City Council and Concurrent Authorities
December 9, 2025

Social
Contribution to
people and society
SIEMENS SUSTAINABILITY REPORT 2021 93
Our key ambitions:
→ 30 % female share in Top Management by 2025
→ Access to employee share plans: maintain high
level and expand globally to 100 %1
→ Global commitment to the New Normal Working
Model2
Additional topics:
→ Support for our people through attractive
employer benefits and offers
→ High appreciation for diversity through
“Diversity Charter”
→ Social engagement with three strategic
priorities
Our key ambitions:
→ Double digital learning hours by 2025
→ Access to employee assistance program: maintain
high level and expand globally to 100 % by 2025
→ 30 % improvement in Siemens’ globally aggregated LTIFR3 by 2025 Additional topics:
→ “MyGrowth” program for the development
of a company-wide growth mentality
qualified
→ Wide range of opportunities for career
entry and qualification
→ Healthy and Safe @ Siemens program
introduced
Equity
foster diversity, inclusion, and
community development to create a
sense of belonging
Employability
enable our people to stay resilient
and relevant in a permanently
changing environment
1 Where legally possible and reasonable.
2 For employees with job profiles that make this possible and reasonable. 3 LTIFR: Lost Time Injury Frequency Rate (of Siemens employees and temporary workers) baseline FY 2020.

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The COVID-19 pandemic showed us that companies
may suddenly and unexpectedly be faced with
significant new challenges, which at the same time
may sharply accelerate the digitalization process.

Hybrid workplaces, questions of work-life balance,
and the need to work with partners and across
different ecosystems will all become more and more
important. To deal effectively with this transformation, we aim to build a corporate culture at Siemens that
can take change for granted.

We rely on gifted people and a growth
mindset
Finding solutions for these challenges is what inspires our aim to #TransformTheEveryday, and is the key to
our company’s sustainable success. To achieve that
goal, Siemens is concentrating on its four strategic
priorities, two of which are especially important for
human resources (HR): empowered people and a
growth mindset. This focus on people highlights the
fact that our company’s future success is closely
intertwined with the success of our people.

We are in the midst of a cultural change at Siemens
in which we want to empower all our people to ask
questions, take risks, and do what they think will be
best to help our company and our customers. An
integration-minded, empowering management
approach and corporate culture will play a crucial role in achieving continuous transformation. These
factors will provide guidance, and should build a
strong sense of belonging, along with a safe
environment. To manage the challenges that
transformation presents, a growth mindset is
essential. That includes maintaining a lively curiosity, staying resilient, experimenting and adapting. We
want to support our people in remaining resilient as
people and relevant as skilled workers. That calls for
developing generic capabilities, accepting change,
and learning how to learn, as well as keeping our skills continuously developing.

We’ve combined all this in our HR aspiration: to
advance an integrative, enabling culture for the
upcoming transformation that ensures lasting
business success and long-term employability for our
people. We constantly invest in all levels of training
for our workforce, support their willingness to
experiment and learn, and help them develop a
personal growth mindset.

DEGREE is linked to our HR goals
We have adopted ambitious goals with our DEGREE
sustainability framework. The three “E” in DEGREE –
Ethics, Equity and Employability – are the fields with
the highest priority for the Siemens HR system.

SIEMENS AT A GLANCE
– Global values and global corporate culture
– 303,000 1 employees worldwide
– Supporting our people by offering attractive
benefits

5.1 Working at Siemens
1 All employee figures in this chapter refer to the headcount and includes Varian.

5.1 Working at Siemens

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Promoting a culture of trust in the real
and digital worlds
Our values and ethical standards for doing business
are anchored in our Business Conduct Guidelines
(BCGs). Our BCGs define the basic principles and
rules for our conduct both inside and outside the
company, and are binding for all our employees,
managers, and top management alike, worldwide.

COMPLIANCE
Based on this culture of trust, we place fair treatment and respect at the heart of our value system. Our
aim is to treat everyone fairly and respectfully,
regardless of skin color, ethnic or social background,
religion, age, disability, sexual identity and
orientation, world view, or gender. HUMAN RIGHTS.

Our goal is to be the employer of choice – which is
supported by our top employer ranking of various
organizations worldwide and reflects diversity,
inclusion and a sense of belonging.

To highlight our culture of trust and empowerment,
we are pursuing two initiatives that concentrate on
understanding our people’s experiences and taking
them into account, and on recognizing our people’s
achievements:
→ We use the results of our Siemens Global
Employee Survey (SGES) at regular intervals to
assess the efficacy and success of our actions,
and to derive any necessary steps for
improvement. In January 2021, we had a 67 %
response rate 1 to the SGES. The average level of
approval for relevant aspects such as innovation,
diversity, transparency, and management was
above 77 %.1
→ The Werner von Siemens Award is given in six
different categories to honor achievements that
have had a positive impact on Siemens and
beyond. Elements of our DEGREE framework are
an integral part of the Werner von Siemens
Award. In 2021, the trophies were presented to
teams that have enabled our customers to
transform their industries, contribute to
technological innovation, serve as a role model
in digitization, or participate in an initiative
characterized by ingenuity and social
responsibility. More than 7,500  employees
participated in this competition in 2021, and
submitted 413 entries.

Siemens employee share program
strengthens identification with the
company
Employee-share ownership is an integral part of the
Siemens DEGREE framework: We aim to maintain
access to our employee share program at the 98 %
level and expand it globally to 100 %.2 Owning a stake
in the company is intended to motivate our people to
take personal responsibility for their own actions. This ownership culture has a long tradition at Siemens.

The first profit-sharing program was introduced back
in 1858. Today, the global Siemens share program,
which has been offered annually since 2008, is one
of the largest employee share programs in the world.

More than 100,000  employees invested in their
company in 2021, which means that almost 45 % of
all eligible employees participated. 3 In addition,
Siemens AG distributed around 490,000 free bonus
shares to employees in the past fiscal year as part of
the global share program.1
Siemens Healthineers has its own share program that
it offers to its employees.
1 Excluding SHS.
2 Where legally possible and reasonable. The DEGREE target does not apply to SHS.
3 Excluding SHS. Participation is open to all employees who were employed by a participating Siemens subsidiary on October 1 of the previous calendar year and who continue to be employed at a participating Siemens subsidiary at least until the last day of the applicable offer period. Members of the Managing Board are excluded.

5.1 Working at Siemens

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Employee structure and development
As of September 30, 2021, Siemens employed
303,000 people around the world. That represents
an increase of about 10,000 employees from
September 30, 2020; 56 % of all employees were in
Europe, the Commonwealth of Independent States
(CIS), Africa and the Middle East, 21 % were in North
America, Central America and South America, and 23 %
in Asia and Australia. Out of our total workforce, 94 % have permanent contracts. In Asia and Australia,
around one-fifth of the contracts are temporary, while
in the other regions more than 95 % of our employees
have permanent employment contracts.

The percentage of women in the total workforce is
27 %.

The percentage of dismissals – as a percentage of all
employee exits – was 11 % in the reporting period,
compared to 15 % for the previous year. All other
differences result from changes in the basis of
consolidation and other changes.

Siemens employee hires
Fiscal year
(in thousands) 2021 2020
Siemens 34.4 25.2
Europe, C.I.S.,¹ Africa, Middle East 13.7 11.7
Americas 10.6 7.5
Asia, Australia 10.1 6.0
1 Commonwealth of Independent States.

Women hired
Fiscal year
(as a percentage of new hires) 2021 2020
Siemens 30 30
Europe, C.I.S.,¹ Africa, Middle East 29 29
Americas 33 32
Asia, Australia 29 29
1 Commonwealth of Independent States.

Average standard weekly working hours¹
September 30,
(in hours) 2021 2020
Siemens 39.5 39.3
Europe, CIS,2 Africa, Middle East 38.0 37.9
Americas 41.0 41.1
Asia, Australia 41.9 41.5
1 Contractual weekly working hours.
2 Commonwealth of Independent States.

Employee turnover rate¹
Fiscal year
(in %) 2021 2020
Employee decision 4.7 3.5
Other reasons for exit 5.0 4.8
Total 9.7 8.4
1 Employee turnover is defined as the ratio of voluntary and involuntary exits from Siemens during the fiscal year to the average number of employees.

Working hours and working time arrangements
Hires and exits
The number of new hires increased by approximately
36 % compared to fiscal 2020, while the number of
exits increased by 17 %.
21 %
Americas
56 %
Europe, C.I.S., 1
Africa, Middle East
303,000
Total
23 %
Asia,
Australia
Siemens employees
(as a % of total number of employees) September 30, 2021 27 %
Proportion of women
as a percentage of
total employees
1 Commonwealth of Independent States.

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Use of working hour programs at Siemens
September 30,
(in thousands) 2021 2020
Part-time 13.8 13.9
Employees on leave or absence 6.3 6.2
Employee benefits and opportunities for
today and tomorrow
Amid a constantly changing world, we continuously
compare the employee benefits and opportunities we
provide, and revise them so that we can offer flexible
benefits programs that will support our people’s
physical, mental, financial, and social well-being,
both today and tomorrow. The Siemens benefits
programs have the target of enabling our people to
realize their full potential and strengthening their
resilience with a variety of insurance policies, support benefits, retirement arrangements, and elective
plans. To understand the constantly changing, diverse
needs of our global team and their families, we watch
the external market and track the latest trends and
innovations in our industry and we keep an eye to
sustainability.

Pensions1
We offer defined benefit and/or defined contribution
pension plans. The largest pension plans are in
Germany, the United States, the United Kingdom,
and Switzerland. Contributions and amounts
recognized as expense for state plans and defined
contribution plans came to €  1,932  million in
fiscal 2021. Of this figure, amounts recognized as
expense for defined contribution plans were
€ 484 million. Contributions to state plans came to
€ 1,449 million. Employer contributions to defined
benefit plans amounted to €  2,041  million. The
company’s major defined benefit plans are funded
with assets in segregated entities. In accordance
with local laws, these plans are managed in the
beneficiaries’ interest by way of contractual trust
agreements with each separate legal entity. The
defined benefit plans cover 442,000 participants,
including 178,000 actives, 84,000 deferreds with
vested benefits, and 180,000 retirees and surviving
dependents.
1 Figures comprises the total of continuing and discontinuing operations.

Changes in age distribution
The distribution of employees by age group remained
almost unchanged from the previous year. The average
age in the reporting period was 42 years.

Commitment to fair pay
We want to guarantee fair pay (coverage of basic
needs) at least in accordance with the statutory
national minimum wage. Subject to national
regulations, Siemens adheres to the principle of
“equal pay for equal work,” for instance equity in
wages for women and men with the same job profile/
same role.

We also review pay parity at regular intervals, so as to eliminate unjustified differences (with the same job
profile, role, competencies, experience, and
performance, etc.), as further testimony to our
unwavering commitment to fair payment for
employees. In 2021 we reviewed our 21 largest
countries (selected by revenue) on the basis of our
defined, market-based pay parity methodology. We are
working with the companies in these largest countries
to establish a long-term cultural change in support of
our targets.
25 %
24 %
44 %
30 % 30 %
28 %
25 %
38 %
23 %
26 %
26 %
15 %
17 %
20 %
26 %
3 %
< 35 35 – 44 45 – 54 > 54
1 Commonwealth of Independent States.

Age structure
(as a percentage of total employees) September 30, 2021 Siemens
Europe, C.I.S.,¹
Africa, Middle East
Americas
Asia, Australia

5.1 Working at Siemens

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1 Principles for Responsible Investment.
2 Undertakings for Collective Investments in Transferable Securities. 3 EU 2019 / 2088.

The Siemens Group also takes a sustainable approach
to the oversight of the pension investment process,
applying an ESG framework.

Siemens Pensionsfonds AG has been a PRI1 signatory
since 2020. All asset managers must be PRI
signatories and be able to provide evidence of an
ESG policy. ESG factors are integrated into the
investment process. Siemens Pensionsfonds AG
invests selectively in liquid asset classes, with a focus on companies that have an above-average ESG
rating (best-in-class approach). Among the key
elements of the ESG reporting are ESG scores and
the portfolio’s carbon footprint.

The internal asset manager, Siemens Fonds Invest
GmbH, has also been a PRI signatory since 2020, and
has adopted its own ESG policy to define how ESG
factors are treated in the investment process.

Siemens Fonds Invest GmbH is working on
converting all its publicly traded funds (UCITS2) into
sustainable Article 8 funds under the EU Disclosure
Regulation 3.

Work-life balance
There is an increasing desire for more flexibility and
more individual solutions depending on phase of life
when it comes to organizing working hours and work
location. For this reason, we offer our people flexible working models, which are structured according to
the local requirements in their various countries, and
in ways compatible with the employees’ roles.

Examples include mobile working, part-time hours,
sabbaticals, time-outs, parental leave, and partial
early retirement.
→ Mobile working will establish itself after the pandemic as the core element of a New Normal and promote a sustainable work culture and working
environment THE COVID-19 PANDEMIC.
→ With mobile working within this New Normal, we
want to motivate our people, improve the company’s performance, and strengthen Siemens’ profile as a flexible, attractive employer. Mobile
working and flexibility of work location in the
hybrid New Normal Working Model (2–3 days of
mobile work per week as a worldwide standard
offering for our people) also strengthens our ability to attract and retain the best talent for Siemens.

Our DEGREE ambition of global commitment to
the New Normal Working Model supports this aim
worldwide.4
→ We also encourage balance of work and caregiving relatives. Siemens is well aware that this concern is growing in importance, and we support our people in Germany who provide care for family members. We offer these people various
support options through the Elder Care program.

This program is based on four pillars: time off
work and flexible working, communication,
counseling, and training in health matters.

Childcare at Siemens
As part of its family-friendly corporate policy, for
fiscal year 2021 Siemens AG supported its people in
Germany with a general tax-free childcare allowance
of up to € 100 per calendar month per child for the
care of preschool-age children at a kindergarten or
similar establishment. In addition, Siemens AG grants
its part-time employees in Germany (15-30 hours per
week) a further tax-free childcare allowance during
parental leave. For fiscal 2021, this amounted to up
to € 500 per child per calendar month for childcare
at a kindergarten or similar establishment, for
children up to 14 months of age.

For our people in Germany, there are also further
options, such as around 1,500 5 childcare places, a
summer vacation childcare program, and parent-child
health retreats.
4 For employees with job profiles that make this possible and reasonable.

The Siemens New Normal Working Model is not offered at SHS. 5 Excluding SHS.

5.1 Working at Siemens

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The FutureOfWork@SIEMENS initiative
As a future-oriented company, we have a responsibility
to actively consider and shape the influence of current and future trends on our people, our work, and our
working environment. This is what lies at the heart
of the #FutureOfWork initiative. In order to tackle
structural change, it engages with two essential
questions: HOW will we work in the future
(#NewWork), and WHAT will we work on in the future
(#NextWork)?
→ #NewWork includes making organizations more
flexible and developing individual and
organizational adaptability, such as agile forms
of organization and forms of collaboration,
leadership, and flexible working conditions.
→ #NextWork addresses the existential question of
our future jobs, namely which activities and roles
will exist tomorrow and beyond – both inside and
outside our company. In this context, we identify
the capabilities needed to enable an organization
as a whole, but also our individual people, to
prepare for the work of tomorrow.

To succeed, this collaborative design of #NewWork
and #NextWork must rely on a cultural change that
can only be brought about through the cooperation
of all our people.

Our talent programs for individual career
paths
Through a focused integration and development of
the next generation of leaders, we make a sustainable
contribution toward a diverse, agile management
team, and thus to the transformation of Siemens.
→ The Siemens CEO* Program is an exceptional
opportunity for outstanding candidates in the
field of general management. By specifically
developing their leadership skills and their global
networks, the program prepares participants for
future management responsibilities, especially in
fast-growing digital business models.
→ The Siemens Finance Excellence Program (FEP) is
a finance leadership program and a stepping
stone for future leaders in finance who have a
digital mindset. All FEP associates are assigned a
personal mentor from among Siemens’ finance
leadership team, accompanied by customtailored development programs. → The Siemens Graduate Program (SGP) is an
international trainee program that offers a
personalized career path for ambitious “master
graduates,” with a customized development track
and excellent networking opportunities
throughout the company.

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At Siemens, we make a practice of transforming daily
life – for our customers, our people, and society at
large. But this transformation also means committing
to diversity, equity & inclusion. To us, diversity stands for the inclusion and interaction of different ways of
thinking, backgrounds, experiences, skills, and
individual qualities across all levels and dimensions
of the company. Equity is an integral part of our
corporate culture. Inclusion enables every voice to be
heard and get involved. The sense of belonging
strengthens our people and taps hitherto unused
growth potential for everyone. In a nutshell, this
means: #BelongingTransforms.

We actively promote diversity, equity, and inclusion
by creating a working environment that is open and
appreciative for all. Our commitment to human rights
is anchored in the Siemens Business Conduct
Guidelines (BCGs). We do not tolerate discrimination
of any kind. The guidelines clearly state: “We respect
the personal dignity, privacy, and rights of each
individual.“ They also make it clear that Siemens is
committed to maintaining a workplace that is open
to everybody regardless of ethnic origin, culture,
religion, age, disability, skin color, gender, sexual
identity and orientation, or world view. HUMAN RIGHTS
A global strategy with local
implementation
We have been working for years now to build a
diverse, equitable, inclusive corporate culture – and
have had measurable success, for example on the
share of women in management positions globally.

In past years we established a global Diversity,
Equity & Inclusion network, which is active in many
regions of the world. Working with our Chief
Diversity Officer (CDO), the global Diversity,
Equity  &  Inclusion Office provides support and
assistance for a great many activities.

Siemens  AG and the company’s Central Works
Council have adopted a Diversity Charter for
Germany. It provides an anchor for the strategic
relevance of diversity, as well as the key principles
by which diversity can be appreciated.

Through sponsorships and strategic partnerships,
we are also involved in other formats and initiatives,
such as the “Charta der Vielfalt” diversity charter and the “Chefsache” initiative.

We continually assess how well these measures are
succeeding and revise our initiatives to enhance
diversity further. We employ key figures such as the
percentage of women, generations, and nationalities
as a way of regularly monitoring the efficacy of our
workforce diversity initiatives. In 2021, Siemens
received a great many diversity prizes and awards all
over the world, including “Forbes Magazine’s Best
Employers for Women” and a “100 % rating from the
– Focus on strengthening sense of belonging
– “Diversity Charter” reinforces respect for
diversity
– A DEGREE ambition: 30 % female share in Top
Management by FY251

5.2 Diversity, Equity & Inclusion
1 Not applicable to SHS.

5.2 Diversity, Equity & Inclusion
SIEMENS SUSTAINABILITY REPORT 2021 100

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Disability Equality Index” in USA, and “Human Rights
Campaign Foundation – Mejores Lugares Para Trabajar
por Equidad LGBT“ in Mexico.

Pride@SIEMENS: Network for
the LGBTIQ* community
Siemens supports the UN initiative for global
LGBTIQ* Standards of Conduct for Business. Many
locations fly rainbow flags, especially in the week
before Christopher Street Day. This is how Siemens
takes a stand and commits to “color for more
openness,” a signal to all that we welcome everyone,
whatever their sexual orientation. On top of that,
since 2018 every Siemens social media channel has
been rainbow-colored throughout Pride Month. We
also provide ways for our LGBTIQ* people to network
with each other around the world. Just one example
is Pride@Siemens, a network for our people who
identify as lesbian, gay, bisexual, transsexual, or
intersex, and for their allies.

Women in the workforce
In 2021, the percentage of women in the workforce
at Siemens is at 27 %1.

We aim to keep expanding gender equality. Our
commitment to advancing women at all levels of the
company is not limited to complying with statutory
or regulatory requirements. For instance, we aim to
increase the number of women in top management 2
to 30 % globally by September 30, 2025.3 We are
also pursuing a variety of initiatives, programs, and
measures to advance a cultural change toward gender
parity, diversity, and integration. Among the many
different women’s networks around the world are:
1 Varian included.
2 This does not affect local or company-specific diversity targets and requirements set by law or regulation. More details about the targets and staffing requirements that apply to Siemens AG, as well as the diversity concepts that are being pursued for the Supervisory Board and Managing Board of Siemens AG, can be found in the annual “Corporate Governance Statement” available on the Siemens Investor Relations website, under the “Corporate Governance” heading.
3 Not applicable to SHS.
1 Employees in management positions include all managers with disciplinary responsibility. Varian included.
li i
Employees in management positions 1
September 30, 2021

19.6%
Employees in management
positions
Percentage of female employees
in management positions
29,900

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→ Leading Women in Industry (LWI): The in-house
LWI network is committed to helping place
women in more management positions. We
advance this mission with strategic fields of
action such as flexible working hours, mobile
working, and individual career development.
→ Global Leadership of Women@Technology &
Innovation (GLOW@TI): This in-house network for
women with a background in science aims to
promote careers for women.
→ GROW2GLOW: The GROW2GLOW network
provides business coaching for women as a way
of helping them realize their full potential.

Inclusion of persons with disabilities
Siemens advocates equal opportunity for persons
with disabilities, their inclusion in society and the
workplace, and their self-determined participation
and right to be treated with respect. What counts for
us is the person – disabilities should have no relevance at all. For that reason, we also aim for a barrier-free work environment. But at Siemens, inclusion means
more than just accessibility. It is a holistic way of
thinking and acting that eliminates both visible and
invisible barriers, and encourages a culture of aware,
equal-opportunity participation and understanding
as a way of supporting and enabling persons with
disabilities.

The Ability@Siemens initiative aims to promote a
culture of integration for the around 5,000 disabled
employees currently working at Siemens in Germany.

It is based on a groundbreaking inclusion agreement
with the General Representative Board for Disabled
Employees.1
Siemens also supports the worldwide #PurpleLightUp
movement, which honors the economic contribution
of working persons with disabilities all over the world, as a signal of respect for the International Day of
Persons with Disabilities (IDPD) proclaimed by the
United Nations, celebrated on December 3 each year.

In 2021 Siemens also joined the Valuable 500 – an
initiative launched by the World Business Forum to
place the concerns of persons with disabilities on
companies’ management agendas.
1 Inclusion Agreement for Siemens AG Germany.

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Our company’s success depends on having highly
qualified and skilled people: the right people with
the right skills are crucial to our growth. That’s why
we invested approximately €318 million in
employee education and training in fiscal 2021.

Vocational training to start your career
Through its educational institution Siemens
Professional Education (SPE), Siemens is one of the
largest companies in Germany for secondary school
graduates. Currently the company has
4,711 apprentices and students in dual study programs
in Germany, 1,029 of them coming in from other
companies and 3,682  employed at Siemens. In
autumn 2021, 1,085  school graduates began an
apprenticeship or dual study program with our
company. In addition to these learners in Germany,
we train more than 2,000 young people all over the
world. Our SPE program includes apprenticeships and
dual study programs in technical, IT, and commercial
fields and also offers development opportunities for
disadvantaged young people.

International Tech Development programs: Our
international programs are intended for members of
the upcoming generation from Europe and beyond.

In a format tailored to the needs of international
business, we teach core components of the dual
vocational education and training, which helps foster
employability wherever the participants reside. At
present, our programs have 45  participants from
17 countries.

Lifelong learning is crucial to success
In the past fiscal year, Siemens spent €165 million on
employee training, which corresponds to an average
of € 573 per employee. We have a wide range of
learning content and formats to help our people
enhance their qualifications.
– Broad portfolio for vocational education and
training (VET) and lifelong learning
– “MyGrowth” program to develop a companywide growth mindset – One of our DEGREE ambitions: Double digital
learning hours by 2025 1

5.3 Professional education and
lifelong learning
1 Not applicable to SHS.

Global Learning World (GLW) is an in-house training
establishment that offers ongoing training for our
people around the globe. We provide a broad range
of courses: Along with content in technology and
other specialties, they also include developmental
courses for social skills like team leadership and team building. On average, each employee spent about
22 hours in training during the fiscal year. In terms
of the DEGREE ambitions, excluding Siemens
Healthineers, each employee completed about
17  hours of digital learning. Management
compensation includes long-term performance
incentives based on ESG criteria and is defined under
€ 165 million
invested in employee training.

This equated to an average of €573 per
employee in fiscal 2021.

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Governance in our DEGREE framework. Assessments
are based on the internal ESG/Sustainability index,
including reduction of CO2 emissions, digital learning
hours per employee, and the Net Promoter Score
(NPS) for measuring customer satisfaction.

SUSTAINABILITY GOVERNANCE AND ORGANIZATION
People development programs
customized for global or local use
Our range of options in our people development
includes the following programs:
→ The Siemens Core Learning Paths (CLP) are
specifically designed for areas like Sales, Project
Management, Procurement, Production, and
Software Architecture. They provide the target
group with self-guided learning content and
trainer-supported virtual training sessions. In
fiscal 2021, a total of 28 Core Learning Paths
were made available to the relevant target groups
around the world. The earned qualifications are
internationally comparable within Siemens and
create career opportunities for our people
throughout the company, and therefore they
support and promote systematic personnel
development.
→ The Siemens Potential Development Programs
(PDP) comprise more than 30 decentralized
development programs for selected employees
with potential. The emphasis is on professional
development, preparing for future roles, and
personal growth. In addition to targeted
development measures such as training,
mentoring, shadowing, and assignments abroad,
participants benefit by expanding their
professional networks and becoming more visible
to management. This is how the programs also
make a significant contribution to strategic
succession planning. Some of the PotentialDevelopment Programs are specifically designed for the advancement of women.
→ The GLOW@TI (Global Leadership of Women@
Technology & Innovation) initiative focuses on
attracting, developing, and retaining talented
women with a background in STEM or innovation
fields. It supports women in realizing their full
potential and aims to promote a culture of innovation through strong networks between departments and organizations. → The Siemens Leadership Excellence (SLE)
programs are aimed at high-ranking executives
on various levels with the goal of strategically
strengthening succession planning and
promoting the corporate culture. These programs
support participants in identifying sustainable
and effective solutions for their business
challenges and provide a shared understanding
of core competencies needed for management
and transformation. The programs also support
us in building a strong global network of
managers, both within the company and beyond.

Future-oriented learning and career
growth and development instruments
The MyGrowth program combines our learning and
career development tools and content, and is intended
to promote continuous growth. MyGrowth has three
components:
→ MyGrowth Self-reflection: To build a successful
career, it’s essential to know one’s own strengths
and weaknesses and to be aware of one’s
personal stage of development. A variety of tools
and services are offered with content like coaching (Peer2Peer), identifying strengths (Strengthscope), and perception by others (feedback tool). → MyGrowth Learning (My Learning World): Our
online learning platform offers more than
100,000 learning resources that aim to satisfy our
people’s different interests and special
requirements. Our people can benefit from a
large number of learning formats here, including

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videos, e-learning modules, virtual training
courses, technical literature, podcasts, and
e-books. Through the use of artificial intelligence,
users also receive customized recommendations
for learning content based on their usage
behavior.
→ MyGrowth Career (Own Your Career): “It starts
with you”: This concept allows you to shape your
own career development; it’s integrated into a
holistic concept and is based on your current
situation. The core components are the Open Job
Market, Job Tagging (where you can show you’re
interested in a particular job), a People Profile to
increase your visibility, and Job Shadowing and
Mentoring to learn from and with others.

The new Growth Talks are regular, forward-looking,
strength-based conversations that support both
individual and organizational growth, performance,
and well-being. Support materials such as discussion
guidelines, questions for reflection, and workshop
templates help our people, teams, and managers
maintain an ongoing, respectful, and encouraging
dialog about individual development and learning.

The well-established Performance Management
Process (PMP) also focuses on developing our people
in their current role and on strengthening their
performance. The continuous dialog between our
people and management builds transparency and a
shared understanding.

Future Fund supports transition
to a new work world
Siemens AG and its Central Works Council
intend to proactively shape the structural
transformation. We’re working together to
create a learning organization that is able to
master structural transformation while also
optimizing opportunities for change that can
benefit our people. A Future Fund has been
created for this purpose. It encourages
development programs intended to support our
people in staying oriented in a disruptive
employment environment and enabling them
to qualify and learn beyond their previous
limits. It finances projects relating to structural
change that go beyond site boundaries, with
support from site management and Works
Councils.

A total of €100 million has been made available
for the Future Fund for four (fiscal) years
starting in January 2019.1 More than €8 million 2
was approved for Future Fund projects in fiscal
2021. After a surge at the beginning of the
initiative, fewer applications were submitted
compared with the prior year.
1 The fund included Siemens Energy until that company
was spun off.
2 Excluding Siemens Energy and SHS.

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Maintaining, fostering, and improving the safety and
well-being of our people is a key task of our
organization. It’s enshrined in our Business Conduct
Guidelines (BCGs), our internal monitoring systems,
and our company-wide risk management and control
process. The “Siemens EHS Principles” provide the
binding core and anchor for our actions in this area.

The Principles also include an obligation for all
operating units to document a management system
certifiable to ISO 45001. The efficacy of these
management systems is reviewed internally every
year and is also certified externally at the operating
units in keeping with market requirements. The
conversion of management systems from OHSAS 18001
to ISO 45001 was successfully completed.

The Environmental Protection, Health Management,
and Safety (EHS) professional function bears much of
the associated responsibility at Siemens. It’s organized locally, it’s integrated into each area of business and each national company, and it reports directly to the
respective business managers. The EHS Officers
coordinate collaborations with experts in the many
different fields of action involved. The main task of
this professional function is to advise managers and
teams and support them in managing their specific
areas of responsibility. Its profile has changed
significantly in recent years: Rather than monitoring
compliance with rules and workflows, the focus is
now on supporting our people in dealing safely with
dynamically changing requirements.

Occupational safety and health management are
incorporated into our DEGREE framework, primarily
under “E” for Employability.

COVID-19 pandemic places new demands
on health and safety management
Maintaining and strengthening individual and
organizational resilience – and by the same token, the
sustainability of our operating business – became
even more important during the COVID-19 pandemic.

Our health and safety management proved once
again to be reliable and fully capable of handling this crisis.

The impact of the pandemic varied in different
countries and different operating businesses. We
established a global internal COVID-19 monitoring
system at an early stage to identify developments
promptly and respond quickly. Our sites were put
under partial or complete temporary lockdown.

However, on the basis of our protection concepts,
business continuity was largely unimpaired.

We provided extensive testing opportunities and
promoted vaccination in a number of countries. To
support our people and their families in countries
where the public healthcare system faced especially
severe challenges, Siemens Medical Services offered
assistance, organized hotels where our infected
people could be isolated, and relocated medical
equipment to regions where it was most needed.
– The COVID-19 pandemic: a trial by fire for
worldwide EHS management
– Healthy and Safe @ Siemens program launched
– Accident rates reduced even more

5.4 Occupational health and
safety management

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Inclusion, interaction, and personal
development
The pandemic accelerated the digitalization of our
work systems. Last year, our people were working
wherever possible on a mobile basis – a hitherto
unknown situation that had both positive and
negative implications for their health, safety, and
well-being. Our people were faced with many
changes and adjustments. We’re working actively to
channel these changes toward a “New Normal” with
a more flexible, more adaptable, and more selfdetermined way of working. To keep the change and adjustment process healthy and safe, we
concentrated on encouraging interaction, intensifying
communication, and offering focused learning
opportunities with the goal of optimally including
teams in designing their own jobs.

In addition to health and safety trainings on specific
topics, we significantly expanded the scope of other
opportunities for learning and dialog, especially
pertaining to resilience, psychological safety, and
psychosocial risk management. 1
→ Both managers and team members can take advantage of continuously updated digital options for self-paced learning: for instance, via the EHS
Channels and Knowledge Boards in Siemens
Learning World.
→ More time has been provided for discussions
among managers and team members about
health, safety, and well-being on the job. The
(virtual) “Walk & Talk 2.0” and EHS-related internal social networks are one expression of this intensified interaction and dialog.
→ Another example is the “Improvement Dialog”
approach that’s a key component of the Healthy
and Safe @ Siemens program. “Improvement
Dialogs” are initiated on specific health and safety
topics or related issues. The dialogs collect a variety of views and experiences and then changes and improvements are explored and adopted.
→ For health and safety experts, there’s a “Future
Skills @ EHS” initiative that provides an orientation with comprehensive learning resources.

We’ve also introduced an “Advanced Safety
Futures” program for the EHS professional function,
whose participants will become the ambassadors
of an expanded understanding of health and
safety management.

We encourage our people to get involved in order to
ensure healthy, safe working conditions, and we
foster self-organization as one of the best ways to
deal with the requirements of the “new normal.”
The new Healthy and
Safe @ Siemens program 1
A major milestone this fiscal year was the launch of the Healthy and Safe @ Siemens program as the successor
of two separate previous programs, Healthy@Siemens
and Zero Harm Culture@Siemens. In the new program,
our people at company locations performed a selfassessment followed by “improvement dialogs” on four main topics:
1 Siemens excluding SHS.

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The program’s framework has been enlarged to
organizational resilience: It no longer focuses entirely on bodily health and integrity, but now places more
attention on mental health and psychological safety.

This is intended to strengthen the sense of well-being
and the resilience of our people and to support them
in dealing with change. The key was actively involving
the workforce in designing their work environments.

In our local organizations, health and occupational
safety committees play an important role, with
management and employee representatives working
together to coordinate initiatives for a healthy, safe
work environment. Many Siemens local companies
also developed supplementary campaigns. In
Germany, for example, a comprehensive range of
instruments was applied to improve resilience (a
“Resilience Toolbox”), and many colleagues took
advantage of it.

New Healthy and Safe @ Siemens program
Foster Positive
Work Climate
Evolve Leadership
in Health and Safety
Optimize
Processes & Resources
Enhance Health and Safety
Learning
Resilience toolbox
Leadership
training
Resilience
coaching
24/7 available
elements (online)
Integrated offers
from partners
Team
workshops
Lectures for all of
our people
Action modules
for Health &
Safety Days
Toolbox
elements

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The Healthy and Safe @ Siemens program also aims
for two important objectives that have been
incorporated into the Siemens DEGREE framework1:
→ 100 % access to EAPs (Employee Assistance
Programs) by 2025
As an integral part of our psychosocial risk
management, the EAPs help everyone anonymously
to identify and to cope with psychosocial personal
stressors. In 2021, 87 % 1 of our colleagues had access to these programs. By that we want to support all our
people around the world to establish health
promoting behaviors – and also to raise awareness
of psychosocial issues in society as a whole.
→ Improving the global accident rate (Lost Time
Injury Frequency Rate, LTIFR) by 30 % by 2025
(base year: 2020)
In reference to the target in the Siemens DEGREE
framework of reducing the accident rate (LTIFR) by
30 % by 2025 (base year 2020: LTIFR 0.311) an
improvement to 0.271 has already been achieved.

Accident numbers low
The number of work-related accidents further declined
in the last fiscal year.

The majority of incidents are finger injuries and the
consequences of falls or slipping. Many incident
reports indicate that despite all efforts at prevention and inspection, a hazard wasn’t properly identified or
eliminated.

LTIFR Employees and Temporary Workers¹
Fiscal year
2021 2020
Employees 0.27 0.28
Temporary Workers 2 0.39 0.68
Total 0.28 0.30
1 Lost Time Injury Frequency Rate: number of lost-time cases (LTC) x 200,000/work hours; LTCs are accidents that result in at least one lost day of work.

Siemens including SHS.
2 As a globally operating company, Siemens isn’t always authorized or able to obtain sensitive information about contract workers’ health and occupational safety or complete figures on their work hours. As a result, the Temporary Worker LTIFR for Siemens includes only temporary workers hired by a temporary employment agency or under a contract for work and services.

Fatalities (work-related)
Fiscal year
2021 2020
Employees – –
Temporary Workers 2 –
Contractors 2 1
Total 4 1
Despite declining accident rates, there were four fatal accidents in fiscal 2021. Two temporary workers suffered fatal electrical shocks, one while testing a transformer and the other while performing maintenance on a circuit breaker. The third fatality was a contract worker who fell from a roof during demolition work. Another contractor was run over by a mobile crane during transport work.

Each accident is a source of grief for the people concerned and their families, friends, and colleagues. And for us as a company, it’s a renewed call to keep ensuring and improving a safe, healthy work environment for our people and partners.
1 Siemens excluding SHS.
13 %
Reduction in accident rate (LTIFR)
compared to previous year
according to our DEGREE ambition 1

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Corporate citizenship is Siemens’ voluntary
commitment to delivering benefits for society in every
country in which we operate. As defined by Werner
von Siemens over 170 years ago, the company’s
mission is to provide technologies that improve quality of life and create lasting value for society. Based on the SDGs, we identify topics that are relevant for the
development of a country and illustrate how we are
making a positive contribution to achieving them. The
goal of this approach is not to reduce the risks
associated with the company’s business activities, but
to give something back to the societies in which the
company operates. Thus, corporate citizenship is an
important element of our company’s sustainability
strategy, one that is embedded in our DEGREE
framework, specifically the main focus is on “Equity,”
which strengthens the identification of different target groups with the company, and on “Employability,”
which is achieved through a range of training measures
covering all phases of life.

Based on our core business and our competencies,
Siemens has defined three strategic focus areas for
its corporate citizenship activities: access to
technology, access to education, and sustaining
communities. Our corporate citizenship activities
extend beyond traditional philanthropy. We harness
our technological competencies and leverage our
capabilities and products.

The Siemens Stiftung, along with six other Siemens
foundations, complements our corporate citizenship
initiatives. OUR MOST IMPORTANT AREAS OF IMPACT
HTTPS://WWW.SIEMENS-STIFTUNG.ORG/EN/FOUNDATION/

BENEFACTOR/
– Improving people’s living conditions
– Giving societies access to knowledge and
technologies
– A variety of projects with three strategic
priorities

5.5 Corporate citizenship
With the aid of our core competencies
in digitalization, automation, and
electrification, as well as scientific
research, we strive to give as many
people as possible the chance to use
the latest technologies.

Knowledge is a resource on which our
future depends. Therefore, improving
educational prospects and allowing
broad access to education are critically
important challenges for all societies
everywhere in world.

Our goals are to establish stable living
conditions, protect values, unleash
creativity, improve intercultural
understanding, and contribute to
progress.

Our Core Areas
Access to
technology
Access to
education Sustaining
communities

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Creating lasting value with a
shared-value approach
In accordance with our corporate strategy AT A
GLANCE, responsibility for the selection and
management of nonprofit and socially innovative
activities lies with the local units or local management in each country. This approach is designed to make
sure that we provide support and create value where
it is needed most. In the process, we combine indepth local knowledge with the need for a long-term commitment to overcome social challenges that may
vary from region to region.

Our goal in each society is to help improve general
living and healthcare conditions (access to technology), enhance educational and training opportunities for the
labor market (access to education), and strengthen
social cohesion and cultural identification (sustaining communities). At the same time, we enhance the
reputation of Siemens, strengthen its local footprint,
create a wider understanding of its technologies,
position ourselves as an attractive employer, and lay
the foundation for future innovation. We measure the
achievement of these goals on the basis of the
individual underlying targets.

With our principles on sponsorship activities,
donations, charitable contributions, and memberships,
we have also created a global framework that provides
guidance for local activities. The guidance outlines
how all kinds of potential contributions can be
employed correctly and in a targeted manner while
ensuring transparency regarding all activities
worldwide.

Corporate volunteering is an important lever and
driver of the corporate citizenship activities of
Siemens: Our own Corporate Volunteering Standard
outlines a common global concept and a framework
for Siemens AG. Corporate volunteering is an efficient
way for individuals to make a difference in society and helps to enhance employee satisfaction and retention.

One example of this work is the transnational
initiative of the employees of Siemens Financial
Services. In 35 projects, for example, children’s facilities and parks are cleaned up on a sustainable basis.

Another significant factor of corporate responsibility
at Siemens are our employee donation programs,
which combine the company’s commitment to society
with our people’s wish to be more engaged on a
personal level. The Cents4Sense program allows
employee shareholders to donate one dividend of
their Siemens shares to support social projects. Since
it began in 2018, Cents4Sense has raised nearly
€ 655,000 for selected social projects.

Access to education is relevant for
societies around the world
The promotion of education can take different forms
and pursue different objectives, but the overriding
goal is to enhance future opportunities and give
young people the tools to master future challenges.

Thanks to its width and depth, the Siemens portfolio
offers a variety of opportunities for tackling problems that vary from region to region and for finding the
best possible solutions in close cooperation with local partners. In doing so, Siemens also improves market
access for qualified and urgently needed young
professionals, thereby positioning itself as a reliable partner for the public sector.

Our commitment ranges from enabling STEM- oriented
training and promoting excellence through competition
to providing free software licenses and setting up new
institutional education paths, such as dual education
and apprenticeship systems.
1 Community investment includes donations as well as sponsoring activities in the areas of education, science and the arts and culture.
26 %
Americas
48 %
EMEA
Fiscal 2021
€ 40.6 million
total
26 %
Asia,
Australia
Community Investment 1

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A pillar of the educational mission of Siemens Turkey
is the provision of scholarships for talented, but
financially disadvantaged youths. A key aspect of this
program is to evenly promote all genders. Another
important element is the assignment of mentors from
Siemens Turkey. Since 2018, 40 students have
received financial support and have been accompanied
by more than 50 Siemens mentors. The Darüssafaka
Robotic Club provides targeted assistance to children
who have lost their parents and prepares them for
professional careers.

Access to technology on the basis of our
core competencies
Access to modern and reliable infrastructure, for
example by securing the energy supply, clean water,
or even basic medical care, is a fundamental
prerequisite, especially in developing countries, for
improving the quality of life of many people and
securing prospects for their future.

Another way that Siemens helps people improve their
life prospects with the aid of education is to provide
laptops and digital devices to socially disadvantaged
families in countries such as Germany, Portugal,
Canada, and Singapore. These programs are
accompanied by knowledge transfer workshops led
by our people.

Promotion of social cohesion
Local identification with cultural heritage is also
important for social cohesion. That is why we have a
philosophy of supporting cultural and social activities as well. The “Siemens Art Program” in particular goes
a long way to helping us live up to this objective
through a diverse range of projects, such as the
“Fascination with Science” project by the photo artist
Herlinde Koelbl.

The protection of the environment and the
conservation of natural resources are two goals that
are also of the utmost importance for sustaining
communities. On the occasion of Earth Day, for
example, Siemens UK provided educational materials
to 214 elementary schools so that children can be
taught how to conserve natural resources.

Impactful corporate citizenship
Everywhere in the world, people are adversely
affected by unforeseeable events and disasters
such as disastrous floods and even the COVID-19
pandemic.

The company has therefore set itself the goal
of tackling regionally different problems and
finding the best possible solutions in close
cooperation with the local authorities.

Immediate humanitarian aid may consist of
financial and particularly also technical support
on the basis of the company’s portfolio. Our
people are also activated by way of donationmatching campaigns.

One example of such work is the immediate aid
provided after the devastating floods that
struck Germany, Belgium, and the Netherlands
in July 2021. Siemens supported the efforts of
different emergency response organizations
to alleviate the suffering caused by the floods
with donations totaling €2.1 million, including
€1.2 million donated by our people. In addition,
the “Siemens4Siemens” app developed on the
basis of Mendix software enabled affected
employees to receive urgently needed in-kind
assistance from other employees.

To combat the COVID-19 pandemic, donations
totaling more than €5.7 million were used
particularly to provide medical equipment,
improve hygiene measures, and ensure basic
care for disadvantaged groups via Siemens AG
donation initiatives and the Siemens Caring
Hands relief fund in fiscal 2021.

A skilled workforce is essential for the growth of a
nation and the living conditions of its population. In
China, Siemens promotes the “China Intelligent
Manufacturing Challenge” contest, in which more than
60,000 university and vocational school students have
participated since 2011. By involving a strong network
of partners, this program promotes the sustainable
development of engineering education in the country,
which also benefits companies like Siemens.

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Our sustainability
indicators
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Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard

SIEMENS AT A GLANCE
Total revenue Total Fiscal Year Billion € 62.3 55.3 12.7 % GRI 201-1,
WEF
Contribution to GDP (gross domestic
product) generation 1 Total Fiscal Year Billion € 281 n. a. WEF Jobs enabled 1
Total Fiscal Year No. (rounded) 5,000,000 n. a. WEF
in developing and
emerging countries Fiscal Year No. (rounded) 2,600,000 n. a. WEF Research and development 2
R&D expenses Total Fiscal Year Billion € 4.9 4.6 6.4 % WEF R&D intensity Total Fiscal Year % of revenue 7.8 % 8.3 % – 5.6 % Additions to capitalized development
expenses Total Fiscal Year Billion € 0.3 0.4 – 33.6 %
Average number of R&D employees Total Fiscal Year No. (rounded) 42,500 40,800 4.2 % Patents granted Total Sept. 30th No. (rounded) 43,400 40,900 6.1 %

GOVERNANCE
Compliance (continuing and discontinued operations)
Compliance cases reported
Total Fiscal Year No. 394 332 18.7 %
GRI 205-3,
206-1, 307-
1, 406-1,
419-1, WEF
allegations of
bribery Fiscal Year No. 9 3 n. a.

GRI 205-3,
206-1, 307-
1, 406-1,
419-1, WEF
allegations of
bribery related to
actual year Fiscal Year No. 5 n. a.

GRI 205-3,
206-1, 307-
1, 406-1,
419-1, WEF
allegations of bribery
related to previous
years Fiscal Year No. 5 n. a.

GRI 205-3,
206-1, 307-
1, 406-1,
419-1, WEF
Disciplinary sanctions
Total Fiscal Year No. 121 188 – 35.6 %
GRI 205-3,
WEF
warnings Fiscal Year No. 62 90 – 31.1 %
GRI 205-3,
WEF
dismissals Fiscal Year No. 49 63 – 22.2 %
GRI 205-3,
WEF
others 4 Fiscal Year No. 10 35 – 71.4 %
GRI 205-3,
WEF
Business Conduct Guideline Training –
graduating quota current year Total Fiscal Year
% of invited
employees 92.6 % 86.1 % 7.6 %
GRI 205-2,
WEF
1 Based on FY 2019 data. Calculation methodology described in the Annex. 2 Continuing Operation (with Varian / without Flender). 3 Does also include allegations of granting benefits (but not taking bribes); time of the alleged misconduct may be in more than one period or may be unspecified. Therefore it can be included in both categories.
4 Includes loss of variable and voluntary compensation elements, transfer, and suspension. 6 Our sustainability indicators
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Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
Business Conduct Guideline Training –
persons graduating current year
Total Fiscal Year No. (rounded) 72,000 165,000 – 56.4 % GRI 205-2,
WEF
EMEA Fiscal Year No. (rounded) 34,000 105,000 – 67.6 %
GRI 205-2,
WEF
Americas Fiscal Year No. (rounded) 19,000 27,000 – 29.6 % GRI 205-2,
WEF
Asia / Australia Fiscal Year No. (rounded) 19,000 33,000 – 42.4 % GRI 205-2,
WEF
Graduated other specific Compliance
trainings for employees Total Fiscal Year No. (rounded) 374,000 277,000 35.0 % GRI 205-2,
WEF
Integrity Initiative – Projects Total
up to
Sept. 30th No. 85 77 10.4 %
GRI 102-12,
WEF
Integrity Initiative – Finance budget
provided Total
up to
Sept. 30th Million US $ 120.0 98 21.8 %
GRI 102-12,
WEF
Supply chain management
Purchasing Volume (PVO) / Procurement
volume Total Fiscal Year Billion € 27.8 26.7 4.1 % GRI 102-9 Number of relevant (> € 10,000 annual
volume) suppliers Total Fiscal Year No. (rounded) 63,000 65,000 – 3.1 % GRI 102-9 Sustainability self-assessments 1
Total Fiscal Year No. 4,267 4,759 – 10.3 %
GRI 308-2,
407-1, 408-
1, 409-1,
414-2
EMEA Fiscal Year No. 1,505 1,439 4.6 %
GRI 308-2,
407-1, 408-
1, 409-1,
414-2,
Americas Fiscal Year No. 555 936 – 40.7 %
GRI 308-2,
407-1, 408-
1, 409-1,
414-2
Asia / Australia Fiscal Year No. 2,207 2,384 – 7.4 %
GRI 308-2,
407-1, 408-
1, 409-1,
414-2
Agreed improvement measures out of
Sustainability self-assessments Total Fiscal Year No. 3,604 3,279 9.9 % GRI 308-2,
414-2
Supplier quality audits with sustainability
questions
Total Fiscal Year No. 319 374 – 14.7 %
GRI 308-2,
407-1, 408-
1, 409-1,
414-2
EMEA Fiscal Year No. 116 144 – 19.4 %
GRI 308-2,
407-1, 408-
1, 409-1,
414-2
Americas Fiscal Year No. 89 77 15.6 %
GRI 308-2,
407-1, 408-
1, 409-1,
414-2
Asia /Australia Fiscal Year No. 114 153 – 25.5 %
GRI 308-2,
407-1, 408-
1, 409-1,
414-2
1 To be conducted mainly by suppliers from non-OECD countries with a purchasing volume > € 50,000 p.a.. Questionnaires initiated and completed in the year under review. 6 Our sustainability indicators
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Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
External sustainability audits
Total Fiscal Year No. 394 269 46.5 %
GRI 308-2,
407-1, 408-
1, 409-1,
414-2, WEF
EMEA Fiscal Year No. 123 65 89.2 %
GRI 308-2,
407-1, 408-
1, 409-1,
414-2, WEF
Americas Fiscal Year No. 44 19 131.6 %
GRI 308-2,
407-1, 408-
1, 409-1,
414-2, WEF
Asia / Australia Fiscal Year No. 227 185 22.7 %
GRI 308-2,
407-1, 408-
1, 409-1,
414-2, WEF
Agreed improvement measures out of
external sustainability audits Total Fiscal Year No. 6,617 5,394 22.7 % GRI 308-2,
414-2, WEF

ENVIRONMENT
Climate Action
Greenhouse Gas Emissions
Scope 1
Total Fiscal Year
1,000 metric
tons of CO2
equivalents 386 424 – 9.0 %
GRI 305-1,
WEF
CO2 emissions Fiscal Year
1,000 metric
tons of CO2
equivalents 352 391 – 10.0 %
GRI 305-1,
WEF
SF6 emissions Fiscal Year
1,000 metric
tons of CO2
equivalents 17 14 27.1 %
GRI 305-1,
WEF
CH4 emissions Fiscal Year
1,000 metric
tons of CO2
equivalents < 0.1 < 0.1
GRI 305-1,
WEF
N2O emissions Fiscal Year
1,000 metric
tons of CO2
equivalents 1 1 7.6 %
GRI 305-1,
WEF
HFC-gas emissions Fiscal Year
1,000 metric
tons of CO2
equivalents 16 19 – 15.1 %
GRI 305-1,
WEF
Other Kyoto gas
emissions Fiscal Year
1,000 metric
tons of CO2
equivalents < 1 < 1
GRI 305-1,
WEF
Scope 2
Total
(market based) Fiscal Year
1,000 metric
tons of CO2
equivalents 208 253 – 17.7 %
GRI 305-2,
WEF
Total
(location based) Fiscal Year
1,000 metric
tons of CO2
equivalents 755 826 – 8.7 %
GRI 305-2,
WEF
Scope 1 + 2 Total Fiscal Year
1,000 metric
tons of CO2
equivalents 595 678 – 12.2 %
GRI 305-1,
305-2, WEF
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EXHIBIT A
360
Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
Scope 1 + 2 Reduction to LY Total Fiscal Year
1,000 metric
tons of CO2
equivalents 83 225 – 63.2 %
GRI 305-5,
WEF
Reduced emissions through energy from
renewable sources
Total (Scope 1 + 2) Fiscal Year
1,000 metric
tons of CO2
equivalents 541 546 – 1.0 %
GRI 305-5,
WEF
Gas from renewable
sources (Scope 1) Fiscal Year
1,000 metric
tons of CO2
equivalents 22 0
GRI 305-5,
WEF
Electricity from
renewable sources
(Scope 2) Fiscal Year
1,000 metric
tons of CO2
equivalents 518 546 – 5.1 %
GRI 305-5,
WEF
Scope 3
Total Fiscal Year
1,000 metric
tons of CO2
equivalents 469,271 507,691 – 7.6 %
GRI 305-3,
WEF
Scope 3 Upstream
Total Fiscal Year
1,000 metric
tons of CO2
equivalents 10,435 10,296 1.4 %
GRI 305-3,
WEF
Purchased goods &
services Fiscal Year
1,000 metric
tons of CO2
equivalents 8,813 8,607 2.4 %
GRI 305-3,
WEF
Capital goods Fiscal Year
1,000 metric
tons of CO2
equivalents 381 419 – 9.1 %
GRI 305-3,
WEF
Fuel & energy-related activities Fiscal Year
1,000 metric
tons of CO2
equivalents 263 282 – 6.7 %
GRI 305-3,
WEF
Waste in operations Fiscal Year
1,000 metric
tons of CO2
equivalents 24 28 – 14.3 %
GRI 305-3,
WEF
Transportation
upstream Fiscal Year
1,000 metric
tons of CO2
equivalents 797 740 7.7 %
GRI 305-3,
WEF
Business travel Fiscal Year
1,000 metric
tons of CO2
equivalents 63 126 – 49.8 %
GRI 305-3,
WEF
Employee commuting Fiscal Year
1,000 metric
tons of CO2
equivalents 94 94 0.0 %
GRI 305-3,
WEF
Scope 3 Downstream
Total Fiscal Year
1,000 metric
tons of CO2
equivalents 458,836 497,395 – 7.8 %
GRI 305-3,
WEF
Use phase emission Fiscal Year
1,000 metric
tons of CO2
equivalents 453,350 483,813 – 6.3 %
GRI 305-3,
WEF
Investment SFS 1 Fiscal Year
1,000 metric
tons of CO2
equivalents 5,486 13,582 – 59.6 %
GRI 305-3,
WEF
1 Emissions out of Siemens Finance Service (SFS) activities in financing fossil energy production projects. 6 Our sustainability indicators
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361
1 Continuing Operation – Industrial business.
2 For comparability reasons value is adjusted regarding the discontinued Flender business (– 69.2 Mt CO2). 3 The calculation method regarding Energy Consumption was changed in FY 21 – therefore FY 20 data were adapted. See chapter Reporting Method.

Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
Greenhouse Gas – Fleet and Real Estate Management
Siemens fleet
(owned or leased vehicles)
Total number Sept. 30th No. (rounded) 43,000 44,000 – 2.3 % Electrical vehicles Sept. 30th No. 656 n. a.

Hybrid vehicles Sept. 30th No. 2,719 n. a.

Rate of electrical and
hybrid vehicles Sept. 30th % of total fleet 8 % n. a.

Fleet emissions (part
of Scope 1 emission) Fiscal Year
1,000 metric
tons of CO2
equivalents 194 205 – 5.1 %
GRI 305-1,
WEF
Fuel consumption
fleet Fiscal Year
1,000
gigajoule 2,658 2,530 5.1 %
Siemens sites with Net-Zero CO2
emissions Total Sept. 30th No. 32 17 88.2 %
GRI 305-5,
WEF
Environmental Portfolio 1
Revenue from Environmental Portfolio Total Fiscal Year Billion € 19.1 18.0 6.2 % SASB RT-EE410a.3
Share of Revenue from Environmental
Portfolio Total Fiscal Year
% of total revenue (Sales to
3rd. parties) 30.7 % 32.6 % – 5.7 %
SASB RT-EE410a.3
Greenhouse gas reductions in the
reporting year achieved by our customers through products of the Siemens Environmental Portfolio newly installed
in the reporting year Total Fiscal Year Mt CO2 8.4 7.0 20.1 % GRI 305-5,
WEF
Greenhouse gas reductions in the
reporting year achieved by our
customers through new and through
preexisting products of the Siemens
Environmental Portfolio Total Fiscal Year Mt CO2 87.5 80.4 2 8.9 % GRI 305-5,
WEF
Conservation of Resources 3
Energy Consumption: Primary &
Secondary Energy
Total Fiscal Year
1,000
gigajoule 9,863 10,416 – 5.3 %
GRI 302-1,
SASB RT-EE130a.1
Share of renewable
energy sources Fiscal Year
% of total
energy
consumption 46.4 % 39.4 % 17.7 %
302-1, SASB
RT-EE130a.1
Share of grid
electricity Fiscal Year
% of total
energy
consumption 54.0 % 58.0 % – 6.8 %
GRI 302-1,
SASB RT-EE130a.1
6 Our sustainability indicators
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362
Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
Energy Consumption: Primary Energy
Total Fiscal Year
1,000
gigajoule 3,198 3,283 – 2.6 %
GRI 302-1,
SASB RT-EE130a.1
Natural gas & liquid
gas Fiscal Year
1,000
gigajoule 3,118 3,199 – 2.5 %
GRI 302-1,
SASB RT-EE130a.1
Gas from renewable
sources Fiscal Year
1,000
gigajoule 399 0
GRI 302-1,
SASB RT-EE130a.1
Gas share from
renewable sources Fiscal Year
% of total gas
used 13 % 0 %
GRI 302-1,
SASB RT-EE130a.1
Fuel oil, gasoline,
diesel Fiscal Year
1,000
gigajoule 62 70 – 11.3 %
GRI 302-1,
SASB RT-EE130a.1
Energy consumption: Secondary Energy
Total Fiscal Year
1,000
gigajoule 6,665 7,133 – 6.6 %
GRI 302-2,
SASB RT-EE130a.1
Electricity (total) Fiscal Year
1,000
gigajoule 5,329 6,036 – 11.7 %
GRI 302-2,
SASB RT-EE130a.1
Electricity (renewable sources) Fiscal Year1,000
gigajoule 4,173 4,101 1.7 %
GRI 302-2,
SASB RT-EE130a.1
Electricity Share of
renewable energy
sources Fiscal Year
% of total electricity used 78 % 68 % 15.3 %
GRI 302-2,
SASB RT-EE130a.1
District heating Fiscal Year
1,000
gigajoule 1,337 1,097 21.9 %
GRI 302-2,
SASB RT-EE130a.1
6 Our sustainability indicators
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363
Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
Waste
Waste
Total Fiscal Year 1,000 tons 275.5 397.5 – 30.7 % GRI 306-3 Non-hazardous
waste – total Fiscal Year 1,000 tons 235.2 259.1 – 9.2 % GRI 306-3 Non-hazardous
waste – recycled / recovered Fiscal Year 1,000 tons 222.3 245.7 – 9.5 % GRI 306-3 Non-hazardous
waste – landfill / other
disposal Fiscal Year 1,000 tons 12.9 13.5 – 4.4 % GRI 306-3 Hazardous waste –
total Fiscal Year 1,000 tons 11.8 18.5 – 35.9 %
GRI 306-3,
SASB RT-EE150a.1
Hazardous waste –
recycled / recovered Fiscal Year 1,000 tons 6.1 11.6 – 47.2 % GRI 306-3,
SASB RT-EE150a.1
Hazardous waste –
landfill / other
disposal Fiscal Year 1,000 tons 6 7 – 17.1 %
GRI 306-3,
SASB RT-EE150a.1
Construction waste –
total Fiscal Year 1,000 tons 28 120 – 76.2 % GRI 306-3
Construction waste –
recycled / recovered Fiscal Year 1,000 tons 13 113 – 88.2 % GRI 306-3 Construction
waste – landfill / other disposal Fiscal Year 1,000 tons 15.2 7.4 105.0 % GRI 306-3 Total w/o.
construction waste Fiscal Year 1,000 tons 247.0 277.5 – 11.0 % GRI 306-3 Recycled / recovered
waste Fiscal Year 1,000 tons 228.4 257.2 – 11.2 % GRI 306-4 Waste to landfill / other disposal Fiscal Year 1,000 tons 19 20 – 8.3 % GRI 306-3 Recycling & Recovery rate
Total
(w/o construction) Fiscal Year
% of total waste
(w/o construction) 92 % 93 % – 0.2 % GRI 306-4
Hazardous waste Fiscal Year
% of total hazardous waste 52 % 63 % – 17.7 % GRI 306-4 Non-hazardous
waste Fiscal Year
% of total
non-hazardous
waste 95 % 95 % – 0.3 % GRI 306-4
Construction waste Fiscal Year
% of construction waste 47 % 94 % – 50.4 % GRI 306-4
Landfill / other disposal rate Total
(w/o construction) Fiscal Year
% of total waste
(w/o construction) 8 % 7 % 3.0 % GRI 306-4
Landfill rate 1 Total
(w/o construction) Fiscal Year
% of total waste
(w/o construction) 3 % n. a. GRI 306-4
1 Siemens without SHS.
6 Our sustainability indicators
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364
Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
Material Recycling rate 1
Total
(w/o construction) Fiscal Year
% of total waste
(w/o construction) 83 % n. a. GRI 306-4
Total
(w/o construction) Fiscal Year
% of recycled / recovered
waste total (w/o
construction) 88 % n. a. GRI 306-4
Water
Water withdrawal
Total Fiscal Year
Million cubic
meter 15.0 15.3 – 1.8 %
GRI 303-3,
WEF
Other water withdrawal Fiscal YearMillion cubic
meter 4.5 5.1 – 10.5 %
GRI 303-3,
WEF
Chemically unchanged cooling
water (returned
to receiving water
body chemically
unchanged, but
warmed) Fiscal Year
Million cubic
meter 10.5 10.3 2.5 %
GRI 303-3,
WEF
Wastewater
Total Fiscal Year
Million cubic
meter 15.1 15.3 – 1.5 % GRI 303-4
Sanitary wastewater Fiscal Year
Million cubic
meter 3.0 3.3 – 9.5 % GRI 303-4
Manufacturing
processes Fiscal Year
Million cubic
meter 0.7 0.6 23.6 % GRI 303-4
Other (including
losses) Fiscal Year
Million cubic
meter 0.8 1.0 – 17.1 % GRI 303-4
Cooling water
discharged as
wastewater Fiscal Year
Million cubic
meter 0.1 0.2 – 61.0 % GRI 303-4
Total wastewater
(w/o chemically
unchanged cooling
water) Fiscal Year
Million cubic
meter 4.6 5.0 – 9.6 % GRI 303-4
Chemically unchanged cooling
water (returned
to receiving water
body chemically
unchanged, but
warmed) Fiscal Year
Million cubic
meter 10.5 10.3 2.4 % GRI 303-4
Rate sites with implemented water
strategy 1 Total Sept. 30th % of sites 84 95 – 11.6 %
GRI 303-1,
WEF
Atmospheric pollutant emissions
Volatile Organic Compounds Total Fiscal Year metric tons 253 368 – 31.1 % GRI 305-7, Ozone-depleting substances Total Fiscal Year
metric
tons (R11
equivalent) 2 0.030 0.085 – 64.2 % GRI 305-6,
Nitrogen oxides Total Fiscal Year metric tons 92.8 94.4 – 1.6 % GRI 305-7 , 1 Siemens without SHS.
2 R11 equivalent measures ozone depletion potential.
6 Our sustainability indicators
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EXHIBIT A
365
Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
Additional environmental topics
Environment-related incidents Total Fiscal Year No. 14 16 – 12.5 % GRI 307-1,
SASB RT-EE150a2
Reportable spills
Total Fiscal Year No. 7 13 – 46.2 %
GRI 307-1,
SASB RT-EE150a2
Quantity reportable
spills Fiscal Year kg 380 n. a.

GRI 307-1,
SASB RT-EE150a2
Quantity recovered
spills Fiscal Year kg 346 n. a.

GRI 307-1,
SASB RT-EE150a2
Sites with EHS management system
ISO 14001:2016 Total Sept. 30th No. 185 173 6.9 %
Sites with EHS management system
ISO 50001 Total Sept. 30th No. 27 29 – 6.9 %
Product Stewardship
Full-Scale Life Cycle Assessments (LCA) Total Sept. 30th No. 158 206 -23,3 % Environment Product Declarations (EPD) Total Sept. 30th No. 1.240 1.168 6,2 % Share of “Full-Scale Life Cycle
Assessment (LCA)” revenue Total Fiscal Year
% of total revenue (Sales to
3rd. parties) 1 79 % 70 % 13.0 %
Share of “Environment Product Declarations (EPD)” revenue Total Fiscal Year % of total revenue (Sales to
3rd. parties) 1 71 % 71 % – 0.9 %
Rate of products by revenue that contain
IEC 62474-declarable substances 2 Total Fiscal Year
% of total revenue (Sales to
3rd. parties) 67 % n. a.

SASB RT-EE410a1
SOCIAL
Working for Siemens 3
Siemens employees Total Sept. 30th No. (rounded) 303,000 293,000 3.4 % GRI 102-7,
SASB RTEE_000B
1 We consider the revenue of a business unit in relation to Siemens revenue once we have carried out at least one “Full-Scale LCA” or “EPD” for their products or systems.

No product-related coverage is calculated.
2 Siemens without SHS.
3 All employee data in this section are based on headcount and include Varian. 6 Our sustainability indicators
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366
Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
Employee Structure
EMEA Sept. 30th
% of total
employees 56.4 % 58.8 % – 4.1 % GRI 102-8
Americas Sept. 30th
% of total
employees 20.5 % 19.3 % 6.2 % GRI 102-8
Asia / Australia Sept. 30th
% of total
employees 23.2 % 21.9 % 5.9 % GRI 102-8
age group < 35 Sept. 30th
% of total
employees 29.6 % 29.6 % 0.0 %
GRI 102-8,
WEF
age group 35 – 44 Sept. 30th
% of total
employees 29.9 % 29.7 % 0.7 %
GRI 102-8,
WEF
age group 45 – 54 Sept. 30th
% of total
employees 23.5 % 23.9 % – 1.7 %
GRI 102-8,
WEF
age group > 54 Sept. 30th
% of total
employees 17.0 % 16.8 % 1.2 %
GRI 102-8,
WEF
Blue-collar Workers Sept. 30th
% of total
employees 17.4 % 18.7 % – 7.0 %
GRI 102-8,
WEF
White-collar Workers Sept. 30th
% of total
employees 82.6 % 81.3 % 1.6 %
GRI 102-8,
WEF
Average number of employees Total Fiscal Year No. 295,582 294,468 0.4 % GRI 102-7,
WEF
Average age of employees Total Sept. 30th Years 42 41 2.4 % GRI 102-8 Employee nationalities Total Sept. 30th No. 167 168 – 0.6 % GRI 405-1 Female employees
Total Sept. 30th
% of total
employees 26.7 % 26.2 % 1.9 %
GRI 102-8,
WEF
EMEA Sept. 30th
% of total
employees 25.8 % 25.3 % 2.0 %
GRI 102-8,
WEF
Americas Sept. 30th
% of total
employees 28.2 % 27.6 % 2.2 %
GRI 102-8,
WEF
Asia / Australia Sept. 30th
% of total
employees 27.7 % 27.4 % 1.1 %
GRI 102-8,
WEF
Employees in management positions 1
Total Sept. 30th No. (rounded) 29,900 27,200 9.9 %
Women Sept. 30th
% of total
management
positions 19.6 % 18.4 % 6.5 %
GRI 102-8,
WEF
Employees with permanent working
contract Total Sept. 30th
% of total
employees 94.0 % 93.7 % 0.3 %
GRI 102-8,
WEF
Hirings
Total Fiscal Year No. (rounded) 34,400 25,200 36.5 %
GRI 401-1,
WEF
EMEA Fiscal Year No. (rounded) 13,700 11,700 17.1 %
GRI 401-1,
WEF
Americas Fiscal Year No. (rounded) 10,600 7,500 41.3 %
GRI 401-1,
WEF
Asia / Australia Fiscal Year No. (rounded) 10,100 6,000 68.3 % GRI 401-1,
WEF
Women – Total Fiscal Year No. (rounded) 10,200 7,400 37.8 % GRI 401-1,
WEF
No / other gender
entry (miscellaneous) Fiscal Year No. 12 n. a.GRI 401-1, WEF
1 Employees in management positions include all managers with disciplinary responsibility. 6 Our sustainability indicators
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EXHIBIT A
367
Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
Hiring Rate
Total Fiscal Year
% of average
number of
employees 11.6 % 8.6 % 34.9 %
GRI 401-1,
WEF
EMEA Fiscal Year
% of average
number of
employees
EMEA 8.0 % 6.8 % 17.6 %
GRI 401-1,
WEF
Americas Fiscal Year
% of average
number of
employees
Americas 18.1 % 13.2 % 37.1 %
GRI 401-1,
WEF
Asia / Australia Fiscal Year
% of average
number of employees Asia /
Australia 15.4 % 9.4 % 63.8 %
GRI 401-1,
WEF
Women Fiscal Year
% of average
number of
female employees 13.2 % 9.7 % 36.1 %GRI 401-1,
WEF
Men Fiscal Year
% of average
number of
male employees 11.0 % 8.1 % 35.8 %GRI 401-1,
WEF
age group < 35 Fiscal Year
% of average
number employees in age
group 26.8 % 18.8 % 42.6 %
GRI 401-1,
WEF
age group 35 – 44 Fiscal Year
% of average
number employees in age
group 7.8 % 6.0 % 30.0 %
GRI 401-1,
WEF
age group 45 – 54 Fiscal Year
% of average
number employees in age
group 4.4 % 3.4 % 29.4 %
GRI 401-1,
WEF
age group > 54 Fiscal Year
% of average
number employees in age
group 2.3 % 2.0 % 15.0 %
GRI 401-1,
WEF
Female employees new hired
Total Fiscal Year % of new hires 30.2 % 29.7 % 1.7 %
GRI 401-1,
WEF
EMEA Fiscal Year % of new hires 28.6 % 28.6 % 0.0 %
GRI 401-1,
WEF
Americas Fiscal Year % of new hires 33.5 % 32.2 % 4.0 % GRI 401-1,
WEF
Asia / Australia Fiscal Year % of new hires 28.9 % 28.7 % 0.7 % GRI 401-1,
WEF
Disabled employees Germany Sept. 30th No. ( rounded) 5,000 5,400 – 7.4 % GRI 405-1,
WEF
6 Our sustainability indicators
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EXHIBIT A
368
Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
Turnover Rate 1
Total Fiscal Year
% of average
number of
employees 9.7 % 8.4 % 15.5 %
GRI 401-1,
WEF
Decision employee Fiscal Year
% of average
number of
employees 4.7 % 3.5 % 34.3 %
Other reasons (= not
decision empl.) Fiscal Year
% of average
number of
employees 5.0 % 4.8 % 4.2 %
Dismissals Fiscal Year
% of number
of total exits 11.3 % 14.5 % – 22.1 %
Retiring expected
within next 5 years 2 Sept. 30th
% of total
number employees 10.3 % 10.0 % 3.0 %
Employees – use of working hour
programs
Part-time Sept. 30th No. (rounded) 13,800 13,900 – 0.7 % GRI 102-8 On leave of absence Sept. 30th No. (rounded) 6,300 6,200 1.6 % Employees represented by an independent trade union or covered by collective bargaining agreements
Germany Sept. 30th No. (rounded) 83,600 87,700 – 4.7 % GRI 102-41 Germany Sept. 30th
% of total
German employees 97.7 97.8 – 0.1 % GRI 102-41
Average weekly standard working hours 3
Total Sept. 30th Hours 39.5 39.3 0.5 %
EMEA Sept. 30th Hours 38.0 37.9 0.3 %
Americas Sept. 30th Hours 41.0 41.1 – 0.2 %
Asia / Australia Sept. 30th Hours 41.9 41.5 1.0 %
Talent Entry Programs
Siemens CEO* Program
Community Total Sept. 30th No. 26 35 – 25.7 %
GRI 404-2,
WEF
Active participants Sept. 30th No. 5 5 0.0 %
GRI 404-2,
WEF
Siemens Finance Excellence Program
(FEP)
Community Total Sept. 30th No. 68 76 – 10.5 %
GRI 404-2,
WEF
Active participants Sept. 30th No. 7 10 – 30.0 %
GRI 404-2,
WEF
Siemens Graduate Program (SGP) Community Total Sept. 30th No. 910 1,134 – 19.8 % GRI 404-2,
WEF
Active participants Sept. 30th No. 76 64 18.8 %
GRI 404-2,
WEF
Employee Share programs
Employees participating in the Siemens
employee share plans Total (w/o SHS) Fiscal Year No. (rounded) 100,700 102,600 – 1.9 % GRI 401-2 Participation rate of employee share
plans
Total (w/o SHS) Fiscal Year
% of
employees 4 45 % 44 % 2.3 % GRI 401-2
Siemens Healthineers AG Fiscal Year
% of Siemens
Healthineers AG
employees 52 % 50 % 4.2 % GRI 401-2
1 Turnover rate is defined as the ratio of voluntary and involuntary exits from Siemens during the fiscal year to the average number of employees. 2 Estimated retiring age 63 years.
3 Contractually agreed weekly working hours at the end of the business year. 4 Based on employees with eligibility to share plans.
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369
1 Contains data from the discontinued Flender business and the new acquired Varian business.

Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
Pensions 1
Contributions to defined benefit plans,
state plans and defined contribution
plans
Total Fiscal Year Million € 3,974 5,451 – 27.1 % GRI 401-2 Contributions to
defined contribution
plans Fiscal Year Million € 484 710 – 31.8 % GRI 401-2
Contributions to
state plans Fiscal Year Million € 1,449 1,844 – 21.4 % GRI 401-2 Employer
contributions to
defined benefit plans Fiscal Year Million € 2,041 2,898 – 29.6 % GRI 401-2 Training and development
Apprentices and dual students
Total Sept. 30th No. (rounded) 6,700 6,800 – 1.5 % GRI 404-2 Outside of Germany Sept. 30th No. (rounded) 2,000 2,000 0.0 % GRI 404-2 Germany Sept. 30th No. (rounded) 4,700 4,800 – 2.1 % GRI 404-2 Germany ‒ internals Sept. 30th No. (rounded) 3,700 3,900 – 5.1 % GRI 404-2 Germany – for third
parties Sept. 30th No. (rounded) 1,000 900 11.1 % GRI 404-2 Germany – new
internals starting in
fiscal year Fiscal Year No. 1,085 1,161 – 6.5 % GRI 404-2 Average number of interns / students
with an educational / learning target (e.g.
mandatory internship, doctoral student) Total Fiscal Year No. 788 767 2.7 % GRI 404-2 International Tech development
programs
Participants Fiscal Year No. 45 51 – 11.8 %
GRI 404-2,
WEF
Number of home countries of participants Fiscal Year No. 17 15 13.3 %GRI 404-2, WEF
Spend on education (apprenticeship) Total Fiscal Year Million € 153.1 159.0 – 3.7 % GRI 404-2,
WEF
Spend on employee training Total Fiscal Year Million € 164.8 161.9 1.8 % GRI 404-2,
WEF
Spend on employee education and
training Total Fiscal Year Million € 317.9 320.9 – 0.9 % GRI 404-2,
WEF
Spend on employee training per
employee Total Fiscal Year € 573 551 4.0 %
GRI 404-2,
WEF
Spend on employee training per full time
employee Total Fiscal Year € 581 559 3.9 %
GRI 404-2,
WEF
Average training hours per employee
Total Fiscal Year No. 22 17 29.4 %
GRI 404-1,
WEF
Digital learning Fiscal Year No. 19 11 72.7 %
GRI 404-1,
WEF
On-site training Fiscal Year No. 3 6 – 50.0 %
GRI 404-1,
WEF
Women Fiscal Year No. 22 17 29.4 %
GRI 404-1,
WEF
Men Fiscal Year No. 22 17 29.4 %
GRI 404-1,
WEF
Blue-collar Workers Fiscal Year No. 12 7 71.4 %
GRI 404-1,
WEF
White-collar Workers Fiscal Year No. 24 19 26.3 %
GRI 404-1,
WEF
6 Our sustainability indicators
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EXHIBIT A
370
1 Fatality Rate w/o contractors
2 Number of fatalities x 200,000 / working hours.
3 SHS changed their event reporting method for some countries within the reporting period and therefore this KPI might be incomplete. 4 Number of high-consequence injuries x 200,000 / working hours. 5 Number of Recordable injuries x 200,000 / working hours.

Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
Growth rate of learning hours to base
year
Total Fiscal Year
% to base year
(2020) 28 % n. a.

GRI 404-1,
WEF
Digital learning Fiscal Year
% to base year
(2020) 71 % n. a.

GRI 404-1,
WEF
Siemens Core Learning Paths (CLP) Total Fiscal Year No. 28 44 – 36.4 % GRI 404-2,
WEF
Modules in Siemens digital global learning platform “My Learning World” Total Fiscal Year No. (rounded) 100,000 59,000 69.5 %GRI 404-2, WEF
Siemens Potential-Development
Programs (PDP) Total Fiscal Year No. 34 32 6.3 %
GRI 404-2,
WEF
Occupational health & safety
Fatalities – work related
Total Fiscal Year No. 4 1 300.0 %
GRI 403-9,
WEF
Temporary Workers Fiscal Year No. 2 0
GRI 403-9,
WEF
Employees Fiscal Year No. 0 0
GRI 403-9,
WEF
Contractors Fiscal Year No. 2 1 100.0 %
GRI 403-9,
WEF
Fatality Rate – work related 2
Total 1 Fiscal Year No. 0.001 0.000
GRI 403-9,
WEF
Temporary Workers Fiscal Year No. 0.007 0.000
GRI 403-9,
WEF
Employees Fiscal Year No. 0.000 0.000
GRI 403-9,
WEF
High-consequence work-related injuries
(excluding fatalities) 3
Total Fiscal Year No. 22 n. a.

GRI 403-9,
WEF
Temporary Workers Fiscal Year No. 1 n. a.

GRI 403-9,
WEF
Employees Fiscal Year No. 21 n. a.

GRI 403-9,
WEF
High-consequence injuries rate 4
Total Fiscal Year No. 0.007 n. a.

GRI 403-9,
WEF
Temporary Workers Fiscal Year No. 0.003 n. a.

GRI 403-9,
WEF
Employees Fiscal Year No. 0.008 n. a.

GRI 403-9,
WEF
Recordable injuries
Total Fiscal Year No. 1,572 n. a.

GRI 403-9,
WEF
Temporary Workers Fiscal Year No. 247 n. a.

GRI 403-9,
WEF
Employees Fiscal Year No. 1,325 n. a.

GRI 403-9,
WEF
Total recordable injuries rate 5
Total Fiscal Year No. 0.510 n. a.

GRI 403-9,
WEF
Temporary Workers Fiscal Year No. 0.828 n. a.

GRI 403-9,
WEF
Employees Fiscal Year No. 0.476 n. a.

GRI 403-9,
WEF
6 Our sustainability indicators
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Sustainability Key Performance Indicators (KPIs)
Fiscal/
September 30th Unit FY 2021 FY 2020 +/– Standard
Lost time injuries (LTI)
Total Fiscal Year No. 856 907 – 5.6 %
GRI 403-9,
WEF
Temporary Workers Fiscal Year No. 115 110 4.5 %
GRI 403-9,
WEF
Employees Fiscal Year No. 741 797 – 7.0 %
GRI 403-9,
WEF
Lost time injury frequency rate (LTIFR ) 1
Total Fiscal Year No. 0.278 0.303 – 8.3 %
GRI 403-9,
WEF
Temporary Workers Fiscal Year No. 0.385 0.680 – 43.3 %
GRI 403-9,
WEF
Employees Fiscal Year No. 0.266 0.281 – 5.3 %
GRI 403-9,
WEF
Occupational Illness cases Essential Countries Fiscal Year No. 78+x 2 n. a.

GRI 403-10,
WEF
Occupational Illness frequency rate
(OIFR) Essential Countries Fiscal Year No. n. a. 3 n. a.

Fatalities due to occupational Illness Essential Countries Fiscal Year No. 8+x 2 n. a.

Rate of employees covered with OHS MS
certificate Total Sept. 30th
% of total
number
employees 59.5 % n. a. WEF
Corporate Citizenship
Donations
Total Fiscal Year Million € 28.5 33.7 – 15.3 %
GRI 201-1,
WEF
Total Fiscal Year
% of Net
Income 0.4 % 0.8 % – 46.9 %
GRI 201-1,
WEF
EMEA Fiscal Year Million € 12.4 19.5 – 36.4 %
GRI 201-1,
WEF
Americas Fiscal Year Million € 7.1 9.0 – 20.6 %
GRI 201-1,
WEF
Asia /Australia Fiscal Year Million € 9.0 5.2 74.0 %
GRI 201-1,
WEF
Sponsoring social programs
(e.g. arts and education)
Total Fiscal Year Million € 12.1 n. a.

GRI 201-1,
WEF
EMEA Fiscal Year Million € 7.3 n. a.

GRI 201-1,
WEF
Americas Fiscal Year Million € 3.3 n. a.

GRI 201-1,
WEF
Asia /Australia Fiscal Year Million € 1.5 n. a.

GRI 201-1,
WEF
Community investment total
Total Fiscal Year Million € 40.6 n. a.

GRI 201-1,
WEF
Total Fiscal Year
% of Net
Income 0.6 % n. a.

GRI 201-1,
WEF
EMEA Fiscal Year Million € 19.7 n. a.

GRI 201-1,
WEF
Americas Fiscal Year Million € 10.5 n. a.

GRI 201-1,
WEF
Asia / Australia Fiscal Year Million € 10.5 n. a.

GRI 201-1,
WEF
1 Number of Lost Time Cases (LTC) x 200,000 / working hours. LTC are accidents that results in at least one lost working day. 2 Due to changes in the IT systems of German workers compensation board, the number can’t be calculated completely. 3 Due to changes in the IT systems of German workers compensation board, the OIFR can’t be calculated. 6 Our sustainability indicators
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1 Base year 2020 is calculated w/o individual supplier emission data. 2 In FY 2021 we had a revenue share of products being in scope of the robust eco design criteria of 55 % of the total Siemens without SHS revenue. 3 Where legally possible and reasonable.
4 Number of recordable injuries x 200,000 / working hours.

Sustainability Key Performance Indicators (KPIs)
Fiscal Year/
September 30th Unit FY 2021 FY 2020 +/–
DEGREE FRAMEWORK – KPI OVERVIEW (figures generally without Siemens Healthineers) Decarbonization
CO2 Emission Scope 1 + 2 Total (incl. SHS) Fiscal Year
1,000 metric tons
of CO2 equivalents 595 678 – 12.2 %
Supply Chain: Emission reduction to base year Total (w/o SHS) Fiscal Year % to base year
(2020) 1 0.6 % n. a.

Ethics
Quota of participants of Business conduct guideline training (since FY 2020) Total (w/o SHS) up to Sept.
30th
% of total number
of employees 76 % n. a.

Governance
Resource efficiency
Quota of product families with robust eco-design Total (w/o SHS) Fiscal Year % of relevant
revenue 2 26 % n. a.

Purchase quota – Secondary material for metals Total (w/o SHS) Fiscal Year % of relevant
purchase volume 38 % n. a.

Purchase quota – Secondary material for plastics Total (w/o SHS) Fiscal Year % of relevant
purchase volume < 1.0 % n. a.

Landfill waste (w/o other disposal and w/o construction waste) Total (w/o SHS) Fiscal Year 1,000 tons 7.0 n. a.

Equity
Female share in Top Management Total (w/o SHS) Sept. 30th % of persons in
Top Management 27.5 % 22.7 % 21.1 %
Share of employees with access to Siemens employee share plans Total (w/o SHS) Fiscal Year% of total number of employees 3 98 % n. a.

Employability
Digital learning hours per employee Total (w/o SHS) Fiscal Year No. 17 7 142.9 % Level of access to employee assistance program Total (w/o SHS) Sept. 30th % of total number
of employees 87 % 82 % 6.1 %
Improvement in global LTIFR 4 to base year Total (w/o SHS) Fiscal Year % to base year
(2020) 13 % n. a.
6 Our sustainability indicators
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Annex
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Sustainability is a fundamental principle that guides
our every action. The Sustainability Report 2021
supplements our financial reporting in fiscal 2021.

This chapter describes the key elements of our
sustainability reporting.

Reporting approach
The Sustainability Report 2021 explains the strategy,
organization, initiatives, programs, management
systems, measures, and goals of sustainable corporate
governance. It supplements the financial reporting
provided in the current Annual Report and updates the
financial reporting from the previous year. It also
documents the progress we have made in the
implementation of the Ten Principles of the United
Nations Global Compact, as well as the United Nations
CEO Water Mandate and the Task Force on ClimateRelated Financial Disclosures.

This report has been prepared in accordance with the
GRI Standards Comprehensive Option, as well as the
anti-corruption reporting recommendations of the
Global Compact and Transparency International. Our
reporting of human rights activities is based on the
UN Guiding Principles (UN GP) Reporting Framework
and the corresponding guidelines. All figures of the
Environmental Portfolio are reported in accordance
with the principles set forth in the chapter on
Environmental Portfolio reporting principles.

ENVIRONMENTAL PORTFOLIO REPORTING PRINCIPLES.

Reporting period and report boundaries
This report refers to the Siemens 2021 fiscal  year
(October 1, 2020, to September 30, 2021). Any
exceptions are indicated as such. In general, all our
fully consolidated companies are covered by the
report. Only the company Varian Medical System Inc.
acquired in April 2021 is not included in the numbers,
with a few exceptions. Varian’s numbers are only
included in the key indicators that are also presented
in the Annual Report, such as revenues and the
number of employees. These instances are noted in
the report. Thus, the numbers of the Flender Group,
which was removed from the basis of consolidation
in March 2021, are not included in the numbers for
fiscal  2021. The Flender numbers had still been
presented in fiscal 2020. Minority interests are not
included in the report, as a general rule. Unless
otherwise noted, the key indicators and information
reported below relate to the company’s continuing
operations. Some management approaches do not
cover all Siemens entities or parts of the organization.

Some parts of the Siemens organization may have
introduced specific programs or initiatives that differ from the general approaches described in this report.

Nonetheless, they are consistent with the DEGREE
framework and the global non-financial programs
and initiatives of Siemens.

Data collection
Given the size and worldwide presence of Siemens,
data collection poses a logistical challenge. Moreover, our companies throughout the world must comply
with national regulations concerning the compilation
and definition of their key figures, which means that
the generated data is not always comparable. Where
applicable, we point out any significant limitations
in the information presented in the report. Generally
speaking, there are no standards applicable to all
companies for the information published in the
report. This applies in particular to certain financial indicators including the revenue attributable to the
Environmental Portfolio, for example. As a result, the
data published by us may not be comparable with

7.1 Reporting methodology

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the data published by other companies under the
same or similar designations.

The data presented in this report is collected via
various internal reporting systems which are for the
most part different from those used to collect the
financial information presented in our consolidated
financial statements. In particular, the internal
reporting systems used to collect the information
presented in this report may be subject to less
stringent internal documentation, data generation,
and audit requirements, also with respect to the IT
systems and controls employed. We reserve the right
to change the internal guidelines applicable to the
collection of the data published in this report without prior notice. Due to rounding, some of the numbers
presented in this report may not add up exactly to
the presented totals and percentages may not exactly
reflect the absolute figures to which they refer.

Methodology: environmental reporting
and collection of environmental data
Within our environmental information system, we
evaluated 237 reports from locations in all relevant
countries in which defined threshold values for
environmental management parameters such as
energy usage, resource usage, and emissions were
exceeded in fiscal 2021. We use absolute values such
as energy consumption in gigajoules to measure and
monitor our environmental impacts. We report
environmental data for continued operations. Values
have been extrapolated to 100 % coverage in order
to reflect total consumption. The extrapolation is
conducted on the basis of the area not covered in the
reporting system. The difference represents a share
of 18 %. In fiscal 2021, we adjusted the methodology
applied to calculate the primary and secondary
energy of the extrapolated locations and refined the
value by application of internal extrapolation factors.

The prior-year values were adjusted to reflect the new
methodology to ensure comparability.

We monitor our environmental impacts for all
environmentally relevant office and production sites
on the basis of environmental data collected on a
quarterly basis.

Collection of data on selected areas of
impact (business-to-society contributions)
Strengthening the economy – Economic
impact
An external service provider has analyzed global gross
value-added (measured as the contribution to gross
domestic product [GDP]) and the related employment
(expressed as number of jobs) and assessed the
impact of the global business activities of Siemens.

Gross value-added is a measure of the value generated
in the economy and represents the difference
between the value of goods and services sold and the
value of the goods and services used as an input to
their production. Generally speaking, this value
corresponds to GDP at the company level and sector
level. The sum of the gross value-added contributions
of all economic sectors is equivalent to a country’s
GDP. The contribution to GDP and employment is
divided into three levels:
→ Direct contribution: The increase in GDP and
employment resulting from the supply of Siemens’
goods and services.
→ Supply chain spend contribution (indirect): The
worldwide increase in GDP and employment
caused by Siemens’ demand for goods and
services from its global suppliers and their
suppliers. This is often referred to as the “indirect
contribution.”
→ Employee spend contribution (induced): The
worldwide increase in GDP and employment in
the wider economy resulting from the spending
of salary and wages by employees of Siemens
and its suppliers. This is often referred to as the
“induced contribution.”

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This analysis was initially conducted in 2015 and
updated in fiscal 2019 for Siemens excluding Siemens
Energy. The direct contributions were calculated on
the basis of Siemens data. The indirect and induced
contributions were estimated with the aid of a
macroeconomic model (PwC Escher). The reference
period for the collection of the data presented in the
chapter OUR MOST IMPORTANT AREAS OF IMPACT was
fiscal year 2019.

Improving quality of life:

Access to healthcare
Based on the World Bank definition of low-income
and lower-middle-income economies, plus the
specific additions in Africa and conflict regions in the Middle East defined by Siemens Healthineers, 90
countries of the world have inadequate healthcare.

Touchpoints are calculated with reference to the
installed base of imaging and advanced therapy
equipment and the number of laboratory tests sold.

Based on available usage data and expert estimates,
the assumptions applied in performing the
calculations are an average number of 2,800
touchpoints per year per installed unit and an average
number of 3.6 laboratory tests per touchpoint.

Improving quality of life:

AI-supported products
AI-supported products are commercial products
containing at least one identifiable and differentiating AI-supported component. AI-supported products with
similar core technologies but various deployment
scenarios (e.g., cloud versus workstation, live versus
postprocessing) are counted as separate units.

Independent assurance
Our sustainability reporting is subject to high quality standards. As in the previous years, therefore, we
commissioned an independent audit firm to conduct
a limited assurance of our Sustainability Report 2021.

The results of the assurance conducted by Ernst &
Young GmbH Wirtschaftsprüfungs gesellschaft are
presented in the chapter INDEPENDENT AUDITOR’S
LIMITED ASSURANCE REPORT.

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Environmental Portfolio Guideline
Because there were no generally accepted
international standards addressing the identification
and reporting of so-called “green products” until the
introduction of the EU Taxonomy Regulation as of
January 1, 2022, we report the revenue generated
from our Environmental Portfolio and the resulting
accumulated annual reduction of carbon dioxide
emissions achieved at our customers in accordance
with the internal regulations defined in our
Environmental Portfolio Guideline. Beginning in 2022,
key figures on sustainable activities will be reported
in accordance with the new EU Taxonomy.

This Siemens Guideline sets out criteria and processes
for the qualification of elements for the Environmental Portfolio, defines the roles and responsibilities as well as the processes to account for annual customer
reduction of carbon dioxide emissions, and refers to
the financial reporting guidelines for the recognition
of revenue. It is based on the Reporting Principles set forth in “A Corporate Accounting and Reporting
Standard – Revised Edition” and the “GHG Protocol for
Project Accounting” issued by the Greenhouse Gas
Protocol Initiative. These principles are: relevance,
completeness, consistency, transparency, accuracy,
and conservativeness. The revenue generated from
the Environmental Portfolio is in accordance with the
revenue recognition policies explained in NOTE 2 IN
B.6 NOTES within the Consolidated Financial Statements
for fiscal 2021.

Scope of reporting
The Environmental Portfolio-related key performance
indicators are revenue and the reduction of our
customers’ carbon dioxide emissions attributable to
elements of the Siemens Environmental Portfolio.

The reduction of our customers’ carbon dioxide
emissions is calculated by comparing the
Environmental Portfolio elements with a reference
solution. The annual carbon dioxide reduction
achieved in the reporting year is calculated on the
basis of technical parameters (such as installed
capacity in megawatts in the reporting year or
operating hours). For all Environmental Portfolio
elements sold in a reporting year, the annual
reductions are added up to calculate the annual
reduction of our customers’ carbon dioxide emissions
at the end of that year.

Our Environmental Portfolio elements are typically
long-lasting products (such as motors) or
infrastructure elements such as trains that contribute
to the reduction of carbon dioxide emissions not only
in the reporting year, but for many years. For this
reason, we also calculate the accumulated annual
reduction of our customers’ carbon dioxide emissions.

The accumulated annual reduction of carbon dioxide
emissions is calculated as the reduction of our
customers’ carbon dioxide emissions that can be
attributed to the Environmental Portfolio elements
installed in the current reporting period (see above),
plus the elements installed since the beginning of
fiscal 2002 that are still in use by the customer.

If elements installed in previous reporting periods
are no longer in use, they are no longer included in
the calculation of the accumulated annual reduction
of carbon dioxide emissions in the respective
reporting period.

7.2 Environmental Portfolio reporting
principles

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For the Environmental Portfolio elements installed in
a given reporting period, we include the reduction of
carbon dioxide emissions over the entire reporting
period, irrespective of the actual date of installation during the year of first-time recognition.

Governance – Processes and definitions
The qualification and reporting of our Environmental
Portfolio elements are based on clearly defined
processes and criteria.

In principle, the products, systems, solutions, and
services of the Siemens operating units in the
industrial business can qualify for the Environmental
Portfolio. The entire Siemens industrial business
portfolio is reviewed every year to ensure the
appropriate qualification of Environmental Portfolio
elements based on the criteria described in the
following. Newly integrated elements are included in
the report as of the date when they were added.

Elements that no longer fulfill our qualification
criteria are removed from the Environmental Portfolio;
prior reporting periods are not adjusted.

Before being added to the Environmental Portfolio,
potential new Environmental Portfolio elements are
subjected to a multilevel internal evaluation process
and reviewed by the respective Siemens entities and
the Sustainability Department.

Within this process, Siemens verifies the completeness
of documentation supporting the fulfillment of the
qualification criteria. It also looks for any significant adverse impacts. If adverse impacts are found, it must
be determined whether a potential Environmental
Portfolio element, despite fulfilling the qualification criteria, could possibly have much greater impacts on
the environment elsewhere in the element’s lifecycle.

If significant adverse impacts are identified, the
corresponding element is not added to the
Environmental Portfolio.

If the revenue generated from an Environmental
Portfolio element cannot be accurately separated
from our total revenue, the respective revenue is not
presented and reported due to the principle of
conservativeness.

The Siemens Sustainability Board chaired by Siemens
Managing Board member and Chief Sustainability
Officer Judith Wiese confirms any changes made to
the composition of the Environmental Portfolio every
year. Another task of the Sustainability Board is to
discuss potential concerns of external stakeholders
with regard to the addition or removal of certain
technologies to or from the Environmental Portfolio.

Criteria for the addition of elements to
the Environmental Portfolio
An Environmental Portfolio element can be a product,
system, solution, or service, as defined above.

If all the products, systems, solutions, or services of a Siemens organizational unit meet one of the
selection criteria, this unit may be considered in its
entirety as an Environmental Portfolio element.

Furthermore, a core component of a system or
solution may qualify as an Environmental Portfolio
element if the component provided by Siemens is key
to enabling the system or solution to generate an
environmental benefit. This means that the
environmental functionality of the overall system or
solution cannot be achieved without the component
provided by Siemens. Examples of core components
qualifying as elements of the Siemens Environmental
Portfolio are transformers for wind farms.

Service types are differentiated between “productrelated services” and “value-added services.” If a Siemens product, system, or solution qualifies as an
Environmental Portfolio element, the revenue and
where applicable, the annual reduction of our
customers’ carbon dioxide emissions attributable to
“product-related services” are generally accounted for

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and reported in connection with the relevant
Environmental Portfolio element. In the case of
“value-added services,” the revenue and where
applicable, the annual reduction of our customers’
carbon dioxide emissions are only accounted for and
reported if the service itself qualifies as an
Environmental Portfolio element by meeting one of
the selection criteria described below.

To qualify for inclusion in the Environmental Portfolio, an element must meet one of the following selection
criteria. Products, systems, solutions, and services to be used for military or nuclear power purposes are
not included in the Environmental Portfolio.

Energy efficiency
The criterion for energy efficiency is an improvement
in energy efficiency of 20 % or more during the
customer use phase compared to the applicable
baseline, or a reduction of at least 100,000 metric
tons of carbon dioxide equivalents per reporting
period in the customer use phase compared to the
applicable baseline. If an energy efficiency increase
can only be reasonably defined as reduction of
dissipation losses, a 20 % reduction of dissipation loss would also qualify products for our Environmental
Portfolio.

Examples of products and systems that meet the
abovementioned energy efficiency criteria include
smart building technology systems (reducing carbon
dioxide emissions by at least 100,000 metric tons per
reporting period) and passenger and freight rail
transport (20 % efficiency improvement).

Renewable energy
This criterion is met by technologies in the field of
renewable energy sources or smart grid1 applications
and their respective core components. The
renewable energy criterion covers technologies for
power generation from wind and biomass, for
example.

Examples of such Environmental Portfolio elements
include smart metering and grid applications.

Determination of the reference solution:

Baseline methods
Energy efficiency and the annual reduction of our
customers’ carbon dioxide emissions are determined
by comparison with a reference solution (baseline).

There are three different options for determining the
reference solution: before-and-after comparison,
direct comparison with a reference technology, or
comparison with the installed base. The final decision
as to which baseline is to be applied is made by the
respective unit:

Before-and-after comparison
A before-and-after comparison refers to the
determination of the difference between an initial
situation at the customer and the situation after
installation of Siemens products, systems, solutions,
or services. A before-and-after comparison presupposes
the presence of previously existing products, systems,
solutions, or services at the customer, the characteristics of which are improved or replaced by the use of
Siemens products, systems, solutions, or services. It
makes sense to apply such a comparison when the
energy consumption of a building is improved, for
example.
1 According to the National Institute of Standards and Technology (NIST) – Smart Grid Interoperability Standards Project (USA), the term smart grid “refers to a modernization of the electricity delivery system so that it monitors, protects, and automatically optimizes the operation of its interconnected elements – from central and distributed generation through the high-voltage transmission network and the distribution system to industrial users and building automation systems, to energy storage installations and to end-use consumers and their thermostats, electric vehicles, appliances, and other household devices.”

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Category
Emission factor
(g CO2/kWh)
Baseline for
Environmental Portfolio
elements
Global power generation
from all primary energy
carriers 519 Energy conversion
Global power generation
from fossil energy
carriers 809 Renewable energy
Use of electricity
(including transmission
losses) 558
All kinds of electricity
use except trains
Source: IEA (IEA World Energy Outlook 2020 with 2020 factors for the current year and 2019 factors for the previous year), own calculations.

Direct comparison with a reference
technology
Direct comparison with a reference technology refers
to the difference between Siemens products, systems,
solutions, or services and either an appropriate other
technology or predecessor system. Direct comparison
with a reference technology presupposes the
existence of alternative or predecessor products,
systems, solutions, or services in the market, which
are employed for the same or a similar purpose. An
example is the comparison of passenger or freight rail
transport with air or road transport.

Comparison with the installed base
Comparison with the installed base refers to the
difference between the Siemens products, systems,
solutions, or services and an average of several
installations employed for the same or a similar
purpose. Comparison with an installed base
presupposes the availability of global or regional
average data on several installed products, systems,
solutions, or services employed for the same or a
similar purpose. An example is the comparison
between motors with frequency converters and
motors without frequency converters.

When calculating emission reductions compared to
the baseline, we consider either direct savings (due
to the use of efficient motors, for example) or the
indirect effects that occur when different products in
a system interact and generate emission reductions
(such as building automation components, for
example). If Siemens only delivers core components
but not the entire system, the annual reduction of
carbon dioxide emissions by the customer is calculated
for these parts.

The baselines are reviewed annually and modified
when necessary, such as when statistical data on the
installed base must be updated due to technical
innovations or regulatory changes.

The calculation of the reduction of carbon dioxide
emissions is based on a specific comparison for every
relevant Environmental Portfolio element with a
baseline. For this calculation, we focus on those
elements that have a material impact on the overall
reduction of carbon dioxide emissions.

Emission factors considered for
calculating the annual reduction of
carbon dioxide emissions
For some emission reduction calculations, the
baseline reference for the installed base is determined using known global emission factors such as those
for power production. The baselines used for our
calculations are mainly based on data from the
International Energy Agency (IEA) for gross power
production and grid losses, data from the
Intergovernmental Panel on Climate Change (IPCC)
for fuel-based emission factors, and our own
assessments of power production efficiency.

The most relevant emission factors applied in 2021
are:

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application of global emission factors that could differ from local conditions, use patterns at customers that
may be different from standard use patterns applied
for calculating the reduction of carbon dioxide
emissions, the assessment of the service life of the
Environmental Portfolio elements, internal
assessments of our own production efficiency factors,
the share of a core component, and expert estimates
if no other data is available.

As a result, the revenue from our Environmental
Portfolio and the reduction of our customers’ annual
carbon dioxide emissions may not be comparable
with the data published by other companies under
the same or similar designations. We report the
annual reduction of carbon dioxide emissions in the
period when the Environmental Portfolio element
was installed. The installation period is defined by
milestones or determined on the basis of estimated
construction phases. This may differ from the timing
of revenue recognition.

In addition, the revenue generated from our
Environmental Portfolio and the reduction of our
customers’ annual carbon dioxide emissions are
subject to internal documentation and review
requirements which are less complex than those
applied to our financial information. We may change
our policies for the recognition of revenue from our
Environmental Portfolio and the reduction of our
customers’ annual carbon dioxide emissions in the
future without prior notice.

For consistency reasons, we generally apply global
emission factors for calculating emission reductions
unless the specific conditions of a solution require the application of local emission factors. For example, we
apply the emission factor 558 g/kWh for the use of
electricity, based on the global energy generation
from all primary energy carriers, as the baseline for
calculating the annual reduction of carbon dioxide
emissions attributable to frequency converters.

Generally, our approach includes all greenhouse
gases covered by the Kyoto Protocol. We consider
carbon dioxide as the only relevant greenhouse gas
with respect to power generation and electrical
applications; however, we include other greenhouse
gases in our calculations if they occur in technical
applications.

For some Environmental Portfolio elements, we do
not know the exact parameters of use by our
customers. In these cases, therefore, we apply
internal and external expert estimates, with due
regard to the principle of conservatism.

Estimates applied for reporting purposes
To date, there are no generally valid international
standards applicable to all companies for the
qualification of products, systems, solutions, and
services for environmental and climate protection or
for the registration and calculation of the revenues
and the quantity of carbon dioxide emission
reductions attributable to such products, systems,
solutions, and services.

Therefore, the inclusion of elements in the
Environmental Portfolio is based on criteria,
methodologies, and assumptions that other
companies and stakeholders may view differently.

Factors that could give rise to such differences include the choice of baseline methodology to be applied, the

7.2 Environmental Portfolio reporting principles
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The Task Force on Climate -Related Financial
Disclosures of the G20 Financial Stability Board
released a voluntary framework for companies to
report their own climate-related risks and
opportunities and disclose the corresponding
information to investors, lenders, insurers, and other
stakeholders. This Annex provides an overview of the
activities conducted by Siemens on the basis of these
recommendations and refers to sources with
additional information.

Our climate action governance
Governance on the Managing Board level
All strategic sustainability activities are overseen by our Chief Sustainability Officer (CSO). The CSO is a
member of the Siemens Managing Board and chairs
the Siemens Sustainability Board (SSB), which
consists of representatives of the businesses,
countries, and units with governance responsibilities
(technical and professional functions). The SSB is the
central steering committee for the strategic
development of sustainability at Siemens, and makes
decisions regarding key sustainability matters. Where
necessary, the Managing Board addresses
sustainability-related risks and opportunities of
strategic and company-wide importance, and adopts
appropriate measures. At quarterly meetings, the SSB
discusses and defines strategic sustainability topics,
such as the decision to become carbon-neutral by
2030. The SSB is therefore also responsible for our
strategic measures in the areas of sustainability and
climate protection along the entire value chain. For
example, it was the Managing Board that adopted
the DEGREE sustainability framework in fiscal 2021.

The DEGREE framework outlines the material topics
for Siemens within which we have set ambitious
goals, including the decarbonization of Siemens’
own operations (Scope 1 and 2) and the company’s
upstream supply chain (Scope 3). Climate change
was again regularly addressed during this reporting
year at the meetings of the SSB. Results include the
successful adoption of a 1.5°C-aligned climate target,
which has been validated by the Science Based
Targets Initiative (SBTi), as well as the
operationalization of the DEGREE framework and the
materiality analysis as the basis for the further
development of the company’s sustainability efforts.

The reduction of greenhouse gas emissions has been
incorporated into the compensation system of the
Managing Board and the senior management in the
form of an internal Siemens ESG/Sustainability Index.

Therefore, it represents the central steering element
that is monitored on a regular basis.

In addition to strategic sustainability activities, the Managing Board is also responsible for operational
environmental protection. The responsibility for the
implementation of environmental guidelines is
defined in the EHS Principles, an internal Managing
Board guideline. The EHS Global Board, which
consists of specialized experts, develops
environmental protection measures and programs
and advises the responsible Managing Board member
in charge of environmental protection, in consultation
with the SSB.

Additional information: SUSTAINABILITY REPORT, CHAPTER
ON SUSTAINABILITY MANAGEMENT, CDP C1, DEGREE
Governance on the Business and
Management level
The Sustainability Director of Siemens heads the
Sustainability Department and supports the CSO in
performing his or her duties. The Sustainability
Director reports to the CSO and is a member of the
SSB. The Sustainability Department is responsible for
defining the sustainability strategy of Siemens and
coordinating the climate neutrality program, among

7.3 Task Force on Climate-Related
Financial Disclosures (TCFD)

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other tasks. The CEOs of businesses and countries are
responsible for implementing sustainability within
the Group. This responsibility includes taking
sustainability aspects strategically into account all
along the value chain within their organizations’
business activities, including climate change as well
as the defined ambitions of the DEGREE framework.

In all their decisions, strategies, processes, and
systems, they must also take account of business
opportunities and business risks that relate to
sustainability. They also set the targets for strategic sustainability activities in their sphere of responsibility.

In their implementation work, the CEOs of the various
businesses and countries are supported by
Sustainability Managers whom they appoint. These
Sustainability Managers maintain close contact with
their colleagues and the Sustainability Department
and build up a network of sustainability experts. This
sustainability network also includes specialist
functions such as Environment, Health, and Safety
(EHS). Among other things, the EHS Department is
responsible for the Eco Efficiency @ Siemens program
introduced in 2021, which strives to promote circular
economy by means of responsible product design,
environmental protection, and resource conservation.

The EHS Department also supports the business units
in their efforts to reduce greenhouse gas emissions
in the company’s own operations. The Supply Chain
Management Department supports our business
units in their efforts to promote decarbonization in
the supply chain.

Additional information: SUSTAINABILITY REPORT, CHAPTER

ON ENVIRONMENT AND SUSTAINABILITY MANAGEMENT,
CDP C1, PRODUCT ECO EXCELLENCE PROGRAM, DEGREE
Our strategic response to climate-related
opportunities and risks
Climate-related opportunities and risks
We have officially defined sustainability as an
additional strategic imperative for our investment
decisions: from company acquisitions to customer
projects. As a global technology company and
innovation leader in the fields of electrification,
automation, and digitalization, Siemens supports
sustainable industrialization. These fields are
becoming increasingly important as the world
transitions to a low-carbon economy, supporting our
business strategy. We therefore see a favorable
political and regulatory environment (including
sustainability) as an opportunity. We see opportunities from potential improvement in the geopolitical policy
environment, which could quickly restore a more
positive industrial investment sentiment that supports
the growth of our markets. By enabling our customers
to lower their GHG (Greenhouse Gas) emissions
across our portfolio and by reducing CO2 emission in
our own operation, Siemens strives to support the
trend toward a low-carbon economy. Siemens also
welcomes and supports, from an opportunity
perspective, recent legislative and governmental
accelerations to mitigate climate change worldwide,
especially in Europe through e.g. the Green Deal or
Sustainable Finance Initiative. COMBINED MANAGEMENT
REPORT CHAPTER 8.4 OPPORTUNITIES
Potential transition (e.g., regulation, market,
technology) and physical climate risks are assessed
as part of the risk process. We have identified an
increasing sustainability focus as a risk. The increasing environmental, social, and governance requirements
from governments and customers as well as financing
restrictions for greenhouse gas-emitting technologies
could result in additional costs. A negative public
perception could lead to reputational damage and
have an impact on achieving our business goals. In
the fiscal 2021, we introduced a binding ESG risk set
of rules and associated with this, an optimized due
diligence process. This supports the Siemens
businesses with due diligence in the customeroriented environment with a view to possible environmental and social risks as well as related
human rights and reputational risks. COMBINED
MANAGEMENT REPORT CHAPTER 8.3 RISKS
Climate change and climate protection measures are
important issues for our stakeholders. We therefore
help our customers lower their greenhouse gas
emissions by offering them low-carbon and energyefficient products, solutions, and services. Products

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from our Environmental Portfolio (EP) especially help
our customers reduce their CO2 footprint, lower
energy costs, and enhance their profitability by way
of higher productivity. In fiscal 2021, we reduced our
customers’ CO2 emissions by 88 million tons through
all Environmental Portfolio elements installed and
operated at customer sites. Specifically, we helped
our customers reduce their CO2 emissions by a further
8 million tons in fiscal 2021. Starting in 2022, the
new EU taxonomy will introduce a classification
system for sustainable business activities which could
supplement or replace the current Environmental
Portfolio reporting of Siemens AG. In addition, we
invested €4.9 billion in research and development
(R&D) activities with the aim of developing innovative
and sustainable solutions for our customers and our
own businesses. For example, our SI business unit
was established with a clear focus on decentralization, decarbonization, and energy efficiency in buildings
and cities. The SI strategy addresses the current
challenges and harnesses new technologies
associated with grid edge and electrification by
offering products and solutions for distributed energy
systems, photovoltaic inverters, energy storage,
smart, sustainable buildings, and electromobility
including charging infrastructure, all enabled by
digitalization. We have set ourselves the goal of
making our own operations carbon-neutral by the
year 2030. In the past fiscal year, for example, we
already cut the emissions of our own operations by
more than half compared to 2014. Compared to the
fiscal 2020, we reduced our Scope 1 and Scope 2
emissions by a further 83 kt CO2 or 12 % in 2021. Our
ambitious decarbonization measures and targets,
both for our own operations and for the upstream
supply chain, also prevent potential transition climate risks and increase our resilience and energy
independence in our own factories. Under the Carbon
Reduction@Suppliers approach, we apply a model to
calculate the upstream greenhouse gases of our
suppliers and are working intensively on methods to
calculate the exact CO2 footprints of our suppliers and reduce emissions on the basis of individual target
agreement. We use the web-based tool Carbon Web
Assessment (CWA) for this purpose. CLIMATE
PROTECTION AND SUPPLY CHAIN and COMBINED

MANAGEMENT REPORT, SUSTAINABILITY STRATEGY
Management of climate-related risks
At the end of fiscal 2020, we published an internal
Sustainability Guideline establishing a new ESG Risk
Framework. As an essential element of the new
DEGREE framework, specifically in the field of
Governance, we rolled out the Risk Due Diligence Tool
(ESG Radar), which operates on the basis of material
risk fields.

Climate-related risks and opportunities are embedded
in the Siemens-wide ERM approach. All identified
climate risks are assessed and measures for risk
prevention, transfer, or mitigation are devised for all relevant risks. In this analysis, we apply climate
parameters derived from the latest insights from
global studies, weather statistics, and trends, which
are based on international experience and the data
of primary insurers and reinsurers. However, these
risks would have only led to immaterial changes in
the operations, revenue, or other expenses thus far.

In addition, we conduct local risk assessments and
continually adjust our protection concepts to mitigate
identified risks. For every new construction project,
for example, our Insurance Department conducts a
risk analysis with particular attention to natural
hazards, which influences the selection process for
new sites and for technical, organizational, and
physical protection measures. The collected data and
information enable us to identify geographic regions
in which we must pay particular attention to risks
arising from changes in physical climate parameters
that could affect our locations. For example, we will
make structural adjustments to one of our German
sites in Regensburg as a precautionary measure to
protect against heavy rainfall events. Among other
measures, we will install additional emergency
overflow channels on the roof of the production hall
to reduce any damage caused by greater water loads.

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In 2020, we again improved our process for assessing
physical risks also in order to meet the rising demands of a changing insurance market with lower coverage
capacities due to higher costs for natural disasters.

Together with our insurer and other external risk data
providers, we annually assess more than 80 % of our
insurance values with regard to fire protection, as well as natural disasters such as storms, floods, and
hurricanes. This analysis is based on standardized
RMS data (RMS = Risk Management Solution). We
identify the few risk-prone locations on the basis of
this analysis. In Europe, we particularly analyzed
flooding risks. By contrast, our sites in the United
States, the Philippines, and Japan are exposed to the
risk of storms and hurricanes. A more specific risk
analysis was conducted for these identified locations.

We share the results with the insurance market in the
interest of insurability and optimized, risk-adjusted
premiums. In addition, and in accordance with our
EHS management system, we have defined measures
for the identified locations such as the installation of flood barriers and the reinforcement of roofs.

Climate change also affects the global water balance.

Based on the Siemens water strategy and our globally
obligatory EHS Guidelines, every ecologically relevant
location must additionally conduct a water risk
assessment. This includes an assessment of climaterelated water risks such as water scarcity, the risk of floods and droughts, and general water availability.

For this assessment, we use data from the Aqueduct
Water Risk Atlas from the World Resources Institute
(WRI). With the aid of additional internal analytical
systems, Siemens assesses the risks that result on the
local level from our sites’ activities and sets them in relation to regional water risks. Locations found to
have a high risk in this assessment must set targets
to reduce it. In fiscal 2021, 84 % of our locations had implemented this water strategy.

Natural disasters can also cause interruptions in our
supply chain. However, climate-related supply chain
risks are currently low thanks to our extensive supply
base with only few single-source suppliers.

Nonetheless, we analyze potential supply chain
disruptions. We have been able to ensure the
resilience of our supply chain in times of major crises with the aid of proven risk indicators.

Additional information: SUSTAINABILITY REPORT,

CHAPTER ON CLIMATE PROTECTION, SUSTAINABILITY IN THE
SUPPLY CHAIN; COMBINED MANAGEMENT REPORT CHAPTER 8.3
AND 8.4, CDP C2 AND C3
Analysis of climate-related scenarios
Different climate scenarios are used at Siemens for
different purposes, such as the business strategy, the
decarbonization strategy, and the identification of
opportunities and risks. Our decarbonization target,
which is approved by the Science Based Targets
Initiative, is aligned with the 1.5°C target and
therefore the Paris Agreement. Decarbonization will
change the entire energy value chain in the coming
decades. By providing innovative technologies, we
see ourselves as a leading decarbonization partner to
our customers and society in general. To fulfill this
role, we must have an exact understanding of the
technological changes that must be made in the next
30 years and beyond. We mainly rely on the scenarios
of IHS Markit, IEA, and Bloomberg NEF for planning
our business strategy and identifying company-wide
risks and opportunities. These scenarios help us
identify trends in the energy and mobility markets.

For business planning purposes, we apply different
scenarios such as IHS Inflections and Green Rules, IEA
STEPS, SDS, NZ2050, and BloombergNEF New Energy
Outlook. These scenarios help us predict market
developments, assess the implications of different
scenarios, and make business decisions on this basis.

With a view to our own business, the analysis of
climate-related scenarios enables us to predict the
potential consequences in terms of regulatory
requirements, R&D, and customer trends and
requirements. To test the resilience of our Carbon
Neutral Program, we have applied a specially
developed, extensive multimodal simulation tool and
compared the results with external research such as
that of IRENA, Fraunhofer, IHS, Agora Energiewende,
and IEA. Our business units also conduct businessspecific scenario analysis. Experts of Siemens SI have

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developed a so-called high-price scenario by using
IHS Autonomy, the Sustainable Development Scenario
of the IEA, and the Energy Revolution Scenario of
Greenpeace, in order to identify potential risks for our CO2 reduction plan. We regularly review the
robustness of our program to reduce our CO2
emissions with reference to external energy price
scenarios and the real development of energy prices
and adjust our measures as needed.

Additional information: CDP C3.2
Our risk management approach to
climate-related opportunities and risks
Basic principles of risk management
Our risk management policy stems from a philosophy
of pursuing sustainable growth and creating
economic value while managing appropriate risks
and opportunities and avoiding inappropriate risks.

As risk management is an integral part of how we
plan and execute our business strategies, our risk
management policy is set by the Managing Board. Our
organizational and accountability structure requires
each of the respective managements of our
organizational units to implement risk management
programs that are tailored to their specific industries and responsibilities, while being consistent with the
overall policy.

Enterprise Risk Management (ERM) process
We have implemented and coordinated a set of risk
management and control systems which support us
in the early recognition of developments that could
jeopardize the continuity of our business. The most
important of these systems include our enterprisewide processes for strategic planning and management reporting. Strategic planning is
intended to support us in considering potential risks
and opportunities well in advance of major business
decisions, while management reporting is intended
to enable us to monitor such risks more closely as our
business progresses. Our internal auditors regularly
review the adequacy and effectiveness of our risk
management. Accordingly, if deficits are detected, it
is possible to adopt appropriate measures for their
elimination. This coordination of processes and
procedures is intended to help ensure that the
Managing Board and the Supervisory Board are fully
informed about significant risks in a timely manner.

Risk management at Siemens builds on a
comprehensive, interactive and managementoriented Enterprise Risk Management (ERM) approach that is integrated into the organization and
that addresses both risks and opportunities. Our ERM
approach is based on the globally accepted COSO
Standard (Committee of Sponsoring Organizations
of the Treadway Commission) Enterprise Risk
Management – Integrating with Strategy and
Performance (2017) and the ISO (International
Organization for Standardization) Standard 31000
(2018) and is adapted to Siemens requirements. The
frameworks connect the ERM process with our
financial reporting process and our internal control
system. They consider a company’s strategy, the
efficiency and effectiveness of its business operations, the reliability of its financial reporting and compliance with relevant laws and regulations to be equally
important.

Our ERM process aims for early identification and
evaluation of, and response regarding, risks and
opportunities that could materially affect the
achievement of our strategic, operational, financial
and compliance objectives. The time horizon is
typically three years, and we take a net risk approach, addressing risks and opportunities remaining after
the execution of existing and effective measures and
controls. If risks have already been considered in
plans, budgets, forecasts or the consolidated
financial statements (e.g. as a provision or risk
contingency), they are supposed to be incorporated
with their financial impact in the entity’s business
objectives. As a consequence, only additional risks
arising from the same subject (e.g. deviations from
business objectives, different impact perspectives)
should be considered. In order to provide a
comprehensive view of our business activities, risks
and opportunities are identified in a structured way
combining elements of both top-down and bottomup approaches. Reporting generally follows a quarterly cycle; we complement this periodic

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reporting with an ad-hoc reporting process that aims
to escalate critical issues in a timely manner. Relevant risks and opportunities are evaluated in terms of
impact and likelihood, considering different impact
perspectives, including business objectives,
reputation and regulatory requirements. The bottomup identification and prioritization process is supplemented by workshops with the respective
managements of our organizational units. The topdown element ensures that potential new risks and opportunities are discussed at different management
levels and are included in the subsequent reporting
process, if found to be relevant. The topics of
sustainability and especially climate change have
been specifically addressed in the last few years.

Reported risks and opportunities are analyzed
regarding potential cumulative effects and are
aggregated within and for each of the organizational
units mentioned above.

Responsibilities are assigned for all relevant risks and opportunities, with the hierarchical level of
responsibility depending on the significance of the
respective risk or opportunity. In a first step, assuming responsibility for a specific risk or opportunity
involves choosing one of our general response
strategies. Our general response strategies with
respect to risks are avoidance, transfer, reduction or
acceptance of the relevant risk. Our general response
strategy with respect to opportunities is to “seize” the relevant opportunity. In a second step, responsibility
for a risk or opportunity also involves the development, initiation and monitoring of appropriate response
measures corresponding to the chosen response
strategy. These response measures have to be
specifically tailored to allow for effective risk
management. Accordingly, we have developed a
variety of response measures with different
characteristics. For example, we mitigate the risk of
fluctuations in currency and interest rates by
engaging in hedging activities. Regarding our
projects, systematic and comprehensive project
management with standardized project milestones,
including provisional acceptances during project
execution and complemented by clearly defined
approval processes, assists us in identifying and
responding to project risks at an early stage, even
before the bidding phase. Furthermore, we maintain
appropriate insurance levels for potential cases of
damage and liability risks in order to reduce our
exposure to such risks and to avoid or minimize
potential losses. Among others, we address the risk
of fluctuation in economic activity and customer
demand by closely monitoring macroeconomic
conditions and developments in relevant industries,
and by adjusting capacity and implementing costreduction measures in a timely and consistent manner if they are deemed necessary. Worldwide
there are risks from the transmission of infectious
agents from animals to humans, from humans to
humans and in other ways. Epidemic, pandemic or
other infectious developments such as bioterrorism
to cause high disease rates in countries, regions or
continents. We constantly check information from
the World Health Organization (WHO), the - Centers
for Disease Control and Prevention in the U.S. and
Europe, the Robert Koch Institute in Germany and
other institutions in order to be able to identify early epidemic or pandemic risks and determine and
initiate related mitigation actions as early as possible.

Additional information: COMBINED MANAGEMENT REPORT
CHAPTER 8
Climate-related risks within the risk
management system
Climate-related risks and opportunities are
embedded in the Siemens-wide ERM approach,
which addresses both risks and opportunities.

The consideration of sustainability and especially
climate risks and opportunities is an integral part
of the regular top-down process in which material
issues and trends are assigned to the
corresponding units for the identification of risks
and opportunities in risk workshops. As a result,
these issue-related recommendations are made
available to all businesses in their quarterly
reviews. Combined with the bottom-up approach,
this top-down approach provides a comprehensive
overview of our business activities and the
associated risks and opportunities.

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Climate change is not treated as a separate category
within the ERM approach, but is considered within
the four topic areas of strategic, operational, financial, and compliance-related risks. Bottom-up risk
processes have been implemented throughout the
company to evaluate potential climate-related net
risks for ERM reporting. These processes are, for
example, applied within the environmental
management system, including the corresponding
risk assessment of environmental impacts on our
production operations or products. ENVIRONMENT
Material opportunities and risks are disclosed on an
aggregated basis within the abovementioned four
topic areas in the company’s Annual Report.

Additional information: COMBINED MANAGEMENT REPORT
CHAPTER 8, CDP C2.1 AND C2.2, SUSTAINABILITY REPORT,

CHAPTER ON ENVIRONMENT
Metrics and targets
Siemens considers climate-related risks along the
entire value chain. Accordingly, we define metrics for
the reduction of greenhouse gas emissions in the
supply chain, in the company’s own operations, and
for the goods and services we provide to our
customers. We disclose our greenhouse gas emissions
and the associated risks and opportunities.

ENVIRONMENT AND CDP C4
Siemens was the first global industrial company to
commit to the goal of climate neutrality in 2015. By
joining the Science Based Targets Initiative (SBTi) and committing to decarbonization targets under the
DEGREE framework, we have reinforced our existing
decarbonization activities along the entire value
chain. Within our own operations, we want to achieve
net zero emissions (in accordance with our validated

1.5°C-aligned SBT) by 2030. In connection with our
SBTi commitment, we have also committed to
reducing absolute Scope 3 emissions by 15 % by 2030
from the base year 2019. An additional target
established in the DEGREE framework is to reduce
upstream supply chain emissions by 20 % by 2030
(base year 2020) and then reduce them to net zero
by the year 2050. A number of ongoing activities will
contribute to this CO2 reduction, including the
reduction of building emissions, the electrification of the company’s vehicle fleet, and our Carbon
Reduction@Suppliers activities. In order to remain
carbon-neutral in our own operations after 2030, we
will consider offset options, among other things, to
neutralize unavoidable emissions. An Offsetting
Guidance Note has laid the basis for purchasing
CO2 certificates. This guidance is meant to ensure the
consistency and quality of offset programs.

We have further strengthened our climate strategy
by confirming our 1.5°C Science Based Target and
joining the RE100, EV100, and EP100. Key elements
of the management approach include the
incorporation of CO2 reduction targets in the
company’s operating activities into the long-term
incentive (LTI) of the senior management and the
responsibility of the businesses for reducing their
respective emissions. Thus, our commitment to
climate protection is firmly embedded in the
compensation of Managing Board members and
senior management.

Additional information: GOVERNANCE, ENVIRONMENT,
CDP C4, C6, C7 AND C9, COMBINED MANAGEMENT REPORT
CHAPTER 10 COMPENSATION REPORT

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7.4 GRI Standards – key topics and
boundaries
Shared value
Sustainability topics SDGs DEGREE GRI Standard
Climate protection1 D ECARBONIZATION GRI Standard 302
Energy
GRI Standard 305
Emissions
Sustainable product
design and life cycle
management1
R ESOURCE EFFICIENCY GRI Standard 204
Procurement Practices
GRI Standard 301
Materials
Innovation and
business model2

D ECARBONIZATION

R ESOURCE EFFICIENCY
GRI Standard 201
Economic Performance
Partner management
and collaboration2

D ECARBONIZATION

G OVERNANCE
GRI Standard 203
Indirect Economic Impacts
Responsible
governance2
G OVERNANCE GRI Standard 201
Economic Performance
GRI Standard 202
Market Presence
Future of work2 E QUITY

E MPLOYABILITY
GRI Standard 401
Employment
GRI Standard 403
Occupational Health and
Safety (2018)
GRI Standard 404
Training and Education
GRI Standard 405
Diversity and Equal Opportunity
GRI Standard 406
Non Discrimination
Sustainable handling of
natural resources and
material efficiency2
R ESOURCE EFFICIENCY GRI Standard 301
Materials
GRI Standard 302
Energy
GRI Standard 303
Water and Effluents (2018)
GRI Standard 306
Waste (2020)
Dimension 1 Top 3 material sustainability topics
2 12 additional material sustainability topics
Result of the assessment of organizational impacts (inside-out, i.e., on the environment and society), stakeholder relevance and business criticality (outside-in)

7.4 GRI Standards – key topics and boundaries
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Sustainability topics SDGs DEGREE GRI Standard
Social and ecological
standards in the supply
chain 1
G OVERNANCE GRI Standard 414
Supplier Social Assessment
GRI Standard 308
Supplier Environmental
Assessment
Cyber-security and
data management 2 E THICS GRI Standard 201
Economic Performance
Employee health and
safety2 E MPLOYABILITY GRI Standard 403
Occupational Health and
Safety (2018)
Diversity, equity and
inclusion2 E QUITY GRI Standard 405
Diversity and Equal Opportunity
GRI Standard 406
Non-Discrimination
Customer safety and
product quality 2 G OVERNANCE GRI Standard 301
Materials
Corporate governance and
sustainability leadership 2 G OVERNANCE GRI Standard 413 Local communities
ESG risk management 2

G OVERNANCE

E THICS
GRI Standard 201
Economic Performance
Compliance management 2

G OVERNANCE

E THICS
GRI Standard 205
Anti-Corruption
GRI Standard 206
Anti-Competitive Behavior
GRI Standard 307
Environmental Compliance
GRI Standard 408
Child Labor
GRI Standard 409
Forced or Compulsory Labor
GRI Standard 412
Human Rights Assessment
GRI Standard 419
Socioeconomic Compliance
Responsibility
Dimension 1 Top 3 material sustainability topics
2 12 additional material sustainability topics
Result of the assessment of organizational impacts (inside-out, i.e., on the environment and society), stakeholder relevance and business criticality (outside-in)

7.4 GRI Standards – key topics and boundaries
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7.5 WEF IBC Metric
Pillars Theme Core metrics Reference Omission
Principles of
Governance
Governing
purpose
Setting purpose
The company’s stated purpose, as the expression of the means by which a business proposes solutions to economic, environmental, and social issues. Corporate purpose should create value for all stakeholders, including shareholders.

Sustainability Report
2021
Siemens at a glance
p.11ff
Quality of
governing
body
Governance body composition
Composition of the highest governance body and its committees by:
competencies relating to economic, environmental, and social topics; executive or non- executive; independence; tenure on the governance body; number of each individual’s other significant positions and commitments, and the nature of the commitments; gender; membership of underrepresented social groups; stakeholder representation.

Annual Financial Report
2021
Annual Financial
Statements 6.

Notes 31 Members of the
Managing Board and Supervisory Board p. 127ff
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COM/GLOBAL/EN/COMPANY/ABOUT/MANAGEMENT.

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SIEMENS.COM/GLOBAL/

EN/COMPANY/ABOUT/
SUPERVISORYBOARD/COMMITTEES.HTML
Stakeholder
engagement
Material issues impacting stakeholders
A list of the topics that are material to key stakeholders and the company, how the topics were identified, and how the stakeholders were engaged.

Sustainability Report
2021
Materiality assessment
p. 37ff
Ethical
behaviour
Anti-corruption

1. Total percentage of governance body members, employees, and business partners who have received training on the organization’s anti-corruption policies and procedures, broken down by region.
a) Total number and nature of incidents of corruption confirmed during the current year, but related to previous years; and b) Total number and nature of incidents of corruption confirmed during the current year, related to this year.

2. Discussion of initiatives and stakeholder engagement to improve the broader operating environment and culture, in order to combat corruption.

Sustainability Report
2021
Compliance p. 48ff
Our sustainability
indicators p. 118ff
Protected ethics advice and reporting mechanisms
A description of internal and external mechanisms for:

1. Seeking advice about ethical and lawful behaviour and organizational integrity;

2. Reporting concerns about unethical or unlawful behaviour and lack of organizational integrity.

Sustainability Report
2021
Compliance p. 48ff
Our sustainability
indicators p. 118ff
Risk and
opportunity
oversight
Integrating risk and opportunity into business process
Company risk factor and opportunity disclosures that clearly identify the principal material risks and opportunities facing the company specifically (as opposed to generic sector risks), the company appetite in respect of these risks, how these risks and opportunities have moved over time, and the response to those changes. These opportunities and risks should integrate material economic, environmental, and social issues, including climate change and data stewardship.

Annual Financial Report
2021
Combined Management
Report 8.

Report on expected developments and associated material opportunities and risks p. 26ff

7.5 WEF IBC Metric
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ATTACHMENT A

EXHIBIT A
392
Pillars Theme Core metrics Reference Omission
Planet Climate
change
Greenhouse gas (GHG) emissions
For all relevant greenhouse gases (e.g., carbon dioxide, methane, nitrous oxide, F-gases, etc.), report in metric tonnes of carbon dioxide equivalent (tCO2e) GHG Protocol Scope 1 and Scope 2 emissions.

Estimate and report material upstream and downstream
(GHG Protocol Scope 3) emissions where appropriate.

Sustainability Report
2021
Climate action p. 76ff
Conserving recources
p. 83ff
Our sustainability
indicators p. 118ff
TCFD implementation
Fully implement the recommendations of the Task Force on Climate-related Financial Disclosures (TCFD). If necessary, disclose a timeline of at most three years for full implementation.

Disclose whether you have set, or have committed to set, GHG emissions targets that are in line with the goals of the Paris Agreement – to limit global warming to well below 2°C above preindustrial levels and pursue efforts to limit warming to 1.5°C – and to achieve net zero emissions before 2050.

Sustainability Report
2021
Task Force on ClimateRelated financial Disclosures (TCFD) p. 139ff Nature loss Land use and ecological sensitivity
Report the number and area (in hectares) of sites owned, leased, or managed in or adjacent to protected areas and/or key biodiversity areas (KBA).

We are on the
way to further
develop our
biodiversity
KPI, so that
we can report
these parameters in the
future
Freshwater
availability
Water consumption and withdrawal in water-stressed areas Report for operations where material: megalitres of water withdrawn, megalitres of water consumed, and the percentage of each in regions with high or extremely high baseline water stress, according to WRI Aqueduct water risk atlas tool.

Estimate and report the same information for the full value chain (upstream and downstream) where appropriate.

Sustainability Report
2021
Conserving recources
p. 83ff
Our sustainability
indicators p. 118ff

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ATTACHMENT A

EXHIBIT A
393
Pillars Theme Core metrics Reference Omission
People Dignity and
equality
Diversity & inclusion (%)
Percentage of employees per employee category, by age group, gender, and other indicators of diversity (e.g. ethnicity).

Sustainability Report 2021
Diversity, Equity & Inclusion p. 100ff
Our sustainability
indicators p. 118ff
Pay equality (%)
Ratio of the basic salary and remuneration for each employee category by significant locations of operation for priority areas of equality: women to men, minor to major ethnic groups, and other relevant equality areas.

Sustainability Report 2021
Working at Siemens
p. 94ff
Our sustainability
indicators p. 118ff
Siemens
pursues the
principle of
performancerelated
compensation – regardless of gender.

Remuneration
data is regarded confidential and is
therefore not
reported.

Wage level (%)
Ratios of standard entry-level wage by gender compared to local minimum wage.

Ratio of the annual total compensation of the CEO to the median of the annual total compensation of all its employees, except the CEO.

Siemens pursues the principle of performance-related compensation – regardless of gender.

Remuteratiom
data is regarded confidential
and is not
reported
Risk for incidents of child, forced, or compulsory labour An explanation of the operations and suppliers considered to have significant risk for incidents of child labor, forced, or compulsory labor. Such risks could emerge in relation to:
a) type of operation (such as manufacturing plant) and type of supplier; and
b) countries or geographic areas with operations and suppliers considered at risk.

Sustainability Report 2021
Human Rights p. 56ff
Sustainable supply chain
practice p. 62ff. Business
Conduct Guidelines:

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SIEMENS.COM/SIEMENS/ASSETS/API/UUID:5C242542-
E991-4B97-AF63-090AD509BE74/2021-SAG-BCGEN.PDF
Health and
well-being
Health and safety (%)
The number and rate of fatalities as a result of work-related injury; high-consequence work-related injuries (excluding fatalities); recordable work-related injuries; main types of work-related injury; and the number of hours worked.

An explanation of how the organization facilitates workers’ access to non-occupational medical and healthcare services, and the scope of access provided for employees and workers.

Sustainability Report 2021
Occupational health and
safety management
p. 106ff
Our sustainability
indicators p. 118ff
Skills for the
future
Training provided (#, $)
Average hours of training per person that the organization’s employees have undertaken during the reporting period, by gender and employee category (total number of hours of training provided to employees divided by the number of employees).

Average training and development expenditure per full-time employee (total cost of training provided to employees divided by the number of employees).

Sustainability Report 2021
Professional education
and lifelong learning
p. 103ff
Our sustainability
indicators p. 118ff

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ATTACHMENT A

EXHIBIT A
394
Pillars Theme Core metrics Reference Omission
Prosperity Employment
and wealth
generation
Absolute number and rate of employment

1. Total number and rate of new employee hires during the reporting period, by age group, gender, other indicators of diversity and region.

2. Total number and rate of employee turnover during the reporting period, by age group, gender, other indicators of diversity and region.

Sustainability Report
2021
Professional education
and lifelong learning
p. 103ff
Our sustainability
indicators p. 118ff
Economic contribution

1. Direct economic value generated and distributed (EVG&D), on an accruals basis, covering the basic components for the organization’s global operations, ideally split out by:
– Revenues
– Operating costs
– Employee wages and benefits
– Payments to providers of capital
– Payments to government
– Community investment

2. Financial assistance received from the government: total monetary value of financial assistance received by the organization from any government during the reporting period.

Siemens Annual Financial
Report 2021
Consolidated Financial
Statements 41ff
Financial investment contribution

1. Total capital expenditures (CapEx) minus depreciation, supported by narrative to describe the company’s investment strategy.

2. Share buybacks plus dividend payments, supported by narrative to describe the company’s strategy for returns of capital to shareholders.

Annual Financial Report
2021
Consolidated Financial
Statements 6.

Note 19 Equity p. 67
Annual Financial
Statements 3.

Note 15 Shareholder's
Equity p. 120ff
Innovation
of better
products
and services
Total R&D expenses
Total costs related to research and development
Sustainability Report
2021
Research & Development
p. 32ff
Community
and social
vitality
Total tax paid
The total global tax borne by the company, including corporate income taxes, property taxes, non-creditable VAT and other sales taxes, employer-paid payroll taxes, and other taxes that constitute costs to the company, by category of taxes.

Annual Financial Report
2021
Consolidated Financial
Statements 6.

Note 2 Material accounting policies and critical
accountig estimates
p.46ff
Note 7 Income Taxes
p. 53ff
Annual Financial
Statements 3.

Note 13 Deffered tax
assets p. 119

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ATTACHMENT A

EXHIBIT A
395

7.6 SASB – Electrical Electronic
Equipment Index
Topic
Codified
Metric Code Disclosure Reference Omission
Energy
Management
RT-EE-130a.1 (1) Total energy consumed Sustainability Report 2021:

E nvironment – Conservating resources, p.83ff, (Energy used reduced), Our key areas of impact, p. 26-27,
Our sustainability indicators, p. 114ff
RT-EE-130a.1 (2) Percentage grid electricity
RT-EE-130a.1 (3) Percentage renewable
Hazardous Waste
Management
RT-EE-150a.1 Amount of hazardous waste
generated, p ercentage
recycled
Sustainability Report 2021:

Environment – Conservating
resources, p.83ff, (Efficient Waste
management),
Our key areas of impact, p.26-27,
Our sustainability indicators, p. 114ff
RT-EE-150a.2 Number and aggregate
quantity of reportable spills,
quantity recovered
Sustainability Report 2021:

Environment – Conservating
resources, p.83ff, (Incident relevant to
the environment),
Our sustainability indicators, p. 114ff
In Fiscal year 2021 we reported
14 minor cases. In 6 cases spills of
dye, diesel, hydraulic oil and resins
were involved. There were also
losses of coolant in five cases. One
minor fine from penalties in the
year under review were reported.

Product Safety
RT-EE-250a.1 Number of recalls issued,
total units recalled
not applicable Siemens has established a
comprehensive, company-wide
product safety system to ensure our
products comply with applicable
legal safety requirements and meet
the latest technical safety standards
so that they do not pose a threat to
the life or health of users or other
third parties.

Under this system, all company
units are required to ensure that
their products comply with the
state of the art in safety matters.

Also, the units are obliged to carry
out systematic product monitoring
and take the necessary corrective
actions to remedy potential product
safety deficiencies.

RT-EE-250a.2 Total amount of monetary
losses as a result of legal
proceedings associated with
product safety
Annual Financial Report 2021
Consolidated Financial Statements 6.

Notes 22 Legal Proceedings, p. 69
SIEMENS SUSTAINABILITY REPORT 2021 152

7.6 SASB – Electrical Electronic Equipment Index

ATTACHMENT A

EXHIBIT A
396
Topic
Codified
Metric Code Disclosure Reference Omission
Product Lifecycle
Management
RT-EE-410a.1 Percentage of products by
revenue that contain IEC
62474 declarable substances
Sustainability Report 2021:

Environment – Product stewardship
p. 88ff,
Our sustainability indicators, p. 114ff
RT-EE-410a.2 Percentage of eligible products by revenue that meet ENERGY STAR® criteria
not applicable
RT-EE-410a.3 Revenue from renewable
energy-related and energy
efficiency-related products
Sustainability Report 2021:

Environment – Climate action, p. 76ff
(Environmental Portfolio for climateconscious product use), Our sustainability indicators, p. 114ff
Materials
Sourcing
RT-EE-440a.1 Description of the management of risks associated with the use of critical materials
Sustainability Report 2021:

Environment – Product stewardship,
p. 88ff. (Risk-conscious handling of
declarable substances),
Sustainable supply chain practices,
p. 62ff (Responsibility for the worldwide supplier network) Business Ethics
RT-EE-510a.1 Description of policies and
practices for prevention of:
(1) corruption and bribery
and (2) anti-competitive
behavior
Sustainability Report 2021:

Compliance, p. 48ff
RT-EE-510a.2 Total amount of monetary
losses as a result of legal
proceedings associated with
incidents relating to bribery
or corruption
Annual Financial Report 2021:

Consolidated Financial Statements 6.

Notes 22 Legal Proceedings, p. 69
Sustainability Report 2021:

Compliance, p. 39ff
RT-EE-510a.3 Total amount of monetary
losses as a result of legal
proceedings associated with
anti-competitive behavior
regulations
Annual Financial Report 2021:

Consolidated Financial Statements 6.

Notes 22 Legal Proceedings, p. 69
Sustainability Report 2021:

Compliance, p. 39ff
Activity metric
RT-EE-000.A Number of units produced by
product category
not applicable
RT-EE-000.B Number of employees Sustainability Report 2021 Working at Siemens 94ff
SIEMENS SUSTAINABILITY REPORT 2021 153

7.6 SASB – Electrical Electronic Equipment Index

ATTACHMENT A

EXHIBIT A
397

7.7 The United Nations
Global Compact
Index of the Ten Principles of the Global Compact
Principle Systems Measures Taken Achievements
Principle 1
Support for human
rights
Our pledge to safeguard human rights
is rooted in the Siemens Business
Conduct Guidelines (BCGs), which are
binding on all our people worldwide.

They set out the fundamental principles
and rules that govern our actions within
our company and in relation to our
customers, external partners, and the
public. The Siemens Business Conduct
Guidelines provide the ethical and legal
framework within which we conduct
our business activities.

They contain our basic principles and
rules for our conduct internally and
externally, for example on core labor
standards for human rights.

Our Siemens Group Code of Conduct
(CoC) for Suppliers and Third Party
Intermediaries ensures that these basic
rights and principles are also observed
in our supply chain.

We have conducted a company-wide
internal human rights risk assessment
as part of our Compliance Risk Assessment (CRA).

SUSTAINABILITY MANAGEMENT

SUSTAINABLE SUPPLY CHAIN PRACTICES

HUMAN RIGHTS
The following are among the fundamental rights enshrined in our Business Conduct Guidelines:
→ No discrimination; respect for the
principles of equal opportunity and
equal treatment
→ Free choice of employment
(no forced labor)
→ No child labor
→ Fair and reasonable wages
→ Freedom of collective bargaining
and association
→ Compliance with safety rules
Our CoC includes the following aspects
of human rights:
→ Fair working conditions (pay, work
hours, vacation),
→ Right to freedom of association,
→ Responsibility for health and safety
standards,
→ No discrimination,
→ No forced labor or child labor, and
→ Availability of anonymous complaint
mechanisms.

SUSTAINABLE SUPPLY CHAIN PRACTICES

HUMAN RIGHTS
In the year under review, the number
of sustainability self-assessments came
to 4,267. We conducted 319 supplier
quality audits that included sustainability
questions and 394 external sustainability
audits. In external sustainability
audits, we identified a total of
6,617 areas for improvement.

Human rights are a matter that calls
for constant alertness. In fiscal 2018,
Siemens joined the European Business
and Human Rights Peer Learning Group
of the Global Compact Network. This organization is likewise intended as a peer learning group on business and human
rights for European companies from
different sectors and of different sizes.

Governance is a focus area under our
new DEGREE framework. Based on
material risk areas, we successfully
rolled out our new digital due diligence
tool for risk, the ESG Radar.

OUR KEY AREAS OF IMPACT

SUSTAINABLE SUPPLY CHAIN PRACTICES

HUMAN RIGHTS
Principle 2
No complicity in
human rights abuses
Principle 3
Upholding freedom of
association
Principle 4
Elimination of all
forms of forced labor
Principle 5
Abolition of child labor
Siemens has been a member of the UN Global
Compact since 2003, and is expressly committed to
upholding the Compact’s Ten Principles. Our
Sustainability Report 2021, our progress reports
online on the UN Global Compact website, and the
index below describe the progress we made during
fiscal 2021.

7.7 The United Nations Global Compact
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ATTACHMENT A

EXHIBIT A
398
Index of the Ten Principles of the Global Compact
Principle Systems Measures Taken Achievements
Principle 6
Elimination of
discrimination
We actively support diversity, equal
opportunity, and inclusion by creating
a working environment that is open
and appreciative for everyone. Our
commitment to protecting human
rights is anchored in the BCGs. We will
not tolerate discrimination. The BCGs
state unequivocally, “We respect the
personal dignity, privacy, and rights of
each individual.” They also make it clear
that Siemens is committed to work
with everyone, irrespective of ethnic
origin, culture, religion, age, disability,
skin color, gender, sexual identity and
orientation, or world view. We are a
signatory of the “Charta der Vielfalt”
diversity charter.

DIVERSITY, EQUITY & INCLUSION
Our worldwide diversity networks
promote and discuss diversity topics
across the company. Leading Women in
Industry, Global Leadership of Women@
Technology & Innovation, and GROW2GLOW are some examples of such networks. We use key figures (including
the percentage of women, generations,
nationalities) to regularly monitor how
effectively we implement diversity
initiatives, and we publish the results in
our Diversity & Inclusion Fact Sheet.

Focus areas for diversity include:
→ Consciously addressing
unconscious bias,
→ Promoting gender balance,
→ Highlighting the value of globality,
→ Encouraging diversity and
inclusiveness.

DIVERSITY, EQUITY & INCLUSION
In fiscal 2021, 167 different nationalities were represented in the Siemens workforce. The Ability@Siemens initiative is intended to promote a culture of integration for the more than 5,000
persons with disabilities who currently
work at Siemens in Germany.

Siemens Professional Education (SPE)
is a program that offers possibilities for
disadvantaged young people. In 2021
Siemens also joined the Valuable 500 –
an initiative launched at the World Economic Forum to ensure that concerns of persons with disabilities are included in
corporate management agendas.
“Fostering diversity, inclusion, and
community development to create a
sense of belonging” was prioritized in
fiscal 2021 as part of the DEGREE focal
area for “Equity.”

OUR KEY AREAS OF IMPACT

DIVERSITY, EQUITY & INCLUSION
Empowering women In fiscal 2016 we signed the CEO Statement on the UNGC Women’s Empowerment Principles. Through sponsorships and strategic partnerships, we are
also involved in such programs and
initiatives as the “Charta der Vielfalt”
diversity charter.

SUSTAINABILITY MANAGEMENT

DIVERSITY, EQUITY & INCLUSION
We encourage applying the Women’s
Empowerment Principles to guide
actions that advance and empower
women in the workplace, marketplace,
and community, and we communicate
our progress by using sex-disaggregated
data and other indicators.

Under the DEGREE framework, Siemens
(excluding SHS) is pursuing the goal
of having 30 % women in top management by 2025.

DIVERSITY, EQUITY & INCLUSION
In the year under review, women
accounted for 26.7 % of the total workforce at Siemens. The percentage of women in management positions has
risen steadily in recent years, and now
comes to more than 19.6 %.

In fiscal 2021, 30.2 % of all new hires
were women.

OUR KEY AREAS OF IMPACT

DIVERSITY, EQUITY & INCLUSION

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ATTACHMENT A

EXHIBIT A
399
Index of the Ten Principles of the Global Compact
Principle Systems Measures Taken Achievements
Principle 7
Precautionary
approach to
environmental
challenges
Siemens has a comprehensive EHS
system in place to manage its environmental performance. All relevant production and office sites are required
to implement an environmental management system that complies with the internationally recognized ISO 14001
standard as well as our own internal
specifications on environmentally compatible product and system design.

ENVIRONMENT
We bundle our binding climate protection goals and measures under the “D” heading (Decarbonization) in our
DEGREE framework for sustainability
at Siemens.
→ Net zero operation by 2030, in
compliance with SBTi targets
→ Net zero supply chain by 2050,
20 % emission reduction by 2030
Our environmental programs are
embedded in the DEGREE sustainability framework, and focus on reducing greenhouse gas emissions and making
resource use more efficient all along the
value chain. Our program for efficient
resource use, Eco Efficiency @ Siemens,
helps mitigate all our environmental
impacts by encouraging a circular economy and a general dematerialization of business processes.

The “R” for resource efficiency indicates
that environmentally sound handling
of limited resources is an integral part
of Siemens’ DEGREE sustainability
program.

Robust, ecologically sound design of
the next stage for all of Siemens’
relevant product families by 2030
→ Decoupling from natural resources by
procuring more secondary metal and
plastic materials
→ Circular economy by reducing landfill
waste 50 % by 2025 and toward zero
landfill waste by 2030
On top of that, the Efficient Own
Operations component of the Eco
Efficiency @ Siemens environmental
program is also focusing on dematerialization and the circular economy in an operations context as well, to improve
protection of resources. The emphasis
here is on improving energy efficiency
and reducing the environmental impact
of our waste.

SUSTAINABILITY MANAGEMENT

ENVIRONMENT
We have reinforced our climate protection strategy further by confirming our science-based Targets, which aim for

1.5ºC, and by joining the RE100, EV100,
and EP100 initiatives. Anchoring our
CO2 reduction in business operations as
part of the Long-term incentives (LTI)
for Senior Management and making the
business units responsible for reducing
their own shares of emissions are now
significant components of our management approach.

In terms of our own business activity,
we launched our global “CO2-Neutral”
program in September 2015. By 2020
this program had already reduced our
own operations’ carbon footprint 54 %
from the 2014 figure (as was reported
for 2020, including Siemens Energy),
and thus we achieved our intermediate
goal last year.

In 2021, we reduced our Scope 1 and
Scope 2 emissions by another 83 kt
CO2e, or 12 %, from the year before.

During the year under review, 78 % of
our electric power consumption was
“green.”

OUR KEY AREAS OF IMPACT

SUSTAINABILITY MANAGEMENT

ENVIRONMENT

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ATTACHMENT A

EXHIBIT A
400
Index of the Ten Principles of the Global Compact
Principle Systems Measures Taken Achievements
Principle 8
Initiatives for greater
environmental
responsibility
Raising our people’s awareness of
environmental and climate protection
is intrinsic to both our environmental
strategy and our social commitment,
with the core components of access to
technology, access to education, and
sustaining communities. Our internal
communication measures and our corporate citizenship focus help heighten a sense of responsibility for ecological
issues. Protecting the environment and
preserving natural resources are two
goals that are of paramount importance
for preserving communities.

SUSTAINABILITY MANAGEMENT

CORPORATE CITIZENSHIP
Siemens maintains a global environmental communications network to ensure that knowledge about
environmental management, methods,
solutions, and experiences is communicated across locations, businesses, and national borders.

For years, we have been an actively
involved member of One Young World,
the World Bank’s Carbon Pricing Leadership Coalition (CPLC), and the World Economic Forum (WEF).

SUSTAINABILITY MANAGEMENT
In the year under review, we reported
€ 40.6 million in community investment. In July 2021 we took part in the One Young World Summit in Munich,
Germany. As part of Earth Day, Siemens
UK provided teaching materials to 214
elementary schools to teach resource
conservation in ways appropriate for
children.

OUR KEY AREAS OF IMPACT

SUSTAINABILITY MANAGEMENT

CORPORATE CITIZENSHIP
Principle 9
Development and
diffusion of environmentally friendly
technologies
As part of our Environmental Portfolio, we develop and market products, solutions, and services that enable our
customers to reduce their CO2 emissions, lower lifecycle costs, and protect the environment.

We are preparing for the introduction
of the EU taxonomy, which will provide
a classification system for sustainable
economic activities. This will supplement Siemens’ previous Environmental Portfolio reporting.

CLIMATE ACTION
Our Environmental Portfolio is our biggest contribution to mitigating climate change. It comprises products, systems,
solutions, and services (Environmental
Portfolio components) that meet one
of our criteria for selection – that they
offer energy efficiency above a defined
threshold, or employ renewable forms
of energy.

Our DEGREE framework has set the
ambitious goal of achieving next-stage,
robust, ecologically friendly design for
100 % of the relevant Siemens product
families by 2030.

CLIMATE ACTION
With all the Environmental Portfolio
components that we have installed for
customers since fiscal 2002 (excluding
Siemens Energy) and that are still in
operation today, by the end of fiscal
2021 we had reduced our customers’
CO2 emissions by 88 million metric tons
(continuing operations).

During fiscal 2021, 31 % of our revenue
in continuing operations came from our
Environmental Portfolio.

OUR KEY AREAS OF IMPACT

SUSTAINABILITY MANAGEMENT

CLIMATE ACTION

7.7 The United Nations Global Compact
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ATTACHMENT A

EXHIBIT A
401
Index of the Ten Principles of the Global Compact
Principle Systems Measures Taken Achievements
Principle 10
Combating corruption
Our Business Conduct Guidelines
contain the fundamental principles and
rules for our conduct within Siemens
and in relation to Siemens’ customers,
external partners, and the general
public. They also serve as an expression
of our values and form the basis for detailed internal regulations. The Business Conduct Guidelines are binding on all
our people around the world.

Our compliance system is designed to
ensure that our business practices
worldwide comply with these guidelines
and follow applicable laws.

It is based on three pillars – prevent, detect, and respond – and includes activity fields in anti-corruption, anti-money
laundering, antitrust, Collective Action,
data privacy, export controls, and
human rights.

COMPLIANCE
Siemens takes a zero-tolerance
approach to corruption and other
breaches of applicable law and our
values as laid down in the Business
Conduct Guidelines. Our compliance
priorities are:
→ Foster Integrity,
→ Manage Risk and Give Assurance,
→ Effective Processes,
→ An Excellent Compliance Team, and
→ Committed to Business.

Our priorities will continue to guide
our work and will be defined in further
detail with focus areas for fiscal 2022.

We actively support the United Nations
Convention against Corruption and the
Anti-Bribery of the Organization for Economic Cooperation and Development (OECD). Siemens’ activities in the World
Economic Forum (WEF) include our
participation in the Partnering Against
Corruption Initiative (PACI).

To date, we have provided some
USD $ 120 million in funding for 85
projects as part of the Siemens Integrity
Initiative to combat corruption and
fraud in more than 50 countries.

As part of the DEGREE framework, we
plan to provide training and refresher
courses in the BCGs for 100 % of our
people in three-year cycles.

COMPLIANCE
Once again in fiscal 2021, we made
important progress in advancing the
Siemens compliance system, including:
→ BCG training was rolled out for some
77,000 employees around the world
(including SHS), and 72,000 of them
(about 93 %) had completed it
successfully by the end of fiscal 2021.
→ We established global teams of
compliance experts for specific
topics. In this way, we aim to address
significant cross-organizational
challenges and at the same time,
identify opportunities for
improvement in terms of efficiency
and efficacy by making the most of
available knowledge and experience.

As a part of this network, continuous
monitoring of compliance risks was
supplemented with a global group
of experts to provide early detection
of risks from new digital business
models, and to define proposals for
risk mitigation.

OUR KEY AREAS OF IMPACT

COMPLIANCE

7.7 The United Nations Global Compact
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ATTACHMENT A

EXHIBIT A
402

7.8 United Nations
CEO Water Mandate
Progress report
Siemens became a signatory to the United Nations CEO
Water Mandate in 2008. We are continuing to support
the Mandate in two ways: by managing water
efficiently at our own facilities and by providing
solutions that help our customers handle water and
wastewater more efficiently.

Our own activities
Further information about resource conservation and
water consumption at Siemens locations is available
in the section ENVIRONMENT of this report. We are
continuing to implement the approach to water
resource management that was developed in 2021.

The goals for locations with high water-related risks − risks due, for example, to aridity, high levels of
wastewater contamination or poorly developed
technical infrastructures − must be adjusted to local
conditions in order to reduce risks and negative
environmental impacts. Siemens’ water strategy aims
to minimize the negative local impacts of our water
consumption by taking into account water scarcity
and other risks such as water pollution and flooding
in environmentally sensitive areas.

We use resources carefully and avoid wasting them
wherever possible − for example, by participating in
the Leadership in Energy and Environmental Design
(LEED) certification program, whose focuses include
efficient water utilization as a key planning element.

We require LEED certification at all our new
construction projects.

Our supply chain partners
The environmental protection requirements for our
supply chain partners are set out in the Siemens
Group Code of Conduct for Siemens Suppliers and
Third Party Intermediaries. Further information on
these requirements is available in the section
SUSTAINABLE SUPPLY CHAIN PRACTICES of this report.

Our customers
We support our customers with water management
solutions.

Advanced water extraction
Siemens has been commissioned by the A3C
consortium to equip eight seawater desalination
plants in Saudi Arabia with process automation
systems, drives technology, process
instrumentalization systems, and communications
technology. This order follows an earlier agreement
in which Siemens was named the main contractor to
supply the electrical, automation, and instrumentation
packages for the world’s first large-scale solarpowered seawater desalination plant. Due to the use of solar power, CO2 emissions at the plant, which is
located near the Saudi Arabian city of Al Khafji, are
considerably lower than those at plants powered by
electricity from non-renewable sources. Siemens’
technology also ensures plant availability of around
98 %.

7.8 United Nations CEO Water Mandate
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Partnerships to reduce water loss
Siemens and BuntPlanet have signed a distribution
agreement that enables them to offer advanced
solutions and provide a wide-ranging portfolio of
hardware, software, and services for water distribution networks. Particularly in the area of leakage detection, the partnership helps Siemens customers reduce
water loss, guarantee water supplies and significantly
increase energy efficiency. As part of this collaboration, both partners are making a major contribution to
ensuring sustainable water supplies worldwide.

Social commitment
Through memberships in international organizations,
we participate in numerous initiatives and projects
such as the water project on the Action 2020 platform
of the World Business Council for Sustainable
Development. We initiate, implement, and support
projects to foster efficient water use in various regions of the world.

The Siemens Stiftung, Siemens’ nonprofit foundation
in Germany, applies an entrepreneurial approach to
supplying communities with clean drinking water.

One example of a successful project is:

Safe Water Enterprises – Kenya
Migori country in western Kenya is a sub-Saharan
region whose inhabitants have no access to clean
drinking water. A Siemens Stiftung water kiosk
provides the Wath Onger community in Migori with
up to 20,000 liters of clean water per day. The kiosk
is a source of income for community members,
especially women. Since the installation of the kiosk,
no new cases of cholera have been reported in the
region. Other waterborne diseases such as typhoid
and diarrhea have decreased significantly. The kiosk
in Wath Onger is one of 20 Safe Water Enterprises
supported by the Siemens Stiftung and was initiated
by the Lake Victoria AIDS Support Organization
(LAVISO).

Further information on projects from the Siemens
Stiftung is available at:

WWW.SIEMENS-STIFTUNG.ORG/EN/PROJECTS/

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7.9 Independent auditor’s
limited assurance report
The assurance engagement performed by Ernst &
Young GmbH Wirtschaftsprüfungsgesellschaft relates
exclusively to the German PDF version of the
Sustainability Report 2021 of Siemens AG. The
following text is a translation of the original German
Independent Assurance Report.

To Siemens AG, Berlin and Munich
We have performed a limited assurance engagement
on the Sustainability Report 2021 of Siemens AG for
the reporting period from October 1, 2020 to
September 30, 2021 (hereafter the report).

Our engagement exclusively relates to the German
PDF version of the report. Our engagement did not
include the information in the Annex to the report
as well as any prospective disclosures and links to
other web pages. The report is published as a PDF
version at WWW.SIEMENS.COM/INVESTOR/EN.

Management’s responsibility
The legal representatives of Siemens AG are
responsible for the preparation of the report in
accordance with the reporting criteria and for the
selection of the information to be assessed. As
reporting criteria, the Company applies the
Sustainability Reporting Standards of the Global
Reporting Initiative (GRI) and, for the key
performance indicators of the Environmental
Portfolio, the reporting principles as outlined in the
Annex “Environmental Portfolio Reporting Principles”
and the underlying criteria set forth in “A Corporate
Accounting and Reporting Standard – Revised
Edition” and “GHG Protocol for Project Accounting”
issued by the Greenhouse Gas Protocol Initiative.

This responsibility includes the selection and
application of appropriate methods to prepare the
report as well as making assumptions and estimates
related to individual sustainability disclosures which
are reasonable in the circumstances. Furthermore,
the legal representatives are responsible for such
internal controls that they have considered necessary
to enable the preparation of a report that is free
from  – intended or unintended – material
misstatement.

Auditor’s declaration relating to
independence and quality control
We are independent from the Company in accordance
with the provisions under German commercial law
and professional requirements, and we have fulfilled
our other professional responsibilities in accordance
with these requirements.

Our audit firm applies the national statutory
regulations and professional pronouncements for
quality control, in particular the bylaws regulating the rights and duties of Wirtschaftsprüfer and vereidigte
Buchprüfer in the exercise of their profession
[Berufssatzung für Wirtschaftsprüfer und vereidigte
Buchprüfer] as well as the IDW Standard on Quality
Control 1: Requirements for Quality Control in audit
firms [IDW Qualitätssicherungsstandard 1:

Anforderungen an die Qualitätssicherung in der
Wirtschaftsprüferpraxis (IDW QS 1)].

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Auditor’s responsibility
Our responsibility is to express a limited assurance
conclusion on the report based on the assurance
engagement we have performed.

We conducted our assurance engagement in
accordance with the International Standard on
Assurance Engagements (ISAE) 3000 (Revised):
“Assurance Engagements other than Audits or
Reviews of Historical Financial Information,” issued
by the International Auditing and Assurance Standards
Board (IAASB). This Standard requires that we plan and
perform the assurance engagement to obtain limited
assurance about whether the report of the Company
has been prepared, in all material respects, in
accordance with the reporting criteria. In a limited
assurance engagement the assurance procedures are
less in extent than for a reasonable assurance
engagement and therefore a substantially lower level
of assurance is obtained. The assurance procedures
selected depend on the auditor’s professional
judgment.

Within the scope of our assurance engagement, which
has been conducted between May and November
2021, we performed amongst others the following
assurance and other procedures:
→ Inquiries of employees concerning the
sustainability strategy, sustainability principles,
and sustainability management including the
stakeholder dialog of Siemens AG,
→ Inquiries of employees from the central
Sustainability Department and other relevant
departments responsible for the preparation of
the report in order to assess the sustainability
reporting system, the data capture and
compilation methods, as well as internal controls
to the extent relevant for the limited assurance
of the report,
→ Identification of likely risks of material
misstatement in the report,
→ Inspection of the relevant documentation of the
systems and processes for compiling, aggregating,
and validating sustainability data in the reporting
period and testing such documentation on a
sample basis,
→ Analytical measures at Group level and at the
level of the Industrial Businesses regarding the
quality of the reported data,
→ Inquiries and inspection of documents on a
sample basis relating to the collection and
reporting of the sustainability data at Group level,
at the level of the Industrial Businesses and at
selected sites,
→ Inquiries and inspection of documents on a
sample basis relating to the collection and
reporting of the key performance indicators of
the Environmental Portfolio including the
procedures for determining the qualification of
products, solutions, and services for the
Environmental Portfolio,
→ Inquiries of employees from the central
Sustainability Department and other relevant
departments on material qualitative statements
in the report as well as the inspection of selected
underlying documents,
→ Evaluation of the presentation of disclosures in
the report.

Assurance conclusion
Based on our assurance procedures performed and
assurance evidence obtained, nothing has come to
our attention that causes us to believe that the
Sustainability Report 2021 of Siemens AG for the
period from October 1, 2020 to September 30, 2021
has not been prepared, in all material respects, in
accordance with the reporting criteria.

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Intended use of the assurance report
We issue this report on the basis of the engagement
agreed with Siemens AG. The assurance engagement
has been performed for the purposes of the Company
and the report is solely intended to inform the
Company as to the results of the assurance
engagement and must not be used for purposes other
than those intended. The report is not intended to
provide third parties with support in making
(financial) decisions.

Engagement terms and liability
The “General Engagement Terms for Wirtschaftsprüfer
and Wirtschaftsprüfungsgesellschaften [German
Public Auditors and Public Audit Firms]” dated 1
January 2017 are applicable to this engagement and
also govern our relations with third parties in the
context of this engagement ( WWW.DE.EY.COM/
GENERAL-ENGAGEMENT-TERMS). In addition, please refer
to the liability provisions contained there in no. 9 and to the exclusion of liability towards third parties. We assume no responsibility, liability, or other obligations towards third parties unless we have concluded a
written agreement to the contrary with the respective
third party or liability cannot effectively be precluded.

We make express reference to the fact that we do not
update the assurance report to reflect events or
circumstances arising after it was issued unless
required to do so by law. It is the sole responsibility of anyone taking note of the result of our assurance
engagement summarized in this assurance report to
decide whether and in what way this result is useful
or suitable for their purposes and to supplement,
verify, or update it by means of their own review
procedures.

Munich, November 30, 2021
Ernst & Young GmbH
Wirtschaftsprüfungsgesellschaft
Breitsameter Johne
Wirtschaftsprüferin Wirtschaftsprüferin
(German Public Auditor) (German Public Auditor)

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7.10 Notes and forward-looking
statements
There is no standard system that applies across
companies for qualifying products and solutions for
environmental and climate protection, or for compiling
and calculating the respective revenues and the
quantity of reduced carbon dioxide emissions
attributable to such products and solutions.

Accordingly, revenues from our Environmental
Portfolio and the reduction of our customers’ annual
carbon dioxide emissions may not be comparable with
similar information reported by other companies.

Revenues from our Environmental Portfolio and the
reduction of our customers’ annual carbon dioxide
emissions are derived from various internal reporting
systems that are generally different from those
applicable to the financial information presented in
our Consolidated Financial Statements and are, in
particular, subject to less sophisticated internal
documentation as well as preparation and review
requirements, including the IT systems in use and the
general internal control environment. We may change
our policies for recognizing revenues from our
Environmental Portfolio and the reduction of our
customers’ annual carbon dioxide emissions in the
future without previous notice.

This document contains statements related to our
future business and financial performance and
future events or developments involving Siemens
that may constitute forward-looking statements.

These statements may be identified by words such
as “expect,” “look forward to,” “anticipate,” “intend,” “plan,” “believe,” “seek,” “estimate,” “will,” “project,” or words of similar meaning. We may also make
forward-looking statements in other reports, in
prospectuses, in presentations, in material delivered
to shareholders, and in press releases. In addition,
our representatives may from time to time make oral
forward-looking statements. Such statements are
based on the current expectations and certain
assumptions of Siemens’ management, of which
many are beyond Siemens’ control. These are subject
to a number of risks, uncertainties, and factors,
including, but not limited to those described in
disclosures, in particular in the chapter Report on
risks and opportunities including report on expected
development of the Annual Report. Should one or
more of these risks or uncertainties materialize,
events of force majeure, such as pandemics, occur,
or should underlying expectations including future
events occur at a later date or not at all or assumptions prove incorrect, actual results, performance, or
achievements of Siemens may (negatively or
positively) vary materially from those described
explicitly or implicitly in the relevant forward-looking statement. Siemens neither intends, nor assumes
any obligation to update or revise these forwardlooking statements in light of developments which differ from those anticipated.

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This document includes – in the applicable financial
reporting framework not clearly defined –
supplemental financial measures that are or may be
alternative performance measures (non-GAAP
measures). These supplemental financial measures
should not be viewed in isolation or as alternatives
to measures of Siemens’ net assets and financial
positions or results of operations as presented in
accordance with the applicable financial reporting
framework in its Consolidated Financial Statements.

Other companies that report or describe similarly
titled alternative performance measures may
calculate them differently.

Due to rounding, numbers presented throughout this
and other documents may not add up precisely to the
totals provided, and percentages may not precisely
reflect the absolute figures.

This document is an English-language translation of
the German document. In case of discrepancies, the
German-language document is the sole authoritative
and universally valid version.

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SIEMENS SUSTAINABILITY REPORT 2021 165

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7.11 Further information and
information resources
Additional information
The Siemens annual financial report 2021
is available at:

WWW.SIEMENS.COM/ANNUALREPORTS
Further sustainability information
Further information on our commitment to
sustainability and sustainability figures are
available at:

WWW.NEW.SIEMENS.COM/SUSTAINABILITY
WWW.NEW.SIEMENS.COM/SUSTAINABILITYFIGURES
Further information on research, development,
and innovation at Siemens is available at:

WWW.NEW.SIEMENS.COM/INNOVATION
Further information on Siemens Stiftung
is available at:

SIEMENS-STIFTUNG.ORG/EN
© 2021 by Siemens AG, Berlin and Munich

7.11 Further information and information resources
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Address Siemens AG
Werner-von-Siemens-Str. 1
80333 Munich
Germany
Internet www.siemens.com
Phone + 49 (0) 89 636 - 33443 (Media Relations)
+ 49 (0) 89 636 - 32474 (Investor Relations)
Fax + 49 (0) 89 636 - 30085 (Media Relations)
+ 49 (0) 89 636 - 1332474 (Investor Relations)
Email [email protected]
[email protected]
© 2021 by Siemens AG, Berlin and Munich

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Siemens is offering turn-key solutions and services for the maintenance and management of facilities, systems, and components in the following areas:
x Building Automation Services - Ensures automation systems and controls are performing at optimal levels, maintaining occupant comfort, and maximizing productivity and energy efficiency. Services that keep systems performing at their best, as designed and intended to operate, help you achieve optimized comfort, safety, and security; fulfill regulatory requirements; provide greater transparency into critical systems; reduce operating risks; improve decision making through data analytics; enhance system performance; Conserve energy; And reduce environmental impact.
x Mechanical Services - Extends the life of mechanical equipment and maintains optimal performance for increased energy savings and occupant comfort. Smart mechanical services combine mechanical service with the digital services and energy efficiency to help our customers increase their facility staff's productivity while improving HV AC system efficiency. Many facilities departments are understaffed and struggle to keep pace in a very reactive environment. Smart mechanical services can use the power of predictive maintenance and analytics to help prioritize maintenance issues and identify issues before they become major problems. This is the value engine that drives higher value for our customer. Smart mechanical service is a new way of thinking about how to approach emphasis is for customers.
x Fire Safety Services - Ensures critical systems are operating properly and are in compliance with local and national codes and industry specific requirements. Fire and life safety systems that are properly maintained and serviced per standards will help you achieve this goal and minimize your risks period to provide the highest probability that fire and life safety systems will operate properly in the event of a fire - detect fires, notify occupants, and extinguish flames - the NFPA requires 24/7 monitoring; Regular inspection, testing, and maintenance; And timely deficiency repairs. Insurance providers as well as federal, state, and local authorities having jurisdiction (AHJ) may have additional requirements and must also be met. Our team of experts can help you stay compliant as well as assist in properly inspecting, testing and maintaining your fire and life safety systems and equipment per standards and requirements specific to your building, business, and jurisdiction. x Security Services - Ensures systems are fully functional and optimized to provide protection of people, assets, and property with minimal business interruption. Siemens will provide system operation support and assistance two security managers to supplement the skills of facilities staff with Siemens expertise. We can monitor and analyze security system performance to help achieve operational goals. Lifecycle management helps ensure the security system is upgraded or modernized to provide the best level of technology for your business. Software updates, technology audits, and database integrations support the entire lifecycle of your security system. Preventive and corrective maintenance measures ensure that all standards that all standard routines for maintenance are completed as necessary to optimize performance. Reduce the number of operational disturbances so that safety and security are continually maintained.
x Electrical Services - Pictures the reliability, up time, performance, safety, and life cycle management of the electrical systems infrastructure. Siemens offers a complete portfolio of

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electrical services including preventive maintenance, emergency services, Technical Support, equipment reconditioning, retrofits and upgrades. Siemens ensures maximum reliability with electrical services. The costs of operating the efficient or unsafe power systems and great in terms of safety, performance, last productivity electrical services help you increase both up time and efficiency and improve services include preventive maintenance service agreements, services, Technical Support, our system engineering public electrical system organization solutions.
x Energy Services - Ensures buildings and infrastructure conserve energy, maximize efficiency, minimize operating costs, and reduce environmental impact. From energy reduction to energy production and procurement, Siemens assists organizations of all types in customizing and energy management program that addresses their needs from both sides of the meter. Our approach ensure is a comprehensive plan to meet strategic and technical goals today, while protecting and optimizing investments well into the future with continuous data analysis and support. Siemens combines expertise, technology and services that lower operating costs and risks, and reduce environmental impact using packages of the portfolio elements.

As a trusted partner for energy efficient infrastructure, we ensure that energy is managed effectively using a comprehensive total energy management approach. On the facility level, redesign and implement improvements and accordance with the US green building councils LEED certification and Energy Star requirements our low and medium voltage Power Distribution systems create reliable and economical backbone for electrical systems. Through energy automation and smart grid solutions, we provide future proof solutions that help you evolve with our changing world and meet new demands for resiliency.

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Siemens provides the following remote monitoring and digital services:

Digital Command Performance
• Navigator Energy Dashboard
• Remote Management Services – Automation
Digital Command Performance provides a secure, robust, and reliable middleware infrastructure for data connections to third-party Building Automation Systems (BAS). This approach allows our customers to leverage powerful cloud-based analytics platforms to provide visibility to key equipment currently controlled by their current automation systems.

By leveraging Digital Command Performance, Siemens customers have increased insight into the operating and energy performance of their facilities. As part of this service offering, these analytics can identify, resolve and ultimately reduce faults, uncover energy savings, and enable performance reporting for a more proactive approach to maintaining your system, and are guided by mutually agreed-upon KPIs tracked over time.

BMS Health
• Terminal Unit Performance Analysis
• Data Backup and Restore Services - Online for APS
• Remote Targeted Maintenance
• Advanced Maintenance Diagnostics Report
• Software Subscription Service - Desigo CC
Optimize the health of the building management system by automating maintenance diagnostics reports to target and prioritize remote and onsite service.

HVAC System and Equipment Health
• CloudFIMs Advanced
• CloudOps Advanced
• CloudOps Mechanical
Optimize the health of the HVAC system and equipment using analytics to continuously monitor faults, critical issues, maintenance needs and potential energy savings, thus improving equipment and system performance.

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Network Health
• Network Maintenance
• BACnet Network Analysis
Optimize the health of the network infrastructure by analyzing network traffic and resolving performance issues.

Additional Services
• Equipment Control Loop Analysis (Qty = 5 AHUs bucket) • System Performance Monitoring - Automation
• Activity Central as a Service
• Assessment of airside HVAC components to identify operational and efficiency improvements

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417
418
419
420
421
422
423
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Siemens Industry, Inc.’s Contract and RFP Exceptions (“Exceptions”) to the Request for Exhibit B Administration Agreement Example for UCOP
Siemens Industry, Inc. (“Siemens”) has reviewed all of the RFP Documents for the UC Systemwide Request for Proposal (“RFP”) including the proposed contract and the terms and conditions contained and incorporated therein. We agree with the intents and purposes described in these documents but take exception to the wording of certain provisions. Therefore, we reserve the right to discuss and revise Exhibit B Administration Agreement Example for UCOP (Agreement”) and associated contractual requirements with the Regents of the University of California or its representative(s) to reach a mutually satisfactory document encompassing all the intents and purposes described in the RFP Documents and these exceptions within a reasonable time after the award of the work. Please note that Siemens will provide the terms and conditions of the Master Agreement referenced in the Administration Agreement under separate cover in response to this RFP. These are terms Siemens uses for work with Regents of the University of California, as amended by Siemens. These terms and conditions of the Master Agreement are to be used solely in connection with the work to be performed for the Regents of the University of California. Siemens standard terms and conditions will comprise the terms of the Master Agreement for any other entity for whom Siemens will perform work pursuant to this program, and these will be provided under separate cover in response to the RFP (i.e. Siemens terms and conditions attachment).

Attached and incorporated herein is a copy of the revised Exhibit B Administration Agreement Example for UCOP, and these Exceptions contain explanations for the same.

Recitals

1. Siemens has revised this section so that the Agreement is not amended by the Master Agreement, which has not been negotiated or signed. It does provide context and background for the Agreement, which the revision so provides.

2. Siemens has revised the second section to it indicate what the Master Agreement should provide, as it has not been negotiated or signed. Ultimately, Siemens terms and conditions as provided for the purposes outline above and in response to the RFP, shall comprise the Master Agreement.

3. Siemens has revised fourth section to indicate that OMNIA Partner so acts pursuant to agreement of the Principal Procurement Agency, as the Master Agreement has not been negotiated or signed.

4. Siemens has revised fifth section for the same reasons indicated for the prior two revisions.

Terms and Conditions

5. Siemens has revised paragraph two so that the Agreement does not incorporate by reference the Master Agreement, which has not been negotiated or signed. The revision does provide for attachment of the Master Agreement as illustrative, however.

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6. Siemens has revised paragraph three to indicate that OMNIA Partner so acts pursuant to agreement of the Principal Procurement Agency, as the Master Agreement has not been negotiated or signed.

7. Siemens has revised paragraph four to indicate that OMNIA Partner so acts pursuant to agreement of the Principal Procurement Agency, as the Master Agreement has not been negotiated or signed.

8. Siemens has revised paragraph six to provide, reciprocally, that Siemens has no liability for OMNIA Partners’ performance under the Master Agreement that OMNIA Partner and that OMNIA Partners, reciprocally hold Siemens harmless respecting the same.

9. Siemens has revised paragraph seven to: (1) make Siemens requirements consistent with its legal obligations under applicable law; (2) to exclude information in the public domain and (3) and to provide that Siemens receives compensation for work for which it is not otherwise compensated.

10. Siemens has revised paragraph eight to obligate OMNIA Partner to follow prudent industry practices and to provide Siemens with a damage cap.

National Promotion

11. Siemens has revised paragraph eleven to have its marketing and promotional obligations consistent with its commitment indicated in its response to the RFP and make Logo use contingent upon permission granted by its Owner.

Administrative Fee, Reporting and Payment

12. Siemens has revised paragraph thirteen to have a reasonability qualified for its reporting obligations and to de-link the same from the Master Agreement.

13. Siemens has revised paragraph fourteen to de-link the same from the Master Agreement its payment of obligations under the Agreement.

14. Siemens has revised paragraph fifteen to : (1) limit disclosure under the audit requirements to non-proprietary documents; (2) to have agreed audit sites and to establish a reasonable and objective standard for siemens obligation to pay for audit costs.

General Provisions

15. Siemens has revised paragraph sixteen to indicate an order of precedence that does not Include the Master Agreement.

16. Siemens has revised paragraph eighteen to indicate that, like Omnia Partners, Siemens can assign its rights under the Agreement to one of its affiliates or successors-in- interest.

Master Agreement

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17. Siemens has revised the paragraph so that the Agreement does not incorporate by reference the Master Agreement, which has not been negotiated or signed. The revision does provide for attachment of the Master Agreement as illustrative, however.

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WARRANTY.

Supplier warrants that all Equipment and Products furnished are free from liens and encumbrances at the time of delivery, and are free from defects in materials and workmanship. Supplier warrants that it will perform the Services in a professional and workmanlike manner. The warranties do not apply to software furnished by Supplier. The sole and exclusive warranties for any software are set forth in the applicable Software License. If the Services or Product fail to meet the warranty standards set forth in “WARRANTY” within the applicable warranty period defined herein, and Omnia or the Participating Entity (as applicable) promptly reports such non-conformance to Supplier during the above mentioned warranty period, Supplier shall at its own expense as Omnia or the Participating Entity’s (as applicable) sole and exclusive remedies for breach of the warranties: (i) for Services, re-perform the relevant Services or, in Supplier’s sole discretion, refund Omnia or the Participating Entity (as applicable) the pro rata portion of the fees paid to Supplier under this Agreement allocable to the nonconforming Services; and (ii) for Product, at Supplier’s discretion, repair or replace the Product, or its non-conforming parts, within a reasonable time period, or refund of all or part of the purchase price. The warranty on repaired or replaced Product Services or parts is limited to the remainder of the original warranty period. In addition, Supplier warrants the Equipment, Products, and Services are suitable for and will perform in accordance with the ordinary use for which they are intended as set forth in the manufacturer’s product documentation. Supplier’s dealers and distributors must agree to assist the Participating Entity in reaching a resolution in any dispute over warranty terms with the manufacturer. Any manufacturer’s warranty that is effective past the expiration of the Supplier’s warranty will be passed on to the Participating Entity to the extent legally permissible. Unless Supplier agrees otherwise in writing, Omnia or the Participating Entity (as applicable) will be responsible for any costs associated with: (i) gaining access to the Product or Services; (ii) removal, disassembly, replacement, installation, or reinstallation of any equipment, materials or structures to permit Supplier to perform its warranty obligations; (iii) transportation to and from the Supplier factory or repair facility; and (iv) damage to equipment components or parts resulting in whole or in part from non-compliance by the Omnia or the Participating Entity (as applicable) with their deteriorated condition or from their deteriorated condition. All exchanged Products replaced under this warranty will become the property of Supplier.

Omnia or the Participating Entity (as applicable) must provide written notice of any claims for breach of the Warranties by: (i) for Services, within three (3) months from completion of the Services; and (ii) for Product, the earlier of twelve (12) months from initial operation of the Product or eighteen (18) months from shipment. Additionally, absent written notice within the applicable Warranty period, any use or possession of the Product or Services after expiration of the applicable Warranty period is conclusive evidence that the applicable Warranties have been satisfied. THE WARRANTIES IN THIS “WARRANTY” ARE SUPPLIER'S SOLE AND EXCLUSIVE WARRANTIES AS TO SUPPLIER PRODUCTS AND SERVICES.

SUPPLIER MAKES NO OTHER WARRANTIES, EXPRESS OR IMPLIED, INCLUDING, WITHOUT LIMITATION,

WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, COURSE OF DEALING AND USAGE OF TRADE.

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OMNIA PARTNERS EXHIBITS

EXHIBIT B - ADMINISTRATION AGREEMENT EXAMPLE FOR UCOP
Version April 8, 2021
THIS ADMINISTRATION AGREEMENT (this “Agreement”) is made this day of 20 , between National Intergovernmental Purchasing Alliance Company, a Delaware corporation d/b/a OMNIA Partners, Public Sector (“OMNIA Partners”), and (“Supplier”).

RECITALS
WHEREAS, the (the “Principal Procurement Agency”) has entered into a Master Agreement effective , Agreement No , by and between the Principal Procurement Agency and Supplier, (as may be amended from time to time in accordance with the terms thereofin effect as of the date of this Agreement, the “Master Agreement”), as attached hereto as Exhibit A and incorporated herein by reference as though fully set forth hereinfor supplying background and context for the purpose of the Agreement, for the purchase of (the “Product”);
WHEREAS, said Master Agreement should provides that any or all public agencies, including state and local governmental entities, public and private primary, secondary and higher education entities, non-profit entities, and agencies for the public benefit (collectively, “Public Agencies”), that register (either via registration on the OMNIA Partners website or execution of a Master Intergovernmental Cooperative Purchasing Agreement, attached hereto as Exhibit B) (each, hereinafter referred to as a “Participating Public Agency”) may purchase Product at prices stated in the Master Agreement;
WHEREAS, Participating Public Agencies may access the Master Agreement which is offered through OMNIA Partners to Public Agencies;
WHEREAS, OMNIA Partners serves as the cooperative contract administrator of the Master Agreement on behalf of Principal Procurement Agency, as agreed by the Principal Procurement Agency; WHEREAS, The parties anticipate that the Principal Procurement Agency shall desires OMNIA Partners to proceed with administration of theMaster Agreement; and WHEREAS, OMNIA Partners and Supplier desire to enter into this Agreement to make available the Master Agreement to Participating Public Agencies and to set forth certain terms and conditions governing the relationship between OMNIA Partners and Supplier.

NOW, THEREFORE, in consideration of the payments to be made hereunder and the mutual covenants contained in this Agreement, OMNIA Partners and Supplier hereby agree as follows:

DEFINITIONS

1. Capitalized terms used in this Agreement and not otherwise defined herein shall have the meanings given to them in the Master Agreement.

TERMS AND CONDITIONS

2. The Master Agreement and the terms and conditions contained therein shall apply to this Agreement except as expressly changed or modified by this Agreement. Supplier acknowledges and agrees that the covenants and agreements of Supplier set forth in the solicitation and Supplier’s response thereto resulting in the Master Agreement are incorporated herein and are an integral part hereof are illustrative of the intents of the Agreement.

3. OMNIA Partners shall be afforded all of the rights, privileges and indemnifications afforded to Principal Procurement Agency by or from Supplier under the Master Agreement, as agreed by the Principal Procurement Agency and Supplier, and such rights, privileges and indemnifications shall accrue and apply with equal effect to OMNIA Partners, its agents, employees, directors, and representatives under this Agreement including, but not limited to, Supplier’s obligation to obtain appropriate insurance.

4. OMNIA Partners shall perform all of its duties, responsibilities and obligations as the cooperative contract administrator of the Master Agreement on behalf of Principal Procurement Agency as set forth herein as agreed by the Principal Procurement Agency, and Supplier hereby acknowledges and agrees that all duties, responsibilities and obligations will be undertaken by OMNIA Partners solely in its capacity as the cooperative contract Commented [GK(RSR1]: The terms of the Master
Agreement shall be supplied by Siemens under separate
cover as part of its RFP response.

Commented [GK(RSR2]: As indicated previously and
elsewhere, the Master Agreement’s terms will be provide by Siemens as part of its response to the RFP and related
contract exceptions.

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administrator under the Master Agreement.

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5. With respect to any purchases by Principal Procurement Agency or any Participating Public Agency pursuant to the Master Agreement, OMNIA Partners shall not be: (i) construed as a dealer, re-marketer, representative, partner or agent of any type of the Supplier, Principal Procurement Agency or any Participating Public Agency; (ii) obligated, liable or responsible for any order for Product made by Principal Procurement Agency or any Participating Public Agency or any employee thereof under the Master Agreement or for any payment required to be made with respect to such order for Product; and (iii) obligated, liable or responsible for any failure by Principal Procurement Agency or any Participating Public Agency to comply with procedures or requirements of applicable law or the Master Agreement or to obtain the due authorization and approval necessary to purchase under the Master Agreement. OMNIA Partners makes no representation or guaranty with respect to any minimum purchases by Principal Procurement Agency or any Participating Public Agency or any employee thereof under this Agreement or the Master Agreement.

6. OMNIA Partners shall not be responsible for Supplier’s performance under the Master Agreement, and Supplier shall hold OMNIA Partners harmless from any liability that may to the arise arising from the negligent acts or omissions of Supplier in connection with the Master Agreement. Supplier shall not be responsible for OMNIA Partners’s performance under the Master Agreement and OMNIA Partners shall hold Supplier harmless from any liability to the extent arising from the negligent acts or omissions of OMNIA Partners in connection with the Master Agreement.

7. Supplier acknowledges that, in connection with its access to OMNIA Partners confidential information and/or supply of data to OMNIA Partners, it has complied with and shall continue to comply with all laws, regulations and standards that may apply to Supplier, including to the extent applicable, without limitation: (a) United States federal and state information security and privacy statutes, and regulations and/or best practices, including to the extent applicable, without limitation, the Gramm-Leach-Bliley Act, the Massachusetts Data Security Regulations (201 C.M.R.

17.00 et. seq.), the Nevada encryption statute (N.R.S. § 603A), the California data security law (Cal. Civil Code § 1798.80 et. seq.) and California Consumer Privacy Act (Cal. Civil Code § 1798.100 et. seq.); and (b) applicable industry and regulatory standards and best practices (collectively, “Data Regulations”).

With regard to Personal Information that Supplier collects, receives, or otherwise processes under the Agreement or otherwise in connection with performance of the Agreement, Supplier agrees that it will not: (i) sell, rent, release, disclose, disseminate, make available, transfer, or otherwise communicate orally, in writing, or by electronic or other means, such Personal Information to another business or third party for monetary or other valuable consideration; or (ii) retain, use, or disclose such Personal Information outside of the direct business relationship between Supplier and OMNIA Partners or for any purpose other than for the specific purpose of performance of the Agreement, including retaining, using, or disclosing such Personal Information for a commercial purpose other than for performance of the Agreement.

By entering into the Agreement, Supplier certifies that it understands the specific restrictions contained in this Section 7 and will comply with them. For purposes hereof, “Personal Information” means information that identifies, relates to, describes, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, with a particular consumer or household, and includes the specific elements of “personal information” as defined under Data Regulations, as defined herein, that is not publicly available. Supplier will reasonably assist OMNIA Partners in timely responding to any third party “request to know” or “request to delete” (as defined pursuant to Data Regulations) and will promptly provide OMNIA Partners with information reasonably necessary for OMNIA Partners to respond to such requests at OMNIA Partners’s sole expense. Where Supplier collects Personal Information directly from Public Agencies or others on OMNIA Partners’ behalf, Supplier will maintain records and the means necessary to enable OMNIA Partners to respond to such requests to know and requests to delete.

8. WITHOUT LIMITING THE GENERALITY OF THE FOREGOING, OMNIA PARTNERS

EXPRESSLY DISCLAIMS ALL EXPRESS OR IMPLIED REPRESENTATIONS AND WARRANTIES REGARDING OMNIA PARTNERS’ PERFORMANCE AS A CONTRACT ADMINISTRATOR OF THE MASTER AGREEMENT, EXCEPT THAT IT SHALL OBSERVE PRUDENT INDUSTRY PRACTICS IN THAT CAPACITY. OMNIA

PARTNERSNEITHER PARTY SHALL NOT BE LIABLE IN ANY WAY FOR ANY SPECIAL, INCIDENTAL,

INDIRECT, CONSEQUENTIAL, EXEMPLARY, PUNITIVE, OR RELIANCE DAMAGES, EVEN IF OMNIA PARTNERSTHE OTHER IS ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. SUPPLIER’S MAXIMUM

LIABILITY UNDER THIS AGREEMENT UNDER ANY THEORY OF RECOVERY, SHALL NOT EXCEED THE ACTUAL COMPESATION RECEIVED BY SIEMENS FROM OMNIA PARTNERS UNDER THIS AGREEMENT.

TERM OF AGREEMENT; TERMINATION

9. This Agreement shall be in effect so long as the Master Agreement remains in effect, provided, however, that the provisions of Sections 3 – 8 and 11 – 22, hereof and the indemnifications afforded by the Supplier to OMNIA

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Partners in the Master Agreement, to the extent such provisions survive any expiration or termination of the Master Agreement, shall survive the expiration or termination of this Agreement.

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NATIONAL PROMOTION

10. OMNIA Partners and Supplier shall publicize and promote the availability of the Master Agreement’s products and services to Public Agencies and such agencies’ employees. Supplier shall requirest each Public Agency to register its participation in the OMNIA Partners program by either registering on the OMNIA Partners website (www.omniapartners.com/publicsector) or executing a Master Intergovernmental Cooperative Purchasing Agreement prior to processing the Participating Public Agency’s first sales order. Upon request, Supplier shall make available to interested Public Agencies a copy of the Master Agreement and such price lists or quotes as may be necessary for such Public Agencies to evaluate potential purchases.

11. Supplier shall provide such marketing and administrative support it committed to as set forth in response to the solicitation resulting in the Master Agreement, including assisting in development of marketing materials as reasonably requested by Principal Procurement Agency and OMNIA Partners. Supplier shall be responsible for obtaining permission or license of use and payment of any license fees for all content and images Supplier provides to OMNIA Partners or posts on the OMNIA Partners website. Supplier shall indemnify, defend and hold harmless OMNIA Partners for its use of all such content and images including copyright infringement claims. Supplier and OMNIA Partners each hereby grant to the other party a limited, revocable, non-transferable, non-sublicensable right to use such party’s logo (each, the “Logo”) solely for use in marketing the Master Agreement, as is approved by the Logo’s owner in writing and in advance of such use. Each party shall provide the other party with the standard terms of use of such party’s Logo, and such party shall comply with such terms in all material respects. Both parties shall obtain approval from the other party prior to use of such party’s Logo. Notwithstanding the foregoing, the parties understand and agree that except as provided herein neither party shall have any right, title or interest in the other party’s Logo.

Upon termination of this Agreement, each party shall immediately cease use of the other party’s Logo.

ADMINISTRATIVE FEE, REPORTING & PAYMENT

12. An “Administrative Fee” shall be defined and due to OMNIA Partners from Supplier in the amount of Three percent (3 %) (“Administrative Fee Percentage”) multiplied by the total purchase amount paid to Supplier, less refunds, credits on returns, rebates and discounts, for the sale of products and/or services to Principal Procurement Agency and Participating Public Agencies pursuant to the Master Agreement (as amended from time to time and including any renewal thereof) (“Contract Sales”). From time to time the parties may mutually agree in writing to a lower Administrative Fee Percentage for a specifically identified Participating Public Agency’s Contract Sales.

13. Supplier shall provide OMNIA Partners with an electronic accounting report monthly, in the format reasonably prescribed by OMNIA Partners, summarizing all Contract Sales for each calendar month. The Contract Sales reporting format is provided as Exhibit C (“Contract Sales Report”), attached hereto and incorporated herein by reference. Contract Sales Reports for each calendar month shall be provided by Supplier to OMNIA Partners by the 10th day of the following month. Failure to provide a Contract Sales Report within the time and manner specified herein shall constitute a material breach of this Agreement and if not cured within thirty (30) days of written notice to Supplier shall be deemed a cause for termination of the Master Agreement, at Principal Procurement Agency’s sole discretion, and/or this Agreement, at OMNIA Partners’ sole discretion.

14. Administrative Fee payments are to be paid by Supplier to OMNIA Partners at the frequency and on the due date stated in Section 13, above, for Supplier’s submission of corresponding Contract Sales Reports.

Administrative Fee payments are to be made via Automated Clearing House (ACH) to the OMNIA Partners designated financial institution identified in Exhibit D. Failure to provide a payment of the Administrative Fee within the time and manner specified herein shall constitute a material breach of this Agreement and if not cured within thirty (30) days of written notice to Supplier shall be deemed a cause for termination of the Master Agreement, at Principal Procurement Agency’s sole discretion, and/or this Agreement, at OMNIA Partners’ sole discretion. All Administrative Fees not paid when due shall bear interest at a rate equal to the lesser of one and one-half percent (1 1/2%) per month or the maximum rate permitted by law until paid in full.

15. Supplier shall maintain an accounting of all purchases made by Participating Public Agencies under the Master Agreement. OMNIA Partners, or its designee, in OMNIA Partners’ sole discretion, reserves the right to compare Participating Public Agency records with Contract Sales Reports submitted by Supplier for a period of four (4) years from the date OMNIA Partners receives such report. In addition, OMNIA Partners may engage a third party to conduct an independent audit of Supplier’s monthly reports. In the event of such an audit, Supplier shall provide all non-proprietary materials reasonably requested relating to such audit by OMNIA Partners at the location designated by OMNIA

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Partnersagreed by the parties. In the event an underreporting of Contract Sales and a resulting underpayment of Administrative Fees is revealed, OMNIA

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Partners will notify the Supplier in writing. Supplier will have thirty (30) days from the date of such notice to resolve the discrepancy to OMNIA Partners’ reasonable satisfaction, including payment of any Administrative Fees due and owing, together with interest thereon in accordance with Section 13, and reimbursement of OMNIA Partners’ costs and expenses related to such audit if the underpayment is greater than or equal to five percent (5%) of the amount subject of the audit.

GENERAL PROVISIONS

16. This Agreement, the Master Agreement and the exhibits referenced herein supersede any and all other agreements, either oral or in writing, between the parties hereto with respect to the subject matter hereto and no other agreement, statement, or promise relating to the subject matter of this Agreement which is not contained or incorporated herein shall be valid or binding. In the event of any conflict between the provisions of this Agreement and the Master Agreement, as between OMNIA Partners and Supplier, the more specific provisions of this Agreement shall prevail.

17. If any action at law or in equity is brought to enforce or interpret the provisions of this Agreement or to recover any Administrative Fee and accrued interest, the prevailing party shall be entitled to reasonable attorney’s fees and costs in addition to any other relief to which it may be entitled.

18. This Agreement and OMNIA Partners’ rights and obligations hereunder may be assigned at OMNIA Partners’ sole discretion to an affiliate of OMNIA Partners, any purchaser of any or all or substantially all of the assets of OMNIA Partners, or the successor entity as a result of a merger, reorganization, consolidation, conversion or change of control, whether by operation of law or otherwise. Supplier may not assign its obligations hereunder without the prior written consent of OMNIA Partners, except to its affiliates or any purchaser of any or all or substantially all of the assets of Supplier, or the successor entity as a result of a merger, reorganization, consolidation, conversion or change of control, whether by operation of law or otherwise.

19. All written communications given hereunder shall be delivered by first-class mail, postage prepaid, or overnight delivery on receipt to the addresses as set forth below.

A. OMNIA Partners:

OMNIA Partners
Attn: President
840 Crescent Centre Drive
Suite 600
Franklin, TN 37067
B. Supplier:

20. If any provision of this Agreement shall be deemed to be, or shall in fact be, illegal, inoperative or unenforceable, the same shall not affect any other provision or provisions herein contained or render the same invalid, inoperative or unenforceable to any extent whatever, and this Agreement will be construed by limiting or invalidating such provision to the minimum extent necessary to make such provision valid, legal and enforceable.

21. This Agreement may not be amended, changed, modified, or altered without the prior written consent of the parties hereto, and no provision of this Agreement may be discharged or waived, except by a writing signed by the parties. A waiver of any particular provision will not be deemed a waiver of any other provision, nor will a waiver given on one occasion be deemed to apply to any other occasion.

22. This Agreement shall inure to the benefit of and shall be binding upon OMNIA Partners, the Supplier and any respective successor and assign thereto; subject, however, to the limitations contained herein.

23. This Agreement will be construed under and governed by the laws of the State of Delaware, excluding its conflicts of law provisions and any action arising out of or related to this Agreement shall be commenced solely and exclusively in the state or federal courts in Williamson County Tennessee.

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24. This Agreement may be executed in counterparts, each of which is an original but all of which, together, shall constitute but one and the same instrument. The exchange of copies of this Agreement and of signature pages by facsimile, or by .pdf or similar electronic transmission, will constitute effective execution and delivery of this Agreement as to the parties and may be used in lieu of the original Agreement for all purposes. Signatures of the parties transmitted by facsimile, or by .pdf or similar electronic transmission, will be deemed to be their original signatures for any purpose whatsoever.
[INSERT SUPPLIER ENTITY NAME] NATIONAL INTERGOVERNMENTAL

PURCHASING ALLIANCE COMPANY, A

DELAWARE CORPORATION D/B/A

OMNIA PARTNERS, PUBLIC SECTOR
Signature Signature
Sarah Vavra
Name Name
Sr. Vice President, Public Sector Contracting
Title Title
Date Date

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EXHIBIT A TO THE ADMINISTRATION AGREEMENT EXAMPLE FOR UCOP Version April 8, 2021
Master Agreement
The Master Agreement, by and between the Principal Procurement Agency and the Supplier, is incorporated herein by reference as though fully set forth hereinattached hereto for illustrative purposes.

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EXHIBIT B TO THE ADMINISTRATION AGREEMENT EXAMPLE FOR UCOP

MASTER INTERGOVERNMENTAL COOPERATIVE PURCHASING AGREEMENT This Master Intergovernmental Cooperative Purchasing Agreement (this “Agreement”) is entered into by and between those certain government agencies that execute a Principal Procurement Agency Certificate (“Principal Procurement Agencies”) with National Intergovernmental Purchasing Alliance Company, a Delaware corporation d/b/a OMNIA Partners, Public Sector and/or Communities Program Management, LLC, a California limited liability company d/b/a U.S. Communities (collectively, “OMNIA Partners”), in its capacity as the cooperative adminsitrator, to be appended and made a part hereof and such other public agencies (“Participating Public Agencies”) who register to participate in the cooperative purchasing programs administered by OMNIA Partners and its affiliates and subsidiaries (collectively, the “OMNIA Partners Parties”) by either registering on the OMNIA Partners website (www.omniapartners.com/publicsector or any successor website), or by executing a copy of this Agreement.

RECITALS
WHEREAS, after a competitive solicitation and selection process by Principal Procurement Agencies, in compliance with their own policies, procedures, rules and regulations, a number of suppliers have entered into “Master Agreements” (herein so called) to provide a variety of goods, products and services (“Products”) to the applicable Principal Procurement Agency and the Participating Public Agencies;
WHEREAS, Master Agreements are made available by Principal Procurement Agencies through the OMNIA Partners Parties and provide that Participating Public Agencies may purchase Products on the same terms, conditions and pricing as the Principal Procurement Agency, subject to any applicable federal and/or local purchasing ordinances and the laws of the State of purchase; and WHEREAS, in addition to Master Agreements, the OMNIA Partners Parties may from time to time offer Participating Public Agencies the opportunity to acquire Products through other group purchasing agreements.

NOW, THEREFORE, in consideration of the mutual promises contained in this Agreement, and of the mutual benefits to result, the parties hereby agree as follows:

1. Each party will facilitate the cooperative procurement of Products.

2. The Participating Public Agencies shall procure Products in accordance with and subject to the relevant federal, state and local statutes, ordinances, rules and regulations that govern Participating Public Agency’s procurement practices. The Participating Public Agencies hereby acknowledge and agree that it is the intent of the parties that all provisions of this Agreement and that Principal Procurement Agencies’ participation in the program described herein comply with all applicable laws, including but not limited to the requirements of 42 C.F.R. § 1001.952(j), as may be amended from time to time. The Participating Public Agencies further acknowledge and agree that they are solely responsible for their compliance with all applicable “safe harbor” regulations, including but not limited to any and all obligations to fully and accurately report discounts and incentives.

3. The Participating Public Agency represents and warrants that the Participating Public Agency is not a hospital or other healthcare provider and is not purchasing Products on behalf of a hospital or healthcare provider; provided that the foregoing shall not prohibit Participating Public Agency from furnishing health care services so long as the furnishing of healthcare services is not in furtherance of a primary purpose of the Participating Public Agency.

4. The cooperative use of Master Agreements shall be in accordance with the terms and conditions of the Master Agreements, except as modification of those terms and conditions is otherwise required by applicable federal, state or local law, policies or procedures.

5. The Principal Procurement Agencies will make available, upon reasonable request, Master Agreement information which may assist in improving the procurement of Products by the Participating Public Agencies.

6. The Participating Public Agency agrees the OMNIA Partners Parties may provide access to group purchasing organization (“GPO”) agreements directly or indirectly by enrolling the Participating Public Agency in another GPO’s purchasing program, provided that the purchase of Products through the OMNIA Partners Parties or any other GPO shall be at the Participating Public Agency’s sole discretion.

7. The Participating Public Agencies (each a “Procuring Party”) that procure Products through any Master Agreement or GPO Product supply agreement (each a “GPO Contract”) will make timely payments to the distributor, manufacturer or other vendor (collectively, “Supplier”) for Products received in accordance with the terms and conditions of the Master Agreement or GPO Contract, as applicable. Payment for Products and inspections and acceptance of Products ordered by the Procuring Party shall be the exclusive
Version April 8, 2021

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EXHIBIT B TO THE ADMINISTRATION AGREEMENT EXAMPLE FOR UCOP obligation of such Procuring Party. Disputes between Procuring Party and any Supplier shall be resolved in accordance with the law and venue rules of the State of purchase unless otherwise agreed to by the Procuring Party and Supplier.

8. The Procuring Party shall not use this Agreement as a method for obtaining additional concessions or reduced prices for purchase of similar products or services outside of the Master Agreement. Master Agreements may be structured with not-to-exceed pricing, in which cases the Supplier may offer the Procuring Party and the Procuring Party may accept lower pricing or additional concessions for purchase of Products through a Master Agreement.

9. The Procuring Party shall be responsible for the ordering of Products under this Agreement. A non-procuring party shall not be liable in any fashion for any violation by a Procuring Party, and, to the extent permitted by applicable law, the Procuring Party shall hold non-procuring party harmless from any liability that may arise from the acts or omissions of the Procuring Party.

10. WITHOUT LIMITING THE GENERALITY OF THE FOREGOING, THE OMNIA PARTNERS PARTIES

EXPRESSLY DISCLAIM ALL EXPRESS OR IMPLIED REPRESENTATIONS AND WARRANTIES REGARDING ANY PRODUCT, MASTER AGREEMENT AND GPO CONTRACT. THE OMNIA PARTNERS PARTIES SHALL NOT BE LIABLE IN

ANY WAY FOR ANY SPECIAL, INCIDENTAL, INDIRECT, CONSEQUENTIAL, EXEMPLARY, PUNITIVE, OR RELIANCE DAMAGES, EVEN IF THE OMNIA PARTNERS PARTIES ARE ADVISED OF THE POSSIBILITY OF SUCH DAMAGES.

FURTHER, THE PROCURING PARTY ACKNOWLEDGES AND AGREES THAT THE OMNIA PARTNERS PARTIES SHALL

HAVE NO LIABILITY FOR ANY ACT OR OMISSION BY A SUPPLIER OR OTHER PARTY UNDER A MASTER AGREEMENT OR GPO CONTRACT.

11. This Agreement shall remain in effect until termination by either party giving thirty (30) days’ written notice to the other party. The provisions of Paragraphs 6 - 10 hereof shall survive any such termination.

12. This Agreement shall take effect upon (i) execution of the Principal Procurement Agency Certificate, or (ii) registration on the OMNIA Partners website or the execution of this Agreement by a Participating Public Agency, as applicable.

Participating Public Agency: OMNIA Partners, as the cooperative administrator on behalf of Principal Procurement Agencies:

NATIONAL INTERGOVERNMENTAL

PURCHASING ALLIANCE COMPANY

COMMUNITIES PROGRAM MANAGEMENT, LLC
Authorized Signature Signature
Sarah E. Vavra
Name Name
Sr. Vice President, Public Sector Contracting
Title and Agency Name Title
Date Date
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EXHIBIT C TO THE ADMINISTRATION AGREEMENT EXAMPLE FOR UCOP Version April 8, 2021

CONTRACT SALES REPORTING TEMPLATE
Contract Sales Report submitted electronically in Microsoft Excel:

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EXHIBIT D TO THE ADMINISTRATION AGREEMENT EXAMPLE FOR UCOP Version April 8, 2021
Instructions for Providing Payments
x All payments are to be made as follows. ACH payments are preferred.

ACH Instructions
ACH Information For: OMNIA Partners, LLC
Bank Name: Fifth Third Bank
ACH Routing Transit Number: 064103833
Account Number: 7362675998
Regular, Courier or Delivered Mail for Checks
OMNIA Partners
ATTN: Controller
840 Crescent Centre Drive
Suite 600
Franklin, TN 37067
x Please email any questions regarding payments to [email protected].

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FEDERAL CERTIFICATIONS
ADDENDUM FOR AGREEMENT FUNDED BY U.S. FEDERAL GRANT
TO WHOM IT MAY CONCERN:

Participating Agencies may elect to use federal funds to purchase under the Master Agreement. This form should be completed and returned.

DEFINITIONS
Contract means a legal instrument by which a non–Federal entity purchases property or services needed to carry out the project or program under a Federal award. The term as used in this part does not include a legal instrument, even if the non–Federal entity considers it a contract, when the substance of the transaction meets the definition of a Federal award or subaward Contractor means an entity that receives a contract as defined in Contract.

Cooperative agreement means a legal instrument of financial assistance between a Federal awarding agency or pass-through entity and a non–Federal entity that, consistent with 31 U.S.C. 6302–6305:
(a) Is used to enter into a relationship the principal purpose of which is to transfer anything of value from the Federal awarding agency or pass-through entity to the non–Federal entity to carry out a public purpose authorized by a law of the United States (see 31 U.S.C. 6101(3)); and not to acquire property or services for the Federal government or pass-through entity's direct benefit or use;
(b) Is distinguished from a grant in that it provides for substantial involvement between the Federal awarding agency or pass-through entity and the non–Federal entity in carrying out the activity contemplated by the Federal award. (c) The term does not include:
(1) A cooperative research and development agreement as defined in 15 U.S.C. 3710a; or (2) An agreement that provides only:
(i) Direct United States Government cash assistance to an individual; (ii) A subsidy;
(iii) A loan;
(iv) A loan guarantee; or
(v) Insurance.

Federal awarding agency means the Federal agency that provides a Federal award directly to a non–Federal entity Federal award has the meaning, depending on the context, in either paragraph (a) or (b) of this section:
(a)(1) The Federal financial assistance that a non–Federal entity receives directly from a Federal awarding agency or indirectly from a pass-through entity, as described in § 200.101 Applicability; or (2) The cost-reimbursement contract under the Federal Acquisition Regulations that a non–Federal entity receives directly from a Federal awarding agency or indirectly from a pass-through entity, as described in § 200.101 Applicability.
(b) The instrument setting forth the terms and conditions. The instrument is the grant agreement, cooperative agreement, other agreement for assistance covered in paragraph (b) of § 200.40 Federal financial assistance, or the cost-reimbursement contract awarded under the Federal Acquisition Regulations. (c) Federal award does not include other contracts that a Federal agency uses to buy goods or services from a contractor or a contract to operate Federal government owned, contractor operated facilities (GOCOs). (d) See also definitions of Federal financial assistance, grant agreement, and cooperative agreement.

Non–Federal entity means a state, local government, Indian tribe, institution of higher education (IHE), or nonprofit organization that carries out a Federal award as a recipient or subrecipient.

Nonprofit organization means any corporation, trust, association, cooperative, or other organization, not including IHEs, that:
(a) Is operated primarily for scientific, educational, service, charitable, or similar purposes in the public interest; (b) Is not organized primarily for profit; and

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(c) Uses net proceeds to maintain, improve, or expand the operations of the organization.

Obligations means, when used in connection with a non–Federal entity's utilization of funds under a Federal award, orders placed for property and services, contracts and subawards made, and similar transactions during a given period that require payment by the non–Federal entity during the same or a future period.

Pass-through entity means a non–Federal entity that provides a subaward to a subrecipient to carry out part of a Federal program.

Recipient means a non–Federal entity that receives a Federal award directly from a Federal awarding agency to carry out an activity under a Federal program. The term recipient does not include subrecipients.

Simplified acquisition threshold means the dollar amount below which a non–Federal entity may purchase property or services using small purchase methods. Non–Federal entities adopt small purchase procedures in order to expedite the purchase of items costing less than the simplified acquisition threshold. The simplified acquisition threshold is set by the Federal Acquisition Regulation at 48 CFR Subpart 2.1 (Definitions) and in accordance with 41 U.S.C. 1908. As of the publication of this part, the simplified acquisition threshold is $250,000, but this threshold is periodically adjusted for inflation. (Also see definition of § 200.67 Micro-purchase.)
Subaward means an award provided by a pass-through entity to a subrecipient for the subrecipient to carry out part of a Federal award received by the pass-through entity. It does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program. A subaward may be provided through any form of legal agreement, including an agreement that the pass-through entity considers a contract.

Subrecipient means a non–Federal entity that receives a subaward from a pass-through entity to carry out part of a Federal program; but does not include an individual that is a beneficiary of such program. A subrecipient may also be a recipient of other Federal awards directly from a Federal awarding agency.

Termination means the ending of a Federal award, in whole or in part at any time prior to the planned end of period of performance.

The following provisions may be required and apply when Participating Agency expends federal funds for any purchase resulting from this procurement process. Per FAR 52.204-24 and FAR 52.204-25, solicitations and resultant contracts shall contain the following provisions.

52.204-24 Representation Regarding Certain Telecommunications and Video Surveillance Services or Equipment (Oct 2020)
The Offeror shall not complete the representation at paragraph (d)(1) of this provision if the Offeror has represented that it "does not provide covered telecommunications equipment or services as a part of its offered products or services to the Government in the performance of any contract, subcontract, or other contractual instrument" in paragraph (c)(1) in the provision at 52.204-26, Covered Telecommunications Equipment or Services—Representation, or in paragraph (v)(2)(i) of the provision at 52.212-3, Offeror Representations and Certifications-Commercial Items. The Offeror shall not complete the representation in paragraph (d)(2) of this provision if the Offeror has represented that it "does not use covered telecommunications equipment or services, or any equipment, system, or service that uses covered telecommunications equipment or services" in paragraph (c)(2) of the provision at 52.204-26, or in paragraph (v)(2)(ii) of the provision at 52.212-3. (a) Definitions. As used in this provision—
Backhaul, covered telecommunications equipment or services, critical technology, interconnection arrangements, reasonable inquiry, roaming, and substantial or essential component have the meanings provided in the clause 52.204-25, Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment. (b) Prohibition.
(1) Section 889(a)(1)(A) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (Pub. L. 115-232) prohibits the head of an executive agency on or after August 13, 2019, from procuring or obtaining, or extending or renewing a

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contract to procure or obtain, any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. Nothing in the prohibition shall be construed to—
(i) Prohibit the head of an executive agency from procuring with an entity to provide a service that connects to the facilities of a third-party, such as backhaul, roaming, or interconnection arrangements; or (ii) Cover telecommunications equipment that cannot route or redirect user data traffic or cannot permit visibility into any user data or packets that such equipment transmits or otherwise handles. (2) Section 889(a)(1)(B) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (Pub. L. 115- 232) prohibits the head of an executive agency on or after August 13, 2020, from entering into a contract or extending or renewing a contract with an entity that uses any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. This prohibition applies to the use of covered telecommunications equipment or services, regardless of whether that use is in performance of work under a Federal contract. Nothing in the prohibition shall be construed to— (i) Prohibit the head of an executive agency from procuring with an entity to provide a service that connects to the facilities of a third-party, such as backhaul, roaming, or interconnection arrangements; or (ii) Cover telecommunications equipment that cannot route or redirect user data traffic or cannot permit visibility into any user data or packets that such equipment transmits or otherwise handles. (c) Procedures. The Offeror shall review the list of excluded parties in the System for Award Management (SAM) (https://www.sam.gov) for entities excluded from receiving federal awards for "covered telecommunications equipment or services". (d) Representation. The Offeror represents that—
(1) It Ƒ will, Ƒ will not provide covered telecommunications equipment or services to the Government in the performance of any contract, subcontract or other contractual instrument resulting from this solicitation. The Offeror shall provide the additional disclosure information required at paragraph (e)(1) of this section if the Offeror responds "will" in paragraph (d)(1) of this section; and
(2) After conducting a reasonable inquiry, for purposes of this representation, the Offeror represents that— It Ƒ does, Ƒ does not use covered telecommunications equipment or services, or use any equipment, system, or service that uses covered telecommunications equipment or services. The Offeror shall provide the additional disclosure information required at paragraph (e)(2) of this section if the Offeror responds "does" in paragraph (d)(2) of this section. (e) Disclosures.
(1) Disclosure for the representation in paragraph (d)(1) of this provision. If the Offeror has responded "will" in the representation in paragraph (d)(1) of this provision, the Offeror shall provide the following information as part of the offer. (i) For covered equipment—
(A) The entity that produced the covered telecommunications equipment (include entity name, unique entity identifier, CAGE code, and whether the entity was the original equipment manufacturer (OEM) or a distributor, if known); (B) A description of all covered telecommunications equipment offered (include brand; model number, such as OEM number, manufacturer part number, or wholesaler number; and item description, as applicable); and (C) Explanation of the proposed use of covered telecommunications equipment and any factors relevant to determining if such use would be permissible under the prohibition in paragraph (b)(1) of this provision. (ii) For covered services—
(A) If the service is related to item maintenance: A description of all covered telecommunications services offered (include on the item being maintained: Brand; model number, such as OEM number, manufacturer part number, or wholesaler number; and item description, as applicable); or
(B) If not associated with maintenance, the Product Service Code (PSC) of the service being provided; and explanation of the proposed use of covered telecommunications services and any factors relevant to determining if such use would be permissible under the prohibition in paragraph (b)(1) of this provision. (2) Disclosure for the representation in paragraph (d)(2) of this provision. If the Offeror has responded "does" in the representation in paragraph (d)(2) of this provision, the Offeror shall provide the following information as part of the offer:
(i) For covered equipment—
(A) The entity that produced the covered telecommunications equipment (include entity name, unique entity identifier, CAGE code, and whether the entity was the OEM or a distributor, if known); (B) A description of all covered telecommunications equipment offered (include brand; model number, such as OEM number, manufacturer part number, or wholesaler number; and item description, as applicable); and (C) Explanation of the proposed use of covered telecommunications equipment and any factors relevant to determining if such use would be permissible under the prohibition in paragraph (b)(2) of this provision.

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(ii) For covered services—
(A) If the service is related to item maintenance: A description of all covered telecommunications services offered (include on the item being maintained: Brand; model number, such as OEM number, manufacturer part number, or wholesaler number; and item description, as applicable); or
(B) If not associated with maintenance, the PSC of the service being provided; and explanation of the proposed use of covered telecommunications services and any factors relevant to determining if such use would be permissible under the prohibition in paragraph (b)(2) of this provision.

52.204-25 Prohibition on Contracting for Certain Telecommunications and Video Surveillance Services or Equipment (Aug 2020).
(a) Definitions. As used in this clause—
Backhaul means intermediate links between the core network, or backbone network, and the small subnetworks at the edge of the network (e.g., connecting cell phones/towers to the core telephone network). Backhaul can be wireless (e.g., microwave) or wired (e.g., fiber optic, coaxial cable, Ethernet).

Covered foreign country means The People’s Republic of China.

Covered telecommunications equipment or services means– (1) Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities);
(2) For the purpose of public safety, security of Government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities);
(3) Telecommunications or video surveillance services provided by such entities or using such equipment; or (4) Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country.

Critical technology means–
(1) Defense articles or defense services included on the United States Munitions List set forth in the International Traffic in Arms Regulations under subchapter M of chapter I of title 22, Code of Federal Regulations; (2) Items included on the Commerce Control List set forth in Supplement No. 1 to part 774 of the Export Administration Regulations under subchapter C of chapter VII of title 15, Code of Federal Regulations, and controlled- (i) Pursuant to multilateral regimes, including for reasons relating to national security, chemical and biological weapons proliferation, nuclear nonproliferation, or missile technology; or (ii) For reasons relating to regional stability or surreptitious listening; (3) Specially designed and prepared nuclear equipment, parts and components, materials, software, and technology covered by part 810 of title 10, Code of Federal Regulations (relating to assistance to foreign atomic energy activities); (4) Nuclear facilities, equipment, and material covered by part 110 of title 10, Code of Federal Regulations (relating to export and import of nuclear equipment and material);
(5) Select agents and toxins covered by part 331 of title 7, Code of Federal Regulations, part 121 of title 9 of such Code, or part 73 of title 42 of such Code; or
(6) Emerging and foundational technologies controlled pursuant to section 1758 of the Export Control Reform Act of 2018 (50 U.S.C. 4817).

Interconnection arrangements means arrangements governing the physical connection of two or more networks to allow the use of another's network to hand off traffic where it is ultimately delivered (e.g., connection of a customer of telephone provider A to a customer of telephone company B) or sharing data and other information resources.

Reasonable inquiry means an inquiry designed to uncover any information in the entity's possession about the identity of the producer or provider of covered telecommunications equipment or services used by the entity that excludes the need to include an internal or third-party audit.

Roaming means cellular communications services (e.g., voice, video, data) received from a visited network when unable to connect to the facilities of the home network either because signal coverage is too weak or because traffic is too high.

Substantial or essential component means any component necessary for the proper function or performance of a piece of equipment, system, or service.

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(b) Prohibition.
(1) Section 889(a)(1)(A) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (Pub. L. 115-232) prohibits the head of an executive agency on or after August 13, 2019, from procuring or obtaining, or extending or renewing a contract to procure or obtain, any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. The Contractor is prohibited from providing to the Government any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system, unless an exception at paragraph (c) of this clause applies or the covered telecommunication equipment or services are covered by a waiver described in FAR 4.2104.
(2) Section 889(a)(1)(B) of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (Pub. L. 115- 232) prohibits the head of an executive agency on or after August 13, 2020, from entering into a contract, or extending or renewing a contract, with an entity that uses any equipment, system, or service that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system, unless an exception at paragraph (c) of this clause applies or the covered telecommunication equipment or services are covered by a waiver described in FAR 4.2104. This prohibition applies to the use of covered telecommunications equipment or services, regardless of whether that use is in performance of work under a Federal contract. (c) Exceptions. This clause does not prohibit contractors from providing— (1) A service that connects to the facilities of a third-party, such as backhaul, roaming, or interconnection arrangements; or
(2) Telecommunications equipment that cannot route or redirect user data traffic or permit visibility into any user data or packets that such equipment transmits or otherwise handles. (d) Reporting requirement.
(1) In the event the Contractor identifies covered telecommunications equipment or services used as a substantial or essential component of any system, or as critical technology as part of any system, during contract performance, or the Contractor is notified of such by a subcontractor at any tier or by any other source, the Contractor shall report the information in paragraph (d)(2) of this clause to the Contracting Officer, unless elsewhere in this contract are established procedures for reporting the information; in the case of the Department of Defense, the Contractor shall report to the website at https://dibnet.dod.mil. For indefinite delivery contracts, the Contractor shall report to the Contracting Officer for the indefinite delivery contract and the Contracting Officer(s) for any affected order or, in the case of the Department of Defense, identify both the indefinite delivery contract and any affected orders in the report provided at https://dibnet.dod.mil. (2) The Contractor shall report the following information pursuant to paragraph (d)(1) of this clause (i) Within one business day from the date of such identification or notification: the contract number; the order number(s), if applicable; supplier name; supplier unique entity identifier (if known); supplier Commercial and Government Entity (CAGE) code (if known); brand; model number (original equipment manufacturer number, manufacturer part number, or wholesaler number); item description; and any readily available information about mitigation actions undertaken or recommended. (ii) Within 10 business days of submitting the information in paragraph (d)(2)(i) of this clause: any further available information about mitigation actions undertaken or recommended. In addition, the Contractor shall describe the efforts it undertook to prevent use or submission of covered telecommunications equipment or services, and any additional efforts that will be incorporated to prevent future use or submission of covered telecommunications equipment or services. (e) Subcontracts. The Contractor shall insert the substance of this clause, including this paragraph (e) and excluding paragraph (b)(2), in all subcontracts and other contractual instruments, including subcontracts for the acquisition of commercial items.

The following certifications and provisions may be required and apply when Participating Agency expends federal funds for any purchase resulting from this procurement process. Pursuant to 2 C.F.R. § 200.326, all contracts, including small purchases, awarded by the Participating Agency and the Participating Agency’s subcontractors shall contain the procurement provisions of Appendix II to Part 200, as applicable.

APPENDIX II TO 2 CFR PART 200
(A) Contracts for more than the simplified acquisition threshold currently set at $250,000, which is the inflation adjusted amount determined by the Civilian Agency Acquisition Council and the Defense Acquisition Regulations Council

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(Councils) as authorized by 41 U.S.C. 1908, must address administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as appropriate.

Pursuant to Federal Rule (A) above, when a Participating Agency expends federal funds, the Participating Agency reserves all rights and privileges under the applicable laws and regulations with respect to this procurement in the event of breach of contract by either party.

Does offeror agree? YES Initials of Authorized Representative of offeror
(B) Termination for cause and for convenience by the grantee or subgrantee including the manner by which it will be effected and the basis for settlement. (All contracts in excess of $10,000) Pursuant to Federal Rule (B) above, when a Participating Agency expends federal funds, the Participating Agency reserves the right to immediately terminate any agreement in excess of $10,000 resulting from this procurement process in the event of a breach or default of the agreement by Offeror as detailed in the terms of the contract.

Does offeror agree? YES Initials of Authorized Representative of offeror
(C) Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, all contracts that meet the definition of “federally assisted construction contract” in 41 CFR Part 60-1.3 must include the equal opportunity clause provided under 41 CFR 60-1.4(b), in accordance with Executive Order 11246, “Equal Employment Opportunity” (30 CFR 12319, 12935, 3 CFR Part, 1964-1965 Comp., p. 339), as amended by Executive Order 11375, “Amending Executive Order 11246 Relating to Equal Employment Opportunity,” and implementing regulations at 41 CFR part 60, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor.” Pursuant to Federal Rule (C) above, when a Participating Agency expends federal funds on any federally assisted construction contract, the equal opportunity clause is incorporated by reference herein.

Does offeror agree to abide by the above? YES Initials of Authorized Representative of offeror (D) Davis-Bacon Act, as amended (40 U.S.C. 3141-3148). When required by Federal program legislation, all prime construction contracts in excess of $2,000 awarded by non-Federal entities must include a provision for compliance with the Davis-Bacon Act (40 U.S.C. 3141-3144, and 3146-3148) as supplemented by Department of Labor regulations (29 CFR Part 5, “Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction”). In accordance with the statute, contractors must be required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. In addition, contractors must be required to pay wages not less than once a week. The non-Federal entity must place a copy of the current prevailing wage determination issued by the Department of Labor in each solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of the wage determination. The non - Federal entity must report all suspected or reported violations to the Federal awarding agency. The contracts must also include a provision for compliance with the Copeland “Anti-Kickback” Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 CFR Part 3, “Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States”). The Act provides that each contractor or subrecipient must be prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The non -Federal entity must report all suspected or reported violations to the Federal awarding agency.

Pursuant to Federal Rule (D) above, when a Participating Agency expends federal funds during the term of an award for all contracts and subgrants for construction or repair, offeror will be in compliance with all applicable Davis-Bacon Act provisions.

Does offeror agree? YES Initials of Authorized Representative of offeror (E) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701-3708). Where applicable, all contracts awarded by the non-Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible BL
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provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence.

Pursuant to Federal Rule (E) above, when a Participating Agency expends federal funds, offeror certifies that offeror will be in compliance with all applicable provisions of the Contract Work Hours and Safety Standards Act during the term of an award for all contracts by Participating Agency resulting from this procurement process.

Does offeror agree? YES Initials of Authorized Representative of offeror (F) Rights to Inventions Made Under a Contract or Agreement. If the Federal award meets the definition of “funding agreement” under 37 CFR §401.2 (a) and the recipient or subrecipient wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that “funding agreement,” the recipient or subrecipient must comply with the requirements of 37 CFR Part 401, “Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements,” and any implementing regulations issued by the awarding agency.

Pursuant to Federal Rule (F) above, when federal funds are expended by Participating Agency, the offeror certifies that during the term of an award for all contracts by Participating Agency resulting from this procurement process, the offeror agrees to comply with all applicable requirements as referenced in Federal Rule (F) above.

Does offeror agree? YES Initials of Authorized Representative of offeror (G) Clean Air Act (42 U.S.C. 7401-7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251-1387), as amended—Contracts and subgrants of amounts in excess of $150,000 must contain a provision that requires the non - Federal award to agree to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401-7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251- 1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA)
Pursuant to Federal Rule (G) above, when federal funds are expended by Participating Agency, the offeror certifies that during the term of an award for all contracts by Participating Agency member resulting from this procurement process, the offeror agrees to comply with all applicable requirements as referenced in Federal Rule (G) above.

Does offeror agree? YES Initials of Authorized Representative of offeror (H) Debarment and Suspension (Executive Orders 12549 and 12689)—A contract award (see 2 CFR 180.220) must not be made to parties listed on the government wide exclusions in the System for Award Management (SAM), in accordance with the Executive Office of the President Office of Management and Budget (OMB) guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), “Debarment and Suspension.” SAM Exclusions contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549.

Pursuant to Federal Rule (H) above, when federal funds are expended by Participating Agency, the offeror certifies that during the term of an award for all contracts by Participating Agency resulting from this procurement process, the offeror certifies that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation by any federal department or agency. If at any time during the term of an award the offeror or its principals becomes debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation by any federal department or agency, the offeror will notify the Participating Agency.

Does offeror agree? YES Initials of Authorized Representative of offeror (I) Byrd Anti-Lobbying Amendment (31 U.S.C. 1352)—Contractors that apply or bid for an award exceeding $100,000 BL
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must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier must also disclose any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award.

Such disclosures are forwarded from tier to tier up to the non-Federal award.

Pursuant to Federal Rule (I) above, when federal funds are expended by Participating Agency, the offeror certifies that during the term and after the awarded term of an award for all contracts by Participating Agency resulting from this procurement process, the offeror certifies that it is in compliance with all applicable provisions of the Byrd Anti-Lobbying Amendment (31 U.S.C. 1352). The undersigned further certifies that:
(1) No Federal appropriated funds have been paid or will be paid for on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of congress, or an employee of a Member of Congress in connection with the awarding of a Federal contract, the making of a Federal grant, the making of a Federal loan, the entering into a cooperative agreement, and the extension, continuation, renewal, amendment, or modification of a Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of congress, or an employee of a Member of Congress in connection with this Federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying”, in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all covered sub-awards exceeding $100,000 in Federal funds at all appropriate tiers and that all subrecipients shall certify and disclose accordingly.

Does offeror agree? YES Initials of Authorized Representative of offeror

RECORD RETENTION REQUIREMENTS FOR CONTRACTS INVOLVING FEDERAL FUNDS When federal funds are expended by Participating Agency for any contract resulting from this procurement process, offeror certifies that it will comply with the record retention requirements detailed in 2 CFR § 200.333. The offeror further certifies that offeror will retain all records as required by 2 CFR § 200.333 for a period of three years after grantees or subgrantees submit final expenditure reports or quarterly or annual financial reports, as applicable, and all other pending matters are closed.

Does offeror agree? YES Initials of Authorized Representative of offeror

CERTIFICATION OF COMPLIANCE WITH THE ENERGY POLICY AND CONSERVATION ACT When Participating Agency expends federal funds for any contract resulting from this procurement process, offeror certifies that it will comply with the mandatory standards and policies relating to energy efficiency which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act (42 U.S.C. 6321 et seq.; 49 C.F.R. Part 18).

Does offeror agree? YES Initials of Authorized Representative of offeror

CERTIFICATION OF COMPLIANCE WITH BUY AMERICA PROVISIONS To the extent purchases are made with Federal Highway Administration, Federal Railroad Administration, or Federal Transit Administration funds, offeror certifies that its products comply with all applicable provisions of the Buy America Act and agrees to provide such certification or applicable waiver with respect to specific products to any Participating Agency upon request. Purchases made in accordance with the Buy America Act must still follow the applicable procurement rules calling for free and open competition.

Does offeror agree? YES Initials of Authorized Representative of offeror CERTIFICATION OF ACCESS TO RECORDS – 2 C.F.R. § 200.336 Offeror agrees that the Inspector General of the Agency or any of their duly authorized representatives shall have access to any documents, papers, or other records of offeror that are pertinent to offeror’s discharge of its obligations under the Contract for BL
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the purpose of making audits, examinations, excerpts, and transcriptions. The right also includes timely and reasonable access to offeror’s personnel for the purpose of interview and discussion relating to such documents.

Does offeror agree? YES Initials of Authorized Representative of offeror

CERTIFICATION OF APPLICABILITY TO SUBCONTRACTORS
Offeror agrees that all contracts it awards pursuant to the Contract shall be bound by the foregoing terms and conditions.

Does offeror agree? YES Initials of Authorized Representative of offeror Offeror agrees to comply with all federal, state, and local laws, rules, regulations and ordinances, as applicable. It is further acknowledged that offeror certifies compliance with all provisions, laws, acts, regulations, etc. as specifically noted above.

Offeror’s Name:
____________________________________________________________________________________________ Address, City, State, and Zip Code:
_____________________________________________________________________________ Phone Number: __________________________________ Fax Number:
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Siemens Industry, Inc.

Beverly Lester, Sr Govt Contracts Manager
571-379-1092 703-483-2100
[email protected]
8/11/22
1000 Deerfield Parkway, Buffalo Grove, IL 60089

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FEMA SPECIAL CONDITIONS
Awarded Supplier(s) may need to respond to events and losses where products and services are needed for the immediate and initial response to emergency situations such as, but not limited to, water damage, fire damage, vandalism cleanup, biohazard cleanup, sewage decontamination, deodorization, and/or wind damage during a disaster or emergency situation. By submitting a proposal, the Supplier is accepted these FEMA Special Conditions required by the Federal Emergency Management Agency (FEMA). “Contract” in the below pages under FEMA SPECIAL CONDITIONS is also referred to and defined as the “Master Agreement”.
“Contractor” in the below pages under FEMA SPECIAL CONDITIONS is also referred to and defined as “Supplier” or “Awarded Supplier”.

Conflicts of Interest
No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a FEMA award if he or she has a real or apparent conflict of interest. Such a conflict would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of these parties, has a financial or other interest in or a tangible personal benefit from a firm considered for award. 2 C.F.R. § 200.318(c)(1); See also Standard Form 424D, ¶ 7; Standard Form 424B, ¶ 3. i. FEMA considers a “financial interest” to be the potential for gain or loss to the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of these parties as a result of the particular procurement. The prohibited financial interest may arise from ownership of certain financial instruments or investments such as stock, bonds, or real estate, or from a salary, indebtedness, job offer, or similar interest that might be affected by the particular procurement. ii. FEMA considers an “apparent” conflict of interest to exist where an actual conflict does not exist, but where a reasonable person with knowledge of the relevant facts would question the impartiality of the employee, officer, or agent participating in the procurement. c. Gifts. The officers, employees, and agents of the Participating Public Agency nor the Participating Public Agency (“NFE”) must neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. However, NFE’s may set standards for situations in which the financial interest is de minimus, not substantial, or the gift is an unsolicited item of nominal value. 2 C.F.R. § 200.318(c)(1). d. Violations. The NFE’s written standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the NFE. 2 C.F.R. § 200.318(c)(1). For example, the penalty for a NFE’s employee may be dismissal, and the penalty for a contractor might be the termination of the contract.

Contractor Integrity
A contractor must have a satisfactory record of integrity and business ethics. Contractors that are debarred or suspended, as described in and subject to the debarment and suspension regulations implementing Executive Order 12549, Debarment and Suspension (1986) and Executive Order 12689, Debarment and Suspension (1989) at 2 C.F.R. Part 180 and the Department of Homeland Security’s regulations at 2 C.F.R.

Part 3000 (Non-procurement Debarment and Suspension), must be rejected and cannot receive contract awards at any level.

Public Policy
A contractor must comply with the public policies of the Federal Government and state, local government, or tribal government. This includes, among other things, past and current compliance with the:
a. Equal opportunity and nondiscrimination laws
b. Five affirmative steps described at 2 C.F.R. § 200.321(b) for all subcontracting under contracts supported by FEMA financial assistance; and FEMA Procurement Guidance June 21, 2016 Page IV- 7 c. Applicable prevailing wage laws, regulations, and executive orders Affirmative Steps

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For any subcontracting opportunities, Contractor must take the following Affirmative steps:

1. Placing qualified small and minority businesses and women's business enterprises on solicitation lists;

2. Assuring that small and minority businesses, and women's business enterprises are solicited whenever they are potential sources;

3. Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and minority businesses, and women's business enterprises;

4. Establishing delivery schedules, where the requirement permits, which encourage participation by small and minority businesses, and women's business enterprises; and

5. Using the services and assistance, as appropriate, of such organizations as the Small Business Administration and the Minority Business Development Agency of the Department of Commerce.

Prevailing Wage Requirements
When applicable, the awarded Contractor (s) and any and all subcontractor(s) agree to comply with all laws regarding prevailing wage rates including the Davis-Bacon Act, applicable to this solicitation and/or Participating Public Agencies. The Participating Public Agency shall notify the Contractor of the applicable pricing/prevailing wage rates and must apply any local wage rates requested. The Contractor and any subcontractor(s) shall comply with the prevailing wage rates set by the Participating Public Agency.

Federal Requirements
If products and services are issued in response to an emergency or disaster recovery the items below, located in this FEMA Special Conditions section of the Federal Funds Certifications, are activated and required when federal funding may be utilized.
2 C.F.R. § 200.326 and 2 C.F.R. Part 200, Appendix II, Required Contract Clauses

1. REMEDIES
a. Standard. Contracts for more than the simplified acquisition threshold, currently set at $250,000, must address administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as appropriate. See 2 C.F.R. Part 200, Appendix II(A).
b. Applicability. This requirement applies to all FEMA grant and cooperative agreement programs.

2. TERMINATION FOR CAUSE AND CONVENIENCE
a. Standard. All contracts in excess of $10,000 must address termination for cause and for convenience by the non-Federal entity, including the manner by which it will be effected and the basis for settlement. See 2 C.F.R. Part 200, Appendix II(B). b. Applicability. This requirement applies to all FEMA grant and cooperative agreement programs.

3. EQUAL EMPLOYMENT OPPORTUNITY
When applicable:
a. Standard. Except as otherwise provided under 41 C.F.R. Part 60, all contracts that meet the definition of “federally assisted construction contract” in 41 C.F.R.

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§ 60-1.3 must include the equal opportunity clause provided under 41 C.F.R. § 60- 1.4(b), in accordance with Executive Order 11246, Equal Employment Opportunity (30 Fed. Reg. 12319, 12935, 3 C.F.R. Part, 1964-1965 Comp., p.
339), as amended by Executive Order 11375, Amending Executive Order 11246 Relating to Equal Employment Opportunity, and implementing regulations at 41 C.F.R. Part 60 (Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor). See 2 C.F.R. Part 200, Appendix II(C). b. Key Definitions.
i. Federally Assisted Construction Contract. The regulation at 41 C.F.R. § 60-

1.3 defines a “federally assisted construction contract” as any agreement or modification thereof between any applicant and a person for construction work which is paid for in whole or in part with funds obtained from the Government or borrowed on the credit of the Government pursuant to any Federal program involving a grant, contract, loan, insurance, or guarantee, or undertaken pursuant to any Federal program involving such grant, contract, loan, insurance, or guarantee, or any application or modification thereof approved by the Government for a grant, contract, loan, insurance, or guarantee under which the applicant itself participates in the construction work.
ii. Construction Work. The regulation at 41 C.F.R. § 60-1.3 defines “construction work” as the construction, rehabilitation, alteration, conversion, extension, demolition or repair of buildings, highways, or other changes or improvements to real property, including facilities providing utility services. The term also includes the supervision, inspection, and other onsite functions incidental to the actual construction. c. Applicability. This requirement applies to all FEMA grant and cooperative agreement programs.
d. Required Language. The regulation at 41 C.F.R. Part 60-1.4(b) requires the insertion of the following contract clause.

During the performance of this contract, the contractor agrees as follows:
(1) The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, or national origin. Such action shall include, but not be limited to the following:

Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.
(2) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, or national origin.

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(3) The contractor will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the contractor's legal duty to furnish information.
(4) The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section and shall post copies of the notice in conspicuous places available to employees and applicants for employment. (5) The contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. (6) The contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. (7) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (8) The contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (8) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance:

Provided, however, that in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the contractor may request the United States to enter into such litigation to protect the interests of the United States.

The applicant further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work: Provided, That if the applicant so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the contract.

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The applicant agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing compliance.

The applicant further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction contracts pursuant to the Executive Order and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive Order. In addition, the applicant agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this grant (contract, loan, insurance, guarantee); refrain from extending any further assistance to the applicant under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such applicant; and refer the case to the Department of Justice for appropriate legal proceedings.

4. DAVIS-BACON ACT
a. Standard. All prime construction contracts in excess of $2,000 awarded by non- Federal entities must include a provision for compliance with the Davis-Bacon Act (40 U.S.C. §§ 3141- 3144 and 3146-3148) as supplemented by Department of Labor regulations at 29 C.F.R. Part 5 (Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction). See 2 C.F.R. Part 200, Appendix II(D). In accordance with the statute, contractors must be required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. In addition, contractors must be required to pay wages not less than once a week. b. Applicability. The Davis-Bacon Act applies to the Emergency Management Preparedness Grant Program, Homeland Security Grant Program, Nonprofit Security Grant Program, Tribal Homeland Security Grant Program, Port Security Grant Program, and Transit Security Grant Program.
c. Requirements. If applicable, the non-federal entity must do the following:
i. The non-Federal entity must place a copy of the current prevailing wage determination issued by the Department of Labor in each solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of the wage determination. The non-Federal entity must report all suspected or reported violations to the Federal awarding agency.
ii. Additionally, pursuant 2 C.F.R. Part 200, Appendix II(D), contracts subject to the Davis-Bacon Act, must also include a provision for compliance with the Copeland “Anti-Kickback” Act (40 U.S.C. § 3145), as supplemented by Department of Labor regulations at 29 C.F.R. Part 3 (Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States). The Copeland Anti- Kickback Act provides that each contractor or subrecipient must be prohibited from inducing, by any means, any person

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employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The nonFederal entity must report all suspected or reported violations to FEMA. iii. Include a provision for compliance with the Davis-Bacon Act (40 U.S.C. 3141- 3144, and 3146-3148) as supplemented by Department of Labor regulations (29 CFR Part 5, “Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction”).

Suggested Language. The following provides a sample contract clause:

Compliance with the Davis-Bacon Act.
a. All transactions regarding this contract shall be done in compliance with the Davis-Bacon Act (40 U.S.C. 3141- 3144, and 3146-3148) and the requirements of 29 C.F.R. pt. 5 as may be applicable. The contractor shall comply with 40 U.S.C. 3141- 3144, and 3146-3148 and the requirements of 29 C.F.R. pt. 5 as applicable.
b. Contractors are required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor.
c. Additionally, contractors are required to pay wages not less than once a week.

5. COPELAND ANTI-KICKBACK ACT
a. Standard. Recipient and subrecipient contracts must include a provision for compliance with the Copeland “Anti-Kickback” Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 CFR Part 3, “Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States”). b. Applicability. This requirement applies to all contracts for construction or repair work above $2,000 in situations where the Davis-Bacon Act also applies. It DOES NOT apply to the FEMA Public Assistance Program.
c. Requirements. If applicable, the non-federal entity must include a provision for compliance with the Copeland “Anti-Kickback” Act (40 U.S.C. § 3145), as supplemented by Department of Labor regulations at 29 C.F.R. Part 3 (Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States). Each contractor or subrecipient must be prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The non-Federal entity must report all suspected or reported violations to FEMA. Additionally, in accordance with the regulation, each contractor and subcontractor must furnish each week a statement with respect to the wages paid each of its employees engaged in work covered by the Copeland Anti-Kickback Act and the Davis Bacon Act during the preceding weekly payroll period. The report shall be delivered by the contractor or subcontractor, within seven days after the regular payment date of the payroll period, to a representative of a Federal or State agency in charge at the site of the building or work.

Sample Language. The following provides a sample contract clause:

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Compliance with the Copeland “Anti-Kickback” Act.
a. Contractor. The contractor shall comply with 18 U.S.C. § 874, 40 U.S.C. § 3145, and the requirements of 29 C.F.R. pt. 3 as may be applicable, which are incorporated by reference into this contract. b. Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clause above and such other clauses as FEMA may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts.

The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all of these contract clauses.
c. Breach. A breach of the contract clauses above may be grounds for termination of the contract, and for debarment as a contractor and subcontractor as provided in 29 C.F.R. §5.12.”

6. CONTRACT WORK HOURS AND SAFETY STANDARDS ACT
a. Standard. Where applicable (see 40 U.S.C. §§ 3701-3708), all contracts awarded by the non-Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision for compliance with 40 U.S.C. §§ 3702 and 3704, as supplemented by Department of Labor regulations at 29 C.F.R. Part 5. See 2 C.F.R. Part 200, Appendix II(E). Under 40 U.S.C. § 3702, each contractor must be required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. Further, no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous, or dangerous.
b. Applicability. This requirement applies to all FEMA contracts awarded by the non- federal entity in excess of $100,000 under grant and cooperative agreement programs that involve the employment of mechanics or laborers. It is applicable to construction work. These requirements do not apply to the purchase of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence.
c. Suggested Language. The regulation at 29 C.F.R. § 5.5(b) provides contract clause language concerning compliance with the Contract Work Hours and Safety Standards Act. FEMA suggests including the following contract clause:

Compliance with the Contract Work Hours and Safety Standards Act. (1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. (2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation

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of the clause set forth in paragraph (b)(1) of this section the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (b)(1) of this section, in the sum of
$27 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (b)(1) of this section. (3) Withholding for unpaid wages and liquidated damages. The Federal agency or loan/grant recipient shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of this section.
(4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (b)(1) through (4) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (b)(1) through (4) of this section.

7. RIGHTS TO INVENTIONS MADE UNDER A CONTRACT OR AGREEMENT a. Standard. If the FEMA award meets the definition of “funding agreement” under 37C.F.R. § 401.2(a) and the non-Federal entity wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that “funding agreement,” the non- Federal entity must comply with the requirements of 37 C.F.R. Part 401 (Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements), and any implementing regulations issued by FEMA. See 2 C.F.R. Part 200, Appendix II(F). b. Applicability. This requirement applies to “funding agreements,” but it DOES NOT apply to the Public Assistance, Hazard Mitigation Grant Program, Fire Management Assistance Grant Program, Crisis Counseling Assistance and Training Grant Program, Disaster Case Management Grant Program, and Federal Assistance to Individuals and Households – Other Needs Assistance Grant Program, as FEMA awards under these programs do not meet the definition of “funding agreement.”
c. Funding Agreements Definition. The regulation at 37 C.F.R. § 401.2(a) defines “funding agreement” as any contract, grant, or cooperative agreement entered into between any Federal agency, other than the Tennessee Valley Authority, and any contractor for the performance of experimental, developmental, or research work funded in whole or in part by the Federal government. This term also includes any assignment, substitution of parties, or subcontract of any type entered into for the performance of experimental, developmental, or research work under a funding agreement as defined in the first sentence of this paragraph.

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8. CLEAN AIR ACT AND THE FEDERAL WATER POLLUTION CONTROL ACT a. Standard. If applicable, contracts must contain a provision that requires the contractor to agree to comply with all applicable standards, orders, or regulations issued pursuant to the Clean Air Act (42 U.S.C. §§ 7401-7671q.) and the Federal Water Pollution Control Act as amended (33 U.S.C. §§ 1251-1387). Violations must be reported to FEMA and the Regional Office of the Environmental Protection Agency. See 2 C.F.R. Part 200, Appendix II(G).
b. Applicability. This requirement applies to contracts awarded by a non-federal entity of amounts in excess of $150,000 under a federal grant.
c. Suggested Language. The following provides a sample contract clause.

Clean Air Act

1. The contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. § 7401 et seq.

2. The contractor agrees to report each violation to the Participating Public Agency and understands and agrees that the Participating Public Agency will, in turn, report each violation as required to assure notification to the Federal Emergency Management Agency, and the appropriate Environmental Protection Agency Regional Office.

3. The contractor agrees to include these requirements in each subcontract exceeding $150,000 financed in whole or in part with Federal assistance provided by FEMA.

Federal Water Pollution Control Act

1. The contractor agrees to comply with all applicable standards, orders, or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq.

2. The contractor agrees to report each violation to the Participating Public Agency and understands and agrees that the Participating Public Agency will, in turn, report each violation as required to assure notification to the Federal Emergency Management Agency, and the appropriate Environmental Protection Agency Regional Office.

3. The contractor agrees to include these requirements in each subcontract exceeding $150,000 financed in whole or in part with Federal assistance provided by FEMA.

9. DEBARMENT AND SUSPENSION
a. Standard. Non-Federal entities and contractors are subject to the debarment and suspension regulations implementing Executive Order 12549, Debarment and

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Suspension (1986) and Executive Order 12689, Debarment and Suspension (1989) at 2 C.F.R. Part 180 and the Department of Homeland Security’s regulations at 2 C.F.R. Part 3000 (Non-procurement Debarment and Suspension).
b. Applicability. This requirement applies to all FEMA grant and cooperative agreement programs.
c. Requirements.
i. These regulations restrict awards, subawards, and contracts with certain parties that are debarred, suspended, or otherwise excluded from or ineligible for participation in Federal assistance programs and activities. See 2 C.F.R. Part 200, Appendix II(H); and 2 C.F.R. § 200.213. A contract award must not be made to parties listed in the SAM Exclusions. SAM Exclusions is the list maintained by the General Services Administration that contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549.

SAM exclusions can be accessed at www.sam.gov. See 2 C.F.R. § 180.530. ii. In general, an “excluded” party cannot receive a Federal grant award or a contract within the meaning of a “covered transaction,” to include subawards and subcontracts. This includes parties that receive Federal funding indirectly, such as contractors to recipients and subrecipients. The key to the exclusion is whether there is a “covered transaction,” which is any non-procurement transaction (unless excepted) at either a “primary” or “secondary” tier. Although “covered transactions” do not include contracts awarded by the Federal Government for purposes of the non-procurement common rule and DHS’s implementing regulations, it does include some contracts awarded by recipients and subrecipients.
iii. Specifically, a covered transaction includes the following contracts for goods or services:

1. The contract is awarded by a recipient or subrecipient in the amount of at least $25,000.

2. The contract requires the approval of FEMA, regardless of amount.

3. The contract is for federally-required audit services.

4. A subcontract is also a covered transaction if it is awarded by the contractor of a recipient or subrecipient and requires either the approval of FEMA or is in excess of $25,000.
d. Suggested Language. The following provides a debarment and suspension clause. It incorporates an optional method of verifying that contractors are not excluded or disqualified.

Suspension and Debarment
(1) This contract is a covered transaction for purposes of 2 C.F.R. pt. 180 and 2 C.F.R. pt. 3000. As such, the contractor is required to verify that none of the contractor’s principals (defined at 2 C.F.R. § 180.995) or its affiliates (defined at 2 C.F.R. § 180.905) are excluded (defined at 2 C.F.R. § 180.940) or disqualified (defined at 2

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C.F.R. § 180.935).
(2) The contractor must comply with 2 C.F.R. pt. 180, subpart C and2 C.F.R. pt. 3000, subpart C, and must include a requirement to comply with these regulations in any lower tier covered transaction it enters into.
(3) This certification is a material representation of fact relied upon by the Participating Public Agency. If it is later determined that the contractor did not comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C, in addition to remedies available to the Participating Public Agency, the Federal Government may pursue available remedies, including but not limited to suspension and/or debarment. (4) The bidder or proposer agrees to comply with the requirements of 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C while this offer is valid and throughout the period of any contract that may arise from this offer. The bidder or proposer further agrees to include a provision requiring such compliance in its lower tier covered transactions.

10. BYRD ANTI-LOBBYING AMENDMENT
a. Standard. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, officer or employee of Congress, or an employee of a Member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. § 1352.

FEMA’s regulation at 44 C.F.R. Part 18 implements the requirements of 31 U.S.C. § 1352 and provides, in Appendix A to Part 18, a copy of the certification that is required to be completed by each entity as described in 31 U.S.C. § 1352. Each tier must also disclose any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the Federal awarding agency.
b. Applicability. This requirement applies to all FEMA grant and cooperative agreement programs. Contractors that apply or bid for a contract of $100,000 or more under a federal grant must file the required certification. See 2 C.F.R. Part 200, Appendix II(I); 31 U.S.C. § 1352; and 44 C.F.R. Part 18.
c. Suggested Language.

Byrd Anti-Lobbying Amendment, 31 U.S.C. § 1352 (as amended) Contractors who apply or bid for an award of $100,000 or more shall file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, officer or employee of Congress, or an employee of a Member of Congress in connection with obtaining any Federal contract, grant, or any other award covered by 31 U.S.C. § 1352.

Each tier shall also disclose any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the recipient who in turn will forward the certification(s) to the awarding agency.

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d. Required Certification. If applicable, contractors must sign and submit to the non-federal entity the following certification.

APPENDIX A, 44 C.F.R. PART 18 – CERTIFICATION REGARDING LOBBYING Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that:

1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard FormLLL, “Disclosure Form to Report Lobbying,” in accordance with itsinstructions.

3. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

The Contractor, , certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the Contractor understands and agrees that the provisions of 31 U.S.C. Chap. 38, Administrative Remedies for False Claims and Statements, apply to this certification and disclosure, if any.

Signature of Contractor’s Authorized Official Name and Title of Contractor’s Authorized Official
Date
Siemens Industry, Inc.

Sr Government Contracts Manager
8/11/22

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11. PROCUREMENT OF RECOVERED MATERIALS
a. Standard. A non-Federal entity that is a state agency or agency of a political subdivision of a state and its contractors must comply with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. See 2 C.F.R. Part 200, Appendix II(J); and 2 C.F.R. § 200.322.
b. Applicability. This requirement applies to all contracts awarded by a non- federal entity under FEMA grant and cooperative agreement programs.
c. Requirements. The requirements of Section 6002 include procuring only items designated in guidelines of the EPA at 40 C.F.R. Part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired by the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines. d. Suggested Language.
i. In the performance of this contract, the Contractor shall make maximum use of products containing recovered materials that are EPA-designated items unless the product cannot be acquired—

1. Competitively within a timeframe providing for compliance with the contract performance schedule;

2. Meeting contract performance requirements; or

3. At a reasonable price.
ii. Information about this requirement, along with the list of EPA- designated items, is available at EPA’s Comprehensive Procurement Guidelines web site, https://www.epa.gov/smm/comprehensive-procurement-guideline-cpg-program. iii. The Contractor also agrees to comply with all other applicable requirements of Section 6002 of the Solid Waste Disposal Act.”

12. ACCESS TO RECORDS
a. Standard. All recipients, subrecipients, successors, transferees, and assignees must acknowledge and agree to comply with applicable provisions governing DHS access to records, accounts, documents, information, facilities, and staff. Recipients must give DHS/FEMA access to, and the right to examine and copy, records, accounts, and other documents and sources of information related to the federal financial assistance award and permit access to facilities, personnel, and other individuals and information as may be necessary, as required by DHS regulations and other applicable laws or program guidance. See DHS Standard Terms and Conditions: Version 8.1 (2018). Additionally, Section 1225 of the Disaster Recovery Reform Act of 2018 prohibits FEMA from providing reimbursement to any state, local, tribal, or territorial government, or private non-profit for activities made pursuant to a contract that purports to prohibit audits or internal reviews by the FEMA administrator or Comptroller General.

Access to Records. The following access to records requirements apply to this contract:

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i.The Contractor agrees to provide Participating Public Agency, the FEMA Administrator, the Comptroller General of the United States, or any of their authorized representatives access to any books, documents, papers, and records of the Contractor which are directly pertinent to this contract for the purposes of making audits, examinations, excerpts, and transcriptions. ii.The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. iii. The Contractor agrees to provide the FEMA Administrator or his authorized representatives access to construction or other work sites pertaining to the work being completed under the contract.
iv.In compliance with the Disaster Recovery Act of 2018, the Participating Public Agency and the Contractor acknowledge and agree that no language in this contract is intended to prohibit audits or internal reviews by the FEMA Administrator or the Comptroller General of the United States.

13. CHANGES
a. Standard. To be eligible for FEMA assistance under the non-Federal entity’s FEMA grant or cooperative agreement, the cost of the change, modification, change order, or constructive change must be allowable, allocable, within the scope of its grant or cooperative agreement, and reasonable for the completion of project scope. b. Applicability. FEMA recommends, therefore, that a non-Federal entity include a changes clause in its contract that describes how, if at all, changes can be made by either party to alter the method, price, or schedule of the work without breaching the contract. The language of the clause may differ depending on the nature of the contract and the end-item procured.

14. DHS SEAL, LOGO, AND FLAGS
a. Standard. Recipients must obtain permission prior to using the DHS seal(s), logos, crests, or reproductions of flags or likenesses of DHS agency officials. See DHS Standard Terms and Conditions: Version 8.1 (2018).
b. Applicability. FEMA recommends that all non-Federal entities place in their contracts a provision that a contractor shall not use the DHS seal(s), logos, crests, or reproductions of flags or likenesses of DHS agency officials without specific FEMA pre-approval. c. “The contractor shall not use the DHS seal(s), logos, crests, or reproductions of flags or likenesses of DHS agency officials without specific FEMA pre-approval.

15. COMPLIANCE WITH FEDERAL LAW, REGULATIONS, AND EXECUTIVE ORDERS a. Standard. The recipient and its contractors are required to comply with all Federal laws, regulations, and executive orders.
b. Applicability. FEMA recommends that all non-Federal entities place into their contracts an acknowledgement that FEMA financial assistance will be used to fund the contract along with the requirement that the contractor will comply with all applicable Federal law, regulations, executive orders, and FEMA policies, procedures, and directives.

ATTACHMENT A

EXHIBIT A
470
c. “This is an acknowledgement that FEMA financial assistance will be used to fund all or a portion of the contract. The contractor will comply with all applicable Federal law, regulations, executive orders, FEMA policies, procedures, and directives.”

16. NO OBLIGATION BY FEDERAL GOVERNMENT
a. Standard. FEMA is not a party to any transaction between the recipient and its contractor.

FEMA is not subject to any obligations or liable to any party for any matter relating to the contract.
b. Applicability. FEMA recommends that the non-Federal entity include a provision in its contract that states that the Federal Government is not a party to the contract and is not subject to any obligations or liabilities to the non-Federal entity, contractor, or any other party pertaining to any matter resulting from the contract. c. “The Federal Government is not a party to this contract and is not subject to any obligations or liabilities to the non-Federal entity, contractor, or any other party pertaining to any matter resulting from the contract.”

17. PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS OR RELATED ACTS a. Standard. Recipients must comply with the requirements of The False Claims Act (31 U.S.C. §§ 3729-3733) which prohibits the submission of false or fraudulent claims for payment to the federal government. See DHS Standard Terms and Conditions: Version 8.1 (2018); and 31 U.S.C. §§ 3801-3812, which details the administrative remedies for false claims and statements made. The non-Federal entity must include a provision in its contract that the contractor acknowledges that 31 U.S.C.

Chap. 38 (Administrative Remedies for False Claims and Statements) applies to its actions pertaining to the contract.
b. Applicability. FEMA recommends that the non-Federal entity include a provision in its contract that the contractor acknowledges that 31 U.S.C. Chap. 38 (Administrative Remedies for False Claims and Statements) applies to its actions pertaining to the contract. c. “The Contractor acknowledges that 31 U.S.C. Chap. 38 (Administrative Remedies for False Claims and Statements) applies to the Contractor’s actions pertaining to this contract.”

ATTACHMENT A

EXHIBIT A
471
Offeror agrees to comply with all terms and conditions outlined in the FEMA Special Conditions section of this solicitation.

Offeror’s Name: ______________________________________________ Address, City, State, and Zip Code:
_____________________________________________________________________________ Phone Number: ________________________ Fax Number: ______________________________ Printed Name and Title of Authorized Representative:
____________________________________________________________ Email Address: _____________________________________________ Signature of Authorized Representative: ____________________________________ Date: ________________________________
Siemens Industry, Inc.
1000 Deerfield Parkway, Buffalo Grove, IL 60089
571-379-1092 703-483-2100
Beverly Lester, Sr Government Contracts Manager
[email protected]
8/11/22

ATTACHMENT A

EXHIBIT A
______________
472
002815-May2022-UC System-wide Building Management Systems RFP Questionnaire Level - Supplier Summary
Questionnaire Name Questionnaire Supplier Name Total Questionnaire My Total Questionnaire QuestionCoverage Company Profile and Capabilities Technical Siemens Industry, Inc. - - 35 35 100 UC Sustainability Technical Siemens Industry, Inc. - - 21 21 100 Product and Services Pricing Technical Siemens Industry, Inc. - - 11 11 100 UC E-Commerce for Goods Technical Siemens Industry, Inc. - - 19 19 100 IT - Security Questionnaire Technical Siemens Industry, Inc. - - 18 18 100 Value Add Offering Technical Siemens Industry, Inc. - - 8 8 100

ATTACHMENT A

EXHIBIT A
473
Questionnaire Name: *
Questionnaire Type:

Questionnaire Description:

SECTION NAME QUESTION

NUMBER QUESTION TITLE QUESTION WEIGHT

RESPONSE
OPTIONS Siemens Industry, Inc.

Company Information 1 Full name; Legal and Trade
Name 2.94% - Siemens Industry, Inc.

Company Information 2
* Provide a brief history and
description of Supplier to
include experience providing
similar products and services.

2.94% -
Siemens is a global innovator focusing on digitalization, electrification, and automation across all industries and is a leader in power generation and distribution, intelligent infrastructure, and distributed energy systems. For more than 160 years, the company has developed technologies that support multiple vertical markets including manufacturing, energy, education, data centers, healthcare, commercial real estate and municipal, state and the federal government. More specifically, Siemens is a manufacturer of building automation, fire, and a limited number of security products. Siemens provides the service associated with these products to include design, installation, service, repair, and maintenance across a broad spectrum of technical disciplines and vertical markets. Siemens employs a team of thousands of professional personnel spread across all sales offices to provide the required service and support.

Siemens currently provides similar products and services to over 800 higher education institutions across North America. Our partnered institutions chose Siemens to create more intelligent and resilient buildings and more reliable and sustainable infrastructure for their campuses. Our higher education partners include Harvard University, MIT, West Virginia University, Texas A&M University, Southern Methodist University, University of Florida, Ohio State University, the University of Maryland System, and several UC campuses and medical centers.

Siemens Smart Infrastructure was organized in response to the growing integration between utility energy supply and building demand. We are leading technology and solutions providers across digitalization, electrification, integration, data analytics and sustainability. We help our university partners address near-term challenges and position them for efficient, resilient, and sustainable futures. Siemens is widely recognized for innovation, technology, and sustainability. Amongst our many global and national recognitions Fortune has named Siemens #1 in our industry on their “World’s Most Admired Companies” list every year since 2016 Company Information 3
Provide the following location
information: the total number
of locations and salespersons
employed by Supplier, the
number and location of
support centers (if applicable),
and the location of the
corporate office of the
Supplier

2.94% Location name

1.United States

2.Headquarters

3.Support Centers
Company Information 3
Provide the following location
information: the total number
of locations and salespersons
employed by Supplier, the
number and location of
support centers (if applicable),
and the location of the
corporate office of the
Supplier

2.94% Address

1.91 Sales office and branch locations

2.1000 Deerfield Parkway, Buffalo Grove, IL 60089-4547

3.Each office and branch location includes support resources Company Information 3
Provide the following location
information: the total number
of locations and salespersons
employed by Supplier, the
number and location of
support centers (if applicable),
and the location of the
corporate office of the
Supplier

2.94%
Number of
Salespersons
employed

1.8,000+ Sales personnel

2.0 Company Information 3
Provide the following location
information: the total number
of locations and salespersons
employed by Supplier, the
number and location of
support centers (if applicable),
and the location of the
corporate office of the
Supplier

2.94%
Does this location
have a support
center?

1.Yes

2.Yes

3.Yes
Company Information 3
Provide the following location
information: the total number
of locations and salespersons
employed by Supplier, the
number and location of
support centers (if applicable),
and the location of the
corporate office of the
Supplier

2.94% Is this your
corporate office?

1.No

2.Yes

3.No
Company Information 3
Provide the following location
information: the total number
of locations and salespersons
employed by Supplier, the
number and location of
support centers (if applicable),
and the location of the
corporate office of the
Supplier

2.94% Annual ales for the
3 previous years

1.Siemens Industry, Inc. does not release separate company financials. SII is subsidiary of Siemens AG

2.Siemens Industry, Inc. does not release separate company financials. SII is subsidiary of Siemens AG

3.Siemens Industry, Inc. does not release separate company financials. SII is subsidiary of Siemens AG Company Information 4 * Provide and submit a FEIN
and Dunn & Bradstreet report. 2.94% -
FEIN: 13-2762488
DUNS: 01-094-4650
Rating 1R3
SIEMENS INDUSTRY, INC.
1000 DEERFIELD PKWY
BUFFALO GROVE IL 60089
Siemens does not directly provide credit reports
002815-May2022 - UC System-wide Building Management System Company Profile and Capabilities
Questions focused on the company information and capabilities related to or in support of their RFP response.

Technical

ATTACHMENT A

EXHIBIT A
474
Company Information 5
* Describe how supplier
differentiates itself from its
competitors.

2.94% -
Siemens is a recognized global technology leader that has stood for engineering excellence, innovation, quality, and reliability for 170 years. The company is active around the globe, focusing both R&D and acquisitions on the areas of electrification, automation, decarbonization and digitalization. One of the world’s largest producers of energy-efficient, resource-saving technologies, Siemens is a leading supplier of efficient power generation, electrical transmission, building and factory automation, energy efficiency, infrastructure, decarbonization and digital solutions. And while we are proud of what we do, how we deliver value to our customers is what is most important and what sets us apart from our competition. From 2018 thru this year, Siemens has been named amongst the ‘World’s Most Admired Companies’ by Fortune magazine, raking #1 in our peer group where the evaluation criteria included innovation, quality, and social responsibility. Forbes magazine has also named Siemens the ‘World’s Top Regarded Company’ as based on our culture of trustworthiness, honesty, and performance. We believe that all these criteria reflect our ‘customer first’ approach to business as well as attributes that our customers want from a true business partner. As a result, Siemens is the North American leader for energy-efficient, safe, secure, and environmentally friendly buildings and infrastructure. As a technology partner, service provider, system integrator, and product vendor, Siemens has offerings for building automation, mechanical and electrical services, distributed energy, laboratories, data center and central utility plant optimization and energy management as well as fire protection, life safety and security. As a total energy management partner to many customers in a variety of vertical markets, Siemens is also a leading energy services company, a provider of total energy management solutions, and an energy solutions integrator. As a corporate sustainability leader, Siemens intends to become the first major industrial corporation to achieve a neutral balance of CO2 emissions by 2030, having already successfully passed the halfway mark. Our comprehensive approach includes building energy efficiency, clean transportation, distributed energy systems (including cogeneration and renewable energy), and clean energy sourcing. To achieve our sustainability goals, Siemens will invest over $130 million to reduce the energy footprint of our production facilities and buildings. And while we are proud of our internal accomplishments to date, we have made an even greater collective impact by assisting our customers in meeting and surpassing their own sustainability objectives. Another key dimension of our customer relationships are our partnership programs that cover areas such as customized programming in the areas of STEM education and support, academic and workforce development in disciplines including Company Information 6
* Provide the following
litigation and related
information: describe any
present or past litigation,
bankruptcy or reorganization
involving supplier; felony
convition (indicate if the
supplier); and describe any
debarment or suspension
actions taken against supplier.

2.94% -
Siemens Industry, Inc. (“SII”), a subsidiary member of Siemens AG, is a multi-billion dollar company involved in wide ranging construction projects. As such Siemens Industry, Inc. has been involved in miscellaneous litigation (e.g., collection of fees, workers’ compensation, auto liability, general liability, etc.) arising out of its business, none of which are of a material nature, individually or collectively, as to adversely impact its ability to completely and satisfactorily perform any of its projects.

No bankruptcies
No felony convictions
No debarments
Company Information 7
* Are you a National Supplier
offering a national program
that other Public Participating
Agencies will be able to access
through the resulting Master
Agreement with the University
of California?

2.95%
Yes, I am offering a
national program.;
No, I am not
offering a national
program.

Yes, I am offering a national program.

Company Information 7.1
If Yes, I am offering a national
program. ,* Instructions for
OMNIA Partners – Exhibit A –
Response for National
Cooperative Contract Exhibit A
– This Exhibit A defines the
expectations for qualifying
Suppliers based on OMNIA
Partners’ requirements to
market the resulting Master
Agreement nationally to Public
Agencies. Each section in this
Exhibit A refers to the
capabilities, requirements,
obligations, and prohibitions of
competing Suppliers on a
national level to serve
Participating Public Agencies
through OMNIA Partners.

Please read and aknowledge
you understand these
requirements.

N/A -
Siemens has read and acknowledges these requirements.

Siemens notes our responses to "Marketing & Sales" Questions 12-35 of this questionnaire as relevant to certain portions of Exhibit A. Items and commentary regarding the expectations set forth in Exhibit A are noted within those question responses and are not duplicated or listed here.

Company Information 7.2
If No, I am not offering a
national program. ,* The goal
of the RFP is to establish a
N/A -
Company Information 8
* Instructions for OMNIA
Partners Exhibit B – This
document is an example of a
standard Administration
Agreement between the
awarded Supplier(s) and
OMNIA Partners. Submission of
a proposal affirms Supplier’s

2.94% -
Itemized Exceptions with explanations, Redlined Administration Agreement (pdf and word copy), as well as Siemens’ Standard T&Cs (pdf and word copy) are attached.

Note Siemens’ suggested Administration fee of 3%.
<b>Attached Files : </b>Siemens_Exceptions to OMNIA Partners Admin Agreement.pdf;Siemens_Redlined OMNIA Partners Administration Agreement.docx;Siemens_Redlined OMNIA Partners Administration Agreement.pdf;Siemens Standard Terms and Conditions_Products and Services Offerings.pdf;Siemens Standard Terms and Conditions_Products and Services Offerings.docx Company Information 9
* Questionnaire – Instructions
for Exhibit F&G – Federal
Funds Certifications and New
Jersey Business,Exhibit F – The
Federal Funds Certifications
form benefits participating
agencies seeking to use federal
funds to purchase under the
resulting Master Agreement.

Suppliers must fill this form
and submit as an attachment
labeled “Proposer’s Name -
Response to OMNIA Partners –
Exhibit F” under the Supplier
Response in the CalUSource
Portal. Please fill out this
document and reattach in
CalUsource.Exhibit G –
Proposers intending to do
business in the state of New
Jersey must comply with the
policies and procedures
required under New Jersey
Statues. Suppliers must fill this
form and attach it to their
proposal labeled as “Proposer
Name – Response to OMNIA

2.94% -
Completed Exhibit F - Federal Funds Certifications attached.

Exhibit G has not been attached - Siemens does not intent to conduct business in New Jersey under this OMNIA contract.

Attached Files : Siemens_Response to OMNIA Partners – Exhibit F.pdf Company Information 10
* Please acknowledge that you
reviewed all of the below.

Omnia Partners Exhibit C – For
- Yes; No Yes

ATTACHMENT A

EXHIBIT A
475
Company Information 11
Describe your company's
ability for the following
invoicing payment options

2.94%
Ghost Card;
Procurement Card;
EDI invoicing and
Ghost Card; Procurement Card; EDI invoicing and EFT; ACH Marketing and Sales 12
* Provide a detailed ninety-day
plan beginning from award of
the Master Agreement
describing the strategy to
immediately implement the
Master Agreement as
Supplier's primary go to
market strategy for Public
Agencies to Suppliers teams
nationwide.

2.94% -
To effectively position the Master Agreement as Siemens primary go-to-market strategy, our Vertical Marketing and Communications team will work with Omnia Partners and Siemens field sales organization to do the following:
ͻtĞĞŬϭ;ƵŶƚŝůĐŽŵƉůĞƚŝŽŶͿʹtŽƌŬƚŽĐƌĞĂƚĞĂĚĞĚŝĐĂƚĞĚǁĞďƉĂŐĞǁŝƚŚƚĞĐŚŶŝĐĂůĐŽŶƚĞŶƚĂŶĚĂůŝŶŬƚŽƚŚĞĐŽŶƚƌĂĐƚ͖ĚĞǀĞůŽƉĂĐƵƐƚŽŵŝnjĂďůĞDĂƌŬĞƚŝŶŐĨůLJĞƌƚŽĐƌĞĂƚĞ awareness through outreach campaigns and sales calls, and have executive leadership (head of sales and CEO) endorse and sponsor the award internally to raise awareness across sales organization.
ͻtĞĞŬƐϮͲϳʹtŚŝůĞǁŽƌŬŽŶƚŚĞĂďŽǀĞĐŽŶƚŝŶƵĞƐ͕ǁĞǁŝůůŽƌŐĂŶŝnjĞŝŶƚĞƌŶĂůĂŶĚĞdžƚĞƌŶĂůtĞďŝŶĂƌƐǁŝƚŚǀĞƌƚŝĐĂůŵĂƌŬĞƚƐĂůĞƐƚĞĂŵƐ;Ğ͘Ő͘ƐĂůĞƐƚƌĂŝŶŝŶŐͿĂŶĚĐƵƐƚŽŵĞƌƐ representing Education, Healthcare, Airports, Municipal Governments and other segments while also focusing on the development of a Social Media and email campaign strategy through Eloqua to effectively reach a broad array of Siemens' customers as well as other members that are not current customers. We will also use this time to gain a full understanding of how to best collaborate with Omnia Partners to leverage tools, resources and capabilities already in place. ͻtĞĞŬƐϴͲϭϮʹƐǁĞĐŽŶƚŝŶƵĞƚŽƚƌĂŝŶĂŶĚĐŽŽƌĚŝŶĂƚĞĐƵƐƚŽŵĞƌŽƵƚƌĞĂĐŚĂĐƚŝǀŝƚŝĞƐ͕ǁĞ͛ůůĚŽƵďůĞĚŽǁŶŽŶƚŚĞĐƌĞĂƚŝŽŶŽĨŝŶƚĞƌŶĂůĂǁĂƌĞŶĞƐƐĂŶĚĚŝƐƐĞŵŝŶĂƚŝŽŶŽĨƐĂůĞƐ tools through dedicated Siemens communications channels. We’ll also plan an awareness campaign to publicize significant deals as they receive contract awards, and also begin to look at relevant conference breakout sessions in order to promote success stories. We will also establish sales targets for the contract and set objectives for sales teams to pursue during this period Regular internal tracking and sales metric reporting will be posted to encourage continued focus from the field sales Marketing and Sales 13
* Confirm that Supplier will
have Executive leadership
endoresment and sponsorship
of the award as the pulib
sector go-to-market strategy
within the first 10 days of
award

2.94% - We have already received guarantees from our head of sales and CEO that they will proudly endorse and sponsor the award in the first week following the award, and are fully committed to the 90-day go-to-market plan set forth in question 12.

Marketing and Sales 14
* Confirm that training and
eduction of suppliers national
sales force with participation
from the Supplier's executive
leadership, along with OMNIA
Partners team wil happen
within the first 90 days after
contract award.

2.94% -
Collaborative training is the key to effectively driving awards like this through the organization, and will be a key area of focus is creating awareness and usage. This is a core element of our 90-day action plan. Between weeks 2-7 following award, Siemens will organize internal and external Webinars with vertical market sales teams (e.g. sales training) and customers representing Education, Healthcare, Airports, Municipal Governments and other segments while also focusing on the development of a Social Media and email campaign strategy through Eloqua to effectively reach a broad array of Siemens' customers as well as other members that are not current customers. Executive support in kickoff and closing comments will be included during these trainings.

We will also use Weeks 2-7 of our 90 day plan to gain a full understanding of how to best collaborate with Omnia Partners to leverage tools, resources and capabilities already in place, and ensure these resources and capabilities are incorporated into sales trainings.

Marketing and Sales 15
* Provide the following plans: a
detailed ninety-day plan from
award date of the Master
Agreement describing the
strategy to market the Master
Agreement to current
Participating Public Agencies,
existing Public Agency
customer of Supplier, as well as
to prospective Public Agenceis
nationwhite immediately upon
award; a plan for the creation
and distribution of co-branded
press release to trade
publications; a plan for the
announcement of the Master
Agreement including details
and contact information
published on the Supplier's
website within the first 90
days; and a plan for the design,
publication, and distribution of
co-branded marketing
materials within the first 90
days.

2.94% -
‘Week 1’ and Weeks 2-7', as outlined below, discuss creation of various asserts and initiatives (i.e. dedicated webpage, customizable flyer, outreach campaigns) that are expressly meant to create awareness both internally and externally. While identifying these tools will happen in ‘Week 1’, developing, leveraging, and utilizing them will continue over the next 8 weeks through targeted outreach to both Siemens Public Agency customers and non-customers via email, phone, and social media, sponsored by Siemens HQ, but actively driven through our field organization. Additionally, we will look to create further awareness by developing externally facing webinars organized by vertical market.

For the co-branded press release, we’ll strive to connect Siemens PR team with their counterparts at Omnia Partners to develop a piece and dissemination strategy that will benefit both organizations.

Particulars regarding the internal and external announcement of the award, dedicated website content, and development of co-branded marketing materials will occur in and evolve over ‘Week 1’, ‘Weeks 2-7', and ‘Weeks 8-12' as described below. ______________
ͻtĞĞŬϭ;ƵŶƚŝůĐŽŵƉůĞƚŝŽŶͿʹtŽƌŬƚŽĐƌĞĂƚĞĂĚĞĚŝĐĂƚĞĚǁĞďƉĂŐĞǁŝƚŚƚĞĐŚŶŝĐĂůĐŽŶƚĞŶƚĂŶĚĂůŝŶŬƚŽƚŚĞĐŽŶƚƌĂĐƚ͖ĚĞǀĞůŽƉĂĐƵƐƚŽŵŝnjĂďůĞDĂƌŬĞƚŝŶŐĨůLJĞƌƚŽĐƌĞĂƚĞ awareness through outreach campaigns and sales calls, and have executive leadership (head of sales and CEO) endorse and sponsor the award internally to raise awareness across sales organization.
ͻtĞĞŬƐϮͲϳʹtŚŝůĞǁŽƌŬŽŶƚŚĞĂďŽǀĞĐŽŶƚŝŶƵĞƐ͕ǁĞǁŝůůŽƌŐĂŶŝnjĞŝŶƚĞƌŶĂůĂŶĚĞdžƚĞƌŶĂůtĞďŝŶĂƌƐǁŝƚŚǀĞƌƚŝĐĂůŵĂƌŬĞƚƐĂůĞƐƚĞĂŵƐ;Ğ͘Ő͘ƐĂůĞƐƚƌĂŝŶŝŶŐͿĂŶĚĐƵƐƚŽŵĞƌƐ representing Education, Healthcare, Airports, Municipal Governments and other segments while also focusing on the development of a Social Media and email campaign strategy through Eloqua to effectively reach a broad array of Siemens' customers as well as other members that are not current customers. We will also use this time to gain a full understanding of how to best collaborate with Omnia Partners to leverage tools, resources and capabilities already in place. ͻtĞĞŬƐϴͲϭϮʹƐǁĞĐŽŶƚŝŶƵĞƚŽƚƌĂŝŶĂŶĚĐŽŽƌĚŝŶĂƚĞĐƵƐƚŽŵĞƌŽƵƚƌĞĂĐŚĂĐƚŝǀŝƚŝĞƐ͕ǁĞ͛ůůĚŽƵďůĞĚŽǁŶŽŶƚŚĞĐƌĞĂƚŝŽŶŽĨŝŶƚĞƌŶĂůĂǁĂƌĞŶĞƐƐĂŶĚĚŝƐƐĞŵŝŶĂƚŝŽŶŽĨƐĂůĞƐ tools through dedicated Siemens communications channels. We’ll also plan an awareness campaign to publicize significant deals as they receive contract awards, and also begin to look at relevant conference breakout sessions in order to promote success stories. We will also establish sales targets for the contract and set objectives for sales teams to pursue during this period. Regular internal tracking and sales metric reporting will be posted to encourage continued focus from the field sales organization moving forward.

Marketing and Sales 16
* Confirm commitment to
attendance and participation
with OMNIA Partners at
national (i.e. NIGP Annual
Forum, NPI Conference, etc.),
regional (i.e. Regional NIGP
Chapter Meetings, regional
Cooperative Summits, etc.) and
Supplier-specific trade shoes,
conferences and meetings
throughout the term of the
Master Agreement.

2.94% - After understanding what these events entail and what Siemens role will be, we’ll confirm to sending representation as it makes sense to do so.

Marketing and Sales 17
* Confirm commitment to
attend, exhibit and participate
at the NIGP Annual Forum in
an area reserved by OMNIA
Partners for partner suppliers.

Booth space will be purcahsed
and staffed by Supplier. In
addition, please confirm that
Supplier will will provide
reasonable assistance to the
overall promotion and
marketing efforst for the NIGP
Annual Forum, as directed by
OMNIA Partnes.

2.94% - Siemens will commit to participate in and exhibit at this annual event. We will also help promote the Forum and our participation through various internal and external communication channels.

Marketing and Sales 18
* Confirm commitment to
design and for the publication
of national and regional
advertising in trade
publications throughout the
term of the Master Agreement.

2.94% -
After reviewing relevant publications and understanding their print and online advertising strategies and reach and discussing both budgeting and effective creation of such ads with our Communications team, Siemens will commit to evaluation of ad design as it pertains to our affiliation with the Master Agreement and discuss logical placement.

Marketing and Sales 19
* Confirm commitment for
ongoing marketing and
promotion of the Master
Agreement throught its term
(case studies, collateral pieces,
presentations, promotions,
etc.)

2.94% - Starting early and throughout our affiliation with the Master Agreement, Siemens will continually evaluate and produce both print and electronic collateral (based on success stories) as one of the primary ways to generate genuine interest in the marketplace so as to naturally grow usage.

ATTACHMENT A

EXHIBIT A
476
Marketing and Sales 20
* Confirm commitment for a
dedicated OMNIA Partners
internet web-based homepage
on Supplier's website that
includes the OMNIA Partners
standard logo, Copy of Original
Request for Proposal, Copy of
the Master Agrement and
amendments between the
University of California and
Supplier, a summary of
products and pricing,
marketing materals, electronic
link to OMNIA Partners
website including the online
registration page, and a
dedicated toll-free number and
email address for OMNIA
Partners.

2.94% -
Siemens will create a dedicated webpage with technical content with a link to the contract starting in the first week after contract award. Additional requirements such as logo placement, copy of the Master Agreement + amendments, pricing information, marketing materials such as a customizable flyer to create awareness through outreach campaigns and sales calls, and relevant links and phone numbers will also be part of the site after internally evaluating what information can and can’t be made publicly available.

Marketing and Sales 21
* Describe how supplier will
transition any existing Public
Agency customers' account, at
the Public Agnecy's request, to
the Master Agreement
available nationally through
OMNIA Partners.

2.94% - As a customer-oriented organization, Siemens will not only actively respond to customer requests to use the Master Agreement through Omnia Partners, but also actively promote it as a preferred and recommended procurement option.

Marketing and Sales 22
* Include a list of current
cooperative contracts (regional
and national) Supplier holds
and describe how the Master
Agreement will be positioned
among the other cooperative
agreements

2.94% -
Texas Multiple Award Schedule (TXMAS)
Ohio State Term Schedule (OSTS)
New York Office of General Services (NYOGS)
Sourcewell
GSA
As compared to other national cooperative contracts, Siemens will position and advocate for the Master Agreement with OMNIA Partners through extensive tool and resource creation, and by working with Omnia Partners and our Communications team to actively and aggressive promote it internally and externally both generally and through educational outreach via webinars. Siemens will also proactively introduce the Master Agreement in sales calls both early in the cycle and as opportunities mature In other words the Master Agreement with Omnia Partners will become an integral sales tool for our field organization Marketing and Sales 23
* Acknowledge that use of the
OMNIA Partners logo will
require permission for

2.94% - Siemens acknowledges that the Omnia Partners logo will require permission for use, and also notes that the same rules will apply to our own logo.

Marketing and Sales 24
* Confirm that Supplier will be
proactive in direct sales of
Suppliers goods and services to
Public Agencies nationwide
and the timely follow up to
leads established by OMNIA
Partners. All sales materials are
to use the OMNIA Partners
logo. At a minimum, the
Supplier's sales initiatves
should communite that the
Master agreement was
competitively solicited and
publically awarded by the
University of California. Also,
the Supplier should
communicate that the contract
has the best government
pricing, has no cost to
participate, and is nonexclusive.

2.94% -
Siemens will be proactive in introducing and maintaining a corporate-wide stance that that the Omnia Partners Master Agreement is a fundamental part of the larger sales strategy, with strong urging that it be used as a preferred procurement option throughout the sales cycle. All leads provided by Omnia Partners will be forwarded to the appropriate sales teams and leads immediately upon receipt with a mandate that they assign someone to follow up with the Public Agencies to find out more about their specific needs. Master Agreement specialists from Siemens will also be included on all such communications to provide support on pricing and proposal creation. These same individuals will ensure that proposal formatting is correct, including usage and proper placement of the Omnia Partners logo. With guidance from Omnia Partners, sales training will include and proposal creation will reinforce that that the Master Agreement was competitively solicited and publicly awarded by the University of California, and that the contract has the best government pricing, has no cost to participate, and is non-exclusive Marketing and Sales 25
* Confirm that the Supplier will
train its national sales force on
the Master Agreement. At a
minimum, sales training should
include key features of the
Master Agreement, working
knowledge of the solicitation
process, awareness of the
range of Public Agencies that
can utilize the Master
Agreement through OMNIA
Partners, and knowledge of
benefits of the use of
cooperative contracts.

2.94% -
Training is a critical and enduring element of Siemens plan to utilities the master agreement.

Comprehensive training will be developed, delivered and recorded both by corporate vertical market functions and geographic business units (zone or branch). These trainings will focus on how to best utilitize the contract within core focused markets (representing Education, Healthcare, Airports, Municipal Governments and other segments). After initial launch, subsequent trainings and recordings will be available on demand and will include everything included in the question in addition to sections on who can use the Master Agreement, how Public Agencies can join, why sales and teams and customers should leverage Omnia Partners, Master Agreement details, terms and conditions, pricing, proposal process and format, fees and reports, and HQ roles and responsibilities.

Marketing and Sales 26
* Provide the name, title,
email, and phone number of
the the following people:
person responsible for
executive support, person
responsible for Marketing,
person responsible for Sales,
person responsible for Sales
Support, person responsible for
Financial Reporting, person
responsible for Accounts
Payable, and person
responsible for Contracts.

2.94% -
Executive Support: Paul Hayes | President – Siemens Smart Infrastructure, Regional Solutions & Services America | Email. | Tel. 224.279.7136 Marketing: Diane Odom | Marketing Communications Manager | Email. | 847.271.3419 Sales: Rich Cillessen | Head of Sales & Operations | Email. | Tel. 224.279.7136 Sales Support: Matthew Hamilton | National Business Development Manager | Email. | 916.524.7087 Financial Reporting: Ashley Perez | Finance Analyst | Email. | 469.416.5124 Accounts Payable: Ashley Perez | Finance Analyst | Email. | 469.416.5124 Contracts: Beverly Lester | Senior Manager Support Services - Contracts | Email. < [email protected]> | 571.379.1092

ATTACHMENT A

EXHIBIT A
477
Marketing and Sales 27
* Describe, in detail, the
following: how Supplier's
national sales force is
structured, including contact
information for the highestlevel executive in charge of the sales team; how the sales
teams will work with OMNIA
Partners team to implement,
grow, and service the national
program; and how Supplier will
manage the overall national
program throughout the term
of the Master Agreement,
including ongoing coordination
of marketing and sales efforts,
timely new Participating Public
Agency account set-up, timely
contract administration, etc.

2.94% -
Siemens Industry Inc. has a broad and geographically dispersed sales and support organization that covers the United States. Siemens employs over 8,000 sales and 2,750 support personnel across 80+ sales offices. The U.S. market is covered through 9 distinct zones and the Siemens Government Technologies, Inc. (SGT) entity. Each zone has a separate automation & controls, fire, life safety, and security sales organizations personnel dedicated and trained in each of the business lines. Addition sales and service teams focused on mechanical services, electrical services, energy services, and energy performance contracting. Individuals within these sales groups also prioritize and specialize in one or more vertical markets.

Lead by Rich Cillessen – Head of Sales & Operations, Administrative contact information: [email protected], 224.279.7136 – Siemens also backs this group with subject matter experts (SME) from the center of competency (CoC) headquartered in Buffalo Grove, IL. Together, these teams will work with Omnia Partners to position and drive the Master Agreement with both existing and new customers via targeted training, through outreach, and in sales meetings for new and ongoing project opportunities. As it makes sense to do so, they will also participate in local and regional events with OMNIA Partners to promote the Master Agreement, and to present success stories worthy on replication in breakout sessions and marketing collateral. In a like manner, the entire team will continue to evolve and grow internal efforts and sound management of a nationally focused effort, including customer engagement and onboarding, and ongoing development of case studies and refined marketing assets, including things like flyers, sales presentations, reporting templates, internal and external communication, etc.

Marketing and Sales 28
* State the amount of
Supplier's Public Agency Sales
for the previous fiscal year.

2.94% -
Siemens Industry, Inc. (SII) is not a publicly traded company and does not release separate company financial statements. SII is a subsidiary member of the Siemens AG corporate group - a multi-national, multibillion-dollar company whose shares are listed on the Deutsche Boerse (Exchange) of Germany. As such, Siemens AG prepares consolidated financial statements audited by the independent public accounting firm of Ernst & Young GmbH. A copy of Siemens AG most recent annual report including the audited financial statements can be found and downloaded at www.siemens.com through the "Investor Relations" link.

As a way of demonstrating financial strength, Siemens market share for the solutions proposed are:

Automation Services and Solutions – 25.4%
Fire Services and Solutions – 10.8%
Security Services and Solutions – 1.4%
Energy Solutions – 6 1%
Marketing and Sales 29
* Provide a list of Supplier's top
10 Public Agency customers,
the total purchases for each for
the previous fiscal year along
with the key contact for each.

2.94% -
Siemens Industry, Inc. (SII) is not a publicly traded company, does not release separate company financial statements, and does not release customer data.

As a way of demonstrating financial strength, Siemens market share for the solutions proposed and within the vertical markets we serve are:

Automation Services and Solutions – 25.4%
Fire Services and Solutions – 10.8%
Security Services and Solutions – 1.4%
Energy Solutions – 6 1%
Marketing and Sales 30
* Describe Supplier's
information system capabilites
and limitations regarding order
management through receipt
of payment, including
description of multiple
platforms that may be used for
any of these functions.

2.94% -
Siemens uses Systems, Applications and Products (SAP) as our accounting system, SalesForce as our order entry and opportunity tracking, and Turbo as our legal and contract document repository. All Siemens’ orders follow the same workflow. There are “Yes/No’ flags in the order entry system that indicates if orders are under a specific group purchasing agreement or contract schedule. As contracts are awarded, contract documents uploaded from SalesForce flow into Turbo, and financial data is uploaded into SAP. Functionality within the accounting system tracks projects through contract implementation, close out and invoicing. Specific contract schedule sales data are tracked using “Sales Order” reporting from the order entry system and compiled by the finance and reporting team.

Marketing and Sales 31
* Provide the Contract Sales (as
defined in Section 10 of the
OMNIA Partners
Administration Agreement)
that Supplier will guarantee
each year under the Master
Agreement for the initial three
years of the Master Agreement
("Guaranteed Contract Sales").

To the extent that Supplier
guarntees minimum Contract
Sales, the Administrative Fee
shall be calculated based on
the greater of the actual
Contract Sales and the
Guaranteed Contract Sales.

2.94% - Siemens will not guarantee contract sales at this time.

Marketing and Sales 32
* Even though it is anticipated
many Public Agencies will be
able to utilize the Master
Agreement without further
formal solicitation, there may
be circumstances where Public
Agencies will issue their own
solicitations. The following
option is available when
responding to a solicitaiton for
Products covered under the
Master Agreement. Option 1 -
Respond with Master
Agreement pricing (Contract
Sales reported to OMNIA
Partners). Please detail
Suppliers Strategies under this
option when responding to a
solicitation.

2.94% -
Siemens would consider the agency issuing their own solicitation as clear indication of their refusal to use the Master Agreement. Therefore we would be unlikely to utilize “Option 1”. In this scenario, Siemens would evaluate the solicitation opportunity and bid without reference to or consideration of to the Master Agreement.

Pricing and contract terms would be negotiated directly with customer and reflect the market conditions.

ATTACHMENT A

EXHIBIT A
478
Marketing and Sales 33
* Even though it is anticipated
many Public Agencies will be
able to utilize the Master
Agreement without further
formal solicitation, there may
be circumstances where Public
Agencies will issue their own
solicitations. The following
option is available when
responding to a solicitation for
Products covered under the
Master Agreement. Option 2 -
If competitive conditions
require pricing lower than the
standard Master Agreement
not-to-exceed pricing, Supplier
may respond with lower
pricing through the Master
Agreement. If Supplier is
awarded the contract, the sales
are resported as Contract Sales
to OMNIA Partners under the
Master Agreement. Please
detail Supplier's strategy under
this option when responding to
a solicitation.

2.94% -
Siemens would consider the agency issuing their own solicitation as clear indication of their refusal to use the Master Agreement. Therefore, we would be unlikely to utilize “Option 2”. In this scenario, Siemens would evaluate the solicitation opportunity and bid without reference to or consideration of to the Master Agreement.

Pricing and contract terms would be negotiated directly with customer and reflect the market conditions.

Marketing and Sales 34
* Even though it is anticipated
many Public Agencies will be
able to utilize the Master
Agreement without further
formal solicitation, there may
be circumstances where Public
Agencies will issue their own
solicitations. The following
option is available when
responding to a solicitation for
Products covered under the
Master Agreement. Option 3 -
Respond with pricing higher
than the Master Agreement
only in the unlikely event that
the Public Agency refuses to
utilize the Master Agreement
(Contract Sales are not
reported to OMNIA Partners).

Please detail Supplier's
strategy for this option when
responding to a solicitation.

2.94% - Siemens would evaluate the solicitation opportunity and bid without reference to or consideration of to the Master Agreement. Pricing and contract terms would be negotiated directly with customer and reflect the market conditions.

Marketing and Sales 35
* Even though it is anticipated
many Public Agencies will be
able to utilize the Master
Agreement without further
formal solicitation, there may
be circumstances where Public
Agencies will issue their own
solicitations. The following
option is available when
responding to a solicitation for
Products covered under the
Master Agreement. Option 4 -
If alternative or multiple
proposals are permitted,
respond with pricing higher
than Master Agreement, and
include Master Agreement as
the alternate or additional
proposal. Please detail
Supplier's strategy under this
option when responding to a
solicitation.

2.94% -
Siemens would consider Option 4 if we believed this multiple proposal submission strategy provided us with the best business outcome (including, but not limited to our likelihood of winning the solicitation).

Should a public agency issue their own solicitation without utilizing the Master Agreement, Siemens would principally evaluate the solicitation opportunity and bid without reference to or consideration of to the Master Agreement. Pricing and contract terms would be expected negotiated directly with customer and reflect the market conditions. If we perceived a competitive advantage to supplying multiple proposals, we would consider Option 4.

ATTACHMENT A

EXHIBIT A
479
Questionnaire Name: *
Questionnaire Type:

Questionnaire Description:

SECTION NAME

QUESTIO
N
NUMBER

QUESTION TITLE

QUESTIO
N
WEIGHT

RESPONSE
OPTIONS Siemens Industry, Inc.

Company Policies and
Governance 1
* Do you have a Corporate Social
Responsibility (CSR) or similar policy,
statement. or code of conduct that
covers environmental sustainability as
well as social, ethical, and governance
issues?

4.78% Yes; No; In
Progress Yes
Company Policies and
Governance 1.1
If Yes ,* Please provide the link to your
publicly disclosed policy. If not publicly
disclosed, provide as an attachment.

N/A - Report is publicly disclosed yet website link is too long for 100 character text limit. See attached Attached Files : Siemens_Sustainability_Q1.pdf;Siemens_Sustainability_Q1_DEGREE Statement and Goals Summary.pdf Company Policies and
Governance 1.2
If Yes ,* Summarize the relevant goals,
practices and targets in your policy, as
well as a description of major topic
areas addressed (e.g. health and
safety, labor practices, diversity,
climate, transportation, green
building, toxics reduction, waste,
N/A - EP100, RE100, EV100, Decarb, Ethics, Governance, Resource Efficiency, Equity, Employability - DEGREE Company Policies and
Governance 2
* How do you monitor/manage your
supply chain to ensure that
suppliers/providers comply with and
support your CSR efforts?

4.76% -
Siemens has implemented a mandatory, Siemens-wide Supplier Management Process to ensure that we collaborate with the best suppliers. All relevant aspects in relation to procurement, quality, logistics and technology have to be considered, as well as strategy, innovation, potential and risks. Innovations and potential procurement options are monitored regularly along with important market and technology trends.

Maintaining sustainable supply chains is one of our guiding principles. Siemens suppliers commit to uphold the Siemens Group Code of Conduct for Suppliers and Third Party Intermediaries and Business Partners , which affirms the fundamental human rights of our suppliers’ employees.

Especially at the beginning of a potential collaboration with a supplier it is important to verify suppliers’ commitment in order to act in the sense of our values and according to our requirements.

Therefore, suppliers nominated on basis of preselection must clearly provide a commitment of their obligation to fulfill all minimum requirements. This includes the suppliers‘ agreement to abide by the Siemens Code of Conduct. Additionally, within the Supplier Qualification process, suppliers have to fulfill various requirements depending on defined triggers, e.g. country of location or kind of delivered products and services.

Siemens takes a risk-based approach to identifying potential risks in its supply chain. This includes Corporate Responsibility Self-Assessments (CRSAs) by suppliers, internal supplier audits, and external sustainability audits. Whenever deviations from the principles of the Code of Conduct for Siemens Suppliers, and therefore also violations of the human rights principles defined in this document are identified, we work with the supplier to clarify how lasting corrective action can be taken within a reasonable time frame.

In case of severe violations, we reserve the right to terminate the supplier relationship.

Only if the supplier has successfully completed the registration and qualification processes, it is assigned with the status “Ready-for-Business” (R4B) and can be utilized by Siemens buyers.

Siemens Code of Conduct for Suppliers and Third Party Intermediaries can be found here:

Company Policies and
Governance 3
* Do you publish an annual
sustainability report following
international standards, i.e. Global

4.76% Yes; No Yes
Company Policies and
Governance 3.1
If Yes ,* Describe your company
initiatives related to worker rights and
safety, especially related to
manufacturing in international
countries where applicable.

N/A -
Maintaining, fostering, and improving the safety and well-being of our people is a key task of our organization. It’s enshrined in our Business Conduct Guidelines (BCGs), our internal monitoring systems, and our company-wide risk management and control process. The “Siemens EHS Principles” provide the binding core and anchor for our actions in this area. The Principles also include an obligation for all operating units to document a management system certifiable to ISO 45001. The efficacy of these management systems is reviewed internally every year and is also certified externally at the operating units in keeping with market requirements. The conversion of management systems from K,^^ථϭϴϬϬϭƚŽ/^KϰϱϬϬϭǁĂƐƐƵĐĐĞƐƐĨƵůůLJĐŽŵƉůĞƚĞĚ͘
The new Healthy and Safe @ Siemens program’s framework has been enlarged to organizational resilience: It no longer focuses entirely on bodily health and integrity, but now places more attention on mental health and psychological safety. This is intended to strengthen the sense of well-being and the resilience of our people and to support them in dealing with change. The key was actively involving the workforce in designing their work environments. In our local organizations, health and occupational safety committees play an important role, with management and employee representatives working together to coordinate initiatives for a healthy, safe work environment. Many Siemens local companies also developed supplementary campaigns. In Germany, for example, a comprehensive range of instruments was applied to improve resilience (a “Resilience Toolbox”), and many colleagues took advantage of it.

The Healthy and Safe @ Siemens program also aims for two important objectives that have been incorporated into the Siemens DEGREE framework1:

Initiative: 100% access to EAPs (Employee Assistance Programs) by 2025 As an integral part of our psychosocial risk management, the EAPs help everyone anonymously to identify and to cope with psychosocial personal stressors. In 2021, 87%1 of our colleagues had access to these programs. By that we want to support all our people around the world to establish health promoting behaviors – and also to raise awareness of Company Policies and
Governance 3.2
If Yes ,* Summarize your company
action plan based on your
sustainability or CSR policy. Make sure
to include initiatives related to climate
neutrality, sustainable transportation,
toxics reduction, and zero waste.

Discuss implementation as well as
progress and key accomplishments.

N/A -
As previously mentioned our company action plan is embodied and summarized in our DEGREE framework. Details in each of the elements of our action plan are detailed below:

Climate Neutrality
Our climate neutrality targets are aligned with the SBTi assessment for limiting global warming to 1.5 degrees Celsius. We aim to have CO2-neutral business operations by 2030 and CO2-neutral supply chain by 2050. We have currently reduced emissions by 50% in line with our milestone targets through implementing technologies for building efficiency improvement, electrification and clean energy supply. With regard to building emissions, we want to own or lease only buildings with no net CO2 emissions by the year 2030 as part of our EP100 pledge. We intend to achieve this goal by means of various measures such as building new CO2-neutral buildings, modernizing existing buildings, and leasing office space with the lowest possible emissions

Sustainable Transportation
As part of our commitment to EV100, our transportation targets, Siemens is working to reduce the emissions from our motor vehicle fleet, which comprises approximately 43,000 vehicles, and are striving to electrify it completely by the year 2030 as part of our EV100 commitment. These emissions totaled approximately 194 thousand metric tons of CO2 in fiscal 2021. We are also committed to supporting global efforts around vehicle electrification and are working to develop a national charging infrastructure for cars and trucks, fleet management systems, and the digitally supported integration and management of multimodal transportation systems. By issuing a new motor vehicle fleet guideline and ĞdžƉĂŶĚŝŶŐŽƵƌĐŚĂƌŐŝŶŐŝŶĨƌĂƐƚƌƵĐƚƵƌĞƚŽĐƵƌƌĞŶƚůLJϭ͕ϰϳϮථĐŚĂƌŐŝŶŐƉŽŝŶƚƐ͕ǁĞŚĂǀĞŝŶĐƌĞĂƐĞĚƚŚĞŶƵŵďĞƌŽĨĞdžĐůƵƐŝǀĞůLJĞůĞĐƚƌŝĐǀĞŚŝĐůĞƐƚŽϲϱϲĂŶĚƚŚĞŶƵŵďĞƌŽĨŚLJďƌŝĚǀĞŚŝĐůĞƐ to 2,719. Thus, currently around 8% of our vehicles are pure electric vehicles or at least hybrid vehicles. We are striving to increase this proportion substantially in the coming years on the way to fulfilling our EV100 pledge. Another component of our strategy to reduce fleet emissions is the introduction of a flexible company car model with batteryelectric and hybrid vehicles for senior managers. With the aid of an app, senior managers can switch their company car at any time, change it to suit their needs, or even temporarily suspend the use of their company car entirely.

Toxins reduction

ĐŽ
ĨĨŝĐŝĞŶĐLJΛ^ŝĞŵĞŶƐĨŽĐƵƐĞƐŽŶZŽďƵƐƚ
ĐŽĞƐŝŐŶоƚŚĞĚĞƐŝŐŶŽĨƉƌŽĚƵĐƚƐ͕ƐĞƌǀŝĐĞƐ͕ĂŶĚƐŽůƵƚŝŽŶƐƚŽŵĞĞƚƐƚƌŝĐƚƐƚĂŶĚĂƌĚƐŽĨĞŶǀŝƌŽŶŵĞŶƚĂůĐŽŵƉĂƚŝďŝůŝƚLJ͘KƵƌ 002815-May2022 - UC System-wide Building Management Systems R UC Sustainability
The Univeristy of California is committed to environmental, social, and economic sustainability. The University's Sustainable Practices Policy can be found here:
https://policy.ucop.edu/doc/3100155. Please demonstrate how your company's practices, policies, and operations support the University's sustainability efforts Technical

ATTACHMENT A

EXHIBIT A
480
Company Policies and
Governance 3.3
If Yes ,* Which reporting
framework/standard does your
company follow?
N/A
Global Reporting
Initiative (GRI);
International
Integrated
Reporting Council
IR Framework;
Sustainability
Accounting
Standards Board
guidelines (SASB);
Other
Global Reporting Initiative (GRI)
Company Policies and
Governance 3.4
If Yes ,* Please provide a link to your
publicly disclosed annual sustainability
report. If not publicly disclosed,
provide annual report as attachment.

N/A - Report is publicly disclosed yet attached for convenience. See "Environment" Section - pages 73-92 Attached Files : Siemens_Sustainability_Q3.4.pdf
Company Policies and
Governance 4
* Does your company hold any thirdparty verified social or environmental certifications?

4.76% Yes; No No
Company Policies and
Governance 4.1 If Yes ,* Which certification does your business hold? N/A Green C
Certification
(http://americanco
nsumercouncil.org
/greenc.asp);
Green Business
Bureau
(https://greenbusi
nessbureau.com/h
ow-gbbcertificationworks/); BCorporation
Company Policies and
Governance 5
* Describe the structure and
leadership support of sustainability
within your company. Include
sustainability staff positions,
qualifications, and training.

4.76% -
Our sustainability strategy globally is owned and directed by Judith Wiese, who is Siemens’ Chief People and Sustainability Officer (CPSO). Judith is a Member of the Managing Board of Siemens AG, and also serves as Labor Director. In the United States, Matt Helgeson, is the Head of Sustainability, reporting to Siemens USA CEO Barbara Humpton.

Additionally, Smart Infrastructure has a Sustainability Head that focuses on sustainability of our US operations. Comprehensive training on the DEGREE framework is made ĂǀĂŝůĂďůĞƚŽĂůůĞŵƉůŽLJĞĞƐŽŶĂƌĞŐƵůĂƌďĂƐŝƐƚŽĞĚƵĐĂƚĞƚŚĞŵŽŶƚŚĞŐůŽďĂůƐƵƐƚĂŝŶĂďŝůŝƚLJŝŵƉĞƌĂƚŝǀĞĂŶĚŽƵƌĞĨĨŽƌƚƐƚŽĐŽŶƚƌŝďƵƚĞ͘ථdŚƌŽƵŐŚŽƵƌ'Z

E
ŵƉůŽLJĞĞZĞƐŽƵƌĐĞ
Group, we also provide info sessions and training on improving corporate and personal environmental impact. Training on global efforts to improve carbon footprint and how we can support customers on their sustainability journey is providing to those engaging with customers.

Social Responsibility 6
* Is your company or subcontractors
certified in the State of California or
other U.S. State as a SBE, DBE, WBE,
MBE, VBE, or DVBE (use the table
attached for UC-accepted
qualifications)? Please indicate
certification type, upload requisite
certification documentation.

4.76%
Small Business
Enterprise (SBE);
Disadvantaged
Business
Enterprise (DBE);
Women-owned
Business
Enterprise (WBE);
Minority Business
Enterprise (MBE);
Veteran-owned
Business
Enterprise (VBE);
Disabled Veteranowned Business
Enterprise (DVBE);
Other (please
attach
None
Social Responsibility 7
* Does your company engage only
contractors/business partners which
adhere to all applicable local, state
and federal labor and employment
requirements relating to wage
payment, antidiscrimination/harassment, equal
opportunity family and medical leave

4.76% Yes; No Yes
Social Responsibility 8
* Does your company maintain
diversity goals, such as with regard to
women, veterans, and minorities, and
engage in active diversity efforts
toward recruitment and retention as
well as development and
advancement? Please provide at least
two examples.

4.76% -
Siemens is fully committed to promoting a diverse and inclusive workplace and community. Siemens sponsors 9 Employee Resource Groups (ERGs) in the USA including over 10,000 employees, formed by employees with commonalities in areas such as ethnicity, gender, disability and sexual orientation. We employ key figures such as the percentage of women, generations, and nationalities as a way of regularly monitoring the efficacy of our workforce diversity initiatives, and as part of our DEGREE ambition, we have set a global target for 30% female share in Top Management by FY25.

In 2021, Siemens received several diversity awards all over the world, including “Forbes Magazine’s Best Employers for Women” and a 100% rating for the second year in a row in the Disability Equality Index® (DEI), a national benchmarking of businesses to gauge their level of disability workplace inclusion. We also scored 100% on the Corporate Equality Index and listed as one of the best places to work for LGBTQ+ Equality. In 2020, Siemens received the HIRE Vets Medallion Award from the U.S. Department of Labor for the second consecutive year. Military Times named Siemens a “Best for Vets Employer.” To improve retention and development, we have launched the Belonging Transforms podcast series where we explore and celebrate the many facets of diversity, equity and inclusion. Featuring a range of diverse topics guests and topics in every episode and hosted by Natalia Oropeza, Chief Diversity Officer and Head of Cybersecurity of Siemens AG, we bring employees insights and inspiration to help create a culture of belonging. Additionally, we have created an Inclusive Language Guide for employees, offering detailed ƐĞĐƚŝŽŶƐĐŽǀĞƌŝŶŐŵĂŶLJĚŝĨĨĞƌĞŶƚĂƐƉĞĐƚƐŽĨĚŝǀĞƌƐŝƚLJ͘dŽƐƵƉƉŽƌƚƌĞĐƌƵŝƚŵĞŶƚĂŶĚŚŝƌŝŶŐŽĨĚŝǀĞƌƐĞƚĂůĞŶƚ͕ǁĞǁŽƌŬǁŝƚŚථŚŝƐƚŽƌŝĐĂůůLJďůĂĐŬĐŽůůĞŐĞƐĂŶĚƵŶŝǀĞƌƐŝƚŝĞƐ;,hƐͿ͕ƐŽ that we can forge the talent pipelines that will connect graduates to opportunities at Siemens. Additionally, in the era of the COVID pandemic, The Siemens Foundation and Siemens Healthineers teamed up with Testing for America (TFA) to donate $3 million in funding and COVID 19 testing technologies to support the safe reopening of historically Social Responsibility 9
* Describe your company's community
engagement in areas surrounding your
and/or your manufacturers plants and
offices (e.g. financial investments,
provision of free or low-cost lighting
retrofits in underserved communities,
K-12 schools, etc.)

4.76% -
Siemens Laptop Donation Program - To help bridge the digital divide and increase access to technology, Siemens launched the Laptop Donation Program in 2021. Executed by Siemens IT Americas and administered by the Siemens Foundation, schools and programs serving underserved communities are identified and provided Chromebooks. Donated Chromebooks are uniquely utilized to serve the organizations needs. To date, 500 Chromebook units have been donated to the following recipients: Dallas’ Young Men’s Leadership Academy and Georgia Youth Science & Technology Center. An additional 400 Chromebook units will be donated to Siemens Abilities ERG (Special Olympics Partnership) and Morehouse School of Medicine (pending late FY22 announcement).

Siemens MBDA Diversity Supplier Grants - To advance diversity, equity and inclusion in business development and entrepreneurship, Siemens USA and Siemens Mobility partnered with the Georgia MBDA Business Center at Georgia Tech to create the annual grant program. Over $330k in grants have been awarded to minority, black-owned businesses in major Siemens markets based on criteria that align with industry demand, including preventative and predictive maintenance, fire and security, electrical, construction, rail and transport, mobility solutions, and facilities and project management. In addition to the monetary awards, grant recipients are onboarded into Siemens Supplier Database and invited to participate in webinars and supplier days to gain knowledge on Siemens Supplier program. To build resilient supply chains, and to expand our own business opportunities, we need a marketplace that’s diverse and inclusive.

Siemens Foundation - Advances workforce development and health equity initiatives in the United States, and is committed to economic, social, and racial justice for all.

Established in 1998, the Siemens Foundation has invested over $138 million in the United States to develop a future workforce by scaling best-practice solutions and investing in workforce training and education initiatives, while promoting an equitable and just society. Through partnerships with national organizations the Siemens Foundation is directly impacting communities for the better.

Siemens Empower Grants Program - Siemens Empower Program expands our partnerships and ability to support customized programming in the areas of sustainability, STEAM, Social Responsibility 10
* What percentage of your product
offerings for this contract do small and
diverse suppliers provide? (Examples
of small and diverse business
classifications include: Small Business
Enterprises, Disadvantaged Business
Enterprises, Women-owned Business
Enterprises, Service Disabled Veteranowned Business Enterprises etc )

4.76%
0-19%; 20-39%; 40-
59%; 60-79%; 80-
100%
0-19%

ATTACHMENT A

EXHIBIT A
481
Environmentally Sustainable
Operations 11
* Does your company responsibly
dispose of IT hardware and equipment
at the end of its useful life?

4.76%
Yes - through an eStewards certified
recycling partner
(http://estewards.org/data/
list-recyclers); Yes -
through an R2
certified recycling
partner
(https://sustainabl
eelectronics.org/re
cyclers); No
No
Environmentally Sustainable
Operations 12
* Do any of your company's
operational sites, offices, or
subsidiaries have certified
environmental management systems?

4.76% Yes; No Yes
Environmentally Sustainable
Operations 12.1
If Yes ,* What percentage of your
company's operational sites, offices,
or subsidiaries have certified
environmental management systems?
N/A
0-19%; 20-39%; 40-
59%; 60-79%; 80-
100%
80-100%
Environmentally Sustainable
Operations 12.2
If Yes ,Upload or provide a link to
certification documentation (e.g. ISO
14001 certificate).

N/A - See Attached
Attached Files : Siemens_Sustainability_Q12.2.pdf
Environmentally Sustainable
Operations 13
* Describe and provide examples of
your company's implementation of
environmentally sound shipping and
transportation practices (e.g. using
more fuel efficient or hybrid/electric
fleet vehicles, consolidated shipping,
etc.)

4.76% -

CONFIDENTIAL INFORMATION
Environmentally Sustainable
Operations 14
* Is your company an EPA registered
SmartWay Partner or Affiliate
(https://www.epa.gov/smartway/mee
t-smartway-partners-and-affiliates), or
do you partner with companies who
are registered?

4.76% Yes; No No
Environmentally Sustainable
Operations 14.1 If Yes ,* Provide a link certifying your affiliation. N/A - Additional Capabilities 15
* Does your company highlight, flag,
and/or have a search/filter option to
select products in your
punchout/hosted catalog based on
third party environmental
certifications and attributes?

4.76%
Yes; No, but willing
to create upon
contract award
within first 6-
months.; No
No
Additional Capabilities 16 * Do you offer programs to assist customers in LEED certification? 4.76% Yes; No Yes
Additional Capabilities 16.1 If Yes ,* Please explain and include any associated costs. N/A -
Siemens' Green Building Solutions programs
Siemens plays a critical role in helping achieve and maintain green building certification through the LEED® for Existing Buildings: Operations & Maintenance (LEED-EB) Green Building rating system. Through an extensive evaluation of the LEED-EB rating system, Siemens has developed a comprehensive LEED-EB Solution designed to make the LEED certification process as streamlined and efficient as possible. By focusing on key prerequisites and credits in the areas of energy efficiency, indoor environmental quality and ongoing system maintenance and optimization, Siemens can ensure that your facility achieves LEED certification in a timely, cost-effective manner.

Participation in the LEED-EB Audit and Gap Assessment
Siemens involvement in the LEED-EB certification process begins with the LEED-EB Audit and Gap Analysis. This critical stage is designed to assess the feasibility of achieving LEEDEB certification, and to provide a thorough understanding of specific credits that can be achieved, and the potential costs associated with each. Siemens will participate as a key member of the LEED-EB Audit and Gap Analysis team, which can be lead by a third-party consultant or by the building owner’s staff. Key Siemens resources will leverage their knowledge of the building systems and facility operations to assess the feasibility of meeting specific prerequisites and credits, and provide specific action steps, recommendations and potential costs necessary to meet LEED requirements.

Siemens Responsibility and Deliverables for LEED Prerequisites and Credits Siemens can assume complete responsibility for a core set of LEED prerequisites and credits, and can support achieving additional credits on an as needed basis.

For each identified prerequisite and credit, Siemens will provide a complete LEED-EB delivery package that supports the requirements identified in the LEED-EB rating system to meet certification. This includes:

Detailed scope of work outlining the specific LEED requirements based on the LEED-EB Audit and Gap Assessment, and the pricing necessary to meet the prerequisite or earn the credit.

Additional Capabilities 17
* Does your company have a current
sustainability scorecard (assessment
took place within the last 12 months)
with EcoVadis

4.76% Yes; No Yes
Attached Files : Siemens_Sustainability_Q17.pdf
Circular Economy Options 18
* Describe how the University can get
set up to take advantage of your
program, including collection logistics,
ongoing support and contact

4.76% - Siemens does not currently offer services for end of life disposal of goods or equipment. As part of our efforts around circular economy, that may be offered in the future.

Circular Economy Options 19
* List of any subcontractors used to
collect, process, transport, recycle,
repurpose, or properly dispose of
goods or equipment that have
reached the end of their useful life

4.76% - Siemens does not currently offer services for end of life disposal of goods or equipment. As part of our efforts around circular economy, that may be offered in the future.

Circular Economy Options 20
* Describe how metrics on the success
of the programs can be reported (i.e.
financial savings, landfill diversion,
CO2 emissions reduction, etc.)

4.76% - Siemens does not currently offer services for end of life disposal of goods or equipment. As part of our efforts around circular economy, that may be offered in the future.

ATTACHMENT A

EXHIBIT A
482
Circular Economy Options 21
* Provide a complete description of
costs for any programs offered in the
questions above.

4.76% - Siemens does not currently offer services for end of life disposal of goods or equipment. As part of our efforts around circular economy, that may be offered in the future.

ATTACHMENT A

EXHIBIT A
483
Questionnaire Name:
*
Questionnaire Type:

Questionnaire
Description:

SECTION NAME QUESTION

NUMBER QUESTION TITLE QUESTION WEIGHT

RESPONSE
OPTIONS Siemens Industry, Inc.

Products Pricing 1
Does your offer include a discount structure
and/or cost plus structure for products and parts?
Please provide pricing or structured documents
showing either option. No marketing
documentation will be accepted.

9.10%
Discount
Structure;
Cost Plus
Structure;
Both
Both
Attached Files : Siemens_Product and Service Pricing_Q1_Products Pricing.xlsx Products Pricing 2
How do you process, roll out and market new
price updates to clients as large as UC with
multiple locations?

9.09% - Pricing reviews/ updates occur annually or semi-annually based on economic conditions.

Services 3
A. Service and Maintenance: Provide a
definition of programs, scope of services
and maintenance occurrence, along with
pricing. RFP Section 3.1 A

9.09% This question type is not supported on the Excel file.

Suppliers must provide response on application.

Services 4
B. Remote Monitoring: Provide services offered
for support of factory hardware & software for the
following. RFP Section 3.1 B

9.09% This question type is not supported on the Excel file.

Suppliers must provide response on application.

Services 5
C. Deferred Maintenance Program: Provide the
programs or service calls that are commonly
associated for BAS maintenance by controls or
function listed below. RFP Section 3.1 C

9.09% This question type is not supported on the Excel file.

Suppliers must provide response on application.

Services 6
D. Construction and Facilities Department
Communication Plan: Specific to Design,
Installation, Startup and Commissioning
Services of a BMS system, provide a general
communication plan to support existing
Facitilies Management teams with upcoming
projects and/or new systems. University of
California guidelines for Facility &
Maintenance and Construction bid
communications are to remain in place. RFP
Section 3.1 D

9.09% -
Siemens preferred process for design, installation, startup, and commissioning of services of our BMS system will be to enter a design assist contract through the specified general or mechanical contractor as early in the process as possible. The goal of the design assist contract is to reduce project risk, cost, and schedule, which are all paramount for complex construction projects. Siemens' goal in this approach is to create a communicative and collaborative environment leading to the delivery of the best possible project for the best price with minimized overlapping efforts by the multiple parties involved. Siemens will adhere to University of California guidelines for Facility & Maintenance and Construction bid communications during the entire process.

When retrofitting/upgrading an existing site building automation system, Siemens will work directly with the owner or owner’s representative to gather information needed to accurately develop the scope of work. The goal of this collaboration is to fully understand the needs/desires/pain points of the customer and any intricacies of the building itself. This information will also help to determine the correct technology that will be recommended by Siemens. Siemens will also request detailed information pertaining to the building. The most needed documents are the mechanical drawings, as-builts, and submittals from when the existing system was installed or the last work that was done in the area affected.

Once a proposal with the agreed upon scope of work has been delivered to the customer, and a contract has been received, Siemens will identify a Project Manager that will work with the customer to define a communication plan/matrix schedule of work as well as any logistics that will be applicable to completing the work Communication is key and Siemens will take all Services 7
With regards to the communication plans
described above, please describe your firm's
ability and process to provide backward
compatibility (i.e. upgrading one older building on
a BAS connected to 3 other more modern
buildings). RFP Section 3.1 D

9.09% -
Siemens understands that over time, individual buildings as well as campus can become a blend of not only multiple technology manufacturers, but also an array of vintages of technologies. Siemens latest user interface software platform, Desigo CC, unifies your entire building management operations into a single platform for optimized performance and enhanced insights. It is backwards compatible and integrates various systems and devices, automates processes and is scalable and flexible to meet the requirements of any building or project size. The intelligent building management platform is easy to engineer and enables a wide variety of systems to communicate and interoperate cohesively via centralized command and control to accelerate workflows and centralize access to data.

Siemens products backward and forward compatibility will help you to continually improve performance, expand functionality and adapt to the future, while protecting past investments and your bottom line
Services 8
E. Warranty Services: Offerings to begin,
transition or augment current warranty programs
RFP Section 3.1 E

9.09% This question type is not supported on the Excel file.

Suppliers must provide response on application.

Services 9 F. Professional Services: Hourly Rates per category RFP Section 3.1 F 9.09% This question type is not supported on the Excel file.

Suppliers must provide response on application.

Services 10 G. Other Services / Utility Meters RFP Ref.

Section 3.1 G 9.09% This question type is not supported on the Excel file. Suppliers must provide response on application.

Services 11
H. Manufacturing or Trade Affiliations and
Partnerships: As your company may have
acquired other affiliate companies to your
portfolio and/or have created preferred
partnership agreements with other
manufacturers, provide a list of general
BMS/BAS equipment or parts in which your
company would be able to provide discount
pricing RFP Section 3 1 H

9.09% - CONFIDENTIAL INFORMATION ATTACHED: Siemens has extensive relationships and partnership with OEMs and Trade Affiliations. Please see the attached non-exhaustive list.

Attached Files : Siemens_Product and Services Pricing_Q11.pdf 002815-May2022 - UC System-wide Building Management Systems RFP Product and Services Pricing
Questions focusing on products and services that can be delivered in response to this RFP.

Technical

ATTACHMENT A

EXHIBIT A
484
Questionnaire
Name: *
Questionnaire Type:

Questionnaire
Description:

SECTION NAME

QUESTIO
N
NUMBER

QUESTION TITLE QUESTION
WEIGHT

RESPONS
E

OPTIONS
Siemens Industry, Inc.
-1
* e-Commerce Platform Support: Is your ecommerce (B2B) platform maintained by you, your dealers, or a third party?
-
Your
Company;
Dealers;
Third
Your Company
- 1.1
If Dealers ,If provided by your dealers, how
many different platforms would we be
integrating with?
N/A -
- 1.2 If Third Party ,What is the name of the third
party? N/A -
-2
* Current e-Commerce Capabilities: Please
describe the e-commerce capabilities that can
be currently provided through your ecommerce (B2B) platform. Please include information on catalog type(s) (i.e., hosted
and or punch-out), shopper experience (for
punch-out), customer order & shipping
notifications, PO transmission method(s),
invoice/credit memo transmission method(s).

5.57% - Siemens’ e-Commerce/ B2B platform is still in development. -3
* e-Commerce integrations: Please specify
which e-commerce platforms you have
integrated with, e.g. Jaggaer, Ariba, Oracle.

5.56% - Siemens’ e-Commerce/ B2B platform is still in development. -4
* Future e-Commerce Capabilities: Are there
any significant upgrades to your e-commerce
functionality planned for the near future? If
so, please describe.

5.56% -
Siemens’ Xcelerator marketplace (our digital e-Commerce platform still in development) will enable customers to purchase SaaS and inherently digital product offerings via a self-service electronic transaction.

Our Xcelerator marketplace website is https://marketplace.siemens.com/s/ -5
* Future e-Commerce Capabilities: If you are
not currently e-Commerce ready, when do
you plan to be? Please specify your planned
capabilities in: catalog type(s) (i.e., hosted
and or punch-out), shopper experience (for
punch-out), customer notifications, PO
transmission method(s), and invoice/credit
memo transmission method.

5.56% -
Siemens’ Xcelerator marketplace (our digital e-Commerce platform still in development) will enable customers to purchase SaaS and inherently digital product offerings via a self-service electronic transaction.

Siemens initial e-Commerce capabilities via the Xcelerator marketplace are planned for launch by the end of calendar year 2023.

Our Xcelerator marketplace website is < https://marketplace.siemens.com/s/ > -6
* Quote Functionality: Does your platform
support the ability for a customer to retrieve
a quote, through your punch-out catalog, in
order to populate a Shopping Cart?

5.56% Yes; No No
- 6.1
If Yes ,* Can this quote also be requested
through your platform or must it be
requested from a sales rep/dealer?
N/A
Platform;
Sales
rep/deale
- 6.2
If Yes ,* Please indicate whether these
quoted items are passed back as a single line
item to the cart, or as multiple line items?
N/A Single;
Multiple
- 6.3
If Yes ,* Can the single/multiple line option be
modified to meet a campus'
ERP/reconciliation needs?
N/A Yes; No
- 6.4 If Yes ,Please explain your functionality
further if needed. N/A -
-7
* Configurable Items: Does your platform
support custom configuration of items
(Examples: custom computer build; selection
of fabric and casters for furniture; DNA
strands; etc*), within the punch-out shopping
experience?

5.56% Yes; No No
- 7.1
If Yes ,* Please indicate whether these items
are passed back as a single line item to the
cart, or as multiple line items?
N/A Single;
Multiple
- 7.2 If Yes ,* Can this be modified to meet a
campus' ERP/reconciliation needs? N/A -
-8 * Product Blocking: Can you block products in
your punchout catalog? 5.56% Yes; No No
- 8.1
If Yes ,* Based on what criteria (e.g. UNSPSC
code, category, energy star rating? Please
elaborate.

N/A -
-9
* Product Filtering: Does your punchout
platform provide the ability to filter given
products, based on particular attributes (e.g.
recycled content, haz mat) or UC-recognized
third party certifications (e.g., Energy Star)
within the shopping experience?

5.56% Yes; No No
- 9.1 If Yes ,* Please describe the options. N/A -
- 10
* Product Flagging: Does your platform
provide the ability to flag given products,
denoting particular qualities (e.g. recycled
content, haz mat) or certifications (e.g.,
Energy Star) within the shopping experience?

5.56% Yes; No No
- 10.1
If Yes ,* Can the flags also be passed back to
the e-commerce system's shopping cart?
Does this differ between the hosted/punchout catalogs? N/A -
- 10.2 If Yes ,* Please provide details regarding your
capabilities. N/A -
- 11
* Refurbished Products: Does your standalone B2B ordering or eCommerce punchout platform, flag and/or filter refurbished
products, within the shopping experience?

5.56% - Siemens’ e-Commerce/ B2B platform is still in development - 12
* Punchout Option: If your company has a
stand-alone B2B ordering system, is it
possible to access that system as a punchout,
from the UC Campus' eCommerce platforms?

5.56% - Siemens’ e-Commerce/ B2B platform is still in development 002815-May2022 - UC System-wide Building Management Syst UC E-Commerce for Goods
It is preferred that respondents ask their IT or eCommerce team to fill out the following section.

Technical

ATTACHMENT A

EXHIBIT A
485
-13
* UNSPSC Codes: What version of UNSPSC
Codes does your e-commerce (B2B) platform
use? And how often are they updated?

5.56% - Siemens’ e-Commerce/ B2B platform is still in development - 14
* Disaster Handling/Recovery: What is your
failure and recovery plan for a situation
where your system(s) go(es) down, affecting
access to shopping, PO and/or invoice
transmission/receipt? Please describe.

5.56% - Siemens’ e-Commerce/ B2B platform is still in development - 15
* e-Commerce System Security: What
security do you have in place to guard
sensitive information, such as purchaser
name or credit card information, in your B2B

5.56% - Siemens’ e-Commerce/ B2B platform is still in development - 16
* Invoicing/Credit Capabilities: Please
describe the invoicing and credit memo
capabilities for your e-Commerce platform.

Address electronic (cXML or EDI) or other
paperless processes you support.

5.56% - Siemens’ e-Commerce/ B2B platform is still in development - 17
* Invoicing/Credit Capabilities: Have you
supported e-invoicing services, such as
Transcepta or Docufree, for any of your eCommerce customers?

5.56% - Siemens’ e-Commerce/ B2B platform is still in development - 18
* Payment Method - Types: Please specify
ALL of the payment methods accepted
through your e-Commerce platform (e.g.,
Ghost/P-card, Virtual Card, ACH or Check).

5.56% - Siemens’ e-Commerce/ B2B platform is still in development - 19
* Payment Method - Services: Have you
supported services such as Payment Plus (US
Bank virtual card service) or PaymodeX (ACH
service) for any of your e-Commerce
customers?

5.56% - Siemens’ e-Commerce/ B2B platform is still in development

ATTACHMENT A

EXHIBIT A
486
Questionnaire
Name: * Questionnaire
Type:

Questionnaire
Description:

SECTION
NAME

QUESTION

NUMBER QUESTION TITLE

QUESTIO
N
WEIGHT

RESPONS
E

OPTIONS
Siemens Industry, Inc.
-1
* Please confirm Respondent’s commitment to
securely maintain BAS products and securely
provide BAS services, both of which will be aligned
to industry security specifications

5.57% -
Siemens firmly commits to cyber security of our products and services, and is aligned to (and actively advancing) industry security standards and specifications. i. Security tasks and activities are an integral part of our SDLC (e.g. security classification, thread modeling, penetration testing, …). ŝŝ͘ƐŽŶĞĞdžĂŵƉůĞ͕ŽƵƌĞƐŝŐŽƉƌŽĚƵĐƚƐĂƌĞĚĞǀĞůŽƉĞĚĂĐĐŽƌĚŝŶŐƚŽ/^ͬ/ ϲϮϰϰϯ͘dŚĞĚĞƉůŽLJŵĞŶƚŽĨĞƐŝŐŽŝƐĐŽŵƉůŝĂŶƚƚŽ/^ͬ/ ϲϮϰϰϯͲϯͲϯ^ĞĐƵƌŝƚLJ>ĞǀĞůϮ;^>ϮͿ
-2
* Please confirm Respondent does not utilize any
products and services that are explicitly prohibited
by the United States Government or the State of
California (ex: on the U.S. Department of Commerce
Bureau of Industry and Security (BIS) Entity List)

5.56% - Siemens does not utilize any products or services that are explicitly prohibited. -3
* Please provide examples of how BAS products and
services offered will be secured, thereby reducing a
material compromise of the confidentiality,
integrity, or availability of UC resources and
information, which may jeopardize the health and
safety of UC personnel and UC affiliates

5.56% -
Below are examples of Secure by Design elements integrated into Desigo CC:

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dž͘ŽŶƚƌŽůƐLJƐƚĞŵĐŽŵƉŽŶĞŶƚƐŝŶǀĞŶƚŽƌLJ
LJ͘^ƵƉƉŽƌƚĨŽƌƐĞĐƵƌĞĨƵŶĐƚŝŽŶĂůŝƚLJǀĞƌŝĨŝĐĂƚŝŽŶ
nj͘^ƵƉƉŽƌƚŽĨĂŶƚŝǀŝƌƵƐĂŶĚŵĂůǁĂƌĞƉƌŽƚĞĐƚŝŽŶƐŽĨƚǁĂƌĞ ĂĂ ^ƵƉƉŽƌƚ ĨŽƌ ŵĂůŝĐŝŽƵƐ ĐŽĚĞ ƉƌŽƚĞĐƚŝŽŶ
-4
* Please explain how any third-party
products and services utilized by
Respondent to fulfill RFP obligations will be
evaluated from a cybersecurity prospective
prior to selection for installation or use

5.56% -
Siemens internal product development processes include an industry-standard third-party management approach, including a range of automated tools, that ensure Siemens development teams receive automatic and timely notifications of vulnerabilities that have been identified in components Siemens may use in our products.

Siemens engineering and deployment teams ensure that any available security advisories related to Siemens products or other solution components are remediated prior to installation ĂŶĚͬŽƌƚƵƌŶŽǀĞƌŽĨƚŚĞ^ĞŶǀŝƌŽŶŵĞŶƚ͘
-5
* Explain Respondent’s expertise in cybersecurity
and if Respondent has dedicated cybersecurity
personnel

5.56% -
Siemens has over 1300 cybersecurity professionals globally. In addition to these professionals, Siemens started the Product and Solution Security (PSS) initiative.

The target of the initiative is to enable and support the divisions deliver best of class security for Siemens products, solutions and services. Siemens wants to make sure that our customers are well protected against cyber threats and are not exposed to any additional risks by using our offerings. Siemens PSS Holistic lifecycle focuses on: Secure Product Development, Secure Installation, Secure Operation and Incident & Vulnerability Management. -6
* Please provide any industry cybersecurity
certifications Respondent maintains as applicable to
products and services offered to UC under this RFP

5.56% -
Siemens is certified according to:
ͼdŚĞ^>ŝƐĐĞƌƚŝĨŝĞĚĂĐĐŽƌĚŝŶŐƚŽ/
ϲϮϰϰϯͲϰͲϭ
ͼ/^Kͬ/
ϵϬϬϭ͗ϮϬϭϱĐĞƌƚŝĨŝĞĚĨŽƌĂŶĞĨĨĞĐƚŝǀĞYƵĂůŝƚLJDĂŶĂŐĞŵĞŶƚ^LJƐƚĞŵ;YD^Ϳ ͼ/^Kͬ/
ϮϳϬϬϭ͗ϮϬϭϯĐĞƌƚŝĨŝĞĚĨŽƌŝŶĨŽƌŵĂƚŝŽŶƐĞĐƵƌŝƚLJŵĂŶĂŐĞŵĞŶƚƐLJƐƚĞŵ;/^D^Ϳ -7 * Is the Respondent subscribed to any threat
intelligence sources 5.56% - Yes, Siemens has active subscriptions with multiple threat intelligence sources, as well as internally developed threat intelligence. -8
* Is the Respondent a member of cybersecurity
information sharing organizations, such as an
Information Sharing and Analysis Center (ISAC) or
Infragard

5.56% -
Siemens is a founding member and is working with other companies through the Charter of Trust (CoT). This is a global alliance aimed at securing everything from power grids and oil rigs to factories and transportation systems in the digital age. And it establishes three key goals to which we’re committed: protecting data; preventing physical harm; and growing confidence in the security of digital infrastructure.

The signatories include AES, Airbus, Allianz, Atos, Cisco, Daimler, Dell Technologies, Deutsche Telekom, IBM, NXP, SGS, Total and TÜV Süd. -9
* Explain the cybersecurity awareness training and
privacy training Respondent provides to
Respondent’s employees and contractors; and
please explain if these requirements apply to
Respondent’s third-parties supporting products and
services offered to UC under this RFP

5.56% -
Annual cybersecurity awareness training is mandatory for all Siemens employees, including Siemens Course ID: GLC_SEC9 - Cybersecurity – You are the guardian! The FY2022 course description/ overview of GLC_SEC9 is below:
_________________
Cybercrime has been rated as the number one risk for many companies and industries. Cybersecurity can help us to protect our data, our company, our business and ourselves as individuals as well. Protection cannot be provided from one single organization centrally or with the help of technology only. Everyone of us has to contribute to it! Everyone of us should know why we protect our company, what to do and how to protect. Therefore, this training, with the motto “Cybersecurity – you are the guardian”, has been developed for all of us, employees, to become guardians of our corporate and personal data.

The topics covered are as follows:
ͻ^ĞĐƵƌĞhƐĞŽĨDŽďŝůĞĞǀŝĐĞƐĂŶĚƉƉƐ͗ƌŝƐŬƐǁŚĞŶǁŽƌŬŝŶŐǁŝƚŚŵŽďŝůĞĚĞǀŝĐĞƐĂŶĚŚŽǁƚŚĞLJĐĂŶďĞĂǀŽŝĚĞĚ͕ǁŚĂƚƚŽƚĂŬĞŝŶƚŽĂĐĐŽƵŶƚǁŚĞŶŝŶƐƚĂůůŝŶŐĂƉƉƐǁŚŝĐŚĂƌĞŶŽƚƉƌŽǀŝĚĞĚďLJ Siemens, show best practice examples of Siemens services/apps, risks when using USB devices. ͻ^ĞĐƵƌĞtŽƌŬŝŶŐ
ŶǀŝƌŽŶŵĞŶƚ͗ƐĞĐƵƌĞǁŽƌŬŝŶŐŝŶLJŽƵƌĞŶǀŝƌŽŶŵĞŶƚ͕ƐĞĐƵƌĞǁŽƌŬŝŶŐǁŝƚŚŝƌĐƵŝƚ͕ĐŽŶƐŝĚĞƌĂƚŝŽŶƐǁŚĞŶǁŽƌŬŝŶŐĨƌŽŵĂĚŝĨĨĞƌĞŶƚůŽĐĂƚŝŽŶ͕ƵƐĂŐĞŽĨƐĞĐƵƌĞƉĂƐƐǁŽƌĚƐ͕ granted access based on proper authorization.
ͻ^ŽĐŝĂů
ŶŐŝŶĞĞƌŝŶŐ͗ƵŶĚĞƌƐƚĂŶĚŝŶŐƚŚĞƚĂĐƚŝĐƐŽĨƐŽĐŝĂůĞŶŐŝŶĞĞƌƐƵƐŝŶŐĚĂƚĂĨƌŽŵƐŽĐŝĂůŵĞĚŝĂ͕ĐŽŶƐŝĚĞƌĂƚŝŽŶƐǁŚĞŶƉŽƐƚŝŶŐŝŶ^ŽĐŝĂůDĞĚŝĂ͕ǀĞƌŝĨLJŝŶŐƚŚĞŝĚĞŶƚŝƚLJŽĨĂĐŽŶƚĂĐƚ͕ŵĂŝŶ markers of a phishing e-mail.
ͻ^ĞĐƵƌŝƚLJŝŶWƌŽĚƵĐƚƐ͕^ŽůƵƚŝŽŶƐĂŶĚ^ĞƌǀŝĐĞƐ͗ƚŚĞƌĞůŝĂŶĐĞŽŶƐƵƉƉůŝĞĚĂƐǁĞůůĂƐƐĞůĨͲƉƌŽĚƵĐĞĚĐŽŵƉŽŶĞŶƚƐŶĞĞĚƐƚŽďĞĂŶĂůLJnjĞĚĂƐƚŚĞLJŵĂLJƉŽƐĞƐĞĐƵƌŝƚLJƌŝƐŬƐĨŽƌƵƐĂŶĚŽƵƌĐƵƐƚŽŵĞƌƐ͕ appropriate mitigation measures for these risks needs to be taken. __________________
Siemens does not offer this training for our subcontractors or suppliers on cybersecurity, however we have a standardized assessment process for 3rd party supplies/ subs. When we 002815-May2022 - UC System-wide Building Management Sys IT - Security Questionnaire
IT Security questions should be answered by a supplier's IT representative.

Technical

ATTACHMENT A

EXHIBIT A
487
-10
* Please provide the Respondent’s incident
response plan associated with the products and
services offered under the RFP

5.56% -
Siemens is committed to help ensuring the safety and security of their customers facilities. Siemens follows a holistic and comprehensive approach to secure its products, solutions, services, and IT infrastructure. Siemens has formalized a process for handling reported security incidents and vulnerabilities in its product portfolio and IT infrastructure. ϭ͘WƌĞƉĂƌĂƚŝŽŶ
Ă͘
ŶƐƵƌĞƚŚĂƚW^^͕WƌŽĚƵĐƚDĂŶĂŐĞŵĞŶƚ͕ĂŶĚŽƚŚĞƌƐƚĂŬĞŚŽůĚĞƌƐƵŶĚĞƌƐƚĂŶĚ/s,WƌŽĐĞƐƐĂŶĚĐŽƌĞĐŽŵƉŽŶĞŶƚƐŽĨĂŶĞĨĨĞĐƚŝǀĞƌĞƐƉŽŶƐĞ ŝ͘/s,WƌŽĐĞƐƐŽĐƵŵĞŶƚĂƚŝŽŶ
ŝŝ͘dƌĂŝŶŝŶŐƌĞƐŽƵƌĐĞƐ
Ϯ͘ĞƚĞĐƚŝŽŶŝƐĐŽǀĞƌLJͬǁĂƌĞŶĞƐƐ
Ă͘/ŶĐŝĚĞŶƚŽƌsƵůŶĞƌĂďŝůŝƚLJŝƐĚĞƚĞĐƚĞĚ͕ƌĞƉŽƌƚĞĚ͕ŽƌŽƚŚĞƌǁŝƐĞĚŝƐĐŽǀĞƌĞĚ ŝ͘^^/^dǀŝĂ^
ŝŝ͘WƌŽĚƵĐƚ
ZdƉŽƌƚĂů
ŝŝŝ͘W
EͲdĞƐƚƐ
ŝǀ͘ƵƐƚŽŵĞƌƐ͕^ĞĐƵƌŝƚLJZĞƐĞĂƌĐŚĞƌƐ͕ĞƚĐ͘͘
ϯ͘ŝƐĐŽǀĞƌWƌĞͲĞǀĂůƵĂƚĞ
Ă͘/ŶĐŝĚĞŶƚŽƌsƵůŶĞƌĂďŝůŝƚLJŝƐƌĞǀŝĞǁĞĚďLJW^^KĂŶĚŝŶŝƚŝĂůĞƐƚŝŵĂƚĞŽĨĐƌŝƚŝĐĂůŝƚLJŝƐŵĂĚĞ ŝ͘^ĞĐƵƌŝƚLJZŝƐŬƐƐĞƐƐŵĞŶƚ
ϰ͘dĞĂŵĂŶĚŶĂůLJƐŝƐ
Ă͘ĂƐĞĚŽŶŝŶŝƚŝĂůĐƌŝƚŝĐĂůŝƚLJĞƐƚŝŵĂƚĞ͕ĚĞƚĞƌŵŝŶĞŝĨdĂƐŬ&ŽƌĐĞŝƐƌĞƋƵŝƌĞĚĂŶĚƐĞůĞĐƚĂƉƉƌŽƉƌŝĂƚĞŵĞŵďĞƌƐŚŝƉ ď͘WĞƌĨŽƌŵĚĞƚĂŝůĞĚĂƐƐĞƐƐŵĞŶƚ͕ŝŵƉĂĐƚĂŶĂůLJƐŝƐ͕ĂŶĚs^^ƐĐŽƌŝŶŐ ϱ͘ZĞƉŽƌƚŝŶŐ͕ZĞƐƉŽŶƐĞΘŽŵŵƵŶŝĐĂƚŝŽŶWůĂŶ
Ă͘ĞǀĞůŽƉŽŵŵƵŶŝĐĂƚŝŽŶΘZĞƐƉŽŶƐĞWůĂŶͲĞƚĞƌŵŝŶĞĂƉƉƌŽƉƌŝĂƚĞŵĞƚŚŽĚƐŽĨĐŽŵŵƵŶŝĐĂƚŝŽŶ͕ŝŶĨŽƌŵĂƚŝŽŶůĞǀĞůƐ͕ĂŶĚǁŚŽŶĞĞĚƐƚŽďĞŝŶĨŽƌŵĞĚ͘ĞƚĞƌŵŝŶĞǁŚĂƚĂĐƚŝŽŶƐĂƌĞ required to resolve the issue
ϲ͘ZĞƐƉŽŶƐĞĂŶĚZĞƐŽůǀĞ
Ă͘/ŵƉůĞŵĞŶƚƌĞƐƉŽŶƐĞƉůĂŶƚŽƌĞƐƉŽŶĚƚŽƚŚĞ/ŶĐŝĚĞŶƚŽƌsƵůŶĞƌĂďŝůŝƚLJĂŶĚƌĞƐŽůǀĞƚŚĞŝƐƐƵĞ ŝ͘WĂƚĐŚZĞůĞĂƐĞ
ŝŝ͘^/K^<ƌƚŝĐůĞ
ď͘/ŵƉůĞŵĞŶƚĐŽŵŵƵŶŝĐĂƚŝŽŶƉůĂŶƚŽŬĞĞƉƐƚĂŬĞŚŽůĚĞƌƐŝŶĨŽƌŵĞĚ͕ĐŽŵŵƵŶŝĐĂƚĞƌĞƋƵŝƌĞĚĂĐƚŝŽŶƐƚŽƚŚĞŽƌŐĂŶŝnjĂƚŝŽŶ;Ğ͘Ő͘ƌĞŐŝŽŶƐͿ͕ĂŶĚƉƌŽǀŝĚĞƉƵďůŝĐƐƚĂƚĞŵĞŶƚƐ ŝ͘^ĞĐƵƌŝƚLJĚǀŝƐŽƌLJ
ŝŝ ,ŽůĚŝŶŐ ^ƚĂƚĞŵĞŶƚ
-11
* Please provide the Respondent’s business
continuity plan associated with the products and
services offered under the RFP

5.56% -
Siemens SI BP leverages the company-wide business continuity management plans and procedures. Additionally, Siemens defines ISO/IEC 27001 product-specific business continuity management plans and ensures applicability through yearly reviews.

Siemens’ holistic business continuity plan and approach is defined as “A consistent unified framework for business continuity planning and plan development shall be established, documented, and adopted to ensure all business continuity plans are consistent in addressing priorities for testing, maintenance, and information security requirements”. Requirements for business continuity plans include the following:
ͻĞĨŝŶĞĚƉƵƌƉŽƐĞĂŶĚƐĐŽƉĞ͕ĂůŝŐŶĞĚǁŝƚŚƌĞůĞǀĂŶƚĚĞƉĞŶĚĞŶĐŝĞƐ ͻĐĐĞƐƐŝďůĞƚŽĂŶĚƵŶĚĞƌƐƚŽŽĚďLJƚŚŽƐĞǁŚŽǁŝůůƵƐĞƚŚĞŵ ͻKǁŶĞĚďLJĂŶĂŵĞĚƉĞƌƐŽŶ;ƐͿǁŚŽŝƐƌĞƐƉŽŶƐŝďůĞĨŽƌƚŚĞŝƌƌĞǀŝĞǁ͕ƵƉĚĂƚĞ͕ĂŶĚĂƉƉƌŽǀĂů ͻĞĨŝŶĞĚůŝŶĞƐŽĨĐŽŵŵƵŶŝĐĂƚŝŽŶ͕ƌŽůĞƐ͕ĂŶĚƌĞƐƉŽŶƐŝďŝůŝƚŝĞƐ ͻĞƚĂŝůĞĚƌĞĐŽǀĞƌLJƉƌŽĐĞĚƵƌĞƐ͕ŵĂŶƵĂůǁŽƌŬͲĂƌŽƵŶĚ͕ĂŶĚƌĞĨĞƌĞŶĐĞŝŶĨŽƌŵĂƚŝŽŶ ͻDĞƚŚŽĚĨŽƌƉůĂŶŝŶǀŽĐĂƚŝŽŶ
Product-specific business continuity plans are considered Siemens’ confidential information -12
Please provide the Respondent’s disaster recovery
plan associated with the products and services
offered under the RFP

5.56% - Siemens develops site-specific disaster recovery plans following customer DRP requirements. -13
Please provide the Respondent’s configuration
management plan associated with the products and
services offered under the RFP or generalized
approach

5.56% - Siemens periodically release patches, updates, and upgrades that remove new known vulnerabilities - 14
Please explain how services and products offered
this RFP will be monitored for vulnerabilities and
how the vulnerabilities will be addressed by the

5.56% - Preparation- Detection- Team & Analysis- Reporting Communication & Plan- Response/Resolution- Learn - 15
Please provide any third-party security assessments
conducted on Respondent that demonstrates the
security wherewithal of the Respondent

5.56% - CONFIDENTIAL INFORMATION - Siemens does not share copy of audits, certs, or security assessments - 16 Has the Respondent experienced a breach in the
last 5 years, and if so, please explain 5.56% - No material breaches. We have a cyber defense center that processes 3 Billion events per day. -17
Describe any products or services offered
under the RFP that will be accessed and/or
managed from outside of the United States

5.56% - NAVIGATOR has software ops performed in AWS EU West 1. Front end ops support for web app is in US. - 18
When applicable, explain Respondent’s
cybersecurity measures regarding remote access to
BAS services and products

5.56% - Our remote access (cRSP) was developed per ISO/IEC 27001 for remote service and is audited regularly

ATTACHMENT A

EXHIBIT A
488
Questionnaire
Name: * Questionnaire
Type:

Questionnaire
Description:

SECTION
NAME

QUESTION

NUMBER QUESTION TITLE

QUESTIO
N
WEIGHT

RESPONS
E

OPTIONS
Siemens Industry, Inc.
-1
* Please describe the training
services that are included in your
offering.

12.50% -
In today's competitive market, we stand out from our competition with Siemens Training Academy programs that partner with our customers to provide training to them for every level. Our training offerings integrate best practices with new learning technologies to offer flexibility in maximizing training dollars. Using a combination of lecture, demos and hands-on lab exercises, our instructor-led training courses are designed to mimic real world experiences. Taught by certified technical experts, we deliver an effective classroom experience that allows students an opportunity to become more proficient in a safe and risk-free environment using simulator workstations. The majority of our instructor and local technician-led, classes can be taught onsite at a local branch or at the customer's facility. Our virtual instructor-led training courses delivers the classroom experience directly to the student, in the comfort of their own home or office environment. The courses give students an interactive experience with a live instructor, along with the flexibility, convenience, and cost savings of remote learning. Using the GoToTraining platform, our classes can be delivered anywhere there is an internet connection. Virtual classes are scheduled throughout the year or can be taught on demand. Customers are not all the same and with the ever-changing business needs, Siemens Training Academy has the ability to customize training to meet the goals of your customers. Siemens Training Academy has worked with hundreds of companies from hospitals, universities, government organizations to Fortune 100 businesses to develop and provide customized training. -2
* Do you possess a dedicated
training organization, staff and
facilities?

12.50% -
Yes, Siemens Training Academy, offers training courses that integrate best practices and new learning technologies through instructor-led training with hands-on training simulators. Siemens Training Academy has developed training paths and tiers to ensure customers have the necessary knowledge to improve productivity, increase job satisfaction, gain confidence, and take the guess work out of course selections. Courses are led by certified technical experts and can be taught onsite, at a local branch, or at the customer’s facility. Virtual instructor-led trainings are also offered and include virtual simulations. -3 * Can the training be customized to
meet the Campuses' needs? 12.50% Yes; No Yes
-4
Please provide your interest in
providing scholarships and/or
fellowship funding for our
undergraduate and graduate
students. Please include any
restrictions or any areas of
academic focus. Please also
note any current support you
provide students at other
institutions.

12.50% -
While Siemens has a focused effort in working with universities on student career placement and internship programs, we do not currently have any scholarship programs in place.

We are open to learning more about how we may better support the University’s scholarship program in the future.

Siemens extensively supports University engineering programs and – by extension – undergraduate and graduate students. Siemens offers no-cost software grants, funds research and provides and training resources to further advance technology while also helping address the worldwide engineering workforce gap due to aging demographics in most of the developed countries. We partner with dozens of universities across the united states, and have an extensive relationship with the University of California system through organizations like CITRIS and the Banatao Institute.
https://citris-uc.org/
-5
Please note your interest in
hiring UC students/graduates for
internships or full time positions.

12.50% -
Siemens has a dedicated University Relations team to support internships and development programs for University students. Siemens University Relations team actively participates in Career Fairs where we spend time speaking to students in one-on-one or group settings about Siemens and the positions available. These interactions help identify students’ career paths and match them to the open positions.

The Siemens Smart Infrastructure RSS Internship Program is an annual summer program built to develop future talent for Siemens. Students will gain real-world, hands-on experience as a Smart Building Sales Intern, Project (Construction) Management Intern or Smart Building Specialist Intern.

The Smart Building Sales and Project (Construction) Management Internship Program is designed to recruit talent from four-year universities. Candidates must be majoring in engineering or business-related field with interest in Sales, Project Management, or Construction Management. The internship will focus on sales or project management related activities at least 50% of the time, while the other 50% will be spent learning about other areas of our branch organization (solutions, service, sales, operations, automation, fire, security). Internship applications open in the fall/winter timeframe, and all interns are hired on by spring to start in the summer. Our goal is to hire every intern in a full-time capacity once they graduate from college, so long as the intern demonstrated exemplary performance and wants to work for Siemens post-graduation.

Siemens brings on 60-70 interns a year through The Siemens Smart Infrastructure RSS Internship Program and hires a large percentage of these interns into full-time positions after graduation Siemens actively recruits from the UC System and will continue to do so into the future -6
Please also note your
willingness to sponsor and
engage with campus Career
Centers. Such sponsorships
may secure access such as:
career fairs, emails to students,
on-campus interviews, etc.

12.50% -
Siemens has a high level of interest in sponsoring and engaging with campus career centers. Siemens has a dedicated University Relations team that participates in a variety of live and virtual recruitment events. The Siemens University Relations team will often post open positions through University platforms such as Handshake and Syncplicity. Other University sponsorships include: information sessions directed toward a target student audience, networking events centered around relationship building, and post job fair interviews with University coordination. Siemens welcomes any further collaboration to support University Career Centers. -7
Is your company able to offer
additional programs or services in
regards to rebates or grants. Check
all that apply.

12.50%
State or
Federal
rebate
initiatives
; Utility
managed
programs;
Consultin
g
managed
programs;
Additiona
l value
add
programs
State or Federal rebate initiatives; Utility managed programs; Consulting managed programs; Additional value add programs or initiatives -8
Are there any other offerings that
we haven't highlighted in which
your firm is capable to provide?
Please respond in succinct text.

12.50% -
Siemens is helping higher education campuses take control of their energy supply while achieving guaranteed results with distributed energy solutions. Three main challenges face ƚŚĞŚŝŐŚĞƌĞĚƵĐĂƚŝŽŶƐĞĐƚŽƌĂůŽŶŐǁŝƚŚĐŽŵŵĞƌĐŝĂůŝŶĚƵƐƚƌLJ͗ĐŽƐƚƐ͕ƐĞĐƵƌŝƚLJŽĨƐƵƉƉůLJĂŶĚKЇƌĞĚƵĐƚŝŽŶ͘tŝƚŚƚŚĞŚĞůƉŽĨůŽĐĂůĚŝƐƚƌŝďƵƚĞĚĞŶĞƌŐLJƐŽůƵƚŝŽŶƐ͕ŝƚŝƐƉŽƐƐŝďůĞƚŽƚƵƌŶ these challenges into long-term calculable variables – across all businesses and industrial sectors. The solutions utilize an optimized mix of distributed energy resources (DER) such as renewable energy, combined heating and power stations, or storage systems, supported by sophisticated energy management. 002815-May2022 - UC System-wide Building Managem
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WŶĞƵŵĂƚŝĐĐŽŶƚƌŽůƐĐĂŶĚƌŝĨƚŽƵƚŽĨĐĂůŝďƌĂƚŝŽŶǁŝƚŚĐŚĂŶŐĞƐŝŶŵĞĐŚĂŶŝĐĂůĐŽŵƉŽŶĞŶƚƉĞƌĨŽƌŵĂŶĐĞ͕ďƵŝůĚŝŶŐƵƐĞ͕ ĂŶĚĐůŝŵĂƚŝĐĐŽŶĚŝƚŝŽŶƐ͘^ŝĞŵĞŶƐǁŝůůƉƌŽǀŝĚĞƉƌĞǀĞŶƚĂƚŝǀĞŵĂŝŶƚĞŶĂŶĐĞŝŶĂĐĐŽƌĚĂŶĐĞǁŝƚŚĂƉƌŽŐƌĂŵŽĨƐƚĂŶĚĂƌĚ ƌŽƵƚŝŶĞƐƚŚĂƚŝŶĐůƵĚĞĐĂůŝďƌĂƚŝŽŶĂƐĚĞƚĞƌŵŝŶĞĚďLJŽƵƌĞdžƉĞƌŝĞŶĐĞ͕ĞƋƵŝƉŵĞŶƚĂƉƉůŝĐĂƚŝŽŶĂŶĚůŽĐĂƚŝŽŶ͘dŚĞ ĞƋƵŝƉŵĞŶƚŝŶĐůƵĚĞĚƵŶĚĞƌƚŚŝƐƐĞƌǀŝĐĞŝƐŝƚĞŵŝnjĞĚŝŶƚŚĞ>ŝƐƚŽĨDĂŝŶƚĂŝŶĞĚ ƋƵŝƉŵĞŶƚŝŶƚŚŝƐƐĞƌǀŝĐĞĂŐƌĞĞŵĞŶƚ͘
YƵĂůŝƚLJƐƐƵƌĂŶĐĞ
dŚƌŽƵŐŚŝŵƉůĞŵĞŶƚĂƚŝŽŶŽĨŽƵƌYƵĂůŝƚLJƐƐƵƌĂŶĐĞƉƌŽĐĞƐƐ͕^ŝĞŵĞŶƐǁŝůůĞŶƐƵƌĞƚŚĂƚŽƵƌĚĞůŝǀĞƌĞĚƐĞƌǀŝĐĞƐĂƌĞŽĨƚŚĞ ŚŝŐŚĞƐƚƋƵĂůŝƚLJ͘tĞǁŝůůŵĞĞƚǁŝƚŚLJŽƵƚŽĚŝƐĐƵƐƐŽƵƌƉĞƌĨŽƌŵĂŶĐĞĂŶĚLJŽƵƌƐĂƚŝƐĨĂĐƚŝŽŶǁŝƚŚƚŚĞƋƵĂůŝƚLJŽĨƐĞƌǀŝĐĞ ƚŚĂƚŝƐďĞŝŶŐƉƌŽǀŝĚĞĚƵŶĚĞƌLJŽƵƌĚǀĂŶƚĂŐĞ^ĞƌǀŝĐĞƐŐƌĞĞŵĞŶƚ͘tĞǁŝůůĚŝƐĐƵƐƐƚŚĞƉĞƌĨŽƌŵĂŶĐĞŽĨLJŽƵƌƐLJƐƚĞŵƐ͕ LJŽƵƌĨĂĐŝůŝƚLJ͕ĂŶĚŵĂŬĞƌĞĐŽŵŵĞŶĚĂƚŝŽŶƐĨŽƌŝŵƉƌŽǀĞŵĞŶƚƐ͘tĞĐĂŶĚŝƐĐƵƐƐƌĞĐŽŵŵĞŶĚĂƚŝŽŶƐĨŽƌĐŚĂŶŐĞƐŝŶƚŚĞ ƐĞƌǀŝĐĞƉƌŽŐƌĂŵƚŽďĞƚƚĞƌŵĞĞƚLJŽƵƌĐŚĂŶŐŝŶŐŶĞĞĚƐ͘tĞĂůƐŽĂƵŐŵĞŶƚƚŚŝƐƉƌŽŐƌĂŵǁŝƚŚƉĞƌŝŽĚŝĐĐƵƐƚŽŵĞƌ ƐĂƚŝƐĨĂĐƚŝŽŶƚĞůĞƉŚŽŶĞƐƵƌǀĞLJƐŽĨLJŽƵƌŬĞLJƐƚĂĨĨŵĞŵďĞƌƐ͘ ŽŶƚƌŽů>ŽŽƉdƵŶŝŶŐ
ŽŶƚƌŽůůŽŽƉƐĚƌŝĨƚŽƵƚŽĨĐĂůŝďƌĂƚŝŽŶǁŝƚŚĐŚĂŶŐĞƐŝŶŵĞĐŚĂŶŝĐĂůĞĨĨŝĐŝĞŶĐLJ͕ďƵŝůĚŝŶŐƵƐĞ͕ĂŶĚĐůŝŵĂƚŝĐĐŽŶĚŝƚŝŽŶƐ͘ dŚƌŽƵŐŚƚŚŝƐƐĞƌǀŝĐĞ^ŝĞŵĞŶƐǁŝůůĞŶƐƵƌĞĐŽŶƚƌŽůůŽŽƉƐĨŽƌĚĞǀŝĐĞƐƐƵĐŚĂƐǀĂůǀĞƐ͕ĚĂŵƉĞƌƐ͕ĂĐƚƵĂƚŽƌƐ͕ĞƚĐ͕͘ ĞdžƉĞƌŝĞŶĐĞŵŝŶŝŵŝnjĞĚŽǀĞƌƐŚŽŽƚŝŶŐĂŶĚŽƐĐŝůůĂƚŽƌLJďĞŚĂǀŝŽƌ͘dŚĞĐŽŶƚƌŽůůŽŽƉƐƚŽďĞŝŶĐůƵĚĞĚĂƐƉĂƌƚŽĨƚŚŝƐƐĞƌǀŝĐĞ ĂƌĞŝƚĞŵŝnjĞĚŝŶƚŚĞ>ŝƐƚŽĨDĂŝŶƚĂŝŶĞĚ
ƋƵŝƉŵĞŶƚŝŶƚŚŝƐƐĞƌǀŝĐĞĂŐƌĞĞŵĞŶƚ͘

ATTACHMENT A

EXHIBIT A
499
_3DJH
EĞƚǁŽƌŬ,ĞĂůƚŚ
KƉƚŝŵŝnjĞƚŚĞŚĞĂůƚŚŽĨƚŚĞŶĞƚǁŽƌŬŝŶĨƌĂƐƚƌƵĐƚƵƌĞďLJĂŶĂůLJnjŝŶŐŶĞƚǁŽƌŬƚƌĂĨĨŝĐĂŶĚƌĞƐŽůǀŝŶŐƉĞƌĨŽƌŵĂŶĐĞŝƐƐƵĞƐ͘ EĞƚǁŽƌŬDĂŝŶƚĞŶĂŶĐĞ
EĞƚǁŽƌŬDĂŝŶƚĞŶĂŶĐĞ͗hƐŝŶŐĂĐŽŵďŝŶĂƚŝŽŶŽĨƉƌŽƉƌŝĞƚĂƌLJĚŝĂŐŶŽƐƚŝĐƚĞĐŚŶŽůŽŐŝĞƐ͕ĚŝŐŝƚĂůŵĞƚĞƌƐ͕ĂŶĚŶĞƚǁŽƌŬĂŶĂůLJƐŝƐ ƐŽĨƚǁĂƌĞ͕^ŝĞŵĞŶƐǁŝůůĂŶĂůLJnjĞ͕ŽƉƚŝŵŝnjĞĂŶĚƌĞƉŽƌƚŽŶƚŚĞƉĞƌĨŽƌŵĂŶĐĞŽĨƚŚĞĐƵƐƚŽŵĞƌΖƐƐLJƐƚĞŵƐŶĞƚǁŽƌŬƐĂƐƉĞĐŝĨŝĞĚ ŶƵŵďĞƌŽĨƚŝŵĞƐƉĞƌLJĞĂƌ͘WƌŽƉĞƌŶĞƚǁŽƌŬƉĞƌĨŽƌŵĂŶĐĞŚĞůƉƐƚŽĞŶƐƵƌĞƚŚĞƉƌŽƉĞƌƐƉĞĞĚŽĨĐŽŵŵƵŶŝĐĂƚŝŽŶĂŶĚ ĂĐĐƵƌĂĐLJŽĨĐŽŶƚƌŽů͕ĂůĂƌŵŝŶŐ͕ĂŶĚƌĞƉŽƌƚŝŶŐĂĐƌŽƐƐƚŚĞĨĂĐŝůŝƚLJ͘hƐŝŶŐŶĞƚǁŽƌŬĚŝĂŐŶŽƐƚŝĐƚŽŽůƐ͕ŽƵƌƉƌŽĂĐƚŝǀĞĞǀĂůƵĂƚŝŽŶ ŽĨƚŚĞĚĂƚĂŶĞƚǁŽƌŬŝŶĐůƵĚĞƐĂŶĂŶĂůLJƐŝƐŽĨďĂŶĚǁŝĚƚŚ͕ĚŝƐƚƵƌďĂŶĐĞƐ͕ŶĞƚǁŽƌŬƚƌĂĨĨŝĐ͕ĐŽŵŵƵŶŝĐĂƚŝŽŶŽǀĞƌƚŚĞŶĞƚǁŽƌŬ͕ ĂŶĚŽǀĞƌĂůůŽƉĞƌĂƚŝŽŶ͘dŚĞŶƵŵďĞƌŽĨŶĞƚǁŽƌŬƐƚŽďĞĂŶĂůLJnjĞĚĂŶĚƚŚĞĨƌĞƋƵĞŶĐLJŽĨƚŚĞƐĞƌǀŝĐĞĂƌĞĚŽĐƵŵĞŶƚĞĚŝŶƚŚĞ >ŝƐƚŽĨDĂŝŶƚĂŝŶĞĚ
ƋƵŝƉŵĞŶƚ͘
^ŽĨƚǁĂƌĞDĂŝŶƚĞŶĂŶĐĞ
hƐŝŶŐĂƉƉƌŽƉƌŝĂƚĞƚŽŽůƐĨƌŽŵ^ŝĞŵĞŶƐΖƐƵŝƚĞŽĨĚŝĂŐŶŽƐƚŝĐƚŽŽůƐ͕ǁĞƉĞƌŝŽĚŝĐĂůůLJƉĞƌĨŽƌŵƐLJƐƚĞŵĚŝĂŐŶŽƐƚŝĐƐĂŶĚƚŚĞŶ ƚĂŬĞĐŽƌƌĞĐƚŝǀĞĂĐƚŝŽŶƐƚŽĞŶƐƵƌĞƚŚĂƚƚŚĞƵŝůĚŝŶŐƵƚŽŵĂƚŝŽŶ^LJƐƚĞŵŝƐƉĞƌĨŽƌŵŝŶŐĂƚƉĞĂŬĞĨĨŝĐŝĞŶĐLJŽƌƚŽĐƵƐƚŽŵĞƌ ƌĞƋƵŝƌĞŵĞŶƚƐ͘tĞŵĂŬĞƐƵƌĞƚŚĂƚƐŽĨƚǁĂƌĞĐŚĂŶŐĞƐĂƌĞĐůĞĂƌĂŶĚĐŽŶƐŝƐƚĞŶƚ͕ĂĚĚƌĞƐƐĂŶLJĨĂŝůĞĚƉŽŝŶƚƐ͕ƉŽŝŶƚƐŝŶĂůĂƌŵ͕ ƉŽŝŶƚƐŝŶŽƉĞƌĂƚŽƌƉƌŝŽƌŝƚLJĂŶĚƚĂŬĞĐŽƌƌĞĐƚŝǀĞĂĐƚŝŽŶ͘tĞŝĚĞŶƚŝĨLJĂŶĚĐŽƌƌĞĐƚƐŽĨƚǁĂƌĞĐŽƌƌƵƉƚŝŽŶĂŶĚŝŶĐŽŶƐŝƐƚĞŶĐŝĞƐ͖ ĞůŝŵŝŶĂƚĞĚƵƉůŝĐĂƚĞƉŽŝŶƚƐ͕ƌĞĚƵŶĚĂŶƚůŽŽƉƐĂŶĚĐĂƵƐĞƐŽĨƵŶŶĞĐĞƐƐĂƌLJƚƌĂĨĨŝĐ͖ĂŶĚĂĚĚƌĞƐƐƵŶƌĞƐŽůǀĞĚƉŽŝŶƚƐĂŶĚĂůĂƌŵ ƌĞƉŽƌƚŝŶŐƉƌŽďůĞŵƐ͘dŚŝƐǁŝůůĞŶƐƵƌĞƚŚĂƚƚŚĞƐLJƐƚĞŵŽƉĞƌĂƚĞƐƋƵŝĐŬůLJ͕ĂĐĐƵƌĂƚĞůLJ͕ĂŶĚĞĨĨŝĐŝĞŶƚůLJĂƐŽƌŝŐŝŶĂůůLJĚĞƐŝŐŶĞĚ ĂŶĚŝŶƐƚĂůůĞĚŽƌĂƐĚĞƚĞƌŵŝŶĞĚďLJĐƵƌƌĞŶƚƐƚĂŶĚĂƌĚƐŽƌƌĞƋƵŝƌĞŵĞŶƚƐ͘ ^ƉĂƌĞWĂƌƚƐ/ŶǀĞŶƚŽƌLJDĂŶĂŐĞŵĞŶƚ
^ŝĞŵĞŶƐǁŝůůĂƐƐĞƐƐLJŽƵƌƌĞƉĂŝƌƉĂƌƚƐƌĞƋƵŝƌĞŵĞŶƚƐĂŶĚƉƌŽǀŝĚĞĂƌĞĐŽŵŵĞŶĚĞĚŝŶǀĞŶƚŽƌLJŽĨƌĞƋƵŝƌĞĚĂŶĚĨƌĞƋƵĞŶƚůLJ ƵƐĞĚƌĞƉůĂĐĞŵĞŶƚƉĂƌƚƐ͘^ŝĞŵĞŶƐǁŝůůƌĞƉůĞŶŝƐŚƚŚĞƐĞƉĂƌƚƐŽŶĂŶŽŶŐŽŝŶŐďĂƐŝƐŝŶŽƌĚĞƌƚŽƉƌŽǀŝĚĞLJŽƵǁŝƚŚĂŶ ŝŶǀĞŶƚŽƌLJŽĨƌĞƉĂŝƌƉĂƌƚƐ͘ZĞƉůĂĐĞŵĞŶƚƉĂƌƚƐŶŽƚŽƚŚĞƌǁŝƐĞĐŽǀĞƌĞĚƵŶĚĞƌƚŚŝƐŐƌĞĞŵĞŶƚǁŝůůďĞďŝůůĞĚĂƐŝŶǀĞŶƚŽƌLJŝƐ ƌĞƉůĞŶŝƐŚĞĚ͘
^LJƐƚĞŵŽĐƵŵĞŶƚĂƚŝŽŶDĂŶĂŐĞŵĞŶƚĂŶĚhƉĚĂƚĞ
tŝƚŚƚŚĞ^LJƐƚĞŵŽĐƵŵĞŶƚĂƚŝŽŶDĂŶĂŐĞŵĞŶƚĂŶĚhƉĚĂƚĞ^ĞƌǀŝĐĞ͕^ŝĞŵĞŶƐƐƚŽƌĞƐĂŶĚƐĂĨĞŐƵĂƌĚƐĞůĞĐƚƌŽŶŝĐ ĚŽĐƵŵĞŶƚƐƌĞůĂƚĞĚƚŽƚŚĞŵĂŝŶƚĞŶĂŶĐĞĂŶĚƐƵƉƉŽƌƚŽĨLJŽƵƌƐLJƐƚĞŵ;Ğ͘Ő͘ƐLJƐƚĞŵŵĂŝŶƚĞŶĂŶĐĞ͕ŝŶƐƉĞĐƚŝŽŶƐĂŶĚƚĞƐƚŝŶŐ ƌĞƉŽƌƚƐ͖ŝŶƐƚĂůůĂƚŝŽŶƉůĂŶƐ͖ĐŽŶĨŝŐƵƌĂƚŝŽŶĚŽĐƵŵĞŶƚĂƚŝŽŶ͖ƵƐĞƌŐƵŝĚĞƐĂŶĚƐLJƐƚĞŵƐŝŶǀĞŶƚŽƌŝĞƐͿ͘^ŝĞŵĞŶƐĚŽĐƵŵĞŶƚƐ ƐĞƌǀŝĐĞǀŝƐŝƚƐĂŶĚĨŝŶĚŝŶŐƐĂƐƉƌŽǀŝĚĞĚƚŚƌŽƵŐŚŽŶŐŽŝŶŐƐĞƌǀŝĐĞƐ͘^ƉĞĐŝĨŝĐĚŽĐƵŵĞŶƚĂƚŝŽŶĐŚĂŶŐĞƐƌĞƐƵůƚŝŶŐĨƌŽŵĐŚĂŶŐĞƐ ŝŶƐLJƐƚĞŵĚĞƐŝŐŶĂŶĚĐŽŶĨŝŐƵƌĂƚŝŽŶǁŝůůďĞƉƌŽǀŝĚĞĚĂƐŝĚĞŶƚŝĨŝĞĚŝŶƚŚĞ>ŝƐƚŽĨDĂŝŶƚĂŝŶĞĚ ƋƵŝƉŵĞŶƚŽƌƉƉĞŶĚŝdž͘KŶ
ƌĞƋƵĞƐƚ͕ĚŽĐƵŵĞŶƚƐĂŶĚŽƚŚĞƌƐLJƐƚĞŵƌĞůĂƚĞĚĚĂƚĂĂƌĞŵĂĚĞĂǀĂŝůĂďůĞĂŶĚƐƵƉƉůŝĞĚŝŶĞůĞĐƚƌŽŶŝĐĨŽƌŵŽƌĂƐĂŚĂƌĚĐŽƉLJ͘ ŶĞƚΡEĞƚǁŽƌŬŶĂůLJƐŝƐ

ATTACHMENT A

EXHIBIT A
500
_3DJH
hƐŝŶŐĂĐŽŵďŝŶĂƚŝŽŶŽĨƉƌŽƉƌŝĞƚĂƌLJĚŝĂŐŶŽƐƚŝĐƚĞĐŚŶŽůŽŐŝĞƐĂŶĚŶĞƚǁŽƌŬĂŶĂůLJƐŝƐƐŽĨƚǁĂƌĞ͕^ŝĞŵĞŶƐǁŝůůĂŶĂůLJnjĞ͕ĂŶĚ ƌĞƉŽƌƚŽŶƚŚĞƉĞƌĨŽƌŵĂŶĐĞŽĨLJŽƵƌŶĞƚŶĞƚǁŽƌŬƐ͘WƌŽƉĞƌŶĞƚŶĞƚǁŽƌŬƉĞƌĨŽƌŵĂŶĐĞŚĞůƉƐƚŽĞŶƐƵƌĞƚŚĞŚŝŐŚĞƐƚ ƐƉĞĞĚŽĨĐŽŵŵƵŶŝĐĂƚŝŽŶĂŶĚĂĐĐƵƌĂĐLJŽĨĐŽŶƚƌŽů͕ĂůĂƌŵŝŶŐ͕ĂŶĚƌĞƉŽƌƚŝŶŐĂĐƌŽƐƐƚŚĞĨĂĐŝůŝƚLJ͘hƐŝŶŐŶĞƚŶĞƚǁŽƌŬ ĚŝĂŐŶŽƐƚŝĐĂŶĚĂŶĂůLJƚŝĐƚŽŽůƐ͕ŽƵƌƉƌŽĂĐƚŝǀĞĞǀĂůƵĂƚŝŽŶŽĨƚŚĞŶĞƚĚĂƚĂŶĞƚǁŽƌŬŝŶĐůƵĚĞƐĂŶĂŶĂůLJƐŝƐŽĨďĂŶĚǁŝĚƚŚ͕ ĚŝƐƚƵƌďĂŶĐĞƐ͕ŶĞƚǁŽƌŬƚƌĂĨĨŝĐ͕ĐŽŵŵƵŶŝĐĂƚŝŽŶŽǀĞƌƚŚĞŶĞƚǁŽƌŬ͕ŵŝƐĐŽŶĨŝŐƵƌĂƚŝŽŶƐ͕ĐŽŶĨůŝĐƚƐ͕ƐƵďͲŽƉƚŝŵĂůƐĞƚƵƉ͕ĂŶĚ ŽǀĞƌĂůůŽƉĞƌĂƚŝŽŶ͘^ŝĞŵĞŶƐŵĂLJĂůƐŽŵĂŬĞƌĞĐŽŵŵĞŶĚĂƚŝŽŶƐŽŶĐŚĂŶŐĞƐƚŽƚŚĞŶĞƚŶĞƚǁŽƌŬŝŶĨƌĂƐƚƌƵĐƚƵƌĞŝĨ ƐƚƌƵĐƚƵƌĂůůŝŵŝƚĂƚŝŽŶƐĂƌĞŝĚĞŶƚŝĨŝĞĚĚƵƌŝŶŐƚŚĞĂŶĂůLJƐŝƐ͘dŚĞŶƵŵďĞƌŽĨŶĞƚǁŽƌŬƐƚŽďĞĂŶĂůLJnjĞĚĂŶĚƚŚĞĨƌĞƋƵĞŶĐLJŽĨƚŚĞ ƐĞƌǀŝĐĞĂƌĞĚŽĐƵŵĞŶƚĞĚŝŶƚŚĞ>ŝƐƚŽĨDĂŝŶƚĂŝŶĞĚ
ƋƵŝƉŵĞŶƚ͘^ŝĞŵĞŶƐŶĞƚĞƋƵŝƉŵĞŶƚĂŶĚƚŚŝƌĚƉĂƌƚLJŶĞƚ ĞƋƵŝƉŵĞŶƚŝƐŝŶĐůƵĚĞĚŝŶƚŚŝƐĂŶĂůLJƐŝƐŝĨŝƚŝƐĐŽŶŶĞĐƚĞĚŽŶƚŚĞƐĂŵĞŶĞƚǁŽƌŬĂŶĚŝƐǀŝƐŝďůĞĨƌŽŵŽƵƌƉŽŝŶƚŽĨĐŽŶŶĞĐƚŝŽŶ͘ ĚĚŝƚŝŽŶĂů^ĞƌǀŝĐĞƐ
KŶƐŝƚĞ
ƋƵŝƉŵĞŶƚ/ŶƐƉĞĐƚŝŽŶ
tĞǁŝůůƉƌŽǀŝĚĞƉŚLJƐŝĐĂůŝŶƐƉĞĐƚŝŽŶĂŶĚƉƌĞǀĞŶƚŝǀĞŵĂŝŶƚĞŶĂŶĐĞŝŶĂĐĐŽƌĚĂŶĐĞǁŝƚŚĂƉƌŽŐƌĂŵŽĨƌŽƵƚŝŶĞƐĂƐ ĚĞƚĞƌŵŝŶĞĚďLJŽƵƌĞdžƉĞƌŝĞŶĐĞ͕ĞƋƵŝƉŵĞŶƚĂƉƉůŝĐĂƚŝŽŶĂŶĚůŽĐĂƚŝŽŶ͘dŚĞůŝƐƚŽĨĨŝĞůĚƉĂŶĞůƐĂŶĚͬŽƌĚĞǀŝĐĞƐŝŶĐůƵĚĞĚ ƵŶĚĞƌƚŚŝƐƐĞƌǀŝĐĞĂƌĞŝĚĞŶƚŝĨŝĞĚŝŶƚŚĞ>ŝƐƚŽĨDĂŝŶƚĂŝŶĞĚ ƋƵŝƉŵĞŶƚŝŶƚŚŝƐƐĞƌǀŝĐĞĂŐƌĞĞŵĞŶƚ͘dŚŝƐƐĞƌǀŝĐĞǁŝůůĞdžƚĞŶĚ ĞƋƵŝƉŵĞŶƚůŝĨĞ͕ƌĞĚƵĐĞĞŶĞƌŐLJĐŽŶƐƵŵƉƚŝŽŶ͕ĂŶĚƌĞĚƵĐĞƚŚĞƌŝƐŬŽĨĐŽƐƚůLJĂŶĚĚŝƐƌƵƉƚŝǀĞďƌĞĂŬĚŽǁŶƐ͘ WĞƌĨŽƌŵĂŶĐĞZĞƉŽƌƚŝŶŐ
dŚƌŽƵŐŚŝŵƉůĞŵĞŶƚŝŶŐŽƵƌWĞƌĨŽƌŵĂŶĐĞZĞƉŽƌƚŝŶŐ͕^ŝĞŵĞŶƐǁŝůůŚĞůƉƚŽĞŶƐƵƌĞƚŚĂƚǁĞĚĞůŝǀĞƌƋƵĂůŝƚLJƐĞƌǀŝĐĞ͘dŚĞ ƌĞƉŽƌƚŝŶŐĐƌŝƚĞƌŝĂĂƌĞĚĞǀĞůŽƉĞĚďĞƚǁĞĞŶLJŽƵƌĨĂĐŝůŝƚLJƐƚĂĨĨĂŶĚ^ŝĞŵĞŶƐĂŶĚǁŝůůƌĞĨůĞĐƚƚŚĞŐŽĂůƐĂŶĚŽďũĞĐƚŝǀĞƐŽĨƚŚĞ ƐĐŽƉĞŽĨƚŚŝƐ^ĞƌǀŝĐĞŐƌĞĞŵĞŶƚ͘dŚĞƐĞƌĞƉŽƌƚŝŶŐĐƌŝƚĞƌŝĂǁŝůůďĞĂŐƌĞĞĚƵƉŽŶĂƚƚŚĞĐŽŵŵĞŶĐĞŵĞŶƚŽĨƚŚŝƐŐƌĞĞŵĞŶƚ͘ tĞǁŝůůŵĞĞƚǁŝƚŚLJŽƵƚŽĚŝƐĐƵƐƐŽƵƌƉĞƌĨŽƌŵĂŶĐĞ͘tĞǁŝůůĚŝƐĐƵƐƐƚŚĞƉĞƌĨŽƌŵĂŶĐĞŽĨLJŽƵƌƐLJƐƚĞŵƐ͕LJŽƵƌĨĂĐŝůŝƚLJ͕ĂŶĚ ŵĂŬĞƌĞĐŽŵŵĞŶĚĂƚŝŽŶƐĨŽƌŝŵƉƌŽǀĞŵĞŶƚ͘

ATTACHMENT A

EXHIBIT A
501
_3DJH
&ŝƌŵǁĂƌĞhƉĚĂƚĞƐ
tĞǁŝůůƉƌŽǀŝĚĞLJŽƵǁŝƚŚĨŝƌŵǁĂƌĞĂŶĚĚŽĐƵŵĞŶƚĂƚŝŽŶƵƉĚĂƚĞƐƚŽLJŽƵƌĞdžŝƐƚŝŶŐĨŝĞůĚƉĂŶĞůƐƵƉŽŶĚĞǀĞůŽƉŵĞŶƚ͘dŚĞ ŝŶĐůƵĚĞĚƚƌĂŝŶŝŶŐǁŝůůĨĂŵŝůŝĂƌŝnjĞLJŽƵǁŝƚŚƚŚĞŶĞǁĨĞĂƚƵƌĞƐĂŶĚƚŚĞŝƌĂƐƐŽĐŝĂƚĞĚďĞŶĞĨŝƚƐ͘dŚĞƐĞƵƉĚĂƚĞƐĚĞůŝǀĞƌƚŚĞ ďĞŶĞĨŝƚƐŽĨ^ŝĞŵĞŶƐĐŽŵŵŝƚŵĞŶƚƚŽĐŽŵƉĂƚŝďŝůŝƚLJďLJĚĞƐŝŐŶ͖ĂĐŽŵŵŝƚŵĞŶƚƵŶŝƋƵĞŝŶŽƵƌŝŶĚƵƐƚƌLJ͘&ŝĞůĚƉĂŶĞůƐŝŶĐůƵĚĞĚ ƵŶĚĞƌƚŚŝƐƐĞƌǀŝĐĞĂƌĞŝƚĞŵŝnjĞĚŝŶƚŚĞ>ŝƐƚŽĨDĂŝŶƚĂŝŶĞĚ ƋƵŝƉŵĞŶƚ͘;hƉŐƌĂĚĞƐƚŽ&ŝĞůĚWĂŶĞůŚĂƌĚǁĂƌĞ͕ƉƌŽĐĞƐƐŽƌƐ͕ ŵĞŵŽƌLJďŽĂƌĚƐ͕ĂŶĚƌĞůĂƚĞĚŚĂƌĚǁĂƌĞĂƌĞĞdžĐůƵĚĞĚƵŶůĞƐƐƐƉĞĐŝĨŝĞĚĞůƐĞǁŚĞƌĞ͘Ϳ ^ŽĨƚǁĂƌĞ^ƵďƐĐƌŝƉƚŝŽŶ^ĞƌǀŝĐĞͲĞƐŝŐŽ
^ŝĞŵĞŶƐǁŝůůƉƌŽǀŝĚĞLJŽƵǁŝƚŚƐŽĨƚǁĂƌĞƵƉŐƌĂĚĞƐƚŽLJŽƵƌĞdžŝƐƚŝŶŐ^ŝĞŵĞŶƐĞƐŝŐŽƐŽĨƚǁĂƌĞĂƐƚŚĞLJĂƌĞƌĞůĞĂƐĞĚ͘ dŚĞƐĞƵƉŐƌĂĚĞƐŝŶĐůƵĚĞďŽƚŚ^ĞƌǀŝĐĞZĞůĞĂƐĞƐĂŶĚĂůůEĞǁsĞƌƐŝŽŶZĞůĞĂƐĞƐŽĨ^ŽĨƚǁĂƌĞ͘^ŝĞŵĞŶƐǁŝůůĂůƐŽƉƌŽǀŝĚĞ ĐŽƌƌĞƐƉŽŶĚŝŶŐƐƵƉƉŽƌƚĚŽĐƵŵĞŶƚĂƚŝŽŶŽƵƚůŝŶŝŶŐƚŚĞĨĞĂƚƵƌĞƐŽĨƚŚĞƌĞůĞĂƐĞƐ͘/ŶĐůƵĚĞĚŝƐƚƌĂŝŶŝŶŐƚŽŚĞůƉƚŽĨĂŵŝůŝĂƌŝnjĞ LJŽƵǁŝƚŚƚŚĞŶĞǁĨĞĂƚƵƌĞƐĂůŽŶŐǁŝƚŚƚŚĞŝƌĂƐƐŽĐŝĂƚĞĚďĞŶĞĨŝƚƐ͘dŚĞƐĞƵƉĚĂƚĞƐǁŝůůĂĐƚƚŽĚĞůŝǀĞƌƚŚĞďĞŶĞĨŝƚƐŽĨ^ŝĞŵĞŶƐΖ ĐŽŵŵŝƚŵĞŶƚƚŽĐŽŵƉĂƚŝďŝůŝƚLJďLJĚĞƐŝŐŶ͕ĂĐŽŵŵŝƚŵĞŶƚƵŶŝƋƵĞŝŶŽƵƌŝŶĚƵƐƚƌLJ͘tŽƌŬƐƚĂƚŝŽŶƐĐŽǀĞƌĞĚƵŶĚĞƌƚŚŝƐƐĞƌǀŝĐĞ ĂƌĞŝƚĞŵŝnjĞĚŝŶƚŚĞ>ŝƐƚŽĨDĂŝŶƚĂŝŶĞĚ
ƋƵŝƉŵĞŶƚ͘;hƉŐƌĂĚĞƐƚŽWΖƐĂŶĚƌĞůĂƚĞĚǁŽƌŬƐƚĂƚŝŽŶŚĂƌĚǁĂƌĞĂƌĞĞdžĐůƵĚĞĚ ƵŶůĞƐƐĞdžƉƌĞƐƐůLJŝŶĐůƵĚĞĚŝŶƚŚŝƐŐƌĞĞŵĞŶƚ͘Ϳ
ƵƚŽŵĂƚŝŽŶ,ĞĂůƚŚZĞƉŽƌƚ
KƵƌƵƚŽŵĂƚŝŽŶ,ĞĂůƚŚZĞƉŽƌƚƉƌŽǀŝĚĞƐĂĐŽŵƉůĞƚĞǀŝĞǁŽĨƚŚĞƵƚŽŵĂƚŝŽŶƐLJƐƚĞŵ͘dŚŝƐŝŶĐůƵĚĞƐƐƐĞƚDĂŶĂŐĞŵĞŶƚ ǁŝƚŚĞƋƵŝƉŵĞŶƚĨŝƌŵǁĂƌĞƚŽĞŶƐƵƌĞLJŽƵƌƐLJƐƚĞŵŝƐƵƉƚŽĚĂƚĞǁŝƚŚĂƐƵŵŵĂƌLJŽĨƚŚĞƉĂŶĞůƐĂŶĚĨůŽŽƌůĞǀĞůĞƋƵŝƉŵĞŶƚ ŝŶƐƚĂůůĞĚĂƚLJŽƵƌĨĂĐŝůŝƚLJ͘

ATTACHMENT A

EXHIBIT A
502
_3DJH
/ƚĂůƐŽƉƌŽǀŝĚĞƐĂƐƵŵŵĂƌLJŽĨƚŚĞƚŽƉĂůĂƌŵƐĂŶĚĨƌĞƋƵĞŶĐLJŽĨƚŚĞůĂƐƚϯϬĚĂLJƐ͕ϲϬĚĂLJƐ͕ŽƌϵϬĚĂLJƐ͘ ƵƐƚŽŵĞƌŝƌĞĐƚĞĚ^ƵƉƉŽƌƚ
tŝƚŚƵƐƚŽŵĞƌŝƌĞĐƚĞĚ^ƵƉƉŽƌƚ͕^ŝĞŵĞŶƐǁŝůůƉƌŽǀŝĚĞĂƚƌĂŝŶĞĚĂŶĚĞdžƉĞƌŝĞŶĐĞĚƐƉĞĐŝĂůŝƐƚŽƌƚĞĐŚŶŝĐŝĂŶǁŚŽǁŝůůǁŽƌŬ ƵŶĚĞƌLJŽƵƌĚŝƌĞĐƚŝŽŶ͘dŚĞŝŶƚĞŶƚŽĨƚŚŝƐƐĞƌǀŝĐĞŝƐƚŽŽĨĨĞƌLJŽƵůĂďŽƌĂƐƐŝƐƚĂŶĐĞŝŶĐŽŵƉůĞƚŝŶŐĂƐƉĞĐŝĂůƉƌŽũĞĐƚ͕ŽƌƚŽŵĞĞƚ ĂĨĂĐŝůŝƚLJŽďũĞĐƚŝǀĞ͘^ƉĞĐŝĨŝĐũŽďƌĞƐƉŽŶƐŝďŝůŝƚŝĞƐ͕ŐŽĂůƐ͕ǁŽƌŬŚŽƵƌƐĂŶĚŽƚŚĞƌĂƐƐŽĐŝĂƚĞĚĚĞůŝǀĞƌĂďůĞƐŽĨƚŚŝƐƐĞƌǀŝĐĞĂƌĞ ůŝƐƚĞĚŝŶƚŚĞƉƉĞŶĚŝdžƐĞĐƚŝŽŶŽĨƚŚŝƐƐĞƌǀŝĐĞĂŐƌĞĞŵĞŶƚ͘ KŶͲƐŝƚĞ^LJƐƚĞŵKƉĞƌĂƚŽƌͬ^ƚĂĨĨŝŶŐ^ƵƉƉŽƌƚ^ĞƌǀŝĐĞƐ
ĚĞƋƵĂƚĞƐƚĂĨĨŝŶŐƉůĂLJƐĂƐŝŐŶŝĨŝĐĂŶƚƌŽůĞŝŶŵĂŝŶƚĂŝŶŝŶŐƚŚĞŝŶƚĞŐƌŝƚLJĂŶĚƌĞůŝĂďŝůŝƚLJŽĨLJŽƵƌďƵŝůĚŝŶŐƐLJƐƚĞŵƐ͕ĂŶĚŝŶ ĂĐŚŝĞǀŝŶŐƚŚĞŽƉĞƌĂƚŝŽŶĂůŐŽĂůƐŽĨLJŽƵƌĨĂĐŝůŝƚLJ͕ǁŚŝĐŚƚLJƉŝĐĂůůLJĨŽĐƵƐŽŶŽĐĐƵƉĂŶƚĐŽŵĨŽƌƚ͕ƐĂĨĞƚLJ͕ƐĞĐƵƌŝƚLJ͕ĐŽŵƉůŝĂŶĐĞ͕ ĂŶĚĐŽƐƚĂŶĚĞŶĞƌŐLJƌĞĚƵĐƚŝŽŶ͘^ŝĞŵĞŶƐǁŝůůƉƌŽǀŝĚĞƚƌĂŝŶĞĚĂŶĚĐĞƌƚŝĨŝĞĚƉĞƌƐŽŶŶĞůĨŽƌŽŶͲƐŝƚĞƐLJƐƚĞŵƐƵƉƉŽƌƚ͕ǁŚĞƌĞ ĂĚĚŝƚŝŽŶĂůƐƚĂĨĨŝŶŐŝƐƌĞƋƵŝƌĞĚƚŽŵĂŝŶƚĂŝŶLJŽƵƌĐƌŝƚŝĐĂůďƵŝůĚŝŶŐƐLJƐƚĞŵ͘dŚĞŽŶͲƐŝƚĞƐƚĂĨĨǁŝůůĞŶƐƵƌĞƚŚĂƚLJŽƵƌƐLJƐƚĞŵƐ ŽƉĞƌĂƚĞĂƚƉĞĂŬĞĨĨŝĐŝĞŶĐLJ͕ƚŽĂĐŚŝĞǀĞLJŽƵƌĨĂĐŝůŝƚLJĂŶĚŽƌŐĂŶŝnjĂƚŝŽŶĂůŐŽĂůƐ͘ KƉĞƌĂƚŽƌŽĂĐŚŝŶŐ
dŚƌŽƵŐŚŽƵƌŝŶĚŝǀŝĚƵĂůKƉĞƌĂƚŽƌŽĂĐŚŝŶŐ͕ǁĞǁŝůůƌĞǀŝĞǁĂŶĚƌĞŝŶĨŽƌĐĞůĞĂƌŶĞĚƐŬŝůůƐ͕ůĞĂĚŝŶŐƚŽŐƌĞĂƚĞƌŽƉĞƌĂƚŽƌ ŬŶŽǁůĞĚŐĞĂŶĚƉƌŽĚƵĐƚŝǀŝƚLJ͘^ŝĞŵĞŶƐǁŝůůĂƐƐŝƐƚLJŽƵƌŽƉĞƌĂƚŽƌƐŝŶŝĚĞŶƚŝĨLJŝŶŐ͕ǀĞƌŝĨLJŝŶŐĂŶĚƌĞƐŽůǀŝŶŐƉƌŽďůĞŵƐĨŽƵŶĚŝŶ ĞdžĞĐƵƚŝŶŐƚĂƐŬƐ͘ƵƌŝŶŐƚŚĞĐŽĂĐŚŝŶŐƐĞƐƐŝŽŶƐ͕ǁĞĐĂŶĂĚĚƌĞƐƐůŽŐŬŝƐƐƵĞƐ͕ĂƐƐŝƐƚLJŽƵƌŽƉĞƌĂƚŽƌƐŝŶďĞĐŽŵŝŶŐŵŽƌĞ ƐĞůĨͲƐƵĨĨŝĐŝĞŶƚ͕ĂŶĚŝŵƉƌŽǀĞƚŚĞƐŬŝůůƐŽĨLJŽƵƌŽƉĞƌĂƚŽƌƐƚŽďĞƚƚĞƌŵĞĞƚƚŚĞŶĞĞĚƐŽĨLJŽƵƌĨĂĐŝůŝƚLJĂŶĚƚŚĞŝƌƐƉĞĐŝĨŝĐũŽď ƌĞƐƉŽŶƐŝďŝůŝƚŝĞƐ͘dŚŝƐǁŝůůƉƌŽŵŽƚĞďĞƚƚĞƌƵƚŝůŝnjĂƚŝŽŶŽĨƐLJƐƚĞŵƐĂŶĚĂƉƉůŝĐĂƚŝŽŶƐŝŵƉůĞŵĞŶƚĞĚŝŶLJŽƵƌĨĂĐŝůŝƚLJ͘hŶĚĞƌƚŚŝƐ ĂŐƌĞĞŵĞŶƚǁĞƐŚĂůůƉƌŽǀŝĚĞĐŽĂĐŚŝŶŐ͕ǁŚŝĐŚǁŝůůďĞĐŽŶĚƵĐƚĞĚŽŶŶŽƌŵĂůďƵƐŝŶĞƐƐĚĂLJƐĂŶĚŚŽƵƌƐ͕ĚƵƌŝŶŐƐĐŚĞĚƵůĞĚ ǀŝƐŝƚƐ͘

ĚƵĐĂƚŝŽŶ^ĞƌǀŝĐĞƐ
/ĨĚĞůŝǀĞƌĞĚĂƚ^ŝĞŵĞŶƐdƌĂŝŶŝŶŐĞŶƚĞƌ
dŚƌŽƵŐŚ
ĚƵĐĂƚŝŽŶĂů^ĞƌǀŝĐĞƐ͕LJŽƵƌƐƚĂĨĨǁŝůůůĞĂƌŶŚŽǁƚŽƚĂŬĞĂĚǀĂŶƚĂŐĞŽĨƚŚĞůĂƚĞƐƚƚĞĐŚŶŽůŽŐŝĞƐĂǀĂŝůĂďůĞĨŽƌLJŽƵƌ ďƵŝůĚŝŶŐƐLJƐƚĞŵ͘dŚŝƐƚƌĂŝŶŝŶŐďLJĂĐĞƌƚŝĨŝĞĚŝŶƐƚƌƵĐƚŽƌĨƌŽŵƚŚĞ^ŝĞŵĞŶƐƵƐƚŽŵĞƌdƌĂŝŶŝŶŐŐƌŽƵƉǁŝůůƉƌŽǀŝĚĞLJŽƵƌƐƚĂĨĨ

ATTACHMENT A

EXHIBIT A
503
_3DJH
ǁŝƚŚƚŚĞŬŶŽǁůĞĚŐĞƚŚĞLJŶĞĞĚƚŽƉĞƌĨŽƌŵƚŚĞŝƌũŽďƐĂŶĚŵĂŝŶƚĂŝŶƚŚĞŚŝŐŚĞƐƚŽƉĞƌĂƚŝŶŐƉĞƌĨŽƌŵĂŶĐĞĨŽƌLJŽƵƌĨĂĐŝůŝƚLJ͘ dŚŝƐŬŶŽǁůĞĚŐĞǁŝůůĞŶĂďůĞLJŽƵƌƐƚĂĨĨƚŽŝŵƉƌŽǀĞƚŚĞŝƌƐŬŝůůƐŝŶƚŚĞƵƐĞŽĨLJŽƵƌƐLJƐƚĞŵƐΖĨĞĂƚƵƌĞƐĂŶĚĐĂƉĂďŝůŝƚŝĞƐ͘dƌĂŝŶŝŶŐ ǁŝůůďĞƉƌŽǀŝĚĞĚĂƚŽŶĞŽĨŽƵƌŶĂƚŝŽŶĂůƚƌĂŝŶŝŶŐĨĂĐŝůŝƚŝĞƐ͕ĂůůŽǁŝŶŐƚŚĞƐƚƵĚĞŶƚƚŽƉƌĂĐƚŝĐĞĂŶĚĚĞŵŽŶƐƚƌĂƚĞƐŬŝůůƐƌĞƋƵŝƌĞĚ ƚŽŽƉĞƌĂƚĞďƵŝůĚŝŶŐĐŽŶƚƌŽůƐƐLJƐƚĞŵƐŝŶĂƌŝƐŬͲĨƌĞĞĞŶǀŝƌŽŶŵĞŶƚǁŚŝůĞĂǁĂLJĨƌŽŵǁŽƌŬƉƌĞƐƐƵƌĞƐĂŶĚŝŶƚĞƌƌƵƉƚŝŽŶƐ͘ ^ŬŝůůƐƐƐĞƐƐŵĞŶƚ
dŚƌŽƵŐŚ
ĚƵĐĂƚŝŽŶĂů^ĞƌǀŝĐĞƐ͕LJŽƵƌƐƚĂĨĨǁŝůůůĞĂƌŶŚŽǁƚŽƚĂŬĞĂĚǀĂŶƚĂŐĞŽĨƚŚĞůĂƚĞƐƚƚĞĐŚŶŽůŽŐŝĞƐĂǀĂŝůĂďůĞĨŽƌLJŽƵƌ ďƵŝůĚŝŶŐƐLJƐƚĞŵ͘dŽƉƌŽƉĞƌůLJƉƌŽǀŝĚĞƚŚĞĂƉƉƌŽƉƌŝĂƚĞƚƌĂŝŶŝŶŐƚŽLJŽƵƌƐƚĂĨĨ͕^ŝĞŵĞŶƐǁŝůůƉĞƌĨŽƌŵĂŶĂƐƐĞƐƐŵĞŶƚŽĨƚŚĞ ĐƵƌƌĞŶƚƐŬŝůůůĞǀĞůŽĨLJŽƵƌƐƚĂĨĨƉĞƌƚĂŝŶŝŶŐƚŽƚŚĞŝƌƵƐĞŽĨƚŚĞƐLJƐƚĞŵǁŝƚŚŝŶLJŽƵƌĨĂĐŝůŝƚLJ͘dŚĞƌĞƐƵůƚƐŽĨƚŚŝƐĂƐƐĞƐƐŵĞŶƚ ǁŝůůĞŶĂďůĞ^ŝĞŵĞŶƐƚŽƌĞĐŽŵŵĞŶĚƐƉĞĐŝĨŝĐƚƌĂŝŶŝŶŐǁŚŝĐŚǁŝůůƉƌŽǀŝĚĞLJŽƵƌƐƚĂĨĨǁŝƚŚƚŚĞŬŶŽǁůĞĚŐĞƚŚĞLJŶĞĞĚƚŽ ƉĞƌĨŽƌŵƚŚĞŝƌũŽďƐĂŶĚŵĂŝŶƚĂŝŶƚŚĞŚŝŐŚĞƐƚŽƉĞƌĂƚŝŶŐƉĞƌĨŽƌŵĂŶĐĞĨŽƌLJŽƵƌĨĂĐŝůŝƚLJ͘hŶĚĞƌƚŚŝƐĂŐƌĞĞŵĞŶƚǁĞƐŚĂůů ƉƌŽǀŝĚĞƚŚĞƐƚĂƚĞĚŶƵŵďĞƌŽĨŚŽƵƌƐŽĨĂƐƐĞƐƐŵĞŶƚƚŝŵĞ

ATTACHMENT A

EXHIBIT A
504
_3DJH
ŶĞƚΡEĞƚǁŽƌŬŶĂůLJƐŝƐ
hƐŝŶŐĂĐŽŵďŝŶĂƚŝŽŶŽĨƉƌŽƉƌŝĞƚĂƌLJĚŝĂŐŶŽƐƚŝĐƚĞĐŚŶŽůŽŐŝĞƐĂŶĚŶĞƚǁŽƌŬĂŶĂůLJƐŝƐƐŽĨƚǁĂƌĞ͕^ŝĞŵĞŶƐǁŝůůĂŶĂůLJnjĞ͕ĂŶĚ ƌĞƉŽƌƚŽŶƚŚĞƉĞƌĨŽƌŵĂŶĐĞŽĨLJŽƵƌŶĞƚŶĞƚǁŽƌŬƐ͘WƌŽƉĞƌŶĞƚŶĞƚǁŽƌŬƉĞƌĨŽƌŵĂŶĐĞŚĞůƉƐƚŽĞŶƐƵƌĞƚŚĞŚŝŐŚĞƐƚ ƐƉĞĞĚŽĨĐŽŵŵƵŶŝĐĂƚŝŽŶĂŶĚĂĐĐƵƌĂĐLJŽĨĐŽŶƚƌŽů͕ĂůĂƌŵŝŶŐ͕ĂŶĚƌĞƉŽƌƚŝŶŐĂĐƌŽƐƐƚŚĞĨĂĐŝůŝƚLJ͘hƐŝŶŐŶĞƚŶĞƚǁŽƌŬ ĚŝĂŐŶŽƐƚŝĐĂŶĚĂŶĂůLJƚŝĐƚŽŽůƐ͕ŽƵƌƉƌŽĂĐƚŝǀĞĞǀĂůƵĂƚŝŽŶŽĨƚŚĞŶĞƚĚĂƚĂŶĞƚǁŽƌŬŝŶĐůƵĚĞƐĂŶĂŶĂůLJƐŝƐŽĨďĂŶĚǁŝĚƚŚ͕ ĚŝƐƚƵƌďĂŶĐĞƐ͕ŶĞƚǁŽƌŬƚƌĂĨĨŝĐ͕ĐŽŵŵƵŶŝĐĂƚŝŽŶŽǀĞƌƚŚĞŶĞƚǁŽƌŬ͕ŵŝƐĐŽŶĨŝŐƵƌĂƚŝŽŶƐ͕ĐŽŶĨůŝĐƚƐ͕ƐƵďͲŽƉƚŝŵĂůƐĞƚƵƉ͕ĂŶĚ ŽǀĞƌĂůůŽƉĞƌĂƚŝŽŶ͘^ŝĞŵĞŶƐŵĂLJĂůƐŽŵĂŬĞƌĞĐŽŵŵĞŶĚĂƚŝŽŶƐŽŶĐŚĂŶŐĞƐƚŽƚŚĞŶĞƚŶĞƚǁŽƌŬŝŶĨƌĂƐƚƌƵĐƚƵƌĞŝĨ ƐƚƌƵĐƚƵƌĂůůŝŵŝƚĂƚŝŽŶƐĂƌĞŝĚĞŶƚŝĨŝĞĚĚƵƌŝŶŐƚŚĞĂŶĂůLJƐŝƐ͘dŚĞŶƵŵďĞƌŽĨŶĞƚǁŽƌŬƐƚŽďĞĂŶĂůLJnjĞĚĂŶĚƚŚĞĨƌĞƋƵĞŶĐLJŽĨƚŚĞ ƐĞƌǀŝĐĞĂƌĞĚŽĐƵŵĞŶƚĞĚŝŶƚŚĞ>ŝƐƚŽĨDĂŝŶƚĂŝŶĞĚ
ƋƵŝƉŵĞŶƚ͘^ŝĞŵĞŶƐŶĞƚĞƋƵŝƉŵĞŶƚĂŶĚƚŚŝƌĚƉĂƌƚLJŶĞƚ ĞƋƵŝƉŵĞŶƚŝƐŝŶĐůƵĚĞĚŝŶƚŚŝƐĂŶĂůLJƐŝƐŝĨŝƚŝƐĐŽŶŶĞĐƚĞĚŽŶƚŚĞƐĂŵĞŶĞƚǁŽƌŬĂŶĚŝƐǀŝƐŝďůĞĨƌŽŵŽƵƌƉŽŝŶƚŽĨĐŽŶŶĞĐƚŝŽŶ͘ ĚĚŝƚŝŽŶĂů^ĞƌǀŝĐĞƐ
KŶƐŝƚĞ
ƋƵŝƉŵĞŶƚ/ŶƐƉĞĐƚŝŽŶ
tĞǁŝůůƉƌŽǀŝĚĞƉŚLJƐŝĐĂůŝŶƐƉĞĐƚŝŽŶĂŶĚƉƌĞǀĞŶƚŝǀĞŵĂŝŶƚĞŶĂŶĐĞŝŶĂĐĐŽƌĚĂŶĐĞǁŝƚŚĂƉƌŽŐƌĂŵŽĨƌŽƵƚŝŶĞƐĂƐ ĚĞƚĞƌŵŝŶĞĚďLJŽƵƌĞdžƉĞƌŝĞŶĐĞ͕ĞƋƵŝƉŵĞŶƚĂƉƉůŝĐĂƚŝŽŶĂŶĚůŽĐĂƚŝŽŶ͘dŚĞůŝƐƚŽĨĨŝĞůĚƉĂŶĞůƐĂŶĚͬŽƌĚĞǀŝĐĞƐŝŶĐůƵĚĞĚ ƵŶĚĞƌƚŚŝƐƐĞƌǀŝĐĞĂƌĞŝĚĞŶƚŝĨŝĞĚŝŶƚŚĞ>ŝƐƚŽĨDĂŝŶƚĂŝŶĞĚ ƋƵŝƉŵĞŶƚŝŶƚŚŝƐƐĞƌǀŝĐĞĂŐƌĞĞŵĞŶƚ͘dŚŝƐƐĞƌǀŝĐĞǁŝůůĞdžƚĞŶĚ ĞƋƵŝƉŵĞŶƚůŝĨĞ͕ƌĞĚƵĐĞĞŶĞƌŐLJĐŽŶƐƵŵƉƚŝŽŶ͕ĂŶĚƌĞĚƵĐĞƚŚĞƌŝƐŬŽĨĐŽƐƚůLJĂŶĚĚŝƐƌƵƉƚŝǀĞďƌĞĂŬĚŽǁŶƐ͘ WĞƌĨŽƌŵĂŶĐĞZĞƉŽƌƚŝŶŐ
dŚƌŽƵŐŚŝŵƉůĞŵĞŶƚŝŶŐŽƵƌWĞƌĨŽƌŵĂŶĐĞZĞƉŽƌƚŝŶŐ͕^ŝĞŵĞŶƐǁŝůůŚĞůƉƚŽĞŶƐƵƌĞƚŚĂƚǁĞĚĞůŝǀĞƌƋƵĂůŝƚLJƐĞƌǀŝĐĞ͘dŚĞ ƌĞƉŽƌƚŝŶŐĐƌŝƚĞƌŝĂĂƌĞĚĞǀĞůŽƉĞĚďĞƚǁĞĞŶLJŽƵƌĨĂĐŝůŝƚLJƐƚĂĨĨĂŶĚ^ŝĞŵĞŶƐĂŶĚǁŝůůƌĞĨůĞĐƚƚŚĞŐŽĂůƐĂŶĚŽďũĞĐƚŝǀĞƐŽĨƚŚĞ ƐĐŽƉĞŽĨƚŚŝƐ^ĞƌǀŝĐĞŐƌĞĞŵĞŶƚ͘dŚĞƐĞƌĞƉŽƌƚŝŶŐĐƌŝƚĞƌŝĂǁŝůůďĞĂŐƌĞĞĚƵƉŽŶĂƚƚŚĞĐŽŵŵĞŶĐĞŵĞŶƚŽĨƚŚŝƐŐƌĞĞŵĞŶƚ͘ tĞǁŝůůŵĞĞƚǁŝƚŚLJŽƵƚŽĚŝƐĐƵƐƐŽƵƌƉĞƌĨŽƌŵĂŶĐĞ͘tĞǁŝůůĚŝƐĐƵƐƐƚŚĞƉĞƌĨŽƌŵĂŶĐĞŽĨLJŽƵƌƐLJƐƚĞŵƐ͕LJŽƵƌĨĂĐŝůŝƚLJ͕ĂŶĚ ŵĂŬĞƌĞĐŽŵŵĞŶĚĂƚŝŽŶƐĨŽƌŝŵƉƌŽǀĞŵĞŶƚ͘

ATTACHMENT A

EXHIBIT A
505
_3DJH
&ŝƌŵǁĂƌĞhƉĚĂƚĞƐ
tĞǁŝůůƉƌŽǀŝĚĞLJŽƵǁŝƚŚĨŝƌŵǁĂƌĞĂŶĚĚŽĐƵŵĞŶƚĂƚŝŽŶƵƉĚĂƚĞƐƚŽLJŽƵƌĞdžŝƐƚŝŶŐĨŝĞůĚƉĂŶĞůƐƵƉŽŶĚĞǀĞůŽƉŵĞŶƚ͘dŚĞ ŝŶĐůƵĚĞĚƚƌĂŝŶŝŶŐǁŝůůĨĂŵŝůŝĂƌŝnjĞLJŽƵǁŝƚŚƚŚĞŶĞǁĨĞĂƚƵƌĞƐĂŶĚƚŚĞŝƌĂƐƐŽĐŝĂƚĞĚďĞŶĞĨŝƚƐ͘dŚĞƐĞƵƉĚĂƚĞƐĚĞůŝǀĞƌƚŚĞ ďĞŶĞĨŝƚƐŽĨ^ŝĞŵĞŶƐĐŽŵŵŝƚŵĞŶƚƚŽĐŽŵƉĂƚŝďŝůŝƚLJďLJĚĞƐŝŐŶ͖ĂĐŽŵŵŝƚŵĞŶƚƵŶŝƋƵĞŝŶŽƵƌŝŶĚƵƐƚƌLJ͘&ŝĞůĚƉĂŶĞůƐŝŶĐůƵĚĞĚ ƵŶĚĞƌƚŚŝƐƐĞƌǀŝĐĞĂƌĞŝƚĞŵŝnjĞĚŝŶƚŚĞ>ŝƐƚŽĨDĂŝŶƚĂŝŶĞĚ ƋƵŝƉŵĞŶƚ͘;hƉŐƌĂĚĞƐƚŽ&ŝĞůĚWĂŶĞůŚĂƌĚǁĂƌĞ͕ƉƌŽĐĞƐƐŽƌƐ͕ ŵĞŵŽƌLJďŽĂƌĚƐ͕ĂŶĚƌĞůĂƚĞĚŚĂƌĚǁĂƌĞĂƌĞĞdžĐůƵĚĞĚƵŶůĞƐƐƐƉĞĐŝĨŝĞĚĞůƐĞǁŚĞƌĞ͘Ϳ ^ŽĨƚǁĂƌĞ^ƵďƐĐƌŝƉƚŝŽŶ^ĞƌǀŝĐĞͲĞƐŝŐŽ
^ŝĞŵĞŶƐǁŝůůƉƌŽǀŝĚĞLJŽƵǁŝƚŚƐŽĨƚǁĂƌĞƵƉŐƌĂĚĞƐƚŽLJŽƵƌĞdžŝƐƚŝŶŐ^ŝĞŵĞŶƐĞƐŝŐŽƐŽĨƚǁĂƌĞĂƐƚŚĞLJĂƌĞƌĞůĞĂƐĞĚ͘ dŚĞƐĞƵƉŐƌĂĚĞƐŝŶĐůƵĚĞďŽƚŚ^ĞƌǀŝĐĞZĞůĞĂƐĞƐĂŶĚĂůůEĞǁsĞƌƐŝŽŶZĞůĞĂƐĞƐŽĨ^ŽĨƚǁĂƌĞ͘^ŝĞŵĞŶƐǁŝůůĂůƐŽƉƌŽǀŝĚĞ ĐŽƌƌĞƐƉŽŶĚŝŶŐƐƵƉƉŽƌƚĚŽĐƵŵĞŶƚĂƚŝŽŶŽƵƚůŝŶŝŶŐƚŚĞĨĞĂƚƵƌĞƐŽĨƚŚĞƌĞůĞĂƐĞƐ͘/ŶĐůƵĚĞĚŝƐƚƌĂŝŶŝŶŐƚŽŚĞůƉƚŽĨĂŵŝůŝĂƌŝnjĞ LJŽƵǁŝƚŚƚŚĞŶĞǁĨĞĂƚƵƌĞƐĂůŽŶŐǁŝƚŚƚŚĞŝƌĂƐƐŽĐŝĂƚĞĚďĞŶĞĨŝƚƐ͘dŚĞƐĞƵƉĚĂƚĞƐǁŝůůĂĐƚƚŽĚĞůŝǀĞƌƚŚĞďĞŶĞĨŝƚƐŽĨ^ŝĞŵĞŶƐΖ ĐŽŵŵŝƚŵĞŶƚƚŽĐŽŵƉĂƚŝďŝůŝƚLJďLJĚĞƐŝŐŶ͕ĂĐŽŵŵŝƚŵĞŶƚƵŶŝƋƵĞŝŶŽƵƌŝŶĚƵƐƚƌLJ͘tŽƌŬƐƚĂƚŝŽŶƐĐŽǀĞƌĞĚƵŶĚĞƌƚŚŝƐƐĞƌǀŝĐĞ ĂƌĞŝƚĞŵŝnjĞĚŝŶƚŚĞ>ŝƐƚŽĨDĂŝŶƚĂŝŶĞĚ
ƋƵŝƉŵĞŶƚ͘;hƉŐƌĂĚĞƐƚŽWΖƐĂŶĚƌĞůĂƚĞĚǁŽƌŬƐƚĂƚŝŽŶŚĂƌĚǁĂƌĞĂƌĞĞdžĐůƵĚĞĚ ƵŶůĞƐƐĞdžƉƌĞƐƐůLJŝŶĐůƵĚĞĚŝŶƚŚŝƐŐƌĞĞŵĞŶƚ͘Ϳ
ƵƚŽŵĂƚŝŽŶ,ĞĂůƚŚZĞƉŽƌƚ
KƵƌƵƚŽŵĂƚŝŽŶ,ĞĂůƚŚZĞƉŽƌƚƉƌŽǀŝĚĞƐĂĐŽŵƉůĞƚĞǀŝĞǁŽĨƚŚĞƵƚŽŵĂƚŝŽŶƐLJƐƚĞŵ͘dŚŝƐŝŶĐůƵĚĞƐƐƐĞƚDĂŶĂŐĞŵĞŶƚ ǁŝƚŚĞƋƵŝƉŵĞŶƚĨŝƌŵǁĂƌĞƚŽĞŶƐƵƌĞLJŽƵƌƐLJƐƚĞŵŝƐƵƉƚŽĚĂƚĞǁŝƚŚĂƐƵŵŵĂƌLJŽĨƚŚĞƉĂŶĞůƐĂŶĚĨůŽŽƌůĞǀĞůĞƋƵŝƉŵĞŶƚ ŝŶƐƚĂůůĞĚĂƚLJŽƵƌĨĂĐŝůŝƚLJ͘

ATTACHMENT A

EXHIBIT A
506
_3DJH
/ƚĂůƐŽƉƌŽǀŝĚĞƐĂƐƵŵŵĂƌLJŽĨƚŚĞƚŽƉĂůĂƌŵƐĂŶĚĨƌĞƋƵĞŶĐLJŽĨƚŚĞůĂƐƚϯϬĚĂLJƐ͕ϲϬĚĂLJƐ͕ŽƌϵϬĚĂLJƐ͘ ƵƐƚŽŵĞƌŝƌĞĐƚĞĚ^ƵƉƉŽƌƚ
tŝƚŚƵƐƚŽŵĞƌŝƌĞĐƚĞĚ^ƵƉƉŽƌƚ͕^ŝĞŵĞŶƐǁŝůůƉƌŽǀŝĚĞĂƚƌĂŝŶĞĚĂŶĚĞdžƉĞƌŝĞŶĐĞĚƐƉĞĐŝĂůŝƐƚŽƌƚĞĐŚŶŝĐŝĂŶǁŚŽǁŝůůǁŽƌŬ ƵŶĚĞƌLJŽƵƌĚŝƌĞĐƚŝŽŶ͘dŚĞŝŶƚĞŶƚŽĨƚŚŝƐƐĞƌǀŝĐĞŝƐƚŽŽĨĨĞƌLJŽƵůĂďŽƌĂƐƐŝƐƚĂŶĐĞŝŶĐŽŵƉůĞƚŝŶŐĂƐƉĞĐŝĂůƉƌŽũĞĐƚ͕ŽƌƚŽŵĞĞƚ ĂĨĂĐŝůŝƚLJŽďũĞĐƚŝǀĞ͘^ƉĞĐŝĨŝĐũŽďƌĞƐƉŽŶƐŝďŝůŝƚŝĞƐ͕ŐŽĂůƐ͕ǁŽƌŬŚŽƵƌƐĂŶĚŽƚŚĞƌĂƐƐŽĐŝĂƚĞĚĚĞůŝǀĞƌĂďůĞƐŽĨƚŚŝƐƐĞƌǀŝĐĞĂƌĞ ůŝƐƚĞĚŝŶƚŚĞƉƉĞŶĚŝdžƐĞĐƚŝŽŶŽĨƚŚŝƐƐĞƌǀŝĐĞĂŐƌĞĞŵĞŶƚ͘ KŶͲƐŝƚĞ^LJƐƚĞŵKƉĞƌĂƚŽƌͬ^ƚĂĨĨŝŶŐ^ƵƉƉŽƌƚ^ĞƌǀŝĐĞƐ
ĚĞƋƵĂƚĞƐƚĂĨĨŝŶŐƉůĂLJƐĂƐŝŐŶŝĨŝĐĂŶƚƌŽůĞŝŶŵĂŝŶƚĂŝŶŝŶŐƚŚĞŝŶƚĞŐƌŝƚLJĂŶĚƌĞůŝĂďŝůŝƚLJŽĨLJŽƵƌďƵŝůĚŝŶŐƐLJƐƚĞŵƐ͕ĂŶĚŝŶ ĂĐŚŝĞǀŝŶŐƚŚĞŽƉĞƌĂƚŝŽŶĂůŐŽĂůƐŽĨLJŽƵƌĨĂĐŝůŝƚLJ͕ǁŚŝĐŚƚLJƉŝĐĂůůLJĨŽĐƵƐŽŶŽĐĐƵƉĂŶƚĐŽŵĨŽƌƚ͕ƐĂĨĞƚLJ͕ƐĞĐƵƌŝƚLJ͕ĐŽŵƉůŝĂŶĐĞ͕ ĂŶĚĐŽƐƚĂŶĚĞŶĞƌŐLJƌĞĚƵĐƚŝŽŶ͘^ŝĞŵĞŶƐǁŝůůƉƌŽǀŝĚĞƚƌĂŝŶĞĚĂŶĚĐĞƌƚŝĨŝĞĚƉĞƌƐŽŶŶĞůĨŽƌŽŶͲƐŝƚĞƐLJƐƚĞŵƐƵƉƉŽƌƚ͕ǁŚĞƌĞ ĂĚĚŝƚŝŽŶĂůƐƚĂĨĨŝŶŐŝƐƌĞƋƵŝƌĞĚƚŽŵĂŝŶƚĂŝŶLJŽƵƌĐƌŝƚŝĐĂůďƵŝůĚŝŶŐƐLJƐƚĞŵ͘dŚĞŽŶͲƐŝƚĞƐƚĂĨĨǁŝůůĞŶƐƵƌĞƚŚĂƚLJŽƵƌƐLJƐƚĞŵƐ ŽƉĞƌĂƚĞĂƚƉĞĂŬĞĨĨŝĐŝĞŶĐLJ͕ƚŽĂĐŚŝĞǀĞLJŽƵƌĨĂĐŝůŝƚLJĂŶĚŽƌŐĂŶŝnjĂƚŝŽŶĂůŐŽĂůƐ͘ KƉĞƌĂƚŽƌŽĂĐŚŝŶŐ
dŚƌŽƵŐŚŽƵƌŝŶĚŝǀŝĚƵĂůKƉĞƌĂƚŽƌŽĂĐŚŝŶŐ͕ǁĞǁŝůůƌĞǀŝĞǁĂŶĚƌĞŝŶĨŽƌĐĞůĞĂƌŶĞĚƐŬŝůůƐ͕ůĞĂĚŝŶŐƚŽŐƌĞĂƚĞƌŽƉĞƌĂƚŽƌ ŬŶŽǁůĞĚŐĞĂŶĚƉƌŽĚƵĐƚŝǀŝƚLJ͘^ŝĞŵĞŶƐǁŝůůĂƐƐŝƐƚLJŽƵƌŽƉĞƌĂƚŽƌƐŝŶŝĚĞŶƚŝĨLJŝŶŐ͕ǀĞƌŝĨLJŝŶŐĂŶĚƌĞƐŽůǀŝŶŐƉƌŽďůĞŵƐĨŽƵŶĚŝŶ ĞdžĞĐƵƚŝŶŐƚĂƐŬƐ͘ƵƌŝŶŐƚŚĞĐŽĂĐŚŝŶŐƐĞƐƐŝŽŶƐ͕ǁĞĐĂŶĂĚĚƌĞƐƐůŽŐŬŝƐƐƵĞƐ͕ĂƐƐŝƐƚLJŽƵƌŽƉĞƌĂƚŽƌƐŝŶďĞĐŽŵŝŶŐŵŽƌĞ ƐĞůĨͲƐƵĨĨŝĐŝĞŶƚ͕ĂŶĚŝŵƉƌŽǀĞƚŚĞƐŬŝůůƐŽĨLJŽƵƌŽƉĞƌĂƚŽƌƐƚŽďĞƚƚĞƌŵĞĞƚƚŚĞŶĞĞĚƐŽĨLJŽƵƌĨĂĐŝůŝƚLJĂŶĚƚŚĞŝƌƐƉĞĐŝĨŝĐũŽď ƌĞƐƉŽŶƐŝďŝůŝƚŝĞƐ͘dŚŝƐǁŝůůƉƌŽŵŽƚĞďĞƚƚĞƌƵƚŝůŝnjĂƚŝŽŶŽĨƐLJƐƚĞŵƐĂŶĚĂƉƉůŝĐĂƚŝŽŶƐŝŵƉůĞŵĞŶƚĞĚŝŶLJŽƵƌĨĂĐŝůŝƚLJ͘hŶĚĞƌƚŚŝƐ ĂŐƌĞĞŵĞŶƚǁĞƐŚĂůůƉƌŽǀŝĚĞĐŽĂĐŚŝŶŐ͕ǁŚŝĐŚǁŝůůďĞĐŽŶĚƵĐƚĞĚŽŶŶŽƌŵĂůďƵƐŝŶĞƐƐĚĂLJƐĂŶĚŚŽƵƌƐ͕ĚƵƌŝŶŐƐĐŚĞĚƵůĞĚ ǀŝƐŝƚƐ͘

ĚƵĐĂƚŝŽŶ^ĞƌǀŝĐĞƐ
/ĨĚĞůŝǀĞƌĞĚĂƚ^ŝĞŵĞŶƐdƌĂŝŶŝŶŐĞŶƚĞƌ
dŚƌŽƵŐŚ
ĚƵĐĂƚŝŽŶĂů^ĞƌǀŝĐĞƐ͕LJŽƵƌƐƚĂĨĨǁŝůůůĞĂƌŶŚŽǁƚŽƚĂŬĞĂĚǀĂŶƚĂŐĞŽĨƚŚĞůĂƚĞƐƚƚĞĐŚŶŽůŽŐŝĞƐĂǀĂŝůĂďůĞĨŽƌLJŽƵƌ ďƵŝůĚŝŶŐƐLJƐƚĞŵ͘dŚŝƐƚƌĂŝŶŝŶŐďLJĂĐĞƌƚŝĨŝĞĚŝŶƐƚƌƵĐƚŽƌĨƌŽŵƚŚĞ^ŝĞŵĞŶƐƵƐƚŽŵĞƌdƌĂŝŶŝŶŐŐƌŽƵƉǁŝůůƉƌŽǀŝĚĞLJŽƵƌƐƚĂĨĨ

ATTACHMENT A

EXHIBIT A
507

_3DJH
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