philadelphia gas works request for proposals for ... · environmental management system (ems) -...

PHILADELPHIA GAS WORKS

REQUEST FOR PROPOSALS

FOR

Environmental Management System (EMS) -

Enabled by SharePoint

Dated: August 8, 2016 RFP NO.: 30921

Philadelphia Gas Works – Request For Proposals

Environmental Management System (EMS) - Enabled by SharePoint

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Table of Contents

1 THE SOLICITATION – NOTICE TO PROPOSERS ........................................................... 4

1.1 SCHEDULE OF EVENTS ................................................................................................................... 4

1.2 PROPOSAL REQUIREMENTS ............................................................................................................ 5

2 PROJECT DEFINITION AND REQUIREMENTS ............................................................... 6

2.1 OVERVIEW ..................................................................................................................................... 6

2.2 SERVICES TO BE PROVIDED; SCOPE OF WORK ................................................................................ 6

2.3 TERM ............................................................................................................................................ 6

2.4 PROPOSAL PRICING ....................................................................................................................... 6

2.5 PROPOSER/PERSONNEL MINIMUM REQUIREMENTS ......................................................................... 7

2.6 LICENSING ..................................................................................................................................... 7

2.7 INFORMATION/PRODUCT ................................................................................................................. 8

2.8 CONFIDENTIALITY ........................................................................................................................... 8

2.9 MINORITY PARTICIPATION ............................................................................................................... 8

2.10 INSURANCE .................................................................................................................................... 9

2.11 INDEMNIFICATION ......................................................................................................................... 11

2.12 CERTIFICATE OF NON-INDEBTEDNESS ........................................................................................... 11

2.13 NON-DISCRIMINATION .................................................................................................................. 12

2.14 MACBRIDE PRINCIPLES ................................................................................................................ 12

2.15 GOVERNING LAWS ....................................................................................................................... 13

2.16 CERTAIN REQUIRED DISCLOSURES ............................................................................................... 13

3 INSTRUCTIONS TO PROPOSERS ..................................................................................14

3.1 PROPOSAL PREPARATION REQUIREMENTS .................................................................................... 14

3.2 DURATION OF PROPOSAL ............................................................................................................. 16

3.3 PROPOSER’S RESPONSIBILITY ...................................................................................................... 16

4 PROPOSER INFORMATION ............................................................................................17

4.1 PROPOSER .................................................................................................................................. 17

4.2 QUALIFICATIONS STATEMENT ....................................................................................................... 17

4.3 BUSINESS EXPERIENCE ................................................................................................................ 17

4.4 FINANCIAL INFORMATION .............................................................................................................. 20

4.5 GENERAL LITIGATION DISCLOSURE ............................................................................................... 22

4.6 BUSINESS ORGANIZATION STATEMENT ......................................................................................... 22

4.7 WARRANTIES BY PROPOSER ........................................................................................................ 26

5 PROPOSAL EVALUATION, NEGOTIATION AND CONTRACT AWARD .........................28

5.1 DISQUALIFICATION OF PROPOSERS ............................................................................................... 28

5.2 QUALIFICATION OF PROPOSERS.................................................................................................... 28

5.3 GENERAL RESERVATION OF RIGHTS ............................................................................................. 28

5.4 AWARD ........................................................................................................................................ 31



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ATTACHMENT D. REQUIRED 17-1400 DISCLOSURE ..........................................................32

ATTACHMENT I. DEMOGRAPHIC SURVEY ..........................................................................34

APPENDIX 1. SYSTEM REQUIREMENTS ..............................................................................36

GENERAL REQUIREMENTS ................................................................................................................. 36

PROGRAM AREA REQUIREMENTS ..................................................................................................... 37

APPENDIX 2. CORPORATE GOVERNANCE PLAN ...............................................................46

APPENDIX 3. PGW SHAREPOINT EMS.................................................................................94



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1 The Solicitation – Notice to Proposers

Notice is hereby given that Philadelphia Gas Works (“PGW”) will receive sealed proposals

on or before Monday, September 12, 2016, 2:30 p.m. Eastern Time, at the PGW Supply Chain Department, 800 W. Montgomery Avenue, Philadelphia, Pennsylvania 19122, for an Environmental Management System (“EMS”) enabled by Microsoft SharePoint.

This document outlines PGW’s objectives, describes the general characteristics of the services to be provided, and (without being exhaustive) outlines the principal obligations of PGW and the selected Proposer.

Questions concerning this Request for Proposals shall be directed in writing towards Erica Patterson, Director, Contracts Management and Supplier Diversity PGW Supply Chain Department, fax: 215-684-6163, e-mail: [email protected] (with a copy to [email protected]), or PGW Supply Chain Department, 800 W. Montgomery

Avenue, Philadelphia, Pennsylvania 19122. Proposers may not contact other PGW

personnel regarding this RFP.

1.1 Schedule of Events

The projected schedule of events for this Request for Proposals is as follows:

Issue Date of the RFP ................................................................ August 8, 2016 Questions and requests for clarification or information must be received, in writing, at the office of the person listed above by 12 p.m. (EST) ................................................... August 15, 2016 Mandatory Telephone Conference, 10:00 a.m. .......................... August 22, 2016 Proposal Submission Due Date Must be received, in writing, at the office of the person listed above by 2:30 p.m. (EST) ................................................ September 12, 2016 Finalist Presentations ................................................................ Week of September 19, 2016 Notification Date ......................................................................... September 26, 2016 Contract Start Date .................................................................... As soon as possible after

contract negotiation and execution

The Mandatory Telephone Conference is scheduled for 10:00 a.m. on August 22, 2016 to

answer questions and requests for clarification. Proposers should dial as follows: Dial-In:

1-888-330-1716; Access Code: 8907352. Once the submitted proposals have been reviewed, PGW may select finalist(s) for this RFP. The finalist(s) will then be required to



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present their proposals at PGW. These dates are estimates only and PGW reserves the right to alter this schedule as it deems necessary or appropriate.

These dates are estimates only and PGW reserves the right to alter this schedule as it deems necessary or appropriate.

1.2 Proposal Requirements

Proposals shall be accepted only from respondents (“Proposers”) who have:

1.2.1 Obtained from PGW a complete set of Proposal Documents and any addenda thereto issued by PGW (sometimes referred to as the “RFP”), consisting of the following five (5) sections, two (2) attachments and three (3) appendices:

Sections:

1 The Solicitation – Notice to Proposers

2 Project Definition and Requirements

3 Instructions to Proposers

4 Proposer Information

5 Proposal Evaluation, Negotiation and Contract Award

Attachments:

D Disclosure Form

I Demographic Survey

Appendices:

1 System Requirements

2 SharePoint Corporate Governance Plan

3 PGW SharePoint EMS Flowchart

1.2.2 Attended the Mandatory Telephone Conference; and

1.2.3 Submitted a proposal pursuant to the instructions in this RFP as set forth in Section 3.

In evaluating the proposals, PGW will consider the demonstrated experience and ability of the Proposer to deliver the proposed services, the scope and value of the proposed services, and the financial proposal of each Proposer as described in this RFP.

PGW hereby solicits proposals in accordance with these Proposal Documents.



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2 Project Definition and Requirements

2.1 Overview

2.1.1 Overview of PGW

PGW is a municipally-owned utility operated by the Philadelphia Facilities Management Corporation (hereafter referred to as “PFMC”). The successful Proposer will enter into a negotiated contract with PGW by PFMC. PGW provides natural gas service to approximately 502,000 active accounts within the city of Philadelphia, using 6,000 miles of gas mains and services. PGW is the only utility currently distributing natural gas within the city of Philadelphia, and its mission is to provide safe, reliable natural gas service to the citizens of Philadelphia at a reasonable cost.

2.1.2 Background Information

PGW plans to develop and deploy an Environmental Management System (“EMS”) to help PGW’s Technical Compliance department better support the management of environmental obligations and requirements across the company’s portfolio of facilities and assets. PGW is specifically interested in utilizing Microsoft’s SharePoint technology solution to enhance the current environmental business processes and capability. PGW’s current environmental information and data repository is primary embedded on the network file share. Accessing information on a timely basis to complete a work process or complete day-to-day tasks is inefficient and risks the quality of compliance deliverables. For this reason, PGW would like to centralize its information for both internal team members and certain external PGW stakeholders.

2.2 Services to be provided; Scope of Work

The requirements for the EMS are specifically detailed in Appendix 1.

2.3 Term

The contract between PGW and the successful Proposer will have an initial term of one (1) year and up to three (3) optional renewal terms of one (1) year each.

2.4 Proposal Pricing

PGW has not predetermined a pricing structure for this project and will consider all pricing proposals. Proposers are encouraged to present proposals offering PGW options including one or more of the following pricing elements:



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Firm fixed price proposal. The proposed price must include all costs to PGW for the EMS.

Time and materials pricing proposal.

Government discounts.

All cost proposals must include a schedule of payment linking payment with critical events/deliverables. Compensation to Proposer shall be dependent upon the successful completion of predetermined milestones

Proposers must Itemize and describe all hardware, software and service components required to meet the objectives.

2.5 Proposer/Personnel Minimum Requirements

Proposers must be certified Microsoft SharePoint partners having at least five (5) years’ experience providing similar service to that required pursuant to this RFP.

The selected Proposer will be required to provide personnel with demonstrated experience in providing similar services to utilities of comparable size. Personnel involved in custom development and configuration must meet the following minimum requirements:

Minimum three (3) years’ experience working on projects of comparable size and having verifiable skills in the technologies utilized in the development of the proposed system.

Minimum three (3) years’ experience performing structured requirements gathering and systems analysis utilizing workshops, JADs, use cases and other structured methods.

Minimum three (3) years’ project management experience.

Demonstrated ability to develop functional and technical system requirements documentation and business process models.

2.6 Licensing

The Proposer will be authorized to do business in the Commonwealth of Pennsylvania and comply with all pertinent state and federal requirements, codes and regulations.

If Proposer is a “business” as defined in The Philadelphia Code, Section 19-2601, Proposer must have a valid commercial activities license, issued by the City of Philadelphia’s Department of Licenses and Inspections, to do business in the City of Philadelphia, prior to entering into any contract with PGW.



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2.7 Information/Product

All reports, surveys, tables, charts, diagrams, design work, product recordings and other data (including electronic, audio and video) or documentation prepared or compiled by Proposer in connection with the performance of its obligations under the contract, shall be the sole and exclusive property of PGW. Proposer shall retain in its files, sufficiently detailed working papers relevant to its engagement with PGW. Proposer further agrees that its working papers will be held in the strictest confidence and will not be disclosed or otherwise made available to outside sources, except as required by law, without the written consent of PGW.

2.8 Confidentiality

Proposer must agree to keep confidential any and all information concerning the plans, operations or activities of PGW which may be divulged by PGW or ascertained by Proposer in the course of performing services under any contract with PGW. In the event Proposer is required to disclose confidential information pursuant to a subpoena, order of a court, or other legal process, Proposer shall, upon notice of such required disclosure and prior to disclosure, immediately notify PGW and allow PGW the opportunity to inspect the information subject to disclosure, and in the event such disclosure is objectionable under any standard or rule of the court, Proposer shall exhaust all legal means to prevent disclosure.

2.9 Minority Participation

PGW has established an anti-discrimination policy relating to the participation of Minority, Women, and Disabled businesses and persons (collectively, “DBEs”) in contracts. The purpose of PGW’s DBE policy is to provide equal opportunity for all businesses and persons and to assure that PGW funds are not used, directly or indirectly, to promote, reinforce or perpetuate discriminatory practices. Proposers must complete Attachment I (Demographic Survey), attached hereto and submit same with their proposals.

For this project, PGW has not established a goal for participation of DBEs. Each proposer must exercise its Best and Good Faith Efforts to include DBEs in its proposal. “Best and Good Faith Efforts” are those efforts, the scope, intensity and appropriateness of which are designed and performed to achieve meaningful participation of DBEs in the work described in this proposal. Proposer’s desire to self-perform all of the work does not excuse proposer from its exercise of Best and Good Faith Efforts. In furtherance of such purpose, each Proposer may employ some or all of the following methods:

Contact DBEs that reasonably could be expected to submit a quote and are available in the OEO Directory of Certified Firms before the proposal date and notify them of the nature and scope of the work to be performed.

Break down or combine elements of work into economically feasible units to facilitate DBE participation.



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Work with trade, community, or other organizations that provide assistance in recruitment of DBEs.

2.10 Insurance

Proposer shall procure and maintain, at its sole cost and expense, insurance with companies carrying an A. M. Best’s rating of not less than A- and acceptable to PGW, with coverage limits of not less than stipulated below.

Philadelphia Gas Works, Philadelphia Facilities Management Corporation and the City of Philadelphia and their respective officers, employees, directors, boards, commissions and agents, shall be included as Additional Insureds on the General Liability, Automobile Liability and Excess/Umbrella Liability Insurance policies. An endorsement is required stating that Proposer’s policies affording Additional Insured status will be primary to any other coverage available to PGW, PFMC, and the City of Philadelphia and their respective officers, employees, directors, boards, commissions and agents and any insurance maintained by PGW will be excess and non-contributory. No act or omission of PGW, PFMC, and/or the City of Philadelphia and their respective officers, employees, directors, boards, commissions and agents shall invalidate the coverage.

WORKERS' COMPENSATION AND EMPLOYERS' LIABILITY. Workers' Compensation Insurance, as required by statute. Employers' Liability coverage is to be carried with minimum limits of $500,000 each accident/$500,000 disease-policy limit/$500,000 disease-each employee.

GENERAL LIABILITY INSURANCE. Commercial General Liability is required with limits of not less than $1,000,000 for Bodily Injury and Property Damage Each Occurrence; $2,000,000 General Aggregate; $1,000,000 Products/Completed Operations Aggregate and $1,000,000 Personal/Advertising Injury. The policy shall also cover liability arising from liability assumed under an insured contract (including the tort liability of another assumed in a business contract), and Personal Injury (including, but not limited to, coverage for defamation, malicious prosecution and slander). Products/Completed Operations must be included. ISO Contractual Liability Limitation Endorsement #CG21391093 shall not apply to this Agreement. Such policy must contain a "Severability of Interests" clause. This insurance shall be excess over any other insurance, whether primary, excess, contingent or on any other basis that is available to the Proposer or its subcontractor covering liability for damages because of Bodily Injury or Property Damage for which the Proposer has been included as an Additional Insured. Philadelphia Gas Works, Philadelphia Facilities Management Corporation and the City of Philadelphia and their respective officers, employees, directors, boards, commissions and agents shall be included as Additional Insureds. A copy of the actual Additional Insured Endorsement is required.

AUTOMOBILE LIABILITY INSURANCE. Business Automobile Liability covering all owned, non-owned and hired autos is required with limits of not less than $1,000,000 Combined Single Limit for Bodily Injury and Property Damage. Such



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policy must contain a "Severability of Interests" clause. Philadelphia Gas Works, Philadelphia Facilities Management Corporation and the City of Philadelphia and their respective officers, employees, directors, boards, commissions and agents shall be shall be included as Additional Insureds. A copy of the actual Additional Insured Endorsement is required.

EXCESS/UMBRELLA LIABILITY INSURANCE. Proposer shall provide evidence of Excess/Umbrella Liability Insurance with limits of not less than $2,000,000 in any one claim or occurrence. The Excess/Umbrella policy shall follow form and be excess of all underlying insurance required by this contract except Professional Liability/Errors & Omissions coverage as outlined below. Philadelphia Gas Works, Philadelphia Facilities Management Corporation and the City of Philadelphia and their respective officers, employees, directors, boards, commissions, and agents shall be included as Additional Insureds. A copy of the actual Additional Insured Endorsement or policy wording is required.

PROFESSIONAL LIABILITY/ERRORS & OMISSIONS COVERAGE. Evidence of Professional Liability/Errors & Omissions coverage (including Media and Cyber Liability) Insurance must also be provided with limits of not less than $2,000,000 Per Occurrence/Aggregate or Per Claim or Loss/Aggregate with a deductible not to exceed $100,000. Errors & Omissions Insurance shall be applicable to any occurrence arising out of the performance of services pursuant to any statement of work between the parties and shall cover liability arising from information technology services, including but not limited to, intellectual property infringement, privacy infringement, software development services and computer or electronic information technology services. Under an occurrence form, coverage required shall be maintained in full force and effect under the policy during the contract period. Under a claims made form, continuous coverage is required. Should an Extended Discovery Period or "tail" coverage be required in the event coverage is terminated, such coverage must be maintained for a period of not less than three (3) years. This insurance shall be primary with respect to any other insurance or self-insurance programs afforded the Proposer.

FIDELITY/BLANKET CRIME INSURANCE. Evidence of Fidelity/Blanket Crime Insurance with an Employee Dishonesty limit of not less than $1,000,000 shall be submitted to PGW prior to the commencement of services. Vendor/Contractor must maintain third party property (includes money, securities and other properties) coverage under Crime policy.

ADDITIONAL PROVISIONS

Certificates of Insurance evidencing all required coverage shall be filed with PGW prior to the commencement of work. All certificates and policies shall contain a provision that coverage afforded will not be canceled or materially altered until at least thirty (30) days after prior written notice has been given to PGW.

It shall be the responsibility of Proposer to ensure that all subcontractors carry insurance of not less than coverage and limits specified herein, except to the extent that PGW’s Director



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of Risk Management may agree to lower limits on a case by case basis depending on the nature of the subcontractor's work. Subcontractor must forward proper evidence of this compliance to Philadelphia Gas Works prior to the inception of any work.

Renewal certificates and policies, as required, shall be forwarded to Philadelphia Gas Works for as long as Proposer performs the work as specified in this contract.

2.11 Indemnification

The Proposer will be required in the contract to indemnify, defend and hold harmless PGW, PFMC, the City of Philadelphia, and each of their respective officers, employees, directors, boards, commissions, and agents, from and against any and all losses, costs (including, but not limited to, litigation and settlement costs and counsel fees), claims, suits, actions, damages, liability and expenses, occasioned wholly or in part by Proposer’s act or omission or negligence or fault or the act or omission or negligence or fault of Proposer’s agents, subcontractors, suppliers, employees or servants in connection with this Agreement, including, but not limited to, those in connection with loss of life, bodily injury, personal injury, damage to property, contamination or adverse effects on the environment, intentional acts, failure to pay such subcontractors and suppliers, any breach of this Agreement, and any infringement or violation of any proprietary right (including, but not limited to, patent, copyright, trademark, service mark and trade secret), regardless of the negligence of PGW, PFMC, and/or the City of Philadelphia. In any and all claims, suits and actions against PGW, PFMC and the City of Philadelphia, and their respective officers, employees, directors, boards, commissions and agents, by any employee of Proposer, any subcontractor, or anyone for whose acts Proposer and its subcontractor is liable, the indemnification obligation set forth in this section shall not be limited in any way by any limitation on the amount or type of third party damages, compensation or benefits payable by or for Proposer or any subcontractor under workers’ compensation acts, disability acts, or other employees’ benefit acts.

PGW does not indemnify.

2.12 Certificate of Non-Indebtedness

The Proposer will be required to certify and represent that Proposer and Proposer’s parent company(ies) and subsidiary(ies) are not indebted (at the time of signing of the contract) to the City of Philadelphia, PGW or PFMC (collectively the “City”), and will not at any time during the term of the contract (including any extensions or renewals thereof) be indebted to the City, for or on account of any delinquent taxes (including, but not limited to, taxes collected by the City on behalf of the School District of Philadelphia), liens, judgments, fees or other debts for which no written agreement or payment plan satisfactory to the City has been established. In addition to any other rights or remedies available to PGW at law or in equity, Proposer acknowledges that upon any breach or failure to conform to such certification PGW shall have the right to, and may, at the option of PGW, withhold payments otherwise due to Proposer, and, if such breach or failure is not resolved to PGW ’s satisfaction within a reasonable time frame as specified by PGW in writing, this will offset



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any such indebtedness against said payments and/or terminate this Agreement for default (in which case Proposer shall be liable for all excess costs and other damages including reasonable attorney’s fees resulting from the termination).

2.13 Non-Discrimination

Proposer shall not discriminate or permit discrimination against any person because of race, color, religion, national origin, sex or sexual orientation. In the event of such discrimination, PGW may, in addition to any other rights or remedies available under the contract, at law or in equity, terminate any contract with Proposer forthwith.

Proposer shall comply with the provisions of Title VII of the Civil Rights Act of 1964 (42 U.S.C. §200d et seq.), §504 of the Federal Rehabilitation Act of 1973 (29 U.S.C. §794), The Age Discrimination Act of 1975, (42 U.S.C. §6101 et seq.), Title IX of the Education Amendments of 1972, (20 U.S.C. §1681), and 45 C.F.R. Part 92, as they may be amended from time to time, which together prohibit discrimination on the basis of race, color, national origin, sex, handicap, age and religion.

Proposer understands and agrees that no individual with a disability shall, on the basis of the disability, be excluded from participation in any contract of Proposer with PGW or from activities or services provided under such contract. As a condition of accepting and executing such contract, Proposer shall comply with all provisions of the Americans with Disabilities Act, 42 U.S.C. §12101 et seq., and all regulations promulgated thereunder, as the Act and regulations may be amended from time to time, which are applicable (a) to Proposer, (b) to the benefits, services, activities, facilities and programs provided in connection with this Agreement, (c) to PGW, or the Commonwealth of Pennsylvania, and (d) to the benefits, services, activities, facilities and programs of PGW or of the Commonwealth.

Without limiting the generality of the preceding sentence, Proposer shall comply with the “General Prohibitions Against Discrimination,” 28 C.F.R. §35.130, and all other regulations promulgated under Title II of “The Americans with Disabilities Act,” as they may be amended from time to time, which are applicable to the benefits, services, programs and activities provided by PGW through contracts with outsider contractors.

2.14 MacBride Principles

Proposer certifies and represents that, to the best of its knowledge, (i) Proposer (including any affiliates under its direct control) does not have, and will not have at anytime during the term of any contract with PGW (including any extension or renewal thereof), any investments, licenses, franchises, management agreements or operations in Northern Ireland and (ii) no product to be provided under any contract with PGW will originate in Northern Ireland, unless Proposer has implemented the fair employment principles embodied in the MacBride Principles.



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In the performance of any contract with PGW, Proposer covenants that it will not utilize any suppliers, subcontractors at any tier (i) who have (or whose parent, subsidiary, exclusive distributor or affiliates have) any investments, licenses, franchises, management agreements or operations in Northern Ireland or (ii) who will provide products originating in Northern Ireland unless said supplier or subcontractor has implemented the fair employment principles embodied in the MacBride Principles. Proposer further covenants to include the provisions of this paragraph, with appropriate adjustments for the identity of the parties, in all subcontracts and supply agreements which are entered into in connection with the performance of any contract with PGW. Proposer covenants that it will cooperate with PGW and City’s Director of Finance in any manner which PGW and the said Director deem reasonable and necessary to carry out PGW’s and the Director’s responsibilities under Section 17-104 of the Philadelphia Code which embodies the requirements set forth in this section. Proposer understands and agrees that any false certification or representation in connection with this section and any failure to comply with the provisions of this section shall constitute a material breach of any contract with PGW entitling PGW to all rights and remedies provided therein or otherwise available in law (including, but not limited to, Section 17-104 of the Philadelphia Code) or equity. In addition, Proposer understands that false certification or representation in connection with this section is subject to prosecution under Title 18 Pa.C.S.A. Section 4904.

2.15 Governing Laws

Any contract entered into by PGW will be executed in and shall be governed by the laws of the Commonwealth of Pennsylvania.

2.16 Certain Required Disclosures

In accordance with The Philadelphia Code Title 17 Chapter 17-400, persons and entities who wish to provide goods and services to PGW must provide certain information about contributions they have made to elected City officials or candidates for City offices. All Proposers must therefore complete Attachment D and include such completed Attachment with their proposal. Please note that the selected Proposer will be required to update such disclosure during the term of its agreement with PGW and for one year thereafter.



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3 Instructions to Proposers

3.1 Proposal Preparation Requirements

3.1.1 Proposals must be prepared in English on 8 ½ x 11 inch paper with tabbed indexes separating the following seven (7) completed sections in the following order:

3.1.1.1 Tab 1: Transmittal letter.

3.1.1.2 Tab 2: Scope of Work. Proposed scope of work, work plan, procedure and timeline to provide the scope of work described in Section 2 of this RFP.

3.1.1.3 Tab 3: Proposal Pricing.

3.1.1.4 Tab 4: Completed Section 4 (Proposer Information) of this RFP. All Proposals must include the following information and be signed (at the end of Section 4) as follows:

3.1.1.4.1 If the Proposal is made by an individual, the Proposal must be signed by the individual, the individual’s full name must be typed or printed under the signature line and the Proposal must include the individual’s mailing address.

3.1.1.4.2 If the Proposal is made by a partnership, the Proposal must:

a) be signed by at least one of the general partners with authority to

bind the partnership and the name of the general partner must be

typed or printed under the signature line;

b) include the name and mailing address of the partnership; and

c) attach a copy of the partnership agreement, or other document

authorizing the general partner to sign the Proposal to bind the

partnership;

3.1.1.4.3 If a corporation makes the Proposal, the Proposal must:

a) be signed by the president or vice president of the corporation,

and the secretary or treasurer must attest the signature and the

names of the corporate officers must be typed or printed under

the signature lines;

b) include the name and mailing address of the corporation; and



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c) attach a copy of the corporation’s by-laws or a corporate

resolution authorizing the corporate officer signing the Proposal to

bind the corporation.

3.1.1.4.4 If the Proposal is made by a joint venture, the Proposal must:

a) be signed by all joint venture partners and the names of the joint

venture partners must be typed or printed under the signature lines;

b) include the name and mailing address of the joint venture; and c) attach a copy of the joint venture agreement or other

documentation signed by each member of the Joint Venture and, if applicable, any documentation necessary to show that the individuals signing on behalf of each joint venture partner are authorized to bind the joint venture.

3.1.1.5 Tab 5: Qualification and Experience of Proposer. Proposers are strongly encouraged to list experience providing similar services.

3.1.1.5.1 Provide the names and resumes of each person who would be participating in this project;

3.1.1.5.2 Indicate whether the individual is a full time employee of Proposer’s organization (and if so for how long) or a subcontractor. If the individual is a subcontractor, list the engagements (and the particular responsibilities on each engagements) that the subcontractor has previously worked for Proposer;

3.1.1.5.3 Indicate the areas of the project that each individual will be involved with or have responsibility for;

3.1.1.5.4 For each such individual, provide a reference list with phone numbers.

3.1.1.6 Tab 6: Prior Work Examples. Provide examples of the following documentation:

Project Status Reports

Change Request Forms

Test Scripts

Test Plans

Test Results documentation forms

Data Conversion plans System Architecture Diagrams (data models, Erwin diagrams, data

dictionary documentation) System Training Plan

Manuals



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Issue Management mechanism (e.g., approach to reporting, tracking, resolving and document solutions)

Change management methodology

3.1.1.7 Tab 7: Completed Attachments D and I, and any other attachments required to be completed under the RFP.

3.1.2 One (1) original Proposal, one (1) copy and one (1) CD containing a searchable PDF readable by Adobe Reader 7.0 or higher of the proposal, must be submitted in a sealed envelope or envelopes addressed to PGW Supply Chain Department, Philadelphia Gas Works, 800 W. Montgomery Avenue, Philadelphia, Pennsylvania 19122. The name and address of the Proposer must also appear on the face of the envelope. The PDF file name should be as follows: PROPOSER_RFP_######.PDF where Proposer is your company name and ###### is the PGW RFP id number.

3.1.3 Failure to answer all questions completely and furnish all information required in these Proposal Documents may result in disqualification of the Proposer. PGW reserves the right to thoroughly investigate the financial status and experience of the Proposer.

3.1.4 It shall be the responsibility of the Proposer to deliver the Proposal and all other required items to the location specified in Section 1 of these Proposal Documents on or before the due date and time set forth in Section 1.1.

3.1.5 Oral communications from PGW personnel or other persons shall not be binding on PGW and shall in no way modify the provisions of the Proposal Documents. Official responses of PGW to inquiries regarding these Proposal Documents shall be issued by PGW in writing as addenda, and only such written responses shall be binding on PGW as modifications to these Proposal Documents.

3.2 Duration of Proposal

In consideration of PGW’s evaluation of the submitted Proposals, each Proposer agrees that its Proposal shall be a firm offer to PGW, and shall remain open for acceptance by PGW for a period of at least one hundred and fifty (150) days beginning with the submission due date set forth in Section 1 of these Proposal Documents, as may be revised by addenda.

3.3 Proposer’s Responsibility

The Proposer shall carefully examine the terms of the Proposal Documents and shall judge for itself all of the circumstances and conditions affecting its Proposal. PGW will endeavor to present accurate information, but Proposers are advised to independently verify the accuracy of any information received.



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4 Proposer Information

4.1 Proposer

Submitted by:

[Please type or print]

Name:

Address:

Telephone:

Facsimile:

The undersigned Proposer hereby submits to PGW this Proposal as described herein and in the attached documents.

4.2 Qualifications Statement

The Proposer represents and covenants that the Proposer is fully qualified to provide the requested services to PGW. The undersigned further swears and affirms that the information contained in this response is true, accurate and complete.

4.3 Business Experience

4.3.1 The following describes other points of service by Proposer and the companies for whom the services were provided. Proposer should include a reference contact at the described companies, and this contact should have direct, specific responsibility for the



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oversight of the program. In particular, the Proposer should describe all experience with projects similar to this project.

4.3.2 The Proposer has operated under its current name since ____, a period of ___________ years, and the Proposer (if such be the case) formerly operated under the following name:

_________________________________________________________.



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4.3.3 Proposer must attach the resume of the manager which it anticipates will be the contact for the services required by this RFP.

4.3.4 The Proposer submits herewith the following list of three (3) persons or businesses, which have knowledge of the Proposer’s ability to successfully perform the services for which this Proposal is submitted.

REFERENCE NO. 1

Name:

Firm:

Title:

Address:

Telephone:

Facsimile:

Nature of Association:

REFERENCE NO. 2

Name:

Firm:

Title:

Address:

Telephone:

Facsimile:




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REFERENCE NO. 3

Name:

Firm:

Title:

Address:

Telephone:

Facsimile:


4.3.5 The Proposer has not had an agreement canceled or terminated due, in whole or in part, to the fault of Proposer, or a default or breach of contract on the part of the Proposer. (If a contract or agreement has been canceled, please explain.)

4.4 Financial Information

4.4.1 The Proposer acknowledges and agrees that any financial information disclosed to PGW will be subject to disclosure under the Philadelphia Home Rule Charter and/or the Commonwealth Right to Know Act. The Proposer expressly waives any right to claim that any financial information provided is exempt from disclosure. The Proposer agrees that PGW may make such disclosure or reproduce such financial information as is deemed necessary or convenient by PGW, its officers, agents, or employees, for PGW’s use in Proposal evaluation and comparison; provided, however, that if any person makes a request as contemplated by the Philadelphia Home Rule Charter and/or Commonwealth Right to Know Act to review or be provided with copies of such financial information or any part thereof, and PGW denies such requests, immediately upon notification thereof, the Proposer shall, at its sole cost and expense, defend PGW and its officers, agents, and employees against any action resulting from denial of such request. If the Proposer fails to promptly provide such defense, PGW, its officers, agents, and employees shall be free to grant such requests, and the Proposer shall be deemed to have waived any cause of action, whether in law or in equity, that it may have against PGW respecting such disclosure. The Proposer agrees to indemnify and hold harmless PGW, its officers, agents, and employees from any and all claims, costs, liabilities or damages, including attorney’s fees and court costs resulting from PGW’s or Proposer’s acts or omissions pursuant to this Paragraph.



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4.4.2 The Proposer has ( ) has never ( ) [check one] had a bond or surety canceled or forfeited. (If the Proposer has had a bond or surety canceled, state the name of the bonding company, date, amount of bond and reason for such cancellation or forfeiture.)

4.4.3 The Proposer has ( ) has never ( ) [check one] been adjudged bankrupt (Chapter 7), or petitioned the court for relief under the Bankruptcy Code or Act for either business reorganization (Chapter 11) or the Wage Earner’s Plan (Chapter 13). If the response is in the affirmative, provide the following information:

4.4.3.1 Date petition filed

4.4.3.2 Case No. and jurisdiction

4.4.3.3 Amount of liabilities and debts

4.4.3.4 Date of discharge or successful completion of reorganization or wage earner’s plan

4.4.4 The Proposer’s bank references are:

Name Address

4.4.4.1.

4.4.4.2.

4.4.4.3.

The undersigned herewith submits a letter from

indicating that the Proposer has an

(name of financial institution)

available working line of credit of no less than ________________Dollars

($___________), or other evidence of Proposer’s capital sufficient to permit it to meet

the obligations contemplated by its Proposal.

4.4.5 The undersigned hereby affirms that the Proposer is authorized to conduct business in the Commonwealth of Pennsylvania, and City of Philadelphia, or will obtain proper authorization to do so before executing an agreement and furnishing the required bond or letter of credit, if any.



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4.5 General Litigation Disclosure

Proposer must describe any pending, contemplated or ongoing administrative or judicial proceedings material to Proposer’s business, finances or products including, but not limited to, any litigation, consent orders, debarment or contracts with any local, state or federal regulatory agency issued to Proposer or to any parent or subsidiary of Proposer:____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________.

4.6 Business Organization Statement

4.6.1 General Information

Name of Firm [Exactly as it would appear on an agreement; if operating under a fictitious name, so indicate.]

Principal Office Address:

Telephone Number:

Form of Business Entity [check one]

( ) Corporation

( ) Partnership

( ) Individual

( ) Joint Venture



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4.6.2 Corporation Statement

If a corporation, answer the following:

Date of incorporation:

Location of incorporation:

Is the corporation authorized to do business in Pennsylvania? Yes ( ) No ( )

If so, as of what date?

The corporation is held: Publicly ( ) Privately ( )

Furnish the name, title, and address of each director and officer of the corporation.

DIRECTORS

Name

Address

Principal Business

Affiliation Other than

Proposer’s Directorship

1.

2.

3.

4.

5.

6.

7.

8.



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SHAREHOLDERS

Name Address Number of Shares Owned

1.

2.

3.

4.

5.

6.

7.

8.

OFFICERS

Name Position

1.

2.

3.

4.



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4.6.3 Partnership Statement

If a partnership, answer the following:

Date of organization:

General Partnership ( ) Limited Partnership ( )

Partnership Agreement recorded? Yes ( ) No ( )

Date Book Page County State

Has the partnership done business in Pennsylvania? Yes ( ) No ( )

When?

Name, address, and ownership share of each general partner owning more than five percent (5%) of the partnership:

Name

Address

% of

Ownership

1. %

2. %

3. %

4. %

5. %

6. %



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4.6.4 Joint Venture Statement

If a Joint Venture, answer the following:

Date of organization:

Joint Venture Agreement recorded? Yes ( ) No ( )

Date Book Page County State

Has the Joint Venture done business in Pennsylvania? Yes ( ) No ( )

When?

Name, address of each Joint Venturer and percent of ownership of each:

Name

Address

% of

Ownership

1. %

2. %

3. %

4. %

5. %

4.7 Warranties by Proposer

4.7.1 The Proposer’s Proposal has been completed to the best of the Proposer’s ability, and the Proposer swears that all information contained herein is true, correct and complete to the best of the Proposer’s knowledge, information and belief.



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4.7.2 By submission of this Proposal, the Proposer acknowledges that PGW has the right to make any inquiry or investigation it deems appropriate to substantiate or supplement information contained in the Proposal, and Proposer authorizes the release to PGW of any and all information sought in such inquiry or investigation.

4.7.3 The Proposer declares by the submission of this Proposal that the Proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the Proposal is genuine and not collusive or sham; that the Proposer has not directly or indirectly induced or solicited any other Proposer to put in a false or sham Proposal, and has not directly or indirectly colluded or agreed with any Proposer or anyone else to put in a sham Proposal or to refrain from proposing; that the Proposer has not directly or indirectly sought by agreement or communication to secure any advantage against PGW; anyone interested in the Proposal as principal are named within the Proposal; that all statements contained in the Proposal are true; that the Proposer has not directly or indirectly divulged information or data relative to the Proposer’s Proposal to any other person, partnership, corporation, or association, except to such person or persons as have a direct financial interest in the Proposer’s general business.

The foregoing Proposal is hereby submitted by the entity signing below in accordance with all terms and conditions as set forth in the Request for Proposals issued by PGW.

PROPOSER:

DATE: ______________________ _________________________

(Corporate Seal if Applicable) Name of Proposer

By: _________________________

(signature)

Name:

Title:

Attest: _________________________

(signature)

Name:

Title:

[Add signature lines as necessary below.]



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5 Proposal Evaluation, Negotiation and Contract Award

5.1 Disqualification of Proposers

5.1.1 If more than one Proposal is received from any individual, firm, partnership, corporation, or association, under the same or different names, said Proposals will not be considered. Reasonable grounds for believing that any Proposer has an interest in more than one Proposal will cause the rejection of all Proposals in which such Proposer is interested. If there is reason to believe that collusion exists among Proposers, none of the participants in such collusion will be considered. Similarly, unsolicited proposals may not be considered.

5.1.2 No Proposal shall be received from, or contract awarded to, any PGW or City employee or official who may have any direct or indirect interest in such submitted Proposal or contract.

5.2 Qualification of Proposers

5.2.1 PGW will carefully consider the Proposer’s qualifications, proposed financial consideration, experience, financial responsibility proposed scope of services, and timeline in evaluating each Proposal. In PGW’s evaluation, the Proposal as a whole may bear more weight than the individual parts of the Proposal.

5.2.2 Following PGW’s review of the submitted proposals, PGW may select one or more Proposers with which to negotiate. PGW shall notify Proposer(s) of selection for negotiations. The date that the Proposer’s receipt of the notification is confirmed by PGW, is referred to herein as the “Notification Date.”

5.2.3 Respondents to this RFP are subject to Philadelphia Code (Chapter 20-600) and the Pennsylvania Ethics Act (65 P.S. Section 401 et.seq.) All respondents are required to disclose any potential conflict caused by PGW or City employees having a financial interest in the entity entering into a contract or agreement with PGW.

5.3 General Reservation of Rights

5.3.1 This RFP and the process it describes are proprietary to PGW and are for the sole and exclusive benefit of PGW. No other party, including any respondent to this RFP or future Proposer to any RFP which may be issued by PGW, is intended to be granted any rights hereunder. The Proposer acknowledges and agrees that any materials submitted in response to this RFP will be subject to disclosure under the Philadelphia Home Rule Charter and/or the Commonwealth Right to Know Act. The Proposer expressly waives any right to claim that any materials provided are exempt from disclosure. The Proposer agrees that PGW may make such disclosure or reproduce such materials as is deemed necessary or convenient by PGW, its officers, agents, or



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employees, for PGW’s use in Proposal evaluation and comparison; provided, however, that if any person makes a request as contemplated by the Philadelphia Home Rule Charter and/or Commonwealth Right to Know Act to review or be provided with copies of such materials or any part thereof, and PGW denies such requests, immediately upon notification thereof, the Proposer shall, at its sole cost and expense, defend PGW and its officers, agents, and employees against any action resulting from denial of such request. Any materials submitted or ideas elicited in response to this RFP shall be the sole and absolute property of PGW with PGW having title thereto and unrestricted use thereof.

5.3.2 PGW reserves the right to reject as informal or non-responsive any Proposal that, in PGW’s sole judgment, is incomplete, is not in conformity with applicable law, is not responsive to this RFP, or contains ambiguities or services not called for by this RFP.

5.3.3 Without limiting the generality of any other provision of this RFP, PGW reserves the right, at any time prior to execution of an agreement with the successful Proposer, to exercise all or any of the following rights and options, which rights and options PGW may exercise to the extent that PGW, in its sole discretion, deems to be in its best interests:

5.3.3.1 To request additional or supplemental information (including but not limited to information inadvertently omitted by any Proposer in response to this RFP) from any or all Proposers;

5.3.3.2 To accept or reject, at any time prior to its execution of an agreement, any or all Proposals or any part thereof submitted in connection with this RFP;

5.3.3.3 To accept or reject any or all of the items in any Proposal and award the contract in whole or in part if it is deemed in PGW’s best interest to do so;

5.3.3.4 To waive any informality, defect, non-responsiveness, or derivation from this RFP that is not, in PGW’s sole judgment, material to the Proposal;

5.3.3.5 To negotiate unacceptable provisions incorporated within an otherwise acceptable Proposal submitted in response to this RFP;

5.3.3.6 To reject without evaluation any Proposal that is incomplete, unclear, conditional, or which contains irregularities of any kind;

5.3.3.7 To reject any Proposal that in the sole discretion of PGW is not in the best interest of PGW;

5.3.3.8 To re-issue this RFP without change or modification;



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5.3.3.9 To issue a subsequent RFP for this project with terms and conditions that are substantially different from the terms and conditions set forth in this RFP;

5.3.3.10 To cancel this RFP with or without issuing another RFP;

5.3.3.11 To supplement, amend, substitute, or otherwise modify this RFP at any time prior to execution of a final agreement with a Proposer;

5.3.3.12 To reject the Proposal of a Proposer that, in PGW ’s sole judgment, has been delinquent or unfaithful in the performance of any contract with PGW, or is financially or technically incapable of performing the services required in this RFP, or is otherwise not a responsible Proposer;

5.3.3.13 To permit or reject, at PGW’s sole discretion, amendments (including information inadvertently omitted), modifications, alterations and/or corrections of Proposals by some or all of the Proposers following Proposal submission;

5.3.3.14 To request that some or all of the Proposers modify Proposals or provide additional information following evaluation by PGW;

5.3.3.15 To conduct such investigations as PGW considers appropriate with respect to the qualifications of any Proposer and/or any information contained in any Proposal;

5.3.3.16 To request clarifications of any unclear Proposal;

5.3.3.17 To negotiate simultaneously, or otherwise, with one or more Proposers;

5.3.3.18 To discontinue and resume negotiations with one or more Proposers;

5.3.3.19 To rescind its rejection of any Proposal(s) and negotiate (or resume negotiations) with a previously rejected Proposer;

5.3.3.20 To not proceed with the process described in this RFP, or to change any time schedules set forth herein;

5.3.3.21 To not enter into an agreement pursuant to this RFP.

5.3.4 PGW intends to enter into contract negotiations with the selected Proposer. However, PGW reserves the right to terminate any negotiations at any time or conduct simultaneous, competitive negotiations with multiple Proposers. PGW reserves the right to negotiate acceptable terms in an otherwise unacceptable Proposal. Such negotiations may result in changes to material terms of this RFP; in such event, PGW



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shall not be obligated to inform other Proposers of the changes, or permit them to revise their Proposals accordingly, unless PGW, in its sole discretion, determines that doing so and permitting such is in PGW’s best interest. Should negotiations not prove satisfactory with the recommended Proposer(s), PGW reserves the right to discontinue negotiations with the recommended Proposer(s) and additional firms may be asked to enter into negotiations or PGW may solicit new Proposals or issue a new Request for Proposals.

5.4 Award

5.4.1 PGW intends to award the agreement to the Proposer whose Proposal best satisfies the scope of services described in Section 2 and is otherwise in the best interest of PGW. The determination of award shall be made by PGW, in its sole discretion, which decision shall be final. PGW may employ such analysis techniques and professional consultants for Proposal evaluation as it deems necessary. PGW may request submission of additional information to assist it in evaluating a Proposal, and the Proposer shall cooperate fully with such request. The contract resulting from this RFP will be awarded to the qualified Proposer whose Proposal PGW believes will be the most advantageous to PGW. PGW may condition an award on the successful Proposer’s agreement to such terms and conditions as required by PGW including, but not limited to, PGW’s indemnification.



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ATTACHMENT D. REQUIRED 17-1400 DISCLOSURE In accordance with the City of Philadelphia’s contract reform legislation, codified as The Philadelphia Code Title 17 Chapter 17-1400, persons and entities who wish to provide goods and services to PGW must provide certain information about contributions they have made to elected City officials or candidates for City offices. Please note that, if selected, you will be required to update such disclosure during the term of your agreement with PGW and for one year thereafter. Therefore, the following information must be provided to PGW: 1. Did you use any consultant with respect to this RFP or the

contract at issue within the prior one year period? If so, you are required to list (in an attachment hereto) the following information for each such consultant: (i) name, (ii) business address, (iii) business phone number and (iv) amount paid or to be paid. As used herein, the term “consultant” means any person or entity used to assist you in obtaining a contract through direct or indirect communication with the City, PGW, any City Agency or any officer or employee of any of them, if such communication is undertaken by the person or entity for payment.

YES

NO

2. Have you or any consultant disclosed above made any

contributions of money or in-kind assistance within the prior two year period to (i) any candidate for nomination or election to any public office in Pennsylvania, (ii) any individual who holds any such office, (iii) any political committee or state party in Pennsylvania or (iv) any group, committee or association organized in support of any such candidate, office holder, political committee or state party in Pennsylvania? If so, you are required to list (in an attachment hereto) the date, amount and recipient of each such contribution. For purposes hereof, (i) contributions made by a person’s immediate family shall be deemed contributions made by that person and (ii) contributions made by an entity’s affiliate or an officer, director, controlling shareholder or partner of an entity’s or such entity’s affiliate shall be deemed contributions made by that entity.

YES

NO



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3. Do you intend to use any subcontractors on this contract? If

so, you are required to list (in an attachment hereto) the following information for each such subcontractor: (i) name, (ii) business address, (iii) business phone number and (iv) amount or percentage to be paid.

YES

NO

4. Within the prior two year period, has any City or PGW officer

or employee asked (i) you, (ii) any of your officers, directors or management employees or (iii) any person or entity representing you, to give money, services, or any other thing of value to any person or entity? If so, you are required to list (in an attachment hereto) the following information for each such officer or employee: (i) name, (ii) title, (iii) date of request, (iv) amount requested and (iv) amount of any payment made in response to request (other than contributions listed under (2) above).

YES

NO

5. Within the prior two year period, has any City or PGW officer

or employee directly or indirectly advised (i) you, (ii) any of your officers, directors or management employees or (iii) any person or entity representing you, that a particular person or entity could be used by you to satisfy any goals in this RFP or contract for the participation of minority, women, disabled or disadvantaged business enterprises? If so, you are required to list (in an attachment hereto) the following information for each such officer or employee: (i) name, (ii) title, (iii) date of advice and (iv) name of person or entity they advised could be used to satisfy such goals.

YES

NO

The undersigned hereby certifies that the information provided herein is true and correct as of the date set forth below. Signature: ________________________________ Title: ____________________________________ Name of Entity: ___________________________ Date: ____________________________________

(Please Print)



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ATTACHMENT I. DEMOGRAPHIC SURVEY A key tenet of PGW’s practice of good corporate citizenship is its commitment to the use, non-discrimination against and development of qualified minority, disabled and women vendors and to non-discrimination in employment. In an effort to insure the full inclusion of all segments of the American population, PGW is requesting that the following information be returned with your proposal: A. Does your organization have a written program which

addresses the utilization of minority business enterprises (MBE), disabled business enterprises (DBE) and women enterprises (WBE) in the manufacturing, distribution of servicing of your product(s)? If so, please furnish a copy of your program. Please provide statistics of MBE, DBE and WBE in (1) manufacturing, (2) distribution, and (3) service for the past two years.

YES

NO

COMMENTS: ___________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ B. Does your organization foster economic growth and

development by providing procurement opportunities to MBE/DBE/WBE firms as material suppliers, contractors, sub-contractors, etc? If so, please furnish a copy of your company policy or directive.

YES

NO

COMMENTS: ___________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ C. Does your organization have an Affirmative Action Equal

Employment Opportunity Policy? If so, please furnish a copy of this policy.

YES

NO

COMMENTS: ___________________________________________________________ ________________________________________________________________________ ________________________________________________________________________



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D. Please furnish data depicting the composition of your work force by ethnic group gender and their appropriate titles/job classifications.

# OF EMPLOYEES

TITLE CLASS ETHNIC GROUP

GENDER

As a socially responsible entity, PGW seeks to insure that its business partners are committed and dedicated to the practice of including all segments of the American population in their business practices. Accordingly, the information requested above must be provided or your proposal may be rejected as non-responsive.

If the information was provided to PGW within the past twelve months, please check here: Signature:__________________________ Title:______________________________ Name of Firm:_______________________ (Please Print)



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APPENDIX 1. SYSTEM REQUIREMENTS

This section provides an analysis of the specific business requirements for the SharePoint-

enabled EMS. The requirements have been organized into program areas that were defined by

PGW. The specific program areas referenced are depicted in the flowchart attached as Appendix

3. As the design and development evolves, these program areas may be consolidated or

expanded.

GENERAL REQUIREMENTS

Intranet Portal

PGW wishes to develop a SharePoint-based intranet platform that

can be both internally and externally facing. The internal-facing portal will be used to serve the

environmental staff to manage the environmental programs on a day-to-day basis. The external-

facing portal will be used for PGW stakeholders to access important information. In addition to

the primary intranet landing sites, each program presented here would also have an internal and

externally facing landing site. The portal will serve as the primary conduit into the PGW EMS

for all employees. No customer or public access will be required.

Key Requirements Ability to provide an externally facing portal that provides non-environmental PGW

stakeholders with key information, links to program areas, and other pertinent information, as needed; information contained in the externally facing sites is expected to stay fairly static with updates on a limited periodic basis.

Ability to provide an internal facing portal that provides environmental staff with user-specified content including key information, links to program areas, and other pertinent information. The primary internal facing landing pages shall be unique for each user though a minimum content requirement for each user (e.g., links) is expected.

The internal facing landing sites will be enabled with dashboards, as defined by the user. Each program area will also have a landing site that is both internal and external facing with

contents as defined within each program area. All SharePoint landing pages (internal and external) will have one similar style format in

accordance with the SharePoint Corporate Governance Plan attached hereto as Appendix 2.

Permission / Role Manager

SharePoint can allow and limit users’ permission level to the site based on the role within PGW.

According to the SharePoint Corporate Governance Plan members of the department are added to

the site members group via Active Directory group to which they belong. This approach will

keep the role management consistent with the company security group setup. External

stakeholders are expected to have similar permission levels. The internal environmental staff



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users are expected to have user-specific roles and permissions on the primary landing site as well

as the underlying program area sites.

Key Requirements Ability to set internal permissions for the landing site and program area sites. Ability to set on general permission for all users to the external-facing sites. User permissions will be established in accordance with the SharePoint Corporate Governance

Plan.

Document Management

The site will enable general document management for working and legacy environmental

documents. Document management business rules have not yet been developed for PGW;

consequently, a set of business rules specific to environmental (and potentially adopted PGW-

wide) will be established as part of this project. Documents will be managed in an indexed and

highly searchable data repository. Access to documents can be gained via normal searches or

based on known properties of the document or through traditional document organizational

techniques. Certain important documents will be accessible directly from other company sites as

deemed necessary. Further, environmental documents will require archiving in line with internal

company document retention policies and regulatory requirements.

Key Requirements Ability to search for documents in a ”google‐like” fashion. Ability to create document links for internal document direct access. Ability to capture document properties and metadata (and search on metadata). Ability to provide functionality of tracking of changes, version control and access control. Ability to access documents needed to support the work processes identified here (e.g. access a

permit from a task assignment). Ability to clearly and quickly access VERY IMPORTANT regulatory documentation including

regulatory letters, permits, applications, etc.

PROGRAM AREA REQUIREMENTS

General Compliance Management

Today, PGW manages compliance in a diligent, yet non-standardized fashion. Relying on the

knowledge and diligence of their people and primary focus areas, day to day compliance is

monitored and actions are taken, as needed. While PGW has not seen any recent major

compliance issues, the compliance risk has increased for PGW as seen through staff observations

of near misses and the ever increasing expansion of complex requirements and obligations.

Environmental obligations across all the program areas managed by PGW will be standardized

through a general compliance management business process. The primary functional tenants of



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the general compliance management process will be 1) permit management; 2) requirements

registry; and 3) task tracking. Permits will be managed through a master permit table that tracks

active and expired permits across all of PGW. A permit “dashboard” will provide enhanced

visibility and provide environmental staff with the tools needed to properly track and manage

permits (e.g., ensure permits are renewed in a timely manner). A master requirements registry

will provide staff with a comprehensive list of all environmental obligations by program area and

PGW location. The intent of the registry is to establish a “go-to” source of applicable

environmental requirements to enhance the visibility and knowledge of internal and external

staff. A task management system will allow PGW to manage the activity based actions and

tasks that should be executed in a timely manner to ensure compliance.

Key Requirements The permit management, requirements registry, and tasks management processes will be

available from the primary internal-facing landing page. The external-facing page will have access to read-only information on permits and requirements registry. Only the internal-facing sites will have access to the task management capability (except as noted on some program specific landing pages).

Permit Management Manage permit list and associated attributes as a SharePoint List. Organize permit by Program Area and PGW location. Assign permit responsibility to a user role. Provide alerts/notifications on upcoming and overdue permit renewal dates. Provide a dashboard view of upcoming, pending, and overdue permit renewal activities. Ability to link permit entries to the permit document.

Requirements Registry Manage a requirements registry and associated attributes as a SharePoint List. Organize registry elements by program area, PGW location, and asset (if applicable). Assign requirement responsibility to a user role. Provide a dashboard view of obligations that can be customized by the user. Ability to link requirements to regulatory documents.

Task Management Manage tasks and obligations that are one-time, event driven and recurring. Ability to define standard recurrence patterns. Ability to define an alert/notification requirement on a task-by task basis for upcoming and

overdue tasks. Ability to email notifications and alerts on upcoming and overdue tasks. Ability to associate/link job aids or other pertinent documents to tasks. Ability for users to close-out tasks in a quick and easy grid/table format or on a task by task

basis. Provide a dashboard of upcoming and overdue tasks on a user / program area specified

basis including a management view of upcoming and overdue tasks across the company.



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Air Quality

PGW’s team handles the management of air compliance for the facilities and assets throughout

the company. This includes producing compliance reports, monitoring compliance status, and

generating emissions inventories.

In addition to the general compliance requirements, the air quality internal and external facing

sites will provide information to enhance visibility of compliance and access to key information

and documents. Generally, PGW would like to improve the data acquisition and compliance

tracking process associated with their larger facilities (e.g., Richmond LNG). To do this, the Air

Quality Program sites would provide links to the data acquisition spreadsheets as well as a

dashboard to provide an actual vs. compliance limits view.

Key Requirements Provide links to data acquisition / data logging spreadsheets on the external and internal facing

air landing sites and on data entry tasks (if desired) for operations and facility level personnel to complete their data entry.

Provide a dashboard view of actual emissions / operations vs. compliance limits to enhance the visibility of compliance status at the larger PGW facilities

Provide dashboard views and links to air requirements registry, air permits list and permit documents, and air related tasks in accordance with the general compliance management above.

Water Quality

PGW completes the water sampling and accumulates the various monitoring data for reporting

and compliance assurance. They are also responsible for permitting and completing field

inspections as required by their permits as well as producing monthly water reports for the state

regulatory agency.

In addition to the general compliance requirements, the water quality internal and external facing

sites will provide information to enhance visibility of compliance and access to key information

and documents. PGW would like to make the water monitoring/sampling databases (currently

stored in spreadsheets) available through the internal facing program page.

Key Requirements

Provide links to water monitoring data acquisition / data logging spreadsheets on the internal facing water sites and on data entry tasks (if desired) for environmental level personnel to complete their data entry.

Utilizing the general compliance management tasking capability, provide a means for attaching scanned or electronic documents associated with plant inspections.

Provide dashboard views and links to water requirements registry, water permits list and permit documents, and water related tasks in accordance with the general compliance management above.



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Waste Management

PGW manages all hazardous waste activity throughout the company including accumulation,

transportation, and disposal. Most waste generation is a result of construction activities and a

few hazardous waste streams resulting from the PGW processing plants (e.g. Richmond).

Contractors generally handle the creation and distribution of the hazardous waste manifests.

PGW is responsible for tracking and ensuring that the hazardous waste paperwork is returned in a

timely manner.

In addition to the general compliance requirements, the waste management internal and external

facing sites will provide information to enhance visibility of compliance and access to key

information and documents. PGW would like to make a SharePoint-based waste tracking

database (currently stored in spreadsheets) available through the internal facing program page to

provide a running register of waste generation and handling activity. This database will then be

the primary tool to develop the annual and biennial waste reports for EPA and PADEP.

Key Requirements

Development of a SharePoint-based database (e.g., SharePoint lists) that would track waste transactions including waste stream name, manifest number, quantities, transporter, regulatory ID numbers, and other related information on the transaction; ability for the system to provide an automated alert (e.g., email) when a manifest return has not been logged in the system by the required due date.

Provide dashboard views and links to waste requirements registry, waste permits (if applicable) and permit documents, and waste related tasks in accordance with the general compliance management above.

Incident Management

PGW is responsible for managing environmental incidents as they occur. Today, PGW staff field

calls from operations or other field staff when incidents occur. Typical incidents include fuel

spills, mercury spills, carbon monoxide exposure, injuries, and non-compliance (e.g., Notice of

Violation) issues.

PGW is looking to develop a more standardized business process for reporting and tracking

incidents. This would include the development and deployment of incident reporting forms to

capture the information based on the type of incident. These forms would then be used to initiate

a standardized workflow that would assign tasks to individuals or groups to complete the

necessary incident activities such as agency notifications, root cause analysis, reporting, and

internal incident reporting.

Key Requirements

Data capture forms (~5) would be used to initiate an incident and would be available on the incident management program page (external and internal facing). The forms would collect pertinent information needed to initiate and complete the process; a standardized workflow would be initiated at the time of form submittal. Incident information will include incident date,



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location, materials, environmental impact, related quantities, and other pertinent information as dictated by the incident type or severity. Key documents and job aides (e.g., checklists)

Development of a SharePoint-based incident database (e.g., SharePoint lists) that would accumulate the data from the forms as well as track the information collected throughout the workflow (e.g., documentation of root cause).

Ability to attach relevant documentation with the incident along the course of the workflow including agency notification documentation, root cause analyses, pictures, and other documents as needed. The documents will be associated with the incident transaction and logged into the document management system for later retrieval ass needed.

Ability to generate standardized incident reports based on the incident type. Functionality to incorporate a 4-step incident workflow: Initiate-Investigation-Corrective

action-Close out; these are created as tasks and have similar capabilities as described above for general task management including alerts and notifications.

On the internal facing incident management page, the ability to provide a dashboard view to track active incidents.

Asbestos and Lead

PGW is responsible for investigating and remediating (as needed) suspected asbestos and lead

paint issues as reported throughout the company. When an asbestos or lead paint issue is

suspected, it is reported to the team via a phone call or email. This initiates a series of step to

determine if the issue will require some level of action or not. The initial step is typically the

completion of a survey to obtain and analyze samples from the suspected location. Depending on

the results of the survey, the suspected location may or may not be abated.

PGW is looking to provide a better means for external stakeholder to initiate suspected asbestos

or lead issues (similar to incidents). Once initiated, PGW would like to organize the information

including the related survey and abatement results as well as track the tasks associated with the

response to the issue.

Key Requirements

Data capture forms (~2) would be used to initiate a suspected asbestos or lead issue and would be available on the asbestos /lead management program page (external and internal facing). The forms would collect pertinent information needed to initiate and complete the process; a standardized workflow would be initiated at the time of form submittal. This workflow would include completing the survey, making abatement decisions, securing a contractor, and completing a follow-up survey of the location.

Development of a SharePoint-based asbestos/lead issue database (e.g., SharePoint lists) that would accumulate the data and documentation throughout the workflow.

Ability to attach relevant documentation with the asbestos/lead issue along the course of the workflow including survey results, abatement vendor bids, as needed. The documents will be associated with the incident transaction and logged into the document management system for later retrieval ass needed.

Functionality to incorporate a 4-step incident workflow: Initiate-Survey-Abate-Follow-up Survey; these are created as tasks and have similar capabilities as described above for general task management including alerts and notifications.



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On the internal facing incident management page, the ability to provide a dashboard view to track active asbestos / lead issues.

Safety Data Sheets

PGW is responsible for completing an analysis review for each new chemical that PGW

purchases. Today, safety data sheets (SDS) for incoming chemicals are managed in an enterprise

software system (IHS Dolphin). Material reviews are completed but the process lacks

standardization and visibility.

PGW is looking to provide a better means for initiating, tracking, and documenting the results of

the material approval processes. The online SDS database will continue to serve as the primary

source of chemical information via the vendor supplied SDS; however, the SharePoint platform

will help enable a simple work process to ensure the process is completed and provides enhanced

visibility to external stakeholders and management.

Key Requirements

Ability to initiate a new chemical review workflow would be available on the internal and external facing SDS page via a form that would collect minimal information needed to complete the review.

Development SharePoint-based material review database (e.g., SharePoint lists) that would accumulate the data and documentation throughout the workflow.

Functionality to incorporate a 3-step chemical review workflow: Initiate-Review-Approve; these are created as tasks and have similar capabilities as described above for general task management including alerts and notifications.

On the internal facing incident management page, the ability to provide a dashboard view to track active material review processes.

Tanks

PGW is responsible for managing various compliance related activities related to storage tanks

throughout the company. This includes UST permitting/registrations, facility inspections,

monthly/annual tank inspections (e.g., tank tightness), and SPCC plan review and updates.

PGW is looking to track these various activities as tasks a described in the general compliance

management section above.

Key Requirements

Track tank inspection and other related activities using the general compliance management work process.

On the internal facing tank management page, the ability to provide a dashboard view to track active tank related tasks.



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Audits and Inspections

PGW is responsible for completing various audits and inspections throughout all the program

areas in the company. This includes comprehensive environmental compliance audits, indoor air

quality assessments, tank inspections, facility inspections, external agency inspections, periodic

waste inspections, and many others.



Key Requirements Track audit, inspections, and other related activities using the general compliance management

work process. On the internal facing incident management page, the ability to provide a dashboard view to

track active audit and inspection tasks.

Analyses

PGW is responsible for completing various routine and non-routine gas analyses to support

regulatory requirements, monitor compliance status, or support operations. Routine analyses

include general gas analyses, digester gas analysis, expander plant analyses, glycol analyses,

extended analyses, odor analyses, firefighting foam analyses, city-wide odor analyses, and

mercury vehicle analyses. Non-routine analyses include product analyses, incident-related

analyses, LNG vaporization analyses, moisture analyses, and odor investigations.



Key Requirements Track analyses related activities using the general compliance management work process. On the internal facing analyses management page, the ability to provide a dashboard view to

track active analyses tasks.

Training

PGW is responsible for tracking and providing initial and refresher required training for

employees based on their job roles and functions. Training includes respirator fit testing, odor

recognition, right-to-know, storage tank operator, asbestos worker, waste management, OSHA

HAZWOPER, DOT, and other internal specialization training (as needed). PGW’s HR

department manages the employee database and associated job roles and communicates changes

as needed.

PGW is looking to standardize the employee training work process to ensure that employees are

properly trained in a timely manner and that training is properly documented for compliance

purposes. This work process improvement would begin with a better alert system of employee



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changes including new employees, existing employee role changes, and terminated employees.

PGW’s environmental team would then track required training and organize documentation of

completion of training.

Key Requirements Development of a SharePoint-based training database (e.g., SharePoint lists) that would

accumulate the data and documentation on training events by employee/job role. Track training related activities using the general compliance management work process. On the internal facing training management page, the ability to provide a dashboard view to

track active analyses tasks.

Instrument Services

PGW is responsible for ensuring that certain equipment and monitoring instruments used for

compliance are properly maintained in accordance with the manufacturer’s recommendations and

best practices. These activities include periodic calibrations and periodic maintenance.

PGW is looking to create an equipment inventory tracking system that will better track and alert

when staff when services are required to be performed.

Key Requirements Develop an equipment / instrument database for the company that would identify the type,

make, model, and other identification attributes. Associate periodic / recurring calibration or maintenance tasks with the equipment inventory

using the capability in the general compliance management task tracking process. On the internal facing instrument management page, the ability to provide a dashboard view to

track active or upcoming instrument services events.

Act II

PGW is responsible for managing activities associated will site management and redevelopment

regulated under PADEP‘s ACT II program for voluntary cleanup and redevelopment activities.

PGW currently has five properties (with 1 additional site pending) under the ACT II program

including one property on an operating site. PGW is responsible for managing the various

activities including groundwater monitoring/reports, remedial work plans, remedial control

evaluation/implementation, and product recovery activities.

PGW is looking to track these routine recurring and one-time activities to ensure they are

completed in a timely manner and better organize associated documentation.

Key Requirements Track ACT II related activities using the general compliance management work process. For each active ACT II site, provide an internal and external facing ACT II management page

with the ability to provide a dashboard view to track active ACT II related tasks along with links to key documentation.



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Vendor Management

PGW utilizes numerous vendors to complete the various environmental activities and

obligations. Contracts and invoicing is managed by an administrator using spreadsheets and

hard-copy contract binders.

PGW is looking to continue the current work process for vendor management. Future

enhancements to this process using technology are possible but not in the scope of the initial

deployment.

Key Requirements None



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APPENDIX 2. SHAREPOINT CORPORATE GOVERNANCE PLAN

Philadelphia Gas Works Prepared by

Information Services

SharePoint 2013

Corporate Governance Plan

Version: 3.0

Date Created: January 27, 2016



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Adjunct

Abstract

Selected software products from the SharePoint 2013 suite by vendor Microsoft have been licensed and installed by PGW. The products’ primary capabilities include document management, Web site creation, and workflow control.

This paper specifies the standards, conventions, and business policies that will govern the software’s implementation at PGW, and discusses how use of the tool will advance PGW corporate and IS objectives of knowledge sharing, collaboration, standardization, and extracting the maximum value from PGW assets.

This document reflects the upgrade from SharePoint 2010 to SharePoint 2013.

Products: SharePoint Server 2013, SharePoint Designer, InfoPath Designer

Keywords: document, ECM, IS, management, standard

Target Audience

Users of the PGW SharePoint 2013 environment.

Sensitivity

The security classification of this document:

☐ Public Public domain information. Document has

general availability within or outside of PGW.

☒ PGW Internal Document has general availability within PGW

only.

☐ PGW Confidential Document is considered sensitive, and has

selective access within PGW.

☐ PGW Restricted Document is considered highly sensitive, and

has restricted access within PGW.

☐ Limited External Document may also be released to selected

external parties.



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Revision History

Date Version Author Change Description

08/10/201

2 1.0

Aaron Harclerode,

Joseph Szlanic

Springhouse Education & Consulting

Services. Initial template.

09/12/201

2 2.0d

Vernita Hall Revised draft.

11/20/201

2 2.2d

Joseph Szlanic, Aaron

Harclerode, SDPS

attendees, Vernita Hall

Revised draft.

11/21/201

2 2.2

Published version, SharePoint 2010.

10/31/201

3 2.3

Vernita Hall Updates to SharePoint 2013.

12/11/201

5 3.A

Chanel Broadus Update submission and publishing process.

Edits.

01/27/16 3.0 Chanel Broadus Published.

Ownership

The business owner(s) of this document:

Department: Information Services

Workgroup/Team: SharePoint Governance Project Team

Program: SharePoint 2013 Governance



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Approvals

Please review and acknowledge your acceptance of this document by completing a row in the

table below. Your signature indicates agreement with the information contained within this

publication.

Title Printed Name Signature

Director, Enterprise

Strategic Services Joseph Szlanic

Conventions

Field and screen names, table column headers, and links are italicized.

For example: Enter user name in the Name field.

User-required operations (that is, commands, menu selections, or responses to be typed by the

user) are in bold type.

Menu paths are separated by “ —> ” (emdash and chevron).

For example: Select Start —> PGW Programs —> TLM —> TLM Webclient



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References

Blechar, Mike. “How Metadata Improves Business Opportunities and Threats.”

Gartner Research G0021793, March 7, 2012.

Blechar, Mike. “Six Common Approaches to Metadata Federation and Consolidation.”

Gartner Research G00214300, August 25, 2011.

Microsoft Office System and Servers Team. Getting Started with Microsoft SharePoint

Server 2010 (Microsoft Corporation, May 2010). <S:/Common/Library/Manuals/

Apps/SharePoint/Server2010_Getting Started.pdf>.

Misrahi, Jeff. “Classification for Information Security Service Description.”

(RSA Global Security Practice, March 8, 2008).

National Information Standards Organization (NISO). "Understanding Metadata."

<http://www.niso.org/publications/press/UnderstandingMetadata.pdf>.

Tay, Gavin; Chin, Kenneth. “Maturity Model for Enterprise Content Management.”

Gartner Research G00213197, June 13, 2011.

Webopedia. <http://www.webopedia.com>.

Wikipedia. <http://en.wikipedia.org/wiki/Main_Page>.



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Table of Contents

1 SHAREPOINT 2013 GOVERNANCE GUIDELINES .........................................................56

1.1 OVERVIEW .......................................................................................................................56

1.2 THE GOVERNANCE PLAN OBJECTIVE .........................................................................57

1.3 GOVERNANCE AREAS IN 2013 ......................................................................................57

1.4 VISION STATEMENT .......................................................................................................59

1.5 ROLES AND RESPONSIBILITIES ...................................................................................60

1.6 GOVERNANCE CORE TEAM ...........................................................................................62

1.7 PERIODIC GOVERNANCE PLAN REVIEW .....................................................................63

1.8 GUIDING PRINCIPLES ....................................................................................................63

1.9 POLICIES VS. STANDARDS ............................................................................................67

2 SHAREPOINT 2013 SITE DESIGN ...................................................................................68

2.1 CREATING NEW SITES ...................................................................................................68

2.2 GUIDELINES FOR SITE PROVISIONING ........................................................................68

2.3 EXISTING SITE ARCHITECTURE ....................................................................................69

2.4 SELECTION OF A SITE TEMPLATE ................................................................................70

2.5 THE HOMEPAGE .............................................................................................................72

2.6 METADATA ......................................................................................................................72

2.7 CONTENT TYPES ............................................................................................................73

2.8 SITE LEVEL SECURITY ...................................................................................................75

2.9 SECURITY MODELS ........................................................................................................75

2.10 BRANDING .......................................................................................................................78

2.11 REPORTING .....................................................................................................................78



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3 SHAREPOINT 2013 CONTENT MANAGEMENT ..............................................................80

3.1 POSTING CONTENT TO SITES .......................................................................................80

3.2 CONTENT-SPECIFIC GUIDELINES .................................................................................84

3.3 LINKS ...............................................................................................................................86

3.4 SITE ASSET LIBRARIES .................................................................................................87

3.5 DOCUMENT LIBRARIES..................................................................................................87

3.6 FOLDERS .........................................................................................................................89

3.7 RECOVERY ......................................................................................................................89

4 SHAREPOINT 2013 SUPPORT AND EDUCATION ..........................................................92

4.1 SUPPORT ESCALATION .................................................................................................92

4.2 EDUCATION AND TRAINING...........................................................................................92



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About This Guide

List of Illustrations

FIGURE 2.1. SELECTING A SITE TEMPLATE ........................................................................71

FIGURE 2.2. METADATA COLUMNS .....................................................................................75

FIGURE 3.2. CORPORATE COMMUNICATIONS PROJECT REQUEST FORM .....................82

List of Tables

TABLE 1.1. ENTERPRISE ROLES ..........................................................................................60

TABLE 1.2. SHAREPOINT SITE / SITE COLLECTION ROLES ..............................................62

TABLE 1.3. GOVERNANCE GUIDING PRINCIPLES ..............................................................63

TABLE 2.1. SHAREPOINT 2013 GROUPS AND PERMISSION LEVELS ..............................76

TABLE 2.2. ASSIGNING USER PERMISSIONS USING ACTIVE DIRECTORY .....................77

TABLE 3.1. NAMING CONVENTIONS ....................................................................................85

TABLE 4.1. SHAREPOINT 2013 TRAINING ............................................................................93



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Definition of Terms

Terms, acronyms, and abbreviations referenced in this document are described below.

Term Definition

Content Management (CM) The set of processes and technologies that support the

collection, managing, and publishing of information

in any form or medium

Enterprise Content Management

(ECM)

(A formal methodology for the organized storage,

delivery, and securing of corporate information assets

IS Information Services

Metadata “Structured information that describes, explains,

locates, or otherwise makes it easier to retrieve, use,

or manage an info” (National Information Standards

Organization)

Portal A type of Web site, characterized by a home page

containing a rich set of links accessing multiple

functions



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Getting Help

SharePoint questions or issues can be addressed by the following individuals:

Entity Representative Department

Enterprise Strategic Services Director Information Services

Administrative Services Director Information Services

Technical Strategy &

Support

Director Information Services

Technical Services Director Information Services

HR Training Technology Trainer PGW Learning &

Development

Corporate Communications Internal Communications

Manager

Corporate Communications

IS SharePoint Technical

Support

Senior Enterprise Engineer II Information Services

Technical Writing Senior Technical Writer Information Services



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1 SharePoint 2013 Governance Guidelines

1.1 Overview

As technology innovates, the information assets of an organization expand in volume, variety, and criticality. Not only paper procedures, forms, diagrams, and reports, but also digitized graphics, photos, 3-D images, videos, music, and sound effects can now be distributed electronically. Books can be downloaded online. Vast amounts of data are organized via files and data bases, and their content presented via websites.

The advent of social computing has introduced even more complexity with email, blogs, wikis, and instant messages. Business processes often require information to change hands, and to be altered at various stages. Progress through these workflows requires approvals and tracking. Versions of document creation need to be clearly identified, as well as redundant and out-of-date copies. All of these forms of information must be stored, cataloged, readily accessible, and appropriately secured. The application of a methodology to this effort is known as Enterprise Content Management (ECM).

Data about the information assets is as valuable as the asset itself. Its efficient definition and organization is vital to rapid retrieval. Similar in concept to the card catalog files that once described the resources within a library, electronic “metadata” now identifies or “tags” characteristics of information resources, such as file location, ownership, creation date, formatting, search keywords, etc.

As a service organization, Information Services (IS) bridges alignment with industry best practices to PGW strategic goals and themes of: paperless information exchange, improved employee collaboration and knowledge sharing, and deriving the maximum benefit from the information resources of the enterprise. Products from Microsoft’s SharePoint 2013 software suite are being deployed to facilitate these objectives.

Together with a rich set of enterprise document and workflow management capabilities to empower business users, SharePoint 2013 offers website construction tools. These features require the establishment of clear governance guidelines to underscore their benefits and realize their potential, in order to achieve the appropriate balance of cost containment, consistency, and control that PGW and its stakeholders require.



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1.2 The Governance Plan Objective

While preparation of a governance plan for SharePoint started prior to the launch of SharePoint 2010, the plan should not be regarded as being “done” at any single point in time. Rather, the governance plan is a dynamic document. It will be revisited as more is learned about how the client base is using the solution, and feedback from their experiences is captured.

As the SharePoint environment evolves, the plan will be adapted to changing needs. Greater oversight may be required to ensure conformance. Less oversight may encourage more creative applications of core features.

1.3 Governance Areas in 2013

Governance planning continues to be important in SharePoint Server 2013 because the increased emphasis on and availability of social computing features means that there are more types of information content to govern.

Moreover, because capabilities are offered to manage metadata at the enterprise level, the addition of a new organizational role, one which plans and monitors metadata attributes across the organization, must be considered. The governance plan must address any new features that will be deployed.

A discussion of SharePoint 2013 governance areas follows.

Users are offered a far more participatory role in the solution information architecture through the use of “social data,” such as tags, bookmarks, and ratings.

Users will need to understand and internalize the value proposition for leveraging these features. Solution designers will likely need to provide both guidance and encouragement for their use.

Capabilities for sharing metadata across multiple site collections (and even server farms) require planning and control.

The addition of a new role (or at least a new responsibility to an existing role) to manage and maintain the dictionary of shared metadata must be considered.

More user-friendly records management capabilities are available, such as the ability to declare a record “in place.” These features introduce an opportunity to create and enforce records management plans and policies.



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There are now more opportunities for users to customize their sites with easy-to-apply themes, create custom designs with SharePoint Designer, and use sandboxed solutions to achieve custom results. Governance must consider decisions about configuration options to enable these expanded capabilities.

SharePoint Server 2013 has improved upon the handling of lists containing large amounts of data. However, users must understand the kind and quantity of information appropriate for storage in SharePoint Server.

Through a feature called “Resource Throttling,” the 2013 product can automatically restrict user queries of large lists. This policy setting should be considered in a plan for governance, because such queries could impact overall system usability.

Large amounts of data can also be partitioned through the Content Organizer feature, by which documents can be routed into folders and libraries based on metadata and other factors.

However, users may not understand where their document landed. These issues should be addressed in the overall plan for data management.

Finally, a feature called “sandboxed solutions” enables the site collection administrator to directly upload customization elements, such as Web Parts.

The Governance Plan discusses customization policies and strategies in Chapter 3.



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1.4 Vision Statement

In PGW’s business-driven environment, the SharePoint 2013 portal enables the creation, management, and sharing of enterprise-wide document assets for improved collaboration, classification, and access. Through the software’s workflow capabilities and application development foundation, the portal will support the organization’s information management needs, and provide a business process framework for all internal company workgroups.

SharePoint will be:

Used by the business community to independently develop and implement technology solutions without direct IS involvement

PGW’s primary workflow and business process automation platform

PGW’s intranet and communication center for internal corporate communications

SharePoint will not be:

PGW’s external web content management platform

PGW’s primary document image management platform

(Hyland Onbase is PGW’s imaging and retrieval platform)

PGW’s contact management platform

Used to share or store private or personal documents



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1.5 Roles and Responsibilities

Roles and responsibilities describe how each employee, whether as an individual or as a member of a particular role or group, is responsible for ensuring success of the solution. The policy decisions that frame the governance plan will serve as guide.

Documenting roles and responsibilities is a critical aspect of the Governance Plan. The Plan defines who has authority to mediate conflicting requirements and make overall branding and policy decisions. Many roles may be fulfilled by a single individual.

The following two tables describe enterprise roles related to SharePoint 2013 implementation, with their respective functions (see Table 1.1, page 9), and roles regarding the operation of user-designed SharePoint Web sites (Table 1.2, page 11).

Table 1.1. Enterprise Roles

Role Key Responsibilities

Executive Sponsor

The executive-level “champion.” Primary function is strategic, to position

the solution as a critical mechanism for achieving business value, and to

help communicate the solution’s value to the PGW management hierarchy.

Governance Board/

Steering Committee

A governance body with the ultimate charge of meeting solution goals. Typically comprised of representatives of each of the major business units engaged in the solution, including Corporate Communications, HR, IS, and Legal.

Business

Owner

Manages overall design and functional integrity of the solution from a business perspective.

Does not have to be an Information Technology (IT) expert, but for intranet solutions, his/her job function typically includes responsibility for internal communications.

Metadata Steering Committee/

Content Steward

Enterprise content capabilities of SharePoint 2013 require:

an overall metadata management plan, and

an individual or team responsible for maintaining the “metadata dictionary” over the life of the solution.

Technology

Support Team

Ensures technical integrity of the solution. Performs regular backups of the solution and its content.

Usually establishes and maintains the security model, at least the components in Active Directory Domain Services (AD DS).

Develops new Web Parts and provides support to site sponsors and owners who seek enhancements to their pages or new uses of the solution.

Solution Administrator Manages overall design and functional integrity of the solution from a technology perspective. Works in partnership with the Business



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(Technology) Owner.

SharePoint “Coach”

or

Center of Excellence

Provides coaching and design consulting to new SharePoint 2013 users.

Ensures that best practices are followed, and that the appropriate product features are applied, especially with regard to users who have “full control” design privileges.

Experienced site design “coaches” or solution architects can ensure that new users develop usable and effective business solutions through the optimal use of product features.

“Power Users” Community of

Practice

Supports the successful deployment of SharePoint 2013 within the organization by sharing best practices and lessons learned in a Community of Practice team site. Members serve as SharePoint advocates and change agents.



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Table 1.2. SharePoint Site / Site collection Roles


Site Sponsor

An expert in the content showcased on the site or page. His/her primary expertise is business-focused.

Ensures that content for a particular page/site is properly collected, reviewed, published, and maintained over time.

Designates Primary and Secondary Site Owners, who will provide the day-

to-day interface between their business functions and site users.

Site Owner

Primary point of contact for the site. Follows SharePoint 2013 design best practices and PGW governance principles to ensure that all sites are optimized for end-user value.

Performs daily site management, which includes ensuring that site and page content are accurate and relevant, including records retention codes. Acts as the site’s Content Steward.

Monitors security to ensure that the security model for the site matches the goals of PGW and the Site Sponsor/ Owner. Defines and executes the site’s security plan.

Only the Site Owner can share files.

Users

Access and share information. May have different access permissions in different areas of the solution, sometimes acting as a Contributor (content producer), sometimes as a Visitor (content consumer).

1.6 Governance Core Team

The PGW Governance Core Team includes representatives from the following business areas:

Corporate Communications Information Services Human Resources



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1.7 Periodic Governance Plan Review

PGW will conduct an annual review of its SharePoint 2013 Governance Plan (the Plan) in order to:

Verify that SharePoint 2013 policies and standards do not conflict with broader PGW corporate policies

Revise policies and standards to keep the Plan aligned to organizational needs

1.8 Guiding Principles

Guiding principles define the organizational preferences that support the vision. These critical statements reflect best practices that all users and site designers must understand to ensure the success of the SharePoint solution.

It is especially important to remember the “one size does not fit all” guiding principle when it comes to governance. Stricter governance policies will be applied to sites that have a broader “reach” (for example, enterprise- and department-facing sites). Less stringent policies will be permissible for private team sites.

A discussion of governance guiding principles follows in Table 1.3.

Table 1.3. Governance Guiding Principles

Governance Guiding

Principles Implication Remember…

General Principles

SharePoint 2013 may be a

new vehicle for collaboration,

but SharePoint content is

governed by all general

policies pertaining to the use

of PGW’s info resources,

including copyright,

confidentiality, privacy,

records retention, document

security, etc.

Content ownership, security, management, and contribution privileges are distributed across the entire organization, including users who may not have had content contribution, records management, or security privileges in the past.

All content contributors need to be

aware of PGW policies for business-

appropriate use of information

resources.

Existing rules still

apply — would you

want your co-

workers to see this

picture or content?



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Governance Guiding


Role-based security will

govern permissions and

access control on each area of

the portal (intranet and

extranet).

Users may have different permissions on different areas of the portal, with implications for governance and training.

Most users may not have content

contribution privileges for tightly

governed intranet pages.

All users have “full

control” privileges

on their own My

Site Web sites.

Site Design Principles

All sites and pages must have a clearly identified content “owner.”

Site owners will be identified

on each site’s landing (home)

page.

Users need to know whom to contact if information on a page or site is inaccurate or out of date.

Make it obvious who owns the content on all pages and sites.

Provide a consistent user experience. Users should be able to consistently find key information on any collaboration site, and search for the content they need.

All sites will also follow a consistent baseline design template, to ensure consistency and usability across collaboration sites.

A positive, user-friendly experience will encourage acceptance of the SharePoint solution.

Design to minimize end user

training requirements.

Use the best (and simplest)

feature for each business

objective.

Any user with site-design privileges will

be encouraged to participate in training

to ensure that they use the most

appropriate Web Parts and lists for each

task.

Just because you

can, doesn’t mean

you should.

You don’t really

need to try every

new feature!



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Governance Guiding


Ensure that “findability” governs design decisions.

Optimize site configuration and metadata to provide the best value for the end-user audience, not just the content contributor.

Wherever design trade-offs must be considered (more metadata versus less, info above or below “the fold,” duplicate links in multiple places), decisions should favor ease of use for end users rather than content contributors.

“Findability” means designing sites so that important info is readily visible. Navigation cues are used to help users quickly find key info. The use of metadata improves the accuracy of search results.

Avoid building a model where content “checks in,” but never “checks out.”

User “browse” and “search” experiences will guide design decisions in initial site development, as well as in future enhancements.

Site Designers must understand the objectives of the recommended site design standards.

Changes should be made only when they can be justified with a valid PGW business need.

Although Site Designers may have permissions to change site templates and other “controlled” areas, they agree not to arbitrarily make changes to the basic site templates based on personal preference.

Suggestions for changes to the standard site templates should be elevated to the PGW Governance/Steering Committee.

“With great power comes great responsibility.”

Use your powers wisely.

Content Principles

Instead of email

attachments, use links.

Users should send links that point to content whenever possible, rather than email attachments.

Cut down on email space hogs.



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Governance Guiding


Copyrighted material will not be added to the portal without the proper licensing or approval.

Copyright violations can be very

costly.

This is probably one of the most frequently ignored principles on corporate intranets, and one that will cause particular concern to PGW asset managers.

Don’t publish

what PGW

doesn’t own.

Edit in place.

Don’t delete existing

documents and create a

new version.

Version control will be enabled in document libraries when prior versions need to be retained during document creation or editing.

If prior versions need to be retained permanently for legal purposes, “old” versions of documents should be stored in an archive location or library.

Documents will be edited in place rather than deleted and added again, so that document links created by other users will not break.

Another site may have links to your documents.

Update—

do not delete!

Post all content in just

one place.

Users who need access to content should create links to the document’s

“Document ID”* to permit access to the content from its “authoritative” location.

The official version of a document is posted once by the content owner (which may be a department, not necessarily an individual).

For convenience, users may create a link to the official copy of a document from anywhere in SharePoint 2013, but should not post a “convenience copy.”

Users should not post copies of documents to their personal hard

Create only one

copy of a

document.

Link to that

copy.



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Governance Guiding


drives or My Site Web sites if they exist elsewhere in the solution.

Site Sponsors/ Owners are ultimately accountable, but everyone owns the responsibility for content management.

All content posted to a site and shared by more than a small team will be governed by a content management process which ensures that content is accurate, relevant, and current.

Site Sponsors/Owners are responsible and accountable for content quality and currency, and the archiving of old content on a timely basis.

Site users are responsible for apprising Site Sponsors/Owners of content that needs updating.

We’re all responsible for content management.

* Document ID is a new feature in SharePoint 2010. The Document ID is a unique identifier (a static URL) for a document that remains associated with the document even if the latter is moved to another location.

1.9 Policies vs. Standards

Policies define rules for SharePoint 2013 use; standards describe best practices. From a governance perspective, policies are usually driven by statutory, regulatory, or organizational requirements. Users are expected to observe policies without deviation.

Standards are established to encourage consistent practices. General topics cover content oversight, site design, branding and user experience, site management, and security.

As applied to the topic of file names, a policy might read “Do not include dates or version numbers in file names.” A standard might state “File names should be self-documenting, but brief.”

In another example, a policy might be written as “All SharePoint 2013 sites will have a primary and secondary contact responsible for the site and its content.” A standard might be expressed as “The site contact is listed on the site home page and in the site directory.”



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2 SharePoint 2013 Site Design

2.1 Creating New Sites

If individual “end user” site owners are granted permissions to create their own information architectures for sites under their control, some best practice tips for creating sites in a site collection are listed below.

Content Ownership: If a particular business group is the primary owner of all of the content to be posted on the page or site, the creation of a separate site for that business group may be advisable.

Security: If a significant group of content is highly sensitive, the formation of a separate site may simplify control of the security settings for that content.

Navigation: Minimize the levels of nesting in the information architecture. Good practice limits the number of levels in the hierarchy to no more than three, so that users do not have to continuously “click through” to reach critical content.

If none of the above conditions apply, creating a new site may not be advisable.

2.2 Guidelines for Site Provisioning

A site consists of a collection of lists, libraries, and pages. Before requesting or creating a new site, the following questions should be considered:

What is the primary purpose of the intended site (such as a tool for communication, for collaboration, or for business process optimization)?

Who is the target audience?

Is a new site needed, or would an additional list, library, or page on an existing site suffice?

Does similar content already exist on another SharePoint site?

Determining the sensitivity of the material is the responsibility of the site owner.

NOTE



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Can a primary and secondary owner be designated to manage this site?

2.3 Existing Site Architecture

A single site collection with placeholder sites “departments” and “team sites” has been created. Departmental sites are created under the /departments site, and non-departmental or cross-departmental sites are created under the /teamsites site. Some examples follow:

http://hostname/departments/IS Department site for Information Services

http://hostname/departments/SupplyChain Department site for Supply Chain

http://hostname/teamsites/Oracle12Upgrade Team site to manage the upgrade to Oracle 12

http://hostname/teamsites/CSI Team site for the Customer Satisfaction

Initiative



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2.4 Selection of a Site Template

If the criteria in the previous section have been met, the decision tree graphics in Figure 2.1 will assist in the selection of the appropriate SharePoint 2013 site template for the creation of a new site.



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Figure 2.1. Selecting a Site Template



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2.5 The Homepage

In general, the entry page (also known as the “landing page” or “home page”) to a SharePoint 2013 site should provide a high level synopsis of the purpose of the site, as well as its intended audience. It should also include contact information for the site owner.

The following guidelines pertain to the home page for specific site types.

Intranet (http://intranet)

PGW’s corporate intranet site publishes content company-wide. To develop and approve of public content posted here, use existing processes, through Corporate Communications.

Departmental site (http://departments/sitename)

Departmental sites are used by the respective departments as collaboration areas. The content on department home pages should contain high-visibility information for that department.

Ultimate control of the content and Web parts is subject to the control and approval of the site owner, in compliance with corporate branding, Web design, and policy requirements.

Team site (http://teamsites/sitename)

Team sites are used by cross-department teams or affinity groups as collaboration areas or sites to manage corporate initiatives. The content on team site home pages should contain high-visibility information for the members of the team.

Ultimate control of the content and Web parts is subject to the control and approval of the site owner, in compliance with corporate branding, Web design, and policy requirements.

2.6 Metadata

Metadata is information about an information resource (such as a document) that is stored separately from that resource. It contains data (such as the resource’s location, owner, or type of content) that greatly facilitates management and rapid retrieval of the resource.

The importance of metadata can be pointed out in two use cases.

http://intranet/

http://departments/sitename

http://teamsites/sitename



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First, metadata in SharePoint 2013 is implemented using columns. In a list or library with potentially thousands of items, filtering, sorting, or grouping by columns greatly facilitates drilling down to specific targets.

Secondly, metadata is important when it comes to search functionality. The advanced search capabilities of SharePoint 2013 can be configured to allow users to scan for certain keywords, and metadata itself is indexed. So if a search term used by a user is not found in a document, but is stored as metadata on that document, then the search term will still yield positive results.

Metadata can be implemented within SharePoint as three formats:

List column. A column is added to a list or library. The column is only “visible” in that particular list or library. It is not a “re-usable” column.

Site column. A column is added to the Site Columns gallery on the Site Settings page. These columns are usable in any list in the current site, or sites below the current site.

Enterprise metadata. A hierarchical representation of terms is grouped together by term sets. The stored terms can be used in a list or library in any site throughout the entire site collection.

When customizing a list or a library with additional metadata columns, consider the following question before creating the column: Might this column be relevant in other lists or libraries across the departmental or team sites? If the answer is “yes,” consult the Senior Technical Writer for further guidance.

2.7 Content Types

A Content Type is a collection of settings that define a particular type of information, such as a project plan or financial report. A content type can be defined for the entire enterprise or for an entire site collection. It can also be defined “locally” for a specific page or site.

Site columns group information into categories, as in the example of Figure 2.2. They are the

“properties” of a particular type of content. Columns are part of the attributes or properties of a

Once a corporate taxonomy and enterprise metadata have been established,

consider inserting a link in this section to the documentation of the term groups

and term sets.

NOTE



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content type. Site columns can also be defined across the entire solution or for an individual site or site collection.

Content types and site columns are both types of “metadata” in SharePoint 2013. The values for many site columns (metadata) are site-specific. Create a glossary of terms.

Some best practice guidelines are as follows:

Limit the number of core content types that are created. Users will have to pick from among them, and the more there are, the more confusion can arise.

Minimize the number of metadata columns in your content types.

- A user who has to expend too much effort to save documents may grow frustrated.

- Five or six metadata columns is generally considered sufficient. Documents with twelve or more metadata columns may dissuade users from using the content type.

Only create site columns for metadata information that is not likely to be contained in the document itself.

Make it as easy as possible for users to populate fields. Set smart default choices, and make as many fields optional as possible.

The Choice site column type displays a list of values as drop-down lists, radio buttons, or check boxes. Using this list can reduce the chance of user error, and maintain more consistent metadata values.

Look-up columns are also useful to help delegate list management responsibility. Any user with create or modify permissions for the list will be able to adjust the values in the site column without requiring the help of a SharePoint Administrator.

Avoid creating Choice values that are too specific — content authors may be forced to “misfile” their content.

- The file folder is a classic example of a system that causes this type of error. If an item could belong to multiple categories, use the Check box Choice column type.

When customizing a list or library, if the customizations are relevant to other lists or libraries across the departmental or team sites, then they may be good candidates for creating a content type.



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When creating a content type, it is important to create at the highest relevant level within the site structure, to ensure that the type is usable throughout the site hierarchy.

Figure 2.2. Metadata Columns

2.8 Site Level Security

Security considerations are one of the most important design elements for a SharePoint 2013 site, since an understanding of how objects need to be secured on the site is an essential prerequisite of good site structure, page layout, and metadata design.

In almost all SharePoint deployments, end users will have some capabilities to manage security for sites they control. Therefore, an understanding of the mechanisms of SharePoint security is of critical importance to anyone with the authority to assign security levels.

SharePoint 2013 provides the capability to secure content down to the item level, and provides multiple options for creating security groups. This is both a blessing (because of the flexibility it enables) and a curse, as users can easily create overly complex and virtually unmanageable security models.

As a best practice, “security planning” consulting should be offered to users who are new to SharePoint 2013, because planning security can easily fall into the category we call “don’t try this at home.”

2.9 Security Models

For the departmental sites, members of the department are added to the site members group via the Active Directory group to which they belong.

Dept

Project

Start

End

Budget

Team



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The site owners group is populated with individual users, two from each department.

On the other hand, for team sites, the site owners group for each site is populated with the designated owning individuals. These owners then create the permissions required by the additional site members.

Table 2.1 (SharePoint Groups and Permission Levels) lists common SharePoint 2013 groups and their respective permission levels.

A consideration of strategies for assigning user permissions to a SharePoint 2013 site using Active Directory is discussed in Table 2.2.

Table 2.1. SharePoint 2013 Groups and Permission Levels

Group Permission Level Description

Owners Full control Owners have full access to the site, and all site content.

PGW policy is to designate a primary and secondary site owner.

Visitors Read Members have read-only permission to the site and all site content.

Approvers Approve Members can approve items in lists and libraries that use the Content Approval setting.

Members Contribute Participants in this group can add, edit, and delete items in lists and libraries within the site.

Designers Design Members can manage (customize) lists and libraries. They can also add, edit, and delete items in lists and libraries.



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Table 2.2. Assigning User Permissions Using Active Directory

Permission Assignment

Implication Guidelines

Active Directory group added to SharePoint 2013 group

In line with accepted best practices

Recommended method

Active Directory user added to SharePoint 2013 group

Adding individual users can result in more security entries than is desirable.

However, if an appropriate AD group does not exist, it is acceptable to add AD users to a SharePoint 2013 group.

Acceptable method when an existing AD group does not exist.

The site owners group is a good example of this usage. Typically, individual AD users (not groups) are added to the site owners group.

Active Directory group added to site and granted permissions directly

It is more difficult to track a user’s permission level when s/he is not placed in a SharePoint 2013 group.

Slightly better than adding individual user accounts to a SharePoint 2013 site, but not recommended.

Active Directory user added to site and granted permissions directly

Adding individual users results in too many security entries.

It is more difficult to track a user’s permission level when s/he is not placed in a SharePoint group.

The easiest way to grant permissions, but the hardest to manage. For example, removing users is more difficult.

Not recommended.



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2.10 Branding

Within an intranet solution, if the site branding changes from site to site, users may become confused as to their location, and wonder “Where am I?” So branding standards and policies may be instituted.

Changes to the SharePoint 2013 site theme will be permitted, but a consistent use of site-to-site themes is encouraged.

The site’s title and description can still be changed. PGW has a navigation standard for links that appear in the top “Global Navigation” bar.

Branding in the “Master Page” (the “chrome” area of the Web page) will be controlled in the Root site and pushed down to each site within the hierarchy.

2.11 Reporting

Usage reports can deliver metrics to a site owner on how much their site is being used, and which users are accessing the site most frequently.

Site owners are encouraged to view the usage reports periodically (perhaps once a month) to ensure that the efforts being put forth by those contributing to and customizing the site are bearing fruit.

The first rule of any technology used in a business is that automation applied to an efficient operation

will magnify the efficiency.

The second is that automation applied to an inefficient operation will magnify the inefficiency.



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— Bill Gates



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3 SharePoint 2013 Content Management

3.1 Posting Content to Sites

3.1.1 Content Publishing

The design of SharePoint sites designated as “public” will be proposed by Corporate Communications. The design of “private” sites, those for the use of departments and teams, rests with the discretion of those units.

On PGW’s corporate intranet, content publishing will be tightly controlled by the SharePoint publishing feature and associated workflows. Content editors’ changes will be subject to an automated review process by an approver, followed by a publishing process by the intranet site owner.

On departmental sites and team sites, the SharePoint publishing feature will not be activated. Edits to the home page and other pages in the site will be controlled by permissions. Those that have permissions to change a page will not have their edits subject to an approval or publishing process.

3.1.2 Content Submission

Publications created with the intent of being shared company-wide via SharePoint must be

approved by Corporate Communications to ensure they meet required standards. The submission

and publications process is as follow:



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2. Department Head/Leadership Reviews

And Approves Documentation

2. Department Head/Leadership Reviews

And Approves Documentation

4. DepartmentDesignee Gets

Approval Signature(s)For The CorporateCommunications

Project Request Form

4. DepartmentDesignee Gets

Approval Signature(s)For The CorporateCommunications


1. Department Designee Prepares

Documentation

1. Department Designee Prepares

Documentation

3. DepartmentDesignee Completes



3. DepartmentDesignee Completes



7. CorporateCommunications

Reviews and Approves the

Document

7. CorporateCommunications

Reviews and Approves the

Document

8. Corporate Communications

Publishes the Document to SharePoint

8. Corporate Communications

Publishes the Document to SharePoint

5. Department DesigneeSends Approved Document and

Corporate Communications Project Request Form to


5. Department DesigneeSends Approved Document and

Corporate Communications Project Request Form to


6. Corporate Communicationms

Retrieves the Approved Document

6. Corporate Communicationms

Retrieves the Approved Document

Figure 3.1. SharePoint Document Submission and Publishing Process

1. Department designee prepares documentation.

2. Department head / leadership reviews and approves documentation.

3. Department designee completes the Corporate Communications Project Request Form (see Figure 3.2 below).

4. Department designee gets approval signature(s) for the Corporate Communications Project Request Form.

5. Department designee sends approved document and the Corporate Communications Project Request Form to Corporate Communications via email at [email protected].

6. Corporate Communications retrieves the document.

7. Corporate Communications reviews and approves the document.

8. Corporate Communications publishes the document to SharePoint.

mailto:[email protected]



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Figure 3.2. Corporate Communications Project Request Form

3.1.3 Site Customization

Special requests (such as third party add-ons) must be submitted to IS for evaluation.

InfoPath and SharePoint Designer are not intended for use outside of the SharePoint technical team.

If a user wishes to use SharePoint Designer for customizing a SharePoint site, list, or library, the user must first complete training on the product prior to initiating a request for the software.



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3.1.4 Prohibited File Types

For security reasons, the following file types are blocked from upload to SharePoint 2013 sites:

Executable files (.exe, .com)

Script files (.vb, .vbs, .js)

Batch files (.bat, .cmd)

Configuration files (.config, .ini)

3.1.5 Personal Pages (the user profile)

In the user profile, site members can declare both their interests and expertise, so that co-workers can learn more about one another and make connections. The more information a user chooses to share in his/her profile, the richer the potential social network and professional relationships that can be built. Profile pages also surface when users perform a people search.

In addition to skills and interests, SharePoint 2013 provides a forum for users to identify their areas of expertise in a space called “Ask Me About.” This area allows users to define topics along the lines of “I can help you with this.”

In addition to encouraging users to add key milestones, consider asking users to “narrate their work,” that is, to add a status update when they are at a critical point in a project, or need assistance from others.

3.1.6 Retention of Records

In SharePoint 2013 there are two ways to declare that an item is a record:

1. In-place

2. In the records archive (a special SharePoint site designated as a Records Center)

At present, there are no plans to institute a Records Center location. Therefore, in-place records management is the only option currently.

Once a document is declared an in-place record, it is no longer editable. Since even site owners would not then be able to edit an in-place record, careful consideration must be given before making this declaration.

Content owners have the responsibility to identify their content as

records, and to associate the appropriate record retention code to their

content items.

NOTE



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3.2 Content-Specific Guidelines

High-impact collaboration solutions ensure that content is easily accessible by end users. Specifically, content should not just be “findable,” but also structured and written for online consumption.

Content contributors to SharePoint 2013 sites may not be familiar with best practices in writing for the Web. Following are several points of standards, policies, and best practices that may prove helpful.

3.2.1 Business-Appropriate

Governance policies for social content must weigh organizational needs against discouraging content contributions.

On sites such as blogs, wikis, and discussion boards, guidelines as to what constitutes “business-appropriate” language and content should be consistent with existing published corporate policy. This includes such topics as political activities, business or club affiliations, hobbies, or comments about the company or co-workers.

3.2.2 Announcements

Overall, the tone should be concise and helpful. Create a descriptive, but succinct, title.

In the announcement text, specify the most important information first. Write briefly, using no more than four to five sentences. Avoid using large fonts and heavy use of white space. Do not underline hyperlinks. Make the link text a concise description of its function, as an additional aid for reader scans.

Here is an example of preferred language.

Click here for the latest application form. Not preferred.

Download the latest application form. Better—but no link provided.

Download the latest application form. Best—links directly to the form.



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3.2.3 Naming Conventions

Conventions for the naming of site elements should adhere to the guidelines articulated in Table 3.1 below.

Table 3.1. Naming Conventions

Element Convention

Site names No spaces, no special characters, and a maximum of eight characters in length.

List and library names

No spaces, no special characters, and a maximum of fifteen characters in length.

Columns No spaces, no special characters, and a maximum of eight characters in length.

Permissions group names

Should include the department or functional name, and the permission level in the title. For example: Marketing Contributors

Names of documents in libraries

No spaces, no special characters. Self-documenting, but brief. Keep the length reasonable.

3.2.4 Alerts

In the creation of alerts, consider the following pointers on best practices:

Secure approval from a user before including his/her email address in an alert group recipient list.

Create alerts only for specific conditions. For example, alerting on “any changes” to a list that is often updated would likely generate an excessive number of notifications.

Limit alert creation to events that deliver useful information and are actionable.



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3.2.5 Social tags and ratings

Social tags refer to a type of metadata that users can add to content to help define what it is, what it includes, or what it does.

Social feedback (content added by users as “tags” and “ratings”) was added in SharePoint 2010. These capabilities allow users to participate and interact with the SharePoint solution, and improve content “findability” by allowing individuals to supplement formal classification with additional tags they find personally meaningful.

If you choose to activate the Ratings feature in a library, users will have the option to “rate” documents (and pages) on a scale from zero to five stars. One example might be for users to comment on whether they find the site content well-written and useful.

3.3 Links

3.3.1 Guidelines

In some cases, users and site designers will have the option to indicate whether or not a link

should open in a new window. In general, the following standards are recommended for links:

Do not open in a new window: Links to documents or pages within the same

site collection

Open in a new window: Links to documents or pages from a different

site collection

Open in a new window: Links outside the PGW intranet (to a different

application within PGW, or to an Internet site).

Links from one site to another (for example,

3.3.2 Broken Links

Content contributors may insert, into their own site, links that access content residing on a site with a different owner. For example, the same user manual uploaded to Site A could also be conveniently referenced by Site B and Site C by simply adding a link to the manual on Sites B and C.



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However, should the owner of Site A delete the manual from his/her site, if Sites B and C click

the link, they would receive error messages indicating a missing or broken link.

3.4 Site Asset Libraries

Site asset libraries are used to host multimedia content that will be displayed on a SharePoint page. When uploading a media file to a site asset library, the user will be prompted to classify the content via the content type selection, and apply appropriate metadata.

Content posted to picture libraries should be business-related and suitable for publication in the corporate environment, in accordance with the published business-appropriate content standards of this Plan. See Section 3.1.7 Business-Appropriate.

Images should be reasonably sized. For example, any images that will be posted to the home page of a site should not be so large that a user has to scroll around the image. Overly large images could distract from the site’s main theme.

3.5 Document Libraries

SharePoint is an appropriate tool for the publication of documents to a large audience. However,

space usage should be judiciously considered. The platform is not intended to become an

indiscriminate file dump, nor a mechanism for file sharing with users external to PGW.

SharePoint users must already have been issued a PGW network user ID.

Document libraries can store documents in a wide variety of file types (Word, PDF, Excel,

PowerPoint, and so on).

For content which contains links, it is important to:

Clearly define who is responsible for assuring that a site’s links

are not “broken.”

Define a standard by which users are required to edit documents in place, so that links between sites do not break.

Prior to posting image content to a site, confirm that PGW either owns the

image or has obtained the proper licenses for its use.

NOTE

NOTE



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If a document is uploaded in its native format (Word, Excel, or PowerPoint), users will be able to

easily download the file and edit it to create their own versions. Documents that might be

“reused” in this fashion should always be uploaded in their “native,” editable format. (However,

unless a user has been granted Contributor privileges to a library, s/he will not be able to post the

edited document back to the same site.)

PDF format is recommended for very large documents. This format reduces file size and

download time.

Documents that must be protected from changes, even on a “private” copy, should be uploaded in

a “protected” format, or with passwords that allow document update access.

Any documents containing confidential or restricted information should be protected at the

document level (that is, password protected).

Consider creating a new document library when either the taxonomy (categorization of document

type or subject) or permissions required for new documents are different from the content of

existing libraries.

Prior to posting image content to a site, confirm that PGW owns the image, or

has obtained the proper licenses for its use.

PGW has set a maximum file upload size of 50 MB. Users will receive an

error message if they attempt to upload a document in excess of this value.

NOTE

NOTE



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3.6 Folders

Several points concerning the creation and use of folders in document libraries should be considered.

Path names (that is, URLs) have size limits.

SharePoint 2013 limits total path name length to 260 characters.

To avoid excessively long path names, avoid nesting folders and keep your site

names, list and library names, and file names short.

Folders are linear (one-dimensional).

Drilling down or up through a folder structure proceeds one level at a time. Jumping around is not an option.

To get where you want, you have to know where you’re going.

Navigation of folder structure may require familiarity with that structure. There are many possible ways to organize documents in a folder structure—for example, by department, by project, by subject matter, by fiscal year.

But how would a user know how a folder “librarian” classified and filed a document? its owning department? time of creation? associated project?

Do not use folders for organizing content.

Instead of using folders in a list or library to organize content (as might be done in a file system), use metadata columns.

The metadata navigation setting in a library can, views to sort, filter, and navigate to content.

3.7 Recovery

3.7.1 Content

If a user deletes either an item in a list or library, or the list or library itself, the deleted item(s) migrate to the recycle bin. The user who performed the deletion can recover them from the recycle bin for up to thirty days.



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However, if more than thirty days have elapsed, or if the user has emptied his/her recycle bin, recovery of the content must be requested from a site collection administrator (that is, from Information Services).



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3.7.2 Site

SharePoint 2013 includes a site recycle bin. However, if an owner accidentally deletes a site, a site collection administrator will have to perform the site recovery.

The same retention settings and service level agreement that applies to lists and libraries applies to sites.

PGW will not guarantee recovery of individual items, lists, or sites after

thirty days have elapsed. The user may submit a request to have the content

restored, but IS will only commit to a “best effort” attempt to recover the data.

WARNING



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4 SharePoint 2013 Support and Education

4.1 Support Escalation 1. In the event of an error message or functionality issue in SharePoint 2013, the user

should contact the site owner. The site owner will determine if the circumstance is an isolated incident, and attempt to resolve the problem.

2. If the site owner establishes that it is not an isolated incident, or is unable to resolve the problem, s/he will submit a Help Desk ticket on behalf of the user.

3. If the Help Desk is unable to resolve the issue, a Microsoft Support Team incident may be opened.

4.2 Education and Training

Training will be available for specific job roles within SharePoint 2013. The following training venues are examples of training options.

SharePoint 2013 Training for IT Pros - http://technet.microsoft.com/en-us/sharepoint/fp123606.aspx

SharePoint 2013 Training Curriculum Guide - http://aspe-it.com/sharepoint-training/

SharePoint 2013 Power User Boot Camp (ASPE) - http://www.aspe-it.com/courses/sharepoint-2013-power-user-boot-camp/

- Table 4.1 on the following page contains suggestions for role-specific course offerings.



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Table 4.1. SharePoint 2013 Training

Role Course(s)

IS Administrator Upgrading to SharePoint 2013

Site Owner/ Power User SharePoint 2013 Power User Boot Camp

Project Managers Using SharePoint 2013 for Project Management

SharePoint Developer SharePoint 2013 for Developers

Business Intelligence Analyst

SharePoint 2013 for Business Intelligence

End User PGW Training / Lunch & Learns / Webinars



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APPENDIX 3. PGW SHAREPOINT EMS

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