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Department of Energy Smart Grid Data Access GrantMasterpiece on the Mississippi TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: Submission of DOE Smart Grid Data Access Grant DATE: March 9, 2012 Dubuque bierd All-America City 1 2007 Sustainable Community Coordinator Cori Burbach is requesting approval of the application to the Department of Energy Smart Grid Data Access program in the amount of $500,000. The Smart Grid Data Access Grant is a highly competitive grant program administered by the Department of Energy with the goal of empowering residential consumers to better manage their electricity use by enabling access to consumption data by residential customers and their authorized third parties, and providing or supporting the use of third -party tools and software products that utilize the available data to deliver a value -added service to the customer. The grant objectives closely mirror the objectives set by the Smarter Electricity partnership with IBM as part of the Smarter Sustainable Dubuque project. The objective of Phase I of the program, which the City is applying for, is to support utilities and communities that wish to begin to explore the value of empowering end -use residential consumers with products and services that hinge upon access to electricity consumption data by residential customers. The objective of Phase II, which is accessible to communities who receive funding and implement Phase I, is to adopt the data access pilot demonstrated across an entire service territory, region or community within the jurisdiction of the applicant's utility partner. The $500,000 requested would be used in the following way over a one -year time frame: • $60,000 in salary and benefits for the Sustainable Community Coordinator and Smarter Sustainable Dubuque Helpdesk position, • $45,000 in supplies to support outreach efforts (mailings, printings, meeting spaces, surveys, etc), • $310,000 to IBM for Smarter Electricity portal services, • $30,000 in technology costs for providing intermediary data services to other communities to link to IBM's system, • $25,000 for engagement incentives and rewards, and • $30,000 for the development and testing of alternative communication strategies for customer data and interaction, including mobile devices, instant messaging, social media and on -line communications. $500,000 in in -kind match is provided by the City of Dubuque, IBM, Algona Municipal Utilities, Cedar Falls Utilities and the Iowa Association of Municipal Utilities. I concur with the recommendation and respectfully request Mayor and City Council approval. Michael C. Van Milligan MCVM:sv Attachment cc: Barry Lindahl, City Attorney Cindy Steinhauser, Assistant City Manager Cori Burbach, Sustainable Community Coordinator 2 Masterpiece on the Mississippi TO Michael Van Milligen, City Manager FROM Cori Burbach, Sustainable Community Coordinator DATE March 1, 2012 SUBJECT Submission of DOE Smart Grid Data Access Grant Dubuque had NI- America City 'I 1 1 I' 2007 INTROD UCTION The purpose of this memo is to request Council approval of the attached City of Dubuque application to the Department of Energy Smart Grid Data Access program in the amount of $500000 BACKGROUND The Smart Grid Data Access Grant is a highly competitwe grant program administered by the Department of Energy with the goal of empowering residential consumers to better manage their electricity use by enabling access to consumption data by residential customers and their authorized third parties, and providing or supporting the use of third -party tools and software products that utilize the available data to deliver a value -added service to the customer The grant objectives closely mirror the objectives set by the Smarter Electricity partnership with IBM as part of the Smarter Sustainable Dubuque project The objective of Phase I of the program, which the City is applying for, is to support utilities and communities that wish to begin to explore the value of empowering end -use residential consumers with products and services that hinge upon access to electricity consumption data by residential customers The objective of Phase II, which is accessible to communities who receive funding and implement Phase I, is to adopt the data access pilot demonstrated across an entire service territory, region or community within the jurisdiction of the applicant's utility partner DISCUSSION The City of Dubuque is partnering with Alliant Energy, Algona Municipal Utilities, Cedar Falls Utilities, the Iowa Association of Municipal Utilities (IAMU), and IBM on this Smarter Electricity Iowa project to pilot and test how Smart Grid- enabled technologies can help consumers to better monitor their electric energy consumption and make more informed choices about the energy they are using At the heart of the application is Dubuque's Smarter Electricity pilot, which has 1 000 meters installed in volunteer residences Due to moving, desire to leave the pilot, and other reasons, the Smarter Electricity pilot has less than 1,000 active households Because of Alliant's current plans for deployment of smart meters, it was necessary to reach out to other communities that were pursuing similar goals in terms of smart meters and customer access to data Municipally -owned utilities in Algona and Cedar Falls currently have plans to instalAMl smart electric meters By partnering with these two communities, IBM and Dubuque will be able to transfer lessons learned from the Smarter Electricity pilot and determine the replicability of these tools in other communities The communities will also partner with the Iowa Association of Municipal Utilities to to disseminate information on the project to its statewide members If successful in Phase I, the partnership would to expand the adoption of smart meters and use of the portal in three subphases • First, to municipally -owned utilities, due to their physical and political control of thesystems, making it easier for early adoption, • Next, to rural electric cooperatives, as the value of smart meters and complementaryonline tools is proven to the membership, • Finally, to investor -owned utilities, providing that the data can demonstrate the financialbasis for smart meter expansion The $500000 requested would be used in the following way over a one -year time frame • $60,000 in salary and benefits for the Sustainable Community Coordinator and Smarter Sustainable Dubuque Helpdesk position, • $45,000 in supplies to support outreach efforts (mailings, printings, meeting spaces, surveys, etc), • $310,000 to IBM for Smarter Electricity portal services, • $30,000 in technology costs for providing intermediary data services to other communities to link to IBM's system, • $25,000 for engagement incentives and rewards, and • $30,000 for the development and testing of alternative communication strategies for customer data and interaction, including mobile devices, instant messaging, social media and on -line communications $500,000 in in -kind match is provided by the City of Dubuque, IBM, Algona Municipal Utilities, Cedar Falls Utilities and the Iowa Association of Municipal Utilities ACTION TO BE TAKEN I respectfully request Council approval of the submission of the Smarter Electricity Iowa application to the DOE Smart Grid Data Access grant program in the amount of $500,000 cc David Lyons, Smarter Sustainable Dubuque Project Manager Teri Goodmann, Assistant City Manager SMARTER ELECTRICITY IOWA niZal .1.11,121r1" -- 51306458 a;;<: 1111111110.10 1111.89181111111 iFTR TYPE iSA2 sinus 1tll'.IIIIIIIIItiUll 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IIr mm UJ a.l.t a.u.a u.n...t .a.. u.. n - u..... o J•■ a :r , l s :D. 56eeea '' x'J.PD4 <n; 1 ^Y.1e 1 kn • Maul Application to U.S. Department of Energy Smart Grid Data Access Grant Funding Opportunity Number: DE- FGA - 0000579 Submitted: March 1, 2012 A Partnership of THE CITY OF ) A L L I A N T Dus E ENERGY Masterpiece on the Mississippi :F'.UAR FALLS Ups The Power ofscmce TABLE OF CONTENTS PROJECT OBJECTIVES 3 MERIT REVIEW CRITERION DISCUSSION 4 Quality of Approach (Criterion 1) 4 Potential Impact (Criterion 2) 10 Project Team Capabilities (Criterion 3) 12 RELEVANCE AND OUTCOMES /IMPACTS 14 ROLE OF PARTICIPANTS 15 MULTIPLE PRINCIPAL INVESTIGATORS 15 FACILITIES AND OTHER RESOURCES 15 EQUIPMENT 15 STATEMENT OF PROJECT OBJECTIVES (SOPO) 15 Objectives 15 Scope of Work 16 Tasks to Be Performed 16 Deliverables 20 Briefings 20 THIRD PARTIES CONTRIBUTING TO COST SHARING 20 APPENDICES 1. Community Survey 2. Authorization Form 3. Third Parties Contributing to Cost Sharing 2 The City of Dubuque is partnering with Alliant Energy, Algona Municipal Utilities, Cedar Falls Utilities, the Iowa Association of Municipal Utilities (IAMU) and IBM on this Smarter Electricity Iowa project to pilot and test how Smart Grid- enabled technologies can help consumers to better monitor their electric energy consumption and make more informed choices about the energy they are using. This project builds upon Dubuque's Smarter Water project, which uses smart water meters and other online technologies to help residents understand their consumption of water, and which has already reduced water consumption by 6.6 percent. Minnaasta LD MIME EME/11k mimmum111111 staminvommarlff immolmimmom Wisconsin 6uque • Nebraska Missouri Illinois Figure 1 Participating Communities PROJECT OBJECTIVES The objectives of the overall Smarter Electricity Iowa project are to: • Dramatically reduce household energy consumption; • Shift customer peak demand to periods of lower overall system demand, decreasing the need for peak load production; and • Create economic (e.g., new jobs and markets), environmental and social benefits in communities that adopt Smart Grid- enabled technologies. The specific objectives of Phase I of the project are to: • Provide residential customers with useful information through Smart Grid- enabled tools to help them to better manage their electricity consumption; • Offer customers a range of technology opportunities and user interfaces (e.g., web, smart phones) to monitor their energy data; • Identify outreach messages and communication tools that effectively persuade customers to become engaged in efforts to reduce electricity consumption; • Determine the types of incentives and rewards that keep customers engaged; • Develop enriched information and insights that meets the needs of diverse groups; and • Demonstrate the feasibility of these Smart Grid- enabled approaches in investor -owned utilities, and municipally -owned utilities and rural cooperatives. The specific objectives of Phase II of the project are to: • Identify a city to roll out the tested Smart Grid - enabled tools community -wide; and • Work to expand the adoption of smart meters and use of the portal in three distinct subphases: o First, to municipally -owned utilities, due to their physical and political control of the systems, making it easier for early adoption; 3 o Next, to rural electric cooperatives, as the value of smart meters and complementary online tools is proven to the membership; and o Finally, to investor -owned utilities, providing that the data can demonstrate the financial basis for smart meter expansion. This project supports and is complementary of the Smart Grid standards work of the National Institute of Standards and Technology (NIST). As identified in the NIST Framework and Roadmap for Smart Grid Interoperability Standards, Release 2.0, there is an urgent need to establish Smart Grid standards and protocols to ensure that the many elements of the Smart Grid work together seamlessly. Dubuque's key utility partners have been actively engaged in this Smart Grid standards development process; for example, Alliant Energy is a member of the NIST Smart Grid Interoperability Panel and has been part of the development of NIST's standards. NIST's specific Smart Grid standards related to demand response and consumer energy efficiency, network communications, advanced metering infrastructure (AMI), and cybersecurity are particularly relevant to this project. The team will align its work with these existing NIST standards, and be responsive to standards currently under development that intersect with the project. In particular Alliant Energy has supported development of a "Modular Communications Interface" through its membership in the U -SNAP Alliance, and in the EPRI IntelliGrid Program that resulted in a reference standard being submitted to MST, and then referred to the Consumer Electronics Association for potential adoption. Also, Alliant Energy's smart meter technology provider, Sensus, has been an industry leader in development of security methods and capabilities consistent with best practices identified through NIST Cyber Security Working Group efforts. MERIT REVIEW CRITERION DISCUSSION Quality of Approach (Criterion 1) The City of Dubuque has a population of 57,637 and 25,029 housing units. Dubuque's electricity needs are served by Alliant Energy, an investor -owned energy utility that provides electric and natural gas services to more than 1.4 million customers in Iowa, Wisconsin and Minnesota. In 2010, Dubuque launched its Smarter Electricity pilot study with partners Alliant Energy and IBM. Funded by a grant from the Iowa Office of Energy Independence, the project is providing a subset of Dubuque residents with the information and tools they need to make smarter energy choices and reduce their costs and environmental impact. Dubuque reached out to and identified 1,000 volunteer households to participate in the study. New AMI meters were installed at these households, and volunteers agreed to allow Alliant Energy to provide anonymous customer electricity usage data to the City and IBM for analysis. Using an interactive online tool developed by IBM, the Cloud -based Smarter Energy Conservation Portal, study participants are able to better understand their electricity use and consider behavioral changes that can save energy, reduce costs and curb carbon emissions. Beta results demonstrate that volunteer households have already reduced their energy use by up to 11 percent. Surveys also indicate that 68 percent of study participants have increased their understanding of personal electricity use. Dubuque seeks a DOE Smart Grid Data Access Grant to conduct this demonstration over a longer period of time (all four seasons), conduct more refined communication and outreach with volunteer participants, test additional customization of its Smart Grid- enabled tools, and analyze different social networking tools in order to generate higher levels of engagement. In addition, Dubuque is partnering with municipally -owned utilities in the cities of Algona (population 5,560, 2,711 households) and Cedar Falls (population 39,260, 15,477 housing units) to transfer its lessons learned and determine the feasibility to replicate these tools in other communities. • Algona Municipal Utilities serves approximately 3,700 electric customers. Algona Municipal Utilities has already installed 1,000 smart electric meters and plans to continue installations throughout 2012 and 2013. Algona Municipal Utilities anticipates that 500 electric customers will participate in the Smarter Electricity Iowa project. • Cedar Falls Utilities is a municipally -owned electric utility that provides power to approximately 18,000 customers. Cedar Falls Utilities will be installing approximately 1,150 smart electric 4 meters in its service territory beginning Summer 2012. Cedar Falls Utilities anticipates that up to 200 electric customers will participate in the pilot project with Dubuque and IBM. Dubuque will also work with IAMU to disseminate information on the Smarter Electricity Iowa project to its statewide members through its weekly and quarterly publications, as well as through educational sessions at its annual conferences and business meetings. IAMU will also help develop interest in using the IBM Smarter Energy Conservation Portal among IAMU's membership of 136 municipal electric utilities, and provide support for more widespread adoption of the program throughout Iowa. Targeting the Volunteer Household Study Area In 2010, Dubuque worked with Alliant Energy and IBM to identify a pilot study area that would be representative of the community. Dubuque sought 1,000 volunteer households, and designed criteria that would maximize the following attributes: • Diversity of residences (e.g., square footage, age of home, home style, type of heating and cooling); • Diversity of residents (e.g., race, age of occupants, income level, number of occupants); • Located in areas where existing Alliant Energy communication infrastructure could transmit the 15 minute read data of the AMI units to the City file transfer protocol (FTP) site; and • Overlap with Dubuque's existing Smarter Water project area to the maximum extent possible, in order to provide opportunities for cross -silo analytics. Based upon these criteria, Dubuque identified a target study area that was comprised of approximately 8,000 households (see Figure 2). Figure 2 Smarter Electricity Pilot Study Area Dubuque will work with Algona and Cedar Falls to identify appropriate study areas within their own communities, using the selection factors already established by Dubuque and any other community - specific factors. Target study areas will be identified in Algona and Cedar Falls that will ensure broad diversity. 5 Enrollment Process Dubuque's target study area was the focus of a comprehensive outreach and enrollment campaign that included. but was not limited to: • Direct mail and e- mails: • Postcard reminders: • Call center follow -up: • Paid and contributed media: • R'eb sites and newsletters: • Social media. gaming. smart phone applications. and interactive tools: • Contests. prizes and community recognition and awards: • Direct recruitment at community -wide events: • One -on -One "community cafe" training sessions: • Indirect recruitment via a campaign by local employers with their employees: and • General outreach and marketing through newspapers and radio. In excess of 1.200 households from the target study area volunteered for the Smarter Electricity pilot study. Interested volunteers were required to submit a survey (see Appendix 1) that captured information such as: • Number of adults and children living in household: • Current electricity usage: • Interest in reducing electricity bills: and • Access to the Internet. Alliant Energy conducted further screenings of the volunteers to eliminate households from participation for reasons including. but not limited to. irregular bill payment history. renter rather than homeowner. insufficient network overage. and other applicable criteria. From the 1.200 volunteers. Dubuque and Alliant selected 1.000 households in 2010 for the pilot study. Of the original 1.000 pilot households. 795 volunteers are still participating in the study. Some households have left the study group due to reasons such as moving or insufficient participation. Dubuque will re- engage engage its volunteer households for the Smarter Electricity Iowa project. Dubuque will also share its outreach and enrollment materials. surveys and other screening tools with Algona and Cedar Falls to help them identify appropriate pilot participants. Volunteer participation from Algona and Cedar Falls will help build the study size beyond 1.000 households. Participation from three different Iowa cities will also help demonstrate the feasibility of Smart Grid - enabled tools in communities of different sizes. as well as different electric utility types. Transmitting Energy Data All of Dubuque's volunteer households signed an authorization form that enabled Alliant Energy to transmit meter numbers. energy usage readings and diagnostic information to Dubuque for analysis (see Appendix 2). With the homeowner's permission..11 meters read and transmit this data to a Tower Gateway Base station. which is then routed and stored on a Regional Network Interface head -end system. Alliant Energy extracts meter and customer information from this data and creates a California Metering Exchange Protocol (CMEP) file that is sent to a secure Dubuque FTP seven days a week, no later than 10 A.M. Algona and Cedar Falls will use similar processes for homeowner approvals. as well as the readings and transmission of data. Their data will then be incorporated into Dubuque's existing FTP and analyzed in the Cloud -based Smarter Energy Conservation Portal. 6 Ensuring Privacy and Data Security To ensure that participants' information will remain private and secure, personal data is not transmitted No information that would identify the participating households is contained in the data stream, all data is maintained in an anonymous format Data is also stored on servers residing behind a firewall All security meets or exceeds requirements for storage and transmission of energy data Dubuque will continue to maintain these privacy and data security measures, and these procedures will be replicated in Algona and Cedar Falls Providing Residential Customers Access to Electricity Consumption Data In the summer of 2011, Dubuque, Alliant Energy and IBM rolled out the Smarter Energy Conservation Portal (see Figure 3) to participating volunteers, empowering households with the information, analysis and insights based on their electricity consumption data The portal leverages electricity consumption data collected at 15- minute intervals, employs advanced analytics, and offers dynamic visualization and activity -based engagement to get consumers to understand and influence consumption The data is analyzed in the Cloud to trigger alerts and insights about ways of saving energy Volunteers can only view their own consumption habits, while City management is provided with aggregate data Sunday February 26, 2012 Energy Consumption Report for 285958 February Usage (kWh) 725 / 837 Trend 34% Rank 22 b Date /Month -end Cskmete 1 hgher than average Among 30 houaeholds Green Points 979 JUN Lulu t n l nI IIII.IIInnIhi111nn1did wwh 6 4 2 JUL AUG 1111111IIII „IIIIIIIIIIII 111111111111111111111111 SEP 1111111111111,111I1,111. OCT NOV n „�Il1 amiml, t11nI1mmJIIn111111 Consumption by Hour Sun February 12.2012 E I kWh Consumption Insight / / ■\ ■ ■_ ■_��■ —■ —■ —■ ■ • ■_■ 12am Gam Noon 6pm 12am • ftv 1500 1000 500 Compad son with Previous Year 11111 0 Jan Mar May $1 kWh • eaea, roar Jul 3ep Nov DEC 11111111111111111111111111111 JAN 1111111111111111 11111111111 42 kWh 11111,111 11,111111111 suu Lest month you consumed 1004 OkWh more (273.2 %higher) than efficient users with similar households 7hts month your current trend indicates 121 6% higher consumpfon compared to these users. Manage your consumption I Seta goal of 5% reduction for the rest of February Read more ❑ UnpluglV and other appliances when not inuse Read more 2 Use clothes dryer during off peak hours Read more IBM Select activity 1 Activitytracking 1 Adivity history 1 Share sier Figure 3 Smarter Energy Conservation Portal The portal is highly scalable and easily expandable Volunteer households in Dubuque will continue to access the portal during the duration of the Smart Grid Data Access project IBM will also work with Algona and Cedar Falls to provide volunteers in those cities with information about their energy usage through the Smarter Energy Conservation Portal Metrics The project is designed to measure and analyze household electricity consumption data in the following ways • Daily consumption as juxtaposed against typical consumption for that day, • Accumulated consumption for that month, • Predicted consumption for that month, 7 • Amount of power used based on a combination of devices that never allow any single 15- minute interval read to go to zero, consisting of phantom loads or devices that are left on all the time: and • A comparison of user's consumption to that of the best 20 consumers in the pilot as well as the average consumption of other pilot participants similar to this consumer. The portal also provides users with alerts about anomalous usage patterns. These metrics will be used in the Algona and Cedar Falls demonstrations as well. Increasing Volunteer Engagement Dubuque's beta research has shown much promise, with monthly utilization reductions ranging from 3 to 11 percent. Already, participants have indicated significant increases in their understanding of energy consumption, and have confirmed that the smart meters and online portal have helped them reduce energy use and save money. However, before Dubuque's system is ready for wide -scale adoption, the City has identified the need to address several critical fmdings. A key conclusion of Dubuque's initial research is that project engagement varies by household. Approximately one -third of participants are highly engaged users of the portal, and seek more data and need less direction in order to reduce energy use. The middle third of participants demonstrate low to moderate engagement with the portal, and seek more direction and less data to achieve their energy reduction goals. The remaining third of participants are not engaged. With DOE Smart Grid Data Access support. Dubuque and its partners seek to prove that the percentage of actively engaged households can be increased to at least two- thirds by meeting the needs of less- engaged customers with additional customization. The project partners want to demonstrate that participant engagement can be increased by: • Providing access to energy consumption data through a variety of communication tools (e.g., web, smart phones): • Utilizing outreach tools preferred by customers, including two -way social media: • Creating incentives that keep customers interested: and • Developing more enriched information and insights. To address these social challenges, social incentives have been used to encourage volunteer engagement. The Dubuque pilot study provided "Green Points" as means to encourage volunteers to conserve energy. Green Points are assigned based on factors such as number of log -ins, number of activity sign -ups, replacement of inefficient appliances, participating in off -line sessions, and savings from activities. In the next phase, the project will enhance these social engagement activities. Participants will be divided into different subgroups — each group being given different types of incentives and insights. Specifically, the volunteer base would be divided into 5 equal -sized groups: • Group 1: No access to portal: • Group 2: Access to portal but only high level metrics: • Group 3: Access to portal with metrics and general insights: • Group 4: Access to portal with metrics, and personalized insights: and • Group 5: Access to portal with metrics, personalized insights and activity tracking. Each of the subgroups will be evaluated to determine which approaches are more effective in engaging citizens and thereby reducing overall energy consumption. Finally, the project will log every activity, including the time spent by users on different views of the portal, to more accurately capture the micro level activities and better understand which metrics, insights and views are most attractive to users. 8 Enhancing Communication Tools and Social Media Opportunities Currently, energy consumption information can only be accessed through the web -based portal. In the next phase, participants will be provided access to their energy consumption data through a variety of communication tools (e.g., web, smart phones). Users have also expressed desires to share success stories using social networking tools such as Facebook and Twitter. To better engage citizens, the project will provide capabilities for users to post and get access to messages at popular social networking sites, providing a richer experience for participants. Improving Analytic Capabilities The developed portal includes various analytical capabilities such as monthly energy consumption forecasts, consumption trend analysis, neighborhood comparisons, and disaggregation (e.g., cooling energy estimation, phantom consumption estimations). In this next phase, the team will have the ability to dynamically turn on and off various analytics, which should provide a better understanding of which metrics, insights and recommendations are most effective. DOE funding will also help the portal become more sophisticated in using time -of -day rates to further support customer energy and cost savings. Managing Risks The risk profile to this project is low, due to the fact that all technology being deployed has already been developed and tested, and nearly all outreach and communication tools have been perfected. Two external risks that are being managed include: • Cloud Outages: The system has been developed on a research Cloud that occasionally requires maintenance and upgrading, sometimes on very short notice. As our volunteer households are using data in near -real time, any interruption is a customer service concern. We manage this risk by communicating generally that this is a research project and that some service disruption may occur from time to time, as well as sending specific information to volunteer households about planned timing and length of any outages. As this is a very infrequent event, it has not proven a problem to date. • Public Misinformation: Smart Grid technologies are an emerging area that the public is just now beginning to understand. As it is new and can intersect with sensitive public issues (e.g., privacy, security, health), we have to be aware that public misinformation is a risk to the project. To counter this risk, we use community outreach to defuse known areas of concern, and survey volunteers on an on -going basis to detect any new areas of concern that may be emerging. We do not want to occur in Iowa what has occurred in several other states, namely misinformation about Smart Grid technology leading to forced abandonment of research and development projects. Defining the Value Proposition Finally, with data collected from a large enough sample over a long enough period of time (all four seasons), incorporating as many variables as possible, the team seeks to develop a value proposition of Smart Grid activity as it relates to utility companies, utility customers and the community in which these interactions occur. This value proposition will analyze several important questions: • At what point does off -peak utilization become high enough to justify a utility implementing the information system and tools at its own cost? • At what point are the specific savings available to individual consumers high enough to justify a self - financing approach to providing these information systems and tools? • At what point are the opportunities from smart meters high enough from a financial, environmental and social aspect that they justify broader community financing of the information systems and tools? 9 Potential Impact (Criterion 2) User - Friendliness of Smarter Energy Conservation Portal The Smarter Energy Conservation Portal, which monitors energy consumption every 15 minutes, can be roughly divided into five functional areas: key performance indicators (KPIs), consumption, insights, comparisons, and tracking (see Figure 4). Figure 4 Functional Areas of Smarter Ener. Conservation Portal Consumption Comparisons Sunday February 26, 2012 Energy Consumption Report for 285958 February Usage (KWh) 725 / 837 Trend Rank 34% 22 7r, Oate/ Month-end Estimate Higher than average Among 30 households Green Points 979 4 KPIs ,16111,1,1 gnlull it kWn 6 4 2 JUN JUL AUG SEP OCT NOV DEC III III n 114116 wild ��lill, �lllilli II IIIIIIIIIIIIIII II 111111lllllul „IIIII,11 d111111ldutl111111lllllul Consumption by Hour Sun February 12, 2012 51 kWh Consumption Insight ■ ■ • „.• 12am Gam Noon 6pm 12am 41, 7.r inn 1.6 00 000 500 Comparison with Previous Year 51 kWh iiiiiIi•iI JAN 42 kWh 111111 ll 1111 11h11111 1111114,1,11,11 Last month you consumed 1 000 OkWh more (273.2% higher) than efficient users with similar households. This month your current trend indicates 121 6% higher consumption compared to these users. ■ ULu Manage your consumption ®®O 4- Insights LI Set a goal of 596 reduction for the rest of February Read more ❑ Unplug TV and other appliances when not in use Read more 2 Use clothes dryer during aft peak hours Read more . ® 4- Tracking 0 Jan Mar May Jul Sep Nov SelectacWrty 1 Adinty tracking 1 Activity history 1 KPIs The KPIs provide a quick summary of household consumption and conservation at a glance. The KPIs include: this month's to -date consumption and month -end estimate accounting for weather fluctuations, usage trends with respect to neighbors' average consumption and rankings among 30 similar households within the same zip code. The portal also calculates a household's cumulative Green Points based on portal activities. Green Points are a metric devised to incentivize citizens to take actions to save energy. Based on a set of predefined activities, users are rewarded with points and every month a winner is announced. Consumption Below the KPI area, the consumption area includes two charts that display a customer's daily total and hourly consumption. Using the calendar scroller, a user can choose any day to look at the 24 hour energy consumption. The view can be toggled between kWh and dollars of cost of energy based on a fixed rate of $0.12/kWh. Insights The insight area shows consumer - specific consumption insights that are actionable. For example, if the comparison analytics determine that the user is wasting a large portion of energy on always -ON devices, it would provide a more detailed insight about it, including how much waste it translates to on a yearly basis and what could be the potential savings. The following insights are currently offered: • Overall consumption in comparison with previous month; • Overall consumption comparison with that of other similar households; 10 • Phantom consumption as a percentage of total consumption: • Peak consumption: • Summer consumption: and • Contribution of air conditioning load to total consumption. Comparisons The comparison area shows three consumer- specific tabbed comparison charts: • Historical monthly consumption comparison of current and previous year: • Load category comparison by phantom, small, medium, and large loads: and • Comparison with other similar households of month -to -date consumption and month -end prediction. Tracking The most valuable feature of this portal is the ability to engage consumers by giving them personalized insights and encouraging them to act on conservation. This is done by giving them several choices to act upon and constructing an experiment where they are provided periodic feedback around the impact of the action they chose. This has the ability to reinforce behavior and help consumers choose actions that are feasible for them. The actions include: • Overall consumption reduction: • Changing light bulbs to compact fluorescents: • Reducing phantom consumption: • Reducing peak consumption: and • Setting thermostat two degrees higher. A filtering mechanism ensures that only relevant insights and activities are suggested to a specific customer based on their impact and tractability. In addition, background analytics of the portal track consumers' interactions with the portal in terms of log -ins, chart clicks and activity views. The portal will allow customers to share their success stories and testimonials to others who are participating in similar activities, thus creating social networks that are contextual. Besides these five important modules, the solution also allows users to receive alerts about anomalous usage patterns. The portal allows users to define their own alert events. Ability to Meet the Needs of a i'ariety of Residential Consumers Dubuque deliberately designed its enrollment process to identify and select volunteer households that represent a mix of both resident and residence types. The City sought a broad demographic sample in its study area, and included customers of different races, ages and income levels. So as to facilitate comparisons between similar households. Dubuque also included residences of many different types. Residential structures were chosen across a range of ages, occupancies, square footages, home styles (e.g., single family, townhome), and heating and cooling types (e.g., central air, electric heat). Similar procedures will also be followed in Algona and Cedar Falls to ensure that the tools being tested truly meet the needs of a wide variety of residential consumers. Potential for Reducing Energy Consumption The beta research already conducted in Dubuque has shown promise, with monthly utilization reductions ranging from 3 to 11 percent. Initial surveys of project participants have shown wide satisfaction with the online portal. Sixty -eight percent of participants have indicated that the tools have increased their understanding of personal electricity use. Forty-five percent of participants have stated that the tools have helped them find specific ways to reduce energy consumption based upon their individual usage patterns. The strategies most often used by consumers included shifting to non -peak usage (52 percent), turning off devices (44 percent), decreasing lighting (29 percent), and decreasing heating /cooling (20 percent). 11 This initial study period has demonstrated great potential to reduce energy consumption. The proposed project enhancements, including efforts to (1) make energy consumption data available through a variety of communication tools (e.g., web, smart phones), (2) utilize outreach tools such as social media, (3) create attractive incentives, and (4) develop more enriched information and insights, should produce even greater energy reductions. Ability to Expand the Project Beyond the Demonstration Phase Dubuque and its partners seek to customize these Smart Grid tools and demonstrate their ability for community -, region- and state -wide adoption. To accomplish that goal, the team seeks to build the case for why Smart Grid- enabled tools make economic sense for utility companies, utility consumers and the communities in which these interactions occur. DOE Smart Grid Data Access funding will enable Dubuque and its partners to collect data over a longer term from a larger sample, using better tools. This project phase will also enable the team to incorporate additional variables into its modeling. With this information, the City seeks to help: • Utilities determine if customers will shift energy use to off -peak hours at a high enough level to justify utility investments in Smart Grid tools; • Customers understand if the savings generated with Smart Grid tools would justify self - financing approaches; and • Localities comprehend whether public investment in Smart Grid tools is merited based upon their financial, environmental and social benefits. With this information, Dubuque and its partners would plan to expand the demonstration in Phase II of the project. In Iowa, electricity needs are served by two investor -owned utilities, 35 rural electric cooperatives and 136 municipal electric utilities. Dubuque would phase this expansion based upon these utility types. Expansion efforts would first be concentrated in communities with municipally -owned utilities, due to their physical and political control of the systems. Next, expansion efforts would concentrate on rural electric cooperatives, where the value proposition could be easily demonstrated to their members. Finally, Dubuque would work with the investor -owned utilities, provided that a strong financial case for wide -scale expansion can be demonstrated. These efforts will be conducted in coordination with the established associations representing these types of utilities, including the Iowa Public Power Agency and the Iowa Association of Electric Cooperatives. Project Team Capabilities (Criterion 3) Project Management Since October of 2009, David Lyons has served as Project Manager for the Smarter Sustainable Dubuque research program, a unique sustainability research collaboration between IBM, the City of Dubuque and numerous other public and private partners. David has a significant and lengthy legal and business background, with previous positions as Iowa Economic Development Director, Iowa Commissioner of Insurance and Chief Business Development Officer for the Iowa Farm Bureau. In each position, he has been responsible for overseeing complicated research and development projects involving both public and private grants and investments. Project Teams Five primary project teams have been formed to manage and oversee the Smarter Electricity Iowa project. The teams include: City of Dubuque • David Lyons, Project Manager for Smarter Sustainable Dubuque (Team Lead) — David will facilitate and manage all required agreements between the project's public and private partners. He will also oversee project implementation and will anticipate and remove barriers to its success. 12 • Teri Goodman, Assistant City Manager — Teri will coordinate interaction with key constituencies for the success of the project and its future replication, including with the Iowa Association of Municipal Utilities, Iowa Metro Coalition, Iowa League of Cities. Iowa Public Power Agency, Iowa Association of Electric Cooperatives, and local, state and national governmental agencies. • Cori Burbach, Sustainable Community Coordinator — Cori will coordinate communications and activities with key local constituencies for this project, including City staff, the Sustainable Dubuque Collaborative, Green Dubuque, and others. Providing outreach for the project and gathering input from these key constituencies will be her focus. • Randy Gehl, Public Information Officer — Randy will review, develop, implement, and analyze the communication efforts for the project. He will provide services both directly and through oversight and collaboration with communication staff of the project partners. • Chris Kohlmann, Information Services Manager — Chris will oversee and advise on the technology- related aspects of the project, including, but not limited to, data collection and transmission. FTP receipt and anonymization. IBM data feeds, and access /use issues of the portal for citizens. She will be supported by the Sustainable Dubuque Help Desk. • Jenny Larson, Budget Director — Jenny will oversee the financial administration of the grant. Alliant Energy • Debbie Branson, Senior Product Manager (Team Lead) — Debbie will manage the Alliant Energy team. She will also be responsible for serving as a liaison with the City of Dubuque, and overseeing all communications with Alliant Energy customers. • Lynda Ermer, Business Analyst — Lynda will provide technical support to the Alliant Energy team. • Rick Potter, Principal Smart Grid Technology Consultant — Rick will provide technology and metering expertise to the Alliant Energy team. Algona Municipal Utilities • John Bilsten, General Manager — In collaboration with Project Manager David Lyons. John will coordinate the implementation of the project for households in Algona. He will also assist in the review and analysis of replication issues and opportunities for the project. Cedar Falls Utilities • Erin Buchanan, Energy Services Coordinator — Erin has an outstanding background in energy efficiency work. Prior to coming to Cedar Falls Utilities. Erin worked as the Energy Efficiency Specialist for the Iowa Association of Municipal Utilities. She will manage the Cedar Falls Utilities responsibilities for this project. • Steven Bernard. Director of Customer Service and Business Development — Steve will assist in the review and analysis of replication issues and opportunities for the project. IBM • Milind Naphade. Manager and Leader. Services for a Smarter Planet (Team Lead) — Milind will serve as the project's Principal Investigator. He will oversee and manage the IBM research team. Milind has significant research experience in machine learning. • Sambit Sahu, Research Staff Member — Sambit will serve as the overall architect for solution design, deployment and engagement. He has significant research experience in Cloud computing and statistical data analysis. • Ming Li, Research Staff Member — Ming is responsible for the design and development of the portal system. He has extensive Cloud and large scale distributed systems research experience. 13 • Younghun Kim, Research Staff Member — Younghun will be responsible for analytics design, data analysis, engagement analysis, and incentive analytics. He has extensive analytics, statistics, and data mining research experience. • Tom Erickson, Research Staff Member — Tom is a well -known researcher in social science and people behavior. He will be responsible for the design of novel forms of online communication and collaboration, and shall play a key role in the incentive design and study of people behavior. Corporate Commitment and Cost Share The following parties have committed to participate in and /or contribute cost share to the proposed project (see Appendix 3 and the attached letters of support and commitment): • IBM; • Algona Municipal Utilities; • Cedar Falls Utilities; • Alliant Energy; and • Iowa Association of Municipal Utilities. A total of $500,000 in cash, equipment, and staff resources will match DOE's $500,000 Smart Grid Data Access investment. Adequacy of Equipment, Facilities and Other Resources Dubuque requires no additional equipment to complete the project. Smart meters have been installed, and communication gateways and secure FTP sites are in place to transmit the energy consumption data. Algona and Cedar Falls are currently installing smart meters. No grant funds will support those efforts. However, Algona's and Cedar Falls' smart meter installation costs associated with volunteer households will contribute to the project's cost share. In addition, the IBM- designed portal is Cloud -based and already up- and - running. Computers and Internet access are also not barriers to household participation. Local libraries are available across Iowa to facilitate those households not connected to the Web. Specific customization of the portal, including efforts to provide access through smart phones, integration with social media tools such as Facebook and Twitter, and the development of more enriched information and customer - specific insights, will take place at IBM's research laboratories. RELEVANCE AND OUTCOMES /IMPACTS This Smart Grid Data Access funding opportunity seeks to empower residential consumers to "better manage their electricity use by enabling access to electricity consumption data," and to "support the use of "tools and software products that utilize available data to deliver a value added service to the residential customer." The Smarter Electricity Iowa project meets these objectives by providing volunteer households in Dubuque, Algona and Cedar Falls with access to the Smarter Energy Conservation Portal, which monitors energy consumption every 15 minutes and provides users with an easy -to -use interface that can help customers save energy, reduce costs and curb carbon emissions. The portal can provide users with a quick summary of the household consumption, suggest consumer - specific consumption insights, compare historical household consumption as well as provide comparisons with similar households in the community, and encourage personalized actions to reduce energy consumption. In addition, users can opt to receive alerts about anomalous usage patterns. 14 Dubuque's beta research has already demonstrated monthly utilization reductions ranging from 3 to 11 percent. Initial surveys of project participants have also shown wide satisfaction with the online portal. Sixty -eight percent of participants have indicated that the tools have increased their understanding of personal electricity use. Forty -five percent of participants have stated that the tools have helped them find specific ways to reduce energy consumption based upon their individual usage patterns. The proposed project enhancements, including efforts to (1) make energy consumption data available through a variety of communication tools (e.g., web, smart phones), (2) utilize outreach tools such as social media, (3) create attractive incentives, and (4) develop more enriched information and insights, should produce even greater energy reductions. ROLE OF PARTICIPANTS A complete list of participating partners, as well as their roles and responsibilities, is available in the MERIT REVIEW CRITERION DISCUSSION - Team Capabilities (Criterion 3) on page 12. MULTIPLE PRINCIPAL INVESTIGATORS Milind Naphade at IBM will serve as the Principal Investigator for the project. FACILITIES AND OTHER RESOURCES A description of the project's facilities and other resource needs is identified in the MERIT REVIEW CRITERION DISCUSSION - Team Capabilities (Criterion 3) on page 14. EQUIPMENT A description of the project's equipment needs is identified in the MERIT REVIEW CRITERION DISCUSSION - Team Capabilities (Criterion 3) on page 14. STATEMENT OF PROJECT OBJECTIVES (SOPO) Title: Smarter Electricity Iowa A. Objectives The objectives of the overall Smarter Electricity Iowa project are to: • Dramatically reduce household energy consumption; • Shift customer peak demand to periods of lower overall system demand, decreasing the need for peak load production; and • Create economic (e.g., new jobs and markets), environmental and social benefits in communities that adopt Smart Grid- enabled technologies. The specific objectives of Phase I of the project are to: • Provide residential customers with useful information through Smart Grid- enabled tools to help them to better manage their electricity consumption; • Offer customers a range of technology opportunities (e.g., web, smart phones) to monitor their energy data; • Identify outreach messages and communication tools that effectively persuade customers to become engaged in efforts to reduce electricity consumption; • Determine the types of incentives and rewards that keep customers engaged; • Develop enriched information and insights that meets the needs of diverse groups; and • Demonstrate the feasibility of these Smart Grid- enabled approaches in investor -owned utilities, and municipally -owned utilities and rural cooperatives. The specific objectives of Phase II of the project are to: • Identify a city to roll out the tested Smart Grid - enabled tools community -wide; and • Work to expand the adoption of smart meters and use of the portal in three distinct subphases: 15 o First, to municipally -owned utilities, due to their physical and political control of the systems, making it easier for early adoption; o Next, to rural electric cooperatives, as the value of smart meters and complementary online tools is proven to the membership; and o Finally, to investor -owned utilities, providing that the data can demonstrate the financial basis for smart meter expansion. B. Scope of Work Phase I • Re- engage volunteer households in Dubuque; • Target volunteer household study areas in Algona and Cedar Falls; • Deploy remaining smart meters in Algona and Cedar Falls; • Enroll new volunteer households in Algona and Cedar Falls; • Establish processes and procedures to transmit data from Algona and Cedar Falls to Dubuque; • Connect all volunteer households in all three cities to the Smarter Energy Conservation Portal; • Provide project participants with training on the Smarter Energy Conservation Portal; • Provide access to energy consumption data through a variety of communication tools (e.g., web, smart phones); • Utilize outreach tools preferred by customers, including two -way social media; • Create and test incentives that keep customers engaged; • Develop more enriched information and insights; and • Conduct the data gathering over a full year (all four seasons). Phase II • Identify a city for community -wide adoption of Smarter Energy Conservation Portal; • Conduct outreach to educate community on benefits of reducing energy consumption; • Enroll participants community -wide; • Connect households to the Smarter Energy Conservation Portal; and • Promote engagement incentives and rewards. C. Tasks to Be Performed Phase 1 — Demonstration Task 1.1— Project Management and Planning Subtask 1.1.1— Establish Core Team Project management and planning will be coordinated by a Core Team representing the City of Dubuque, IBM, Alliant Energy, Algona Municipal Utilities, Cedar Falls Utilities, and IAMU. David Lyons, Dubuque's Smarter Sustainable Dubuque Project Manager, will lead the Core Team. Subtask 1.1.2 — Establish Memorandums of Understanding (MOUs) with the Partners MOUs will be entered into between the City of Dubuque and both IBM and Alliant Energy to conduct this demonstration. These MOUs may include, but are not limited to, Scope and Objective; Term; Obligations and Responsibilities; Privacy and Security; Ownership and Use of Data; Analysis; and Reporting. Participation of IAMU, Algona Municipal Utilities and Cedar Falls Utilities will be facilitated through separate agreements with the City of Dubuque. Subtask 1.1.3 — Schedule Recurring ProjectManagementMeetings David Lyons will organize a series of monthly meetings to maintain momentum and keep partners focused on project implementation. 16 Svbtask 1.1.4 — Update and Svbnnt Protect ManagementPlan David Lyons will prepare and submit an updated Project Management Plan for DOE within 30 days of award. Svbtask 1.1.5 — Ongoing Protect-Management David Lyons will be responsible for ensuring that project reporting requirements are met and that deliverables are completed on time. Task 1.2 — Demonstration Preparations Svbtask 1.2.1 — Determine Standard Data Collection and Svbnnsszon Processes Dubuque and IBM will work with Algona and Cedar Falls to share the procedures for collecting and transmitting data. and develop processes in Algona and Cedar Falls that make sense for those communities. Svbtask 1.2.2 — Revzeir Best Practices for Commamzty Outreach, Echtcation and Commamzcatzon The team will study best practices for conducting effective outreach and education in communities, including exploring opportunities to use two -way social media tools. Svbtask 1?. _ — Iclenti f, Recrant and Enroll Volunteer Households The team will conduct significant and comprehensive outreach and communication efforts. undertaken previously in Dubuque. to identify. recruit and enroll volunteer households in Algona and Cedar Falls, including: • Broad general outreach through newspapers, local radio and community and affinity group presentations: • Targeted communication to single family. owner- occupied households who may be interested in participating and who would represent a representative cross - section of households in the community: and • Specific communication to households expressing interest. Svbtask 1.2.4 — Develop Engagement Incentives and Rewards The project team will work with local governments, schools and community merchants to develop a range of awards. rewards and incentives that will be made available to households who successfully participate in the project. Svbtask 1.2.5 — Establ zsh Customer Support Sen'zces Dubuque will work with Algona and Cedar Falls to include their volunteer households within Dubuque's customer service network. Task 1.3 — Demonstration Execution Svbtask 1. 3.1 — Integrate Volunteer Household Data irzth Smarter Energy Conservation Portal IBM will work with Algona and Cedar Falls to connect their volunteer households with the Smarter Energy Conservation Portal. Svbtask 1. .2 — Echicate Volunteer Households on Portal Use The team will offer online and in- person training sessions for volunteering households on best practices for interacting with the tools and using the data. Svbtask 1. 3.3 — Provzde i obmteer Households irzth Customer Support Dubuque will expand the customer services capacity for participating households. including in- person. online and telephone services. A "one- stop" information and trouble - shooting service is the goal for participating households. 17 Svbtask 1. 3.4 — Dnvide i ohinteer Households into Subgroups The team will divide its sample of more than 1.000 volunteer households into five separate subgroups. Each of these groups will be provided different incentive and insights. which will provide the ability to evaluate the efficacy of each approach. Specifically, the volunteer base would be divided into 5 equal -sized groups: • Group 1: No access to portal: • Group 2: Access to portal but only high level metrics: • Group 3: Access to portal with metrics and general insights: • Group 4: Access to portal with metrics, and personalized insights: and • Group 5: Access to portal with metrics, personalized insights and activity tracking. Svbtask 1.3.5 — Promote Engagement Incentives and Rewards The team will conduct broad outreach on potential new incentive and award /reward programs. Svbtask 1.3.6— Test Alternative Communication Strategies This next phase of project will test new communication approaches, including: • Broad general outreach on the aggregate results of the earlier pilot. including their potential positive impact on the community and environment: and • Specific communication to households involved in the previous pilot using their individual data to show specific positive results. and recruiting them for "beta testing" of new system enhancements. Task 1.4 — Analysis and Results Reportin. Svbtask 1.4.1 — Concbict Survey with i ohinteer Households At the end of the demonstration project, the team will conduct a survey with all volunteer households to gather feedback on their increased understanding of their electricity consumption, their satisfaction with the portal. their assessment of the types of communication and outreach conducted, and the types of behavior modifications that they adopted. Svbtask1.4? — Analyse Energy Consumption Data A comprehensive analysis of the data will be conducted to: • Assess user behaviors: • Determine energy savings across different subgroups: • Evaluate the effectiveness of incentives and insights: and • Study energy and cost savings across all four seasons. This analysis will lead to the development of a value proposition that will help utilities. utility customers and communities understand why they should invest in Smart Grid - enabled tools. Svbtask1.4.? — Assess Communication and Outreach Strategy Based upon the user feedback and the analysis of the data. the team will assess which types communication and outreach strategies were effective in encouraging users to reduce energy consumption. Svbtask 1.4.4 — Prepare and Submit Demonstration Report, Adoption Plan and Phase II Budget A Demonstration Report. Adoption Report and Phase II Budget will be prepared and submitted to DOE no less than 90 days prior to the end of the award. Svbtask 1.4.5 — Prepare and Present Down- Select Briefing The will prepare and present a detailed Down- Select Briefmg to DOE on the results of the demonstration no less than 90 days prior to the end of the award. 18 Phase II — Adoption Task 2.1 — Project Management and Planning Svbtask 2.1.1 — Revise and Submit Protect Management Plan David Lyons will prepare and submit an updated Project Management Plan for DOE within 30 days of award. Svbtask 2.1? — Ongoing Protect Management David Lyons will be responsible for ensuring that project expectations are met and that deliverables are completed on time. Task 2.2 — Adoption Preparations Svbtask 2?.1 —Went& City for Community- iVideAdoption The team will identify one of the cities served by a municipally -owned utility to expand the use of Smart Grid - enabled tools community -wide in the second phase. Svbtask 2.2.2 — Conabict Community Outreach Broad outreach will be conducted across the identified community_ to educate residents about the energy and fmancial savings possible with the portal. Task 2.3 — Adoption Execution Svbtask 2. 3.1 — Integrate Household Data with Smarter Energy Conservation Portal IBM would work with the identified community_ to connect their volunteer households with the Smarter Energy Conservation Portal. Svbtask 2. 3.2 — Echicate Households on Smarter Energy Conservation Portal Use The team would offer online and in- person training sessions for volunteering households on best practices for interacting with the tools and using the data. Svbtask 2. 3.3 — Provide Households with Customer Support Customer service would be provided to participating households, including in- person, online and telephone services. Svbtask 2. 3.4 — Promote Engagement Incentives and Rewards The team will conduct broad outreach on the incentive and award /reward programs that tested well in the first phase. Task 2.4 — Analysis and Results Reporting Svbtask 2.4.1 — Conabict Community -Wide Survey The team would conduct a final survey with participating households to gather feedback on their increased understanding of their electricity consumption, their satisfaction with the portal, their assessment of the types of communication and outreach conducted, and the types of behavior modifications that they adopted. Svbtask 2.4? — Analyse Energy Consumption Data A comprehensive analysis of the data will be conducted to: • Assess user behaviors: • Determine energy savings: and • Evaluate the effectiveness of incentives and insights. Svbtask 2.4.3 — Assess Communication and Outreach Strategy The team would also conduct a final assessment on which types communication and outreach strategies were effective at reducing energy consumption. 19 Subtask 2.4.4 — Prepare and Submit Final Technical Report A Final Technical Report will be prepared and submitted no less than 90 days prior to the end of the award. D. Deliverables Dubuque will deliver periodic and final reports in accordance with the Federal Assistance Reporting Checklist, including progress and financial reports. Dubuque will also submit an updated Project Management Plan within 30 days of award, as well as a Demonstration Report, Phase II Adoption Plan and Phase II Budget no less than 90 days prior to the end of Phase I. E. Briefings Dubuque will explain the project's plans, progress and results through detailed briefings to its DOE Project Officer at the following milestones: • No more than 15 days after submission of the updated Project Management Plan, Dubuque will conduct a Phase I Kickoff Briefing; • No less than 90 days prior to the end of Phase I, Dubuque will present a Down Select Briefing to DOE on the results of the demonstration and its plans for further adoption in Phase II; • If selected to advance to Phase II, Dubuque will prepare a Phase II Kickoff Briefing no more than 15 days after submission of the updated Phase II Project Management Plan; and • Dubuque will conduct a Final Project Briefmg on the results and accomplishments of the entire project no less than 30 days prior to the end of Phase II. PARTIES CONTRIBUTING TO COST SHARING Besides Dubuque, the following third parties have committed to participate in and/or contribute cost share to the proposed project (see Appendix 3 and the attached letters of support and commitment): • IBM; • Algona Municipal Utilities; • Cedar Falls Utilities; • Alliant Energy; and • Iowa Association of Municipal Utilities. A total of 500,000 in cash, equipment, and staff will match DOE's $500,000 Smart Grid Data Access investment. 20 Appendix 1. Community Survey Attachment 3 Survey for new volunteers desiring to participate in the Dubuque Smarter Energy Project What is the number of adults (age 18 or over) currently living in your household? adults How many children living in your household are ... Less than 6 years old ? 6 t 11 ? 12 to 17 On a scale of 1 -4, where 1 is very concerned and 4 is not at all concerned, how concerned are you about the future of the earth's environment? On a scale of 1 -4, where 1 is very important and 4 is not at all important, how important is it to you for Dubuque to be leader in sustainability? On a scale of 1 -4, where 1 is very important and 4 is not at all important, how important is it to you to decrease your household's electricity bills? On a scale of 1 -4, where 1 is very important and 4 is not at all important, how important is it to you to better understand your household's electricity consumption? On a scale of 1 -4, where 1 is very important and 4 is not at all important, how important is it to you to decrease your household's electricity consumption? On a scale of 1 -4, where 1 is very important and 4 is not at all important, how important is it to you to understand how your household's electricity consumption contributes to your overall carbon footprint? If you had to guess, how many kilowatt hours (kWh) would you say that your household uses a day during this time of the year? 0 -15 kWh 15 -30 kWh 30 -45 kWh 45 -60 kWh 60 or more kWh Does your household have access to the Internet? Yes No Given a choice, where would you like to receive updates on your household's electricity use? (Select all that are applicable.) Internet Email Cell phone text messages Weekly mailings Personal phone calls iPhone Blackberry Android smartphone How many minutes a day do you think you might realistically devote to better understanding your household's electricity consumption during the pilot? 0 minutes Less than a minute 1 or 2 minutes 2 to 5 minutes 5 to 10 minutes In order to maximize the success of this pilot, we will be asking a limited number of households to participate in additional activities, such as • Install additional energy monitoring devices and share data with IBM • informal get - togethers with researchers and other pilot participants • press briefings to describe household experiences during the pilot. Would you like to be invited to participate in additional activities as they occur? Yes No If yes, what is the best way to invite you? Telephone Email Appendix 2. Authorization Form Authorization for Release of Information To Third Parties Interstate Power and Light Company (an Alliant Energy company) has agreed to work with the City of Dubuque on its Smarter Sustainable Dubuque AMI Pilot Project, subject to the consent of individual customers. The City is requesting energy usage and related data for display in a restricted and secure web portal hosted by a third party, VerityThree, Inc. of McHenry, IL for each customer of Alliant Energy who agrees to participate in the City's project. Each customer will receive a unique identification number to allow access to only his or her portal. In addition, the City is using the services of IBM to develop the web portal. IBM will have use of the energy usage and related data in anonymized or aggregated form for such product development, for demonstrations of the developed product to third parties, to produce reports to be published by the City or IBM in various forms including public presentations, and for research purposes. The data will remain owned by you, the customer, but these three entities will have the rights to use your data as described above. To authorize the City of Dubuque and its two contractors ( VerityThree, Inc. and IBM) to receive your energy usage and related data as described above regarding the following utility account(s), please complete the form below, sign it, and return it to Alliant Energy, Attention: Smarter Sustainable Dubuque Project, P.O. Box 351, Cedar Rapids, Iowa 52406 -9874. Please be aware that the original signature of the:eustomer is required for full participation in the city's program. Customer Name Address City State __. Zip Phone Number Account Number Address of Account, if different from above: Address City State Zip Alliant :Energy through Interstate Power and Light Company has any permission to share my account information r ±lithtteerson named below. Customer Signature Date 6/24/2010 Appendix 3. Third Parties Contributing to Cost Sharing Besides Dubuque, the following third parties have committed to participate in and contribute cost share to the proposed project (see Appendix 3 and the attached letters of support and commitment): • IBM • Algona Municipal Utilities • Iowa Association of Municipal Utilities Name of Organization Proposed Dollar Amount to Be Provided Amount as Percentage of the Total Project Cost Proposed Cost Sharing IBM $190,000 ;8 °o Services IAAIU $25,000 5 °o Services Algona Municipal Utilities $204.000 40.8 °o Services In addition, the City of Dubuque is providing $81.000 in cost share in the form of services, or 16.2°0 of the cost share requirement. A total of 500.000 will match DOE's $500,000 Smart Grid Data Access investment. Phase I Personnel (Direct Labor) = $51, 600 This includes: • Project support and communication oversight from Community Sustainability Coordinator = ($25.800. 35 °o of actual salary). This position will spend 35 °o of their time on the project. • Customer support and service costs for Dubuque to service the additional communities ($25.800, actual salary). This position will provide full -time service to the project. Fringe Rate = $8,400 Fringe benefits for City employees are calculated at 20 0o of salary and include payroll taxes. insurance. IPERS, vacation and sick leave. Travel N/A Equipment N/A Supplies = $45,000 This includes the outreach campaign, engagement materials, mailings, postcards, postage, advertising, meeting space, meals. "community cafes." surveys, etc., and is based upon estimates from Dubuque Smarter Rater project. Consultants = $340,000 This includes $310,000 for IBM Smarter Energy Conservation Portal services. This is a flat fee for use the Smarter Energy Conservation Portal system. The charge gets Dubuque and other communities a running service for the duration of the pilot including onboarding of new meters from the various communities, generation of password protected access privileges for the recruited volunteers, a running web based portal that allows recruited volunteers access to information, insights and activity management for their electricity consumption as well as opportunity to collaborate with the community to improve conservation and move peak loads to off peak. This service will empower the volunteers with accurate hourly visualization of consumption, analysis of breakdown of consumption into major consumption categories, conversion of consumption from kR'H to $ to carbon footprint, high level metrics including trends, incentive metrics including green points, personalized insights and decision support on ways and means to reduce the consumption. The service will run out of an IBM Cloud thus making it simple for communities and volunteers to use without having to worry about hardware, middleware and software infrastructure as well as maintenance. This also includes $ 0 000 in technology costs for providing intermediary data services to other communities linking into the IBM system. Other Direct Costs = $55,000 This includes • $25.000 for engagement incentives and rewards: and • $30.000 for the development and testing of alternative communication strategies for customer data and interaction, including mobile devices, instant messaging, social media and on -line communities. Indirect Costs N/A Cost Sharing = $500,000 A total of $500.000 in cash, equipment, and staff resources will match DOE's $500.000 Smart Grid Data Access investment from the following parties: • IBM • Alliant Energy • Algona Municipal Utilities • Cedar Falls Utilities • Iowa Association of Municipal Utilities Phase II Personnel (Direct Labor) = $250, 000 This includes: • Project support and communication oversight from Community Sustainability Coordinator • Customer support and service costs for Dubuque to service the additional communities Fringe Rate = $50,000 Fringe benefits for City employees are calculated at 200o of salary Travel N/A Equipment N/A Supplies = $250,000 For outreach campaign, engagement materials, mailings, postcards, postage, advertising, meeting space, meals. 'community cafes." surveys, etc. Consultants = $1,350, 000 For IBM Smarter Energy Conservation Portal services. Other Direct Costs = $100, 000 For engagement incentives and rewards. Indirect Costs N/A Cost Sharing = $2,000,000