TKW Audit Status Report FINAL

TKW Audit Report Summary 
Office of Social Responsibility 
Updated: 2/2/2009

12.                 12a.          12a.            Caswell-    1/1/08       a. The Chief Executive Officer
Establish a       Organizational                Isley       COMPLETED looked at broader organizational
centralized        responsibilities                                      changes to enhance the Port"s
organizational unit   for the Port of                                       social responsibility including the SB
to support the SBI   Seattle"s                                          program. This examination began
program.         Small Business                                  mid-2007 and the result was the
Initiative (SBI) is                                          formation of the Office of Social
decentralized                                     Responsibility (OSR). In January
throughout the                                    2008, Elaine Ko was hired as the
Port and further                                     Director for the office. 
distributed
amongst several
employees. 
As such,
centralizing the
SBI program will
take analysis 
and evaluation
of impacts and
benefits. 

Develop and     12b. The Port   12b.          Elaine Ko    04/1/09 to be b. OSR is currently revising and
implement a      agrees to                           completed    rewriting Resolution 3506 which
detailed strategy to  develop a                                          entails extensive review and input
achieve the       strategy to                                      from Port-wide staff. The new
Resolution and    achieve the                                     Resolution will cover all capital
Plan objectives and  Resolution and                                    construction, service agreements
goals.            Plan objectives                                       (professional/personal),
and goals.                                        good/services and include prime
and sub-tier contracting.
Concurrently, OSR is in the process
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of writing procedures to be
implemented soon after Commission
adoption of the new Resolution,
slated for 1st Quarter 2009. OSR
will direct the development of annual
work plans as part of Port-wide
business plans and budget
proposals. 
13. 
Clarify roles and    We will begin to   13a.            Elaine Ko   1/2009        a. OSR has completed the process
responsibilities and  analyze and                             COMPLETED   of re-evaluating staff roles and
expectations of staff  evaluate                                            responsibilities, both within the
regarding the SBI.    centralizing the                                      newly created OSR, CPD/CPO.
SBI functions in                                      The major roles and
a broader                                      responsibilities will be outlined in
organizational                                      the Resolution and Plan.
review. Roles
and 
responsibility
clarification will
be incorporated
into this broader
organizational
review. 
Ensure staff has the              13b.           Caswell-   2nd Qtr 2009   b. Staff developed and delivered a
necessary skills,                                Isley                   formalized SB training for
knowledge, and                                              procurement staff. OSR will be
resources to carry                                                  developing a formalized training
out their                                                               curriculum for the entire Port
responsibilities to                                                        organization once the Resolution
implement the SBI                                              and Plan is completed. The
Plan.                                                              external training phase shall begin
in second quarter 2009. If
additional resources are required,
this may be captured in the 2010
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budget cycle request. 
c. In 2009 and annually, small
Include the                   13c.           Elaine Ko   4/1/2009 
business targets are part of all
achievement of SBE                                 To be in Policy
division/department annual work
goals as a criterion                                         Resolution 
plans. If CEO wishes to include SB
of performance                                                goals as part of director, manager,
evaluation for                                                       and staff performance evaluations,
division managers                                               this shall be in the Commission
and other staff as                                                     Policy Resolution. OSR shall audit
appropriate.                                                         all division/department targets and
achievements. 
14. 
Develop and publish Management    14a.           Frances   2nd Qtr 2009   a. OSR is in the process of
Agency-wide      agrees with this              Youn               establishing policies and
policies and       recommendation                                     procedures. Review and rewriting
procedures for     .                                              of policies and procedures is
implementing the                                                underway with targeted completion
SBI.                                                              in 2nd Quarter 2009. Port-wide
training will be scheduled. 
b. Port-wide training on SB policies
Formalize training                14b.           Tina Boyd   Begin        and procedures will be done in
on the                                             1st Qtr 2009    three arenas: 1) OSR/SB training; 
implementation of                                     and throughout 2) CPO-1 training currently
the SBI program.                                       2009         underway now; 3) Small Works
training currently underway now, 4)
revised PUR 1 to be done in 2009. 



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15.                 We do not       15a. and 15b.      Rene      COMPLETED   a/b. OSR has established is a
Review Agency    believe the 10%             Finnie              process to set annual targets. This
numerical goals on  goal should be                                    process consists of (1) an annual
an annual basis.     revised until the                                     internal Port-wide survey to gain
Port implements                                  staff input; (2) compiling data and
Establish specific    its management                                    looking at past performance levels,
agency-wide      actions resulting                                and (3) determine appropriate
numerical goals by  from this audit.                                     targets on both Division and Port-
contracting category                                                wide levels. The Port-wide overall
or business unit.                                                       target of 10% remains for 2009.
2008 data will be compiled during
1st Quarter 2009.

Require each                 15c.          Rene     2nd Quarter    c. OSR is recommending to
division to establish                               Finnie                  CEO/Commission that the Port
a Small Business                                               adopt policy that allows Small
Utilization Plan on                                                     Business MANDATORY utilization
an annual basis and                                              participation, the form of which
report outcomes.                                                  may vary, and to apply to all types
of contracting. 
Compile individual               15d.           Rene     COMPLETED
Small Business                             Finnie     and        d. Each division and department
Utilization Plans into                                         ONGOING     submits their annual Small
an Agency-wide                                             Business targets with their budget
Plan.                                                              submittals. Monthly, quarterly, and
annual reports should be reviewed
by department and division
managers, and OSR shall review
these reports for progress and
compliance purposes. OSR shall
provide assistance to departments
as needed. 

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16.                  We will brief the   16a. and 16b.      Tina Boyd   2nd Qtr 2009    a/b.The Commission SB
Formalize and educate  Port Commission                                 Resolution, new upcoming CPO-2
staff on the definition of  on the SBI                                             Procedure governing
"goods and services."    program, review                                    "goods/services", and new
current program                                  upcoming OSR Policy/Procedure
definitions and                                       will all incorporate definitions. Will
measures, and                                 be included in all formal trainings 
seek policy                                        of staff. 
clarification on
program
elements. 

Formalize and                16c.          Frances   COMPLETED   In addition to SBE, MBE, WBE,
educate staff on the                             Youn                  and DBE, OSR would like other
definitions of SBE's,                                                    subcategories to be tracked such
MBE's, WBE's, and                                           as Veterans, Persons with
DBE's.                                                       Disabilities, and
Lesbian/Gay/Transgender/ 
Bisexual (LGBT). 

Track SBE                 16d          Elaine Ko   1st Quarter    a. Policy clarifications will be
participation using                                         2009         disseminated agency-wide upon
MBE, WBE, and                                         Commission approval. 
DBE, and other
SBE subcategories. 
Apply definitions
consistently
Agency-wide. 


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17. We recommend the             17.           Elaine Ko   COMPLETED   Port joined Regional SB
Port of Seattle develop                                                  Development Program which
and implement an                                               provides comprehensive SB
Agency-wide SBE                                            assistance to external small
assistance plan                                                     businesses including (1) technical
including the                                                          assistance on Small Works and
identification of internal                                                        Major Construction projects, (2)
and external resources.                                                  Bonding Assistance Program, (3)
free training classes. OSR is
working with a number of external
partners such as Prosperity
Partnership, Tabor 100, OMWBE,
NW Minority Business Council,
Urban Enterprise Center, African
Chamber, Vietnamese Chamber,
Hispanic Chamber, Filipino
Chamber, Seattle Public Schools 
on numerous SB assistance
programs. 

18.                               18a.            Tina Boyd   COMPLETED   a. OSR launched its first
Regularly distribute                                                 newsletter Sept. 2008 and includes 
information about                                                  stories of successful SBE"s along
successful SBE                                                 with testimonials. This newsletter
participation on Port                                                    will be distributed to community
projects.                                                               partners. Testimonials are also
regularly posted on OSR"s
website. 

Establish a regular               18b.           Caswell-   COMPLETED   b. OSR established and is
forum for                                    Isley                  engaged in bi-weekly meetings
exchanging                                                with CPO office to discuss
information about                                                  upcoming opportunities. OSR
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SBI issues for staff                                                     leads a policy/procedure work
with contracting                                                     group; attends the Aviation SB
authority/responsibil                                                    Team bi-weekly meetings;
ity.                                                                                       completing its first Port-wide staff
survey and will distribute a survey
to all attendees at 1st Annual Open
House on Feb. 1st. 
19.                                 19a.             Boyd/Youn  Ongoing       a. Upgrades to data tracking
Develop a                                                    system to capture "sub-tier SB
centralized tracking                                                   contracting" postponed due to
system that                                                       budget. Minor upgrades to SB and
can be utilized                                                       SW Roster will be completed in
Agency-wide.                                                  2008. CPO looking at major
overhaul of Rosters beginning in
2009-2010. 

Clarify the                     19b.            Boyd/Youn  End of 2009    b. OSR is working with ICT, CPO,
requirements for a                                                  Port-wide and Aviation SB Teams 
monitoring and                                                   to implement coordinated tracking
tracking system,                                                   and reporting that collects data on
including reviewing                                                  all contracts to SB, MBE, WBE on
the SBE definition                                                   prime and sub-tier levels. A Port
and any subgroups                                            Small Business size definition and
within the SBE                                                  program and operational
definition that                                                            requirements will be determined by
should be tracked.                                                   mid-year 2009. One-portal Roster
entry system shall be completed in
2009. 

Establish a team to               19c.           Boyd/Youn  COMPLETED   c. OSR working with CPO, ICT,
clarify definitions                                                           and Port-wide and Aviation SB
and what data                                                 Teams on this. 
needs to be tracked
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and reported. 
Determine what               19d.          Boyd/Youn  End of 2009    d. See 19b. 
existing Port
systems can be
used or expanded. 
20.                                 20a.             Tina Boyd   COMPLETED   a. Currently OSR is tracking and
Continue to collect                                                 monitoring complaints as they are
and respond to                                                 reported; held two external
SBE's perceptions                                               stakeholder which shall be
regarding the                                                     regularly scheduled; conduct
barriers to doing                                                      annual survey at Open House; and
business with the                                                  various outreach efforts throughout
Port.                                                                   the year to ascertain feedback
from SBEs. 
Conduct further
review of                      20b.            Elaine Ko   Ongoing       b. OSR is working with CPO to
contracting                                                       carefully review contracting
practices that may                                                  procedures for impacts on small
limit opportunities                                                       businesses. 
for small firms. 
Un-bundle large                20c.           Ko/Finnie   Ongoing      c. Working with CPO and CPD to
contracts, as                                                       determine procedures to right-size
appropriate to                                                      contracts for SBEs which includes
provide additional                                                    OSR participation in an Acquisition
opportunities for                                                       Plan for all construction projects. 
SBE's. 
Closely monitor                 20d.           Rene     Ongoing      d. Limited competition for Small
open order                                Finnie                Works in size of $35K or less has
contracts.                                                            been developed, consistent with
RCW 39.04.155. There will be
close tracking of new SBEs getting
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SW contracts. 

Expand and use               20e.          Tina Boyd  Ongoing      e. OSR sends out communication
designated sources                                              to community partners for referrals
for qualified SBE's                                                    and conducts extensive outreach
and actively seek                                                  initiatives to solicit qualified SBEs. 
referrals of SBE's
from internal and
external sources. 
Set aside contracts
exclusively for                    20f.             Rene      COMPLETED   f.  Regional SB Development
SBE's where                             Finnie               Program features training and
adequate numbers                                           working with the Limited
of such firms have                                                  Competition for Small Works to
the capacity and                                                  allow like-sized small firms with
capability to perform                                                   revenues <$1 M to compete, and
those contracts.                                                      the mandatory utilization
requirements accomplish the "setaside
" intent. 

21.                                 21a. and 21b.      Caswell-    COMPLETED   a. OSR staffs the SBTeam and is
Formally charter the                            Isley                 being reorganized to meet
SBI Team.                                                  changing needs. 
Establish detailed
policies and
procedures for the
SBI Team. 


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