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 2 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 3 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. 4 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. 5 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. 6 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 7 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 8 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 9 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. 10
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