Ken Smith & Associates LLC

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1 Ken Smith & Associates LLC th Avenue Preston, IA Phone: escalatorpro.com CURRICULUM VITAE of KENNETH J. SMITH Education: BS Mechanical Engineering, University of Iowa, Iowa City, Iowa Current Position: KEN SMITH & ASSOCIATES Preston, Iowa Principal Consultant: providing escalator and moving walk consulting and expert witness services. Worked in the escalator industry for over 30 years Consulted on over 200 cases since 2000 Consulted on over 235 claims since 2000 Testified via deposition over 30 times since 2000 Testified in trial 8 times Provide escalator and moving walk training to attorneys Assist attorneys in preparation for witness examination Research state and local AHJ Code requirements Inspected over 185 escalators for claims or litigation Expert escalator and moving walk testimony involving: o Accidents o Design o Manufacturing o Installation o Operation o Maintenance Inspected escalators with State Inspectors Provide turn-over inspections on new equipment Member A17 Escalator and Moving Walk Committee Member B29 Chain Committee Hold two international escalator patents Train and perform Step / Skirt Performance Index testing Developed brake inspection criteria for a major OEM 6/15/2015 1

2 Employment: KONE INCORPORATED Moline, Illinois : Manager of Engineering Services: Involved in loss mitigation and prevention with the Law Department. Provided expert witness services for escalator claims and litigation. Supervised product testing for the escalator factory. Provided new equipment training for sales, operations, and service personnel. Expert services o Investigated escalator incidents o Escalator inspections o Document review o Deposition and trial testimony Knowledge gained from the field used for product improvement Supervised the escalator factory product test lab o Functional testing of escalator components and assemblies o Code compliance testing Led KONE s response to the A17 Code changes for the Step/Skirt Performance Index o Member of the NEII Ad Hoc Committee o Worked with State inspectors on implementing Code changes o Trained State inspectors, property owners and service personnel on Step / Skirt Performance Index requirements and testing o Index tested several escalator models in an effort to determine future compliance o Selected a manufacturer for and developed the skirt deflector kits o Worked closely with the manufacturer while evaluating the prototype index test device o Developed KONE s Step / Skirt Performance Index training program DRIVES INCORPORATED Fulton, Illinois : Product Manager: Responsible for Drives chain and sprocket product lines. Provided chain and sprocket application analysis, chain and sprocket design, chain drive design, and failure analysis services to Drives customers. 6/15/2015 2

3 Designed chains and sprockets for many industries o Designed and tested chain for a new transit escalator o Designed and tested chain with standardized components for existing escalators o Designed and tested Drives first product line of high fatigue strength roller chain and the sprockets for a major agricultural and construction manufacturer s new skid-steer loader line Provided product selection services to customers o Chain and sprocket application data o Chain drive design o Chain and failure analysis Provided product training for customers Provided hands on engineering and manufacturing expertise to start up off shore production of sprockets, including design, manufacturing, and the U.S. distribution for Drives : Manager of Product Engineering: Designed chain, sprockets, and screw conveyors for a wide variety of applications including: agricultural machinery, construction equipment, lumber processing equipment, road maintenance machinery, conveyors, and escalators. Supervised the product test laboratory. Responsible for the design of all of Drives chain and screw conveyors. o Designed and tested chain for a new escalator o Designed and tested numerous chains for the agricultural machinery industry. o Designed and tested several chains for the lumber industry Standardized chain materials and heat treat Provided product selection services to customers. o Chain, sprocket and screw conveyor application data o Chain drive design o Chain and screw conveyor failure analysis Performed chain and process testing. o Fatigue testing o Life testing o Lubricant testing o Product specific application testing Provided product training for customers. 6/15/2015 3

4 MONTGOMERY ELEVATOR COMPANY Moline, Illinois : Mechanical Engineer, Research and Development: Designed and tested new elevator components and assemblies. Designed new universal encoder mounting system for use in elevator control system modernizations. Involved in the design and testing of a new safety (braking) system for elevators : Senior Project Engineer, Escalator Division: Designed, sourced, fabricated, assembled, and installed escalator and moving walk components and assemblies for existing product lines and a completely new escalator design, the E5000. Developed a new moving walk design specifically for installation in existing structures including, concept, design, fabrication, manufacturing and assembly, and worked with construction personnel on its installation and initial run in. Designed, tested, and installed a new glass balustrade newel end and auxiliary handrail drive unit which allowed significantly longer moving walks to be produced. Designed and tested new components allowing easier step removal in escalators and moving walks. Designed, sourced, fabricated, assembled and tested the balustrade of the new E5000 prototype which included: o Rise independent mounting systems o Fastener free snap in decking o Through bolted glass o All metal fabricated skirts Designed, sourced, fabricated, assembled and tested the handrail drive system of the new E5000 prototype which included: o New quick change friction belt handrail drive Patented o Air flotation newel end Patented Designed a new glass balustrade moving walk for use in existing structures, requiring only building modification at each end of the walk. Redesigned the solid balustrade moving walk for part interchangeability with solid balustrade escalators and glass balustrade moving walks, creating the model 4500W. Created installation manuals for new escalators and moving walks. 6/15/2015 4

5 : Project Engineer, Escalator Division: Designed, sourced, fabricated, assembled, and installed escalator and moving walk components and assemblies for existing product lines. Worked with construction personnel on escalator and moving walk installations at the job site to validate new designs. Redesigned the balustrade and track of the glass Model 4000 for fit and function, creating the Model Worked closely with construction teams to improve ease of assembly and reduce installation time. Redesigned the handrail drive system on glass balustrade escalators and moving walks. Redesigned the truss fixture for manufacturing for accuracy and to minimize weld time. Developed and tested new balustrade components for solid balustrade escalators and moving walks to minimize material use and installation time. Developed and tested new newel roller and chain drive system that reduced required driving torque, significantly increasing handrail life in glass balustrade moving walks, and later in escalators. SMITH CRAFT Preston, Iowa 1996 Present: Principle Engineer: Manage a small engineering design company. Design and market patented and trademarked chain assembly and disassembly devices. ASSOCIATED SUBCONTRACTORS Princeton, Iowa : Managing Owner: Managed a small construction company. Bid jobs Scheduled jobs, crewing, and material deliveries Performed actual construction work Payroll and bookkeeping 6/15/2015 5

6 Codes & Standards: Present: Member of the ASME A17 Safety Code for Elevators and Escalators Escalator and Moving Walk Committee Alternate, ASME A17.1 Escalator and Moving Walk Committee 1993 Present: Liaison between the ASME B29 Chain Standards Committee and the ASME A17 Safety Code for Elevators and Escalators Member, ASME 17.1 NIRC 1993 Present: Member of the ASME B29 Chain Standards Committee Chairman of four B29 Subcommittees o B29.19 Agricultural Roller Chain o B29.6 Steel Detachable Chain o B29.15 Steel Roller Type Conveyor Chain o B29.25 Open Barrel Pintle Chain Member American Chain Association and Technical Committees o ES&MC - Engineering Steel and Malleable Chain Committee o RCTC - Roller Chain Technical Committee o ACAT - ACA Technical Committee Member US TAG to ISO TC 100 Committee Professional Societies: Patents & Trademarks: ASME member Escalator handrail drive device Escalator air flotation newel Chain disassembly and assembly device EZ BREAKER chain breaking device EZ COUNTER chain link counting device 6/15/2015 6