or material issues which exacerbated the damage.

             Formal damage assessment processes.
             Managing assessment information.
             Determination of resource requirements.
             Managing wire-down calls.
             Coordinating with municipal and other state agencies.
             Staging site setup.

          Criteria
                 Was the Plan followed?
                 Where critical decisions taken in a timely and reasonable manner?
                 What is the level of independence of the EOC manager or Storm
                  Boss?
                 Did CL&P use an initial damage assessment (SCAN) process?
                 What was the duration of the SCAN?



Utilities Practice                         44
                 What were the SCAN results and actions taken?
                 What was the frequency of reporting?
                 How was SCADA and OMS data used to support the SCAN?
                 Was a sampling methodology used to determine the extent of the
                  damage?
                 Was executive management involved in any of the decisions?
                 Did CL&P initiate detailed damage assessment post the SCAN?
                 Is the damage assessment automated?
                 Did CL&P initiate a formal forensic assessment?
                 Where the damages assessors for the SCAN the same as the
                  detailed damage assessors?
                 How frequently did damage assessors update the EOC?
                 How were wire-downs handled? By whom?
                 What was the coordination with local public safety around wire-
                  downs?
                 When were staging sites selected?
                 How were staging sites set up and manned? By whom?
                 Did EOC management make use of a formal operations focused
                  dashboard?
                 What role did SCADA, OMS, and other I/T systems play during the
                  early part of the restoration?
                 How was the initial estimated restoration time (ERT) determined?
                 When was the internal restoration target identified?
                 Was there a difference between the ERT and the initial target time?
                 When did calling in of external resources begin?
                 What role did executive management play during the first eight hours?
                 Did executive management have regular contact with the governor’s
                  office?
                 How was road clearing coordinated with municipalities? Was it
                  effective?
      Logistics
      After the number of foreign crews is determined, Logistics begins its work.
      Specifically, there is a need to provide lodging, meals, and laundry services for
      the crews.

             Formal process for logistics.
             Logistics management.

          Criteria
                 When did Logistics begin its work?


Utilities Practice                            45
                 Did Logistics have to arrange short-notice contracts?
                 Was there adequate of lodging inventory for the number of crews
                  used during the events?
                 When was a formal Declaration of Emergency from the state
                  received?
                 When did the Company arrange for certificate of tax and fuel
                  exemptions for foreign crews traveling through other states?

      Supply Chain
      Supply Chain’s impact on the overall restoration can be significant. Did spend
      exceed needs by more than 10%?

             Formal contracts for emergency material supply.
             Formal process for managing emergency material stores.
             Pre-staging and kitting activity.
             Formal alternate supplier program.
             Adequacy of equipment and materials.

          Criteria
                 Are there formal vendor contracts in place to provide additional
                  materials and equipment?
                 Did CL&P obtain materials from other utilities?
                 How well was the local distribution of materials and equipment into
                  affected areas?
                 How were large items moved into the field?
                 How was vehicle fueling accomplished?
                 Was heavy transport timely?
                 When did pre-staging of material occur?
                 Were additional materials required to support the restoration effort
                  shipped to central stores receiving or drop shipped to specific field
                  locations?
                 Where local supply depots identified and setup in a timely manner?
                 What materials were made available at the staging sites?
                 How were temporary material / equipment satellite locations and
                  staging areas staffed?
                 Was material kitting used?

      Resource Dispatch and Management
      At the heart of any restoration effort it comes down to the crews in the field. From
      a strategic level, all areas need to be addressed simultaneously to minimize



Utilities Practice                         46
      public complaints regarding favoritism. The area crew complement should reflect
      management’s best judgment at allowing all areas to be restored in about the
      same time frame. Generally in extreme events, Management must decentralize
      the tactical management of its field forces to ensure an effective and efficient
      restoration effort.

             System operations effectiveness during the emergency.
             Adequate communication channels to minimize field delays and ensure
              safety.
             Working foreign crew management plan.
             Formal operations dashboard for tracking work.
             Management at all levels understood it responsibilities.

          Criteria
                 Were there adequate lines of communication available to handle the
                  volume of crews? How was it achieved?
                 Was system dispatch augmented?
                 How were crews initially dispatched?
                 What role did the CL&P unions play in the restoration effort?
                 Did foreign crew intake support rapid deployment of contractor and
                  mutual assistance crews?
                 Were tree crews attached to the same line crews for the duration of
                  the restoration?
                 Was there a CL&P Bird Dog assigned to contractor and mutual
                  assistance crews? If not, why?
                 How many non-technical personnel were used during the event?
                  What percentage of the total non-technical workforce does this
                  represent?
                 How often did the EOC move crews around?
                 Were EOC update meetings held regularly? Frequency?
                 Were individual EOC roles understood?
                 Did the EOC function in an effective manner?
                 How did the EOC interface with CL&P and NU executives?
                 Did the EOC receive timely support from the executives?
                 Did the EOC follow the ERP throughout the restoration effort?
                 What was the frequency of communication between the EOC, service
                  centers, and field forces?
                 What were the triggers for demobilizing crews in an area?
                 How were foreign crews tracked and managed?
                 Were I/T systems used during the restoration effort? Were any
                  systems shutdown for some period?


Utilities Practice                        47
                 How was work identified and assigned?
                 How was individual repair times determined?
                 Was there an off system receiving center(s) for foreign crews?
                 Were any crews turned away? For what reasons?
                 Did foreign crews receive a formal safety program briefing?
                 How was work time captured and productivity measured?
                 Was a balanced restoration achieved?
                 How was line clearances managed?
                 Were there any delays caused by field line crews having difficulties
                  contacting system operations?
                 How when foreign crews evaluated?
                 How was the restoration work assigned and accounted for?
                 Did ERTs become more granular as the restoration progressed?
                 What was the accuracy of the ERTs as time progressed?
                 Did wire-downs create response issues for system operations and first
                  responders? How as this handled?
                 Was some form of wire guards used to augment first responders for
                  legitimate power lines down?
                 Did the crews have the right equipment to affect an efficient
                  restoration effort?
                 Was an operations dashboard used to manage both the tactical and
                  strategic restoration effort?
                 How was safety managed during the event?
                 How did CL&P declare victory?

      Verification
      Adequate restoration verification helps management assess crew needs across
      the entire system, as well as develop more granular ERTs.

             Formal verification process repair time.
             Formal verification process for work completed.

          Criteria
                 Was the process of verification formalized and accurate?
                 Were progress updates reasonable and consistent with the type of
                  work being performed?
                 Did field management participate in verification effort?




Utilities Practice                        48
      Event post mortems, training and preparedness of organization in
      emergency planning
      Training and post event reviews help companies stay current on their ERPs. For
      many of the personnel involved in the restoration process this is a part-time
      assignment which may not be used in any given year. Therefore, it is imperative
      they must be current on the plan and their role.

             Formal post mortem conducted after each event.
             Lessons learned incorporated into training and ERP.
             Formal training programs with comprehension testing.
             Formal schedule for annual training.
             Formal process for updating training with ERP changes.
             Formal drills with independent evaluations.

          Criteria
                 Where post mortems conducted after each of the restoration efforts?
                 What changes did the post mortems identify? How were the changes
                  implemented?
                 What was management’s reaction to the learnings?
                 Which training programs were conducted in 2011?
                 Were any of the identified EOC positions filled in 20111? Did they
                  receive training?
                 What was training attendance in 2011?
                 When was the last formal drill conducted? Who was involved?
                 Was there an independent evaluation of the 2011 drills?
                 What were the learnings from the 2011 drills?
                 Were simulations realistic?
                 Were there review training for employees with underground
                  emergency responsibilities, including training for equipment failure
                  and manhole events?
                 Was there training provided in communication in 2011?
                 Is there a formal process to assess the apprenticeship program for
                  field personnel to assure the training is effective and practical?
                 Were damage assessors qualified?




Utilities Practice                         49
Task 3.3 – External Communications
External communications with state and local governments, media, and customers
concerning storm damage, restoration priorities and restoration timetables is paramount
during a restoration effort. Many utilities have had excellent technical restoration efforts
dismissed because the companies didn’t communicate well. There are two major areas
to consider.

      Public/customer communications.
      Government agency communications and coordination.

   1. Public/Customer Communications
   It is imperative that utilities have a communications plan that equals the physical
   restoration plan.
          Have formal training programs for personnel working in a public
           communications mode
          Have a strategic/tactical communications plan developed for emergency
           restoration
          Have formal training programs for personnel working in a public
           communications mode
          Provide customers with actionable information
          Have multiple channels for push/pull messaging
          External communications that articulate a proactive management of
           communication
          Speak with one voice
          Provide only information which has been vetted and approved in the EOC
          Target restoration time is not the estimated restoration time provided to the
           public
       Criteria
              Is the communications plan designed around the unique needs of
               emergency restoration efforts?
              Are call centers designed for twenty four by seven coverage?
              Are there adequate qualified staffing and phone trucks to support the
               potential call volume?
              Is there a formal arrangement with a third-party call center provider to
               handle overflow calls?
              Is there a formal call escalation process and qualified personnel in place
               to handle difficult calls?


Utilities Practice                           50
             Is there some form of outage management system (OMS) linking the
              customer information system (CIS) to system operations?
             Do these I/T systems predict reasonable locations for outage locations?
             How is SCADA integrated into OMS?
             From a system operations perspective, does OMS become less useful
              than SCADA in terms of understanding the severity of damage and
              nested outages?
             DO I/T systems provide a means of tracking previous customer calls?
             Did the company speak with one voice?
             How did messaging change with time?
             Were all messages coordinated with the EOC?
             As better restoration information became available, how did the
              messaging change?
             Did the initial macro level ERT reflect the company’s initial estimated time
              to restore target?
             Were multiple media channels used?
             Did CL&P use text messaging to push progress to customers?
             How often was the customer call center updated? How was the update
              achieved?
             How often is the IVR updated?
             Does the company make use of an outage map on their website?
             How is the outage map updated?
             How were customers’ requests progress reports tracked and managed?
             How effectiveness of communications with customers, local officials, state
              agencies, and the public?
             Is there a public outreach program?
             Are customer class specific needs were taken into account?
             How were media request to meet with crews handled?
             How were secondary service outage notification handled after the
              backbone and laterals were returned to service?
             In the event of customer damage to their electrical facilities, what
              notification was provided to customers?
   2. Government Agency Communications and Coordination
   Communications with state and local agencies are paramount during restoration
   efforts, particularly with respect to public safety and coordination of field activities.
         A formal plan for managing state, local, and sometimes federal agencies
         CL&P individuals assigned to liaison with state, local, and federal agencies
         An advance understanding of what state and local agencies will do to ensure
          open roadways



Utilities Practice                          51
          Knowledge of critical public infrastructure which needs electric energy to
           operate
          Work with and be a member of the state and local EOCs
          Provide consistent, one voice information to government officials

       Criteria
              Does ERP and communications plan identify the necessary municipal and
               state agency contacts?
              Are CL&P individuals assigned to each of the contacts as liaisons?
              Have state and local emergency plans been jointly reviewed to
               understand what these agencies will provide during a major restoration
               effort?
              Have critical state and local infrastructure been identified and
               incorporated into the critical circuit lists for priority restoration?
              Are CL&P personnel assigned to regional and state level EOCs?
              Are state, local, and federal officials receiving consistent information in a
               timely manner to make necessary public safety decisions?
              How are 911 calls managed?


Task 3.4 - Securing and Managing Outside Work Crews
Major restoration events generally require outside assistance to effect a speedy
restoration. This means the utility must be prepared to manage a level of field resources
well beyond the normal complement of in-house and usual contractors performing work
on the system. In major events like the two storms which struck CL&P this past fall, it is
not uncommon to increase field forces by 10 to 20 times the normal levels, putting a
significant strain on management and control systems. We will examine the Company’s
use of mutual assistance resources and its management of these resources during the
restoration process. We understand that the subject storms covered a broad area of
New England potentially limiting the close-in additional resources that could be available.
In this context, we will examine the Company’s advance notice and its decisions on
which mutual assistance resources to request and schedule.
      Contracts and arrangements with local contractors.
      Memberships in local mutual assistance organizations.
      Memberships in regional and interstate mutual assistance organizations.
      Maintenance of contact listings.
      Pre-event reservations.
      Early assistance requests.
      Quality assurance.
      Bird-dogging/foreign crew supervision.



Utilities Practice                          52
   Criteria
          Which local mutual assistance organizations does CL&P belong to?
          Which regional/interstate mutual assistance organizations does CL&P belong
           to?
          What contractual arrangements does CL&P have with local contractors to
           deal with providing additional resources?
          What are CL&P’s policies for advance reservation of mutual crew?
          Did CL&P follow its mutual assistance procedures?
          Did CL&P initiate contact early enough prior to Tropical Storm Irene and
           Storm Alfred?
          How did CL&P assure the efficiency, effectiveness, and quality of foreign
           crews?
          How are communications managed among CL&P and foreign crews?

Task 3.5 - Tree Trimming and Vegetation Management Policies and Practices
As stated in the Witt Associates report, New England has the benefit of a very robust
tree canopy, while beautiful, is a distinct hazard to the electric distribution and
transmission system during severe weather events. While most utilities have industry
standard tree trimming and vegetation management programs in place, the extent to
which the utilities may trim and the level of prior approval that may be required often
contributes to stymied programs. Given the severity of both Tropical Storm Irene and
Storm Albert, with significant snow accumulation with foliage remaining on the trees,
certainly contributed to extensive system damage.

In our audit of this area, we will review CL&P’s vegetation management program, its
funding and its execution in the context of recognized industry best practices. In
addition, we plan to employ a highly qualified arborist to identify if there is benefit in
major modification to vegetation management and tree trim protocols, clearances, and
the impact it may have on tree species growth patterns and to help develop trade-offs
between extended trim clearances, potential outage reduction, and overall societal
impact.

      Vegetation management policies.
      Tree trimming criteria and clearances.
      Trim cycles/hot spot trimming.
      Coordination and customer approvals.
      Trim budgets and performance.
      Use of contracted trim resources/companies.
      Quality control.




Utilities Practice                          53
   Criteria
          What is CL&P’s trim cycle?
          Does CL&P use an internal certified arborist in designing and overseeing its
           vegetation management program?
          What is CL&P’s approach to trimming?
          Has CL&P performed its vegetation management program in accordance with
           budget?
          How does CL&P confirm the extent and quality of the trim work done by
           contractors?
          How does CL&P maintain its access to and transmission right-of-ways?
          Is the right-of-way maintenance program sufficient to minimize any
           interruptions to the orderly restoration of the transmission system?
          What is the level of outages caused by vegetation over the past five years,
           including and excluding major events?
          Does CL&P take other mitigating actions to minimize tree or vegetation
           caused outages?


Task 4 – Reporting
Task 4 comprises the activities designed to ensure the Authority is able to fully
participate in the review. It includes attendance at staff meetings, progress reporting,
and development of draft and final reports to provide the Authority with a detailed write-
up and findings on the entire outage matter. The specifics are summarized in the
following.

      Project Management Reports. A monthly progress report that includes person-
       days expended during the past month and any audit-related expenses will be
       provided to the PURA Staff project manager by the 10th day of the following
       month. This report will record this information by activity and individual team
       member. It will be presented alongside the approved work plan and budget, and
       will calculate the percentage of completion at that point in time. Any deviations,
       delays or remediation needs will be captured in this monthly report.
      Progress Reports. The final work plan will define a schedule for Jacobs to
       provide formal report briefs to the PURA Staff and others identified by the project
       manager for the PURA Staff. These formal progress reports will be become part
       of the audit work papers.




Utilities Practice                          54
      Briefings. Jacobs will provide regular briefings to PURA Staff on the progress of
       the audit and will identify emerging issues. It is possible that, as the audit
       progresses, Jacobs may be required to provide preliminary assessments of
       findings to the Authority or senior members of the PURA staff or other
       government offices. These briefings can be conducted in person, by telephone or
       with written reports, as requested by the project manager for the PURA Staff. In
       all cases, the briefings will be documented and become part of the audit work
       papers.

      Draft Reports. The preliminary schedule for delivery of the initial draft audit
       report is set forth in Section 6.6 of this proposal. This initial draft report, which is
       intended to be representative of the final audit report, will be reviewed by PURA
       Staff, who will comment on the draft. Jacobs will edit the initial draft and present
       a revised initial audit report to PURA Staff, who will authorize Jacobs to send the
       revised draft report to the CL&P for review when the PURA Staff is satisfied with
       the product. It is expected that there will be two passes at the draft report stage
       to address PURA Staff concerns and CL&P factual concerns.

      Final Report. Following receipt of comments from PURA and CL&P, Jacobs will
       assemble and deliver the final report to PURA.

6.6 Project Schedule
Jacobs will meet with the Staff to discuss project logistics and refine the proposed
project schedule and deliverables soon after receiving written authorization. The initial
and final draft work plan submitted to Staff will include a detailed schedule, including
milestones, for the remainder of the review. In preparing our schedule, we will consider
the following to assure meeting Staff’s target deadlines:

      Holidays
      Vacations
      Commission Meetings and Hearings
      Interview requests—10-business day notices
      Document response—10-business day notices
      Receipt of records—5-day turnaround


Our team has planned, scheduled, and proposed a budget for the project according to
our direct experience successfully conducting these tasks during similar projects.
Jacobs’ management team is highly experienced and knowledgeable in effective project
and personnel management and of the considerations and needs to contain costs as
much as practical without sacrificing work quality or effectiveness. We will apply this


Utilities Practice                            55
direct knowledge and experience to most appropriately control time and dollars
expended for this project.

We will work with the Authority to modify the proposed schedule as mutually agreed.

An initial high-level schedule is shown below:




Utilities Practice                          56
                     Figure 4 - Proposed Project Schedule




Utilities Practice                    57
7 AFFIDAVITS


7.1 Affidavit I
Jacobs Consultancy Inc. certifies and attests that neither it nor any member of its staff
has provided, or caused to be provided, gifts, as defined in Conn. Gen. Stat. § 1-79(e),
to any state official or employee of the Authority.



By:      _______________________
         Salvatore D. Marano
Title:   Managing Director


Date: December 2, 2011




Utilities Practice                         58
7.2 Affidavit II
Jacobs Consultancy Inc. certifies that it has not been convicted of bribery or attempting
to bribe an officer or employee of the State, nor has made an admission of guilt of such
conduct which is a matter of record.



By:      _______________________
         Salvatore D. Marano
Title:   Managing Director


Date: December 2, 2011




Utilities Practice                         59
7.3 Affidavit III
Neither Jacobs Consultancy Inc. nor its affiliates identifies any business, personal, or
investments relationships that exist, or have existed, between Jacobs Consultancy Inc.
or members of our staff and the Company, its affiliates, or its holding companies.



By:      _______________________
         Salvatore D. Marano
Title:   Managing Director


Date: December 2, 2011




Utilities Practice                         60
7.4 Affidavit IV
Jacobs Consultancy Inc. certifies that it has a specific written policy, resolution, or other
form of documented commitment to non-discrimination in its workforce and any
subcontractor’s workforce such that Jacobs Consultancy Inc. does not discriminate in
any manner prohibited by the laws of the State of Connecticut.

By:      _______________________
         Salvatore D. Marano
Title:   Managing Director


Date: December 2, 2011




Utilities Practice                           61
7.5 Affidavit V
On the following page is the Affidavit Regarding Consulting Agreements disclosing any
agreements entered into for a fee by Jacobs or any member of its staff for counsel,
contacts, lobbying or any similar activities related to this proposal.


By:      _______________________
         Salvatore D. Marano
Title:   Managing Director


Date: December 2, 2011




Utilities Practice                       62
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8 AFFIRMATIVE ACTION
We recognize the importance of serving the public as an Equal Opportunity Employer
and provide the following related statistics regarding the Jacobs family permanent U.S.
employees.

              Figure 5 - Jacobs Equal Employment Opportunity Data

                                 Category                 Number of
                                                          Employees
                     Total Permanent US Employees           13,744
                     Of this total the following groups
                     are represented:
                     Women*                                 3,474
                     Black or African American               699
                     Hispanic or Latino                     1,055
                     Asian or Pacific Islander              1,137



Copies of Jacobs’ Equal Employment Opportunity - Affirmative Action Policy and EEO
Policy Statement Affirmation can be found on the next two pages.




Utilities Practice                          64
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9 LEGAL COMPLIANCE
Jacobs Consultancy Inc. certifies that the performance of the engagement will be in
compliance with all federal and Connecticut laws, including all labor laws and all anti-
discrimination legislation.

Our team certifies that: (1) the prices quoted have not been knowingly disclosed to any
competitor or any other potential bidder, (2) such prices have been determined
independently without communication, agreement, or collusion with such competitors or
potential bidders, (3) no attempt has been made to persuade any such competitor or
potential bidder to submit or not to submit a proposal, and (4) no other actions of any
kind have been taken which might be perceived as having the purpose of restricting or
discouraging competition.




Utilities Practice                         67
10 INSURANCE
Jacobs Consultancy Inc. maintains the insurance requirements stated in the RFP and
will provide documentation of such insurance prior to the start of the work.




Utilities Practice                      68
11 INDEMNITY
Jacobs Consultancy’s indemnity obligation is limited to incidents occurring while on the
Client’s property. There shall be no indemnity related to the content or quality of our
report.




Utilities Practice                         69
APPENDIX A
Résumés

     Salvatore D. Marano – Managing Director, Utilities Practice
     Frank T. DiPalma – Director, Utilities Practice
     Michael Rafferty – Group Manager, Utilities Practice
     William Williams – Group Manager, Utilities Practice
     Terry Cole – Director Communications Practice
     Robert M. Grant - President, River Consulting Group
     Kevin Eckert – President, Arbor Global




Utilities Practice                          70
Name:               SALVATORE D. MARANO, P.E.



Title:              Managing Director

Education:          New Jersey Institute of Technology, Master of Science
                    Fairleigh Dickinson University, BS in Mechanical Engineering
                    Licensed Professional Engineer- State of New Jersey

Professional
Affiliations:       (Current and past)
                    American Gas Association
                    Plastic Piping Materials Committee
                    Distribution Construction and Maintenance Committee
                    Distribution Engineering Committee
                    American Society of Mechanical Engineers
                    Gas Piping Standards Committee
                    ASTM - Plastic Pipe Committee
                    Western Energy Institute
                    INGAA Foundation


Career Synopsis:

A recognized utility professional engineer with extensive gas and electric utility operating and
consulting experience in the areas of management, risk assessment, safety and reliability
assessment, system planning, distribution and transmission engineering and field operations,
economic analysis and sales/marketing management.



Selected Consulting Responsibilities:

   Management Audits and Reliability Reviews – Directed a major management audit of the
    capital budget contributions to safety, reliability and adequacy of service for the gas and
    electric distribution operations of Pacific Gas & Electric, as mandated by the California Public
    Utilities Commission. Directed a management audit of Connecticut Light & Power for the
    Connecticut DPUC, including budget impacts on reliability and adequacy of service and an
    audit of the physical assets and cost accounting issues related to CL&P’s street-lighting
    assets. Directed an audit of the facilities contract for Southern California Edison. Assisted in
    the management audit of the Imperial Irrigation District. Audited the five-year capital
    expenditures for the three gas distribution companies for the State of Victoria, Australia.
    Directed a three-year audit of the Vegetation Management Program of PG&E for the
    California Public Utilities Commission, focused on safety and reliability. Directed the review
    of the proposed merger of Exelon and PSE&G for the NJBPU relating to reliability, safety and
    adequacy of service for the gas and electric delivery businesses and customer care area.
    Provided expert testimony relating to the gas delivery business as well as assisting with the
    development of briefs and possible merger conditions. Directed the stratified management
    audit of Yankee Gas for the Connecticut DPUC. Responsible for the workforce adequacy


Utilities Practice                              71
    audit of all electric utilities in the State of Illinois. Directed the management audits of PSE&G,
    CL&P and UI

   Operational/Safety Audits and Litigation Support - Implementation of safety audit for
    major domestic gas distribution company. Review of Cast Iron and Ductile Iron Mains
    Replacement Program, risk models and budget adequacy for major international gas utility.
    Directed the audit of the implementation of numerous recommendations regarding policy,
    practices and procedures for a major international gas utility. Supported the litigation, as
    potential expert witness, relating to a gas explosion in London for Transco. Supported the
    litigation defense, as potential expert witness, for Transco against charges of “culpable
    corporate homicide” for a gas explosion in Scotland. Responsible Officer for the Safety and
    Compliance Review of Puget Sound Energy for the Washington Utilities Commission.
    Developed and submitted expert testimony on behalf of Peoples Gas Chicago to accelerate
    their cast iron and ductile iron main replacement program from 50 years to 19 years period.
    Developed and facilitating an implementation program to assist Peoples Gas of Chicago in its
    ramping up of its main replacement program (ramping from approximately $46 million per
    year to over $150 million per year). Directed the development of an upgrading program for
    Integrys of its underground gas storage facilities including an engineering report of pipe
    condition, conceptual design of new piping layout and cost estimates and replacement
    strategy. Directed the development of engineering standards and policies for Scottish &
    Southern Energy’s underground gas storage plants. Directing the development of a national
    gas grid contractual design for the country of India. Directed the development of several
    Integrity Management plans for major US gas distribution companies and performed several
    audits of plans and execution of companies programs.

   Operations Improvement- Performing operational assessment for improvement in several
    operating and engineering areas for major UK gas distribution company including the
    feasibility and cost benefit analysis for VacEx and Small hole technology and a review of
    distribution practices and technologies to reduce gas leakage from Cast iron and Ductile Iron
    joints. Directed the development of engineering standards for SSE’s underground gas
    storage facility in the UK. Directed the review of the project management and execution
    business process for large gas transmission pipeline company. Directed the review of major
    assets for compliance and development of an asset management strategy to support a rate
    case for major UK gas distribution company, Scotia Gas Networks.

   Operations Budgeting and Forecasting - Analyzed five-year projections for international
    client in preparation for privatization. Assessed Alliance Partner contractual relationships for
    construction and maintenance for international gas utilities.

   Due Diligence Reviews associated with Merger & Acquisition Activity - Reviewed
    operations of international gas distribution and transmission company for U.S. client in
    preparation of bid submittals for acquisition of privatized company. Performed critique and
    assessment of planning process and construction management for new gas distribution and
    transmission systems for major gas/electric utility. Reviewed operations of domestic gas
    utility for acquiring electric utility prior to merger. Reviewed operations of large domestic gas
    utility with multi division and multi state service territory for international acquirer. Assisted
    international client with formulation of business model for use in U.S. market acquisitions.
    Assignment included model development, formulation of contact strategy, and identification of



Utilities Practice                               72
    potential target contacts and execution of plan. Provided Independent Engineering services
    for Italian Financial Institution for gas transmission project financing in Argentina. Conducted
    a technical due diligence review of over 35 energy related assets, valued at more than $3.7
    billion for TAQA, a middle east investment and management group. These assets consisted
    of power generation plants, electric distribution companies, natural gas transmission pipelines
    and gas storage fields. The initial objective of performing a diagnostic technical evaluation
    became the first phase of a two phase approach. Phase II consisted of a concentrated
    technical review of six power generation assets.

   Year 2000 Compliance Study - Assessment of embedded systems and components for
    “Y2K” vulnerability for ten international and domestic gas/electric utilities. Development of
    contingency and emergency plans for the potential Y2K event for two U.S. Utilities.
    Developed and managed eight company communications tests for Y2K event.



Professional assignments while employed within Utility organizations:

Engineering

   Supervised Planning & Budgeting, Design & Measurement, and Engineering Support
    Services.

   Planning and development of gas transmission and distribution systems. :


Operations

   Responsible for the installation, operation and maintenance of the gas distribution system.

    o   Managed the LNG facility, the Propane-Air production plant, and gas control center.
        Supervised the demolition of manufactured gas plant. Supervised the meter repair shop,
        industrial customer instrumentation, and gas control crews. Supervised the skills training,
        fleet maintenance, warehouse and theft of service departments.


Licensure & Certification:

Professional Engineer, NJ License



Designated Expert Witness:

   Exelon/PSE&G Merger gas safety and reliability (New Jersey Public Utilities Commission)

   Ductile iron pipe failure (Larkhall, Scotland) for Transco

   Cast iron failure (Dundee UK) for Transco

   PE pipe failure (Washington Gas)

   Pipeline ruptures (El Paso Energy)

   Infrastructure replacement acceleration program (Integrys – Peoples Gas)


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Employment History:
Jacobs Consultancy Inc.                                             2002 - Present
Managing Director
Stone & Webster Consultants                                         1996 - 2002
Vice President/Director
Fusion Group Limited (T.D. Williamson, Inc.)                        1988 - 1995
Manager, Distribution Products
NUI Corporation (Energy Holding Company)                            1985 - 1987
Vice President Operations
Elizabethtown Gas Company                                           1972 – 1985
General Manager, Operations Services and Special Projects Manager
Manager, Construction & Maintenance
Manager, System Planning, Production, and Gas Control
Consolidated Edison Company of New York                             1970 - 1972
Engineer – Gas Department




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Name:               FRANK T. DiPALMA

Title:              Director

Education:          Fairleigh Dickinson University, MBA Management/Finance
                    New Jersey Institute of Technology, BS Mechanical Engineering
                    University of Michigan, Executive Development Program

Professional
Affiliations:       American Gas Association
                       —Customer Service and Utilization Committee (Past Vice Chairman)
                    Southern Gas Association
                    University of West Virginia, Institute of Technology (Adjunct Professor)
                    Institute of Electrical and Electronics Engineers (Past Member)
                    Society of Gas Operators

Career Synopsis:
An operations oriented engagement/project manager who leads teams of consultants to resolve complex
business problems in energy utilities; skilled at directing, planning, and implementing approach and
objectives for client’s project; experienced in engineering and operations management, process
improvement, project management, construction, business development, marketing, customer service,
strategic alliances, labor relations, strategic planning, change management, organization assessments,
and regulatory compliance.

Selected Consulting Assignments:

Critical Assessment Study of Project Execution of Major Gas Pipeline Project (2011)
Confidential Client

Performed a Critical Assessment Study of Project Execution for the New Jersey-New York Pipeline
Expansion Project. Client had already completed the FERC filing and was proceeding with the filing of
environmental and non-environmental permits, right-of-way acquisition, completion of detailed design
drawings, preparation of material orders and bid packages; and also performed a number of Monte Carlo
analyses covering both risk and schedule aspects of the Project. As project manager, coordinated a
review of the risk mitigation areas already recognized, and identified additional issues that may arise,
which could impede permitting and construction of the Project. In total, 13 risk mitigation areas and
strategies already recognized were expanded, six additional risk mitigation issues were identified, and 4
additional project management tools were suggested.

Report of the Independent Review Panel, San Bruno Explosion (2010-2011)
California Public Utilities Commission

On September 9, 2010, a portion of a 30-inch diameter natural gas transmission system suddenly
ruptured resulting in the loss of 8 lives in total destruction of 38 homes. In response to the incident, the
California Public Utilities Commission (CPUC) formed an Independent Review Panel (Panel) of experts.
Included in the Panel’s scope of work was to gain an understanding for the underlying reasons for the
incident, delve into the complexities of how pipeline integrity management and regulatory oversight

Utilities Practice
                                                    75
operate, and to offer recommendations for actions, which the operator and regulators could consider to
reduce the likelihood of future incidents. Jacobs Consultancy was retained by the Panel to gather and
review facts and suggest recommendations for the improvement and safe management of Pacific Gas &
Electric's (PG&E) natural gas transmission lines. Serving as project manager, over 100 document
requests were submitted and almost 30 interviews were conducted. The wide ranging investigation
address such items as: worker safety versus system safety, data management, threat identification, the
spirit of regulatory compliance, organizational effectiveness, resource allocation, quality assurance, and
the strategic integrity plan. As a result of the Panel's investigation, multiple weaknesses in PG&E's
management and oversight as well as the CPUC's resources and organizational focus were identified.

Management Audit of Fitchburg Gas and Light Company d/b/a Unitil (2010-2011)
Massachusetts Department of Public Utilities

Jacobs Consultancy was asked to conduct an independent management audit of Fitchburg Gas and
Electric Light Company (FG&E) d/b/a by the Massachusetts Department of Public Utilities (DPU). Serving
as engagement director and project manager, the management practices of both FG&E and Unitil were
assessed in the areas of strategic planning, staffing and workforce management, management and
control, customer and public relations and emergency preparedness and response planning. Balancing
our analysis against industry best practices in each of the above focus areas, we developed 16
recommendations for improvement.

Comprehensive Review of Asset Management Practices (2010)
Scotia Gas Networks PLC

Jacobs Consultancy was asked to undertake a review of Scotia Gas Networks asset management
practices with respect to low-pressure holders, high-pressure storage sites, offtake/entry points,
transmission reducing stations and pressure reducing stations. Served as project manager for the 8-
month long United Kingdom company study. The objectives of the review were to provide assurance the
company was compliant with regulatory requirements and its current standards and policies; evaluate the
measures and KPIs in use for effectiveness and consistency; and compare against external companies in
North America to help identify best practices or leading industry practices. In carrying out the assessment,
several key themes emerged.

   Availability and accuracy of asset data limits a complete asset management approach to
    maintenance.

   Policies and standards represent a wealth of experience and present opportunities for reduced
    maintenance or associated capital design cost.

   Enhanced structured approach to asset upgrade, replacement or disposal could provide long-term
    value.
In total Jacobs provided 15 recommendations to support enhanced asset management practices.




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Operations and Energy Reliability Consulting in Connection with the merger of First
Energy Corp. and Allegheny Energy, Inc. (2010) Maryland Public Service Commission

Analyzed from a reliability and operations perspective the problem areas, deficiencies, and merits
of the proposed acquisition of Allegheny Energy (AYE) by First Energy Corp. (FE). Combined, the
companies provide 24,000 MW of electricity to over 6.2 million customers in the nation's largest
investor-owned electric system. My role was to serve as the Maryland Public Service
Commission’s expert electric witness testifying as to the potential impact on AYE’s Potomac
Edison reliability and safety in a post-merger environment in the following areas:

       Energy services and conditions of operation
       Employee impacts
       Capital and maintenance plan and budgets
       Service reliability
       Transmission reliability

Specific support activities include: analysis of pre-filed materials, participate in discovery, provide
expert analysis, provide expert testimony, develop cross examination, and developed merger
conditions.

Investigation of the Service Response and Communications of The Connecticut Light and
Power Company and The United Illuminating Company following the Outages from the
Severe Weather (2010) Connecticut Department of Public Utility Control

The Connecticut Department of Public Utility Control (DPUC) was seeking technical electric
reliability expertise pertaining to Connecticut Light and Power Company (CL&P) and United
Illuminating (UI) action and response to a significant severe weather power outage. The scope of
this assignment entailed: analysis of pre-filed testimony, preparation of discovery requests,
auditing CL&P and UI’s procedures, examination of the evidence, cross-examination at public
hearings and providing the DPUC with a report containing conclusions, findings, and
recommendations to be used in drafting its decision. Serving as project manager, Jacobs
conducted its investigation in 7 focus areas: Emergency Planning, Preparedness, Restoration
Performance, Mutual Assistance, Post-storm Activities, Best Practices, and Other. Based on our
investigation and analysis, we concluded CL&P and UI did many things well in their response to
the March severe rain and wind storm. However, there were also a number of concerns or areas
in need of improvement identified. In total, Jacobs Consultancy provided 10 CL&P and 5 UI
recommendations, all of which were accepted by the DPUC and the companies.

Develop an Economic Model and Provide Testimony for Rockford Eclipse Valve
Replacement (2009-2010) South Jersey Gas Company

Developed an economic model for estimating the cost of replacing approximately 70,000
Rockford Eclipse (RE) valves, currently in South Jersey’s distribution system. Provided a
description of the approach South Jersey Gas will use to accomplished the RE Valve Removal
Plan effectively and efficiently by making every effort to incorporate RE valve replacements in
combination with planned and unplanned operations and maintenance work activities. Advanced


Utilities Practice                                77
how actual costs will be accumulated and tracked against the RE valve replacement estimate
developed to assure that all RE placement costs are tracked, and that only RE replacement costs
are tracked. Served as an expert witness presenting testimony for the RE valve replacement in
South Jersey Gas Company's 2010 base-rate case.

Review of Mandated Gas Safety Activities - Puget Sound Energy (2008-2009)
Washington Utilities and Transportation Commission

Served as Jacobs’ project manager for the Washington Utilities and Transportation Commission
(UTC) mandated gas safety audit of Puget Sound Energy (PSE). The focused review covered an
in-depth assessment of various aspects PSE’s gas operations, including:

   Programs, structures, and incentives that are in-place to maintain a “culture of safety and
    compliance” for PSE and its contractors.
   Appropriateness and effectiveness of training provided to or required of its employees and
    contractor personnel for compliance with standards and procedures.
   Contracts with service providers are structured to ensure that gas facilities are installed,
    repaired or replaced properly, safely, and cost-effectively.
   Methods employed to track and document work for compliance.
   Effectiveness of practices related to 49 CFR 192.613 Continued Surveillance.
   Adequacy of resources provided to the gas safety compliance program effectively monitor
    mandated safety activities and programs for compliance.

Over 100 employees were interviewed and in excess of 200 documents were reviewed. Our
assessment resulted in 61 distinct recommendations for improvement, which PSE in collaboration
with UTC has developed a plan to implement.

Energy Reliability Consulting in Connection with the Electricité de France Purchase of
Constellation Energy Group’s Nuclear Holdings (2009) Maryland Public Service
Commission

Analyzed the potential impacts on Baltimore Gas and Electric (BGE) in connection with Electricité
de France’s purchase of half of Constellation Energy Group’s Nuclear Holdings. My role was to
assist the Commission's Staff in determining if the transaction was in the public interest by
assessing how it could affect the reliability, adequacy and safety of electric and gas service in the
State of Maryland. Serving as the MDPSC’s expert electric and gas witness, I testified in the
following areas:

   Overall electric reliability performance.
   Effectiveness of the vegetation management program and other maintenance and inspection
    programs.
   Adequacy of funding for capital asset replacement and operations and maintenance needs.
   Need for contemplated cast-iron replacement program.
   Need to re-examine service replacement policy.
   Assessment of customer satisfaction surveys.


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Specific support activities include: analysis of pre-filed materials, participate in discovery, provide
expert analysis, provide expert testimony, develop cross-examination, assist in brief preparation,
and support settlement discussions.

Workforce Study Analysis of Illinois Electric Utilities (2008)
Illinois Commerce Commission

The Illinois Commerce Commission retained Jacobs Consultancy to conduct a workforce study
analysis of the 5 major electric utilities located in Illinois. The utilities involved included:

   Commonwealth Edison (ComEd)
   MidAmerican Energy Company (MEC)
   Central Illinois Light Company (AmerenCILCO)
   Illinois Power Company (AmerenIP)
   Central Illinois Public Service Company (AmerenCIPS)

Served as project manager for the comprehensive 9-month long study; 120 interviews were
conducted and over 600 documents were reviewed. The intent of the analysis was to determine
the adequacy of in-house staffing in each job classification or job title critical to maintaining quality
reliability and restoring service in each utility’s service territory. The investigation also included:
an assessment of asset management practices, use of technology, operational practices, system
maintenance, and condition, call center, safety and training. To assess workforce adequacy in
each of these areas, we examined ratios of staffing levels, use of contractors, overtime, work-
order backlog, system reliability performance, and customer satisfaction. We then balanced our
analysis with each individual's utilities outsourcing philosophy. In addition to developing final
reports for each utility, 5 public hearings were attended.

Technical Evaluation of New Connecticut Peaking Generation Units (2008)
Connecticut Department of Public Utility Commission

Coordinated a technical evaluation and review of 11 proposals to build 500 MW of new peaking
generation units in the state of Connecticut. Our work supported a confidential prime contractor
who was responsible for the overall evaluation of the proposed projects; and ultimately the
Connecticut Department of Public Utility Control who was responsible for the final decision.
Specific items reviewed included: land site costs, insurance, capital costs, operating costs,
starting capacities, type of fuel, proximity and availability of electric and gas connections,
inclusion of Nox controls, heat rate, permit schedule, and other critical path items.

Management Review of the Gas Pipeline Project Management and Delivery Process (2007-
2008) Confidential Client

Performed a 4-month long management evaluation of the company’s project management and
project delivery process, from conception to through closeout. Drill down reviews was conducted
of selected projects and activities. Identified issues that could be addressed immediately as well
as other critical issues requiring more in-depth consulting support. Findings were presented to


Utilities Practice                                 79
senior management as well as the company’s board of directors. Key recommendations were
made in the following areas: strategy, project development process, project estimates, project
execution, culture, and supporting IT systems. In addition to the management evaluation,
consulting support was provided for establishing the business development and quality processes
as well as instituting enhanced approaches to project control and forecasting.

Management Audit of Yankee Gas Services (2007-2008)
Connecticut Department of Public Utility Commission

Served as Jacobs’ project manager for the management audit of Yankee Gas Services Company.
The diagnostic review covered all functions of Yankee including: a review of the company’s
organization structure, strategic, and corporate planning, gas supply, system design and
planning, system operation and maintenance, asset management, accounting and tax, budget
management and control, wage and salary policies, employee benefits, labor relations, process
management, all aspects of customer services including meter reading, external relations and all
support services provided by its parent company Northeast Utilities. Special areas of focus during
the audit were affiliate transactions and Yankee's commitment to load growth.

Organization Assessment and Work Force Analysis (2006-2007)
City of Atlanta, Department of Water Management

Served as Jacobs’ project manager, conducting an Organization Assessment and Work Force
Analysis of City of Atlanta DWM, Safety and Security Division. The Division is responsible for
securing approximately 57 water management related facilities and 1400 DWM employees. The
analysis covered: strategic direction, DWM expectations, ongoing operations, workforce
management practices, determination of areas of strength, as well as areas of potential
improvement. Work consists of reviewing DWM and Division documents and conducting
structured interviews with Division executives and designated stakeholders. Benchmarking was
utilized to help expand horizons and to identify gaps. In addition, a workload analysis was
conducted to quantify the effort associated with key services and functions.

Independent Technical Due Diligence Review of Electric and Natural Gas Assets (2006)
TAQA, Global Energy Company

TAQA, a global energy company majority owned by the Abu Dhabi Government, employed
Jacobs Consultancy to review power generation, electric distribution, and gas transmission
assets. These 35 assets were located in 12 countries on 4 continents and were valued at more
than $3.7 billion. As a potential purchaser of these assets our client was interested in:

   Assessing the physical condition of the assets.
   Reviewing conformance to environmental regulations.
   Analyzing the adequacy of historical and estimated future capital and operations and
    maintenance budgets.
   Assessing planned improvements and asset growth potential and constraints.




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Our approach was conducted in two phases: first, performing a diagnostic technical evaluation
and second, a concentrated technical review of 6 power generation assets. My role was to serve
as the overall project manager coordinating efforts of over 25 staff from our Manchester,
Glasgow, Amsterdam, Houston and Raleigh offices.

Develop a Distribution Integrity Management Program (2006-2007)
Delmarva Power

Having developed an integrity management plan for DOT transmission pipeline and recognizing
that some form of distribution integrity management was on the regulator’s horizon, Delmarva
Power elected to develop a distribution integrity management program in advance of the Rules
enactment. As project manager, my initial role was to determine how each transmission integrity
management element might apply to distribution pipe. Then a program was written reflecting
Delmarva’s operating practices, the seven elements identified in the PHMSA, Phase 1 Report
and the program management plans from ASME Code for Managing Integrity of Gas Pipelines.
Delmarva Power’s Distribution Integrity Management Program was presented at the 2007 AGA
Operating Conference.

Energy Reliability Consulting in Connection with the Exelon-PSEG Proposed Merger
(2005-2006)
New Jersey Board of Public Utilities

Jacobs Consultancy completed 14-month engagement analyzing the problem areas, deficiencies,
and merits of the proposed acquisition of PSEG by Exelon, with specific emphasis on how the
proposed merger may affect New Jersey ratepayers. My role was to serve as overall project
manager assisting the Board’s analysis of how the merger may or may not affect the reliability of
electric and gas service and pipeline safety in the State of New Jersey. In addition, I served as
the NJBPU’s expert electric witness testifying as to the systems reliability and safety both now
and in a post-merger environment in the following areas:

   Capability of the electric system to provide reliable distribution service.
   Capital improvement planning process.
   Reliability improvement programs.
   Orderly restoration of electric service.
   Distribution organization structures.
   Adequacy to capital and operation and maintenance budgets.
   Crisis management and critical facilities security programs.

Specific support activities include: analysis of pre-filed materials, participate in discovery, provide
expert analysis, provide expert testimony, develop cross examination, assist in brief preparation,
developed merger conditions and support settlement discussions.




Utilities Practice                                81
Vegetation Management Program Audit of Pacific Gas & Electric (2003-2006)
California Public Utilities Commission

Jacobs Consultancy recently completed a multi-year independent quality assurance audit to
ensure that PG&E’s tree trimming and vegetation management programs comply with the orders,
rules, and regulations of the California Public Utilities Commission and with applicable tree-
clearance standards. My role was project coordinator of the financial aspects of the project. The
budget for the VM program is $140 million per year, which is the largest of any US company.
Specifically, the quality assurance and audit is concerned with PG&E establishing various
forward-looking programs and activities that promote vegetation management practices, public
safety, and ensure compliance with statutory and regulatory requirements, including, but not
limited to vegetation control performance, customer refusals, vegetation control management and
recorded vegetation control costs.

Develop and Audit Transmission Integrity Management Programs (2004-2007)
Various Utility Clients

Worked as project manager for several utility clients developing their gas Transmission Pipeline
Integrity Management Program. Established the initial program framework, which was then
expanded into a comprehensive program. Task assignments included: conducting a gap analysis,
developing approaches to specific integrity management elements, collaborative teambuilding,
and extensive knowledge transfer to client utilities. In addition, several other utility clients
requested audits of in-house developed Transmission Integrity Management programs. Major
areas of weakness encountered in existing programs included: program was not reflective of
current operating practices, management aspects of program were not fully developed or
minimized, poor documentation, and minimal quality assurance practices.

Focused Audit of Street Lighting Assets (2004)
Department of Public Utility Control

Served as Jacobs’ project manager for a focused audit of Connecticut Light & Power Company’s
physical street lighting inventory; and accounting controls and records for the Connecticut
Department of Utility Control. In attempting to establish the fair market value for these assets, the
DPUC was concerned that the street lighting assets reflect a systematic over assignment to the
street lighting rate base. This audit involved:

   CL&P’s street lighting assets consist of over 163,000 streetlights in 142 towns with a reported
    net plant value of $20.4 million.
   Actual plant value of streetlights assets, which can be affected by accounting practices, unit
    cost allocations, incorrect asset records, and incorrect recording of expenses as capital.
   Employed a random sampling methodology to ensure appropriate sample size to meet the
    desired error term and confidence interval.




Utilities Practice                               82
Management Audit of Connecticut Light and Power (2003)
Connecticut Department of Public Utility Commission

Served as Jacobs’ project manager and lead electric analyst conducting a complete diagnostic
review the major functions of Connecticut Light and Power (CL&P). The scope of the audit
included: organization and management, financial systems and controls, marketing, engineering
and operations, information technology, customer-service operations, and relationships with
affiliate companies.

Determined the broad-base practices and policies in place and evaluated their appropriateness
and consistent implementation throughout the organization.
Reviewed the present practices and procedures in place and made 64 recommendations for
modification or change to improve overall efficiency and effectiveness.
Assessment of CL&P, whose revenues exceed $2.5 billion per year, included conducting 65
interviews, reviewing 200 documents and benchmarking to comparable companies.

Audit of Capital Budget Expenditures of Pacific Gas & Electric Company (2002)
California Public Utilities Commission

The State of California required that a Capital Budget Audit be conducted for Pacific Gas and
Electric Company. The audit was to cover all electric and gas distribution construction
expenditures in the year 1999. The Construction Expenditure Budget consisted of over 10,000
projects with aggregate value exceeding $800 million. While with Stone & Webster Consultants,
was lead consultant for the review of electric projects. Significant challenges included: arriving at
an approach that would be statistically valid and highlighting how the expenditures contributed to
the reliability, integrity and growth of the distribution systems. The project planning process,
engineering specifications, and construction work quality were examined and facilities inspected
against company policies and procedures, and industry practices. This project was initiated and
completed in 2002.

Independent Assessment of Operations and Processes (2001)
Imperial Irrigation District of California

The Imperial Irrigation District of California is a consumer-owned utility, which provides electricity
and irrigation water to the Imperial Valley, located in the lower southeast portion of California.
While with Stone & Webster, I lead the review of the Districts’ electric distribution operations and
processes; analysis of electric reliability trends and outage causes; budget review; staffing levels
to meet the IID mission; staffing qualifications to perform the duties assigned to them by the
district; and utilization of the district physical resources.

Provide Litigation Support (2001)
International Utility

Third party litigation support was provided for a major international gas utility. Assignments
included: follow-up and implementation of safety audits, analysis of plastic joint pipe failures and
a review of cast iron and ductile iron asset replacement approaches and surveillance techniques.


Utilities Practice                               83
Genesis for litigation support was client’s overall experience with various types of asset materials,
several gas explosion incidents and regulatory concerns.

Industry Assignments:

   Operations
Responsible for the installation, operations and maintenance of the gas distribution system.
Duties included:

Formation and administration of the strategic operating plan, including a responsive
multifunctional organizational structure, efficient manpower planning, regulatory compliance
programs, optimal supply and distribution methods, formation and implementation of distribution
technology initiatives, and annual capital and expense budgets. Provided innovative and
proactive solutions to operational and customer service challenges, managed over 400
employees and 16 locations including engineering, operations, customer service, call center,
meter repair facility and training and development. Maintained effective external communications
with legislative, regulatory, and industry leaders. Led the formation of a coalition of energy
companies to influence statewide Department of Highway construction practices resulting in
improved planning, design, scheduling, and reimbursement. Managed an operating budget for
labor, materials, and services. Directed negotiations of 5 labor contracts establishing a 5-year
agreement, while achieving significant cost reductions. Increased pipe installations with no
increase in employees, reduced inventory through supply chain management techniques and
reduced meter reading costs due to employee innovation, improved processes and use of new
technologies.

   Engineering
Managed the planning, budgeting, design, measurement and engineering support services.
Duties included:

Coordinated the preparation, presentation, and expenditures of the annual capital and O&M
budgets. Oversaw the development of an innovative and highly functional automated mapping
and facilities management system, which included Stoner distribution system analysis. Managed
the regulatory compliance program, including corrosion control. Sponsored teams for process re-
engineering and use of new technologies. Developed and negotiated equipment servicing,
performance contracting, and new product development agreements. Oversaw the development
and implementation of construction standards, asset management methodologies, engineering
procedures, and emergency manuals.

   Quality Management/Process Improvement
Designed implemented and promoted quality activities. Duties included:

Developed and implemented a culture change effort involving over 2,500 employees who
advanced their empowerment, coaching, and leadership skills. Facilitated employee teams in
achieving enhanced levels of customer satisfaction, continuous improvement, employee
involvement, and data based decision processes. Established a process orientation by
coordinating a corporate-wide assessment which define processes, established performance

Utilities Practice                               84
measures, analyze benchmark comparisons, and identify gaps which highlighted a significant
cost-reduction opportunities. Managed an internal Baldrige assessment, which supported strong
customer commitment and continuous improvement. Led a team charged with reviewing
stranded electric utility assets and recommending a corporate strategy.

   Technical Support and Regional Performance
Developed a technology and performance focus to improve performance, reduce costs and
improve customer service. Duties included:

Initiated and developed a comprehensive information system strategy that established
cost/benefits methodology and priorities for mission critical information needs. Developed a joint
venture to market a bar code activated electric and gas meter system. Employed technology to
improve performance, reduce costs and strengthen customer service relationships. Managed the
Public Utility Commission mandated audit. Coordinated the development of a work management
system for the Electric and Gas Technical Maintenance Group, which resulted in supporting data
based decisions and a reduction in staffing.

   Marketing and Business Development
Coordinated marketing, business development, and customer service activities. Duties included:

Coordinated the development of the marketing strategic plan with the operating departments.
Recommended corporate marketing resource allocations to ensure new business profitability and
the creation of revenue. Increased customer satisfaction through improved customer focus in
appliance part delivery systems. Developed marketing strategies that repositioned a major
customer segment resulting in increased revenues. Supervised the development of a financial
model that analyzed the profitability of new business resulting in a reduction in new business
expenditures. Managed the business development initiatives process, including idea generation,
marketplace evaluation, and company positioning. Established customer service policies and
procedures and coordinated appliance repair activities.         Responsible for the planning,
development, and implementation of the automated customer dispatch system. Supervised the
creation of an industrial customer model to support sales engineers in the gas conversion market.
Established a corporate strategy for dealing with the National Coalition Against Unfair Utility
Practices.




Utilities Practice                             85
Publications and Presentations:

   Review of Recent Regulatory Inquiries on Emergency Preparedness and Service
    Restoration, presented at the Fifth Annual Summit on Emergency Preparedness and Service
    Restoration for Utilities, 2010.
   Building a Distribution Pipeline Integrity Management Program, presented at the American
    Gas Association Operating Conference, 2007.
   Got DIMP? (Distribution Pipeline Integrity Management), presented to the Society of Gas
    Operators, 2005.
   Utility Tree and Vegetation Management (UVM): An Introduction and Description of
    Successful Programs, presented at the National Association of Regulatory Utility
    Commissioners Summer Meeting, 2004.
   Vegetation Management-Improved Approach, presented at the Western Energy Institute
    Annual Conference, 2004.
   Pipeline Integrity Management Challenges, presented to the Society of Gas Operators, 2003.
   Pipeline Integrity Management – Enhanced Safety, presented to National Safety Council
    Annual Conference, 2002.
   Innovative Coil Pipe Trailer, paper presented by others at the American Gas Association
    Operating Conference, 2000.
   The Professional Engineers License, presented to West Virginia University, Institute of
    Technology, 1999.
   Results Achieved Using Coil Pipe, presented at the Southern Gas Association Annual
    Conference, 1999.
   Quality Management Experiences, presented to West Virginia University, Institute of
    Technology, 1998.
   Automated Mapping & Facilities Management Applications, presented at the Geospatial
    Information & Technology Association Conference, 1997.
   Reengineering - Increase Customer Satisfaction and Cut Costs, presented at the
    Management Forum Series Conference, sponsored by Scott, Madden & Associates, 1995.
   TQM and Work Management, presented at the North East Gas Council Quarterly Meeting,
    1995.



Designated Expert Witness:

   First Energy Corp. and Allegheny Energy, Inc. merger (Maryland Public Service Commission)
   Rockford Eclipse valve replacement model (South Jersey Gas Company)
   Electricité de France purchase of Constellation Energy Group’s Nuclear Holdings (Maryland
    Public Service Commission)
   Exelon and PSEG merger (New Jersey Public Utilities Commission)
   Ductile iron pipe failure (Larkhall, Scotland)




Utilities Practice                                   86
Employment History:
Jacobs Consultancy Inc.                         2002 – Present
Director
Group Manager
Stone & Webster Consultants                     2000 – 2002
Associate Director
Mountaineer Gas Company                         1996 – 2000
Vice President of Operations and Engineering
Public Service Electric & Gas Company           1968 – 1996
Manager of Quality Management
Manager of Technical Support
Manager of Regional Performance
Manager of Marketing and Business Development
Manager of Manpower & Cost Control
District Manager
Field Engineer




Utilities Practice                        87
Name:                            MICHAEL F. RAFFERTY

Title:                           Group Manager

Education:                       BSEE, 1974, The Ohio State University
                                 MSEE 1984 New Jersey Institute of Technology

Membership in
Professional Societies:          I.E.E.E. – Institute of Electrical and Electronic Engineers,
                                 Member Working Group on Distribution Reliability



Career Synopsis:

An experienced executive, manager and consultant with an international background in energy
efficiency, disaster recovery, information systems, project management, utility planning, financing,
and organizational management services. Qualifications include load forecasting, integrated
resource planning, electric transmission and distribution planning; budget forecasts;
benchmarking; staffing; economic studies; strategic planning studies; marketing studies; and
professional training and development. Strong team-building skills and adept at managing and
motivating diverse resources

Career Highlights:

Operations Reviews and Audits

   2011 – Project Manager for Central Alberta Rural Electric Association review of operational
    capacity and providing specialized analysis of transmission cost allocation and feasibility of
    becoming a load serving agency in the Province.

   2011 - Participating in a review of the Sam Bruno pipeline explosion for PG&E on behalf of
    the California Public Utilities Commission, with a focus on adequacy of PG&E’s Gas
    Emergency Plan and execution during the event in accordance with the plan.

   2010 – Participated in a focused management audit of Fitchburg Gas and Electric Company,
    a unit of Unitil. The audit covers Strategic Planning, Staffing & Workforce Management,
    Management & Control, Customer & Public Relations, and Emergency Preparedness &
    Response Planning.

   2010 – Participated in a storm response audit of Connecticut Light and Power Company and
    United Illuminating preparation and response to a major winter storm in March 2010.

   2010 – Project Manager for development of energy assurance planning documents,
    procedures and table-top exercises for the states of North Dakota and Idaho. This
    assignment includes development of critical asset information, identification and assessment
    of vulnerabilities and development of mitigation methods for energy supply system
    disruptions.


Utilities Practice                              88
   2010 – Participating in a management audit of Public Service Electric and Gas Company.
    Focus areas include electric system operations and maintenance, reliability, expansion
    planning, load management, fuels management, and SmartGrid.

   2010 – Participated in a due diligence review of the FirstEnergy/Allegheny Energy merger on
    behalf of the Maryland Public Utilities Commission. This assignment covered a thorough
    review of the operations and reliability functional areas and resulted in preparation of direct
    filed testimony.

   2009 – Project Manager for a study for the City of Ocala to evaluate the city electric
    department’s operational efficiency and effectiveness, to evaluate the city’s full requirements
    contract with FMPA, and to assess quantitative and qualitative aspects for the city to remain
    in the electric utility business or consider selling.

   2009 – Project Manager for a review of Questar Gas Company’s gas gathering and
    processing contracts on behalf of the Utah Division of Public Utilities. This study included
    arms-length determination of relationships, costs, pricing and performance over the past five
    years with a particular focus on cost of service rate spike experienced in 2007.

   2008 – Participated in a study led by Jacobs Consultancy to determine the workforce
    adequacy of the five Illinois investor owned utilities for the Illinois Commerce Commission.
    This effort included a review of work practices, labor resources both internal and external,
    work backlog, system design and condition and construction and maintenance practices.

   2008 – Advising on a solar thermal project for Florida municipal utilities. This project is in the
    initial conceptual development stage.

   2008 – Project Manager for an audit and analysis of distribution line extension costs and their
    derivation for Central Maine Power on behalf of the Maine Public Utilities Commission.

   2007 – Conducted and managed two engagements on behalf of the Utah DPU: first provided
    assistance to the DPU in studying and resolving a customer complaint action against Rocky
    Mountain Power (a unit of PacifiCorp) and second, a review of prior recommendation
    implementation for PacifiCorp (Rocky Mountain Power).

   2005/2006 – Conducted and managed a distribution plant evaluation for Central Maine Power
    on behalf of the Maine Public Utilities Commission. This effort included a review of reliability
    performance, system design and planning, vegetation management and a physical condition
    assessment of the distribution system.

   2005/2006 – Participated in a due diligence review of the proposed Exelon-PSE&G merger
    on behalf of the New Jersey Board of Public Utilities. This assignment covered a thorough
    review of the customer service functional area and resulted in preparation of direct filed
    testimony.

   2005 – Provided litigation support for PacifiCorp for a federal district court case and a
    Wyoming Pubic Utilities Commission filing relative to claimed losses due to outages suffered
    over a period of five years.

   2002 - Participated in a study for a major west coast utility to identify technology and
    business changes expected in the industry and to identify areas of opportunity where they


Utilities Practice                               89
    could capitalize on these changes through internal innovation and external means, including
    acquisition, merger and/or venture activities.

   2001 - Conducted and managed a market analysis for a Fortune 100 company for a
    prototype electric transmission line inspection robot.

   2001/ 2002 - Participated in a privatization and best practice study for the Public Works
    Center at Pearl Harbor, the Pacific Missile Range Facility (PMRF) at Kauai, and MCBH
    Hawaii for the US Navy. The work effort included a diagnostic analysis, competitive gap
    analysis and formulation of implementation recommendations and objectives to close the
    competitive gap for electric, water and wastewater utility functions at the base. The work
    effort was expanded to include a detailed review of asset condition, capital, operations and
    maintenance practices and benchmarking against industry standards to help set performance
    standards.

   2000 - Participated in a workforce utilization review for GPU Energy with focus on
    transmission and distribution maintenance activities.

   2000 - Participated in a due diligence review for Orion Midwest Energy with focus on
    information resource adequacy to support the new operation.

   2000 - Participated in a review of testimony relative to power plant re-powering project for a
    Midwestern utility.

   2000 - Participated in a study to review and recommend institutional strengthening initiatives
    for a newly mandated public service commission in Guyana with focus on expanding and
    defining the regulatory relationships with the recently privatized national electric company.

   1998/1999 - Participated in a work process and staffing change project for the Jacksonville
    Electric Authority covering support and customer service staff.

   1995 - Participated in a study of internal practice management systems for Stone & Webster
    Engineering Corporation

   1993 - Performed a vehicle fleet sizing and use optimization study for a major public utility
    authority, using a sophisticated database model covering survey and inventory analyses.

   1992 - Responsible Officer for a confidential survey of utility perceptions of wind power in the
    US market for an investment bank.

   1983/1992 - Reviewed and recommended changes in the annual construction budget for a
    major Mid-western electric utility for a period of ten years.

   1991 - Managed and participated in organization and management studies for the Electricity
    Authority of Cyprus, Dubai Electricity Company and the Guyana Electricity Corporation.

   1978/1983 - Developed comprehensive operations and financial forecasting models for
    electric utility sector analysis in Saudi Arabia, and specified and managed the implementation
    of a capital budget system for loan requirements tracking. Prepared long-term electric sector
    financial requirement forecasts. Developed standardized and uniform loan agreement and
    reporting procedures for electric utility borrowers including a monthly loan disbursement
    tracking system.


Utilities Practice                              90
Reliability Reviews and Benchmarking

   2004 – Managed and conducted an engagement to provide an independent review and
    comments on a series of reports prepared by PacifiCorp in response to a winter storm outage
    that affected up to 190,000 customers over an 8 day period. The assignment included a
    comprehensive analysis of the report with focus on conclusions and recommendations and
    the level of completeness and conformance with the terms of reference. We prepared
    professional opinions regarding the conclusions and recommendations contained in the
    report, and offered additional conclusions and recommendations with supporting rationale,
    analysis, and/or industry comparisons as appropriate.

   2003 - Managed and Conducted reliability review for Eskom in South Africa to determine
    causal factors and develop mitigating recommendations to improve their reliability
    performance.        This included regional workshops and focused interviews, a detailed
    document/report review and benchmarking Eskom against several comparable panels of
    electric utilities worldwide.

   2002 - 2003. Participated in PA’s annual utility Transmission and Distribution Benchmarking
    program as a special advisor.

   2002 - Managed and Conducted Reliability Certification reviews for Southern California
    Edison, NorthWestern Energy and Orlando Utilities Commission. 2001. Managed a Reliability
    Certification review for Texas Utilities Electric & Gas. 2000. Participated in a reliability
    certification review for the Northwestern Corp. This involved a consistency and accuracy
    review of reliability data collection, development and reporting, both internally and to external
    entities.

   2001/2002 - Conducted a review of the expected impact of implementing a new outage
    management system (OMS) on reliability indices for a major East Coast electric utility as part
    of a Service Guarantee study in connection with their merger with another east coast utility.
    This involved a detailed review of outage reporting processes and data analysis to identify
    areas where implementing the new OMS would improve data accuracy and measuring the
    impact on reliability indices to provide appropriate adjustment factors for future service level
    requirements and/or performance based rates

   2001 - Participated in a technical cause analysis review for a major east-coast utility related
    to underground distribution system failures and manhole explosions in a large city.

   2000 -. Marketed the ‘RestorePower’ web site to utility contractors, resulting in three founding
    subscriptions to the site. 1999-2000. Participated in a multi-client audit of system failures
    experienced during a heat wave in the Northeast US. This study focused on reliability and
    consisted of forensic analysis of the failures and a detailed review of methods, procedures
    and systems covering planning, design, operations and maintenance, capital expenditures,
    and call center performance.

   1999 - Participated in a Best Practices Study for BC Hydro to assess the operational
    efficiencies and commercial competitiveness of their engineering functions.




Utilities Practice                              91
   1998/1999 - Conducted benchmarking studies for several electric and gas utilities, including
    Entergy Gulf States and Trans Pipeline Australia to assess operational efficiency and service
    quality.

   1998 - Participated in a major service quality assessment for Entergy Gulf States in the area
    of distribution. This included field inventory and inspection of over 8,000 distribution poles
    and ancillary pole mounted equipment, computer modeling to suggest potential reliability
    improvements and their costs and a review of capital, operations and maintenance budgets,
    methods and procedures.


Utility System Planning

   1993 - Evaluated purchase power contract bids and developed an integrated resource plan
    for a full requirements utility. This included qualitative and quantitative analysis using
    computerized optimization software, including impacts of demand-side management
    programs.

   1992 - Responsible Officer for a needs and timing assessment of proposed 765 kV and 500
    kV transmission lines for the Virginia State Corporation Commission. This assessment
    included testimony at the certification hearings.

   1985/1986 - Participated in a comprehensive power plant siting study for the Egyptian
    Electricity Authority in Cairo, Egypt. This assignment required developing a database of
    electric system information, including generation and transmission detailed engineering data,
    load, energy, customer, demographic and financial data for use in the load forecasting,
    system planning and financial and economic analysis portions of the project.

   1983 - Evaluated the potential severance and condemnation costs associated with a
    municipal take-over of local transmission and distribution facilities.

   1977/1985 - Conducted transmission expansion system planning studies for Fitchburg Gas
    and Electric Light Company, Newport Electric Corporation, for Edison Sault Electric
    Company, and the Egyptian Electricity Authority.

   1977/1985 - Developed models to support load-forecasting efforts in the areas of
    demographics, survey analysis, and appliance end-use analysis, using both spreadsheet and
    database programming techniques. Prepared programs to forecast general ranges of river
    flow hydro generation, allocate and optimize a mix of local generating capacity and
    purchased power, and automate the calculation of fuel and purchased power adjustment
    clause revenues.

   1977/1984 - Participated in forecasts of future energy sales and peak loads for a number of
    clients, employing both traditional and econometric forecasting methods.

   1978/1983 - Developed comprehensive operations and financial forecasting models for
    electric utility sector analysis in Saudi Arabia. This included forecasts of electric sector long-
    term fuel and long-term fuel and resource requirements in the Kingdom.




Utilities Practice                               92
   1978/1983 - Defined generation, transmission and distribution requirements for utilities
    funded by the Saudi Industrial Development Fund. This included an overall review of a
    Kingdom-wide long-range master plan for development.

   1973/1977 - As an Associate Engineer at American Electric Power Service Corporation, was
    responsible for planning of the future bulk power network including conceptual development
    and technical analysis of transmission systems configuration and operation for both inter-
    company and intra-company systems.


Training and Development

   2000/2003 - Delivered a number of internal training courses at PA Consulting Group, Inc.,
    including “Top Down Thinking”, “Effective Presentations” and “Selling Professional Services.”
    Participated in a development of a web-based training program for internal deployment
    covering the utility industry.

   1994/1995 - Developed and presented a three-day training course on Geographic Information
    Systems fundamentals, project development and management to the Egyptian Electricity
    Authority under United Nations sponsorship. This course was repeated four times.

   1994 - Developed and conducted a one-day seminar on electric transmission pricing.

   1985/1990 - Responsible Officer and Program Director for Stone & Webster’s Utility
    Management Development Program, held twice annually. Was responsible for day-to-day
    program direction as well as curriculum selection.

   1984/1992 – Lecturer in Stone & Webster’s Utility Management Development Program. This
    included developing and delivering numerous presentations covering Load Research, Load
    Forecasting, Decision Analysis, Productivity, Transmission Planning, Generation Planning,
    Information System Planning, Microcomputer Applications, Issues in Information Systems,
    and Executive Information Systems.

   1988/1990 - Developed a middle management training program for the Guyana Electricity
    Corporation. Served as Training Advisor and administered the overall program. Organized
    and participated, as a lecturer, in a two-week Management Development Program held on-
    site in Guyana.

   1988 - Lectured at the “How To Think Like a Utility Executive” training program developed for
    General Electric. Topics included Decision Analysis, Load Forecasting, Capacity and
    Transmission Planning Principles and Issues.

   1986 - Developed and administered a system planning concepts course for the Egyptian
    Electricity Authority, covering generation and transmission planning, load forecasting,
    economic evaluation, tariff studies and finance.

   1978/1983 - Lending Team Leader for the Saudi Industrial Development Fund with
    responsibility for over US$1 Billion in loan commitments and disbursements for development
    in the electric sector in Saudi Arabia.




Utilities Practice                             93
   1978/1983 - Participated in the establishment of staffing and lending policies and procedures
    including staff training, utilization and organization at the Saudi Industrial Development Fund.


Business Continuity Audits and Assessments

   1999 - Project Manager for Year 2000 Program Audits for the City of San Antonio, Texas and
    the San Antonio Water System.

   1999 - Consultant on a Year 2000 review audit for a major Canadian electric utility.

   1999 - Information Technology Consultant on a Year 2000 contingency planning study for a
    major water and sewer utility.

   1999 - Contingency Planning Expert and project lead for a large metropolitan gas distribution
    utility.

   1999 - Contingency Planning Expert and project lead for an international government-owned
    telecommunications utility.

   1998 - Project Manager on Concord Management, Inc.’s Year 2000 audit.


Information Systems

   2001 - Participated in development of a request for proposal for a major west coast gas utility
    for developing new and replacement applications for map and gas distribution facilities and
    conversion of existing CADD-based drawing files to a GIS platform.

   1995 - Participated in a GIS feasibility study for Yankee Energy Corporation.

   1993/1994 - Engaged as database integration specialist to the Egyptian Electricity Authority,
    under United Nations funding, for a comprehensive Geographical Information System
    development covering the EEA’s high voltage transmission system working in an Intergraph
    MicroStation and Oracle environment.

   1992/1994 - Developed specification and functional design, vendor pre-selection bid
    evaluation of an Executive Information System for the Jordan Electricity Authority.

   1988/1991 - Directed and participated in strategic information system planning studies for El
    Paso Electric Company, the Egyptian Electricity Authority, Dubai Electricity Company, Stone
    & Webster Engineering Corporation, and the Jordan Electricity Authority using structured
    analysis techniques.

   1989 - Developed a United Nations Project Document for the Jordan Electric Authority
    covering information system needs.

   1985/1993 - Designed and assembled a power system technical database for the Egyptian
    Electricity Authority to support system-planning activities. This included functional design of
    the database elements, the logical and physical design of the database, its creation, and
    development of interface routines for planning applications and to support management
    information reporting needs.


Utilities Practice                              94
   1985/1992 - Responsible for managing two major information systems projects for the
    Egyptian Electricity Authority amounting to over US$1 Million.


Publications and Presentations:

   “Geographic Information Systems – Applications in System Planning,” M.F. Rafferty,
    published in the United Nations Journal, 1998.
   “UNDP/EEA GIS Training Program,” M.F. Rafferty, presented several times at the United
    Nations, 1994-1998
   “Issues in Transmission Pricing,” F.E. Depenbrock and M.F. Rafferty, presented at the Stone
    & Webster Summer Seminar, 1993.
   “A Field Report on EMF,” M.F. Rafferty, presented at the Transmission & Wheeling
    Conference, Denver, November 1991.
   “Transmission System Engineering Fundamentals,” M.F. Rafferty and J.S. Baylor, presented
    at the Infocast Conference Transmission: Issues for Project Developers, Washington,
    October 1991
   “Transmission; Can We Build It?,” M.F. Rafferty, presented at the Transmission & Wheeling
    Conference, Denver, November 1990.
   “Information Systems Planning, Concepts and Approaches,” M.F. Rafferty and J.R. Wappner,
    presented at the 1990 APPA/TVPPA Accounting, Finance, Rates and Information Systems
    Workshop, Nashville, September 1990.
   “Energy Planning Information System Requirements – A Case Study,” M.F. Rafferty and Dr.
    Yehia Abu Alam, presented at the Training Course on Energy Data Bases for Energy
    Planning, The World Bank, Sophia Antipolis, France, March 1990.
   “Issues in Transmission Access and Wheeling,” F.E. Depenbrock and M.F. Rafferty,
    presented at the Stone & Webster Summer Seminar, 1988.
   “Effects of Deregulation and Competition,” M.F. Rafferty, presented at the Stone & Webster
    Plant Services Seminar, 1988.

Employment History:
Jacobs Consultancy                                     2010 - present
Williams Consulting, Inc.                              2003 - 2010
PA Consulting Group, Inc.                              2000 - 2003
Stone & Webster Management Consultants, Inc.           1998 - 2000
T&L Computer Systems, Inc.                             1997 - 1999
Advanced Systems Group International, Inc.             1994 - 1997
Stone & Webster Management Consultants, Inc.           1978 - 1994
American Electric Power Service Corporation            1973 - 1977




Utilities Practice                            95
Name:                    WILLIAM M. WILLIAMS JR.

Title:                   Group Manager

Education:               Saint Leo College, BA, Business Administration
                         Saint Leo University, Graduate level Business courses




Career Synopsis:

Mr. Williams is an experienced executive with a strong background in operations, team building,
process improvements and performance monitoring. He is heavily experienced in project
management, materials management, budgeting, corporate strategic planning, information
systems planning, maintenance management, property records, organization and staffing
assessments in the utility industries. Career focus on leadership positions in operations, logistics,
materials management, changes management, and total quality.

Selected Consulting Assignments:

   Participating in a Central Alberta Rural Electric Association review of operational capacity and
    providing specialized analysis of transmission cost allocation and feasibility of becoming a
    load serving agency in the Province.

   Participating in a review of Public Service New Hampshire Flue Gas Desulphurization
    installation that includes a due diligence report on the completed portion and on-going
    monitoring of the project.

   Participated as a lead consultant in a study for the City of Ocala to evaluate the city electric
    department’s operational efficiency and effectiveness, to evaluate the city’s full requirements
    contract with FMPA, and to assess quantitative and qualitative aspects for the city to remain
    in the electric utility business or consider selling.

   Participated in a focused management audit of Fitchburg Gas and Electric Company, a unit of
    Unitil. The audit covers Strategic Planning, Staffing & Workforce Management, Management
    & Control, Customer & Public Relations, and Emergency Preparedness & Response
    Planning.

   Participated in a storm response audit of Connecticut Light and Power Company and United
    Illuminating preparation and response to a major winter storm in March 2010.

   Participating in the development of energy assurance planning documents, procedures and
    table-top exercises for the states of North Dakota and Idaho. This assignment includes
    development of critical asset information, identification and assessment of vulnerabilities and
    development of mitigation methods for energy supply system disruptions.

   Participated as a lead consultant for an engagement to provide an independent review and
    comments on a series of reports prepared by PacifiCorp in response to a winter storm outage
    that affected up to 190,000 customers over an 8 day period. The assignment included a


Utilities Practice                               96
    comprehensive analysis of the report with focus on conclusions and recommendations and
    the level of completeness and conformance with the terms of reference. We prepared
    professional opinions regarding the conclusions and recommendations contained in the
    report, and offered additional conclusions and recommendations with supporting rationale,
    analysis, and/or industry comparisons as appropriate. We were subsequently retained to
    review PacifiCorp’s implementation progress for the 18 recommendations in our original
    report.

   Participated in a study led by Jacobs Consultancy to determine the workforce adequacy of
    the five Illinois investor owned utilities for the Illinois Commerce Commission. This effort
    included a review of work practices, labor resources both internal and external, work backlog,
    workforce management and construction and maintenance practices.

   Participated as a lead in a distribution plant evaluation for Central Maine Power on behalf of
    the Maine Public Utilities Commission.          This effort included a review of reliability
    performance, system design and planning, vegetation management and a physical condition
    assessment of the distribution system.

   Project Manager of a gap analysis and benchmarking project involving plant operations at
    ALCOA’s Rockdale, Texas. The results help to determine areas for improvement in
    operations and improve the plant competitiveness.

   Project Coordinator in the NJBPU service reliability focused management audits of the four
    New Jersey-based electric utilities. To determine the effectiveness of their response and
    communications during a major outage.

   Project Manager on the Bahamas Telecommunications Corporation organization and staffing
    study. Developed staffing requirements and organization structure, which reduced staff by 40
    % and saving $62 million a year.

   Project Manager in a study of internal practice management systems for Stone & Webster
    Engineering Corporation


Industry Assignments:

   Operations Management
    o   Responsible for daily power generation operation during manager absence and acted as
        intermediary between Division staff of 250 personnel and upper management.
    o   Supervised a staff of 29 maintenance and outage planning, administrative and
        warehousing personnel, including four supervisory personnel for an electric production
        division.
    o   Supervised a staff of 61 plant materials managers, administrative, production control and
        purchasing personnel in 7 states for a major glass manufacturer.
    o   Facilitated and developed the strategic planning process for a municipal utility
        department.
    o   Implemented best practice change management methodologies.


Utilities Practice                             97
    o   Directed the review and rewriting of department wide policies and procedures.
    o   Developed performance indicators and management tracking system for glass and utility
        industry.
    o   Directed training department for craft and operations personnel.



   Reliability, Management Audits and Operational Assessments
    o   Participated in a review of Questar Gas Company’s gas gathering and processing
        contracts on behalf of the Utah Division of Public Utilities. This study included arms-
        length determination of relationships, costs, pricing and performance over the past five
        years with a particular focus on cost of service rate spike experienced in 2007.
    o   Participated as a lead in an audit and analysis of distribution line extension costs and
        their derivation for Central Maine Power on behalf of the Maine Public Utilities
        Commission.
    o   Participated in a due diligence review of the proposed Exelon-PSE&G merger on behalf
        of the New Jersey Board of Public Utilities. This assignment covered a thorough review
        of the customer service functional area, including the call center, customer service
        centers, the customer information system, street lighting, customer billing and complaint
        resolution.
    o   Provided litigation support for PacifiCorp for a federal district court case and a Wyoming
        Public Utilities Commission filing relative to claimed losses due to outages suffered over
        a period of five years.
    o   Project Manager on multiple projects for JEA that resulted in approximately $2.25 million
        yearly saving, which included the following:
    o   Multi-phased cost analysis and work process improvement project involving Customer
        Service areas.
    o   Facilitating the implementation of process improvement for JEA and Duval County Tax
        Collector in areas of operations, facilities design, call center staffing and design, and
        training.
    o   Multi-phased work process improvement project involving staffing assessment of the
        Jacksonville Water and Sewer Department pre-merger.
    o   Cost benefits analysis project of the merger between the electric and water and sewer
        departments.
    o   Multi-phased work process improvements and staffing assessment and reassignment
        project involving the support staff.
    o   Project Manager in charge of a multi-phased Cost Analysis and Work Process
        Improvements project involving JEA, the Jacksonville Public Utilities Department and
        Duval County Tax Collector’s Office.
    o   Responsible for performing benchmarking study of             various   utilities   including
        Transmission Pipeline Australia and Entergy Gulf States.



Utilities Practice                             98
    o   Consultant responsible for developing Table of Organization and Equipment as part of a
        fleet assessment for National Grid.
    o   Participated in a major service quality assessment for Entergy Gulf States in the area of
        distribution. This included field inventory and inspection of over 8,000 distribution poles
        and ancillary pole mounted equipment, computer modeling to suggest potential reliability
        improvements and their costs and a review of capital, operations and maintenance
        budgets, methods and procedures.


   Maintenance and Materials Management
    o   Project Manager on a base line cost analysis project of a large southeastern utility
        materials management process. Recommended process improvements that resulted in a
        $1.5 million yearly saving and a onetime saving of $2.3 million.
    o   Managed all warehousing and inventory operations, responsible for overseeing the
        physical facility redesign and rearrangement planning, and executing the organizational
        modification at an operating municipal power plant.
    o   Managed a team of consultants and professional consulting engineers in establishing a
        comprehensive outage planning and work force management/productivity measurement
        and improvement program at an operating municipal power plant.
    o   Consultant responsible for conducting materials management portions of focused
        management and operations audits for Chattanooga Gas Company, U.S. Virgin Islands
        PSC, and Nevada Power Company.
    o   Provided logistical support for the preparation of 80 uniform plant maintenance
        procedures and associated, detailed standard time estimates.
    o   Managed staff of plant maintenance planner for outage efforts of an operating municipal
        power plant reducing outage time from seven weeks to 3 and average saving $1.3 million
        a year.
    o   Provided leadership and project management during the design of the maintenance and
        materials management system needed for computerization support of the plant's work
        force management program.
    o   Responsible for integration of the material management and productions control
        department into a single business unit with a yearly saving of $300,000.
    o   Lead the formation of “RAPID” parts delivery program for 216 participating utilities.
        Responsible for electronic data gathering, cataloging, and information integrity, which
        allowed utilities to lower inventories by 15%.


   Organization/Feasibility Studies
    o   Consultant involved in developing staffing requirements for new gas companies at the
        Abu Dhabi Natural Gas Distribution Company in the Emirate of Abu Dhabi and Chilquinta
        Gas Distribution Company in Santiago, Chile.




Utilities Practice                             99
   Budgeting
    o   Develop 10-year forecast of O&M and Capital budgets and administered annual budget
        of over $74 million using business analysis of budget versus productivity.
    o   Set and monitored performance indicators based on financial data.



Employment History:
Jacobs Consultancy                                     2010
Group Manager
Williams Consulting, Inc.                              2000 to 2010
Principal & Consultant
Stone & Webster Management Consultants, Inc.
Senior Consultant                                      1999 – 2000
Consultant                                             1995 -1999
City of Lakeland, Electric and Water Department        1984 - 1994
Assistant Plant Manager
Thatcher Glass Manufacturing Company                   1976 - 1984
Corporate Materials Manager
Plant City Steel Corporation                           1971 - 1976
Production Control Manager




Utilities Practice                           100
Name:               ROBERT M. GRANT

Title:              President, River Consulting Group

Education:          B.S./1970/Electrical Engineering/Lowell Technological Institute, Lowell, MA
                    American Management Association for Marketing and Planning, Finance,
                    and Strategic Planning
Professional
Affiliations:       (Current and past)
                    Editorial Advisory Board of Hart’s Energy Markets Magazine
                    Institute of Electrical and Electronic Engineers
                    American Management Association for Marketing and Planning
                    North American Society for Corporate Planning, Inc.
                    Western Energy Institute
                    EEI


Career Synopsis:
As a recognized industry expert, his experience spans a wide variety of consulting engagements
including emergency restoration plan development and reviews, business management, and
strategy development. He has also helped numerous major utilities redesign their business
organizations to reflect the changing regulatory environment. He helped a major Texas
municipality develop its first emergency plan. Between 2007 and 2009, led three major reviews of
utility performance during major storm events. These reports were all submitted to commissions
for review. In all cases the recommendations were implemented by the respective utilities. He has
also been an officer and/or senior executive consultant for KEMA, Inc., AT&T Solutions, Stone &
Webster and Booz, Allen, & Hamilton.


Selected Consulting Responsibilities:
Emergency Restoration Planning
        For a major Northwestern combination utility, performed an in-depth review of its
         restoration activities as a result of a major winter storm event which impacted over 50%
         of its customers for more than 11 days. The final report recommended improvements to
         the emergency restoration strategic and tactical plans and enhancements to the
         transmission right of way maintenance and access roads. In total there were 20
         recommendations which the company fully accepted and began implementing
         immediately. This report was used in their recent rate case.
        For a major mid-Western combination utility performed an in-depth review of its
         restoration activities as a result of a unique set of summer back to back wind events
         which caused significant outages to a major portion of their system. Working in
         conjunction with the Commission Staff and the utility, it was determined that the overall
         strategy was reasonable but there were a number of tactical improvements necessary.
         Further, it was determined that ARM solutions were less practical during the onset of
         the restoration effort, but beneficial during the final stage. An oral presentation was
         made to the PSC Commissioners. The Commission staff and company executives were
         appreciative of the presentation. The company has implemented all the
         recommendations.


Utilities Practice                            101
           For a major Texas combination utility led the comprehensive review of the Company’s
            post hurricane Ike restoration efforts. Ike had caused 98% of the Company’s customers
            to be without power for up to 18 days. The final report was used as evidence in the
            Commission approval of $650M in capital expense recovery. In addition the report
            addressed design and maintenance standards. As a direct result of the review the
            company redesigned its emergency restoration plan incorporating all the
            recommendation made in the review.
           For a major northeast utility, reviewed management’s restoration efforts during a
            significant outage occurring on their secondary mesh network. As a result of this
            review, redesigned the process approach to identifying and resolving major outages on
            secondary mesh networks. The solution was fully adopted by the company and is now
            part of their ERP.
           Directed the development of a multi-level storm plan for a major southwestern electric
            utility. The emergency restoration plan was designed to handle any level of storm that
            might be experienced by the company. Every role and key decision process was clearly
            defined. All three divisions and upper management accepted the resulting plan.
           Managed the development of a major storm restoration plan for a large east-coast
            utility. The plan focused on storms, which would cause loss of power to 50% of the
            company's customers for more than 72 hours. It also allows the utility to handle up to
            300 foreign crews.

Management Audits
              Participated as a lead consultant or managed a number of management audits.
               Areas of review included; T&D operations, customer service, engineering, metering,
               media relations, supply chain and generation. Below is a sample of the companies
               audited:
                       -   Bermuda Electric Light Company, Ltd. - Public
                       -   Public Utility District No. 1 of Chelan County - Confidential
                       -   Groton Department of Public Utilities - Confidential
                       -   Electricity Authority of Cypress – Public
                       -   Central Hudson Gas and Electric Company – Public
                       -   Kansas – Nebraska Natural Gas Company - Confidential
                       -   Central Electric Generating Board, Great Britain - Confidential
                       -   Louisville Gas & Electric Company - Public
                       -   Orange & Rockland Utilities - Public


Planning
           Directed an island utility in developing its first strategic plan. The plan evolved out of our
            previously conducted management audit, which I managed. As a result, the plan
            focused the management team on improving quality and making major improvements in
            the way it does its business. In addition, the planning efforts led to the formation of two
            new entities -- an energy services company (ESCO) and a local telephone company.
            Led their planning efforts for four years.



Utilities Practice                                 102
       Directed the development of a strategic plan for a western combination electric and gas
        utility. This was an aggressive plan designed to pre-position the utility for open access.
        In addition, the plan addressed moving into related non-utility businesses.
       Designed a successful strategic plan to aid in reducing the need for additional new
        generation capacity. This plan enabled the utility to redirect access loads that
        aggravated its peak load.
       Prepared several energy management plans (EMP) to permit clients to respond
        appropriately to the changing energy supply situation. For a national retail chain, the
        EMP permitted the selection of the most effective energy opportunities for reducing
        operating costs.
       Led a team that evaluated the impact of distribution design and maintenance practice to
        determine the impact on the level of storm damage. As a result the Company is making
        changes to their maintenance practices.
Business Transformation & Reengineering
       Managed an engagement to develop a comprehensive set of policies and procedures
        for a medium sized water and electric utility. As part of this engagement, the team
        related all policies and procedures to corporate goals and regulations. Developed and
        built a format database of related policies and procedures to specific regulations at the
        local, state and federal level. The system also provides a means for tracking proposed
        legislation and all permitting processes.
       Reengineered a medium-sized municipal utility's entire organization. The company
        provides natural gas, electric and water service to its customers. As a result,
        management has been able to reduce its management complement by 35%.
       Managed the reengineering of the operations organization for a major mid-western,
        combination gas and electric utility. Reduced the number of district offices by 45% while
        improving overall response time to the customer and eliminating 30% of the
        management positions. Several customer processes were also reengineered leading to
        a 30% reduction in clerical personnel.
       Managed an organization redesign of a major island utility's engineering function to be
        more customer/project driven. The final organization was delivered and now has a
        wider more effective span of control. In addition, we redesigned the process for
        estimating generation and T&D projects.
    Operational Engagements
       Managed an industrial engineering study to improve a transmission and distribution
        department’s trouble and dispatching operations. Results included consolidation of five
        dispatching centers into one with more efficient trouble crew operations.
       Managed engagements to identify opportunities for several major gas distribution
        companies to improve their customer service and marketing activities, resulting in more
        efficient and cost-effective operations.
       Designed and implemented a reliability-based budgeting system for two large urban
        electric utilities, one in California and the other in Texas, to improve T&D maintenance
        and system reinforcement project planning.
    Transmission & Distribution
       Led the review of the T&D business unit a major Midwestern combination utility that had
        been cutting costs for eight years. As a result of this $500,000 engagement we were


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         able to identify an additional $13M in savings by restructuring non-core activities of the
         740 plus line organization.
        Provided technical and strategic advice for the emergency plan developed for a
         combination gas and electric utility located in the Mid-West.
        Managed a benchmarking effort for a Canadian utility's transmission maintenance
         function. Resulted in a reduction of its maintenance costs by $15M annually.
        Developed a transportation model to estimate the appropriate fleet size for a major
         utility in Saudi Arabia, which was incorporated into their annual planning exercise.
    Customer Care & Multimedia Call Centers
        Directed the transformation of a combination gas and electric Northeast utility’s
         traditional call center into a multimedia contact center for the coming deregulated
         environment. The company wanted to be more customer-centric while ensuring
         appropriate controls over cost and quality. Designed high-level architecture for a fully
         integrated operation using computer telephony integration (CTI) and interactive voice
         response (IVR) technologies to more efficiently serve the customer. Recommended
         significant changes to supervisory and agent training efforts and a strategy for web
         enabling the call center.
        Directed an engagement to help a major Canadian electric utility consolidate 54 call
         center operations into 6 centers. As part of this effort, we developed a transition plan to
         move the existing call center operation from a cost centered, inbound operation to a
         strategic asset providing both inbound and telemarketing services. We identified the
         most appropriate staffing levels to ensure that customer-driven metrics can be met with
         a well-managed small work force. The project saved $2.5M.
        Managed the preparation of a detailed plan for converting a traditional customer service
         operation into a 21st century, customer-centric operation for a major mid-western gas
         and electric utility. The plan includes operational and process changes as well as a
         detailed Change Management program. The Company implemented all the
         recommendations. According to the CFO, the resulting savings are estimated to
         improve earnings per share by 20%.
        Developed a long-range plan for the Consumer Business Function of a major
         Northeastern natural gas LDC. The plan detailed the mission, objectives, and goals to
         be achieved which included the consolidation of several remote offices. The resulting
         savings exceeded $20M annually.


Professional assignments while employed within Utility organizations:


Engineering

   Underground standards development.

   SCADA design for distribution substations.

   QA for electrical safeguard systems for Pilgrim 1 Nuclear plant construction.


Operations

   Crew supervision and restoration area management during major outage restoration efforts.
   Underground fault location.

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   Major accident investigations and process change.
   Refine operating procedures.

Designated Expert Witness:

   Presented results of Ameren’s restoration efforts post three major storm events (Missouri
    Public Utilities Commission)

   Prepared CenterPoint Energy’s Testimony for the Texas Public Service Commission on the
    post Hurricane Ike restoration effort


Professional Publications:

           “From Brick & Mortar To Technology Enabled Strategy,” presented at the EEI Annual
            Convention, June 15, 1999, in Long Beach.

           “Using Technology as a Strategy Driver,” presented at the EEI Semi-annual Strategic
            Planning Conference, March 1999, in Tampa.

           "Planning for Resource Allocation,” Stone & Webster Management Consultants,
            Utility Executive Course, 1993-4

           “AMI’ Role in Emergency Restoration,” Automation 2008 Conference, Atlanta, GA

           “Incorporating Public Communications into your Business Continuity Plan,” EUCI, St.
            Louis, October 2008

           “Why Forensic Analysis?” 2008 Energy Connections Conference, Florida Municipal
            Electric Association, Orlando, November 2008

           “Utility Experience Shows AMR Could Support Outage Management,” KEMA
            publication, April 2008


Employment History:
River Consulting Group, Inc.                                           2010 - Present
President

KEMA                                                                  2005 to 2010
Vice President Operational Excellence 2008 to 2010
Director Field Force Effectiveness & Global Supply Chain 2005 to 2008

River Consulting Group, Inc.                                           1998 to 2005
President

AT&T Solutions, Utility and Energy Practice                            1996 to 1998
Client Partner, North American Utilities Practice Leader

EDS Management Consulting Services                                     1995 to 1996
Principal

Stone & Webster Management Consultants, Inc.                           1980 to 1995
Vice President


Utilities Practice                             105
Booz, Allen & Hamilton, Inc.               1978 to 1980
Senior Consultant

Boston Edison Company                      1970 to 1978
Emergency Restoration Area Manager
Distribution Crew Supervisor
Senior Engineer




Utilities Practice                   106
Name:                   TERRY M. COLE

Title:                  Communications Practice Director

Education:              Master of Communication, Georgia State University, 1998
                        Bachelor of Journalism, University of Georgia, 1987
                        Professional Facilitator Certification, 2002


Career Synopsis:

Terry Cole has nearly 25 years of professional experience in developing and implementing
strategic communications and public outreach programs for utilities and public agencies. Ms.
Cole brings a realistic perspective to her work, having spent 10 years gaining real-world utility
experience serving as communications leader for a utility in a rapidly growing suburb of a major
metropolitan city. She began her career as a newspaper reporter and has a keen ability to
translate technical and challenging topics to diverse audiences. She is a recognized thought-
leader in strategic communications for natural gas, electric, and water/sewer utilities, and is a
frequent presenter on communications, public outreach, and media relations topics at state and
national industry conferences. She offers a long list of tools to help meet the unique
communication needs of clients including assessing demographics and stakeholder issues to
craft strategic communications and social marketing efforts, performing crisis communication
management and planning, conducting crisis communication preparedness training, facilitating
stakeholder discussions, and offering media relations management and training. She has
performed communication assessments, both internal and external, for utilities of varying sizes,
as well as conducting post-crisis communication assessments.



Selected Consulting Assignments:

 Strategic Communications for Large Diameter Pipeline Installations, AGL Resources, Georgia.
    Developed strategic community outreach for one of the largest natural gas infrastructure
    projects ever undertaken by Atlanta Gas Light. Project includes construction of large
    diameter pipelines in communities across metro Atlanta over a 3-year period. Project issues
    include impacts to diverse stakeholders in multiple jurisdictions, highly visible construction
    projects with potential for significant traffic disruptions, safety concerns from citizens and
    elected officials, and rate implications. Led a team of communication professionals in
    performing extensive research into impacted communities, developing tailored approaches to
    managing communications in each community, and recommending implementation strategies
    geared toward mitigating opposition. Currently engaged in implementation of the strategic
    outreach plans.
 Communications Plan, City of Saint John, New Brunswick, Canada. Developed a strategic
    Communications Plan to guide a $109 million CIP program over 10 years. Plan components
    include evaluating existing communication efforts, developing strategies for addressing gaps,
    and creating opportunities to educate customers and the public in support of a major rate
    increase and shift in billing practices.
 Strategic Communications for CSO Consent Decree, Metropolitan Sewer District of Greater
    Cincinnati, Cincinnati, Ohio. Coordinating external communications for one of the largest
    public works projects ever undertaken by Hamilton County, Ohio in its 200-plus year history.
    “Project Groundwork” is a $3 billion consent order driven initiative designed to reduce or
    eliminate sewage overflows into local rivers and streams and sewage backups into
    basements, benefit local communities through environmentally, socially, and economically
    sustainable solutions to these current problems; and revitalize the economy through creation

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   of jobs and growth opportunities for local businesses. Communication efforts include
   developing strategies to effectively engage low-income and disenfranchised stakeholders in
   the planning process, coordinating with businesses to leverage social and economic benefits
   beyond infrastructure improvements, and creating messages that resonate across the
   impacted watersheds as well as the greater Cincinnati area. The community outreach
   program includes development of communication materials such as videos, brochures,
   website content, and citizen advisory committee engagement, as well as public design
   charrettes.
 Strategic Communications for Major Pipeline Installations, Peoples Gas, Chicago, Illinois.
   Peoples Gas Light and Coke Company (“Peoples Gas”) is a regulated natural gas utility
   serving approximately 818,000 residential and business customers in the city of Chicago.
   Peoples Gas is undertaking the largest infrastructure improvement project in its history to
   replace approximately 1,900 miles of cast/ductile iron main remaining in the distribution
   system, much of which is aging and reaching the end of its useful life. Peoples Gas’ goal is
   to replace all cast/ductile iron in the system by 2030. Developed a Communications Plan to
   guide public outreach across a diverse and wide-ranging community with stakeholders
   ranging from Aldermen to union workers to property owners and more.                Crafting
   communication materials such as letters to impacted homeowners that provide a consistent
   voice across all Peoples Gas departments and demonstrate a change in tone toward
   customer service focused communications.
 Communications Assessment, Anchorage Water and Wastewater Utility, Anchorage, Alaska.
   Evaluated internal and external communications as part of a larger effort to assess all
   aspects of utility operations. Conducted employee interviews, reviewed existing materials,
   and prepared a report including recommendations for improving communications at all levels
   of the organization. Participated with utility in implementing recommendations by facilitating
   employee workshops and developing two strategic Communications Plans to guide both
   internal and external communication efforts.
 Management Audit, Fitchburg Gas and Light Company, Hampton, New Hampshire.           Working
   as part of a team contracted to perform a third-party management audit of the company’s
   management practices, including the management practices of Unitil Corporation, pertaining
   to its electric distribution operations. Audit includes evaluation of customer communications
   and public relations processes and practices, both during crisis and non-crisis events.
   Conducting employee interviews, reviewing existing materials, and preparing a report
   including recommendations for improving communications at all levels of the organization.
 Crisis Communications Gap Analysis, Recommendations Report, and Media Training,
   Charleston Water System, Charleston, South Carolina. As the result of a major water
   outage, CWS initiated a project to review their current crisis communications procedures and
   processes, make recommendations for improvements, and provide media training for key
   staff. The review included two extensive brainstorming sessions – one with management
   staff, and one with representative frontline employees – to determine strengths and
   weaknesses of the process and seek input about suggested improvements.                   The
   Recommendations Report covered a broad spectrum of issues and areas to strengthen for
   future events.
 Gloucester CSO Long-Term Control Plan, Gloucester, Massachusetts. Developed a public
   outreach program for the City’s CSO long-term control plan construction project which
   involved major disruption to the entire downtown area. Replacement of large CSO pipes and
   other work caused traffic concerns, road closures, business areas being cut-off from all but
   foot traffic, etc. The outreach program included a website to provide residents on the
   background of the project – why it needed to be done – as well as updates on construction
   work. The plan is currently being implemented.
 Communications Assessment, Mount Pleasant Waterworks, Mount Pleasant, South Carolina.
   Evaluated external communications practices to determine need for new position within the

Utilities Practice                           108
   organization to guide those activities, as well as making overall recommendations related to
   the success of the program. Conducted employee interviews, reviewed existing materials,
   and prepared a report including recommendations for improving communications.
 Hurricane Opal Crisis Communications, Douglasville-Douglas County, Georgia. Following a
   24-hour power outage at the main water treatment facility, managed the crisis communication
   efforts related to a boil water notice. Advised senior management on communication
   strategies, issued public notices to all impacted consumers including at-risk populations such
   as day care centers, hospitals, and schools, and directed all media relations including giving
   regular state and local interviews to keep the community informed of status.
 Milledge Avenue Remediation, University of Georgia Athens, Georgia.                 Prepared
   comprehensive Communication Plan guiding the remediation of a former landfill site located
   on University property adjacent to the State Botanical Gardens. Provided guidance and
   strategic planning to project managers and technical staff regarding community relations and
   information dissemination.      Developed message points for presentation materials,
   coordinated public meetings and served as media advisor to University communications staff.
 Metals Cleanup, Confidential Client, Winston-Salem, North Carolina. Conducted door-to-door
   meetings with individual property owners to obtain releases to perform testing and clean up of
   former industrial site.
 Water Quality and Wastewater System Environmental Improvement Program, City of
   Chattanooga, Chattanooga, Tennessee. The City expects an anticipated Consent Decree for
   issues related to its wastewater and water quality systems to result in significant capital
   spending and implementation of additional operations and programs over many years. In
   response, Jacobs is developing an external communications strategy aimed at guiding the
   effort to create a well-informed citizenry who can partner with the City to successfully achieve
   compliance while also building a long-term commitment to the protection of water quality
   among all key players.
 Water Quality and Wastewater System Environmental Improvement Program, City of
   Chattanooga, Chattanooga, Tennessee. The City expects an anticipated Consent Decree for
   issues related to its wastewater and water quality systems to result in significant capital
   spending and implementation of additional operations and programs over many years. In
   response, Jacobs is developing an external communications strategy aimed at guiding the
   effort to create a well-informed citizenry who can partner with the City to successfully achieve
   compliance while also building a long-term commitment to the protection of water quality
   among all key players.
 Customer Service Representatives Rate Structure Training, Newton County Water and
   Sewerage Authority, Newton County, Georgia.       The Newton County WSA adopted a new
   rate structure designed to encourage water conservation among its ratepayers. Because of
   the complexity of the rate structure, and the need for consistent answers to customer
   concerns, WSA requested a tailored training program for its customer service representatives
   and field staff. Training was coordinated and conducted with the rate structure specialist who
   designed the fees.
 Comprehensive Communications Plan Development, Etowah Water and Sewer Authority,
   Dawsonville, Georgia. The Etowah WSA determined the need for a strategic and
   comprehensive communications plan to position the Authority as a leader within the
   community and reinforce its positive image among ratepayers and the general public. The
   Communications Plan included strategies and tactics tailored to the Dawsonville community,
   and also include a one-year calendar of monthly themes and activities designed to raise the
   visibility of the Authority in a structured and efficient manner.
 Mill Village Sewer Rehabilitation Project Outreach, Spartanburg Water System, Spartanburg,
   South Carolina. Spartanburg Water and the City of Spartanburg partnered to rehabilitate
   aging sewer lines in the Beaumont Village community. The Beaumont neighborhood,

Utilities Practice                            109
   including the houses, streets, and water and sewer system, was originally developed by the
   owners of the Beaumont Mill to provide housing for its employees. Much of the sewer
   collection system was built on private property rather than in the public road right-of-way of
   the streets, and needed improvement due to age, inadequately sized pipes, limited
   manholes, and pipes that had reached the end of their useful life. The area presented unique
   challenges for construction crews due to the close proximity of homes, narrow streets, and
   the private property issues. Outreach included Fact Sheets, engagement with key
   community leaders, communication materials for construction crews, and community
   meetings.
 Community Drought Partnership, City of Dahlonega and Lumpkin County Water and
   Sewerage Authority, Dahlonega, Georgia.           Developed a community-wide approach to
   managing communication with the public regarding the 2007-2008 extreme drought.
   Achieved consensus with elected officials across jurisdictions to coordinate information and
   host joint sessions related to the topic. In addition to press releases, media coverage,
   website content, and other materials, also managed a community meeting that attracted more
   than 100 interested citizens including business owners, residents, officials, religious leaders,
   environmentalists, and others coming together to learn the specifics about drought in their
   community, and offer practical solutions that could be implemented by elected officials.
 Master Plan and Unified Utility Communications Plan, Georgetown County Water and Sewer
   District, Georgetown County, South Carolina. Developed a Plan to guide the Georgetown
   County Water and Sewer District’s (GCWSD) communication efforts around its unified utility
   and master plan. Based on discussions with the District’s leadership, JJG devised a concept
   for a community meeting using a unique format where GCWSD staff members could interact
   one-on-one with community members. Individual tables were set up to allow meeting
   attendees to sit together and have open dialogue about the issues, as facilitated by a
   GCWSD staff member. JJG provided a “table top” presentation for each discussion group to
   assist the staff members in talking through the key messages consistently. Prior to the
   meeting, JJG trained staff on how to facilitate the discussions and addressed concerns
   regarding the format and approach. The meeting drew a large number of attendees and
   achieved the District’s goal of gaining consensus and creating citizen advocates. JJG also
   developed a strategic Action Plan that could quickly be implemented by GCWSD to address
   evolving community concerns regarding the move toward a unified utility.
 Drought Communications to Regulatory Agency, Newton County Water and Sewerage
   Authority, Covington, Georgia. In conjunction with the Authority’s management staff, assisted
   in developing a response to the State of Georgia Environmental Protection Division related to
   the Governor’s mandate for a 10 percent water usage reduction by 61 communities across
   north Georgia. The letter was designed to convey the positive aspects of the Authority’s
   efforts to reduce consumption among its customers, as well as to explain failure to achieve
   the 10 percent goal during the required timeframe. The communication was critical since it
   would likely become public, and also because it could dictate the State’s actions in response
   to the missed goal.
 Communications Assistance, Spartanburg Water System, Spartanburg, South Carolina.
   Working directly with General Manager to tackle communication issues related to voluntary
   outdoor water restrictions and other drought related issues. In addition, working on general
   communication issues around SWS’s evolving operations.
 Water Conservation Rate Structure Communications Program, City of Gainesville Public
   Utilities Department, Gainesville, Georgia.    In response to a newly adopted water
   conservation rate structure, worked with PUD management and City Public Information
   Officer to develop a strategic public awareness program.             Elements included a
   Communications Plan developed through a brainstorming session with key staff,
   development of key messages and talking points related to the new rate structure, a schedule
   for release of information to the public and the media, training for PUD staff across the
   department to educate employees on responding to questions from neighbors and other

Utilities Practice                            110
   customers, and a website rate calculator that allowed residents to see the exact impact of the
   new rate structure on their water bill based on their current consumption. The intent of the
   overall program was to inform citizens several months prior to the actual increase going into
   affect so they had time to adjust their consumption habits and reduce their water bill.
 Hickory Log Creek Reservoir, Cobb-Marietta Water Authority, Cherokee County and the City
   of Canton, Georgia. Implemented strategies to promote the benefits of the dam and reservoir
   to the community. Efforts included creating a unique logo and theme to brand the project, a
   highly successful kickoff meeting that included information boards, fact sheets, presentation,
   a logo naming contest for local elementary children, and generating positive media coverage
   about the project.
 Public Involvement for Water Infrastructure Improvements (LANCOOL), Gwinnett County,
   Georgia. Developed and implemented strategic public involvement for a major water
   infrastructure project, including construction of a new water treatment plant, large distribution
   lines, raw water pumping station and intake, intake tunnel, raw water distribution center, and
   reservoir. Project components included a Communications Plan developed to guide overall
   effort and offer key talking points, managing external communication efforts between multiple
   contractors and consultants with the public, a website, media training for key personnel, a
   “hotline” for reporting construction related concerns, community meetings, briefing packets for
   elected officials, monthly email newsletters, and specialized school curriculum.
 Public Involvement for Water Treatment Plant Expansion, Cobb-Marietta Water Authority,
   Cobb County, Georgia. Worked with Water Authority staff to develop and implement a
   strategic public involvement plan for a major water treatment plant expansion project located
   in very close proximity to an established neighborhood. Efforts included development of a
   project website, coordination of a community meeting, and special mailings and updates
   related to specific incidents as the project progressed.
 Water Resources Management Program, Fulton County, Georgia. Coordinated with local
   citizens, activists, civic groups, the media, and County staff for communications on a
   watershed assessment and storm water management program in a 14-square-mile heavily
   urbanized area. Developed and presented project information to diverse community groups
   and homeowner associations focusing on educating, stimulating and fostering two-way
   dialogue. Also identified key stakeholders, developed a Public Involvement Plan, interacted
   with concerned residents, and worked to garner credibility for Fulton County extending
   beyond this project. Project highlight was initiation of a partnership program with local Keep
   America Beautiful chapter and business association to develop a stream protection
   educational campaign for restaurant operators and others related to storm water
   management.
 Alcovy Watershed Protection Project, Walton, Newton, Jasper and Gwinnett Counties (East
   Metropolitan Atlanta), Georgia. Coordinated public involvement activities for a four-county,
   15-jurisdiction regional watershed project sponsored by the Northeast Georgia Regional
   Development Center. Facilitated public meetings, developed and presented community
   group presentations, provided written materials, and managed media relations to build
   support within the community for a watershed plan addressing storm water and non-point
   source pollution. Coached community leaders on how to evaluate public input on watershed
   protection issues leading to more effective consensus building. Project highlight was use of
   cost-effective outreach beyond traditional public meetings to solicit input from community
   groups at all levels.
 Northeast Georgia Source Water Assessment Project, Northeast Georgia. Coordinated public
   involvement activities for a 16-county regional source water assessment project (SWAP)
   sponsored by the Northeast Georgia Regional Development Center. Developed a strategy
   for reaching opinion leaders across a broad and diverse study area, including working with
   business owners and groups who may be sensitive to issues raised by the assessment.
   Developed presentations for and assisted in conducting a series of Task Force meetings

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   across the region, managing and hosting public meetings, and developing a project website.
   Also brought community leaders together for a Regional Leaders Workshop.
 Water Program Management Support, Rockdale County (East Metropolitan Atlanta), Georgia.
   Managed monthly meetings with a 25-member citizen's advisory group formed to provide
   fiscal oversight to County elected officials during construction of County’s first water
   treatment plant. Also wrote scripts for local county-operated cable television program
   produced to provide project updates and water-related information to residents.
 Storm water Stewardship Classes, Douglasville-Douglas County Water and Sewer Authority,
   Douglasville, Georgia. Developed a training class for local citizens explaining all aspects of
   storm water, including the challenges created in addressing it and the costs to the local
   community. The class was developed in response to community concerns about the creation
   of a Storm water Utility and the fees being charged to churches and businesses. Each citizen
   who took the class could earn a credit toward reduction of the storm water fee for the church
   or business of their choice.
 Surface Water Management Utility/User Fee Development Project, Fulton County, Georgia.
   Worked closely with Fulton County staff and team of consultants to conduct public outreach
   for creation of a possible storm water utility. Responsible for facilitating a citizen advisory
   committee charged with assimilating information and providing direct input to shape policy on
   storm water management, including a possible utility and how it would be implemented. Also
   advised consultant team and Fulton County staff on overall public outreach approach related
   to the effort.
 Storm water Fee System Development, City of Cartersville Public Works Department,
   Cartersville, Georgia. Served as facilitator for 20+ member citizens committee tasked with
   evaluating options for funding storm water improvements across the City. The process
   involved meetings held regularly for several months to educate and inform the group, gather
   input about proposed options, and gain consensus on the best approach. A storm water
   utility was ultimately determined to be the preferred alternative.
 Statewide Storm water Management Plan, Tennessee Department of Transportation,
   Nashville, Tennessee. Developed and managed public outreach efforts for development of a
   statewide storm water management plan, one of the first in the country. The effort included
   facilitation of management and technical committees, planning and executing public meetings
   around the state to solicit input into the plan development, and overall strategic guidance on
   public outreach initiatives.
 Yellow River Water Reclamation Facility Modernization Project, Gwinnett County, Georgia.
   Developed and implemented a program to inform and involve residents living near the Yellow
   River WRF during a multi-year expansion and improvement project that involved major
   construction. The plant had been a controversial neighbor in the 80’s when odor complaints
   generated a lawsuit from adjacent homeowners. Program elements included neighborhood
   meetings, a project website, targeted outreach during milestone activities (tree cutting, etc.).
 No Business Creek Regional Pumping Station and Tunnel, Gwinnett County, Georgia.
   Worked with county staff to develop a comprehensive public education and outreach effort
   related to construction of a regional pumping station and a 13-foot-diameter wastewater
   conveyance tunnel approximately 6,000 feet long. Due to the complexity of the project and
   its unique nature, considerable work went into designing a program that would proactively
   address concerns and head off community opposition. Highlights of the effort include using
   county employees not involved in the project (customer service, human resources, etc.) to
   test the project messages and offer feedback on a presentation slated for use at a series of
   community meetings. Additionally, a solid granite model was designed to vividly illustrate to
   residents the depth and nature of the tunnel.
 Kenvilla Pump Station Phase-out, Gwinnett County, Georgia.      Guided county staff and
   contractor on strategy to involve community on a contentious pump station phase-out and

Utilities Practice                            112
   gravity sewer line installation project that had been previously put on hold due to local
   opposition. Tactics used included developing message points for project team, identifying
   stakeholders directly impacted by line, developing and distributing invitations to community
   meetings, coordinating meeting time and location, creating fact sheets and information
   stations outlining the project and its benefits, assisting with the meeting, and providing follow-
   up support. Communication efforts resulted in community acceptance and project initiation.
 Peachtree Pump Station #3 Phase-out, Gwinnett County, Georgia. Worked with county and
   subcontractor to engage public in selecting best route for installation of new sanitary sewer
   line in conjunction with the removal of a small pump station in an area where community
   opposition was anticipated. Efforts included working closely with county staff to create
   concise messages and successful meeting formats, creating fact sheets and information
   stations to explain process and benefits of phase-out, coordinating invitations, managing
   logistics, and providing follow-up support. Communication efforts resulted in a solid dialogue
   between County staff and residents, ending in a mutually-beneficial resolution.
 Sanitary Sewer Overflow Elimination Project, City of Columbus Division of Sewerage and
   Drainage, Columbus, Ohio. Assisted city staff, consultant team, and project management
   personnel in developing a plan to involve and educate residents on the issues surrounding an
   extensive assessment of the City’s infrastructure, primarily as related to CMOM. As part of
   this effort, planned for and facilitated a monthly meeting of stakeholders providing input in to
   study results and recommendations.
 Wastewater Treatment Plant Expansion and Force Main Construction, Spartanburg Water
   Systems/Sanitary Sewer District, Spartanburg, South Carolina.             Tailored a strategic
   communications effort around a wastewater treatment plant expansion project involving two
   plants and force main construction. Project is located in part in a sensitive community facing
   potential environmental justice issues, and in part in an upscale neighborhood. Effort
   included issues management, a Communications Plan, speaker’s bureau presentation and
   staff training, and media relations staff training.
 Big Creek Wastewater Treatment Plant Interim Improvements Study, Fulton County, Georgia.
   Assisted county staff, project management personnel and plant contractor with presentations
   aimed at neighborhood group concerned with plant odors. Developed message and
   presentation format.
 Camp Creek Wastewater Treatment Plant Permit Approval, Fulton County, Georgia.
   Developed and implemented a comprehensive communications effort supporting state
   regulatory approval of a permit request for expanded wastewater treatment capacity.
   Campaign resulted in issuance of the permit, following only one comment submitted to
   regulators. Effort targeted environmentalists, officials in surrounding jurisdictions, and other
   key stakeholders, and included information materials tailored to address each group’s
   specific concerns.
 Charlotte-Mecklenburg Utilities Industrial Waste Program Rate Structure Revision, Charlotte,
   North Carolina.      Developed and implemented a comprehensive communications effort
   targeting industrial waste program customers impacted by a rate restructuring. Included Fact
   Sheets tailored to each customer group, direct mailings, newsletter articles, and utility staff
   training on response to customer concerns.
 Media Training, Woodinville Water District, Woodinville, Washington.       Developed and
   performed training for all employees of a medium-sized water district in the Seattle area.
   Training was tailored to field and office employees, and to managers and senior staff.
   Training was also developed and performed for the District’s Board of Commissioners.
   Training included how to effectively handle media requests, and included taped “mock”
   interviews with participants to offer a hands-on perspective.
 Branding and Logo Development, Knox-Chapman Utility District, Knoxville, Tennessee.
   Oversaw development of a unique logo to brand the Utility District, a water service provider

Utilities Practice                             113
    surrounded by larger systems providing similar services. In discussions with the District’s
    leadership team, identified the key messages to be conveyed. Worked with senior graphic
    designer to select images relevant to the message, and provide options to the District. Final
    image was adopted as the Utility’s formal logo and brand.
 Media Training, Mount Pleasant Waterworks, Mount Pleasant, South Carolina. Developed
    and performed training for all employees of a medium-sized water district in the Charleston
    area. Training was tailored to field and office employees, and to managers and senior staff.
    Training was also developed and performed for the Waterworks’ Board of Commissioners.
    Training included how to effectively handle media requests, and included taped “mock”
    interviews with participants to offer a hands-on perspective.
 R&R Funding        Program Communications Management, Regional Water Authority,
    Asheville/Buncombe/Henderson, North Carolina. Developed a strategic communications
    effort around a larger program to support a major water infrastructure replacement and
    refurbishment project for a regional water authority impacting three large communities around
    Asheville, North Carolina. Effort included planning for and facilitation of a citizen’s focus
    group tasked with evaluating consultant recommendations and offering input.
 Employee Communications Support, Metropolitan Sewer District of Greater Cincinnati,
    Cincinnati, Ohio. Coordinated with utility management and consulting team to draft initial
    communications plan for informing and involving employees in larger effort to assess all
    aspects of utility operations. Drafted communication materials including Fact Sheet and
    Frequently Asked Questions.
 Reservoir Impoundment/Archeological Survey, Douglasville-Douglas County, Georgia.
    Managed the public involvement and media relations associated with the impoundment of a
    300-acre reservoir in an area where sensitive archeological remains were excavated.
    Coordinated with the Corps of Engineers, state regulators, Native American representatives,
    archeologists, and local residents for the most appropriate resolution to issues surrounding
    artifacts and data collection.
 Wastewater Treatment Plant Siting, Douglasville-Douglas County, Georgia.                 Formulated
    public involvement strategies for the siting of a wastewater treatment plant utilizing land
    application. Prepped management personnel for public meetings, crafted consistent
    message, initiated press releases and media responses, scheduled and conducted tours of
    similar facilities for concerned residents, and served as point of contact for citizen groups.
 Specialized Customer Service Programs, Douglasville-Douglas County, Georgia. Based on
    requests from customers for additional and more modern customer service options, worked
    with key staff to develop a credit card payment or bank draft payment option program, and
    also produced bill inserts to advertise the service. Developed a new customer brochure,
    explaining services, contact information, history of the agency, and other pertinent
    information for new customers.

Honors:

   2004 George Warren Fuller Award, presented by the American Water Works Association for
    distinguished service to the water supply field.
   2001 Alva T. Storey Award, presented by the Georgia Water and Pollution Control
    Association to recognize outstanding service and Association advancement.
   1999 President’s Award, presented by the president of the Georgia Water and Pollution
    Control Association to recognize outstanding leadership in the water and wastewater
    industry.




Utilities Practice                              114
   1997 William J. Greene Jr. Award, presented by the Georgia Section American Water Works
    Association for outstanding contributions to the water industry.

Memberships:

   American Water Works Association:
        o   2009 Incoming Director from Georgia to national AWWA
        o   2008 Annual Conference and Exposition Local Host Committee Chair
            Past Chair, Georgia Section AWWA
            National Public Affairs Council, former member
            1997 Annual Conference and Exposition Local Host Committee Chair
   Water Environment Federation:
        o   2000 Local Arrangements Committee Co-Chair
   Georgia Association of Water Professionals:
        o   Past President
            Board of Directors, former member
            Building Committee, former member
            Public Education Committee, Past Chair
            Customer Service Committee, Past Chair
            Scholarship Committee, Past Chair
            Water For People, Past Chair
            Publications Committee




Utilities Practice                           115
Name:             KEVIN K. ECKERT

Title:            President, Arbor Global

Education:        B.S. Forestry, West Virginia University, 1978
                  B.S. Recreation & Park Management, West Virginia University, 1978

Professional
Certifications:
                  International Society of Arboriculture Board Certified Master Arborist WE-1785BU
                  International Society of Arboriculture Certified Utility Specialist


Career Synopsis:
   Direct and conduct full technical, administrative and executive services for United States and
    Hong Kong corporations. These corporations provide arboriculture and vegetation management
    consulting, training and tree care services to electric utilities, government operations agencies,
    regulatory agencies, environmental organizations, corporate clients, and property owners and
    managers within Hawaii, the mainland United States, the Pacific Rim and Asia.

   Serve as Lead Lecturer for the University of Hawaii, Windward Community College lecture and
    labs in tree pruning, tree climbing, chain saw safety and field maintenance, tree felling and tree
    risk assessment and mitigation.

   Led the design and administration of measurably successful tree and vegetation management
    programs that provided cost-effective, environmentally sound and technically correct line
    clearance and access to facilities along cross-country rights-of-way.

   Design and conduct comprehensive program audits/assessments and recommendations for
    electric utilities, municipalities and tree management companies, including conduct of an audit of
    a major West Coast electric utility for the Public Utility Commission.

   Design and conduct work crew performance auditing programs;

   Preparation and conduct of professional arborist and tree worker education programs in all
    aspects of arboriculture based on the International Society of Arboriculture Certified Arborist and
    Certified Tree Worker programs and international industry standards and practices.

   Preparation and conduct of chain saw safety and field maintenance education program for
    government agencies, tree companies and Spanish-speaking tree workers.

   Design and conduct tree risk assessments, develop mitigation recommendations and conduct
    risk reduction measures;

   Conduct tree valuations based on the most current version of the Council of Tree and
    Landscape Appraisers Guide;

   Design tree protection plans and specifications for tree preservation during construction projects;

   Provide consultation and documented specifications for tree selection and establishment, and
    application of technical correct, effective tree care and maintenance based on international
    standards and practices;




Utilities Practice                               116
   Leadership and participation in the development of the ISA Certified Tree Worker – Aerial
    Specialist program and revised Western Chapter ISA Certified Tree Worker Exam;

   Preparation and conduct of Pesticide Certification/Re-Certification classes at request of State
    agencies in four New England States, California, and Hawaii;

   Preparation and presentation of informational and educational programs for numerous
    professional and civic organizations, corporate executives, and managers on topics including
    utility best management practices, work performance auditing, proper pruning practices, tree
    identification, right tree/right place programs, tree planting and care, integrated vegetation
    management, electrical safety, tree appraisal, tree risk assessment and tree diagnosis and
    treatment;

   Design and conduct of numerous research projects on integrated vegetation management
    methods, herbicide application and tree growth regulators;

   Preparation and presentation of expert testimony to legislative subcommittees, regulatory
    agencies, attorneys, and the courts;

   Tree climbing to conduct inspection, pruning, cabling and risk reduction measures.


Articles in Refereed Journals:

        Eckert, K. K. and P. Simpson. May 1994. “Assessing the Feasibility of Collaborative Utility-
        Municipal Tree Removal and Planting.” International Society of Arboriculture. Journal of
        Arboriculture. Volume 20, Number 3.

Recent Articles in Industry Publications (Previous 10 Years):
        Eckert, K. K. “Electrical Hazard Awareness and Avoidance for Tree Workers”
                International Society of Arboriculture. Proceedings of the ISA Annual
                Conference. Sydney, Australia. July 2011.

        Eckert, K. K. “Could Your Company Benefit From Effective Work Crews?” Transmission
                & Distribution World. Volume 57, Issue 6. June 2006.

        Eckert, K. K. “Proper Chain Saw Sharpening.” Tree Care Industry Magazine. Volume
                XVI, Number 4 – April 2005.

        Eckert, K. K. “Proper Tree and Vegetation Management Makes Major Differences.”
                Natural Gas & Electricity. Volume 21, Issue 5. November, 2004.

        Eckert, K. K. “Utility Tree and Vegetation Management (UVM): An Introduction and
                Description of Successful Programs.” EnergyPulse – www.energycentral.com.
                July 2004.

        Eckert, K. K. “Performance Audits: Effective, Objective Contract Crew Performance Field
                Audits Are Required to Ensure Cost-Effective Program Performance”
                Proceedings of the CBI Strategic Utility Vegetation Management Conference.
                Arlington, VA. June 2004.

        Eckert, K. K. “How to Successfully Prepare for the ISA Certification Exam.” Arborist
                News. International Society of Arboriculture. Spring 2004.



Utilities Practice                             117
       Eckert, K. K. “Utility Vegetation Management (UVM): How Does it Work and What Are the
                                                                    nd
               Procurement Challenges.” Proceedings of the CBI 2 Annual Strategic Supply
               Chain Management for Utilities Best Practices. Orlando, FL. January 2004.

   Books:
               Eckert, K. K. 2003. Chain Saw Safety and Field Maintenance – A Photo Guide.
               Hot Pixel Press/Arbor Global LLC. Kailua, HI.


   Expert Witness Testimony (Previous 10 Years):
   Case                                              Date    Activity       Trial
   Skiba vs.Asplundh Tree Expert Company et al       2011    Deposition     Pending

   Goshi, Setsuko (The Estate of) v. 1133 Waimanu    2011    Report         Settled

   Hanapi vs. Maui Electric                          2010    Report         Settled

   Hopewell v. Hong Kong Planning Board              2010    Report         Settled

   Atkins v. Naya                                    2010    Report         Settled

   Wallace v. Sandison                               2010    Report         Settled

   Carlton Place v. 965 Prospect Street              2010    Report         Settled

   Nakaza vs. Fujishigi et al                        2009    Research       Settled

   Barrett v. Dean                                   2008    Report         Pending

   Bolomet v. Mclean                                 2008    Research       Closed

   Kuhio Shores v. Williams Hawaii                   2008    Report         Settled

   Requelman vs. Hawaii DOT                          2008    Research       Dormant

   Sivarian v. Asplundh                              2007    Research       Dormant

   Lexington Insurance Co., et al v.

       Cleveland Electric, et al                     2007    Deposition     Settled

   Andrews v. Green Thumb et al                      2006    Research       Settled

   West Virginia Flood Litigation                    2006    Research       Dormant

   Mitchem v. Columbia Forest Products et al         2006    Review         Dormant

   Alderman v. Asplundh et al                        2006    Trial          Won

   WECI v. Davey Tree et al                          2005    Deposition     Settled

   Engle v. Nilasoni et al                           2005    Research       Settled

   Miyamoto v. Hawaiian Electric Company et al       2004    Deposition     Settled

Utilities Practice                             118
    Hemphill v. Florida Power and Light et al                2003     Deposition   Settled

    Rameriz v. Hawaiian Electric Company et al               2002     Deposition   Settled

    Illinois Power Company ICCC Petition                     2002     Testimony    Settled

    Hunt v. USA: Civil No. 99-00420                          2001     Testimony    Settled

Major Awards:
   Honorary Life Membership – Western Chapter - International Society of Arboriculture:
    Recognition of significant contributions to WCISA programs and professional arboriculture.

   Award of Merit - Western Chapter - International Society of Arboriculture: Highest award
    category of the Western Chapter recognizes outstanding, meritorious service in advancing
    the principles, ideals and practices of progressive arboriculture.

   Honorary Life Membership – International Society of Arboriculture: Recognition of significant
    contributions in support of annual conference.

   Utility Arborist Award - International Society of Arboriculture: Highest award category for the
    Utility Arborist Association recognizes significant contributions to utility arboriculture.

   Certificate of Appreciation - Edison Electric Institute Vegetation Management Task Force:
    Recognizes leadership role in the formulation and direction of this national industry policy and
    lobbying association.


Professional Memberships:

   International Society of Arboriculture: 1989 - present

       Director, Arborist Certification Board: 2011 - present

           Chair, Certified Tree Worker Subcommittee

       Arborist Certification Liaison Committee: 1998 – present

       Hawaii State Arborist Certification Liaison: 1996 - present

       Chair of Western Chapter ISA Arborist Certification Committee: 1998 - 2008

       Chair, 2007 Annual Conference Committee: 2005 - 2007

   Utility Arborists Association: 1989 - present

       President: 2002 - 2003

       Board of Directors: 2000 - 2004

   Kaulunani – Hawaii State Urban & Community Forestry Program: 1994 - present

       Chair: 1996 - 2010



Utilities Practice                                  119
   Aloha Arborists Association (Local Professional Association): 1994 - present

   Smart Trees Pacific: 1998 – present

       President: 1998 - present

   Friends of Honolulu Botanical Gardens: Board of Trustees: 2008 - 2011

   Green Hawaii Committee (Tree Preservation, Planting and Community Beautification Team):
    founding in 2000 - present

   The Outdoor Circle (Environmental Association): 1994 - present

   The Nature Conservancy (International Environmental Association): 1990 - present


Employment:

   Arbor Global/Arbor Global (HK) Ltd. (President & Managing Director): 2002 - present

   University of Hawaii, Windward Community College (Lecturer): 2008 - present

   Hawaiian Electric Company (System Forester): 1994 - 2002

   Eastern Utilities Associates (System Forester): 1989 - 1994

   New England Power Service Company (Right-of-Way Forester): 1982 - 1989

   Asplundh Environmental Services, Inc. (Now Environmental Consultants Inc.) (Project
    Manager/Field Supervisor-Data Collection Technician): 1980 - 1982

   Practicing Arborist (Supervisor/Climber): 1983 - present




Utilities Practice                              120
APPENDIX B
Cost Estimate
Jacobs has developed the following estimate of labor hours and travel expenses
anticipated to complete this engagement. Jacobs agrees to a not to exceed cost of
$495,913 for this assignment.

                                 Figure 6 - Estimated Labor Hours by Task


Task_Name                        Marano   DiPalma   Rafferty   Williams   Grant   Cole   Eckert   Tam   Carney   Total
Planning and Orientation           1         10        10         10        10     0       0       0      0        41
Kick-off Meeting PURA                        4         4           4        4                                      16
Kick-off Meeting CL&P                        4         4           4        4                                      16
Finalize scope                     1         2         2           2        2                                      9
Investigation and Fact Finding     2        156       164        164       164    104     68      12      0       834
Initial Data Request               1         4         4           4        4      2      2       4                25
Initial Interview Request          1         2         2           2        2      1      1       4                15
Initial Data Review                          32        32         32        32     24     24                      176
Interviews                                   96        96         96        96     60     24                      468
Additional Data Requests                     2         2           2        2      1      1        4               14
Additional Data Review                       20        28         28        28     16     16                      136
Procedural Analysis                0         96       160        156       180     88     40      64      0       784
Emergency Response Planning
and Preparedness                            40        40         40        40                                    160

Emergency Response Execution                40        64         64        64     40              40             312
Communications                                                   12        12     32                              56
Coordination                                16        16         16        24     16                              88
Mutual Assistance                                     16         16        16                     24              72
Vegetation Management                                 24         8         24             40                      96
Reporting                          32      120        80         80        80     32      40      48     72      584
Staff Meetings                              16        16         16        16                                     64
Progress Reporting                 8        40                                                           40       88
Prepare Draft report               16       40         40         40       40      24      24      24    16      264
Prepare Final Report               8        24         24         24       24      8       16      24    16      168
Total                              35      382        414        410      434     224     148     124    72      2243




Utilities Practice                                             121
                                       Figure 7 - Proposed Project Costs

Task_Name                          Marano    DiPalma   Rafferty   Williams     Grant      Cole    Eckert      Tam    Carney    Total
                            Rate    $240        $225     $210        $210      $210      $210      $210      $125      $75
Planning and Orientation             $240     $2,250    $2,100     $2,100     $2,100        $0        $0        $0       $0   $8,790
Kick-off Meeting PURA                  $0       $900      $840        $840      $840        $0        $0        $0       $0   $3,420
Kick-off Meeting CL&P                  $0       $900      $840        $840      $840        $0        $0        $0       $0   $3,420
Finalize scope                       $240       $450      $420        $420      $420        $0        $0        $0       $0   $1,950
Investigation and Fact Finding       $480    $35,100   $34,440    $34,440    $34,440   $21,840   $14,280    $1,500       $0 $176,520
Initial Data Request                 $240       $900      $840        $840      $840      $420      $420      $500       $0   $5,000
Initial Interview Request            $240       $450      $420        $420      $420      $210      $210      $500       $0   $2,870
Initial Data Review                    $0     $7,200    $6,720     $6,720     $6,720    $5,040    $5,040        $0       $0 $37,440
Interviews                             $0    $21,600   $20,160    $20,160    $20,160   $12,600    $5,040        $0       $0 $99,720
Additional Data Requests               $0       $450      $420        $420      $420      $210      $210      $500       $0   $2,630
Additional Data Review                 $0     $4,500    $5,880     $5,880     $5,880    $3,360    $3,360        $0       $0 $28,860
Procedural Analysis                    $0    $21,600   $33,600    $32,760    $37,800   $18,480    $8,400    $8,000       $0 $160,640
Emergency Response Planning
and Preparedness                       $0     $9,000    $8,400     $8,400     $8,400       $0        $0        $0       $0   $34,200

Emergency Response Execution            $0    $9,000   $13,440    $13,440    $13,440    $8,400        $0    $5,000       $0 $62,720
Communications                          $0        $0        $0     $2,520     $2,520    $6,720        $0        $0       $0 $11,760
Coordination                            $0    $3,600    $3,360     $3,360     $5,040    $3,360        $0        $0       $0 $18,720
Mutual Assistance                       $0        $0    $3,360     $3,360     $3,360        $0        $0    $3,000       $0 $13,080
Vegetation Management                   $0        $0    $5,040     $1,680     $5,040        $0    $8,400        $0       $0 $20,160
Reporting                           $7,680   $27,000   $16,800    $16,800    $16,800    $6,720    $8,400    $6,000   $5,400 $111,600
Staff Meetings                          $0    $3,600    $3,360     $3,360     $3,360        $0        $0        $0       $0 $13,680
Progress Reporting                  $1,920    $9,000        $0         $0         $0        $0        $0        $0   $3,000 $13,920
Prepare Draft report                $3,840    $9,000    $8,400     $8,400     $8,400    $5,040    $5,040    $3,000   $1,200 $52,320
Prepare Final Report                $1,920    $5,400    $5,040     $5,040     $5,040    $1,680    $3,360    $3,000   $1,200 $31,680
Total Fees                          $8,400   $85,950   $86,940    $86,100    $91,140   $47,040   $31,080   $15,500   $5,400 $457,550
Expenses                            $2,530    $8,690    $7,618     $7,618     $8,388    $3,520        $0        $0       $0 $38,363
Total                              $10,930   $94,640   $94,558    $93,718    $99,528   $50,560   $31,080   $15,500   $5,400 $495,913




Utilities Practice                                                122
Reimbursement Schedule
For hearing or testimony-related activities, Jacobs will charge the following discounted
hourly rates for the consultants requested.

                               Jacobs Consultancy Inc.
                              Competitive Fee Schedule
                                     For PURA

                                                          Hourly Fees
                 Professional Category
                                                            (US $)
                 Managing Director                            300
                 Director                                     275
                 Group Manager                                225
                 Senior Consultant                            200
                 Consultant                                   150
                 Analyst                                      125
                 Administrative Support                        75



      In addition to the fees listed above, direct expenses (travel, living,
       communications, delivery service, postage, reproduction, online data
       services, research material, laboratory testing, etc.) will be invoiced at
       cost;

      All fees are net of taxes, which shall be the sole responsibility of the
       client. Payments are to be made in U.S. Dollars to a U.S. bank with no
       withholding of any kind;

      Clients are invoiced once per month for work during the previous
       month. Payment is due upon receipt of invoice. A 1.5 percent finance
       charge is applied each month to all invoices 30 days past due; and

      Jacobs Consultancy reserves the right to revise fees without notice.




Utilities Practice                         123
APPENDIX C
               Jacobs Consultancy Inc. Terms & Conditions

                                    Jacobs Consultancy Inc.
                                    Form 500-C March 2008

The proposal to which this document is attached is subject to the following terms and
conditions, together with all documents referenced therein or attached thereto hereinafter
referred to as the “Agreement”:

1.        Warranty of Services. We warrant that our services will be performed in accordance
with generally accepted standards in the industry for a one (1) year period after completion. We
make no other warranties or guarantees, express, implied, statutory or otherwise. Warranties of
merchantability and fitness for the particular purpose are specifically excluded. If any of our
services are found to be deficient within the one-year period following their completion, we will
provide the additional services (within the scope of the original services provided) necessary to
correct the deficiency at no cost to you, provided that we are advised of such deficiency in a
timely manner within such one-year period. Our services will be deemed completed when we
deliver our Work Product (defined below). This provision of additional services constitutes our
sole liability and is your exclusive remedy with respect to any deficient services; and we shall
have no liability for costs related to repair, replacement, addition or deletion of equipment or
facilities, regardless of cause, including the fault, breach of contract, tort (including concurrent or
sole and exclusive negligence), strict liability or otherwise.

2.       Mutual Indemnity. We agree to defend, indemnify and hold you harmless from claims
by third parties for personal injury (including our employees) to the extent caused by our
negligence, violation of law, or willful misconduct while in your offices or on property which you
own or which is under your control. The reports, studies, opinions, analyses, evaluations,
recommendations, sketches, calculations, deliverables, or other services (Work Product)
furnished under or related to this Agreement are for your sole use and benefit. There are no
intended third party beneficiaries. We agree to defend and indemnify you from claims that the
Work Product violates the patent rights, copyrights, or other intellectual property rights of any third
party. As consideration for our providing the Work Product, you agree to defend, indemnify, and
hold us harmless from claims by third parties for personal injury (including death), property
damage, fines, penalties or other liabilities arising from or related to the Work Product including
claims based on failure to discover, detect, or warn you, government agencies, or the public of
any danger, hazard, or unsafe condition. For third party claims against you arising from or related
to the Work Product, you hereby waive claims against, and covenant not to sue us for indemnity,
contribution or subrogation. This contractual indemnity shall apply regardless of whether the
indemnitor is a party to the action or a non-party; and regardless of the indemnitor’s immunity
from suit, whether granted by statute or other law, by judgment or via a release of liability
obtained from the third-party; and regardless of whether the rules of liability under any applicable
law or regulation allocate liability differently than as agreed to herein.

3.       Limitation on Liability. You agree that our total liability (per occurrence and in the
aggregate) to you arising out of or related to our services shall not exceed 25% of the monies
actually paid to us under or pursuant to this Agreement, regardless of whether the loss or
damage is a result of breach of contract, warranty, tort (including negligence), strict liability or
otherwise. We agree to waive and release each other from all liability, claims, demands, and
causes of action for contingent, consequential, and other indirect damages, including but not
limited to: loss of revenue or profit, loss of use, loss of product, operating costs or business
interruption losses, or other similar damages (whether such damages are characterized as direct


Utilities Practice                               124
or indirect), and regardless of cause, including breach of contract, tort (including sole or
concurrent negligence), strict liability or otherwise.

4.       Intellectual Property Rights. All original works prepared by us under this Agreement,
including copyrightable material, shall become your sole and exclusive property when delivered,
provided that our Work Product is not intended for publication, promotion, or advertisement, and
is not to be relied upon by third parties including financial institutions or investors, or the public,
for any purpose whatsoever, and any use, publication, or promotion of our Work Product or
disclosure to third parties, or the public, shall be at your sole risk and liability. We agree to
execute all documents and to take all steps requested by you to perfect your ownership rights.
We retain intellectual property rights in all pre-existing documents, data, software, and other
intellectual property which may be used or relied upon in preparing the original works delivered
under this Agreement. This is not a software development agreement, and you will not acquire
any right or interest in any computer software. When the Work Product is a report or study, we
will provide one copy as part of the quoted fee. Any additional copies will be furnished at our
standard rates.

5.        Confidentiality. We agree that any information or data furnished by you and marked or
stamped as proprietary shall be safeguarded and maintained in confidence, and made available
only to our employees, agents, and sub-consultants, who have a need-to-know. Any report,
study, analysis, correspondence or other Work Product prepared by us based on your
confidential information shall be safeguarded the same as the original confidential information.
We agree not to use your confidential information other than to perform our services under this
Agreement. The above obligations shall terminate five (5) years from date of completion of our
services or termination of this Agreement. The above obligations shall not apply to any
information or data which (1) was known to us prior to disclosure by you; (2) is subsequently
acquired by us from a third party who is not under an obligation of confidentiality to you; (3) is
developed independently by us without reference to or reliance upon your confidential
information; (4) is or becomes available to the public; or (5) is required to be disclosed by
operation of law. We agree to promptly return all of your confidential information including all
copies upon completion of our services, or earlier upon request, provided that we may retain one
complete copy for our records. Nothing in this clause shall preclude or restrict us from using or
utilizing the experience, know-how, or expertise gained while working for you.

6.       Delays. We will be excused from any delays in performing our services to the extent
such delay is caused by occurrences beyond our reasonable control, including but not limited to,
acts of God or the public enemy; compliance with any order or request of any governmental
authority; fires, floods, explosion, accidents; riots, or strikes; or any causes, whether or not of the
same class or kind as those specifically named above, which are not within our reasonable
control. If a force majeure event occurs, we shall be entitled to reasonable cost and schedule
relief.

7.      Change Management. Changes to the services requested by you will be subject to
mutual agreement and reasonable adjustment in the compensation and schedule.

8.      Received Data. In preparing our Work Product we shall have the right to rely upon the
accuracy and completeness of any information or data we receive from you either directly or
through your agents, employees or contractors.

9.       Choice of Law. This agreement shall be interpreted and governed in all respects by the
laws of the State of Texas, regardless of its conflicts of laws principles.

10.      Choice of Forum. Disputes that are not resolved through settlement discussions
between our two companies, shall be resolved by recourse to any U.S. Federal or State court of
competent jurisdiction, provided that if you are not domiciled in the United States, or the matter
giving rise to the dispute occurred outside the United States, then as an alternative you may elect

Utilities Practice                               125
binding Arbitration under the Rules of Conciliation and Arbitration of the International Chamber of
Commerce by one or more arbitrators appointed in accordance with said Rules. The place of the
arbitration and all related proceedings shall be London, England or other neutral country
acceptable to both of us. All proceedings shall be conducted in English. Arbitrator costs and
fees, administrative expenses, and other charges imposed by the ICC shall be shared equally.
For disputes outside of the United States, the International Court of Arbitration of the International
Chamber of Commerce shall be the exclusive forum for dispute resolution. You agree not to
initiate litigation or dispute resolution proceedings in any other court, forum, or venue.

11.     Export Control. The U.S. Government prohibits U.S. companies or their subsidiaries
from exporting, re-export, or transshipping information, services, or technology to certain
embargoed or sanctioned countries. You agree not to export, re-export, or transship any of the
Work Product provided by us, to any embargoed or sanctioned country, or alternatively to obtain
all necessary approvals and licenses from the U.S. Government for such export, re-export or
transshipment.

12.      Payment and Taxes. All payments shall be due, and paid in full by you immediately
upon invoice. Past due invoices shall bear interest at a rate of 1½ % per month. We may,
without liability of any kind, stop work in the event any payment becomes past due. All payments
shall be made free and clear of, and without reduction for or on account of, any present or future
income taxes, value added taxes (VAT), stamp, consumption, or other taxes, levies, imports,
duties, charges, fees, deductions, withholdings, restrictions or conditions of any nature
whatsoever now or hereafter imposed, levied, collected, withheld or assessed by any
governmental entity or authority other than the Government of the United States, or a State or
local government within the United States. To the extent any tax or withholding is imposed by a
governmental entity or authority other than the Government of the United States, or a State or
local government within the United States, you agree to adjust our payments such that the net
amount actually paid equals to the prices stated in our proposal.

13.      Cancellation. Both you and we shall have the right to cancel this Agreement at any time
with ten (10) days’ prior written notice to the other and without liability except for your obligation to
pay for services rendered prior to the time of cancellation, plus termination costs such as travel or
returning or destroying documents.

14.     Severability. If any provision in this Agreement is held to be unenforceable or invalid by
a court of competent jurisdiction, the parties agree to negotiate a Connecticut Natural Gas
adjustment to such provision with a view toward retaining the purpose of the provision. In any
event the validity and enforceability of the remaining provisions shall not be affected.

15.       Notice. We shall be permitted to attach the following statement to all Work Product.

      DISCLAIMER

      “This document, and the opinions, analysis, evaluations, or recommendations contained
      herein are for the sole use and benefit of the contracting parties. There are no intended third
      party beneficiaries, and Jacobs Engineering Group Inc., (and its affiliates) shall have no
      liability whatsoever to third parties for any defect, deficiency, error, omission in any statement
      contained in or in any way related to this document or the services provided.

Neither the Work Product nor any information contained therein or otherwise supplied by Jacobs
Consultancy Inc. in connection with the study and the Services released by shall be used in
connection with any proxy, proxy statement, proxy soliciting materials, prospectus, Securities
Registration Statement or similar document without the express written consent of Jacobs
Consultancy Inc."




Utilities Practice                                126
16.      Entire Agreement. Services furnished or provided pursuant to this Agreement, including
services deemed to be outside the scope of this Agreement, such as services performed prior to
the effective date hereof, or performed on a voluntary basis, shall be deemed to have been
performed under this Agreement. This Agreement constitutes the entire agreement between the
parties relating to the services, and supersedes any previous agreement or understandings.
Printed terms and conditions contained in purchase orders issued to us by you with respect to the
services shall be of no force and effect and shall be superseded by the terms and conditions of
this Agreement.




Utilities Practice                            127
APPENDIX D
             Recommendations from 2010 Outage Report3




3
  “Investigation of the Service Response and Communications of The Connecticut Light and
Power Company Following the Outages from the Severe Weather over the Period of March 12
through March 14, 2010”, dated October 26, 2010.

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APPENDIX E
                               Initial Data Request
   Data                                  Data Request Description
  Request
  Number
                                              General and Strategic
             Provide list of CL&P’s office locations including; headquarters, service centers,
     1
             control centers, call centers.
     2       Provide all financial reports for past five years (2006-2011)
     3       Provide most recent Strategic Plan for CL&P.
             Provide list and description of major Distribution organizational changes in the
     4
             since 1/1/2006.
     5       CL&P Staffing by function and department for last five years (2006-2011)
     6       Internal self-assessment reports for the T&D Section
     7       Provide Service territory map showing major facilities.
             Copy of the strategic Emergency Restoration Plan (ERP) in effect during the
     8
             summer-fall of 2011
      9      Copy of all the tactical ERP in effect during the summer-fall of 2011
     10      Copy of any proposed ERP changes
     11      Description of the ERP change process
     12      Copy of mutual assistance agreements in effect in 2011
     13      Copy of line and tree crew contractor contracts in effect in 2011
     14      Copy of the ERP call list
     15      Description of the callout list change process
     16      Copy of the emergency circuit list
     17      Description of the emergency circuit policy and determination process
     18      ERP organizational structure
     19      Copy of ERP job descriptions and duties
                       Pre-Storm Activity (for Tropical Storm Irene and Storm Alfred)
     20      Date and time Emergency Operations Center (EOC) opened
     21      List of all activities performed prior to event starting
             List of all calls to mutual assistance and contractor companies including date and
     22
             time with results
     23      Weather service(s) used
             Weather forecast and actual weather from before the storms through the end of
     24
             the storms
     25      Description of managements storm related actions with date and time
     26      Company Actions within 24 hours of the event arrival
     27      Number of staff mobilized or placed on call
                  During Storm Activities (for Tropical Storm Irene and Storm Alfred)
     28      Outages and customers interrupted and restored by hour by location
             Texts of messages provided to different areas at different times, plus any special
     29
             scripts used by CSRs or the IVR
     30      Call center and interactive voice response unit volumes and staffing/capacity
     31      Copy of operations ER dashboard for each hour of the event
     32      Copy of threat assessment corresponding to dashboard updates

Utilities Practice                          129
   Data                                   Data Request Description
  Request
  Number
    33       EOC actions during the event – Copy of EOC log
     34      Role and actions of executive management during event
     35      Activities log for wire down calls
     36      Log of activities by Supply Chain
     37      Log of activities by service center
     38      Log of activities by media services
     39      Log of activities by transportation
     40      Log of activities by I/T
                  Storm End to T= 8 Hours (for Tropical Storm Irene and Storm Alfred)
     41      List of detailed action by the EOC as reflected in the EOC log
     42      Hour by hour updates to operations ER dashboard
     43      List of actions by Executive management
     44      Initial damage assessment or SCAN process
     45      Results of initial damage assessment
     46      Who conducted initial damage assessment
     47      ICC decisions taken during this period from log or notes
     48      Initial media releases with date and time
     49      Communication logs with state and local emergency and public safety agencies
                      T=9 Hours to end (for Tropical Storm Irene and Storm Alfred)
     50      Staging site activity
     51      Staging sites opened and reasons
     52      Copy of all Dashboard updates
     53      Logs of all foreign crew arrivals and departures from CL&P
     54      Logs of arriving contractors and mutual assistance crews
     55      Copy of ICC decision logs
     56      Copies of media releases
     57      Copy of strategic decisions regarding crew movement
     58      Clearance management process
     59      Logistics management process and results
     60      Supply chain spend by date
     61      Description of tactical crew management
     62      Copy of all state and local communications logs by date
     63      Detailed damage assessment process description
     64      Results of detailed damage assessments
     65      Process for crew performance monitoring
                  Post Restoration Activity (for Tropical Storm Irene and Storm Alfred)
     66      Describe post activities



Utilities Practice                            130
   Data                                   Data Request Description
  Request
  Number
    67       Copies of all post mortems for both storms
     68      Demobilization actions
     69      Restoration progress by day with crew complement
     70      List of any ERP changes identified
     71      Description of any outreach to state and local agencies for future events
     72      List and outline for all ERP training programs
     73      Schedule for 2011 training programs
     74      Copy of attendance sheets for 2011 training programs
     75      Process to determine training comprehension
     76      2011 Drill schedule
     77      2011 Drill results
     78      Witt Associates Report, dated December 1, 2011 (we already have from web)
     79      CL&P Storm Panel presentation, meeting agendas and meeting notes
             June 2011 DPUC 2011 Annual Report to the General Assembly on Electric
     80
             Distribution Company System Reliability
     81      Various documents reviewed by Witt as show in appendix XX
     82      Copies of Witt Associates interview notes (as listed Appendix B of the Witt report)
                                  Asset Management / Vegetation Management
             Provide a narrative that describes the asset management strategy and process for
     83
             electric properties.
     84      Provide a description of the asset management Life Cycle Models (LCM).
             How has asset management strategy been communicated throughout the T&D
     85
             Section?
     86      Provide three years (2008-2010) of electric asset management plans and results.
             Provide a narrative that describes CL&P’s policy, plan and process for electric
     87
             system knowledge management.
     88      Provide 10 years (2001-2011) of tree trimming budgets Actuals for CL&P
     89      Provide 10 years (2001-2011) of vegetation management budget/actuals
             Describe NU’s and CL&P’s Tree Trimming and vegetation management policy
     90
             and process
     91      Provide a narrative of tree trimming and vegetation management progress
             Provide vegetation management spend by vendor for the last three years (2008-
     92
             2011)
             Detailed activities in vegetation management for the last four years, including:
     93      regular trimming, enhanced trim (including removal of trouble-prone limbs and
             trees), mowing, spraying, and removal, and hot-spotting.
     94      Describe CL&P’s pole inspection/treatment program
             Provide 10 years (2001-2011) of pole inspection/treatment budgets/actuals for
     95
             CL&P
             Detailed schedules of 2010 and the previous four years inspection and
     96      maintenance planned and completed on transmission, substation, and distribution
             facilities.


Utilities Practice                           131
   Data                                 Data Request Description
  Request
  Number
                                    Capital / O&M Budgeting/Actuals
             Provide five years (2006-2010) history of annual capital budgets w/assumptions (in
     97
             Excel).
             Provide five years (2006-2010) history of annual O&M budgets w/assumptions (in
     98
             Excel).
             Provide five years (2006-2010) history annual capital actuals w/ variance &
     99
             description (in Excel).
             Provide five years (2006-2010) history annual O&M actuals w/ variance &
    100
             description (in Excel).
             Provide a narrative that describes the capital budgeting variance management
    101
             process.
             Provide a three year (2008-2010) history of capital budgeting variance driven
    102
             corrective actions.
                                                   Staffing
             Provide a list of all employees, titles, whether union or non-union and their
    103
             assignments during the storm restoration. If absent, note reason.
             Provide copies of current union contract and identify any provisions that limit
             management’s rights for length of shift assignments, overtime, use of contractors,
    104
             assignments outside normal duties and anything that restricts work or crew sizes in
             an emergency.
             Describe any other written or verbal procedures that limits staffing assignments to
    105      and/or hours of work during this or previous storm. Were there any new restriction
             put in place during this storm.
             Were there any overtime restrictions in place for these storms? If so, please
    106
             describe what, for whom, and if it was a change over past practice.
    107      Provide any union correspondence relative to storm related work




Utilities Practice                          132
                              Initial Interview Request

Functional Area                     Level                       Interview Topics
Executive                       CL&P and NU           SWOT discussion
                                  President
Electric Technical                   VP               High level overview of: emergency
Services                                              response, planning, forecasting, standards,
                                                      engineering and budgeting, vegetation
                                                      management
Maintenance Engineering             Director          Maintenance          programs,     including:
                                                      substation,        scheduling,    inspection
                                                      programs, budgeting and database,
                                                      vegetation management
T&D System                   Manager Engineering      Emergency response, reliability and
                                                      maintenance
Distribution Engineering           Manager            Distribution standards, planning, system
                                                      design, circuit capacity
Operations                            VP              High-level overview of: service centers,
                                                      emergency          response,     distribution
                                                      construction,       inspections,   workforce
                                                      planning and budgeting
Emergency Operations                                  Emergency operations Centers, event
Organization                                          escalation, communications and notification
                                                      process.       Actual operation during the
                                                      subject storms.
T&D Operations                      Director          Communications          center,  distribution
                                                      construction process, namely betterments,
                                                      and storm restoration
Service Areas                Distribution Engineers   Distribution forecasting and planning,
                               Line Supervisors       budgeting, line crews, system performance,
                                                      operations and maintenance for lines and
                                                      substations.
Service Areas                 Various bargaining      Storm        operations,     communications,
                              unit personnel and      emergency preparedness, and asset
                              Union Management        conditions
Call Center                        Manager            Review of call center operations under
                                                      normal       and     emergency    conditions
                                                      workforce planning
Corporate                    VP, Director, Manager    Organization, Communication Plans &
Communications                                        Activities, including interface with local
                                                      police, fire, FEMA and other agencies
Human Resources                     Director          Organization, labor relations, overtime,
                                                      training and sourcing, workforce planning
Materials                            Director         Emergency materials and equipment
Executive Role               CL&P EVP for             Roles and responsibilities
                             restoration (new
                             position)
Outside (future interview)   CT DEMHS                 Interface and communications
Outside (future interview)   CT OPM (State-wide       Interface and communications
                             EAP)
Outside (future interview)   Municipalities           Interface and communications



Utilities Practice                             133

				
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