Proposed%202015%20Work%20Plan
2015 Proposed Flexible Work Plan by Port of Seattle Internal Audit January 1, 2015, through December 31, 2015 Issue Date: February 10, 2015 2015 Flexible Annual Work Plan Table of Contents RISK SCORING METHODOLOGY 3 RISK RATING SUMMARY 4 1) Carryover Audits from 2014 2) Comprehensive Operational Audit (i.e., Business Units/Departments Operational Audits) 3) Limited Operational Audit (Functional Port-wide Audit Approach) 4) Central Key Processing Systems 5) Information Technology Audits rd 6) 3 Party Management Agreements 7) Lease and Concession TOP 40 AUDITABLE UNITS BASED ON OUR RISK SCORING METHODOLOGY 12 PROPOSED 2015 AUDIT PROJECTS WITH PRIOR AUDIT COVERAGE 14 2 of 17 2015 Flexible Annual Work Plan Risk Scoring Methodology A risk assessment is a subjective process that requires in-depth audit experience and professional judgment. Based on the department's institutional knowledge, discussions with key Port leadership, data analytics, and prior audit history, Port activities/programs/initiatives fall into the following six auditable units. Each auditable unit is assessed and rated on a scale of 1 to 5 for the following applicable risks: 1. Strategic/Governance Risk Risk of inconsistent policies and guidance with poor strategic directions 2. Operational Risk Risk of ineffective and inefficient operations due to inadequate processes and management 3. Accountability/Transparency Risk Risk of becoming a remiss custodian of the public trust 4. Reporting Risk Risk of misreporting (i.e., miscommunicating) financial and operating results 5. Information Technology (IT) Risk Risk of significant negative impact to operations due to unmitigated Information Technology (IT) vulnerabilities 6. Compliance Risk Risk of noncompliance with applicable federal, state, local, and Port policies, procedures, and agreements The current Internal Audit risk rating model consists of the following: Six columns across, each representing one of the aforementioned six risks Auditable units listed in rows Below is a snapshot of the risk rating model (only two risks are listed for demonstration purposes): Governance Risk Operational Risk Impact Likelihood Impact Likelihood Business Units Auditable unit #1 Auditable unit #2 3 of 17 2015 Flexible Annual Work Plan On a scale of 1 to 5, Internal Audit rates each auditable unit under applicable risks for theirimpact and likelihood. Following the assignment of the risk rating of impact and likelihood, the ratings are multiplied to derive a final quantitative determinant on a scale of 1 to 25 (5 for impact x 5 for likelihood). Auditable units are sorted in descending order based on the quantitative determinant to generate a work plan for the upcoming year. The final risk determinant translates to the following qualitative risk ratings of low, medium, and high: Low Risk=1-5 5.0 5.0 7.5 10.0 12.5 15.0 17.5 20.0 22.5 25.0 Medium Risk=6-12 4.5 4.5 6.8 9.0 11.3 13.5 15.8 18.0 20.3 22.5 High Risk=13-25 4.0 4.0 6.0 8.0 10.0 12.0 14.0 16.0 18.0 20.0 3.5 3.5 5.3 7.0 8.8 10.5 12.3 14.0 15.8 17.5 3.0 3.0 4.5 6.0 7.5 9.0 10.5 12.0 13.5 15.0 2.5 2.5 3.8 5.0 6.3 7.5 8.8 10.0 11.3 12.5 2.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0 10.0 1.5 1.5 2.3 3.0 3.8 4.5 5.3 6.0 6.8 7.5 1.0 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0 Risk Rating Summary Internal Audit's risk assessment and scoring resulted in the following proposed audits by type: Est. Hours Audit Type Count Hours % Lease and Concession 3 1,300 14% Limited Operational Audit 10 5,550 61% Comprehensive Operational Audit 3 950 10% Non-Lease Audit Coverage 3rd Party Management 0 0 0% 79% Central Key Processing Systems 1 450 5% IT Reviews 1 300 3% Contingency for unexpected 600 7% projects and consulting services Specific suggested audits for 2015 are as follows: 1) Carryover Audits from 2014 The following reviews started in 2014 and were carried over to 2015 to complete. a) Sky Chefs Lease and Concession Audit 4 of 17 2015 Flexible Annual Work Plan Sky Chefs is one of three in-flight kitchen agreements planned in the 2014 work plan. The audit started in December and was challenging to gather the necessary information during the holidays. The information requested was slow and sporadic in coming which inevitably delayed the audit progress. The audit will be completed and exited with the Committee in February 2015. b) Flying Food Group Lease and Concession Audit Similarly, the holidays and other interruptions, plus delay in receipt of documents from the lessee, prevented completion of this audit in 2014. The audit will be completed and exited with the Audit Committee in February 2015. c) SLOA III Compliance with the Rates and Settlement Review Following a lengthy negotiation, the Port Commission authorized the execution of a fiveyear lease agreement, effective November 2013. The agreement is expected to generate approximately $1.3 billion in operating revenues within the term of the agreement. The latest SLOA agreement contains provisions that are different and new from previous agreements. Additionally, the agreement requires the retroactive application of the new rates and charges. The fieldwork includes many walk-throughs of the current management processes related to pooling and verifying relevant costs. Obtaining a complete understanding of the cost accounting was more time consuming than initially anticipated. Additionally, it was challenging to schedule meetings with staff during the holidays. The audit will be completed and exited with the Audit Committee in February 2015. d) Information Technology Audits (Data Center and Post-implementation of PeopleSoft Upgrade) In the 2014 work plan, there were two technology audits to be outsourced: 1) Data Center Review, 2) PeopleSoft Post Implementation Review However, the Audit Committee had another high priority audit that was not originally in the 2014 work plan. The Committee requested, first, an audit of the Port's procurements and contracting practices. That audit was outsourced to Mobius Industries USA, Inc., and the audit results were presented to the Audit Committee in July 2014. Because of the Port's procurements and contracting practices review, the procurement of a consultant for the technology engagements was delayed until the latter part of the year. A consultant for the two technology audits was procured in mid-November. Due to scheduling challenges during the holidays, the consultant could not start the audits until January 2015. The two information technology audits are currently in process. They are expected to be completed during the first quarter of 2015. 5 of 17 2015 Flexible Annual Work Plan 2) Comprehensive Operational Audit (i.e., Business Units/Departments Operational Audits) There are approximately 70 business organization nodes at the Port. A node is a group of individual org units that share common business purposes. Below is a pie chart demonstrating business unit audit coverage in the past. The majority of the audit coverage shown below represents the last five years. Previously audited business units represent those we assessed and deemed to be most at risk. Audited Not Audited 45.45% 54.55% The list below of proposed business unit audits captures all high-risk departments based on the 2014 risk assessment. No high-risk departments are part of the group of not-audited (55% in the above pie chart). Internal Audit recommends the following business units for audit in 2015. Internal Audit conducts risk-based audits; thus, while a department audit includes all aspects of department operations, only the areas of perceived high risk will be included in the final scope. Additionally, performance aspects of department operations will be part of all department audits, where feasible. a) Commission Office This department audit was postponed in 2013, due to the department's staffing challenges. A department audit includes all aspects of department operations and processes that enable it to achieve its goals and objectives. This is not an audit of the Commission, but an audit of the department's activities and processes. We propose an audit to assess management controls in high risk areas to ensure adequate and sufficient mitigation. b) Survey and Mapping Services Department The department of 17 FTEs provides survey services to various Port departments. In the last few years, the department's overtime expenditures have increased from $40,000 to $152,000. We propose an audit to assess management controls to ensure adequacy and effectiveness in high-risk department activities. 6 of 17 2015 Flexible Annual Work Plan c) Ground Transportation Department The department generates approximately $7 million in revenues from multiple sources, including two large concession agreements with ground transportation operators: 1) taxis and 2) limousines. We propose an audit to assess management controls to ensure adequacy and effectiveness in high-risk areas, including but not limited to revenue generating activities and compliance with concession agreements. 3) Limited Operational Audit (Functional Port-wide Audit Approach) a) Purchasing Card Program. The Port has had a procurement card program for many years. The program has been expanding over the last three years, and the growth is expected to continue. The Port has spent an average of $7.5 million in the last three years in P-card purchases from such vendors as Amazon and Keeney Office Supply. Generally P-card purchases are high volume, frequent purchases of small dollar items. At the Port, the accountability of P-card purchases is at the department level. Each department is required to have an effective system of request/approval that includes the proper retention/reconciliation of purchase documents on a regular basis. We propose an audit to assess management controls at the department level to ensure system effectiveness, complete/accurate records, and accountability. b) Inventory Systems at Aviation and Seaport Maintenance The Port's maintenance departments are responsible for maintaining facilities and equipment that are fundamental to Port operations. To ensure timely availability of necessary items for maintenance efforts, the departments maintain a quantity of items on hand at various locations. The Aviation and Marine Maintenance have approximately $6 million and $200,000 in inventory, respectively. We propose an audit to assess management controls to ensure system effectiveness, complete/accurate records, and accountability/safeguarding of inventory items. c) ScRAPS 2 Truck Replacement Program As part of the Port's clean air strategy to reduce air emissions, the Port and its partners launched ScRAPS 2 (Clean Truck Program) in 2014 to replace old engines of drayage trucks entering Port container terminals. The purpose of the program is to replace older trucks with newer truck models, which produce less diesel emissions and pollution. Old trucks that are replaced are scrapped so that they cannot be used elsewhere. The program is funded with federal, state, and local funds. Its current budget is approximately $7 million. The program provides financial incentive to truck owners, and each can receive $20,000 to $30,000, depending on eligibility. 7 of 17 2015 Flexible Annual Work Plan We propose an audit to assess management controls to ensure: compliance with program requirements, program effectiveness or appropriateness in achieving desired outcomes, and accountability over program funds. d) Airfield Insurance Program Non-Port motor vehicles having business on the airfield at Sea-Tac International Airport are required to submit evidence of liability insurance. These requirements include all airlines, concessionaires, construction companies, etc. The Port monitors the requirement at each gate of entry onto the airfield. The lack of insurance poses risk to the Port due to potential property/personal damage and loss. We propose an audit to assess effectiveness of management controls to ensure timely/complete compilation of insurance evidence and proper monitoring at the gates of entry. e) New Banking Services Contract with Wells Fargo The Port entered into a new banking services contract in May 2014. The new five-year contract introduces revisions to Port procedures on cash management, from wire transfers to check approvals. For the Port's operating activities, alone, the bank will process an annual average of $500 million and $280 million in revenues and disbursements, respectively. Services covered by the contract include, but are not limited to, web payments, merchant services (e.g., credit and debit cards), and lockbox services. We propose an audit to assess management controls for mitigating risks and ensuring compliance with the terms and conditions. f) Capital Programs at Aviation Division The airport capital program has been very active and will remain so in the foreseeable future. There are 50+ individual projects at various stages, including such high-profile projects as International Arrivals Facility, the replacement of the center runway, and NorthSTAR. The projected capital spending for the next five calendar years is well over a $1 billion. Aviation Division Capital Budget (in millions) 2015 2016 2017 2018 2019 Total $299 $374 $310 $211 $172 $1,366 Source: 2015 capital budget Internal Audit began audit of coverage of capital programs as part of the 2014 work plan and proposes a continuation in anticipation of increasing capital program activities at the airport. We propose an audit to assess risks and controls in all significant areas of the capital program. 8 of 17 2015 Flexible Annual Work Plan g) Aviation Division-wide /Receipting Operations There are a number of receipting locations within Aviation Division, from public parking, with millions in receipts, to maintenance operations, with occasional discount checks in tens of dollars. Cash and checks receipted by staff (versus processed by lockbox) are most at risk of misappropriation. To mitigate the inherent risk, management must implement sufficient and effective controls (e.g., separation of duties) to prevent and detect unauthorized transactions. We propose an audit to assess management's receipting controls to ensure effectiveness and accountability. h) Other Programs and Initiatives The Port Commission and management have undertaken a number of programs/initiatives, which will have significant impact to Port operations over the next few years. During the implementation periods, there is a need for audit services to assist management efforts. We propose to conduct appropriate procedures for the three programs/initiatives to verify relevant facts, identify risks, assess adequacy of established controls, and review compliance with applicable requirements. a. Airport Dining and Retail Program The Port of Seattle Commission, at its February 14, 2012 meeting, adopted a motion to provide staff with guidance in the redevelopment of the concession program. Based on the guidance, Port staff has developed, over the course of two-and-a-half years, the Airport Dining and Retail (ADR) program. In December 2014, Internal Audit was engaged to validate the accuracy of some management assertions related to the ADR program. We have completed that attest engagement. b. Seaport Alliance The Port of Seattle and the Port of Tacoma have agreed to form an alliance to manage terminal operations and other related functions of both ports. The two Commissions have executed an Interlocal Agreement, which provides a preliminary framework for the Alliance. In the coming months, staff from both ports will continue to work on the details of the alliance framework. c. Stormwater Utility District The Port Commission has adopted Resolution No. 3696 for the formation of a stormwater utility district pursuant to RCW 53.08.040. The utility would operate a stormwater system for all Port-owned property in King County, eventually including the airport. Processes and new procedures will need to be established for the utility. 9 of 17 2015 Flexible Annual Work Plan 4) Central Key Processing Systems An audit of payroll processes at Accounting and Financial Reporting (AFR) was one of the audits in the 2014 work plan. However it was postponed with Audit Committee approval because AFR was experiencing staffing challenges. We propose to resume and complete the audit in 2015. 5) Information Technology Audits Information Technology (IT) is ubiquitous and critical to Port operations. Internal Audit began conducting IT audits, based on an information technology risk assessment project that was conducted by an IT consultant in 2012. As part of that IT risk assessment, the consultant was also engaged to develop an IT work plan for the next three years. Our 2015 work plan is driven by that IT work plan and recommendations, but we internally reassess those recommendations each year. We propose the following audit in 2015: a) Health Insurance Portability and Accountability Act (HIPAA) Compliance HIPAA is applicable to the Port's self-insured medical and dental programs. We propose an audit to determine the effectiveness of management controls to ensure the proper protection of "individually identifiable health information" in compliance with HIPAA requirements It should be noted that the planned 2015 IT audit will be outsourced. Internal Audit is not currently staffed with the necessary expertise to conduct specialized IT audits. However, Internal Audit staff will assist, to the extent feasible, to gain experience and to facilitate the project. 6) 3rd Party Management Agreements No 3rd party management agreement audits are proposed in 2015. 7) Lease and Concession There are approximately 480 lease and concession agreements according to PROPworks. Of those, we have audited 40 agreements to date. See Graph #1. Of the total lease and concession agreement universe, approximately 80 have a concession part to the agreement, and these are considered high risk. The remaining lease agreements are mainly for space rentals. Although these agreements have a high financial impact, they are considered low risk due to the fixed and regularly occurring income stream (i.e., rent). 10 of 17 2015 Flexible Annual Work Plan Audit Coverage as Percentage of the Total Lease and Audit Coverage as Percentage of the Concession Concession Agreement Universe Agreements Only Audited Not Audited Not Audited Audited 8% 49% 51% 92% Graph #1 Graph #2 For concession agreements, we have audited about 40 agreements in the past. See Graph #2. The agreements we have audited represent agreements with the largest financial contributions to the operating revenues (i.e., most at risk). Our approach to concession audits in the past five years has been to cycle the biggest revenue contributors as frequently as department resources permit. The remaining concession agreements are of low dollar revenue streams to the Port and, thus, considered low risk in quantitative terms. Internal Audit proposes the following lease agreements for audit in 2015: a) Rent-A-Car (RAC) Lease and Concession Agreements o Enterprise o Two medium-sized operators In 2014, each of four medium-sized rental companies generated an average of $600,000 in rental concession revenues. Internal Audit proposes an audit of the top two in the group to maintain audit presence: 1) Firefly RAC and 2) Seatac RAC. These two rental cars have not been audited in the past. b) Cruise Terminal of America (CTA) CTA is a cruise terminal operator leasing terminals at Pier 66 and Pier 91. The Port generates an average of $13 million in space rentals and preferential use of the docks. 11 of 17 2015 Flexible Annual Work Plan Top 40 Auditable Units Based On Our Risk Scoring Methodology Legends for the table are as follows: - Projects recommended for audit in 2015. * - IT risks will be addressed in a separate engagement by an independent consultant. @ - Risks associated with airlines are addressed in separate engagements by type as opposed to reviewing each airline agreement for particular fee provisions. X - Auditable units not considered for 2015 audits b ecause of unavailability of audit resources. Every year, Internal Audit will strive to audit what it believes has the highest risk to the Port. Column headers are as follows: 1st column rating from 1 to 40 2nd column auditable units 3rd column total risk rating score (product of the 4th and the 5th column) 4th column risk rating score for impact 5th column risk rating score for likelihood 6th column Internal Audit established audit categories/groups 7th column Recommended list of 2015 audits Risk Auditable Unit Total Impact Likelihood Audit Universe Group Recommended Rating Risk 2015 Score Audits (1) (2) (3) (4) (5) (6) (7) Aviation Division-wide Receipting Limited Operational 1 15.00 4.00 3.75 Operations Audit 2 Alaska Airlines 14.96 4.28 3.50 Lease and Concession @ 3 United Airlines 14.44 4.13 3.50 Lease and Concession @ 4 Delta Air Lines 14.00 4.00 3.50 Lease and Concession @ Limited Operational 5 Capital Programs 14.00 4.00 3.50 Audit 6 HIPAA Compliance 12.50 3.75 3.33 IT Audit * Limited Operational 7 ScRAPS 2 Clean Truck Program 12.50 4.00 3.13 Audit Limited Operational 8 Airfield Insurance Requirements 12.50 4.00 3.13 Audit Limited Operational 9 New Banking Contract 12.50 4.00 3.13 Audit Airport Dining And Retail (ADR) Limited Operational 10 12.50 4.00 3.13 Program Audit Inventory at Maintenance Limited Operational 11 12.50 4.00 3.13 Departments Audit Limited Operational 12 P-Card Program 12.50 4.00 3.13 Audit 12 of 17 2015 Flexible Annual Work Plan 13 Enterprise Rent-A-Car 12.25 3.50 3.50 Lease and Concession 14 Cruise Terminals Of America (CTA) 12.25 3.50 3.50 Lease and Concession Central Key Processing 15 Central Payroll Processes 12.15 3.60 3.38 Systems Limited Operational 16 Seaport Alliance 12.00 4.00 3.00 Audit Limited Operational 17 Stormwater Utility 12.00 4.00 3.00 Audit Comprehensive 18 Ground Transportation 11.75 3.92 3.00 Operational Audit Comprehensive 19 Survey and Mapping Services 11.67 3.33 3.50 Operational Audit Comprehensive 20 Commission Office 11.50 3.83 3.00 Operational Audit 21 IT Asset Management 11.25 3.38 3.33 IT Audit X 22 Medium-sized Rental Companies 11.22 3.30 3.40 Lease and Concession 23 Airport Management Services 11.18 3.73 3.00 Lease and Concession X 24 IT Risk Assessment 10.97 3.50 3.13 IT Audit X 25 Southwest Airlines 10.94 3.13 3.50 Lease and Concession X 26 American Airlines 10.94 3.13 3.50 Lease and Concession X 27 Host International 10.88 3.63 3.00 Lease and Concession X 28 Seattle Restaurant Associates 10.88 3.63 3.00 Lease and Concession X 29 Airport Security 10.85 3.10 3.50 Business Units X 30 Parking Revenue System 10.83 3.25 3.33 IT Audit X Comprehensive 31 Airport Properties 10.82 3.09 3.50 X Operational Audit 32 Avis Budget Car Rental 10.80 3.60 3.00 Lease and Concession X 33 Hertz Corporation 10.80 3.60 3.00 Lease and Concession X Comprehensive 34 Aviation Utilities 10.79 3.08 3.50 X Operational Audit Comprehensive 35 Commercial Properties 10.79 3.08 3.50 X Operational Audit Comprehensive 36 Police Department 10.79 3.08 3.50 X Operational Audit Environmental Remediation Limited Operational 37 10.76 3.50 3.08 X Program Audit Comprehensive 38 Airport Dining And Retail 10.65 3.13 3.40 X Operational Audit Comprehensive 39 Seaport Environmental & Planning 10.56 3.02 3.50 X Operational Audit Comprehensive 40 Aviation Exec/Avex 10.50 3.00 3.50 X Operational Audit 13 of 17 2015 Flexible Annual Work Plan Proposed 2015 Audit Projects with Prior Audit Coverage 1 Carryover to 2015 from the 2014 Work Plan 2 Removed from the 2014 Work Plan with the Committee Approval Proposed Responsible Column1 Project Description 2012 2013 2014 Division Contact 2015 Mgmt. Systems General Ledger Corporate Debbi Browning Rudy Caluza Review Payroll 1 Corporate Duane Hill Rudy Caluza Aviation Maintenance Aviation Stuart Mathews Dave Soike Ground Transportation Aviation Jeff Hoevet Mike Ehl Rental Car Facility (ATO) Aviation Jeff Hoevet Mike Ehl Airport Public Parking Garage Aviation Diane Santiago Jeff Hoevet Fishermen's Terminal Real Estate Kenny Lyles Melinda Miller Air Terminal Operations Aviation Nick Harrison Mike Ehl Jeff Risk Management Corporate Dan Thomas Departmental/ Hollingsworth Comprehensive Real Estate Division Portfolio Real Estate Melinda Miller Joe McWilliams Operational Management Audit Shilshole Bay Marina Real Estate Tracy McKendry Melinda Miller Michael Dock Operations - Terminal 91 Seaport Linda Styrk McLaughlin Aviation Building Dept. (receipting Aviation Antonio Baca Dave Soike operations) Aviation Business Dev. Aviation Jim Schone Mark Reis Commission Office Dept. Corporate Larry Ehl Commissioners Capital Survey and Mapping Services Dept. Garry Ensley Tina Soike Development Bell Harbor International Conference Pat Spangler/ Real Estate Joe McWilliams Center (BHIC) Melinda Miller Pat Spangler/ World Trade Center (WTC) -S - Seattle Real Estate Joe McWilliams Melinda Miller 3rd Party 3rd party administrator of self-funded Management Corporate Christie Norbury Marjorie Hillson medical/dental World Trade Center (WTC) -W - KIDDER Pat Spangler/ Real Estate Joe McWilliams MATHEWS Melinda Miller Susan VIP Lounge/Club Cascade Aviation Nick Harrison Goodspeed Jolene Culler/ AVIS Rent-A-Car Aviation Jim Schone James Jennings Lease and Jolene Culler/ BUDGET Rent-A-Car Concession Aviation Jim Schone James Jennings Agreements ALAMO Rent-A-Car Aviation Jolene Culler/ Jim Schone James Jennings 14 of 17 2015 Flexible Annual Work Plan Proposed Responsible Project Description 2012 2013 2014 Division Contact 2015 Mgmt. Jolene Culler/ ENTERPRISE Rent-A-Car Aviation Jim Schone James Jennings Jolene Culler/ NATIONAL Rent-A-Car Aviation Jim Schone James Jennings Jolene Culler/ HERTZ Rent-A-Car Aviation Jim Schone James Jennings Jolene Culler/ FOX Rent-A-Car Aviation Jim Schone James Jennings Jolene Culler/ THRIFTY Rent-A-Car Aviation Jim Schone James Jennings Jolene Culler/ DOLLARS Rent-A-Car Aviation Jim Schone James Jennings Jolene Culler/ Seatac Rent-a-Car Aviation Jim Schone James Jennings Jolene Culler/ Firefly Rent-a-Car Aviation Jim Schone James Jennings Bonnie Darch/ Host International, Inc. (AIR000435) Aviation Deanna Jim Schone Zachrisson Bonnie Darch/ Seattle Restaurant Associates Aviation Deanna Jim Schone Zachrisson Jason Johnson/ Flying Food 1 Aviation Jim Schone Lease and James Jennings Concession Jason Johnson/ Agreements Gate Gourmet Aviation Jim Schone James Jennings Jason Johnson/ Sky Chefs 1 Aviation Jim Schone James Jennings Michele King/ Concessions International Aviation Deanna Jim Schone Zachrisson Michele Dilettante Chocolates Aviation King/Deanna Jim Schone Zachrisson Michele King/ Inmotion Pictures Aviation Deanna Jim Schone Zachrisson Michele King/ Vino Volo Aviation Deanna Jim Schone Zachrisson Michele King/ Massage Bar Aviation Deanna Jim Schone Zachrisson Bonnie Darch/ Aviation Deanna Jim Schone Anthony's at the airport Zachrisson Cruise Terminal of America Seaport Mike McLauglin Linda Styrk 15 of 17 2015 Flexible Annual Work Plan Proposed Responsible Project Description 2012 2013 2014 Division Contact 2015 Mgmt. Port Contracting Practices at Capital Capital Development Division (CDD) - Post SAO Ralph Graves Ralph Graves Development Audit/Effectiveness Compliance cost of CPO series Capital Nora Huey Ralph Graves polices/procedure Development Delegation of Authority Governance CEO Commission Corp. cost allocations/Aviation Revenue Corporate Michael Tong Dan Thomas Diversion Procurement card administration Corporate Patty Etzkorn Tim Jayne Controls Over the Port's Deferred Elizabeth Corporate Dan Thomas Compensation Programs Morrison/HR Controls and Compliance over Debt Elizabeth Corporate Dan Thomas Services Morrison Review of Payroll Processes at Police and Chief Aviation/Corp Mark Reis/CEO Fire Wilson/Krause Review of Port Jobs Contract Before Port Wide Luis Navarro CEO Expiration Review of Port's Small Contractors and Limited/ Port Wide Luis Navarro CEO Suppliers (SCS) Program Portwide Controls over Small Federal Grants Operational Port Wide Port Wide Port Wide Administration Audit Aviation Federal Inspection Services (FIS) Revenue Planning/ Aviation Mike Ehl Review Airport Properties Controls over Port Construction Services CDD Dwight Rives Ralph Graves (PCS) Close-Out Processes Mary Ann Stewart Follow-Up Review of Port's Fleet Aviation/ Lobdell/Benny Mathews/Lindsay Operations Real Estate Austin/Luisa Pulsifier Bangs Controls over Purchases under $20,000 Port Wide Port Wide Port Wide from acquisition to disposal/surplus Review of Port Code of Conduct and Port Wide Tony Ramos Craig Watson Ethics Programs Safety/self-insured Workers Comp. Port Wide Manette Moses Dan Thomas Police Forfeiture Funds (Federal and Corporate Mark Thomas Colleen Wilson State) CPO -- Procurements and Contracting Corporate Nora Huey Ralph Graves Practices 16 of 17 2015 Flexible Annual Work Plan Proposed Responsible Project Description 2012 2013 2014 Division Contact 2015 Mgmt. Continuous Monitoring of Large Capital Projects (e.g., NorthStar, FIS , Runway, Baggage), incluing the following Res. 3605 elements: Contract Cost Estimation Process Execution of Interlocal Agreements State and Local Grants Aviation Wayne Grotheer Ralph Graves Breaking up of projects into smaller units Change Orders, including ones from Small Works Contract Admin. Compliance SLOA III (retroactive application, different 1 Aviation Borgan Anderson Mark Reis cost pools) CFC - statutory compliance on usage Aviation George England Wayne Grotheer Limited/ Tuition Reimbursement Program Corporate Marjorie Hillson Dan Thomas Portwide Operational Purchasgin Card Program Port Wide Port Wide Port Wide Audit Stuart Inventory Systems at Aviation and Seaport Aviation/Real Mark Reis/Joe Mathews/Lindsay Maintenance Estate McWilliams Pulsifer Stephanie Jones- ScRAPS 2 Truck Replacement Program Seaport Janice Gedlund Stebbins Airfield Insurance Program Aviation Aviation Aviation New Banking Services Contract with Wells Elizabeth Corporate Diane Campbell Fargo Morrison Aviation Division-wide/Receipting Port Wide Port Wide Port Wide Operations Deanna Airport Dining and Retail Program Aviation Jim Schone Zachrisson Seaport Alliance Seaport Seaport Linda Styrk Stephanie Jones- Stormwater Utility District Seaport Marilyn Guthrie Stebbins IT Risk assessment - by Consultant Corporate Kim Albert Peter Garlock (Protivity) Data Center Review 1 Corporate Kim Albert Peter Garlock Information PeopleSoft Post-Upgrade Review 1 Corporate Rudy Caluza Dan Thomas Technology Scheidt Bachman Parking Revenue System 2 Aviation Jeff Hoevet Mike Ehl Review Health Insurance Portability and Marjorie Hillson/ Corporate HR/ICT Accountability Act (HIPAA) Compliance Peter Garlock 17 of 17
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