REQUEST FOR PROPOSAL Solicitation No. 8004926 Access Control Management System Deadline for Proposal Submittal: August 28, 2014 at 2:00 p.m.(central Time) Location: DFW Airport Procurement Office 3122 East 30th Street (Carbon Road) DFW Airport, TX 75261 Airport Board Contact: Sandra Goodman 972-973-5601 (fax) sgoodman@dfwairport.com Mail or Deliver Complete Bid Package To: Procurement and Materials Management DFW International Airport Delivery Address: 3122 East 30th Street (Carbon Road) Mail Address: P.O. Box 619428 DFW Airport, TX 75261-9428 A Pre-Proposal Conference Will Be Held A Pre-Proposal Conference will be held on August 5, 2014, at 2:00 p.m. (Central Time) at the Procurement and Materials Management, 3122 East 30 th Street (Carbon Road). While attendance is not mandatory, all interested firms are encouraged to attend. See Proposal Instruction and Requirements Section for details.
1 GENERAL DESCRIPTION SOLICITATION SUMMARY The DFW Airport Board intends to procure an Access Control Management System (ACMS) to become part of the overall Automated Access Control System (AACS) for the DFW Airport. 2 SCHEDULE OF EVENTS Please find below a Tentative Schedule of Events for this Solicitation. The Board reserves the right to revise the Tentative Schedule of Events if such revision is deemed to be in the best interest of the Board. RFP Advertise Dates:... July 27, 2014 and August 3, 2014 RFP Release Date:... July 29, 2014 Pre-Proposal Conference:... August 5, 2014 at 2:00 p.m. (Central Time) Deadline for Questions:... August 8, 2014 at 2:00 p.m. (Central Time) Proposal Due Date and Time:. August 28, 2014 at 2:00 p.m. (Central Time) Evaluation Period:... September 2014 Interviews:... September 2014 Board Approval Date:... November 2014 Notice to Proceed... November 2014 3 CONTRACT TERM Two (2)-year period with options to renew for annual one-year periods. 4 SMALL BUSINESS ENTERPISE (SBE) GOAL SBE goal for this contract is: 15 % 5 APPLICABLE LAWS This solicitation is being conducted in accordance with Texas Local Government Code Title 8, Subtitle A, Chapter 252 and/or Government Code 2254, as applicable. 6 RECEIPT OF REQUEST FOR PROPOSAL DOCUMENT If you obtained this RFP document by notification through a newspaper advertisement or from our website, or you want to modify your contact information, please contact the Airport Board Contact person identified on the front cover. Please include your contact information and if you are interested as a prime or subconsultant for this business opportunity. 7 INSURANCE REQUIREMENTS Before a contract can be executed, the successful bidder shall provide evidence of insurance coverage in accordance with the Insurance Provisions section of the Special Provisions contained within this solicitation document. Bidders and their insurance agent, broker or representative must review the insurance provisions to understand its requirements and cost to contract with the Airport Board. An insurance affidavit is included in this solicitation to verify the bidder and their insurance agent, broker or representative will comply with the insurance provisions if a contract is awarded. i
8 SUBMITTAL LABEL IMPORTANT REQUIREMENT FOR BID / PROPOSAL SUBMITTAL Bid/Proposal submittals must be properly labeled to ensure they are not inadvertently opened before the designated time. Therefore, please affix the label below to the outside of the sealed bid/proposal submittal package(s). If the delivery service used (i.e. FedEx, UPS, courier, etc.) does not permit this label to be affixed on the outside of their delivery box or envelope, then the bidder/proposer must seal the contents of their bid/proposal and affix this label on the sealed package before they place that package in the box or envelope provided by the delivery service. If this label is not used, it is the bidder s responsibility to ensure this information is written on the outside of the delivery package. Bids or proposals received by the DFW Airport that do not have the information requested below displayed on the outside of their bid or proposal may be rejected. Bid / Proposal Number: 8004926 Bid / Proposal Name: Due Date and Time: DFW AIRPORT BID / PROPOSAL SUBMITTAL LABEL Access Control Management System Company Name: Contact Name: Company Address: Telephone Number: ii
9 NO PROPOSAL FORM NO PROPOSAL INFORMATION FORM SOLICITATION NO. 8004926 SOLICITATION TITLE: Access Control Management System If your firm elects not to submit a proposal, please complete and fax or email this form to: Please check all that apply: Sandra Goodman Dallas/Fort Worth International Airport Board Fax: 972-973-5601 / Email: sgoodman@dfwairport.com Do not sell the item(s) or services required Cannot be competitive Cannot meet the specifications or qualifications described in the attached bid Cannot provide insurance required Cannot provide bonding required Cannot comply with indemnification requirements Job too large Job too small Do not wish to do business with the DFW Airport Company s current workload does not allow for additional work Other reason: Company Name: Authorized Officer or Agent: Telephone: or Email: Facsimile Number: iii
TABLE OF CONTENTS PROPOSAL INSTRUCTION AND REQUIREMENTS 1 Definitions 2 Contact Information 3 Pre-Proposal Conference 4 Addenda and Clarifications 5 Small Business Enterprises 6 Proposal Preparation 7 Proposal Format Requirements 8 Submittal of Proposals 9 Proposal Receipt / Evaluation of Proposals 10 Proposal Award 11 Contract With The Board 12 Determination of Non-Responsible Proposer 13 Determination of Non-Responsive Proposal 14 Rejection of Proposals 15 Withdrawing Proposals 16 Proposal Preparation Forms a. Bid/Proposal Checklist EVALUATION CRITERIA SPECIFICATIONS / SCOPE OF WORK 1 Introduction / General Overview 2 Products 3 Execution Appendix A Existing New Badge Process Appendix B Existing Renewal Process Appendix C Proposed Process and Data Flow Appendix D Integration Map Diagram Appendix E Compliance Matrix Appendix F Typical DFW Airport Board Computer Specifications Appendix G DFW Access Control Management System (ACMS) Concept of Operations (ConOps) Preliminary Report SPECIAL PROVISIONS 1 Airport Security 2 Board s Right to Inspect and Audit 3 Bonding Provisions 4 Contract Term 5 Character of Workers, Method and Equipment 6 Contractor Responsibilities / Performance of Work 7 Deliveries of Product(s) 8 Delivery Location 9 Insurance 10 New Materials 11 Protection and Restoration of Property 12 Public Convenience and Safety 13 Small Business Enterprise (SBE) Provisions 14 Warranty Information GENERAL TERMS AND CONDITIONS 1 Assignment 2 Changes In Contract iv
3 Code of Business Ethics 4 Compliance With Laws 5 Confidential or Proprietary Information 6 Delivery / Performance of Services 7 Small Business Enterprise Participation 8 Dispute Resolution 9 Financial Interest 10 Fiscal Year Funding 11 Force Majeure 12 Indemnification and Hold Harmless 13 Independent Contractor 14 Jurisdiction 15 Non-Discrimination 16 Notice of Delays 17 Personal Liability of Public Officials 18 Severability 19 Subletting of Contract 20 Tax Exemption Status 21 Temporary Suspension of Work 22 Termination of Contract: Default And Remedies 23 Termination of Contract For Board Convenience 24 Terms of Payments 25 Third-Party Beneficiary Clause PROPOSAL RESPONSE FORMS 1 Proposal Pricing Format 2 Insurance Review Verification 3 Organizational Summary Information 4 Workforce Composition Form 5 Commitment to SBE Participation Form 6 Schedule of Subcontractors 7 Intent to Perform/Contract as a Subcontractor 8 D/S/M/WBE Good Faith Effort Plan 9 Request For Approval of Change to Original Schedule of Subcontractors 10 Insurance Affidavit 11 Bond Forms 12 Business Disclosure Form 13 Proposal Endorsement Form Exhibit A Solicitation No. 8004926 Proposal Pricing Schedule v
EFFECTIVE 10/1/2012 SBE PROGRAM IN EFFECT Please review all Bids/Proposal Documents CAREFULLY! FAILURE to comply with the new requirements will deem your Bids/Proposals Non-Responsive with no Further Consideration. BE SURE TO INCLUDE SBE CERTIFICATE DOCUMENTS INCLUDING COMPANIES THAT ARE SELF-PERFORMING SMALL BUSINESS ENTERPRISES.
PROPOSAL INSTRUCTIONS AND REQUIREMENTS A Proposal is requested by the Dallas/Fort Worth International Airport Board (herein called Board). The Board will receive separate sealed Proposals until the deadline for Proposal submittal. This Section provides information on how and where to submit a Proposal and other pertinent information regarding this Solicitation. Those who submit proposals are required to read and comply with these instructions. 1 DEFINITIONS Contractor or Successful Proposer may be used throughout this Solicitation to mean that Proposer that is awarded a Contract as a result of this Solicitation. 2 CONTACT INFORMATION It is the Proposer s responsibility to obtain clarification of any information contained herein. Proposers must submit all questions or requests for clarification ONLY in writing and ONLY to the contact person identified on the Cover of this Request for Proposal. The Solicitation Number must be referenced in all correspondence pertaining to this solicitation. Proposer contact with Board personnel other than designated Airport Board Solicitation Contact may be cause for Proposal rejection. 3 PRE-PROPOSAL CONFERENCE 3.1 If a Pre-Proposal Conference is held, it shall be open to all interested parties prior to Deadline for Proposal Submittal for the purpose of discussing the requirements of the solicitation and/or to inspect the location where Work is to be performed. All Proposers are strongly encouraged to attend. Proposers may make written inquiries concerning the RFP to obtain clarification of the requirements. Inquiries must be submitted in writing no later than the due date and time identified in the Solicitation summary. Inquiries received by this deadline, and corresponding answers, will be available to Proposers of record as soon as possible. A response to inquiries is at the sole discretion of the Board. 3.2 Proposers that do not attend may be required to provide additional information or documentation to validate that they fully understand the Board s requirements. 3.3 It is the responsibility of the Proposer to fully understand the scope of work and the conditions under which Work is to be performed. Failure to attend a Pre-Proposal Conference shall not relieve a Proposer from full performance of any Contract awarded to the satisfaction of the Board. No minutes will be provided for this meeting. 4 ADDENDA AND CLARIFICATIONS 4.1 The Board may, at its sole discretion, elect to issue changes or clarifications to the Proposal Solicitation. The Board will issue changes or clarifications in the form of a written addendum. Written addenda shall be the ONLY FORM of amendment to the Solicitation. Other written information or verbal communications, including but not limited to discussion in a Pre-Proposal conference, shall not constitute a change to the requirements of the Solicitation. Addenda, if issued, will be mailed, faxed, and/or emailed to all known prospective Proposers and posted on the Board s website (www.dfwairport.com) prior to the date and time of the Deadline for Proposal Submittal. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 2
4.2 It is the Proposer s responsibility to ensure receipt of any addenda issued. Failure of any Proposer to receive any such addendum or interpretation shall not relieve the Proposer from any obligations under its Proposal as submitted. The Proposer must sign all addenda and return them with their Proposal. All addenda shall become part of the Contract documents. 4.3 Clarification to the solicitation will be issued separately and will not become part of the final contract. 5 SMALL BUSINESS ENTERPRISE (SBE) 5.1 The Board strongly encourages SBE (small business enterprise) firms to participate in this solicitation and encourages joint venture Proposals that include SBE-certified firms. 5.2 SBE prime Contractors can count their self-performance toward meeting the SBE goal, but only for the scope of work and at the percentage level they will self- perform. 5.3 Proposers are directed to review the Special Provisions and the related forms within this Solicitation document for specific goals and compliance requirements. 5.4 SBE Certificates for prime and/or subconsultants. Be sure that the certificates confirm certification as a Small Business Enterprise (SBE); other certifications, such as Minority Business Enterprise (MBE), Women Business Enterprise (WBE), Historically Underutilized Business (HUB), are not acceptable. Companies may hold multiple certifications, but one of those certifications must be as a SBE from an authorized certification agency. 6 PROPOSAL PREPARATION 6.1 Submittals: Proposer must submit all Proposal Response Forms, plus all addenda, completed forms, and any requested information and documentation as part of its Proposal. Proposer s failure to include all submittals may be cause to consider a Proposal non-responsive. 6.2 Endorsing the Proposal: An authorized officer of the Proposing Firm must sign the Proposal. Signature of the Proposal will signify agreement and compliance with all requirements set forth in this Solicitation except where properly noted in the Proposal Response Forms. Proposers that take exception to the Board s General Terms and Conditions, Special Provisions, and/or Specifications shall do so at the risk of Proposal rejection. Electronic signature using the Board s online Proposal System shall comply with this requirement. 6.3 Proposal Language / Currency: Proposers must submit their Proposal in the English language and Proposal pricing must be in Dollars of the United States of America. 6.4 Freight and Shipping: Proposal prices shall include the cost to ship all products and materials to the Dallas/Fort Worth International Airport, F.O.B. Destination, Freight Prepaid and Allowed. 6.5 Tax Exempt Status: Purchases by the Airport Board are exempt from sales and use tax under Section 151.309 of the Texas Tax Code (the Code ). In addition, Contractor purchases of tangible personal property and taxable services for the purpose of reselling them to the Board under this Contract may also be exempt from sales and use tax under Code Section 151.302. Where legally permitted, Contractor shall provide the vendor or supplier with a properly executed Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 3
resale certificate at the time of purchasing tangible personal property and/or taxable services that are to be resold to the Board under this Contract. 6.6 Acceptance of Specification Requirements: The Board will presume that the product or service offered complies with each requirement of the specifications unless indicated otherwise. If the product or service offered is different than specified, Proposer must note the difference on an attached document that details the exception(s) to specifications. Failure of the Proposer to make the required acknowledgements may cause the Proposal to be considered non-responsive, in the sole determination of the Board. Should any product be delivered or service performed which is not as the Successful Proposer has purported it to be in its Proposal, said Successful Proposer will be required to correct any deficiencies without additional cost to the Board. 6.7 Proposer Requirements: The Proposer must have demonstrated experience in the successful completion of Scope of Work / Specifications of a similar nature and scope. The Successful Proposer must take prime contractor responsibility, including the management and performance of all subcontractors and products (goods) provided. 6.8 Solicitations Including Requirements for Goods 6.8.1 Brand Name or Equal: To establish an understanding of the type products that will be considered responsive to the Specifications, specific manufacturers and series or model numbers may have been referenced. Such brand identification is intended to be descriptive, not restrictive, and is referenced to indicate the quality and characteristics of products that will be satisfactory. Other makes and models may be submitted for consideration provided they are equal in quality, design use, operational size and characteristics. 6.8.2 Proposals offering "equal" products will be considered for award if such products are clearly identified in the Proposals and are determined solely by the Board to be equal in all material respects to the brand name products referenced. 6.8.3 Proposers must submit upon request by the Board, complete manufacturer s descriptive literature and/or samples of the product being offered. This request may be made after receipt of bids. 6.8.4 Proposers proposing products other than that specifically referenced must be prepared, if requested by the Board, to fully demonstrate that the proposed products are equivalent to the referenced products and capable of achieving the desired results. Such demonstration(s) shall be made solely at the Proposer s expense in a manner best representative of the requirements to be met, and at a schedule convenient to the Board. 6.8.5 Unless the Proposer clearly indicates in its Proposal that it is offering an "equal" product, its Proposal shall be considered as offering the brand name and product model referenced. 6.9 Alternate Proposals: No Alternate Proposals will be considered, only one proposal per Proposer. 6.10 Proposer Costs: Any costs that may be incurred to prepare responses, attend meetings, attend site inspections, provide requested follow-up information, make formal and informal presentations, and / or contract negotiations, if applicable, shall be the sole responsibility of the Proposer. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 4
6.11 Confidential or Proprietary Markings: Any portion of the Proposal that Proposer considers confidential or proprietary information, or to contain trade secrets of Proposing Firm, must be marked accordingly. This marking must be explicit as to the designated information. This designation may not necessarily guarantee the non-release of the information under the Public Information Act or as otherwise required by law, but does provide the Board with a means to review the issues thoroughly and, if justified, request an opinion by the Attorney General's office prior to releasing any information requested under the Public Information Act. 6.12 Ancillary/Integral Professional Services: In selecting an architect, engineer or land surveyor, etc., to provide professional services, if any, that are required by the specifications, Proposer shall not do so on the basis of competitive bids but shall make such selection on the basis of demonstrated competence and qualifications to perform the services in the manner provided by Section 2254.004 of the Texas Government Code and so shall certify to the Board with its Proposal. 7 PROPOSAL FORMAT REQUIREMENTS 7.1 Overview To facilitate and expedite the evaluation process, all information in the Proposal should be organized and presented as directed below. A Proposal may be deemed to be non-responsive and may be disqualified, at the Board s discretion, if the Proposal fails to comply with the following instructions. 7.2 Proposal Organization 7.2.1 Each copy of the Proposal shall be submitted in a 3-ring binder. 7.2.2 Proposal text shall be typed in font no smaller than 10 point, on 8.5-inch by 11-inch paper, with one inch margins. Proposals may be either single-sided or double-sided pages and singlespaced for the entire submitted proposal document. 7.2.3 All Proposal sections shall be divided by the use of numeric index tabs. All pages within these sections shall be uniquely numbered for purposes of easy reference. 7.2.4 Proposals shall be assembled in accordance with the following format. 7.2.4.1 Cover Letter (4 Page Limit) Include an explicit statement indicating that the Proposer, if successful, will be the Prime Contractor for the Work. 7.2.4.2 Table of Contents Include references to sections and page numbers 7.2.4.3 Disclosure Statements 7.2.4.3.1 Proposer s disclosure and description of any outstanding legal issues and claims against it in connection with current Scope of Work / Specifications or other Scope of Work / Specifications undertaken in the last five (5) years. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 5
7.2.4.3.2 The past fiscal year s audited financial statement of Proposer and most recent affirmative statement of financial capability. 7.2.4.3.3 Proposers shall include in their response a statement affirming that no member of the Board, no official or employee of the Board, and no member of any commission, committee, board or corporation controlled or appointed by the Board has already received, in connection with or related in any way to this contract, or has been promised, in the event this contract is awarded to the firm, any commission, finder's fee or other thing of value. In addition, the firm shall furnish a statement that identifies any member of the Board and any official or employee of the Board who, the firm has reason to believe, would or may be financially affected, whether affirmatively or negatively, and whether personally or through a spouse or other family member, if this contract were awarded to the firm. Upon request by the Board s Vice President of Procurement and Materials Management or an authorized agent thereof, the firm shall respond to any questions relating to the subject of this section. 7.2.4.4 Addenda The acknowledgement page(s) of all addenda issued by the Board shall be signed by the Proposer s authorized representative and submitted in this section. 7.2.4.5 Tab 1 Brief Executive Overview (8 Page Limit) 7.2.4.5.1 Introduction of the Proposer s company including history, location, qualifications, experience, main line of business, how business is organized (corporation, partnership, public, private, etc.), notable achievements, etc. 7.2.4.5.2 Overall summary regarding plans to meet Board requirements. 7.2.4.5.3 Identify proposed subcontractors, if any, by listing name, address, telephone and contact person. For each listed proposed subcontractor, include a brief history, qualifications, experience, main line of business, how business is organized (corporation, partnership, public, private, etc.), notable achievements, etc. Proposer shall state whether it has worked with the listed proposed subcontractors in the past, addressing contractual relationship, frequency and scope of work completed. 7.2.4.5.4 Proposers shall complete the forms titled Organizational Summary Information, Business Disclosure, and Proposal Endorsement included in this Solicitation. (Forms are available in Proposal Response Forms section) 7.2.4.6 Tab 2 - Relevant Information (10 Page Limit) 7.2.4.6.1 Include in this section all other contractor and subcontractor information that is relevant to this Scope of Work / Specifications, if any, and is not included elsewhere. Proposers may include relevant company brochures, published articles, abstracts, etc. 7.2.4.6.2 Brochures, catalogs, pre-printed matter or other relevant information not suitable for inclusion within the proposal binder may be provided in loose form. This material shall be provided for the original and all copies. Each set shall be sealed in an individual envelope marked on the outside as follows: Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 6
Additional Information for Solicitation No.: Proposal Title: Deadline for Proposal Submittal: Name of Proposer: 1 of N (N is the number of envelopes per set): 7.2.4.7 Tab 3 - Scope of Work (50 Page Limit) 7.2.4.7.1 Identify all major project phases, tasks, and milestones for the Work to be performed. 7.2.4.7.2 The Proposer must provide a preliminary implementation plan, based on their understanding of the Work to be performed. This plan must provide time spans from the date of Notice to Proceed to completion of the Work (number of days, not specific dates). The Proposer must show the various phases of the project in Gantt Chart Format. The plan should cover all key phases and steps in the Specifications / Scope of Work, from Contract award through final acceptance of the Work. 7.2.4.7.3 If appropriate, identify all major project tasks and milestones to be performed by subcontractors; group all project tasks by the associated subcontractor. 7.2.4.7.4 List the major human resources contributing to the Specifications / Scope of Work and their respective major area of responsibility in this project as well as the percentage of time to be spent on this project. Include the resumes (biographical information) at the end of this section for all proposed program personnel. Since DFW Airport Board reserves the right to approve all proposed personnel and are subject to appropriate background checks (see Specifications / Scope of Work, Section 1.9.9), the information provided in this section should include all necessary requirements as described in the Specifications / Scope of Work, Section 1.9). Resumes are limited to one page per person and they do not count against this tabbed section s page limit. 7.2.4.7.5 Describe all airport staff requirements, resources, and information required by the proposer. 7.2.4.7.6 Provide a proposed project organizational chart, identifying reporting structure and areas of responsibility. 7.2.4.8 Tab 4 - Management (15 Page Limit) 7.2.4.8.1 Identify inherent Specifications / Scope of Work challenges and the overall plan for meeting project management challenges and requirements. 7.2.4.8.2 Describe how the Proposer plans to manage this Specifications / Scope of Work and identify the individuals who will function as the account manager and project manager, including name, home base and brief overview of their qualifications. Include, at the end of this section, the proposed project manager s resume. 7.2.4.8.3 Provide a plan ensuring quality of the Work (quality control plan). Provide performance guarantees, if any, and how they would apply and be measurable. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 7
7.2.4.9 Tab 5 - Implementation (25 Page Limit) 7.2.4.9.1 Describe how the Proposer plans to successfully accomplish the Specifications / Scope of Work objectives, as well as provide a brief narrative description of the schedule for the Work addressing key milestones as described in the Scope of Work, Section 1.10. 7.2.4.9.2 Describe the proposed approach/procedures for meeting Final Testing and Acceptance (FTAA) and System Availability Test (SAT) requirements as described in Specifications / Scope of Work, Section 3. Provide a sample acceptance test plan methodology. 7.2.4.9.3 Provide a narrative description of any optional items that the Responding Firm may choose to include in the proposal. 7.2.4.9.4 Provide a descriptive overview of all equipment to be used as described in the Specifications / Scope of Work, Section 1.8 and Section 2. 7.2.4.10 Tab 6 Compliance Matrix 7.2.4.11 Provide the completed Compliance Matrix as provided in Appendix E of the Specifications / Scope of Work. 7.2.4.12 Tab 7 - List of Exceptions / Substitutions / Clarifications / Additions 7.2.4.12.1 Although the Scope of Work included Project Requirements of the solicitation represents the Board s anticipated needs, there may be instances in which it is in the Board s best interest to permit exceptions to requirements and accept proposed alternatives. 7.2.4.12.2 It is extremely important for the Proposer to make clear where exceptions, clarifications substitutions and/or additions to the Scope of Work, Special Provisions and General Terms and Conditions are taken and how substitutions shall be provided. The Board does not recognize strikeouts, deletions, or changes to Solicitation documents. Therefore, exceptions, conditions, clarifications and/or substitutions to the provisions of the Board s requirements must be clearly identified along with the proposed addition or modification. If the Proposer does not make it clear that an addition, exception or clarification is taken, the Board shall assume the Proposer is responding to and shall meet the Board s stated requirements. 7.2.4.12.3 Identify each exception, clarification, substitution and/or addition by specifically referencing the page number, section number, subsection number, item number or letter, and, if necessary, paragraph, or line number. 7.2.4.12.4 Identify each item clearly as an addition, exception, clarification or substitution. It is not necessary to include the entire text of a particular section or subsection. However, for ease of reference, Proposers may use portions of the solicitation s text, if helpful in explanation. 7.2.4.12.5 For substitutions/clarifications, provide an explanation of the difference between what the solicitation requests and what is proposed. The Board is open to other means of accomplishing the requested Work. Proposers must explain why they believe their method of accomplishing the Work is equal to or better than that specified by the Board. 7.2.4.12.6 For any addition(s) proposed or exception(s) taken, provide a rationale in as much detail as possible. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 8
7.2.4.12.7 Begin responses to the major sections of the solicitation on a new page. 7.2.4.12.8 The Board shall consider the number and substance of alterations to the Board s stated requirements as a factor in determining the most advantageous response. 7.2.4.13 Tab 8 - Reference List / Experience (Limit one page per reference) 7.2.4.13.1 Please refer to Specifications / Scope of Work, Section 1.9 for the required information needed. For any qualifications that have not yet been disclosed, the Responding Firm should be able to provide references for each applicable section. 7.2.4.13.2 FOR THE PRIME CONTRACTOR where applicable provide the appropriate references and be sure to include the following information: Company/Entity name Address Contact names (IT, project leader, and functional contacts) Phone number Facsimile number Email addresses (if known) Brief description of work performed and how it is relevant to the Scope of Work in this solicitation. Also list any prime or sub consultant team members who worked on the referenced project that are also proposed for this solicitation s Scope of Work. 7.2.4.13.3 Provide the following information for at least two (2) completed projects: Original Contract Price Versus Final Contract Price Original Contract Implementation Date Versus Actual Implementation Date Critical Steps Summary Project Plans Summary Total Resources Allocated Brief description of work performed and how it is relevant to the Scope of Work in this solicitation. Also list any prime or sub consultant team members who worked on the referenced project that also worked on the completed project. 7.2.4.13.4 Provide the following additional information for all on-going and incomplete projects: Percent of Project Completion Key Personnel by Name and Role Percentage of Each Key Person s Time Allocated to Listed Project Scheduled Completion Date Identify Potential Time/Personnel Conflicts with Work on This Contract and the Proposed Work 7.2.4.13.5 List all clients that have in the past two (2) years, terminated their contract prior to the contract s original completion date, including decisions by the client not to exercise remaining contract option years. For any contracts listed, give the reason for termination (if known) and the names and telephone numbers of the client official responsible for administering the contract. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 9
7.2.4.13.6 FOR EACH SUBCONTRACTOR (if any) - Provide a list of at least two (2) different and most recent companies for which Work has been completed by the Proposed Subcontractor. The reference list should include first public entities for which Work of similar size and complexity has been completed by Proposed Subcontractor. Include the following information: Company Name Address Contact names (IT, project leader, and functional contacts) Phone number Facsimile number Email addresses, if known. Brief description of work performed and how it is relevant to the Scope of Work in this solicitation. Also list any sub consultant team members who worked on the referenced project that are also proposed for this solicitation s Scope of Work. 7.2.4.14 Tab 9 - Small Business Enterprise (SBE) Participation 7.2.4.14.1 Provide firm s Affirmative Action Plan and/or diversity and inclusion policy statement; to include goals with respect to hiring staff for the proposed project. Such plan shall include, but not be limited to: goals for women and minorities in management and non-management positions. 7.2.4.14.2 Describe how you will manage expectations and commitment to firms identified in your Schedule of Subcontractors. 7.2.4.14.3 Describe your firm s involvement/utilization of SBE firms on past projects at DFW and/or other public/private sector entities. (e.g. proposed SBE goal vs. actual achievement). 7.2.4.14.4 Describe your firm s commitment to programs, technical assistance or support to enhance the capacity or facilitate the participation of SBE firms in the project, including outreach and a proposed mentoring program. 7.2.4.14.5 Include the following completed forms as a part of this section. (Forms are available in Proposal Response Forms section): Work Force Composition Form Commitment to SBE Participation Form* Schedule of Subcontractors* Intent to Perform Contract as a Subcontractor* Good Faith Effort Plan & Support Documentation* SBE Certificates for prime and/or subcontractors. Small Business Enterprise (SBE) certificates must be from an approved certification agency. Other certifications, such as Minority Business Enterprise (MBE), Women Business Enterprise (WBE) and Historically Underutilized Business (HUB) certifications are not acceptable. The proposed SBE firm(s) is also required to have a place of business in the Airport s market area at the time of bid/proposal submission. Note: * If the SBE Goal is 0% and no SBE participation is proposed, note the forms as Not Applicable. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 10
7.2.4.15 Envelope 1 Pricing Provide one copy of the proposed pricing in a sealed envelope entitled Pricing. Proposal pricing shall be assembled and presented in accordance with the format and instructions of this solicitation. Also include the following forms if included in the solicitation: Cooperative Purchasing Provisions Insurance Review Verification Insurance Affidavit Ancillary / Integral Professional Services Certification Bond Forms 8 SUBMITTAL OF PROPOSALS 8.1 The Board will accept Proposals no later than the Deadline for Proposal Submittal in hard copy form. The Board will not consider late proposals. All Proposals submitted in response to this RFP shall become the property of the Board and will not be returned to the Proposer. 8.2 Hard Copy Proposals must be signed, sealed in an opaque envelope or container, and delivered to the Board s Procurement and Material Management (PMM) Offices. Unsigned, unsealed or late Proposals will not be considered. The Proposer must submit one original and five (5) exact copies of each proposal. The Proposal submittal must be clearly marked with the Solicitation Number, Proposal Due Date and Time and addressed to the attention of the PMM Department. 8.3 Proposer must provide all information requested in this Solicitation for a Proposal to be considered responsive. 8.4 All Proposers must organize their response in accordance with the instructions in the Proposal Format Requirements Section of this Solicitation. 8.5 The Solicitation is structured to elicit substantive responses to each question or statement of requirement. Responses such as Comply or Acknowledge with no explanation are strongly discouraged. Use of such terms will be taken to mean the Proposer agrees to fully comply with the section in the way intended by the Board. 8.6 Proposal Bond: If a Proposal Bond is required, details will be included in the Special Provisions of this Solicitation. Proposer will be required to submit the original copy of any Proposal Bond required with the Hard Copy Proposal or otherwise deliver it to the PMM Office prior to the Deadline for Proposal Submittal. This requirement applies if the Proposal is submitted electronically. Proposal Bonds must be delivered in a sealed envelope bearing the Solicitation Number and Deadline for Proposal Submittal Date and Time. 9 PROPOSAL RECEIPT / EVALUATION OF PROPOSALS 9.1 Responses to this Solicitation (Proposals) become the exclusive property of the Board. Proposals will be opened by the Board so as to avoid disclosure of contents to competing Proposers and kept secret during the process of negotiation. Proposals will not be publicly Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 11
read. After Contract award, all proposals submitted become a matter of public record and, upon request, shall be open for public inspection, with the exception of those portions of each proposal that are defined by the Proposer as business or trade secrets and are clearly marked as Trade Secret, Confidential or Proprietary. 9.2 After Proposals are opened, they will be evaluated on the basis given in the specifications/scope of Work and as described in the Evaluation Criteria Section of this RFP. Until final award of a contract, the Board reserves the right to reject any or all Proposals, to waive technicalities, or to proceed with a Contract for the services otherwise as deemed in the Board s best interest. 9.3 The Board reserves the right to require additional information from any or all Proposers and to conduct necessary investigations to determine (a) if the product and/or service offered meets the Board s requirements, (b) the quality and reliability of the Proposer s performance, and/or (c) to determine the accuracy of the Proposal information. As part of said investigations, the Board may interview and/or visit companies or public entities listed as references. 9.4 The Board reserves the right to select any/all options that is/are determined to be in its best interests and at the sole discretion of the Board. 10 PROPOSAL AWARD 10.1 If a Contract is awarded as a result of this Solicitation, it will be made by the Board to the Proposer whose Proposal is determined to be the most advantageous to the Board, taking into consideration the relative importance of price and other evaluation factors, as identified in the Evaluation Criteria Section of this Solicitation. 10.2 Proposals shall remain valid during the evaluation process time period including award of the Contract. Typically this time period is a minimum of 120 days however it can run longer than that period. 10.3 The Board reserves the right to make multiple awards if deemed in its best interest to do so. 11 CONTRACT WITH THE BOARD 11.1 The Board and the Contractor agree to perform this Contract in strict accordance with the documents listed below, all of which are made a part of this contract, in the order of precedence listed. Subject to the order of precedence set forth below, the documents listed constitute the entire Contract between the parties. Negotiated Modifications, if applicable Addenda, if applicable Solicitation Specifications / Scope of Work Special Provisions General Terms and Conditions Contractor s Bid / Proposal 11.2 Proposer is required to review all the terms, conditions and contract provisions contained in this Solicitation to ensure it can comply with and concurs with all requirements. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 12
11.3 Proposer is required to review any insurance requirements that may be required in the Special Provisions to ensure it has adequate insurance or it will obtain the required insurance if awarded a Contract. Proof of insurance must be submitted before a Contract can be executed and insurance coverage must remain in effect during the term of the Contract. 11.4 Proposer is required to review the payment terms and is advised that, unless other terms are requested and accepted, payment shall be made in accordance with the Texas Prompt Payment Act, including the provision that payment be made within 30 days after receipt of a valid invoice or receipt of products / services in accordance with the specifications, whichever is later. 11.5 Limited Notice to Proceed Procedure. The Board reserves the right to issue a Limited Notice to Proceed (LNTP) prior to contract execution for the purpose of the contract awardee to begin the specified work. The purpose of the LNTP is to engage the work to meet Board deadlines. The contract awardee shall proceed with work as directed under the LNTP. While work may proceed under the LNTP, payments shall not be made until the contract is executed. 12 DETERMINATION OF NON-RESPONSIBLE PROPOSER The Board may disqualify a Proposer as non-responsible and its Proposal shall not be considered for reasons including but not limited to the following. 12.1 Reason for believing collusion exists among the Proposers. 12.2 Where the Proposer, any subcontractor, supplier, or the Surety on any bond given, or to be given, is in litigation with the Board, or with either the cities of Dallas or Fort Worth, or where such litigation is contemplated or imminent, in the sole opinion of the Board. 12.3 The Proposer being in arrears on any existing Contract or having defaulted on a previous Contract. 12.4 Where the Proposer, or subcontractor thereof, in the judgment of the Board, has failed to perform in a satisfactory manner on a previous contract. 12.5 Where a Proposer or subcontractor thereof has failed to disclose a potential conflict of interest or discovered to have a conflict of interest in accordance the Board s Code of Business Ethics. 12.6 Where a Proposer, its subcontractor, or individual officer/principal of the Proposer or subcontractor is under criminal indictment or been convicted of a criminal offense. 13 DETERMINATION OF NON-RESPONSIVE PROPOSAL The Board may disqualify a Proposal as non-responsive and it shall not be considered for reasons including but not limited to the following: 13.1 Proposal received after the time limit for receiving Proposals. 13.2 Proposal was not signed. 13.3 Improper or insufficient Proposal guaranty, if required. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 13
14 REJECTION OF PROPOSALS 14.1 The Board will automatically reject any Proposal that is submitted after the Deadline for Proposal Submittal, and return it unopened. 14.2 Until a Contract is executed, the Board reserves the right to reject any or all Proposals, to waive technicalities, to re-advertise, to decline to proceed or to otherwise proceed with procurement of goods and services herein defined by other method(s) allowed by law and in the best interests of the Board. 15 WITHDRAWING PROPOSALS 15.1 Proposer, by submitting a proposal, warrants and guarantees that the proposal has been carefully reviewed and checked and that it is in all things true, accurate and free of mistakes. However, Proposers have a common law right to withdraw a proposal due to material mistake in the proposal. 15.2 Proposer must submit a request to withdraw a proposal in writing to the Vice President of Procurement and Materials Management. The written request to withdraw a proposal must state the reason for withdrawal request and, if the request is made after deadline for proposal submittal, the details of the material mistake must be included in the request. A proposal for which withdrawal is properly requested prior to deadline for submittal will be returned to the Proposer unopened. 15.3 If the Bidder elects to withdraw its proposal and withdrawal is accepted by the PMM Vice President or Designee, then the proposal/bid will become null and void. The proposal/bid will not be eligible to be reinstated. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 14
16 BID / PROPOSAL CHECKLIST BID/PROPOSAL CHECKLIST SOLICITATION NO. 8004926 BIDDER/PROPOSER: A check mark in the space provided indicates these forms, documents or actions have been completed and are included in the bid or proposal package. All deviations from the specifications, form submittals or action items must be documented separately and included in the bid or proposal submission. This checklist is intended to be an aid to reduce the possibility of errors in bid or proposal submission; it is not intended to relieve the Bidder/Proposing Firm (Proposer) from its obligations to review and comply with the solicitation requirements. Please include a copy of a completed checklist with the bid or proposal response. Bid/Proposal Submittals Signatures. All forms requiring a signature have been signed. Bid/Proposal Forms. All forms completed, including: Bid/Proposal Pricing Form(s) Business Disclosure Form Organizational Summary Form Bid/Proposal Endorsement Form All other forms requested as part of the solicitation. Proposal Bond Form. Checked for accuracy, including verification that the contract number and name are included, a sufficient amount/percentage is provided and the form is submitted in the appropriate bid/proposal package. Bonds should be made on the form furnished in the solicitation and be executed by not less than one corporate surety admitted to do business in the State of Texas. Individual sureties will not be accepted. Addenda. When applicable, Bidder/Proposer submits signed addenda issued as part of the solicitation. If any addenda included amended bid or proposal pages or attachments, those documents must be used and included with the bid or proposal. Bidder/Proposer has checked the Board s website or the assigned Board contact to ensure all addenda, if any, have been received. SBE Compliance. If a SBE goal is provided, Bidder/Proposer has included prime and/or subcontractor participation sufficient to meet or exceed the stated goal. Self performance by an SBE Prime Bidder/Proposer can be credited towards the SBE goal. If the stated goal is not achieved, the Bidder/Proposer has provided documentation evidencing good-faith effort towards meeting the goal with their bid or proposal. Include the following completed SBE forms: Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 15
Evaluation Criteria Work Force Composition Form Commitment to SBE Participation Form* Schedule of Subcontractors* Intent to Perform Contract as a DMWBE Subcontractor Form* Good Faith Effort Plan & Support Documentation* (Applicable if SBE goal is not achieved. Reference SBE Provisions Section for details). SBE Certificates for prime and/or subcontractors. SBE certificates must be from an approved certification agency. SBE firms must also have a place of business in the Airport s market area at the time of bid/proposal submission to be credited towards the SBE goal. Note: *If the SBE goal is 0% and no SBE participation is proposed, note the forms as Not Applicable. Vendor References. When requested, Bidder/Proposer provided the requested number of references for the Bidder/Proposer and, when stipulated, subcontractor references. Bidder/Proposer Qualifications. When applicable to the specifications, Bidder/Proposer provided all certifications, licensing or other requested qualifications verification forms or information necessary to validate the prime or subcontractors qualifications to provide products or services. Bid/Proposal Completion Actions Read/Confirm Intent to Comply. Bidder/Proposer has read the Work/Product Specifications, Special Provisions, General Terms and Conditions and confirms that he/she will comply with all requirements as provided. Proofreading. Bidder/Proposer has proofread all documents to ensure all information provided by the Bidder/Proposer is accurate and responsive to the solicitation specifications. The Board is not responsible for errors made by the Bidder/Proposer. Bidder/Proposer has proofread all mathematical and number entries to ensure accuracy and commitment to honor pricing as submitted. Insurance Compliance. Bidder/Proposer has contacted insurance agent or representative to verify insurance requirements are met, if awarded a contract, and that it will meet the on-line insurance registration requirements through www.ins- Cert.com (see insurance specifications). Late Bids/Proposals. Please note the time, date and delivery location (or mailing address if submitted by U.S. Postal Service). Late bids or proposals will not be accepted. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 16
Supplier Registration for Solicitation Notification and Payments Supplier Registration. While not a requirement of the bid or proposal submittal, Bidder/Proposer has registered in the Board s Supplier Registration System, which is required for contracting with the Board. Web Address: http://www.dfwairport.com/procurement/index.php END OF PROPOSAL INSTRUCTIONS AND REQUIREMENTS Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 17
EVALUATION CRITERIA 1 The evaluation criteria or elements listed below will be used to determine which proposal response is most advantageous to the Board. Said determination will be made in the Board s best interest, and shall therefore be considered final. Responses received to this solicitation will be evaluated based on the criteria and corresponding weight given in each evaluation category listed herein. The response to the requirements of the solicitation and Scope of Work as well as the proposed prices will be used in the Board s evaluation. The Board s evaluation team may consider feedback from references and/or the Board s direct experience with a proposing firm or a proposed subconsultant as part of their evaluation process and consideration for scoring proposals. The Board s evaluation team reserves the right to shortlist firms based upon scores/ratings received during the evaluation process. Scoring of Diversity & Inclusion Initiatives criteria below may be the exclusive responsibility of the Board s Business Diversity and Development Department s committee representative or, if the committee desires, be scored by the full voting committee members. Scoring of Pricing criteria below is the exclusive responsibility of the Board s Procurement and Materials Management Department s committee representative. Generally, all of the available points are awarded to the acceptable proposal offering the lowest price. A percentage of the available points are then assigned to other acceptable proposing firms, based on the percentage of difference between their pricing and that offered by the lowest priced proposing firm. Note that a proposing firm who is otherwise acceptable and proposes a price greater than double that of the lowest priced proposing firm with an acceptable proposal would receive zero points in this Price category. 2 Discussions may be conducted with finalist firms as determined by the evaluation team. Proposers shall be treated fairly and equally with respect to any opportunity for discussions and revisions of Proposals. Inasmuch as the Board may not request best and final offers, Proposers are strongly urged to provide competitive pricing since revisions may not be permitted after submissions and before the award of the Contract. 3 The evaluation criteria are listed below in the order of their relative importance: 3.1 Technical/Compliance with the Scope of Work (35 Points). This category will be evaluated based on (in addition to the Scope of Work, refer to Tab 3 and Tab 6 of the Proposal Instructions and Requirements): Overall understanding of the Board s requirements provided in the Scope of Work/Services Compliance with and overall approach to Statement of Work tasks Detailed approach to meeting any applicable phases, tasks, and/or milestones requirements, including any optional items that the Proposer may choose to include. Background and experience of proposed Contractor and team member personnel, including proposed subcontractor personnel; rationale for selection of team members and their assigned roles Compliance with the Matrix provided in Appendix E of the Scope of Work. 3.2 Management (5 Points). This category will be evaluated based on (in addition to the Scope of Work, refer to Tab 4 of the Proposal Instructions and Requirements): Experience of the individual selected a primary manager of the contracted work; rationale for his/her selection Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 18
Plans for managing the project, including subcontractors, and plans for meeting work project reporting requirements Quality control plan and methodology to ensure compliance with, and achievement of, scope of work/services tasks 3.3 Implementation (20 Points). This category will be evaluated based on (in addition to the Scope of Work, refer to Tab 5 of the Proposal Instructions and Requirements): Proposed implementation plan for meeting service requirements Rationale and realism of the proposed project schedule Proposed equipment as described in the Scope of Work, Section 1.8 and Section 2. 3.4 Diversity & Inclusion Initiatives (20 Points). This category will be evaluated based on a two-step process: Step One: Initial proposal will be evaluated based on: Affirmative Action Plan. Firm s Affirmative Action Plan and/or diversity and inclusion policy statement; to include goals with respect to hiring staff for the proposed project. Such plan shall include, but not be limited to: goals for women and minorities for management and nonmanagement positions. Description of Commitment How will you manage expectations and commitment to firms identified in your Schedule of Subcontractors (Preliminary). Description of Firm's Historical SBE Utilization. What has your firm s involvement/utilization on past projects at DFW International Airport and other public/private sector participation been? (e.g. proposed SBE goal vs. actual achievement). Description of Business Development, Technical Assistance, and or Capacity Building Initiatives. Description of firm s commitment to programs, assistance or support to enhance the capacity or facilitate the participation of SBE firms in the project including outreach and a proposed mentoring program. Step Two (Interview Phase - if applicable): For firms that are interviewed, those interviews will be evaluated based on the firm s responses to criteria questions below as well as any responses to questions from the Business Diversity & Development Department s representative regarding the initial proposal(s): Private sector participation. Firm s ability to demonstrate SBE participation on private sector work or on contracts that require no goals. How is the overall effectiveness of your company s diversity and inclusion initiatives measured? Is it tied to a goal or metric? If so, what is the goal/metric and how have you performed in relation to the goal historically? Team selection. Explain the selection of your team composition including diversity within the team and any opportunities given to team members that may be new to your team and why they were selected. Assurance. What steps will you take to ensure you meet the goal and do you have a dispute resolution/mediation plan in place for modification, elimination or termination of a SBE? Performance Tracking. Who will oversee your SBE program and what level are they within Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 19
your organization? Also describe this person s commitment to SBE programs, assistance or support to enhance the capacity or facilitate the participation of the SBE firms in the project? What systems do you have in place to reach your SBE participation and are you familiar with DFW s B2GNOW system and if not what steps will you take to learn the system? Required Forms (Submission of all forms is required for evaluation but will not count towards the 20 point allocation). Work Force Composition: Present statistics on company-wide work force composition (company or business structure applicable to project) by gender and race/ethnic make-up. Commitment to SBE Participation Form*: Detail Prime s commitment to meeting the SBE goal. Schedule of Subcontractors*: List all subcontractors the Prime intends to use in performing the work of the contract, including non-sbes and detail percentage and dollar commitment for each. Intent to Perform Contract as a Subcontractor*: Representation by Prime to enter into a subcontract with identified SBE firm(s) if awarded the contract. Good Faith Effort Plan & Support Documentation*: If the Prime fails to meet the SBE goal, this documentation must be submitted at the time of bid/proposal submission. SBE Certificates for Prime and/or Subcontractors. Small Business Enterprise (SBE) certificates must be from an approved certification agency. Other certifications, such as Minority Business Enterprise (MBE), Women Business Enterprise (WBE) and Historically Underutilized Business (HUB) certifications are not acceptable. The proposed SBE firm(s) is also required to have a place of business in the Airport s market area at the time of bid/proposal submission. Note: * If the SBE Goal is 0% and no SBE participation is proposed, note the forms as Not Applicable. Please refer to the Board s SBE Policy Section in the Special Provisions for details about the policy and the Board s SBE participation goal for this Contract. 3.5 Price (15 Points). The Price will be evaluated based on the proposed cost of performing work as provided in the pricing proposal of each proposing firm. 3.6 Customer Service/On-Going Support Plan (5 Points). This category will be evaluated based on: Plan for providing quality customer service/support Minimum service guarantees; proposal to ensure quality customer service (performance guarantees, compensation deductions for sub-par performance, other quality incentive plans) Ratio of on-site/local vs. remote service availability END OF EVALUATION CRITERIA Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 20
SPECIFICATIONS / SCOPE OF WORK 1 INTRODUCTION / GENERAL OVERVIEW 1.1 Project Background and Objectives: 1.1.1 Scope Overview: 1.1.1.1 The DFW Airport Board intends to procure an Access Control Management System (ACMS) to become part of the overall Automated Access Control System (AACS) for the DFW Airport. The successful Proposer for this RFP shall provide a secure centralized and integrated application to function as the primary interface for the DFW Airport Board for all credentialing and asset management. This will enhance the overall capabilities by providing secure integration between several disparate systems currently utilized as part of the badging process, reduce the data entry required by personnel at the Access Control Office (ACO), provide a secure paperless system for badge applications that will include facets such as a secure web portal for badge applicant data entry, and provide workflow management and business rule enforcement for all of the regulatory compliance as required by the Transportation Security Administration (TSA), the Department of Homeland Security (DHS), and as required for the Airport Security Program (ASP). 1.1.2 Compliance Matrix See Appendix E. Add to table of contents. 1.2 SUMMARY 1.2.1 The Access Control Management System (ACMS) shall provide the following functions: 1.2.1.1 A system to serve as the central hub of the badging/credentialing process. It is anticipated that the ACMS will be interfaced to multiple existing systems as part of the overall implementation. The interface with the existing systems shall be as spokes in a hub-andspoke logical topology as described below. Refer to the ACMS Integration Section and Appendix D Integration Map diagram for further information. 1.2.1.2 Provide a uniform Graphical User Interface (GUI) for the personnel in the Access Control Office (ACO). The ACMS will be the primary user interface for all activities in the ACO, web-based appointment scheduling, as well as the integration platform to other systems integrated with the ACMS. 1.2.1.3 The ACMS shall support Regulatory Compliance. The ACMS shall be able to provide tracking of the metrics as required by TSA, and provide alerts and reports as required for compliance. This shall include the 100% audit of all active badges on a yearly basis and random audits throughout the year as required to meet all TSA and DHS requirements. 1.2.1.4 Support DFW Operational and Policy Requirements. 1.3 REFERENCES 1.3.1 The publications listed below form a part of this Specification to the extent referenced. The publications are referred to in the text by basic designation only. 1.3.2 Regulatory References: 1.3.2.1 49 CFR Parts 1500 et al.; Civil Aviation Security Rules; Final Rule - February 22, 2002. 1.3.2.2 SD 1542-04-08G or latest Directive TSA Airport Badging Program: Security Directive May 28, 2009. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 21
1.3.2.3 Federal Information Processing Standards (FIPS) Personal Identity Verification (PIV) of Federal Employees and Contractors 201-2, DRAFT Publication, National Institute of Standards and Technology, March 2011. 1.3.3 Guideline References: 1.3.3.1 Biometric Airport Security Identification Consortium (BASIC) Concept of Operations (ConOps), Version 6.0, February 2011. 1.3.3.2 Automated Airport Badge/Credential System Best Practices, Airport Consultants Council, August 8, 2012. 1.3.4 Policy References: 1.3.4.1 DFW Airport - Airport Security Program (ASP). 1.3.4.2 DFW Guidelines, Policies, and Standards: 1.3.4.3 DFW International Airport, Administrative Policy and Procedure IT.003.02 System User and Administrator Access. 1.3.4.4 DFW Design Criteria Manual. 1.3.4.5 DFW Policies and Procedures including Password Policy, et al. 1.3.5 Programming References: 1.3.5.1 DFW Access Control Management System (ACMS) - Concept of Operations (ConOps) July, 2013 (Appendix G) 1.3.6 General References: 1.3.6.1 American National Standards Institute (ANSI). 1.3.6.2 ANSI C2; National Electrical Safety Code. Latest version adopted by DFW. 1.3.6.3 Code of Federal Regulations (CFR). 1.3.6.4 CFR 47 Part 15; Radio Frequency Devices. 1.3.6.5 National Fire Protection Association (NFPA). 1.3.6.6 NFPA 70 (2011) National Electrical Code. 1.3.6.7 International Organization for Standardization (ISO) including: 1.3.6.7.1 ISO 9001; Quality Assurance in Design / Development, Production, Installations, and Servicing. 1.3.6.7.2 ISO 9003; Quality Assurance in Final Inspection and Test. 1.3.6.7.3 ISO 9004; Quality Management and Quality System Elements Guidelines. 1.3.6.8 International Building Code Latest version adopted by DFW. 1.3.6.9 UL Underwriters Laboratory. 1.3.6.10 National Electrical Manufacturers Association (NEMA). 1.3.6.11 Building Industry Consulting Services International (BICSI). 1.3.6.12 Internet Engineering Task Force (IETF). 1.3.6.13 American Society for Testing Materials (ASTM). 1.3.6.14 FM - Factory Mutual. 1.3.6.15 IEEE - Institute of Electrical and Electronic Engineers. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 22
1.3.6.16 ITS Comply with all Information Technology Services requirements. 1.3.6.17 OSHA - Occupational Safety and Health Agency. 1.3.6.18 Local, county, state and federal regulations and codes (including exclusions or variances as adopted by the DFW Airport Board) in effect at of the start of this contract shall be complied with. 1.4 DEFINITIONS 1.4.1 The following Systems and Terms are referenced in the below document: 1.4.1.1 AACS Automated Access Control System The AACS is comprised of several integrated security systems including the existing UTC Picture Perfect access control system, the Handkey biometric system. 1.4.1.2 ACMS Access Control Management System, which will be integrated with the existing security systems and will be part of the overall AACS functionality. 1.4.1.3 Biometric System A system that uses a unique individual identifier to confirm the identity of a person. This may utilize hand geometry, iris scan, or fingerprint, for example. 1.4.1.4 IRMS Inventory and Revenue Management System A custom program at use at DFW Airport that provides functions such as Credit Card processing, First In First Out queue management of people at the ACO, Sponsor and Company Code creation, tracking of assets such as keys, intellikeys, gate remote control radio devices, vehicle permits, etc. including inventory deposits and replacement costs. 1.4.1.5 Email System The existing DFW Enterprise email system, Outlook 2010, that will be integrated to the ACMS to allow the sending of emails to companies and individuals for notifications as defined in this document. The email system is currently hosted by DFW. 1.4.1.6 Fault Tolerance - the ability to continue processing transactions in the event of a component or node failure. 1.4.1.7 Fingerprinting System The existing Telos ID (TSA Designated Aviation Channeling - DAC) system used to capture fingerprints and ensure that badge applicant biographical information for the STA and fingerprint information for the CHRC are properly formatted and complete before sending to TSA and the FBI for vetting against Federal criminal and immigration databases. System used to submit the images for Criminal History Records Check (CHRC) and Security Threat Assessment (STA). 1.4.1.8 High availability - the ability to recover from a component or node failure. (Depending on the application's ability to cache transactions data loss may occur). 1.4.1.9 KapLogic The existing TBSSS in use at DFW Airport. 1.4.1.10 NDI No Device Issuance A database maintained by the DFW Finance Department of companies and individuals that have outstanding debts to DFW Airport and may not be issued access devices or permits until the debt is resolved. 1.4.1.11 TBSSS Terminal Building Security Surveillance System System used at DFW Airport as the Command and Control GUI for the AACS and CCTV systems. 1.4.1.12 E-Learning System The computerized training systems used at DFW Airport for all training. The training systems consist of multiple parts including an ACO Interactive Learning System (ILS), DFW Learning Management System, and Flight/Driving Simulator. 1.4.2 The following abbreviations are used in this document: 1.4.2.1 ACO Access Control Office. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 23
1.4.2.2 AOA Air Operations Area The AOA refers to areas within the airport perimeter, excluding the Central Terminal Area (CTA) or Secure Area, that are subject to security as defined in 49 CFR 1542. 1.4.2.3 ASP Airport Security Program A document produced by the DFW Airport Board and approved by TSA that details the security requirements at DFW Airport. 1.4.2.4 CHRC Criminal History Records Check Fingerprints are submitted as part of background checks as required by Federal Regulations and Security Directives for the badging process. 1.4.2.5 FIPS Federal Information Processing Standard Used to refer to FIPS Publication 201 in regards to Personal Identity Verification (PIV) requirements for Federal Employees and contractors. 1.4.2.6 GUI Graphical User Interface. 1.4.2.7 RDBMS - Relational Database Management System. 1.4.2.8 SIDA Security Identification Display Area All areas as defined in the Airport Security Program where Identification Media must be displayed as defined in 49 CFR 1542. 1.4.2.9 SD Security Directive. 1.4.2.10 Secured Area The area in and around the terminal buildings at DFW Airport as defined in 49 CFR 1542 and as shown in the Airport Security Program (ASP). 1.4.2.11 STA Security Threat Assessment A check conducted by TSA of databases relevant to confirming (1) that an individual does not pose a security threat, (2) that an individual possesses lawful status in the United States, and (3) an individual's identity. 1.4.2.12 TA Trusted Agent - The airport operator employee or agent who collects information from applicants and current airport identification media holders used in the CHRC and STA, transmits the information to Telos ID, authorizes the issuance of identification media, or issues the identification media. 1.4.2.13 TSA Transportation Security Administration. 1.4.2.14 TWIC - Transportation Worker Identification Card A program established by the US Federal Government to establish a uniform identification card for workers in the transportation industry. 1.5 SYSTEM DESCRIPTION 1.5.1 General: The ACMS shall provide the following functions: 1.5.1.1 Provide proper checks and balances while managing the issuance and renewal of secure employee Airport ID badges and other assets. 1.5.1.2 Automatically enforce the business rules, processes, and workflow of DFW s Airport Security Program (ASP) and the Regulations and Security Directives (SD) issued by the Transportation Security Administration (TSA). 1.5.1.3 Manage ACO personnel acting in the Trusted Agent (TA) role to ensure that only authorized users are allowed to access and update cardholder information in the ACMS following requirements set forth in TSA Security Directive 1542-04-08G or latest directive (et.al.). 1.5.1.4 Protect and Segregate sensitive user and system information in accordance with DFW Policies and Privacy best practices. 1.5.1.5 Provide a web-based appointment system that allows applicants to schedule appointments for ACO services after ensuring applicants meet the requirements for the next step of the badging process. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 24
1.5.2 The ACMS shall become the Central Repository and Database for data relating to Cardholders; supplementing the multiple databases currently held in other systems such as the IRMS and AACS. The Contractor shall utilize the existing database currently in the existing AACS UTC Picture Perfect system as the primary source for the ACMS database in regards to Badge Holder Information, with other sources such as inventory listing being utilized to define assets and the assignment of those assets. The contractor shall be responsible for verifying the data in the database prior to the final data transfer. 1.5.3 The purpose of the ACMS is to ensure the following: 1.5.3.1 That an individual has met the criteria specified in SD 1542-04-08G or latest directive prior to requesting CHRC or STA approval. 1.5.3.2 Comparison with Watch /No Fly/Selectee Lists through an automated process. 1.5.3.3 Ad-hoc comparison of other lists for on-demand comparisons such as Escortees. List formats shall be Excel or other comparable format. 1.5.3.4 That no companies or individuals on the NDI list are issued credentials or other access devices or assets. 1.5.3.5 Control over the assignment of Escort privileges based on SD 1542-04-08G. 1.5.3.6 Enforce data integrity and consistency between the existing systems. The ACMS shall act as the Central Repository for all Company and Individual Badging Data. 1.5.3.7 Enforce separation of duties to ensure that no single individual has the capability to issue a badge without the participation of another authorized person. 1.5.3.8 Management of authorized signatory transactions (Authorized Employer Representatives, DFW Authorized Badge Sponsors (Signatories), ACO Manager, Supervisor, and Staff). 1.5.3.9 Provide visual ID badges for personnel working at the airport. 1.5.3.10 Provide control of access levels for the AACS. 1.5.3.11 Provide tracking of all access media and assets for the DFW Airport Site. These include not only the Airport ID Badges, but also other assets including, but not limited to, access devices, gate remote control radio devices, Vehicle Permits, and Keys including electronically programmed keys. 1.5.3.12 Provide enforcement of all policies so that a badge may not be issued until all requirements for a badge have been entered and accepted such as all required personal data is complete, the STA and CHRC are complete and accepted, and all applicable training is complete. 1.5.4 The ACMS shall be provided with a Development Environment, a Test Environment, and a Production Environment. The Development shall be used to verify all interfaces and integration points in order to prove the operation of the full ACMS system. Coordinate Development with the DFW Airport Board. The Test environment will be used for Quality Assurance testing and End User testing and training. All changes to the Production Environment will be made and successfully tested in the Development and Test Environments before being applied to the Production Environment. The Production Environment shall meet all of the requirements as set forth in this RFP. 1.5.4.1 The Development Environment shall be comprised, at a minimum, of an ACMS server and one (1) full ACMS workstation (including all badging peripherals except badge printer which shall be replaced by standard printer) that will be located in a secure IT area. The intent of the Development Environment is to allow for changes or upgrades in the ACMS software to be implemented and reviewed on a stand-alone system, or to test future or proposed integrations between the proposed system and the ACMS. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 25
1.5.4.2 The Test Environment shall be comprised, at a minimum, of ACMS servers configured in the same manner as the production environment, plus a full workstation (including all badging peripherals except badge printer which shall be replaced by standard printer) in the ACO area. The workstation should be the Training Workstation as described in section 1.10.8. The Test Environment shall be provided with integrations or simulated integrations with all of the interfaces that the ACMS is using as part of the day-to-day operation as defined in this RFP for the production environment. The Test Environment will have a sample database of generic users and badge holders with similar structure to the production environment database, but shall not contain any personal data or SSI information as contained in the production database. 1.5.4.3 The Production Environment is the complete active system with the ACMS servers, workstations, and integrations/interfaces as defined in this RFP and is the environment where all badging and system administrations tasks are performed. 1.6 INTELLECTUAL PROPERTY 1.6.1 Patents: Should patented articles, methods, materials, apparatus, etc., be used in this work, the Contractor shall acquire the right to use same. The Contractor shall hold the DFW Airport Board and its agents harmless for any delay, action, suit, or cost growing out of the patent rights for any device on this Project. 1.6.2 Copyrights: Should copyrighted software be used in this Work, the Contractor shall acquire the right to use same. The Contractor shall hold the DFW Airport Board and its agents harmless for any delay, action, suit, or costs stemming from copyrights for any software on this Project. 1.6.3 License to Use: All software required for the complete operation of the system as specified herein shall be delivered with either full license transferred to the DFW Airport Board or a non-time limited License to use on each machine it is installed on, including the right to make backup copies. 1.6.4 Software Master Source Code: The DFW Airport Board shall be provided with the latest master source code for all proprietary manufacturer specific software, or the manufacturer shall enter into a master source code escrow agreement whereby the source code shall be turned over to the Owner, at no cost, in the event that the manufacturer should enter into bankruptcy or discontinue support of the product. The source code shall be put into escrow along with the base operating system (including all patches and updates at the time of escrow), all tools such as editors, compliers, linkers, etc., which are required to rebuild and operate the system, and any other documentation required. The operating system and utilities and programs can be licensed copies of same, not the source code. The intent is to provide everything required allowing the DFW Airport Board to install, edit, and re-compile the program with any changes. Provide proposal for escrow account agreement including costs to DFW Airport Board for review. 1.7 RADIO/TELEVISION INTERFERENCE 1.7.1 FCC Compliance: All equipment that uses radio frequency energy shall be certified to comply with Subpart J of Part 15 of Federal Communication Commission rules CFR 47 as those rules define a Class A computing device. 1.7.2 Expected RF Environment: These systems are to be installed at DFW Airport and are subject to background RF levels expected in a Category X Airport environment. It is the Contractor's responsibility to protect the systems specified here from interference of other systems, and through compliance with Part 1.7.1. above, to prevent interference with other systems. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 26
1.8 SUBMITTALS 1.8.1 General: Submit the following as defined in this specification. Unless noted otherwise or agreed upon by the DFW Airport Board, Contractor shall provide six (6) copies of any product data or shop drawing submittals. 1.8.2 The Contractor shall not perform any portion of the Work requiring submittal and review of Record Drawings, Shop Drawings, product data, or samples until the DFW Airport Board or its designated assignee have approved the respective submittal. All Work shall be in accordance with approved submittals. 1.8.3 Product Data: Submit manufacturer's data on system components and sub-components including, but not limited to, Product performance Specifications, Electrical Specifications, Mechanical Specifications, physical dimensions and weights, rough in diagrams, and instructions for installation, operation and maintenance, suitable for inclusion in maintenance manuals. 1.8.4 Proposed Product Data Sheets: The Contractor shall submit catalog cut-sheets that include manufacturer, trade name, and complete model number for each product specified. Model number shall be handwritten and/or highlighted to indicate exact selection. Identify applicable Specification Section reference for each product. Product data sheets shall be bound in a three (3) ring binder and shall include a product index listing the model number and description of product. 1.8.5 Shop Drawings: Provide Shop Drawings showing equipment, locations, wiring diagrams, mounting, data outlets and applicable arrangements. 1.8.5.1 Provide an assembly drawing of every equipment rack/cabinet and card cage enclosure with location and dimensions shown. 1.8.5.2 Provide an assembly drawing of all servers, computers, peripherals and system components with location and logical connections and interfaces. 1.8.5.3 Provide wiring diagrams showing all field devices and their connected wiring. 1.8.5.4 Provide logical layout drawings that show the relationship of the proposed equipment. 1.8.5.5 Provide system block diagrams showing how each system relates to the ACMS and the communication means and protocols required for each interface. 1.8.5.6 Provide Interface Control Documents for all software system integrations. 1.8.5.7 Provide Software Layouts for the page designs for the GUI for DFW Approval. The layouts shall be presented in a screen shot format, with descriptions of each page and parameters noted for each item (pull down menu, radio button, free text, specific entry, etc.). 1.8.5.8 Provide database table layouts for review and approval. 1.8.6 Parts List: Provide a complete parts list and breakdowns that identify each component (to the lowest repairable unit) as well as ordering information. The characteristics of each component shall also be shown, where applicable, to aid in obtaining substitute parts. Provide a list of required spare parts and quantities to be provided as part of this contract. 1.8.7 Program Management Plan: Provide an overall Program Management Plan within thirty (30) days of Notice to Proceed. Plan shall include, at a minimum, team organization and responsibilities, key personnel, schedule management and applicable processes including Safety plan, configuration management, change management, and quality assurance plan. This Plan shall be incorporated into the Critical Path Method (CPM) Schedule produced in Microsoft Project or other DFW Airport Board approved scheduling program. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 27
1.8.8 Work Schedule: Provide a master schedule for proposed system installation and implementation, including dates and milestones, as part of the overall CPM Schedule. See DFW Airport Board contractual requirements regarding content and timeline. Schedule shall include, at a minimum, the proposed Shop Drawing submission dates, the ordering and manufacture time, the installation schedule, the schedule of values, the programming of the system, and the testing time. 1.8.8.1 Updates to the Work Schedule shall be submitted on a weekly basis to the DFW Airport Board. Updates shall include technical status and work accomplished; integration and software programming including development, test and final production schedule status; schedule status including variance analysis: risks/opportunities/risk mitigation plans (as required); open action items; accomplishments: planned activities for next week and next month. 1.8.8.2 The Contractor shall be responsible for identifying and coordinating dependencies with other contractors working on-site, including the Contractor s own sub-contractors working on this project, manufacturer integrations as well as system/sub-system (new and existing) dependencies. Contractor shall notify the DFW Airport Board of those dependencies as soon as they are identified and shall maintain a list of any and all dependencies for the duration of the project. An updated coordination Document shall be submitted on a weekly basis to the DFW Airport Board. 1.8.9 Testing: Prepare and submit Test Plans, Test Procedures, Test Results, and Test Reports as indicated for each system. The Test Plans, Procedures, and Reports shall be submitted to the DFW Airport Board and the Engineer for approval and shall be incorporated into the overall Construction Quality Control Plan. The Contractor shall provide all system integration, overseeing and validating all testing and commissioning, and verifying all training and training materials. 1.9 QUALITY ASSURANCE 1.9.1 It is expected that the Proposer Team will consist of the ACMS Manufacturer and an overall System Integrator. The minimum qualifications of each and of the overall team are defined below. 1.9.2 The ACMS Manufacturer shall have been in the business of providing similar ACMS solutions for a minimum of five (5) years. 1.9.3 The manufacturer shall provide references for multiple airports including one (1) medium-hub or large-hub airport sites that are actively using the same system with the same version or previous version of the software as being proposed in their RFP response for the ACMS; these sites must be in operation (post final customer acceptance) for at least the preceding twelve (12) months prior to the issue date of this RFP. 1.9.4 The manufacturer shall provide references for a minimum of five (5) sites in current operation (airport and non-airport type facilities are acceptable) with two (2) of the sites demonstrating experience with large user populations in excess of twenty-five thousand (25,000) enrolled users. All of the reference sites must be in current operation. 1.9.5 The manufacturer should demonstrate integration with the UTC Picture Perfect platform at a minimum of one (1) active site. Provide references for sites where this interface is currently in operation. 1.9.6 The manufacturer shall demonstrate integration with other major Access Control System vendors in the marketplace and provide reference sites where these integrations are currently in operation. Provide references for each site noted. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 28
1.9.7 The Proposer Team (System Integrator and/or Manufacturer) shall have experience working in the Airport environment. The Team shall have been in the business of working in the airport environment and shall show experience working with Access Control Systems and Badging/Identity Management at a minimum of one (1) Category 1 or Category X airport. 1.9.8 The Proposer Team shall have personnel located in the Dallas Fort Worth area, within a thirty (30) mile radius that are certified on the system and can provide local support for the system. The local support shall be capable of providing support for both the software system as well as the physical hardware. The personnel and certifications shall be submitted for review by the Airport. 1.9.9 Due to the Sensitive Security Information (SSI) nature of the ACMS, all personnel that will work on or have access to the ACMS shall be required to be SIDA Badged with full background checks including CHRC and STA, and the SIDA badge shall be maintained for the duration of the Installation Period, Warranty Period, and the Extended Warranty and Maintenance. If the badge for the assigned personnel lapses or if the personnel assigned to the ACMS are to be changed or replaced, the contractor will be required to submit the qualifications of the proposed personnel including certifications, and any proposed personnel must be SIDA badged as noted above. The DFW Airport Board reserves the right to approve all proposed personnel and may choose to not accept personnel without providing a reason. If replacement personnel are not accepted by the DFW Airport Board, the contractor is responsible for providing an alternate candidate with all due speed. 1.9.10 NEC Compliance: Comply with NEC as applicable to construction and installation of security system components and accessories. 1.9.11 UL Compliance and Labeling: Provide system components, which are UL listed and labeled. 1.9.12 Equipment and materials supplied shall be a standard product from manufacturers regularly engaged in the manufacturing and installation of these types of equipment and shall be from the manufacturer's latest commercial products list. All items identified in the design document with the same classification (e.g. Badge Printers) shall be manufactured by the same manufacturer and shall be the same series and model. This requirement includes equipment, modules, assemblies, parts, and components. Electrically powered equipment shall be UL approved. Electronic equipment shall meet the requirements of CFR 47 Part 15. 1.10 SEQUENCING 1.10.1 The Contractor shall submit an overall Project Transition/Cutover Plan as part of the overall Work Schedule. 1.10.2 The ACO Operation shall be maintained at all times; transition/cutover to the ACMS shall not hinder the operation of the ACO to issue and renew the Airport ID Badges and shall not impede the operation of other systems to be integrated to the ACMS such as the AACS, IRMS, Handkey, etc. Also, the ability to turn off select ID badges and remove access immediately shall be maintained at all times in accordance with 49 CFR 1542. Back-up procedures and other processes shall be provided by the contractor and approved by the DFW Airport Board to ensure that this capability can be maintained during all transitions and cut-overs. 1.10.3 The existing badging process is reflected in Appendix A, the existing badging renewal process is reflected in Appendix B, and the proposed badging process is reflected in Appendix C. The contractor shall be responsible for proposing and providing a transition strategy to move from the existing paper based process to the electronic process noted in the proposed badging process. As part of the proposed process, the required manpower within the ACO at each stage to Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 29
facilitate the transition shall be defined. The manpower shall include transitional roles as well as required personnel to allow for training of the existing staff. 1.10.4 It is recommended that the proposed effort be performed in a minimum of three (3) Implementation Phases. The phases will be as follows: 1.10.4.1 Implementation of the ACMS and the associated web portal with all of the functions noted in section 1.12.3.6, and the integration of the AACS and Biometric System. This phase will include the transition of the database from the AACS to the ACMS, the establishing of the complete synchronization of data between the ACMS and the AACS, and the removal of unnecessary data fields from the AACS. 1.10.4.1.1 The implementation shall be fully tested using test data and data from the AACS and the expected processes in the development environment prior to being scheduled for implementation into the production environment. 1.10.4.2 Integration of the IRMS, Kaplogic, web-based appointment scheduling system, and Telos Fingerprinting into the ACMS and the transition from a paper and electronic process to a fully electronic process. The existing IRMS is integrated to the email system. 1.10.4.3 Integration of the Email System, the NDI List, and Interactive Learning System including the E- Learning Portal, Learning Management System, and Driver Simulator Training into the ACMS. 1.10.5 The Contractor shall provide a basic overview of the operating scenarios during transition and cutover. Responsibilities for individual systems transition will belong to Contractors and/or their Subcontractors. The Contractor shall provide individual detailed transition plans to the DFW Airport Board for approval a minimum of thirty (30) days prior to scheduled Cutover, as per the Master Schedule Milestones. The DFW Airport Board will review the transition plans, and return them within fourteen (14) days. If any resubmittal is required causing a shift of the cutover date, this extension shall not affect the overall completion date. Contractor shall allocate sufficient time in the schedule to allow for resubmittal activities. 1.10.6 The capability of simultaneous operation of the existing and new systems must be in place before beginning transition. The Contractor shall provide detailed cutover activities, including the following: 1.10.6.1 Overall timeline and phasing of cutover. 1.10.6.2 Identification of systems and coordination activities required for system cutover. 1.10.6.3 Coordination required with other facility and technical systems contractors. 1.10.6.4 Contractor onsite and offsite support personnel and system requirements during cutover and go live periods. 1.10.6.5 Identification of DFW Airport Board personnel required during cutover and go live periods. 1.10.6.6 Problem resolution procedures including back-up and system roll-back processes and procedures. 1.10.6.7 Final punch list resolution checklist. 1.10.7 Due to the large quantity of devices and peripherals associated with each badging station, DFW requires that a mock-up be provided of a typical workstation with all of the proposed equipment installed and functional as it will be for a typical Badging Workstation location. The mock-up shall be based upon the preliminary layouts as provided to and reviewed by DFW prior to the mock-up. The intent is to work out ergonomic and operational issues prior to installation at any of the permanent locations. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 30
1.10.8 DFW also requires a Training Badging Workstation to allow for system users to train on a workstation that is as close to a typical badging workstation as possible. The Training Workstation shall have all peripherals noted for a typical Badging Workstation, but shall not be provided with a badge printer/encoder. See section 1.5.4.2 for further information. For testing of printing, a standard color printer shall be provided to allow the operator to print a paper badge. The Training Workstation may be constructed as the mock-up if acceptable to the DFW Airport Board. The training workstation shall not be on the production system so that training will not impact system operation, but shall be implemented on the Test Environment as required by the DFW Airport Board. Coordinate location with the DFW Airport Board. 1.10.9 The overall transition/cutover plan provided by the Contractor may be modified with the approval of DFW Airport Board to suit personnel availability, overall schedule coordination, material deliveries, or unforeseen site conditions. 1.10.10 Unless noted otherwise within the Contract Documents, the ability to perform Badging Operations or required policy and compliance functions shall not be hindered or unavailable at any time. Demolition and/or removal DFW Airport Board equipment not scheduled for transition shall be performed under this Contract. If the equipment is part of an identified subsystem with a dedicated contractor, the Contractor shall include costs for the dedicated subcontractor to perform the work to allow the removal or demolition. 1.10.11 At a minimum, the Contractor shall provide at least two (2) knowledgeable support specialists during go live periods, and for two (2) days following (24x7), for each shift. Support specialists may be trainers, help desk personnel, or other labor category at the Contractor option. The Contractor shall clearly state the recommended ratio of support specialists to end-users. 1.11 SYSTEM REQUIREMENTS 1.11.1 General: The Access Control Management System (ACMS) shall provide the system objectives as noted in the section below. 1.11.2 Identity Management/Cardholder Management: 1.11.2.1 Identity management/cardholder management system shall be an integral component of the ACMS. 1.11.2.2 Integration with the existing AACS shall be provided and integration with future AACS shall be supported by the ACMS. 1.11.2.3 The ACMS shall provide: 1.11.2.3.1 The enrollment of cardholders into the database. 1.11.2.3.2 Capturing of images and signatures. 1.11.2.3.3 Capturing and storing scans of Identification media presented to the ACO. 1.11.2.3.4 Import/export of cardholder data. 1.11.2.3.5 Entry or import of each card and cardholder into the database prior to use. 1.11.2.3.6 Ability for each card to be manually disabled at any time without the requirement to delete the card. Each card can then be subsequently re-enabled at a later time. 1.11.2.3.7 Functionality allowing the System Operator to assign or modify access rights of a cardholder. 1.11.2.3.8 Card records shall include the entry of activation and deactivation dates to provide for the automatic enabling and expiring of the card record. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 31
1.11.2.3.9 The system shall provide the capability of setting a parameter of days whereby cards will be automatically disabled if they are not used at all for access for the preset number of days (i.e. 30 days, 60 days, etc.). Any card can be subsequently re-enabled at any time. 1.11.2.3.10 All cards shall have expiration dates, and the expiration date shall be programmable to be a set duration such as one year or set to expire at the end of the company contract or other parameters as defined by DFW. The time of expiration shall be programmable. For example, all cards may be set to expire at the beginning or end of the day. 1.11.2.4 The Identity Management/Cardholder Management System database shall provide: 1.11.2.4.1 A robust database with no limitation on the type or quantity of fields. 1.11.2.4.2 At a minimum, the system database shall be able to be expanded to accommodate 100% growth in the quantity of fields in the database on day one. 1.11.2.4.3 Logically arranged data fields under different tabs. 1.11.2.4.4 The layout of information and tab names shall be easily changed by the Administrator. 1.11.2.4.5 All critical and sensitive data shall be encrypted on transmission and when stored. Strong Encryption Key Management procedures shall be provided that comply with the DFW Airport Board s policies. 1.11.2.4.6 All data shall be stored in fully redundant, disparately geographically located data storage equipment so that the loss of one facility will not cause the loss of data or the loss of system operation. See System Availability below, Section 1.16.5. 1.11.2.5 The ACMS shall manage the transfer of data to system spokes with the ability to restrict or modify data (truncate SSN information for example) as required per DFW Airport Board Polices and Operational Models to ensure only DFW Airport Board approved data is transferred to specific systems as required. 1.11.2.6 The ACMS shall provide information noted below as data entry fields unless noted otherwise. In addition, the following entry means shall be provided: 1.11.2.6.1 Check boxes shall be provided for yes/no type items. 1.11.2.6.2 Pull down menus or radio buttons shall be provided for all selection boxes noted below and shall be based upon: 1.11.2.6.2.1 Master look-up tables of companies. 1.11.2.6.2.2 Company Type. 1.11.2.6.2.3 Badge types. 1.11.2.6.2.4 States. 1.11.2.6.2.5 Countries. 1.11.2.6.2.6 Additional items as required by the DFW Airport Board. 1.11.2.6.3 The ACMS database shall include, at a minimum, the following fields for creating a company in the ACMS: 1.11.2.6.3.1 Company Name. 1.11.2.6.3.2 Company Code (Next available Sequence Number from IRMS). 1.11.2.6.3.3 Company Type (From pull-down menu). 1.11.2.6.3.4 Employer s Current Mailing address including street address, City, State, and Zip. 1.11.2.6.3.5 Employer s Current Street address including street address, City, State, and Zip. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 32
1.11.2.6.3.6 Business Phone and Fax Numbers. 1.11.2.6.3.7 Web-Site Address. 1.11.2.6.3.8 Primary and Secondary Contact Information: 1.11.2.6.3.8.1 Name, Phone Number, Email, etc. 1.11.2.6.3.9 Authorized Employer Representative #1: 1.11.2.6.3.9.1 Name, Phone Number, Email, etc. 1.11.2.6.3.10 Authorized Employer Representative #2: 1.11.2.6.3.10.1 Name, Phone Number, Email, etc. 1.11.2.6.3.11 Company Contract Information (Including Contracts and Dates). 1.11.2.7 The ACMS database shall include, at a minimum, the following fields for creating a Cardholder in the ACMS: 1.11.2.7.1 Unique User Identifier (automatically added by system, start number and format to be specified and approved by DFW Airport Board) 1.11.2.7.2 Employee/Cardholder Information: 1.11.2.7.2.1 Name Last, First, and Middle. 1.11.2.7.2.2 Social Security Number. 1.11.2.7.2.3 Birth Date Month, day, and year. 1.11.2.7.2.4 Name of Employer From Pull-down menu. 1.11.2.7.2.5 Dept/Branch optional. 1.11.2.7.2.6 Alias names (up to 3) Last, First and Middle Names. 1.11.2.7.2.7 Gender From Pull-down menu. 1.11.2.7.2.8 Race - From Pull-down menu. 1.11.2.7.2.9 Eye Color - From Pull-down menu. 1.11.2.7.2.10 Hair color - From Pull-down menu. 1.11.2.7.2.11 Height Foot and Inches. 1.11.2.7.2.12 Weight In pounds. 1.11.2.7.2.13 Job Title Text Entry limited characters. 1.11.2.7.2.14 Company Employee Number Optional. 1.11.2.7.2.15 Driver s License/State ID Number including State of Issuance and Expiration Date. 1.11.2.7.2.16 Current Mailing Address including Address, Apartment/Suite Number, City, State, and Zip. 1.11.2.7.2.17 A current street address is also available or can be set to match the Current Mailing Address. 1.11.2.7.2.18 Phone Numbers including Business Phone, Daytime Phone (can be set to match business phone), Cell Phone, and Home Phone. 1.11.2.7.2.19 Personal Email Address. 1.11.2.7.2.20 Business Email Address. 1.11.2.7.2.21 Country of Birth. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 33
1.11.2.7.2.22 If Country of Birth is USA or Mexico, then form prompts for State of Birth. 1.11.2.7.2.23 Country of Citizenship. 1.11.2.7.3 For non-us Citizens, the form requires one of the following: 1.11.2.7.3.1 Alien Registration Number with Expiration. 1.11.2.7.3.2 I-94 Arrival/Departure Record Number with Expiration. 1.11.2.7.4 The form will ask if the applicant holds a Non-Immigrant VISA from a foreign country and if the applicant holds one, the applicant is required to provide the VISA control number. 1.11.2.7.5 For US Citizens born in the US, it will request: 1.11.2.7.5.1 US Passport Number with Expiration (Optional). 1.11.2.7.6 For US Citizens born abroad, it will require one of the following: 1.11.2.7.6.1 Certificate of Naturalization (Form N-550 or N-570). 1.11.2.7.6.2 Certificate of US Citizenship Number (Form N-560 or N-561). 1.11.2.7.6.3 Certification of Report of Birth (Form DS-1350). 1.11.2.7.6.4 Consular Report of Birth Abroad (Form FS-240). 1.11.2.7.6.5 Certification of Birth Abroad (Form FS-545). 1.11.2.7.7 Employer Information: 1.11.2.7.7.1 Name of Employer (Chosen from Pull Down). 1.11.2.7.7.2 Company Type (Automatically populated based on Employer selection). 1.11.2.7.7.3 Company Code (Automatically populated based on Employer selection). 1.11.2.7.7.4 Employer s Current Mailing address including street address, City, State, and Zip (Automatically populated based on Employer selection). 1.11.2.7.7.5 Employer s Current Street address including street address, City, State, and Zip (Automatically populated based on Employer selection). 1.11.2.7.7.6 Business Phone and Fax Numbers (Automatically populated based on Employer selection). 1.11.2.7.7.7 Web-Site Address (Automatically populated based on Employer selection). 1.11.2.7.7.8 Contract Number(s) and Expiration Date(s) (Chosen from Pull Down based on Employer chosen. DFW will provide a database view of current, open Contracts. 1.11.2.7.7.9 Project Numbers and Expiration Date(s) (Chosen from Pull Down based on Employer chosen. DFW will provide a view of current, open Projects.) 1.11.2.7.8 Authorized Employer Representative Information: 1.11.2.7.8.1 Employer Representative information including Name (First, Middle, and Last) (Pull down name available based on employer and login). 1.11.2.7.8.2 Authorized Employer Representative Signature (Format TBD). 1.11.2.7.8.3 Contact information for Authorized Employer Representative including email address, business phone, fax number, and cell phone. (Automatically populated based on Authorized Employer Representative selection and login). 1.11.2.7.9 DFW Authorized Badge Sponsor (Signatory) Information: 1.11.2.7.9.1 Badge color Available types will be limited based upon sponsor role to only allow selection of appropriate badge types -Check Boxes or radio buttons for: Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 34
1.11.2.7.9.1.1 Yellow SIDA Airline Tenant Sponsored. 1.11.2.7.9.1.2 Red SIDA Government Sponsored. 1.11.2.7.9.1.3 Blue SIDA Airport Board Sponsored. 1.11.2.7.9.1.4 Green Non-SIDA Sterile Access Only. 1.11.2.7.9.1.5 White ID Board Employee/Contractor Airport Board Sponsor. 1.11.2.7.9.2 Badge Expiration Check Boxes or radio buttons (available buttons or selections based on DFW defined business rules) for: 1.11.2.7.9.2.1 2 Year Expiration. 1.11.2.7.9.2.2 1 Year Expiration. 1.11.2.7.9.2.3 6 Month Expiration. 1.11.2.7.9.2.4 3 Month Expiration. 1.11.2.7.9.2.5 Other Dates less than 1 Year Expiration with Date entry area (Direct Date Entry or Calendar Based Selection shall be provided). 1.11.2.7.9.3 Access/Clearance Codes 1.11.2.7.9.4 Access Rights The system shall be capable of providing access rights based upon Job Titles or a Role Based parameter, based upon specific rights, or on a user-by-user basis. There shall be no limit on the quantity of access levels or codes that can be assigned to a specific user of Job Title or Role (Based on process TBD). 1.11.2.7.9.5 Sponsoring Authority (Signatory) information including Name (First, Middle, and Last) (Automatically populated based on Sponsoring Authority selection and login). 1.11.2.7.9.6 Sponsoring Authority Signature, signature date, signature code and company code (Automatically populated based on Sponsoring Authority selection and login). 1.11.2.7.9.7 Contact information for Sponsoring Authority including email address, business phone, fax number, and cell phone. (Automatically populated based on Sponsoring Authority selection and login). 1.11.2.7.9.8 CBP Seal Request 1.11.2.7.9.9 AOA Driver Request 1.11.2.7.10 PIN Code (four or five digit). 1.11.2.7.11 Reference Biometric A biometric that is used to verify the identity of the badge applicant for ACO use and is associated with the applicant's ACMS record. This biometric is expected to be a separate biometric from the biometric used for the AACS Biometric below. 1.11.2.7.12 AACS Biometric (allow a minimum of two (2) different biometrics, plus multiple samples of each biometric). 1.11.2.7.13 Authorized Employer Representative (check box when chosen will allow data entry into the following fields): 1.11.2.7.13.1 Authorized Signer Date. 1.11.2.7.13.2 Authorized Signer Renewal Date. 1.11.2.7.13.3 Authorized Signer E-mail Address. 1.11.2.7.13.4 Training (TBD). 1.11.2.7.13.5 Login Information (TBD). Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 35
1.11.2.7.14 DFW Authorized Badge Sponsor (Signatory) (check box when chosen will allow data entry into the following fields): 1.11.2.7.14.1 Sponsor Code (Next Available Sequence Number from IRMS). 1.11.2.7.14.2 Authorized Signer Date. 1.11.2.7.14.3 Authorized Signer Renewal Date. 1.11.2.7.14.4 Authorized Signer E-mail Address. 1.11.2.7.14.5 Training (TBD). 1.11.2.7.14.6 Login Information (TBD). 1.11.2.7.15 Card Information: 1.11.2.7.15.1 Card Facility Code. 1.11.2.7.15.2 Card Number. 1.11.2.7.15.3 Issue Number. 1.11.2.7.15.4 Unique Card Identifier for every card printed (tracking purposes) Confirm identifier format with DFW Airport Board. 1.11.2.7.15.5 Status - pull down menu (active, inactive, stolen, etc.). 1.11.2.7.15.6 To maintain historical reporting, the system shall be capable of holding multiple cards per user record to allow system to report possible use of expired or stolen badges. Confirm allowed active badges per user with DFW Airport Board. 1.11.2.7.16 The following may also be tied to badge features to be printed on the badge: 1.11.2.7.16.1 AOA Access selection box. 1.11.2.7.16.2 Security Area Access selection box. 1.11.2.7.16.3 Power Gate Access selection box. 1.11.2.7.16.4 Airport Driver selection box. 1.11.2.7.16.5 Loading Bridge Access selection box. 1.11.2.7.16.6 Surface Movement Guidance System Area selection box. 1.11.2.7.16.7 Non-Movement Area Driver selection box. 1.11.2.7.16.8 Escort Privilege selection box. 1.11.2.7.16.9 CBP 1 Access selection box (when chosen will allow data entry into the following fields): 1.11.2.7.16.9.1 Customs #1 clearance date. 1.11.2.7.16.10 CBP 2 Access selection box (when chosen will allow data entry into the following fields): 1.11.2.7.16.10.1 Customs #2 clearance date. 1.11.2.7.16.11 Additional CBP Electronic Seal Assignment fields (Quantity and types TBD) 1.11.2.7.16.12 LEO selection box. 1.11.2.7.16.13 DPS Armed LEO Customs. 1.11.2.7.16.14 DPS Fire Customs. 1.11.2.7.16.15 Badge type/format selection box. 1.11.2.7.16.16 Additional fields as defined by DFW Airport Board. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 36
1.11.2.7.17 CHRC/STA data fields (Note: entry of data for 1544 Operators may require different business rule applications. Confirm requirements with DFW Airport Board): 1.11.2.7.17.1 DFW Fingerprint Date. 1.11.2.7.17.2 Airline Fingerprint Date. 1.11.2.7.17.3 Fingerprint Status selection box (pull down). 1.11.2.7.17.4 Fingerprint Case Number. 1.11.2.7.17.5 Fingerprint Clearance Date. 1.11.2.7.17.6 DAC Account Number. 1.11.2.7.17.7 OPM Case Number. 1.11.2.7.17.8 STA Status. 1.11.2.7.17.9 STA Clearance Date. 1.11.2.7.17.10 CHRC Domestic Airlines Clearance Letter provided - Check Box 1.11.2.7.17.11 Submission process related data (Telos) shall also be stored. Coordinate requirements with DFW Airport Board and Telos. 1.11.2.7.18 Training and Violation Information: 1.11.2.7.18.1 SIDA Training Successful Completion Date. 1.11.2.7.18.2 SIDA Renewal Date. 1.11.2.7.18.3 SIDA Training Certificate (most recent). 1.11.2.7.18.4 Sterile Training Date. 1.11.2.7.18.5 Sterile Renewal Date. 1.11.2.7.18.6 Drivers Training Date: 1.11.2.7.18.6.1 Test Score 1 and Date. 1.11.2.7.18.6.2 Test Score 2 and Date. 1.11.2.7.18.6.3 Test Score 3 and Date. 1.11.2.7.18.7 Violation and Corrective Action information: 1.11.2.7.18.7.1 Violation 1 Incident Number, Date, Corrective Action, and Corrective Action Date. 1.11.2.7.18.7.2 Violation 2 Incident Number, Date, Corrective Action, and Corrective Action Date. 1.11.2.7.18.7.3 Violation 3 Incident Number, Date, Corrective Action, and Corrective Action Date. 1.11.2.7.18.7.4 Airfield Violation 1 and Airfield Points. 1.11.2.7.18.7.5 Airfield Violation 2 and Airfield Points. 1.11.2.7.18.7.6 Airfield Violation 3 and Airfield Points. 1.11.2.7.18.8 Badge Re-issuance Information: 1.11.2.7.18.8.1 Track all badges issued or re-issued. 1.11.2.7.18.8.2 Track all damaged badges (note on all re-issues to note reason). 1.11.2.7.18.8.3 Track last person to access badge access rights/re-issue/changes and date. 1.11.2.7.18.9 Financial Information See IRMS documentation in section 1.12.3.8 below: 1.11.2.7.18.9.1 Product Type (pull down menu for transfer to IRMS). Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 37
1.11.2.7.18.9.2 Transaction Types. 1.11.2.7.18.9.3 Transaction Authorization Number (from IRMS, non-pci data). 1.11.2.7.18.9.4 Provide fields to allow storing of up to five (5) years of data per cardholder, assuming a minimum of two (2) transactions per year average. 1.11.3 Security Directive SD 1542-04-08G or latest directive - Database Field Requirements: The badging system shall include the provisions for storing all data base field requirements based on the latest TSA Security Directive SD 1542-04-08G or latest directive. Badging software shall assemble and export the required fields in the format stated in the directive as well as meet all other requirements. 1.11.4 Age Verification: The ACMS shall verify the age of each applicant to ensure that all applicants meet the minimum ages as required by the regulations. 1.11.4.1 For SIDA badges, all applicants shall be eighteen (18) years of age or older. 1.11.4.2 For non-sida badges, all applicants shall be fifteen (15) years of age or older. 1.11.5 The system shall monitor and provide alerts and reports in regards to the TSA compliance with 25% SIDA limit/company and provide automatic selection of the 15% random fingerprint resubmission for submission through the Telos system. 1.11.6 System shall ensure that badges are not issued beyond the date the applicant is authorized to work in the United States. 1.11.7 TSA No-Fly/Selectee Lists: 1.11.7.1 Cardholder Verification: As part of new cardholder creation, the system shall automatically compare the new cardholder name (first and last with variations) to the TSA No-Fly/Selectee Lists and other lists in standard delimited formats. The system shall automatically hold matching cardholder names for verification. 1.11.7.2 Additional Comparison: The software shall use phonetic algorithms or other equivalent means to compare similar sounding names that may have been misspelled in data entry. Example: If the name Richard Clark appeared in the No-Fly list, and the name Richard Clarke appeared in the cardholder database, that name shall be flagged as a match. Verify requirement with the DFW Airport Board and TSA. 1.11.7.3 Database Verification: The system shall automatically (or at user defined times) check a user specified folder for an updated version of the TSA No-Fly/Selectee Lists (Excel) file and if an updated file exists, immediately begin verification of all database badges or provide a verification at a scheduled time as selected by the DFW Airport Board; there shall be no user modification of the original TSA No-Fly/Selectee Lists file required. There shall be a second method for designated users to manually update the list and compare the entire database to the lists. The system shall check the most current list against the existing badge population. 1.11.7.4 Ad-Hoc Database Verifications: The system shall allow other ad hoc name comparisons to the No Fly/Selectee Lists and shall allow ad hoc lists to be compared to the overall badging database. 1.11.7.5 Tracking: The System shall have a split screen process showing the cardholder information on one side and the list's information on the other. There shall be a method for the user to clear a badgeholder in such a way that allows short notes to explain the reason for determination that the cardholder does not match the name on the list. When a cardholder is cleared, the system shall not hold that cardholder with the list's name during future verifications. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 38
1.11.7.6 Reporting: The system shall allow for reports to be generated on matches found in the process. Those reports should allow the user to limit or include results based on the status of the match ( Resolved, Under Investigation, Pending, etc). This report shall include all information captured regarding the cardholder and all information available from the TSA No-Fly/Selectee Lists. 1.11.8 Badging Workstations: Specified workstations shall be equipped to operate as Badging Stations. Each Badging Station shall be equipped with the following: 1.11.8.1 Verification card reader with PIN pad. 1.11.8.2 Camera, camera mounting equipment, photographic backdrop. 1.11.8.3 Biometric capture and verification device for Reference Biometric. 1.11.8.4 Biometric capture and verification device for AACS Biometric. 1.11.8.5 Signature capture device. 1.11.8.6 Flat Bed Scanner. 1.11.8.7 Card printer with In-Line Card Reader (F2F for existing, future TBD) and Encoder (future encoding capability). Provide a list of compatible badge formats (iclass, DesFire, etc) that may be encoded by the proposed equipment. 1.11.8.7.1 Card printer shall be compatible with Casi Rusco Part Number 700182001 card, 3.38 H x 2.12 W x 0.049 T. 1.11.8.8 Peripheral devices as indicated on the drawings and in the specifications. 1.11.8.9 A Customer facing information verification touchscreen. which will be used to: 1.11.8.9.1 Verify cardholder information. 1.11.8.9.2 Verify the badge layout, picture and information. 1.11.8.9.3 Accept the final badge. 1.11.9 Verification of information and acceptance of terms and conditions shall be via a signature capture pad with an Accept button that accepts the information as accurate, and the pressing of that button shall save the signature, time, and date of acceptance as part of the record and shall be required prior to exporting the record to the fingerprinting system. 1.11.10 Verification of the badge layout will also be via an on-screen button and the pressing of that button shall save the time and date of acceptance as part of the record and shall be required prior to printing of the badge. 1.11.11 Acceptance of the badge shall be by use of an on-screen keypad to enter their PIN number to verify acceptance of the badge or a valid card read and PIN entry on a cardreader, and the time and date of acceptance shall be saved as part of the record. 1.11.12 The screen shall be blank except when presenting the information noted above, and personal information shall not be visible except as required for verification as part of the cardholder information verification noted above. 1.11.13 All cardholder data as noted in section 1.12.3 shall be downloaded to the appropriate AACS system components when the card is printed and accepted by the cardholder. Data download shall be automatic and not tied to a manual process by ACO personnel or tied to pushing of a button or mouse clicks. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 39
1.11.14 Badge Creation: The ACMS shall include a state-of-the-art, 64-bit, ID badge creation and production system integrated with the cardholder management system. This shall allow for the creation of different badge types based on a database field, the linking of that field to a badge type to automate the process of credential production, and the use of security colors to allow officers to quickly identify personnel access authority by the badge design. 1.11.15 Badge Layout Creation: The ACMS shall provide a Badge Layout Creation and Editing Module to allow for the creation of custom badge designs to be created by the system user. The system shall support credit card, government, and custom ID card sizes in either landscape or portrait format. Badge layout creation shall provide layouts for two-sided badge printing. The Contractor shall assist with creation of initial badge layouts and shall provide full user training in the use of the badge creation software tools. The badge layout creation application shall include a library of icons and/or images that can be utilized in the creation of a badge. This library shall be able to have additional icons or images added to it including, but not limited to, airline logos, company logos, and seals for law enforcement, government agencies, and CBP Agencies. These shall also include backgrounds, textures, and hatches that can be used for badge background creation. The badging application shall also allow the use of watermarks and ghost images. 1.11.16 Authorized Signatures: Issuance of a badge to persons at the airport requires paperwork that includes both an Authorized Employer Representative signature and a DFW Authorized Sponsoring Authority (Signatory) signature. The badging system shall include database storage of authorizing signature images to provide automated signature lookup for comparison with badging request paperwork documents. Signature image lookup and retrieval shall be provided based on system operator entry of the particular name of the individual signed on the paperwork. Lookup of all individuals authorized to sign for a particular entity shall be possible based on entry of the company name. Provide all recording devices and database configuration for entry, storage and retrieval of signature images. 1.11.17 Identification Scan Storage: The ACMS shall provide: 1.11.17.1 The capability of scanning and storing images of any of the identification means provided or other supporting documents. 1.11.17.2 Storage of the scans as part of each cardholder record including, but not limited to, passports, driver licenses, Social Security Cards, Birth Certificates, green cards, work permits, etc. The system shall be able to store a minimum of six (6) items per person. 1.11.17.3 Criminal History Clearance Check Letter provided by Domestic Airlines. 1.11.17.4 Coordinate the storage file types and retention policies with DFW Airport Board. 1.11.17.5 The system shall be capable of scanning and storing a minimum of two (2) forms of ID per applicant/cardholder, and the system shall require for the proper forms of ID to be scanned prior to allowing the printing of a badge. 1.11.17.6 As part of the renewal process, the updating of forms of ID (and updating the associated scanned images of IDs) shall be required when existing forms of ID are expired. 1.11.17.7 The Identification means shall be scanned at the Badging Workstations as part of the overall badging process utilizing the peripherals noted in the badging workstation equipment requirements. The contractor shall indicate how the various types of Identification means noted will be scanned and the equipment to be utilized. 1.11.18 Screens/Forms Creation: Should the system standard fields not be suitable, the system shall provide a form Designing and Editing Module that give System Administrators the ability to modify any standard field to customize the card holder screens as desired. The system shall also allow the System Administrators to add custom fields in addition to any standard fields on a minimum of Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 40
sixteen pages of information. User defined fields shall not be predefined, meaning only the labels can change while the properties cannot. 1.11.19 System Reports: The ACMS shall provide capability for the operator to create custom Reports based on any combination of the database fields from any of the database tables. Custom Report creation tools such as Crystal Reports, Micro Strategy, or other DFW Airport Board approved report creation software shall be provided and provided with the same licensing requirements as the rest of the system. The operator shall be able to create queries via point and click mouse selection from a list of the available fields within the database. Operator shall be able to define a range of time for the report. Operator shall have the option of selecting from a list of filters to further refine reporting capabilities. The system shall be configured to provide standard reports, which shall include, but are not limited to, the following queries as the minimum list of standard reports: 1.11.19.1 Minimum Typical Badge Reports: 1.11.19.1.1 Active Badge Report by company. 1.11.19.1.2 Active Badge Report by company type. 1.11.19.1.3 Expired Badge Report. 1.11.19.1.4 Badging Process Status based upon CHRC/fingerprinting status. 1.11.19.1.5 Lost/Stolen Badge Report. 1.11.19.1.6 Unaccountable Badge Report. 1.11.19.1.7 Active Secure Area Badge Report. 1.11.19.1.8 Inactive Secure Area Badge Report. 1.11.19.1.9 Notification of Expiration Report (active badges that will expire within a user defined time frame). 1.11.19.1.10 Stop List of non-secure Area Badges. 1.11.19.1.11 Stop List of Secure Area Badges. 1.11.19.1.12 Stop List of all Badge Types. 1.11.19.1.13 Company Report List (list of all companies in the database). 1.11.19.1.14 Coordinate reports with the DFW Airport Board. 1.11.19.1.15 Active Badges with CBP Seals 1.11.19.1.16 Active AOA Movement and Non-movement Driver Report 1.11.19.1.17 Expiring AOA Movement and Non-movement Driver Report 1.11.19.1.18 Ad-hoc Reports as required. 1.11.19.1.19 Reverse Audit Reports per TSA requirements. 1.11.19.1.20 25% SIDA Compliance Report for Concessionaires 1.11.19.2 Minimum Typical System Reports: 1.11.19.2.1 ACMS Operator Activity Report. 1.11.19.2.2 ACMS Activity Reports. 1.11.19.2.3 Financial Reports. 1.11.19.2.4 Inventory Reports. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 41
1.11.19.2.5 ACMS to AACS data synchronization exception report (bi-directional). 1.11.19.2.6 Reports on all integration processes (reported errors, failures, etc.). Errors, failures, and other process issues shall be defined as issues in data consistency or issues with data transfer that do not preserve data integrity as defined in section 1.16.3. Critical system or supervisory errors per the requirements of section 1.16.3 or supervisory errors that violate Compliance or Federal Regulatory Policies shall immediately provide notification to the DFW Airport Board s designated representative. Coordinate notification means with the DFW Airport Board. 1.11.19.3 All reports shall include totals by category and the total number of records for the entire database. System report configuration shall provide the ability to run reports for any company, groups of companies, or all companies, including by company type. Reports shall be configurable based on a beginning and ending dates and by user-defined time frame within a 24-hour period. 1.11.19.4 The reports shall be configurable to run at a predetermined time and be uploaded to specific locations within the DFW Airport Board environment with consistent names and a date/time identifier to allow for multiple reports to be sorted by date and time. Reports shall also be able to be run on demand. The reports shall be able to be run on a company by company basis, and the contractor shall provide report templates for all report types, and shall set up and prove operation of all required reports for each company or entities as defined by the DFW Airport Board. 1.12 ACMS INTEGRATION 1.12.1 The ACMS will be required to be integrated with the following systems and providers. For the systems listed below, the system version and provider are noted as applicable. It shall be required that the ACMS contractor subcontract the noted provider to provide all work required within the system to be integrated. No work may be performed on these systems directly by the ACMS contractor, regardless of certifications or other experience levels. 1.12.2 The ACMS is expected to be implemented within the DMZ between the DFW General LAN and the DFW Security LAN, which is a high security and segregated network. Many of the systems noted below are implemented in the DFW General LAN. Reference Appendix D for existing systems implementation locations. DFW has very strict guidelines for data or access that is allowed between the DFW General LAN and the DFW Security LAN, and no direct access between the Internet or outside world will be allowed into the DFW Security LAN. In order to allow for information to be transferred from the Web Portal or to allow for data to be exchanged between systems in the DFW General LAN and the ACMS, the contractor will be required to provide a database that allows only the transfer of properly formatted data between the DFW General LAN and the ACMS and between the ACMS and the systems implemented on the DFW Security LAN. Other secure means of data transfer may be allowed, but will require DFW Airport Board approval prior to implementation. The contractor shall include costs for providing a data transfer database as part of the system costs in addition to any other proposed transfer methods. 1.12.3 AACS Integration: The ACMS system shall be able to interface with multiple systems for the importation and exportation of badging information. Refer to the ACMS Integration Map Diagram for further information. The list below details the minimum integration requirements: 1.12.3.1 Existing AACS The ACMS shall be able to be integrated with the existing UTC Picture Perfect AACS system. The Picture Perfect system is comprised of dual, redundant servers located at diverse locations. The current system is Picture Perfect Version 4.61 implemented in a redundant dual server configuration. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 42
1.12.3.2 The current system integrator for the AACS Picture Perfect is Siemens, and the contact at Siemens is James Holden (phone (972) 621-5727). All work required within the Picture Perfect system for integration is required to be performed by Siemens. The ACMS contractor shall be required to contract with Siemens as a designated subcontractor for all work on the AACS. 1.12.3.2.1 The integration between the ACMS and the AACS is expected to require the transfer and synchronization of the following data fields at a minimum: 1.12.3.2.1.1 ACMS to AACS: 1.12.3.2.1.1.1 Unique User Identifier (To be assigned to all existing and future users). 1.12.3.2.1.1.2 User Name (First and Last Minimum). 1.12.3.2.1.1.3 Company Name. 1.12.3.2.1.1.4 Card Facility Code. 1.12.3.2.1.1.5 Card Number (Seed Number). 1.12.3.2.1.1.6 Access Rights/Codes. 1.12.3.2.1.1.7 Card Status. 1.12.3.2.1.1.8 User Photo as required to facilitate image to card comparison. 1.12.3.2.1.1.9 Other data fields as required by the DFW Airport Board. 1.12.3.2.1.2 AACS to ACMS: 1.12.3.2.1.2.1 No data transfer anticipated. 1.12.3.2.2 Access History will be maintained within the AACS system for reporting purposes. The data transfer is intended to provide the basic information to allow the AACS to correctly identify each user on the AACS system for purposes of access, logging, and alarm/event annunciation. 1.12.3.3 Future AACS The ACMS shall be capable of being integrated with a minimum of two (2) AACS systems at any given time. The ACMS shall demonstrate and provide reference sites for existing integrations with major ACS manufacturers such as the Honeywell ProWatch system, the Software House C-Cure 9000, the Lenel OnGuard system, the Amag Symmetry system, and any other ACS systems previously integrated with the proposed ACMS. The required data fields required to be transferred would be the same as noted as part of the existing AACS. 1.12.3.4 Biometric System The ACMS shall be interfaced/integrated with the Handkey and HandNet Software system for the automated removal of existing biometric templates associated with a badge holder upon the return of the badge due to renewal, damage to the badge, or other terminations of badge holder privileges, or upon suspension or revocation of access rights. The enrollment of personnel is expected to continue to be performed on the Handkey system, but the contractor may propose additional integration for the capture of the template if the proposed system has additional capabilities previously provided for other facilities. The System shall be able to be concurrently interfaced with other biometric technologies such as iris scan, facial recognition, or fingerprint using either separate systems or encoding the biometric templates onto smart card type media for one to one comparisons. 1.12.3.4.1 The IR Handkey system is supported by DFW and Siemens at this time. The version of software is noted as the latest available version. The ACMS contractor shall be fully responsible for the implementation of the integration between the ACMS and the HandNet Lite (or HandNet for Windows if required for integration) system. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 43
1.12.3.4.2 The integration between the ACMS and the existing Handkey biometric is expected to allow the ACMS to delete the following data fields from the Handkey database upon card return or removal at a minimum: 1.12.3.4.2.1 ACMS to HandNet: 1.12.3.4.2.1.1 Badge Number (for indexing purposes). 1.12.3.4.2.1.2 Biometric Template (for verification purposes). 1.12.3.4.2.2 HandNet to ACMS: 1.12.3.4.2.2.1 No data transfer anticipated. 1.12.3.4.3 The data transfer for the existing system is to index the biometric template to the card number to allow a one to one comparison locally at the door. 1.12.3.4.4 The integration shall allow for the ability to re-enroll badge holder templates into the IR biometric database and also to remove biometric templates as noted above. 1.12.3.4.5 For future biometrics, it is expected that Smartcard type media would be utilized and the template would be stored within the encrypted area of the smartcard. The ACMS shall be able to accommodate the capture of the biometric templates and the encoding of smart cards as part of the printing process. 1.12.3.5 KapLogic The ACMS should be capable of integration with the KapLogic TBSSS system, however the integration is not expected to be provided day one. All data should be interfaced and presented in a similar manner to the existing integrations with the UTC Picture Perfect Integration. 1.12.3.5.1 The current KapLogic system is supported by the DFW Airport Board. Contacts from the DFW Airport Board are John Gordon (phone (972) 973-5318.) 1.12.3.5.2 The contractor shall indicate if the proposed ACMS can be interfaced/integrated with the KapLogic. If the KapLogic interface has been provided for other facilities, the contractor shall provide references where this integration has been accomplished and what data was transferred. 1.12.3.5.3 The proposed integration between the ACMS and the existing KapLogic system in the future is expected to require the transfer and synchronization of the following data fields at a minimum: 1.12.3.5.3.1 ACMS to KapLogic: 1.12.3.5.3.1.1 Unique User Identifier. 1.12.3.5.3.1.2 User Name (First and Last Minimum). 1.12.3.5.3.1.3 Company Name. 1.12.3.5.3.1.4 Job Title. 1.12.3.5.3.1.5 User Image/Badge Picture. 1.12.3.5.3.1.6 Additional fields as defined by the DFW Airport Board to support the MCR investigative functions. 1.12.3.5.3.2 KapLogic to ACMS: 1.12.3.5.3.2.1 No data transfer anticipated. 1.12.3.6 Web Portal The ACMS shall be provided with a Web Portal to allow for data entry, review, and approvals by personnel that are not part of the DFW Airport LAN domain and allow the secure entry, transmission, and storage of information as shown on the ACMS Integration Map Diagram in Appendix D and for web-based appointment scheduling. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 44
1.12.3.6.1 All required badging database fields as defined in the ACMS database fields noted above are expected to be transferred from the Web Portal to the ACMS in a secure manner. 1.12.3.6.2 The ACMS will provide data tables to the Web Portal to populate the pull-down menu functions such as Company Names. The ACMS will also provide the routing process for the automatic routing of applications to the appropriate Authorized Employer Representative and DFW Authorized Badge Sponsor (Signatory) to facilitate the passing of the application. 1.12.3.6.3 The Web Portal shall provide a means to provide an electronic signature by the appropriate Authorized Employer Representative and DFW Authorized Badge Sponsor (Signatory). The electronic signature shall be able to be interrogated by the ACO operator to prove authenticity. The application of the electronic signature shall be by DFW Compliant Password assigned as part of the enrollment function. Coordinate acceptable means for this electronic signature with the DFW Airport Board. 1.12.3.6.4 The ACMS and Web Portal shall be configurable to allow only the appropriate data to be presented to the various people in the process and allow the redaction of data as required. For example, if the SSN is required to be displayed for the Authorized Employer Representative and DFW Authorized Badge Sponsor, the system shall allow the data to be redacted to only show the last four digits (if required). 1.12.3.6.5 The Web Portal will also act as the secure repository for reports for the Authorized Employer Representative and DFW Authorized Badge Sponsor (Signatory). The ACMS shall automatically run the reports as noted in section 1.11.19.1. These reports shall be run for each individual company or sponsor showing the relevant information and reports specific to the company or sponsor, and the reports shall be stored on the Web Server in specific locations for each individual company or sponsor. The reports are accessible based on login to only provide the data specific to the user or company. Coordinate the exact report types, formats, and frequency with the DFW Airport Board. Upon the reports being created and stored in the specific company or sponsor web portal, and email notification shall be sent to notify the company or sponsor that the reports are available. 1.12.3.6.6 All personal data shall be stored in an encrypted and secured manner to prevent disclosure of personal information. This shall apply to data in the web portal as well as data in the ACMS. All data transfer shall also be in a secure manner. 1.12.3.6.7 DFW will procure any required URLs and Security Certificates, and DFW will maintain any required security certificates. The Contractor shall coordinate all required URLs and Security Certificates for the proposed solution with DFW and provide a schedule for the required time frame when these items will be required a minimum of ninety (90) days prior to the required date. The contractor shall provide all costs for coordinating and implementing these items, the DFW Airport Board will pay for any costs of procuring and maintaining the URLs and Security Certificates outside of this project. 1.12.3.7 Scheduling Module The ACMS shall include a Scheduling Module. This module may be integral to the ACMS or a separate program that is tightly integrated to the ACMS. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 45
1.12.3.7.1 The scheduling module shall allow for appointment types to be easily configured. The configuration shall include appointment types, expected appointment duration, vectoring of specific appointment types to specific resources, and the ability to manage multiple resources in regards to specific appointment types. The scheduling module shall be easily configurable and shall be capable of modifying the schedule without affecting existing appointments. The scheduling module shall be able to change the quantity and type of stations that will be available on any given day, and the scheduling module shall adjust the schedule and available appointments accordingly. The scheduling module shall be capable of having holidays or event times blocked out so that no appointments are available on that day. Should any of these changes to the available resources, station types available, or available days or time slots impact an existing reservation, the scheduling module shall provide notification of the conflict so that the conflicts can be resolved. 1.12.3.7.2 The scheduling module shall allow for the setting of appointments including, but not limited to, for Fingerprinting, New Badge, Badge Replacement, Badge Renewal, CHRC Adjudication, or any other type of appointment as required by the ACO. The scheduling function shall be available in the ACO and also shall be available on the Web Portal. 1.12.3.7.3 A user may be able to access the scheduler on the web portal in a manner similar to the filling out of an application. The scheduler shall ask questions to guide the user to create the correct type of appointment. The questions shall be multiple choice type questions with radio buttons for each option, allowing only one selection. 1.12.3.7.4 The information and selections on subsequent pages will be based on the selection from the first page to further ensure the proper type of appointment is being made. A back or start over button shall be offered on each page 1.12.3.7.5 The scheduling software shall allow for all of the badging workstations or other types of ACO resources to be put into the system as specific resources, with the system being able to schedule an appointment based on transaction type and available resources for that type of transaction during that time period. 1.12.3.7.6 The user may also call a phone number, and a staff member in the ACO will also be able to view and schedule appointment times. The ACO view shall allow for selection by pull-down menu instead of question process. 1.12.3.7.7 When an appointment holder arrives at the ACO, the scheduling software shall be interfaced with the IRMS to place the appointment holder in the queue list. Appointment holders shall automatically be placed in the queue above walk-in customers. 1.12.3.8 IRMS The ACMS shall be able to be integrated to the Inventory Revenue Management System (IRMS) for the setting of appointments/reservations for badging functions and for the importation of payment verification and inventory of assigned items such as keys, Intellikeys, gate remote control radio devices (Genies), vehicle permits, and other assets and devices that can be assigned to personnel in the badging database. 1.12.3.8.1 The IRMS system is a custom software program developed for DFW. The vendor contact is Mach B Technologies, Mazhar Islamraja, Email; mazhar@machbtgech.com, Phone: 214 682 1850 1.12.3.8.2 The contact person at DFW is Sandeep Pabley, DFW Airport Board ITS Enterprise Systems Project Leader, Phone: 972 973 5345, Email: spabley@dfwairport.com. 1.12.3.8.3 The IRMS is utilized for credit card transactions, which requires PCI compliance for that portion of the system. Any interface from the ACMS to the IRMS shall be performed in a manner to maintain PCI compliance on the IRMS. No data requiring PCI compliance shall be stored in the ACMS. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 46
1.12.3.8.4 Once the ACMS is implemented and fully operational, the majority of all email communication shall be provided through the ACMS. This contract shall include all costs associated with the removal or deprogramming of emails being sent from the IRMS. Field verify all emails that are sent and provide corresponding emails from the ACMS. 1.12.3.8.5 The integration between the ACMS and the IRMS is expected to require the transfer and synchronization of the following data fields at a minimum: 1.12.3.8.5.1 ACMS to IRMS: 1.12.3.8.5.1.1 New Company Set-up Information (Minus Credit Card). 1.12.3.8.5.1.2 Company Name (Possible tie to stored Credit Card token). 1.12.3.8.5.1.3 Unique User Identifier. 1.12.3.8.5.1.4 User Name (First and Last Minimum). 1.12.3.8.5.1.5 Transaction Information (Transaction Type). 1.12.3.8.5.1.6 Asset Request. 1.12.3.8.5.1.7 Asset Assignment. 1.12.3.8.5.1.8 Asset Status (Changes). 1.12.3.8.5.1.9 Add to Queue (Based on successful completion of transaction). 1.12.3.8.5.1.10 Select From Queue. 1.12.3.8.5.1.11 Sponsor Code Assignment. 1.12.3.8.5.1.12 Company Code Assignment. 1.12.3.8.5.2 IRMS to ACMS: 1.12.3.8.5.2.1 Transaction Confirmation Number (Receipt). 1.12.3.8.5.2.2 Asset Inventory. 1.12.3.8.5.2.3 Inventory Status (Available, Hold, Sold, Transfer, Lost, Damaged, Destroyed, Etc). 1.12.3.8.5.2.4 Transaction Types (Adds/Delete/Changes). 1.12.3.8.5.2.5 Next Available Asset based on Asset Request. 1.12.3.8.5.2.6 List of Products Available (Serialized or Standard). 1.12.3.8.5.2.7 Sponsor Code (Next available sequence number). 1.12.3.8.5.2.8 Company Code (Next Available sequence number). 1.12.3.8.5.2.9 Queue List including appointments. 1.12.3.8.5.2.10 List of Companies. 1.12.3.9 Fingerprinting System: The ACMS shall be integrated to allow the exporting of select information for use by the fingerprinting system (Telos). The system shall be capable of importing CHRC and Security Threat Assessment (STA) record numbers from fingerprinting system. 1.12.3.9.1 The integration between the ACMS and the Telos System is expected to require the transfer and synchronization of the following data fields at a minimum: 1.12.3.9.1.1 ACMS to Telos: 1.12.3.9.1.1.1 Unique User Identifier. 1.12.3.9.1.1.2 User Name (First, Middle, and Last Minimum). Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 47
1.12.3.9.1.1.3 Social Security Number. 1.12.3.9.1.1.4 Birth Date. 1.12.3.9.1.1.5 Biographic Information per TSA Security Directive SD 1542-04-08G or latest directive. 1.12.3.9.1.2 Telos to ACMS: 1.12.3.9.1.2.1 TSA does not allow integration to the FPRD, so CHRC data will be manually entered. 1.12.3.9.1.2.2 CHRC Result (Green Check) (Manually entered). 1.12.3.9.1.2.3 CHRC Summary (Green) 1.12.3.9.1.2.4 CHRC Date Received. 1.12.3.9.1.2.5 STA Date Received. 1.12.3.9.1.2.6 STA Result (Green Checkmark). 1.12.3.9.1.2.7 STA Summary (Green) 1.12.3.9.1.2.8 Provide for email notification when a CHRC needs adjudication 1.12.3.10 Interactive Learning System: The ACMS shall be integrated to the Interactive Learning system for user training to be set up in the training system and for the importation of all completed training records to the ACMS. 1.12.3.10.1 The Interactive Learning System (ILS) is manufactured by Safety & Security Instruction (SSI), and an API is available from SSI that provides documentation with all supported API calls and callback features, a secure ILS test server for testing (virtualized version of the Airport s ILS installation), detailed event logs to assist in troubleshooting, and support through the development and testing phase as well as live installation. This third party development platform is included in the Airport s licensing agreement, but this contractor shall confirm costs for the support and assistance during installation and include those costs as part of the project costs. 1.12.3.10.2 The contact at SSI is Steve Haws, VP Interactive Solutions, and can be contacted at steve@ssinstruction.com and at (602) 956.6959 extension 25. 1.12.3.10.3 The integration between the ACMS and the ILS is expected to require the transfer and synchronization of the following data fields at a minimum: 1.12.3.10.3.1 ACMS to ILS System: 1.12.3.10.3.1.1 Unique User Identifier for login ID to ILS. 1.12.3.10.3.1.2 User Name (First and Last Minimum). 1.12.3.10.3.1.3 Company Name. 1.12.3.10.3.1.4 Last four number of SSN. 1.12.3.10.3.1.5 Login Password or Number for login to ILS. 1.12.3.10.3.1.6 Required E-Learning Modules to be completed based on Role (One role per user limitation in ILS). 1.12.3.10.3.2 ILS to ACMS System: 1.12.3.10.3.2.1 Unique User Identifier. 1.12.3.10.3.2.2 User Name. 1.12.3.10.3.2.3 E-Learning Modules Completed (Passed). 1.12.3.10.3.2.4 Date and Time of Completion of each Module (Quantity as required). Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 48
1.12.3.10.3.2.5 Completion Certificate for Completed Modules (Quantity as required). 1.12.3.11 Learning Management System (LMS) The Leaning Management System is a cloud based system (Success Factors). Coordinate system requirements and integration with the DFW Airport Board designated representative. Provide integration that allows for recording relevant data related to successful course completion. 1.12.3.12 NDI Raw Data Comparison The Finance Department provides the ACO with a listing of people with Uncollected Funds (UCF) that typically includes name and driver license number. The ACMS shall be able to compare the raw data provided by Finance to the cardholder database and provide a list of possible matches for review. At a minimum, the raw data comparison shall be based on Name (First and Last minimum), Driver License data (Number, state), plus any additional data fields as defined by the DFW Airport Board. The comparison shall provide features similar TSA No-Fly/Selectee lists comparison noted above. 1.12.3.13 NDI The ACMS shall be integrated to the No Device Issuance (NDI) database to prevent the issuance of devices to Companies or individuals on the NDI list as defined by the Finance Department. Finance Department personnel shall be able to update the NDI Listing within the Oracle database, and the ACMS shall immediately synchronize all changes as required to add or remove Companies or individuals to allow or disallow issuance. 1.12.3.13.1 For companies that are on the NDI list, the ACMS shall preclude the selection of that company on the Web Portal, thereby preventing the entering of a Badge Applicant s data. The company name shall be displayed, but shall be shown as light gray or otherwise highlighted and a message shall be displayed to contact DFW Finance until the company is removed from the NDI list. Coordinate exact message wording with the DFW Airport Board. 1.12.3.13.2 For individuals on the NDI list, the comparison of names shall not occur until the DFW Authorized Badge Sponsor (Signatory) reviews the application. The DFW Authorized Badge Sponsor (Signatory) will be on the DFW General LAN, and the list of individuals on the NDI will not be reviewed until the information is entirely contained within the DFW LAN environment due to the personal information required. A person on the NDI list will not be allowed to be approved for a badge or other access device, permit, etc. until removed from the NDI list. The DFW Authorized Badge Sponsor (Signatory) will receive a message that the badge applicant cannot proceed, and email notification will be sent to the Authorized Employer Representative (AER) and to the applicant regarding the reason for the badge application being rejected and specific instructions as to who to contact. Coordinate the exact notification wording and content with the DFW Airport Board. 1.12.3.14 Email System The ACMS shall be integrated to the existing DFW Enterprise email system to allow for email notification of events or changes in status. The integration between the ACMS shall be a unidirectional connection, allowing for the ACMS to send emails; the receipt of emails by the ACMS will not be allowed. 1.12.3.14.1 The current DFW Airport Board email system is Microsoft Outlook 2010. The existing solution is hosted by the DFW Airport Board, and the Board representative is Heyder Alsaffar, IT Manager, ITS Customer Service, Dallas/Fort Worth International Airport, (972) 973-5302. 1.12.3.15 Data Import/Export: The data import/export function is to allow for the import and export of data beyond the integrations noted in this section, and is intended to be a one-time or occasional means to import/export data based on the needs of the DFW Airport Board. This is not intended to replace the automated integrations noted in this section. The AACS shall support an import/export utility that will allow the customer or reseller to import/export cardholder information into/out of the system database. This shall allow the DFW Airport Board to pre-populate the system database with existing cardholder data. The import/export function shall be a manual process to allow for the import of records or export for interfaces with other systems. The import/export function shall be able to be a batch operation for multiple records or on a record by record basis. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 49
1.12.3.16 iauthenticate The iauthenticate system is utilized at the ACO front desk to verify the authenticity of ID media presented such as drivers licenses and passports. The iauthenticate will remain in use, but will not be integrated. The use of this system is procedural, but the results will not be recorded within the ACMS system. All scanning of the IDs and other documentation will occur at the ACMS Badging workstation as part of the process. 1.12.3.17 DFW Security LAN DFW maintains a Security LAN that is physically segregated from the DFW General LAN, and very limited data transfer is allowed between the DFW General LAN and the DFW Security LAN. No direct external connectivity is allowed between the DFW Security LAN and the Internet or the outside world. 1.12.3.17.1 The ACMS is expected to reside in the DMZ between the DFW General LAN and the DFW Security LAN. The Contractor shall coordinate with DFW Airport Board and the DFW Authorized Representative for changes required to the firewalls between the DMZ and the DFW General LAN and between the DMZ and the DFW Security LAN. All changes/additions to the DFW General LAN and the DFW Security LAN shall be approved by the DFW Airport Board or Authorized Representative prior to any work. The Contractor shall include all costs for programming, materials, and equipment for a complete and operational system according to DFW General LAN and DFW Security LAN standards. All work required for expansion of the DFW Security LAN to accommodate the ACMS is required to be performed by Presidio. The ACMS contractor shall be required to contract with Presidio as a designated subcontractor for all work on the DFW Security LAN. 1.12.3.17.2 The current system integrator for the Security LAN is Presidio, and the contact at Presidio is Stephanie Barnes, Senior Account Executive, Presidio www.presidio.com, 1955 Lakeway Drive Suite 220, Lewisville, TX 75057, D: (469) 549.3840 C: (972) 567.5608 F: (469) 549.3870 sbarnes@presidio.com. All work required within the Security LAN for integration is required to be performed by Presidio. 1.12.3.17.3 The DFW Airport Board Contact for the Security LAN is John Gordon (972) 973-5318. 1.12.3.18 DFW General LAN The DFW General LAN is the overall LAN utilized for the non-security related work performed at DFW and includes the business systems and Internet access. Appendix D shows the expected system design in relation to the DFW LANs, and a proposed configuration. 1.12.3.18.1 The DFW General LAN is maintained by DFW Airport Board Personnel. The contact is Charles Pugh (972) 973-5349. The Contractor shall coordinate with DFW Airport Board for the DFW General LAN. All changes/additions to the DFW General LAN shall be approved by the DFW Airport Board prior to any work. The Contractor shall include all costs for programming, materials, and equipment for a complete and operational system according to DFW General LAN standards. 1.12.3.19 Key Control System DFW is in the process of replacing the key control system to track all keys and the associated key cores. The keys are expected to be considered assets, and would be assigned to individual users based on the Key ID Number on each key. The integration to this system is expected to be similar to the IRMS integration in regards to asset management. 1.12.3.19.1 Key Control System to ACMS: 1.12.3.19.1.1.1 Asset Request. 1.12.3.19.1.1.2 Asset Assignment. 1.12.3.19.1.1.3 Asset Status (Changes). 1.12.3.19.2 ACMS to Key Control System: 1.12.3.19.2.1.1 Asset Inventory. 1.12.3.19.2.1.2 Inventory Status (Available, Hold, Sold, Transfer, Lost, Damaged, Destroyed, Etc). Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 50
1.12.3.19.2.1.3 Transaction Types (Adds/Delete/Changes). 1.12.3.19.2.1.4 Next Available Asset based on Asset Request. 1.12.3.19.3 The ACMS proposer is invited to provide information on and provide reference sites (if applicable) for existing integrations with Key Control Systems that include the Key Control System Manufacturer, Product and version, and general information in regards to quantity of assets managed. 1.13 OPERATOR INTERFACE 1.13.1 The system shall have the ability to categorize system operator access based upon certain privileges and restrictions. The system shall integrate either Active Directory or other windows based policy manager for managing user access and authentication (user login and user permissions within the ACMS system). The Contractor shall: 1.13.1.1 Assist the DFW Airport Board in setting up the operator positions/logins as a part of this project. The use of biometric authentication for ACMS operators as part of the login procedure shall be provided as part of the ACMS project. 1.13.1.2 The DFW Airport Board shall determine the exact information available at each location based on machine location and unique user login ID based on least privilege (shared or generic IDs shall not be allowed). 1.13.1.3 Provide unique logins for each system user as part of this project. Password complexity settings shall conform to the Airport Board s Policy. 1.13.1.4 The quantity of users that are provided with User IDs shall not be limited; the only limitation shall be upon concurrent users logged into the system based on licensing. 1.13.1.5 The DFW Airport Board shall be able to edit, add, and delete users. 1.13.1.6 The system shall support the creation of privilege levels that define the commands and data field that a system operator may access, and the nature of that access to allow appropriate segregation of duties be maintained. 1.13.1.7 For ease of privilege assignment, base definition of operator privileges for an operator shall be defined by the selection of an operator profile from a list of user defined profiles. For each group of privileges defined by an operator profile, the system shall allow modification of this profile for an individual operator by the inclusion or exclusion of any command or any data field, including redaction of all or part of a data field. For each command included in the definition of a privilege level, the system shall permit the activation of that command for view-only or for full capability. Using this method of definition, it shall be possible to create a separate user profile for each system user log-on password. 1.13.1.8 Privilege assignments shall be auditable and the ACMS shall be capable of producing a list of active, authorized users that includes privileges and roles as needed for audit purposes. 1.13.1.9 The ACMS shall track and log all user activity on the system and provide the capability to provide reports as noted in 1.11.19.2. 1.13.2 Pre-configuration of Operator Profiles: The system shall be pre-configured with commonly used operator profiles. The system administrator shall be able to add or modify operator profiles, in accordance with the specific needs of the Airport Board. 1.13.3 Upon completion of the system installation, all vendor default accounts and vendor logins utilized for installation, testing, and commissioning shall be changed per the Airport Board s policy. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 51
1.13.4 All insecure services, ports, and protocols as defined by the Airport Board shall be disabled per the Airport Board s policy. 1.14 APPLICATION DESIGN 1.14.1 Source Code: All application modules, features, and functions shall be seamlessly integrated. All source codes must be designed using object-oriented software development techniques and compile into native 64-bit applications. The access control, alarm monitoring, and ID management modules of the software shall be seamlessly integrated and transparent to the operators. 1.14.2 Open Architecture: The ACMS shall have an open architecture design. It shall be a true open architecture design and support industry standards for databases, networks, ID card printers, and video cameras. No customized or proprietary PC protocols shall be required to operate the system. The system shall be both scalable and portable to give customer the ability to increase performance based on customer requirements. 1.14.3 Open Database Connectivity Compliance: The ACMS shall be Open Database Connectivity (ODBC) compliant. The ACMS shall support any relational database management system with the appropriate ODBC drivers as well as native interfaces. Examples of these databases include, but are not limited to, Microsoft SQL Server, Oracle direct interface and Oracle Server. 1.14.4 Scalability: The Relational Database Management System (RDBMS) within the ACMS shall use a single-process, multi-threaded architecture. The ACMS shall provide Symmetric Multiprocessor Support (SMP), allowing it to execute threads in parallel on multiple CPUs. The RDBMS shall automatically scale to multiprocessor hardware with no special configuration or programming required. 1.14.5 Portability: The ACMS shall be portable across multiple platforms to take full advantage of multiple hardware architectures, without changing ACMS software. 1.14.6 Video Input Support: The ACMS shall support any industry standard video input source that utilizes a Red/Green/Blue (RGB), Composite, Digital (IP), or S-Video signal. The ACMS shall allow cardholder photos to be taken from any one of the live video signals listed above and also to be scanned in using any industry standard scanning device that utilizes an industry standard TWAIN interface. ACMS support for other methods of inputting a cardholder s photo, such as through the use of an industry standard digital camera with an industry standard TWAIN interface, or by importing a photo from any industry standard image file format. 1.14.7 ID Badge Printer Support: The ACMS shall be designed to support any industry standard thermal dye transfer ID card printer with an industry standard Microsoft Windows driver. The preferred connection for badge printers is via the LAN. Direct connection via SCSI or USB interface will only be allowed if LAN connection is not available. The intent is to allow for printer sharing via LAN in case of a printer failure at an individual workstation. 1.14.8 System Printers: The ACMS shall also support any ink jet, laser, or dot matrix printer with industry standard Microsoft Windows drivers. All system and alarm printers shall be LAN connected. 1.14.9 64-bit Application: The ACMS Workstations shall operate on a Microsoft Windows Operating Sstem or other DFW Airport Board approved Operating Systems. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 52
1.15 OPERATING SYSTEM 1.15.1 General: The ACMS shall support the Latest Microsoft Windows or other DFW Airport Board approved Operating Systems operating system on which the proposed solution is installed and functioning in at least two production environments. Solutions built on newer OS platforms will receive greater consideration for evaluation purposes. 1.15.2 Interface: Object Oriented Programming shall allow for ease of ACMS maintenance and will allow the ACMS to be easily expanded and upgraded as the Customer needs grow. 1.15.2.1 Networking: The operating system shall support TCP/IP networking protocols. 1.15.2.2 Security: The operating system shall support Active Directory and certificate server for managing user policy and authentication. 1.15.3 Local desktop security shall be available through Active Directory policy. 1.16 CLIENT/SERVER RELATIONAL DATABASE MANAGEMENT SYSTEM (RDBMS) 1.16.1 The ACMS shall support the latest version of either Microsoft SQL Server Enterprise (coupled with a Windows environment) or Oracle Database Server (coupled with a Linux environment). 1.16.2 These databases shall be true client/server, high performance, and ANSI standard capable of handling high transaction rates and multiple users concurrently accessing and modifying the database. 1.16.3 Preservation of Data Integrity: The ACMS s RDBMS shall preserve data integrity in the following ways: 1.16.3.1 Transaction Processing: Transaction processing guarantees the consistency and recoverability of the RDBMS. Transaction processing shall assure that all transactions are performed as a single unit of work, even in the presence of a hardware or general ACMS failure. 1.16.3.2 Enforced Data Integrity: The ACMS s RDBMS shall enforce data integrity within the database itself, guaranteeing that complex business policies will be followed. The ACMS s RDBMS shall use advanced data integrity features such as data types, defaults, and rules to enforce data integrity. Stored procedures and triggers shall also be used to insure the integrity and security of data. 1.16.3.3 User-Defined Data Types: The ACMS s RDBMS shall utilize data types, which provide the simplest form of data integrity by restricting what kinds of information (for example: characters, numbers, or dates) may be stored in the columns of the database tables. 1.16.3.4 Defaults: The ACMS s RDBMS shall also utilize Defaults, which allow the ACMS to specify a value that the RDBMS inserts if no explicit field value is entered. 1.16.3.5 Rules: The ACMS s RDBMS shall enforce rules, which are integrity constraints that go beyond those implied by a field s data type. Whenever a user enters a value, the RDBMS shall check the value against any rule that has been created for the specified field. 1.16.4 DFW Local Area Network Compatibility: 1.16.4.1 The ACMS shall be designed and implemented to operate in the DMZ between DFW Airport Board Security and General LAN environment and shall be capable of complying with all of the Policies as defined by the DFW Airport Board. 1.16.4.2 The Web Portal shall be able to be implemented within the DFW public website for application submittal and data transfer. Refer to the ACMS Integration Map Diagram for further information. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 53
1.16.4.3 The ACMS shall be able to be implemented within the DMZ between the DFW General LAN and the DFW Security LAN environment. Refer to Appendix D - ACMS Integration Map Diagram for further information. 1.16.5 System Availability: 1.16.5.1 The ACMS will be considered a Critical Operations system that is required to meet the regulations for Airport Security. As such, the ACMS system head-end shall meet the requirements to provide Fault Tolerance and an availability to provide continuous processing for 99.99% availability between the hours of 5 AM and 10 PM, Monday through Saturday (normal business hours) with possible scheduled outages outside of normal business hours as coordinated with the DFW Airport Board. 1.16.5.1.1 The fault tolerance strategy may include the use of virtualization and clustering. 1.16.5.1.2 The application and database shall run on common fault tolerant hardware platforms including those provided by Stratus. 1.16.5.1.3 The application and database shall be fault tolerant. 1.16.5.1.4 The application and database shall be geographically redundant. 1.16.5.1.5 Data within the application and database shall remain synchronized using technologies including mirroring and asynchronous replication. 1.16.5.1.6 Outage of the ACMS shall not impact the operation of the AACS system or any other subsystem integrated with the ACMS. The ACMS shall automatically compare the ACMS database with the AACS database for any changes between the two systems during an outage, and report any discrepancies for resolution. Coordinate business rules for rectifying any data conflicts with the DFW Airport Board. 1.16.5.2 The system shall be provided with full Disaster Recovery processes and procedures and all required back-up equipment. All back-ups of the configuration files and sensitive data shall be encrypted with the back-up tapes or DFW Airport Board approved media sent to DFW s existing off-site storage location. Contractor shall provide a proposed back-up strategy (and associated costs) for review by the DFW Airport Board that would utilize DFW s Enterprise Backup solution utilizing Commvault. All back-ups shall be encrypted using an encryption algorithm compliant with NIST security controls as referenced in http://csrc.nist.gov/groups/st/toolkit/guideline.html. 1.16.6 System Virtualization: 1.16.6.1 The ACMS shall be able to be implemented using virtualization at both the server and workstation levels to provide fault tolerance as well as to facilitate centralized maintenance. 1.16.6.1.1 The application and database shall run on common virtualization platforms including VM Ware 5.5, Windows 2008 R2, or Windows 2012; or Oracle VM v3.2, Oracle Enterprise Linux v6. 1.16.6.1.2 The use of virtual workstations is only anticipated for the DFW Authorized Badge Sponsor (Signatory) workstations that will be implemented within the DFW General LAN, but at numerous locations throughout the campus. There currently exist two hundred forty (240) DFW Authorized Badge Sponsors (Signatories). The system provider shall provide licenses as required to allow for these users to log onto the system. If a diversity factor is recommended by the system provided of licenses to available users, the system provider shall note the proposed diversity factor for review by the DFW Airport Board. The quantity of sponsor logins shall be unlimited in the system, governed only to simultaneous logins (if applicable). If a diversity factor is recommended, then the system proposer shall also be required to demonstrate a log-off upon inactivity function that frees the license for other users after a preset time of inactivity. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 54
1.16.6.1.3 All Badging Workstations and Administration Workstations shall be implemented on dedicated machines with dedicated licenses so that all workstations may be logged onto the system simultaneously. 1.16.6.1.4 It is assumed that the quantity of people that can log onto the web portal/system to create badge applications will be effectively unlimited. It is also assumed that the Employer Authorized Representatives will be able to be assigned logins for their function with no limit to concurrent limitations and no limit on users or logins. 1.16.6.2 The ACMS shall provide a full production environment as well as a full development and test environment with all required integrations to allow full testing prior to implementing any changes in the production environment. 1.16.7 TWIC and FIPS 201-2 Compliance: 1.16.7.1 The ACMS shall support the existing UTC Picture Perfect F2F format, and shall be able to capture card numbers from the cards as part of the printing process. 1.16.7.2 The ACMS shall be capable of supporting the latest FIPS 201 and Transportation Worker Identification Card (TWIC) smart cards. The intent is that the AACS may, in the future, utilize either DESFire compliant or HID iclass smart cards and the ACMS shall support the ability future FIPS 201 or TWIC compliant cards to be read, used, and managed by the system at the same time will operating with the Airport issued badges. TWIC and FIPS 201 Compliance shall be defined as: 1.16.7.2.1 Badging application shall allow verification of a foreign FIPS-201 card. This includes but is not limited to: verification of card format authenticity and verification of certificate authenticity. 1.16.7.2.2 Due to evolving changes to the FIPS 201 standard and recent movement in the TWIC (Transportation Worker Identification Credential) program, if all other capabilities are met, then a manufacturer s plan to provide FIPS 201 compliance shall be acceptable. 1.17 TRAINING 1.17.1 The Contractor is responsible for training the DFW Airport Board personnel and other designated personnel in all aspects of the system. Training shall consist of both classroom and hands-on course work. Topics shall include instruction in the operations, diagnostics and maintenance of hardware and software. 1.17.2 The Contractor shall submit a training plan that describes the Contractor training methods and techniques. The plan will maximize flexibility of the training schedule in terms of the course structure and content, and the differing availability of students within each category. The Contractor shall support discussions and inputs from the DFW Airport Board to the Final Training Plan. The training plan shall include but not be limited to: 1.17.2.1 A brief description of training capabilities and Contractor planned facilities. 1.17.2.2 A description of training methodology and objectives. 1.17.2.3 The recommended amount and minimum amount of training necessary for User and Administrator proficiency. 1.17.2.4 Training development team qualifications and experience. 1.17.2.5 The space or classroom requirements including computer and other equipment necessary to conduct training; indicate what will be provided by the Contractor and what is expected from the DFW Airport Board. 1.17.2.6 Identification of training materials to be approved by the DFW Airport Board. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 55
1.17.3 The Contractor shall provide training products and, present hands-on training at DFW Airport Board s designated facilities including control rooms or other training room within the terminal complex or on site, using operational equipment as approved by the DFW Airport Board. Quantity of personnel, number of classes, and trainees per session shall be as required in the individual system specifications. 1.17.4 Four (4) categories of system training shall be provided: 1.17.4.1 Category 1 User training shall be a hands-on, interactive training utilizing comparable computers as will be implemented on the system being provided. The users shall be able to perform all tasks that will be performed on a daily basis of the fully implemented system, including interaction with other integrated systems as specified in this RFP. The Contractor shall propose to DFW as to how this will be achieved, and shall note if a Development System will be utilized, a simulated system will be provided, or other proposed means. It is very important to the DFW Airport Board that all training be performed on a system that is as close to the final system as possible. User training shall include all end-user functionality involved in the daily use and operation of all Contractor supplied hardware and software. Target audience may include any and all end users, help personnel, managers, and/or supervisors who will be required to use Contractor equipment to accomplish job functions utilizing Contractor deliverables. All user training shall cover the operation methods, procedures and processes necessary to optimize utilization of the system(s). 1.17.4.2 Category 2 - Field Technician training shall include all technical and functional activities involved in the daily support, and operation(s) of all contractor supplied field hardware. Target Audience will include DFW Airport Board field support personnel, managers, supervisors and/or technicians who will be required to support and maintain Contractor provided field equipment to allow all end-users of Contractor system to accomplish job functions utilizing Contractor deliverables. Field Technician training shall include field hardware including but not limited to badging printer, scanners, biometric capture equipment, signature capture equipment, printers, etc. 1.17.4.3 Category 3 - Head End Hardware Administrator training shall include all high-level technical and functional activities involved in the daily support, and operation(s) of all Contractor supplied hardware. Target Audience will include DFW Airport Board support personnel, managers, supervisors and/or technical administrators who will be required to support, modify, maintain and/or administer Contractor Head End Hardware equipment to allow all end-users of Contractor system to accomplish job functions utilizing Contractor deliverables. Headend Hardware Administrator training shall include server hardware, storage hardware, interface/integration management/troubleshooting, and other such technical areas as necessary to manage and maintain the system(s). 1.17.4.4 Category 4 - System Administrator training shall include all high-level technical and functional activities involved in the daily support, and operation(s) of all Contractor supplied hardware and software. Target Audience will include DFW Airport Board support personnel, managers, supervisors and/or technical administrators who will be required to support, modify, maintain and/or administer Contractor equipment to allow all end-users of Contractor system to accomplish job functions utilizing Contractor deliverables. System Administrator training shall include server operating systems, applications systems, system security/granting of authorities, database & system backup procedures/methodologies, database management/administration, interface management/troubleshooting, and other such technical areas as necessary to manage and maintain the system(s). 1.17.5 Quality and adequacy of training is of extreme importance to the DFW Airport Board regardless of the instructional methodology utilized. Contractor shall provide a method by which students will be evaluated, prior to the start of a course; to ensure they have the basic skills necessary to complete and utilize Contractor provided training. Upon course completion verify using approved Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 56
test procedure that students have acquired the skills from Contractor training to optimally perform the tasks contained in the course(s) of instruction. Identify and provide recommendations for remedial training of students failing to demonstrate required skills. Training shall be deemed acceptable when 90% of the students demonstrate satisfactory proficiency. Final training reports and proficiency testing shall be submitted to the DFW Airport Board as part of final project documentation. 1.17.6 In order to allow training of Category 1 type system users, a training desk location with a badging workstation with all peripherals except the badge printer shall be provided. Coordinate location and configuration with the DFW Airport Board. The training desk shall be connected to the test environment and shall not allow changes to the production environment databases, so that all training will not impact the live databases or system users, and no access may be granted from this workstation, and no badge printer shall be provided. See section 1.10.8 above for additional information and mock-up requirements. 1.17.7 An overall training schedule shall be submitted for review and approval. The Contractor shall provide maximum flexibility in scheduling training and shall construct an approach that does not require bulk availability of the student populations. Areas of flexibility shall include the structure and timing of course elements, the shifts being trained, the availability of students (no overtime allowed), and modularity of courses or subject streams in such a way as to minimize or eliminate sequential dependencies between classes. For each time that training is provided, at least two (2) sessions of each category of training shall be held except for Category 1, which shall have a minimum of four (4) sessions. At least one (1) session shall be provided during daytime working hours, and at least one (1) session shall be provided during evening working hours. Specific days, work shifts, and hours for training must be approved by the DFW Airport Board. 1.17.8 Training materials shall be provided to the DFW Airport Board a minimum of ten (10) working days in advance of the training courses. Training must be in a modular format and shall provide separate areas of training materials specific to administration, operation, and maintenance. 1.17.9 Training sessions and intervals shall be as follows: 1.17.9.1 System Pre-Acceptance training shall be provided two (2) weeks before acceptance testing and prior to System Cut-Over. Quantity of training sessions and personnel shall be per individual system specification. 1.17.9.2 Follow-up Training Session shall be provided between fifteen (15) and sixty (60) days after pre-acceptance training, with times and dates to be selected by DFW Airport Board. Quantity of training sessions and personnel shall be per individual system specification. 1.17.9.3 Factory Certification Training Manufacturer s factory certification training shall be provided (either on site at the airport or at the manufacturers facilities) for the quantity of technicians indicated in each individual system specification. Provide transportation, lodging, per diem, factory personnel and all training materials associated with the factory certification training. This training shall provision for the DFW Airport Board approved staff to provide minor service to the system during the warranty period (when required) without voiding the conditions of the warranty. 1.17.10 The Contractor shall provide three (3) copies of factory produced, professional training videos for each class and type of operator for the ACMS on DVD or other approved media for system operation training. The training videos shall be comprehensive and tailored to the specific system and configuration implemented at DFW Airport including all integration and interactions with integrated systems. In addition, the Contractor shall record one (1) training class session of all four (4) categories at each training interval and provide three (3) copies of each session to DFW Airport Board on DVD or other approved media. Provide training materials for each attendee to use at each training session and to keep for reference. Provide an additional five (5) hardcopies Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 57
and two (2) electronic versions in Word or PDF of each piece of training material used at each session to Airport at the completion of each training session. DFW Airport Board will have unrestricted, unlimited right to reproduce all training material as necessary to conduct training by the DFW Airport Board for employees. 1.17.11 Should the Contractor update training material prior to System Acceptance, Contractor shall provide a complete and fully integrated replacement copy of the training materials, both hard and soft copy, to the DFW Airport Board during the software maintenance period. 1.17.12 The Contractor shall provide a listing of recommended continuing education and professional development course work that would be useful in order to assist personnel in maintaining the system long-term including factory, classroom, user group, seminar course work and/or professional certification courses. 1.18 WARRANTY 1.18.1 Due to the wide variety of system configurations available, the level of Warranty and Maintenance during Warranty period and the level for the Extended Warranty and Maintenance periods can vary significantly. As such, as part of this proposal, the Contractor shall provide a Proposal for the Maintenance during Warranty period and a Proposal for the Extended Warranty and Maintenance period. The proposals shall contain the expected tasks, personnel classifications, personnel certifications, expected personnel locations (on-site, off-site), Service Level Agreements, and expected staffing levels on a year-by-year basis. The proposal shall address physical maintenance of hardware including badge printers, workstations, peripheral devices, servers, etc. The proposal shall also address software maintenance including updates, patches, integration testing, programming changes, database maintenance, back-ups, disaster recovery, etc. The definitions of response time requirements are noted below. The Contractor shall provide a Maintenance during Warranty proposal and a separate Extended Warranty and Maintenance proposal, broken down by year as noted in section 1.19. 1.18.2 Period: The Contractor shall guarantee all labor, workmanship, and materials for a period of one (1) year from the date of Final Acceptance unless noted otherwise for specific systems. Should a failure occur within the Warranty period to the system, the Contractor shall provide all labor and materials necessary to restore the system to the condition required for the final test and acceptance for this Contract, at no cost to the Owner. When spare equipment (attic stock) is used to provide system fixes, the Contractor shall replace spare equipment used in order to maintain a constant on-site spare parts inventory. 1.18.2.1 Final Acceptance is defined as the acceptance of all portions of the ACMS scope including the ACMS system plus all required integrations and web portals. The entire scope of the project must be completed in order for acceptance to be granted. Acceptance shall include acceptance of all submittals, delivery and approval of final documentation, successful SAT testing, successful training and demonstration, including operation of system using the manuals and demonstration of fully functional system with interfaces, and purging of Contractor User privileges. 1.18.2.2 Emergency warranty work shall include the repair or replacement of components which fail during the warranty period excluding equipment damaged or rendered unserviceable due to apparent and provable misuse, abuse, vandalism or negligence by Owner. Apparent and provable as used herein shall mean that the physical evidence indicates what and who caused the damage, e.g., lightning strike, someone other than the Contractor s technician, etc. 1.18.2.3 Import Updates: During the warranty period and any period where the System is covered by an annual maintenance agreement, the import utility for the System shall be updated at no charge to the Airport so that it continues to work with the TSA No-Fly/Selectee Lists. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 58
1.18.2.4 The Contractor shall provide a proposal for a Maintenance plan to complement the Warranty period services. Between the Warranty Service and the Maintenance services, the system shall be fully maintained and repaired for the duration of the first year. The Maintenance Services for the first year shall include all routine maintenance, cleaning, break fixes, and other services not covered by the Warranty. 1.18.2.5 At the end of the first year, the Extended Warranty and Maintenance plan would take effect if accepted by the DFW Airport Board. See below for further information. 1.18.3 Tie-ins: During the Warranty period, components may be connected/disconnected and programmed/deprogrammed into the system as applicable. New devices shall be connected in the same manner as shown on the drawings for this contract and the existence of the new connections shall not void this warranty. 1.18.4 Response Times: Repairs shall be made as expeditiously as possible to minimize the time in which components are inoperable. For the Warranty Period, Extended Warranty Periods as applicable, and for the Operations Maintenance Service Agreement durations, the following response times shall be maintained: 1.18.4.1 The initial call to the Contractor shall require the type of call to be classified as critical or noncritical. The nature of the problem and the effect on Airport operations will be the deciding factor in classifying the problem. For the purpose of defining the priority of the call, the Contractor shall have factory trained and certified personnel accessible to the DFW Airport Board personnel via phone call-back within one (1) hour of initial call. 1.18.4.2 Non-critical Items: For purposes of this Section, these are defined as failures or problems which do not affect the overall safety, security, or operation of the Airport. For example, the failure of a non-critical redundant piece of equipment or the loss of a single badge printer would usually be considered non-critical. 1.18.4.3 Critical Items: For purposes of this Section, these are defined as failures or problems which do affect the overall safety, security, or operation of the Airport. For example, the failure of a primary server, the loss of a badging workstation, or the loss of integration or errors in the integration between the ACMS and other systems would be examples of critical items requiring immediate remedy. 1.18.5 Non-critical items: 1.18.5.1 The Contractor shall diagnose and remedy the problem during normal working hours of the next working day. The initial response shall be the morning of the next day if received before noon or by the noon the next day if received before close of business. Normal business hours are defined as 6 AM to 7 PM Monday through Friday. 1.18.6 Critical Items: 1.18.6.1 Critical Items require the Contractor to respond with all due speed. These shall be responded to outside of normal business hours, and the personnel shall be on site no more than one (1) hour after call is classified as critical (No more than two (2) hours from initial call as noted in 1.18.4. 1.18.7 Due to the sensitive nature of the ACMS and the segregation that exists between the DFW Security LAN and the DFW General LAN, no remote access will be allowed. The Contractor shall be required to be on site to diagnose software problems on the system within two (2) hours of the initial call. 1.18.8 Warranty and Maintenance Log: The Contractor shall maintain a bound warranty and maintenance log of all services performed during the Warranty period. The log shall be in an Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 59
Airport approved format and shall be kept in a DFW Airport Board provided secure location. The log shall be kept on a component by component basis, with separate Sections or volumes as appropriate for each component. The log shall itemize the history the history of preventative and corrective/repair activities, stating the character, duration, cause, cure of all malfunctions and the individual s name who completed the repair. The log shall record all software and hardware updates. 1.18.9 The DFW Airport Board reserves the right to determine the level of overall operations disruption due to a failure/outage, and assign the associated incident priority. The Contractor shall be responsible for identifying and requesting all needed information to resolve any problem, and may be required to rely upon Contractor supplied onsite personnel to provide such information. 1.18.10 The Contractor shall upgrade each software package, firmware, and Operating System (where applicable and as approved by the DFW Airport Board) used in the system to the latest version by the end of the Warranty period. Provide all manpower and vendor support as required to complete this prior to the end of warranty period. All upgrades shall be fully tested in the Development and Test Environments and approved by the DFW Airport Board prior to being implemented into the Production Environment. Upgrades to the Production Environment (as directed by the DFW Airport Board after review of the proposed upgrade) will be required to be done during inactive periods (typically 1 to 4 AM) and coordinated with the DFW Airport Board and other authorities having jurisdiction. All upgrades, whether to the Development Environment, Test Environment or Production Environment, shall be approved by the DFW Airport Board prior to implementation. 1.18.11 The Contractor shall notify the DFW Airport Board in writing of any possible upgrades that are or will be available prior to the end of the warranty period sixty (60) days prior to the end of warranty of which the DFW Airport Board may select from and approve the upgrade no later than thirty (30) days prior to the end of warranty. The Contractor s notification shall define changes associated with the proposed upgrades and rate each upgrade as major or minor. If the DFW Airport Board elects not to apply a specific upgrade, the software associated with the upgrade shall be provided to the DFW Airport Board. 1.19 EXTENDED WARRANTY AND MAINTENANCE 1.19.1 Extended Warranty/Maintenance Agreement: 1.19.1.1 An extended Maintenance Services Agreement for the all of the systems as a whole shall be provided. See section 1.18.1 above. The Extended Warranty/Maintenance period shall begin at the end of the Warranty period. The Extended Warranty and Maintenance Agreement shall be renewable in one year increments at the price quoted for a minimum of five (5) one (1) year periods. After the minimum of five (5) years, the cost of the extended warranty and maintenance shall not exceed a three percent (3%) increase without the written permission of the DFW Airport Board s Procurement & Materials Management Department. The DFW Airport Board will notify the Contractor prior to the end of the warranty period if the Extended Warranty/Maintenance Agreement has been accepted. 1.19.2 Response Times: Repairs shall be made as expeditiously as possible to minimize the time in which components are inoperable. 1.19.2.1 Response times for the extended warranty and maintenance period shall meet or exceed response times as noted above and shall be based on the criticality of the event or issue. 1.19.3 The extended Maintenance Services Agreement shall include time for on-site assistance on a per year basis as note in 1.20.2. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 60
1.20 ADDITIONAL POST-IMPLEMENTATION SUPPORT 1.20.1 The ACMS System provider shall include eighty (80) hours of on-site assistance (Including all travel cost from contractor facility to DFW Airport, travel time not counted as part of 80 hour) to be used after the final acceptance of the system. This assistance time is in addition to Warranty services and shall be performed on an on-call basis at the DFW Airport Board s request. 1.20.2 The ACMS System provider shall include eighty (80) hours of on-site time assistance (Including all travel cost from contractor facility to DFW Airport, travel time not counted as part of 80 hour) for programming changes or Service or break fixes to the ACMS to be used after the final acceptance of the system. These hours shall be on an as-needed basis and shall be able to be used at any time during the first year after Final Acceptance. These hours shall include multiple levels of personnel including, but not limited to, a System Administrator for programming or fixes or a Field Service Technician for hardware issues. 2 PRODUCTS 2.1 GENERAL 2.1.1 Power: All ACMS equipment shall operate on 120-VAC unless noted otherwise. Any special power treatment required, such as filtering or spike elimination that may be required for proper operation and protection of the ACMS system, shall be provided with the system. Any power requirements above 120 VAC shall be specifically noted by the Contractor as part of the proposal, and costs for power distribution above 120 VAC shall be included in the proposal. 2.1.2 Backup Power: ACMS servers are expected to be implemented into existing DFW Data Center spaces. The Data Centers are located at several locations on the DFW Airport site, and UPS power is provided within those facilities. The Contractor shall provide the expected loading for all server and data center mounted equipment as noted in section 2.1.3 for DFW to review as part of the proposal. For purposes of the proposal, it should be assumed that a minimum of two (2) Data Center locations will be required to provide diversity and redundancy. The ACMS Badging Workstations and Administration Workstations shall be provided with UPS power, with a minimum back-up of one (1) hour (excluding peripheral devices such as badge printers). The contractor shall provide replacement batteries for all Workstation UPS units at the time of final completion. 2.1.3 Data Center Mounted Equipment Cabinets: The Contractor shall provide the quantity of expected cabinets in each data center location (minimum of two locations), the expected weight of the equipment in each cabinet, the expected Rack Units in each cabinet, the expected electrical loading, and the expected HVAC load (BTU/Hr) for each cabinet for the DFW Airport Board to review as part of the proposal. The DFW Airport Board will provide the cabinets in the data centers selected by the DFW Airport Board. 2.1.4 Hardware: Provide all hardware required for a complete and operational system as described in this RFP document and as shown on the Proposed System Diagram. 2.2 MANUFACTURERS 2.2.1 The manufacturers listed below are intended to indicate some of the manufacturers that manufacture products of those types. The list is not intended to be a listing of every acceptable manufacturer, nor is inclusion on this list intended to indicate that the products fully meet the specifications, nor is inclusion on this list intended to relieve the Contractor from the responsibility of ensuring that all proposed products meet the quality assurance and the specification requirements listed in this specification. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 61
2.2.1.1 If the Contractor wishes to propose an equal by an alternate manufacturer not currently listed, the Contractor shall submit product information to the DFW Airport Board at the time proposals are due. Submitting product information does not mean that the product will be allowed. 2.2.1.2 For alternate ACMS manufacturers, the Contractor shall submit product literature on the system proposed including system capacities, licensing levels, etc., cut sheets on the components to be utilized, a block diagram showing typical configurations of the system, and experience and references as required in section 1.9 Quality Assurance above. 2.2.1.3 For alternate equipment manufacturers, the Contractor shall submit product cut sheets for the proposed equipment at the time proposals are due. The product information shall include equipment specifications, capacities, and technical information to justify that the equipment is truly an equal. 2.2.2 The architecture of the designed system is based on known industry standard products to promote competitive pricing for proposals. A system utilizing different architecture may be proposed if it is technically comparable to the base product specified. Systems using different architecture must meet either of these two criteria, meet all design requirements, and any variances must be clearly identified with the bid otherwise they will not be considered. 2.2.3 Manufacturers: Subject to compliance with all requirements, provide products by the following: 2.2.3.1 Access Control Management Systems: 2.2.3.1.1 Alert Enterprise / Productive Solutions Aviation Security Platform (ASP). 2.2.3.1.2 Intellisoft AirportICE. 2.2.3.1.3 Quantum Secure. 2.2.3.2 Computer Server Equipment: 2.2.3.2.1 Cisco UCS 2.2.3.2.2 Oracle Intel Blade. 2.2.3.2.3 DFW Airport Board Pre-Approved Vendor. 2.2.3.3 Computer Workstation Equipment: 2.2.3.3.1 Dell. 2.2.3.3.2 DFW Airport Board Pre-Approved Vendor. 2.2.3.4 Biometric Capture Device and Readers Hand Geometry: 2.2.3.4.1 Ingersoll Rand Handkey. 2.2.3.5 Biometric Capture Device and Readers Reference Biometric: 2.2.3.5.1 Digital Persona. 2.2.3.5.2 Futronic. 2.2.3.5.3 Morpho. 2.2.3.5.4 DFW Airport Board Approved Equal. 2.2.3.6 Card Printer: 2.2.3.6.1 Digital Identification Systems. 2.2.3.6.2 Fargo. 2.2.3.6.3 Team Nisca. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 62
2.2.3.6.4 DFW Airport Board Approved Equal. 2.2.3.7 Report Printer: 2.2.3.7.1 HP. 2.2.3.7.2 IBM. 2.2.3.7.3 Lexmark. 2.2.3.7.4 DFW Airport Board Approved Equal. 2.2.3.8 Signature Capture Pad: 2.2.3.8.1 epad. 2.2.3.8.2 Topaz. 2.2.3.8.3 DFW Airport Board Approved Equal. 2.2.3.9 Scanner: 2.2.3.9.1 Canon. 2.2.3.9.2 DFW Airport Board Approved Equal. 2.2.3.10 Camera: 2.2.3.10.1 Credential Cam. 2.2.3.10.2 ValCam. 2.2.3.10.3 DFW Airport Board Approved Equal. 2.3 ACMS SYSTEM DEVICES 2.3.1 COMPUTER EQUIPMENT 2.3.1.1 Server Equipment: 2.3.1.1.1 The server equipment will need to be tailored to the proposed solution, and could vary widely based upon the configuration and virtualization of the system and the minimum requirements of the manufacturer. 2.3.1.1.2 The Computer hardware specifications and configuration shall be coordinated with DFW ITS. All licensing for VMWare or other specific hardware shall be supplied. 2.3.1.1.2.1 DFW is currently running linux based applications on the following infrastructure: 2.3.1.1.2.1.1 Oracle 6000 Blade Chassis with X6270 M2 Blade Servers 2.3.1.1.2.1.2 Oracle VM Manager (OVM) version 3.2 2.3.1.1.2.1.3 Oracle Enterprise Linux version 6 2.3.1.1.2.1.4 NetApp v3270 Metrocluster using NFS 2.3.1.1.2.2 Application servers are running on an Oracle VM cluster that has servers and storage geographically separated. The NetApp Metrocluster mirrors and clusters the storage for the applications synchronously. 2.3.1.1.2.3 DFW is currently running databases on oracle Solaris, but plans are in process to move to the following: 2.3.1.1.2.3.1 Oracle 6000 Blade Chassis with X6270 M2 Blade Servers 2.3.1.1.2.3.2 Oracle Enterprise Linux version 6 Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 63
2.3.1.1.2.3.3 Oracle 11gr2 Database (RAC/Standby) 2.3.1.1.2.3.4 NetApp FAS3270 using NFS 2.3.1.1.2.4 In the furture state, DFW database servers will be running Oracle Database (RAC) that will be clustered locally using NetApp storage that will be clustered locally. The databases will have standbys that will be geographically separated from the RAC instances and updated synchronously. 2.3.1.1.3 All servers shall be provided with a three (3) year on-site warranty/support agreement. Premium support, 4 hour response window. 2.3.1.2 WORKSTATION EQUIPMENT 2.3.1.2.1 Two types of workstations shall be provided: Badging Workstations and Administration Workstations. The computer hardware shall be identical to allow for an Administration Workstation to be converted to a Badging Workstation by adding the peripherals. All workstations noted below shall be provided with all hardware, software, and licensing as required to allow each machine to act as either a badging or administrative workstation as the DFW Airport Board sees fit. If separate license types are required for badging and administration, both licenses shall be provided for each machine. 2.3.1.2.2 For purposes of the Request for Proposal, it should be assumed that fifteen (15) Badging Workstations shall be provided with all of the peripherals required for a complete and operational system as defined in this RFP. 2.3.1.2.3 In addition, one (1) Training Workstation and one (1) Development Workstation shall be provided. It should be assumed that the training Badging Workstation shall be provided with all of the peripherals required for a complete and operational badging workstation as defined in this RFP except for a badge printer, which shall be replaced by a color printer. 2.3.1.2.4 For purposes of the Request for Proposal, it should be assumed that ten (10) Administration Workstations shall be provided. 2.3.1.2.5 In addition to the licenses noted above, the contractor shall provide two (2) additional Badging Workstation licenses and six (6) additional Administration Workstation licenses to allow for the ACMS to be implemented in other locations. 2.3.1.2.6 The workstation hardware shall be provided to meet the DFW minimum hardware requirements, plus any specific requirements specific to the Badging workstation. 2.3.1.2.7 The quantity of USB ports shall be twelve (12) minimum to accommodate all of the expected peripheral devices required at a badging workstation. All USB ports shall be USB 2.0/3.0 compatible, and all ports shall be internal to the computer. External USB hubs shall not be allowed. A minimum of two (2) unused USB ports shall be available after all peripheral devices are connected. 2.3.1.2.8 For workstations to be utilized as Badging Workstations, the workstation configuration shall include a minimum of two (2) screens, one a standard screen and the second a touchscreen for customer interaction as defined in this RFP. All workstations shall be equipped with video cards that can allow the use of a minimum of two (2) screens, and the video cards provided shall be consistent for all workstations. 2.3.1.2.9 All workstations shall be provided with a three (3) year on-site warranty. 2.3.1.2.10 Typical DFW Airport Board minimum workstation configurations are provided in Appendix F. 2.3.2 BADGING SYSTEM DEVICES Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 64
2.3.2.1 ID Badge Printer: The ID badge printer shall be used to encode and print images and text info directly on the ISO standard cards. This contract shall provide all ribbons, custom hologram overlays, cleaning ribbons, and misc. supplies necessary to print ID badges for 40,000 badges. The ACMS software application shall be designed to support any industry standard direct to PVC ID card or Re-transfer card printer with an industry standard Windows driver. Each badge printer shall have the following features: 2.3.2.1.1 The printer shall be equipped with an F2F compatible card reader to capture the ID number of each card as it is printed. 2.3.2.1.2 The printer shall be capable of being equipped with a smart card encoder in the future for in-line encoding (either iclass or DESFire minimum) and shall be capable of verifying that card has been successfully encoded and tested before the card has been printed on. 2.3.2.1.3 Full color capability. 2.3.2.1.4 Dual sided printing. 2.3.2.1.5 Minimum 300-dpi print resolution. 2.3.2.1.6 Printer shall be capable of encoding to TWIC or NIST SP800-73 standards for FIPS 201 interim cards 2.3.2.1.7 Shall include inline lamination with custom logo available only to DFW Airport Board. 2.3.2.1.8 Lamination should be registered so hologram appears in the same spot on every card 2.3.2.1.9 Must be able to laminate one side of card in 20 seconds and have a nearly flat card. 2.3.2.1.10 Laminator must communicate with printer to hold printing/encoding until laminator is warmed up and ready. 2.3.2.1.11 Laminator must be hot swappable so that a standby could be put in place in a minute or less to not disrupt the DFW Airport Board's badge printing. 2.3.2.1.12 Security: Custom DFW Holographic overlays including custom UV security text (coordinate with the DFW Airport Board for customization). 2.3.2.1.13 Minimum Speed: Eighty (80) single sided cards per hour including overlay. 2.3.2.1.14 Encoding: The printer shall be capable of printing and encoding all necessary information for a fully functioning badge in one operation. There should be no user intervention required aside from loading additional blank media. 2.3.2.2 Report Printer: Report printer shall be a Laser type printer or equal used to print reports and general information from any workstation on the network. Printer shall be network-able and have internal network connection to allow the printer to be directly connected to any Security LAN outlet. 2.3.2.3 Video Camera: The video camera shall be used to capture card holder s photos and shall have the following features: 2.3.2.3.1 Lens: Auto-focus, auto-iris. Power zoom required for 4CIF resolution cameras, electronic zoom for higher resolution cameras. 2.3.2.3.2 Connection to computer over USB 2.0 minimum. 2.3.2.3.3 Image Sensor: Interline ¼ type CCD or 1/3 CMOS. 2.3.2.3.4 Signal Processing: Digital signal processing with Automatic Gain Control and Backlight Compensation. 2.3.2.3.5 Horizontal Resolution: Minimum 640 x 480; higher resolution preferred. 2.3.2.3.6 Scan Mode: Progressive Scan. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 65
2.3.2.3.7 Control of camera via USB. 2.3.2.3.8 Twain compliant drivers and SDK kit as required to interface with ACMS. 2.3.2.4 Signature Capture Pad: 2.3.2.4.1 Signing Area: 4.4 wide x 2.5 high minimum. 2.3.2.4.2 Signature Resolution: 400 points per inch minimum. 2.3.2.4.3 Data Conversion Rate: 350 points per second minimum. 2.3.2.4.4 Pen: Active Energized. 2.3.2.4.5 Sensor: Active Electromagnetic and touch sensitive. 2.3.2.4.6 High Contrast, backlit LCD panel, color display. 2.3.2.4.7 Interface: USB 2.0 minimum serial communications. 2.3.2.4.8 Signature Window: Tempered Glass, Scratch resistant, transparent, pressure-sensitive. 2.3.2.4.9 Signature viewable during signing on LCD panel window. 2.3.2.4.10 Ability to display alpha keyboard or keypad on unit to allow user input such as PIN number or enter name. 2.3.2.4.11 Simultaneous viewing on Connected PC. 2.3.2.4.12 Compatible with Windows 7 Professional or higher with drivers available. 2.3.2.4.13 Warranty: 3 Year. 2.3.2.4.14 Developers Tools and APIs shall be provided to allow integration with ACMS. 2.3.2.5 Scanner: 2.3.2.5.1 Flatbed scanner with 11 x 17 inch bed. 2.3.2.5.2 Scan Resolution: 1200 x 1200 dpi. 2.3.2.5.3 Bit Depth: 48-bit color. 2.3.2.5.4 Levels of grayscale: 256. 2.3.2.5.5 Interface: USB 2.0 minimum, USB 3.0 preferred. 2.3.2.5.6 Compatible with Windows 7 Professional or higher with drivers available. 2.3.2.5.7 Scanning software application included. 3 EXECUTION 3.1 INSTALLATION OF SECURITY SYSTEMS 3.1.1 General: The Contractor shall investigate the Site and become thoroughly familiar with the site as well as the operation of the AACS and the ACO. The Contractor shall plan the new ACMS installation such that the new ACMS system is installed and tested for proper operation in the Development and Test Environments before the ACMS is deployed in the ACO and moved into the Production Environment. 3.2 PHASED ACMS SYSTEM TESTING 3.2.1 General: A phased testing approach shall be implemented to insure that the system is capable of operating as designed. The tests shall be structured to prove that higher-level components are functional prior to connection to lower level components. Successful completion of each testing Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 66
phase is required before proceeding to the next level of testing. Any problems discovered during these tests will be documented and brought to the attention of the DFW Airport Board and corrected at Contractor's expense. The Contractor shall promptly correct all problems encountered, providing field service personnel appropriately trained for the types of problems encountered. 3.2.2 The initial test conversions of the AACS data into the ACMS, the stripping of unneeded data fields from the AACS, and the integration of the ACMS to the AACS shall be fully implemented and tested in the Development and Test Environments prior to the final conversion. 3.2.3 Prior to the ACO operators transitioning to the badging workstations on the new system, the cardholder databases must be completely transitioned from the AACS and populated, the badging workstations shall have been deployed, the required integrations for each phase shall have been tested in the development and test environments, and the AACS integration with the ACMS fully proven. Once the data is converted and DFW ITS provides sign off, then the system can be taken from the Test Environment to the Production Environment. 3.2.4 Final test and Acceptance: Upon completion of Testing in the Development and Test Environments, the system will be operating at normal traffic capacity with the Host in communication with all workstations and Integrated Systems. The test shall include creating cardholders, running the expected transactions for each type of operation at the ACO, observing the workstation display, and verifying data replication and data integrity. This test shall prove under load communications, integration integrity, and overall functionality. After a successful test, the test user data shall be removed from the database. All ACMS functions shall be demonstrated to ensure the entire system is operational as required by these specifications and drawings. The Contractor shall provide a test schedule including the time and dates at least fourteen (14) days prior to the proposed test date. The DFW Airport Board's representative will observe the testing. This test shall be conducted by the final test and acceptance plan as outlined below. 3.3 FINAL TESTING AND ACCEPTANCE 3.3.1 The Contractor shall develop a Final Test and Acceptance (FTAA) plan. The plan shall identify each component of the system, intent of test, method or methods of test and expected results. Each component listed in the plan shall include space for test party signatures, brief comments, time of test and pass/fail check boxes. The plan shall be submitted to the DFW Airport Board for approval or comment. When DFW Airport Board Test and Acceptance Plan comments are satisfied and the system is operational, the testing may begin. The component tests shall be compared to the transaction log for accuracy, queries shall be made to narrow the test report to the test cards, card holders, operator responses and portals involved in the test. All components must be checked pass, signed by all parties and agree with the transaction log to be complete. 3.3.2 FTAA testing of the ACMS shall, at minimum, include requirements listed in the phased testing procedure outlined above. 3.4 SYSTEM AVAILABILITY TEST 3.4.1 Following successful completion of the FTAA, the ACMS shall undergo a twenty-one (21) day System Availability Test (SAT). The operational demonstration period will start when all of the workstations, Servers, and systems are operational, the system is loaded with normal traffic, and shall continue for no less than twenty-one (21) consecutive days of successful system operation. Final system acceptance of the entire Project shall be withheld until after successful completion and approval of the operational demonstration Summary Report. This report shall be submitted to Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 67
the DFW Airport Board within five (5) days from completion of the conclusion of the operational demonstration period. 3.4.1.1 The Summary Report shall compile a list of any and all reported system and functionality problems, including but not limited to: 3.4.1.1.1 Issue/Incident. 3.4.1.1.2 Severity/Ranking of each Incident. 3.4.1.1.3 Resolution of each Incident. 3.4.1.1.4 Date/Time Incident Reported. 3.4.1.1.5 Date/Time Incident Resolved. 3.4.1.1.6 Follow-up Recommendations (Maintenance Plan updates). 3.4.1.2 After receipt of the SAT Summary Report, the DFW Airport Board and Contractor will compile a punchlist of any issues not resolved. A review will be conducted to assign corrective actions and date of expected completion. 3.4.1.3 Final system acceptance will be provided to the Contractor in writing once DFW Airport Board has review and approved the SAT Summary Report and all remaining identified issues have been resolved to the satisfaction of the DFW Airport Board. 3.4.2 The purpose of the SAT is to demonstrate that the system is capable of maintaining a 99.99% availability prior to final acceptance. Percent of system availability will be measured in terms of transaction point hours. Example: If there are 1000 transactions on the system which provide (1000 * 24) = 24,000 transactions per day. The 21 day test covers (21 * 24,000) = 504,000 transactions; so the system must be available for (.9999 * 504,000) =503,950 transactions, leaving fifty (50) transactions allowed with errors or not transacted for the test. Transactions available shall be calculated only using the quantity of transactions as noted above. 3.4.3 The loss of PC equipment shall be counted as part of the test from a failure point of view only. For this test, one ACMS PC shall be counted as equal to 25 transactions per hour of downtime, so the loss of any PC or a combined down time for all of the PCs for more than one hundred twenty (120) minutes will be considered a failure of the test. The loss of any server due to an unscheduled outage will be considered a failure of the test and the SAT will be required to be restarted. 3.4.4 Examples: Any integration point that is not in full automatic operation and causes the loss or error in fifty (50) transactions will cause the system to fail the test. 3.4.5 The SAT will be conducted while the system is in full operation. 3.4.6 Successful completion of the SAT is a prerequisite to final acceptance of the ACMS. 3.5 ACCEPTANCE 3.5.1 System warranty shall not start until acceptance. Acceptance will be withheld until the following activities have been successfully completed: 3.5.1.1 Acceptance of all submittals. 3.5.1.2 Delivery of final documentation. 3.5.1.3 Successful SAT testing. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 68
3.5.1.4 Successful training and demonstration, including operation of system using the manuals and demonstration of fully functional system with interfaces. 3.5.1.5 Purging of Contractor User privileges. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 69
Appendix A Existing New Badge Process Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 70
Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 71
Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 72
Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 73
Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 74
Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 75
Appendix B Existing Renewal Process Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 76
Appendix C Proposed Process and Data Flow Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 77
Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 78
Appendix D - Integration Map Diagram Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 79
Appendix E Compliance Matrix (To be completed by Proposing Firm and submitted with response) Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.5.1.1 Provide checks and balances for issuance and renewal of Airport ID Badges. Regulatory 1.5.1.2 Automatically enforce Business Rules, processes and workflow. 1.5.1.3 Manage ACO personnel acting in the Trusted Agent (TA) role following requirements set forth in TSA Security Directive 1542-04-08G or latest directive (et.al.) Regulatory 1.5.1.4 Protect and Segregate sensitive user and system information 1.5.1.5 Provide a Web-Based Appointment System 1.5.2 ACMS shall become the Central Repository and Database for data relating to Cardholders Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 80
Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.5.3.1 The ACMS shall ensure an individual has met the criteria specified in SD 1542-04-08G Regulatory 1.5.3.2 Comparison with Watch/No Fly/Selectee Lists through an automated process Regulatory 1.5.3.3 Ad-hoc comparison of other lists for on-demand comparisons 1.5.3.4 No companies or individuals on the NDI list are issued credentials or other access devices 1.5.3.5 Control over the assignment of Escort privileges based on SD 1542-04-08G Regulatory 1.5.3.6 Enforce data integrity and consistency between the existing systems. The ACMS shall act as the Central Repository for all Company and Individual Badging Data 1.5.3.7 Enforce separation of duties Regulatory 1.5.3.8 Management of authorized signatory transactions Regulatory Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 81
Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.5.3.9 Provide visual ID badges for personnel working at the airport Regulatory 1.5.3.10 Provide control of access levels for the AACS Regulatory 1.5.3.11 Provide tracking of all access media and assets for the DFW Airport Site 1.5.3.12 Provide enforcement of all policies 1.5.4 Provide Development, Test, and Production Environments with required servers, licensing, and workstations. 1.6.1 Intellectual Property Patents 1.6.2 Intellectual Property Copyrights 1.6.3 Intellectual Property License to Use 1.6.4 Intellectual Property Software Master Source Code 1.7 Radio/Television Interference Regulatory Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 82
Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.8.1 Contractor shall provide six (6) copies of any product data or shop drawing submittals 1.8.2 Contractor shall not perform any portion of the Work requiring submittal 1.8.3 Submit manufacturer's data on system components and subcomponents 1.8.4 Contractor shall submit catalog cut-sheets 1.8.5 Provide Shop Drawings showing equipment, locations, wiring diagrams, mounting, data outlets and applicable arrangements. 1.8.5.1 Provide assembly drawings of every equipment rack/cabinet and card cage 1.8.5.2 Provide assembly drawings of all servers, computers, peripherals and system components with location and logical connections and interfaces Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 83
Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.8.5.3 Provide wiring diagrams showing all field devices and their connected wiring 1.8.5.4 Provide logical layout drawings 1.8.5.5 Provide system block diagrams 1.8.5.6 Provide Interface Control Documents for all software system integrations 1.8.5.7 Provide Software Layouts for the page designs for the GUI for DFW approval 1.8.5.8 Provide database table layouts for review and approval 1.8.6 Provide a complete parts list and breakdowns 1.8.7 Provide an overall Program Management Plan 1.8.8 Provide a Master Work Schedule Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 84
Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.8.9 Prepare and submit Test Plans, Test Procedures, Test Results, and Test Reports as indicated for each system 1.9.2 ACMS Manufacturer Meets minimum qualifications: Five Years, references including one medium or large hub airport 1.9.3 Manufacturer shall demonstrate airport experience including one medium or large-hub airport. 1.9.4 Manufacturer shall provide reference for a minimum of five (5) sites and a minimum of two (2) sites with large user populations in excess of forty thousand (25,000) enrolled users. 1.9.5 Manufacturer should demonstrate integration with the UTC Picture Perfect platform at a minimum of one (1) active site High 1.9.6 Manufacturer shall Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 85
Specification Section Requirement Description Priority Exists in Proposed Product demonstrate integration with other major Access Control System vendors. Provide references. Configurable in Existing Product Not Available Comments 1.9.7 Proposer Team (System Integrator and/or Manufacturer) shall have experience working in the Airport environment at a minimum of one (1) Category 1 or Category X airport 1.9.8 Proposer Team shall have personnel located in the Dallas Fort Worth area, within a thirty (30) mile radius that are certified on the system 1.9.9 All personnel that will work on or have access to the ACMS shall be required to be SIDA Badged with full background checks including CHRC and STA 1.9.10 NEC Compliance Regulatory 1.9.11 UL Compliance and Labeling Regulatory Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 86
Specification Section Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification Requirement Description Priority Exists in Proposed Product 1.9.12 Equipment and materials shall be a standard product from manufacturers regularly engaged in the manufacturing and installation of these types of equipment and shall be from the manufacturer's latest commercial products list 1.10.1 Contractor shall submit an overall Project Transition/Cutover 1.10.2 ACO Operation shall be maintained at all times 1.10.3 Contractor shall propose and provide a transition strategy 1.10.4 Provide Implementation Phasing 1.10.5 The Contractor shall provide individual detailed transition plans to the DFW Airport Board for approval a minimum of thirty (30) days prior to scheduled Cutover 1.10.6 Contractor shall provide detailed cutover activities including capability of High Configurable in Existing Product Not Available Comments 87
Specification Section Requirement Description Priority Exists in Proposed Product simultaneous operation of the existing and new systems Configurable in Existing Product Not Available Comments 1.10.7 Badging Workstation mock-up 1.10.8 Training Badging Workstation on Test Environment 1.10.9 Transition/cutover plan may be modified with the approval of DFW Airport Board High 1.10.10 Badging Operations or required policy and compliance functions shall not be hindered or unavailable at any time 1.10.11 Contractor shall provide support staff as noted during go live periods High 1.11.2.1 Provide Identity Management / Cardholder Management integral to the ACMS. 1.11.2.2 Integration with existing AACS and future AACS 1.11.2.3 Provide ACMS Cardholder management functionality as noted in 1thru 10 Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 88
Specification Section Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification Requirement Description Priority Exists in Proposed Product 1.11.2.4 Identity Management/Cardholder Management shall provide items as noted in 1 thru 6 1.11.2.5 ACMS shall manage the transfer of data to system spokes with the ability to restrict or modify data 1.11.2.6.1 Provide Check Boxes for yes/no items 1.11.2.6.2 Provide pull down menus or radio buttons for items 1 thru 6 1.11.2.6.3 Provide company fields as noted in items 1 thru 11 High High High 1.11.2.7.1 Provide Unique User Identifier 1.11.2.7.2 Confirm all Employee/Cardholder fields identified will be provided. Note any exceptions. 1.11.2.7.3 thru 6 Confirm all fields identified will be provided and requested based on noted business rules. Note any exceptions. 1.11.2.7.7 Confirm Name of Employer Pull Down List will be High High Configurable in Existing Product Not Available Comments 89
Specification Section Requirement Description Priority Exists in Proposed Product provided, with auto population of remaining data noted. Configurable in Existing Product Not Available Comments 1.11.2.7.8 Confirm Authorized Employer Representative High 1.11.2.7.9.1 Confirm Badge Colors/Types will be limited based on sponsor role and employee type High 1.11.2.7.9.2 Confirm Expiration can vary based on DFW Business Rules High 1.11.2.7.9.3 and 4 Confirm Access Rights/Clearance Codes based on Job Title or Role based High 1.11.2.7.9.5 Confirm DFW Badge Sponsor (Signatory) Pull Down List based on employer and login will be provided, with auto population of remaining data noted. High 1.11.2.7.9.6 Confirm DFW badge sponsoring authority signature High 1.11.2.7.9.7 Confirm contact information for sponsoring authority High Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 90
Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.11.2.7.9.8 and 9 Confirm CPB seal request and AOA driver request High 1.11.2.7.10 Confirm PIN Code (4 or 5 digit) High 1.11.2.7.11 Confirm reference biometric 1.11.2.7.12 Confirm AACS biometric 1.11.2.7.13 Confirm Authorized Employer Representative check box and data entry capability High 1.11.2.7.14 Confirm DFW Authorized Badge Sponsor (Signatory) check box and data entry capability High 1.11.2.7.15 Confirm card information 1.11.2.7.16 Confirm badge features noted and tie to printing on badge High 1.11.2.7.17 Confirm CHRC/STA fields and business rules 1.11.2.7.18.1 thru 7 Confirm Training and Violation information storage and business rules 1.11.2.7.18.8 Confirm Badge re-issuance information High Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 91
Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.11.2.7.18.9 Confirm Financial Information High 1.11.3 Confirm compliance with SD 1542-04-08G Regulatory 1.11.4 Confirm Age Verification Regulatory 1.11.5 Confirm compliance with TSA compliance 25% SIDA limit/company and 15% random resubmission business rules Regulatory 1.11.6 Confirm badges not issued beyond work authorization date 1.11.7.1 thru 3 Confirm TSA No-Fly/Selectee list comparison 1.11.7.4 Confirm Ad-Hoc database verification 1.11.7.5 Confirm system tracking 1.11.7.6 Confirm system reporting 1.11.8 Confirm badging station equipment, compatibility, and capability High 1.11.9 Confirm verification by use of signature capture pad Beneficial Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 92
Specification Section Requirement Description Priority Exists in Proposed Product capability Configurable in Existing Product Not Available Comments 1.11.10 Confirm badge layout display and acceptance by on-screen button and saving of acceptance data High 1.11.11 Confirm acceptance of badge by PIN on screen or valid card read and PIN with the saving of acceptance data High 1.11.12 Confirm customer facing screen blank except when verification in progress Beneficial 1.11.13 Confirm data download to AACS upon completion of badge. Confirm data transfer process automation. 1.11.14 Confirm integrated ID badge creation software (64 bit) High 1.11.15 Confirm Badge Layout Creation and Editing Module is provided with icon library and other features noted High 1.11.16 Confirm capture of Authorized Signatures High 1.11.17 Confirm Identification Scan Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 93
Specification Section Requirement Description Priority Exists in Proposed Product Storage Configurable in Existing Product Not Available Comments 1.11.18 Confirm Screens/Form Creation module is provided 1.11.19 Confirm custom report software provided 1.11.19.1 Confirm minimum typical badge reports will be provided 1.11.19.2 Confirm minimum typical system reports will be provided 1.11.19.3 Confirm ability to provide total by categories and total records. Confirm automated production of reports. 1.11.19.4 Confirm ability to automate running of reports, programming of report templates, and programming of all required reports for all companies or entities Beneficial 1.12.1 Confirm integration and use of dedicated companies as noted in this section 1.12.2 Confirm understanding of segregation of DFW General Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 94
Specification Section Requirement Description Priority Exists in Proposed Product LAN and the DFW Security LAN. Confirm that DFW must approve all data transfer methodologies, and a data transfer database may be required to comply. The ACMS is expected to be implemented in the DMZ between the DFW General LAN and the DFW Security LAN. Configurable in Existing Product Not Available Comments 1.12.3.1 Confirm integration with existing Picture Perfect 4.61 High 1.12.3.2 Confirm use of Siemens for integration and synchronization with the ACMS to the Picture Perfect 1.12.3.2.1 Confirm minimum requirements for integration and synchronization between AACS and ACMS Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 95
Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.12.3.3 Confirm integration with a minimum of two (2) simultaneous AACS systems and integration with future AACS systems. Provide experience with other AACS systems. 1.12.3.4 Confirm interface/integration with Handkey system. Note proposed methodology. 1.12.3.4.1 Confirm coordination with DFW and use of Siemens as required by DFW Airport Board. 1.12.3.4.2 Confirm minimum data transfer and synchronization for Handkey integration 1.12.3.4.3 Confirm indexing of biometric to card number for one-to-one comparison at door 1.12.3.4.4 Confirm system integration 1.12.3.4.5 Confirm compatibility with future smart cards with biometric encoded on card Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 96
Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.12.3.5 Confirm integration capability with the KapLogic TBSSS High 1.12.3.6 Confirm provision of Web Portal 1.12.3.6.1 Confirm ability to transfer all database fields from web portal to ACMS in a secure manner 1.12.3.6.2 Confirm ability of ACMs to provide list of companies for pull-down menu, and automatic routing function based on company. 1.12.3.6.3 Confirm electronic signature capability High 1.12.3.6.4 Confirm ability to only display required data to each user and ability to redact data 1.12.3.6.5 Confirm web portal can store and allow secure storage of reports. Access to reports based on user and company. 1.12.3.6.6 All personal data shall be stored in an encrypted and secured manner. Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 97
Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.12.3.6.7 Confirm understanding that DFW will procure and maintain all URLs and Security Certificates. Low 1.12.3.7 Confirm provision of scheduling module 1.12.3.7.1 Confirm configuration will allow appointment types, expected durations, vectoring, and ability to manage multiple resources 1.12.3.7.2 Confirm multiple appointment type capability available in ACO and on Web portal. 1.12.3.7.3 Confirm question based scheduling application 1.12.3.7.4 Confirm multi-page, multiple choice selection process with back or start over button 1.12.3.7.5 Confirm ability to define resource types and schedule appointments based on available resources 1.12.3.7.6 Confirm ACO ability to schedule appointments Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 98
Specification Section Requirement Description Priority Exists in Proposed Product directly Configurable in Existing Product Not Available Comments 1.12.3.7.7 Confirm interface to IRMS for queue list. Confirm walk-in versus appointment queue placement High 1.12.3.8 Confirm integration with IRMS 1.12.3.8.1 Confirm understanding of custom application and contact. 1.12.3.8.3 Confirm PCI compliance understanding and data storage requirements. 1.12.3.8.4 Confirm understanding of requirement to transition email notification from IRMS to ACMS; Confirm integration with email system and communication via the email system. 1.12.3.8.5 Confirm minimum field transfer and synchronization requirements. 1.12.3.9 Confirm integration with fingerprinting system (Telos) 1.12.3.9.1 Confirm minimum field transfer Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 99
Specification Section Requirement Description Priority Exists in Proposed Product and synchronization requirements. Configurable in Existing Product Not Available Comments 1.12.3.10 Confirm integration with Interactive Learning System 1.12.3.10.1.2 Confirm understanding of system and use of SSI for all changes 1.12.3.10.3 Confirm understanding of expected data transfer and synchronization between ACMS and ILS 1.12.3.11 Confirm understanding of integration with LMS. 1.12.3.12 Confirm understanding of NDI Raw Data Comparison and ability to perform noted comparison High 1.12.3.13 Confirm NDI integration and integration with Oracle database 1.12.3.13.1 Confirm Company NDI removal from selection list capability 1.12.3.13.2 Confirm individual NDI comparison and blocking of Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 100
Specification Section Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification Requirement Description Priority Exists in Proposed Product badge application at DFW Authorized Badge Sponsor level including email notification capability 1.12.3.14 Confirm uni-directional integration with DFW email system 1.12.3.15 Confirm Data Import/Export capability 1.12.3.16 Confirm iauthenticate function and role in the ACO. Confirm understanding that system will not be integrated. 1.12.3.17 Confirm understanding of segregation of DFW Security LAN 1.12.3.17.1 thru 3 Confirm use of Presidio for all Security LAN work 1.12.3.18 Confirm understanding of DFW General LAN requirements. 1.12.3.19 Provide information on Key Control Systems that are currently integrated with the proposed ACMS with references. Beneficial Low Beneficial Configurable in Existing Product Not Available Comments 101
Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.13.1 Confirm ability to categorize operators based on privileges and restrictions Regulatory 1.13.1.1 Confirm provision of operator positions/logins 1.13.1.2 Confirm understanding of application of information available at each machine 1.13.1.3 Confirm understanding of provision of unique logins for all users 1.13.1.4 Confirm unlimited user; confirm limits of concurrent users and quantify 1.13.1.5 Confirm DFW ability to edit, add, and delete users 1.13.1.6 Confirm ability to define privilege levels 1.13.1.7 Confirm ability and creation of operator profiles 1.13.1.8 Confirm privilege assignments auditable and ability to provide list/report 1.13.1.9 Confirm ability of ACMS to Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 102
Specification Section Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification Requirement Description Priority Exists in Proposed Product track all user activity and provide report 1.13.2 Confirm creation of preconfigured operator profiles. 1.13.3 Confirm all default and vendor accounts will be removed at completion 1.13.4 Confirm disabling of unsecure services, ports, and protocols 1.14.1 Confirm Source Code requirements 1.14.2 Confirm system open architecture High High 1.14.3 Confirm ODBC compliance High 1.14.4 Confirm scalability High 1.14.5 Confirm portability High 1.14.6 Confirm Video Input Support High 1.14.7 Confirm ID Badge Printer Support 1.14.8 Confirm System printer support High Medium 1.14.9 Confirm 64-bit Application Medium 1.15.1 Confirm ACMS supports latest Medium Configurable in Existing Product Not Available Comments 103
Specification Section Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification Requirement Description Priority Exists in Proposed Product Microsoft Windows or other DFW Airport Board approved OS. Confirm intended OS. 1.15.2 Confirm Interface for TCP/IP and AD 1.15.3 Confirm use of Active Directory for security or note other means to be provided. 1.16.1 Confirm RDBMS and note expected RDBMS to be provided 1.16.2 Confirm databases shall be true client/server, high performance, and ANSI standard capable of handling high transaction rates and multiple users concurrently accessing and modifying the database 1.16.3 Confirm Preservation of Data Integrity 1.16.3.1 Confirm Transaction processing guarantees the consistency and recoverability of the RDBMS Medium Medium Medium High 1.16.3.2 Confirm Enforce Data Integrity Configurable in Existing Product Not Available Comments 104
Specification Section Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification Requirement Description Priority Exists in Proposed Product 1.16.3.3 Confirm User-Defined data types 1.16.3.4 Confirm Defaults 1.16.3.5 Confirm creation and enforcement of rules 1.16.4 Confirm DFW LAN compatibility 1.16.5.1 Confirm understanding of the Critical Operation nature of the ACMS and the required Fault Tolerance. Provide details in regards to expected configuration including items a thru f. 1.16.5.2 Confirm provision of Disaster Recovery process and procedures 1.16.6.1.1 Confirm use of virtualization. Note expected platform. 1.16.6.1.2 Confirm use of virtual workstations for DFW authorized Badge Sponsors. Confirm licensing. 1.16.6.1.3 Confirm use of dedicated computer workstations for High Medium High Configurable in Existing Product Not Available Comments 105
Specification Section Requirement Description Priority Exists in Proposed Product badging and administration workstations for the ACMS within the DFW Secure LAN. Configurable in Existing Product Not Available Comments 1.16.6.1.4 Confirm limits to concurrent connections on the web portal. High 1.16.6.2 Confirm provision of a full development environment, a full test environment, and a full production environment. 1.16.7.1 Confirm understanding of F2F format cards High 1.16.7.2 Confirm compliance with FIPS 201 and TWIC High 1.17.1 Confirm understanding of training for DFW Airport Board personnel and other designated personnel 1.17.2 Confirm submission of a training plan. 1.17.3 Confirm understanding of provision of training on the DFW Airport site 1.17.4.1 Confirm Category 1 training on system identical to system to be provided Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 106
Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.17.4.2 Confirm Category 2 field technician training 1.17.4.3 Confirm Category 3 Head-end hardware Administration training 1.17.4.4 Confirm Category 4 System Administration Training 1.17.5 Confirm understanding of importance of training and training metrics that define satisfactory proficiency High 1.17.6 Confirm training desk location with a badging workstation will be provided 1.17.7 Confirm provision of training schedule High 1.17.8 Confirm provision of training materials to DFW a minimum of ten (10) days prior to training High 1.17.9 Confirm understanding of System Pre-Acceptance training, Follow-up Training, and Factory Certification Training High Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 107
Specification Section Requirement Description Priority Exists in Proposed Product Configurable in Existing Product Not Available Comments 1.17.10 Confirm provision of professional training videos and training class session recordings High 1.18.1 Confirm understanding of proposal requirements for Maintenance during Warranty and Extended Warranty and Maintenance 1.18.2 Confirm one (1) year warranty 1.18.2.1 Confirm understanding of Final Acceptance 1.18.2.2 Confirm understanding of Emergency Warranty work 1.18.2.3 Confirm Import Updates during warranty period High 1.18.2.4 Confirm provision of proposal of Maintenance plan during warranty period 1.18.3 Confirm tie-ins shall not invalidate warranty High 1.18.4-7 Confirm conformance to Response times, critical versus non-critical High Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 108
Specification Section Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification Requirement Description Priority Exists in Proposed Product 1.18.8 Confirm Warranty and Maintenance Log will be maintained. 1.18.9 Confirm understanding that DFW Airport Board reserves right to determine level of criticality of failure/outages 1.18.10 Confirm upgrades will be provided as approved by DFW Airport Board 1.18.11 Confirm that Contractor shall provide notification of possible upgrades 1.19 Confirm proposal for Extended Warranty and Maintenance will be provided 1.20.1 Confirm provision of eighty (80) hours of on-site assistance after acceptance on an on-call basis 1.20.2 Confirm provision of eighty (80) hours of on-site assistance for programming changes, Service, or break fixes to the ACMS to be used after the final acceptance of High High High Medium Configurable in Existing Product Not Available Comments 109
Specification Section Requirement Description Priority Exists in Proposed Product the system Configurable in Existing Product Not Available Comments Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 110
Appendix F Typical DFW Airport Board Computer Specifications OptiPlex 7010 Desktop Base Unit: OptiPlex 7010 Desktop Base (225-2782) Processor: 3rd Gen Intel Core i5-3470 Processor (6MB, 3.2GHz) w/hd2500 Graphics, Dell Optiplex 7010 (319-0912) Memory: 8GB, NON-ECC, 1600MHZ DDR3,2DIMM,OptiPlex (317-8987) Keyboard: Dell USB KB, English, WIN7/8, OptiPlex and Precision Desktop (331-9586) Monitor: No Monitor Selected, Dell OptiPlex (320-3704) Video Card: 1GB AMD RADEON HD 7570, w/vga,optiplex, LP (321-0141) Hard Drive: 320GB, SATA HDD, 2.5inch, 7200RPM,Optiplex S/D (342-4712) Operating System: Windows 7 Professional,No Media, 64-bit, OptiPlex, English (421-5606) Operating System: Windows 7 Label, OptiPlex, Fixed Precision, Vostro Desktop (330-6228) Operating System: Dell Client System Update (Updates latest Dell Recommended BIOS, Drivers, Firmware and Apps),OptiPlex (421-5334) Operating System: Software, DDPA (Dell Data Protection Access), version 2.3, OptiPlex x010 (421-8276) Mouse: Dell MS111 USB Optical Mouse,OptiPlex and Fixed Precision (330-9458) TBU: Intel Standard Manageability, Dell OptiPlex 7010 (331-6245) CD-ROM or DVD-ROM Drive: 16X DVD+/-RW SATA, Data Only, OptiPlex 9010 (318-1540) CD-ROM or DVD-ROM Drive: Thank you for Choosing Dell (318-2231) Sound Card: Heat Sink, Performance, Dell OptiPlex 7010 Desktop (331-6243) Speakers: Internal Speaker, OPtiplex (318-0319) Cable: OptiPlex 7010 Desktop Standard PSU (318-1892) Cable: Regulatory label, Mexico, for OptiPlex 7010 Desktop (331-7358) Cable: Enable Low Power Mode for EUP Compliance,Dell OptiPlex (330-7422) Documentation Diskette: Documentation,English and French,Dell OptiPlex (331-2030) Documentation Diskette: Power Cord,125V,2M,C13,Dell OptiPlex (330-1711) Bundled Software: No Productivity Software,Dell OptiPlex,Precision and Latitude (421-3872) Factory Installed Software: No ESTAR Settings, OptiPlex (331-8325) Feature Resource DVD contains Diagnostics and Drivers for Dell OptiPlex 7010 (331-6251) Service: Dell Limited Hardware Warranty Plus Service Extended Year(s) (995-4303) Service: Dell Limited Hardware Warranty Plus Service Initial Year (995-4093) Service: ProSupport: Next Business Day Onsite Service After Remote Diagnosis 3 Year Extended (995-2473) Service: ProSupport: Next Business Day Onsite Service After Remote Diagnosis Initial Year (995-0923) Service: Thank you choosing Dell ProSupport. For tech support, visit http://support.dell.com/prosupport or call 1-866-5 (989-3449) Service: ProSupport : 7x24 Technical Support, 3 Year Extended (995-2633) Service: ProSupport : 7x24 Technical Support, Initial (995-1553) Misc: 1 W ready mode - exceeds FEMP 3W recommendation. Mode can be disabled in BIOS. OptiPlex (310-1959) Misc: Tech Sheet, Eng,Dell OptiPlex 7010,Factory Install (331-7571) Misc: Shipping Material for System,Desktop,Dell OptiPlex 990 (331-1269) Intel Core i5 Desktop Sticker (331-1566) Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 111
Appendix G DFW Access Control Management System (ACMS) Concept of Operations (ConOps) Preliminary Report Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 112
DFW Access Control Management System (ACMS) Concept of Operations (ConOps) Preliminary Report July 2013
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 TABLE OF CONTENTS 1. Scope... 1 1.1. Document Overview... 1 1.2. System Overview... 2 2. Reference Documents... 3 3. Current System... 3 3.1. Background, Objectives and Scope... 3 3.2. Operational Policies and Constraints... 3 3.3. Description of the Current System... 4 3.4. Modes of Operation for the Current System... 8 3.5. User Classes and Other Involved Personnel... 12 3.6. Support Environment... 12 4. Justification for and Nature of Changes... 12 4.1. Justification of Changes... 13 4.2. Description of Desired Changes... 14 4.3. Priorities Among Changes... 16 4.4. Changes Considered but not Included... 17 4.5. Assumptions and Constraints... 19 5. Concepts for the Proposed System... 19 5.1 Background, objectives, and scope... 19 5.2 Operational policies and constraints... 20 5.3 Description of the proposed system... 20 5.4 Modes of operation... 24 5.5 User classes and other involved personnel... 25 5.6 Support environment... 26 Not to be copied or distributed without the permission the of the DFW Airport Board. Page i
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 6. Operational Scenarios... 26 6.1. New Company Package Operational Scenario... 27 6.2. Employee ID Badge Operational Scenario... 35 6.3. Authorized User Login Operational Scenario... 44 7. Summary of Impacts... 52 7.1 Operational impacts... 52 7.2 Organizational impacts... 52 7.3 Impacts during development... 52 8. Analysis of the Proposed System... 53 8.1 Summary of improvements... 53 8.2 Disadvantages and limitations... 53 8.3 Alternatives and trade-offs considered... 53 9. GLOSSARY... 54 Not to be copied or distributed without the permission the of the DFW Airport Board. Page ii
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 1. SCOPE U.S. airports must comply with strict federal regulations when issuing credentials (security badges) to airport and airline employees, tenant employees, contractors, and other people requiring access within the facility and on the site. Requirements include obtaining fingerprints ( biometric data ) plus detailed biographical information in order to obtain Criminal History Record Checks (CHRC) and Security Threat Assessments (STA) prior to issuing credentials. Currently, the Dallas/Fort Worth International Airport (DFW) Access Control Office (ACO) relies extensively on manual processes, including redundant data entry into multiple systems and visual inspection of paper documents. These processes are expensive, time consuming, and error-prone. Mistakes can cause improper badge issuance, resulting in possible security breaches and/or costly disciplinary action by TSA. The problem is exacerbated by continuing revisions in federal regulations and the relatively primitive state of the data delivery systems used by the agencies performing security checks on badge applicants. The key to increasing credentialing security and efficiency for services is a software and operational solution that streamlines and integrates controls and data transfer over the multiple systems currently used in the credentialing process. An advantage of an integrated solution is that it can readily be adapted to changes in processes and regulations as transportation security directives evolve. Any system procured will become the foundation for future technologies such as biometrics and interoperability. As such, it is vital that the investment provide the flexibility and adaptability to meet the requirements of today and the challenges of tomorrow This document defines the Concept of Operations (ConOps) for the Access Control Management System (ACMS) for DFW. The ACMS development effort includes implementation of workflow management and an identity management and credentialing system, as well as the integration of existing DFW ACO systems. 1.1. DOCUMENT OVERVIEW A Concept of Operations (ConOps) will serve as the foundation of the operations for the new ACMS. It will describe the way the ACMS will work from the user s perspective. It will include the user description and will summarize the needs, goals, and characteristics of the system s user community. This ConOps describes the ACMS functional characteristics, the general procedures for operating the system to handle the applications and processes for the establishment of a New Company, for an Airport Employee ID Badge Application (new or renewal/replacement), and for the functions and applications related to those processes. The ConOps is based in large part on meetings and discussions with DFW Access Control Office and IT Staff personnel, DFW documentation, and industry standards, guidelines and best practices. The purpose of this ConOps document is to communicate the user s needs for and expectations of the ACMS, and to communicate an understanding among stakeholders as to the high-level, intuitive operation of the system. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 1
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 1.2. SYSTEM OVERVIEW The ACMS will be implemented as a new system to serve as the central hub of the badging/credentialing process with interfaces to the Automated Access Control System (AACS) System and with other systems interfaced as spokes in a hub-and-spoke logical topology. The rationale behind this recommendation for the ACMS as the nexus of the system is based on the increased potential of airport security issues related to identity. Authentication of an airport employee s identity is a fundamental component of the physical access control process. It is vital that the process is thorough and to ensure that access is not granted to unauthorized personnel that have not been thoroughly vetted and approved. The ACMS enables issuance of secure and reliable forms of identification and access credentials. The figure below shows the concept of the ACMS integrated with DFW ACO systems. Figure 1 ACMS Block Diagram The ACMS will control the issuance and renewal of secure employee ID badges while automatically enforcing the business rules and workflow of DFW s Airport Security Program (ASP) and the Regulations and Security Directives (SD) issued by the Transportation Security Administration (TSA). It will have the functionality to manage ACO personnel acting in the Trusted Agent (TA) role to ensure that only authorized users are allowed to access and update badge holder information in the ACMS following requirements set forth in TSA Security Directive 1542-04-08G (et.al.) The ACMS will provide the following regulatory-related functions for the ACO: Not to be copied or distributed without the permission the of the DFW Airport Board. Page 2
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Assurance that an individual has met the criteria specified in SD 1542-04-08G prior to requesting CHRC or STA approval Automation of watch list matching Control over the assignment of Escort privileges based on SD 1542-04-08G Enforced separation of duties to ensure that no single individual has the capability to issue a badge without the participation of another authorized person Management of authorized signatory transactions (AER, Sponsors, ACO Supervisor and Staff) Tracking of training requirements The ACMS is discussed in much greater detail in Sections 5 and 6 of this document. 2. REFERENCE DOCUMENTS 1. The DFW Access Control Management System (ACMS) Implementation Plan, January 2012. 2. Biometric Airport Security Identification Consortium (BASIC) Concept of Operations (ConOps), Version 6.0, February 2011. 3. Automated Airport Badge/Credential System Best Practices, Airport Consultants Council, August 8, 2012. 4. Federal Information Processing Standards (FIPS) Personal Identity Verification (PIV) of Federal Employees and Contractors 201-2, DRAFT Publication, National Institute of Standards and Technology, March 2011. 3. CURRENT SYSTEM 3.1. BACKGROUND, OBJECTIVES AND SCOPE The current process at the DFW Access Control Office (ACO) has evolved over the years based upon the requirements and business processes at DFW as well as changing TSA regulations. The process has multiple redundancies, mostly to assure that all information is fully vetted and verified for all submitted forms of identification. The process has become overly burdensome for the ACO Trusted Agent (TA) and data reentry has become commonplace with numerous disparate systems requiring the input of the same data. The process of repeated data entry has become a source of possible conflict and potential errors in the data between systems. The current workflow has been analyzed and the objectives of this report are to provide opportunities to streamline and improve the ACMS and Identity Management System. 3.2. OPERATIONAL POLICIES AND CONSTRAINTS Not to be copied or distributed without the permission the of the DFW Airport Board. Page 3
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 As will be further discussed in Section 4, the Security for the aviation and transportation sectors requires airports and airlines to comply with stricter policies, regulations, and guidelines for credentialing airport employees, airlines, tenant employees, contractors, and other frequent airport visitors. Directives such as TSA (Transportation Security Administration) Title 49 of the CFR (Code of Federal Regulations), Security Directive 1542-04-08 et.al., and FIPS (Federal Information Processing Standard) 201 as well as the DFW Airport Security Program and Airport Board Operational requirements rely on multiple layers of checks and balances. The current, manual DFW credential issuance process is cumbersome and introduces opportunities for erroneous input during the badging and identity management process. 3.3. DESCRIPTION OF THE CURRENT SYSTEM The DFW badging process involves the use of multiple, disparate systems and data points. These systems and processes are listed below. NDI No Device Issuance The NDI is a spreadsheet that is created by the Accounting department of the DFW Airport Board. This list contains all companies that are past due to the Airport Board for invoices or other financial obligations and individual tenant employees who have unpaid fees. If a company is on the NDI list, no badges or other items controlled and distributed by the ACO may be issued to personnel from that company until the financial issue is resolved. If an individual tenant employee is on the NDI list, no badges or other items controlled and distributed by the ACO may be issued to the individual tenant employee until the financial issue is resolved. The list is consulted for all badge applications and renewals, and no badges can be issued while a company is on the NDI. The verification of the NDI is a manual process. IRMS Inventory and Revenue Management System The IRMS performs several functions for the ACO. First, it is the clearinghouse for all credit card transactions for the ACO. Credit card transactions include the on-file credit card for a specific company or the charging of fees to an individual s credit card for badging and fingerprinting fees. The IRMS also acts as a queuing system for all people entering the ACO and assures a First In - First Out (FIFO) process. In addition to the credit card clearing and the queuing, the IRMS also acts as a revenue and activity reporting tool as well as an asset management system for all of the items distributed by the ACO such as airside vehicle stickers, Genie remote gate openers, keys, etc. The IRMS is a custom application written for DFW by a software developer. The IRMS also performs inventory control of serialized products issued by the ACO to track the entire lifecycle of the serialized product from initial input into the IRMS through its return and destruction. The IRMS also notifies the ACO TA the specific serial number to issue next and it notifies the ACO Manager via email when a serialized product is issued out of sequence. ia-thenticate The ia-thenticate system Is used to scan identification documents to verify authenticity. The scan only confirms that the ID is authentic, but does not store or copy the ID into the system. All IDs are copied and paper copies are kept as part of the overall badging process. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 4
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Fingerprinting System DFW is currently using the Greenbit DactyScan 84C fingerprint scanners to capture the fingerprints of applicants. The Fingerprinting System captures the electronic fingerprinting of applicants in order to submit information for the Criminal History Record Check (CHRC). The tracking of the current statuses of CHRC and STA is done manually by checking the Telos ID web site and manually entering the biographic data into the Telos ID web-site. The notification of people who have cleared the STA and CHRC is also done manually via email. Badging Form and Data The current DFW Badging Form is available on the Internet at the following location: https://www.dfwairport.com/apps/aboa/index.php The ready availability makes this form easily accessible, but also requires that each form be vetted to assure that it is legitimate as any person with a PC and a printer can access this form and fill it out. The current DFW Airport Identification/Access Badge Application form is a fillable PDF that allows for the applicant biographic information to be entered and printed, but does not allow for storage of the information entered or transfer of the information to the ACO for use during the badging process. All information must be reentered into the system when the applicant arrives for badging. The form requires the following information to be input or selected: Page 1 Name Last, First, and Middle Social Security Number Birth Date Month, day, and year Name of Employer From Pull-down menu Dept/Branch optional Alias names (up to 3) Last, First and Middle Names Gender From Pull-down menu Race - From Pull-down menu Eye Color - From Pull-down menu Hair color - From Pull-down menu Height Foot and Inches Weight In pounds Job Title Text Entry limited characters Company Employee Number Optional Driver s License/State ID Number including State of Issuance and Expiration Date Current Mailing Address including Address, Apartment/Suite Number, City, State, and Zip Not to be copied or distributed without the permission the of the DFW Airport Board. Page 5
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 A current street address is also available or can be set to match the Current Mailing Address Phone Numbers including Business Phone, Daytime Phone (can be set to match business phone), Cell Phone, and Home Phone Personal Email Address Business Email Address Country of Birth If Country of Birth is USA or Mexico, then form prompts for State of Birth Country of Citizenship Page 2 The form will ask if the applicant is a Law Enforcement Officer or a Federal Employee who is either a Naturalized US Citizen or a US citizen who was born abroad. For US Citizens born in the US, it will request a Passport if applicable, US Passport Number and Expiration Date. For non-us Citizens, the form requests one of the following: Alien Registration Number with Expiration I-94 Arrival/Departure Record Number with Expiration The form will ask if the applicant holds a Non-Immigrant VISA from a foreign country and if the applicant holds one, the applicant is required to provide the VISA control number. For US Citizens born abroad or naturalized US Citizens, it requests one of the following: Page 3 US Passport Number with Expiration Certificate of Naturalization (Form N-550 or N-570) Certificate of US Citizenship Number (Form N-560 or N-561) Certification of Report of Birth (Form DS-1350) Consular Report of Birth Abroad (Form FS-240) Certification of Birth Abroad (Form FS-545) Page 3 is the listing of Disqualifying Criminal Offenses Page 4 Page 4 is the Security Training Notice, 1542 Portal Rules Notice, and Privacy Act Notice Not to be copied or distributed without the permission the of the DFW Airport Board. Page 6
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Page 5 Page 5 is the notification to the badging applicant that all data is certified to be correct and confirming understanding of the process and the notice that the SSA will release the SSN and full name to the TSA and the Office of Transportation Threat Assessment and Credentialing (TTAC) and contains the applicant s signature and signature date Page 6 Page 6 is Employer Instructions. Page 7 Page 7 is a To be completed by Employer page and contains the following information: Page 8 Name of Employer Employer s Current Mailing address including street address, City, State, and Zip Employer s Current Street address including street address, City, State, and Zip Business Phone and Fax Numbers Web-Site Address Authorized Employer Representative information including Name (First, Middle, and Last) Authorized Employer Representative Signature Contact information for Authorized Employer Representative including email address, business phone, fax number, and cell phone. Page 8 is DFW Authorized Sponsoring Authority Instructions. Page 9 Page 9 is a To be completed by DFW Authorized Badge Sponsor page and contains the following information: Badge color -Check Boxes for: Yellow SIDA Airline Tenant Sponsored Red SIDA Government Sponsored Blue SIDA Airport Board Sponsored Green Non-SIDA Sterile Access Only White ID Board Employee/Contractor Airport Board Sponsor Badge Expiration Check Boxes for: Not to be copied or distributed without the permission the of the DFW Airport Board. Page 7
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 2 Year Expiration 1 Year Expiration 6 Month Expiration 3 Month Expiration Other Dates less than 1 Year Expiration with Date entry area Access/Clearance Codes Pages 10 and 11 Blank areas for up to twenty-one (21) Access Codes with one space for initials Sponsoring Authority information including Name (First, Middle, and Last) Sponsoring Authority Signature, signature date, signature code and company code Contact information for Sponsoring Authority including email address, business phone, fax number, and cell phone. These pages are checklists as noted for ACO Use Only and have checkboxes for all required information to track the information provided. 3.4. MODES OF OPERATION FOR THE CURRENT SYSTEM The existing process is predominantly a manual process which is time and paper intensive. The process begins with the Applicant going on-line to the badge application and typing in all of the information required in the fillable PDF. The Applicant can then preview the application and verify the data prior to printing, but any errors in the information will require the applicant to restart filling the application from scratch, with no ability to edit the previously entered information. Likewise, if the applicant spends significant time reviewing the application, the form will automatically close and the information will be lost permanently. Once the application is filled and printed, the applicant must sign and date the document and take the document to the Authorized Employer Representative who reviews the application and signs and dates the signature. Once that step is complete, then the applicant must take the paperwork to the DFW Authorized Sponsoring Authority for additional information and signatures. By the time all of this is accomplished, it is quite common that this initial process may take several hours to several days of time. This process is similar for both new badges and renewals, and the time element is common for both. Once all of the forms are completed and all of the signatures attained, then it is time for the Applicant to take the completed paperwork along with two (2) forms of Identification to the Access Control Office (ACO). Once at the ACO, new badge applicants will begin the overall process of having fingerprints taken for CHRC and STA, while renewals will move directly to the badging portion of the process. We will focus on the new badge applicants first. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 8
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 The processes discussed in detail below were derived from several meetings with ACO personnel and from spreadsheets provided by ACO that itemize the current badging processes. The processes span from 1 to 30 days, with Day 3 as a waiting day. The following process description is referred to as Day 1 current badging process for applicant fingerprinted and cleared by DPS and its workflow is shown in the Badging Flow Chart in Appendix A. New badge applicants will arrive at the ACO and get in line for the main desk. Once at the desk, the applicant s paperwork and forms of ID will be verified. In addition, the Applicant and the Applicant s company will be compared to the No Device Issuance (NDI) list to determine if the applicant or company has any outstanding debts to DFW; if not on the list, the Applicant is allowed to proceed. If all appears to be in order, the applicant will be entered into the Inventory and Revenue Management System (IRMS), any costs associated with the badging and fingerprinting will be either charged to the company credit card on file (if applicable) or will be paid by the individual if a credit card is not on file. At the same time, the applicant will be entered into a queue that is part of the IRMS that operates on a First In First Out manner, so all customers are served in the order they arrived at the ACO. The Applicant s two forms of ID will be verified on the ia-thenticate system. After authentication, the applicant will take a seat and wait for the next available ACO TA. Once an ACO TA reaches the Applicant s name on the queue, the ACO TA will go out to the waiting area and take the Applicant back to their workstation area. There, the ACO TA will review the Applicant s information and re-verify the two forms of ID to assure the person present is the applicant. If all appears to be in order, the ACO TA will then scan the IDs and save them to a specified location on the Shared drive and then enter information for fingerprinting into the Fingerprinting System, verify the data, and then capture the Applicant s fingerprints. Once the fingerprints are captured, the Applicant is given the Training Books that relate to the training and the security training test they will receive if the CHRC and STA are cleared, and the Applicant departs the ACO and awaits an email indicating that they can return. The ACO TA will then give the application to a Quality Control (QC) TA who will enter the applicant s biographic information into the Telos ID web-site, attach the fingerprints, attach the ID documents and upload the information to the TSA and then file the application in the Daily Pending File. Once these tasks are complete, then the ACO TA can proceed with assisting other customers. The following process is referred to as Day 2 current badging process for applicant fingerprinted and cleared by DPS in the Badging Flow Chart in Appendix A. Day 2 represents back office functions at the ACO, and do not directly involve the applicant. The ACO QC TA will begin with the Verification of the Security Threat Assessment (STA) information using the Telos ID website, which is a Quality Assurance Procedure. The ACO QC TA will enter the applicant s biographic information, attach the fingerprints and ID documents, and then submit the data to TSA via Telos ID for vetting. Once the verification is completed, the Fingerprint Scorecard information will be updated noting the accuracy of the information entered The ACO QC TA will also gather Criminal History Record Check (CHRC) results information and the associated ID Application Information. Any CHRC results that are cleared will have the clearance information written on the application and the application will be filed in the Pending file. If the CHRC comes back with a Criminal history, the application and CHRC information will Not to be copied or distributed without the permission the of the DFW Airport Board. Page 9
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 be given to a DPS Police Sergeant for adjudication. If the case is adjudicated and cleared, then the application will be filed in the Pending file. If the applicant cannot be adjudicated, then the Police Sergeant will provide the application to an ACO Supervisor who will add the Applicant s name to the Do not Escort list, prepares a Do Not Issue record for upload to TSA, and files the denied application. Day 3 was omitted from the original process spreadsheets provided by ACO and hence is considered a waiting day. The following process is referred to as Day 4 and 5 for applicants fingerprinted and cleared by DPS in the Badging Flow Chart. For SIDA badges, the ACO TA will check the TSCH website for the approved STA. If the STA is approved, the record approval date is recorded on the application. If the CHRC and STA are both approved and cleared, then the Employer is notified that the Applicant can return within the prescribed time frame for SIDA training, and the Application is forwarded to the Training Room for the creation of a SIDA Applicant login and password in the E-learning portal. The SIDA Application is filed in the Ready to be Issued File. For Non-SIDA badges, once the STA is received, then the application is filed in the Ready to be Issued File and notification is sent to the Employer. The following process is referred to as Day 5 thru 30 for applicant fingerprinted and cleared by DPS Page 1 of 2 in the Badging Flow Chart. Upon receiving the email indicating clearance for the CHRC and STA, the applicant can then return to the ACO. Once again, the applicant will stand in line at the front desk and is required to have two (2) forms of Identification. While these do not have to be the same two forms submitted previously, it is recommended that the same two forms be presented. The Applicant and the Applicant s company will once again be verified against the NDI list, and the IDs presented will be authenticated with the ia-thenticate system. The application will be retrieved from the Ready to be Issued file and reviewed for completeness, including the CHRC and STA. If all is in order, then the applicant will be entered into the IRMS queue for training, and the applicant will await an E-Learning portal machine for training. Once the E-learning Portal computer is available, then the applicant can take the training and associated test. If the applicant gets all answers correct, they pass and will receive a SIDA Training Course Certificate and be put in the queue for badge issuance. If the Applicant fails, they can retake the test up to three (3) times that day until they pass. If they fail three (3) times in a day, then they can come back up to two (2) additional days and retake the test up to three (3) times per day. If the applicant fails the test nine times, they may be given one more chance to pass if they reapply. If the applicant cannot pass the test, the applicant will be put on the Do Not Escort list, a notification of the updated Do Not Escort list will be sent out, the employer will be notified, and a Did Not Issue: record will be prepared and sent to TSA. Applicants that pass the SIDA Training will proceed to the next step in the badging process. The following process is referred to as Day 5 thru 30 for applicants fingerprinted and cleared by DPS Page 2 of 2 in the Badging Flow Chart. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 10
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 The ACO TA will take the Applicant to the ACO TA s area and review the Proof of Identity documents, review the CHRC and STA approvals, and enter the application data into the Automated Access Control System (AACS) Identity Management database. Please note that this is the first time any data is entered into the AACS. Once the data is entered, then the ACO TA will capture a photo of the applicant, print the badge, and then give the badge to the applicant. The badge applicant will review the badge and the information on the badge. If any errors are found, the errors will be fixed and the badge will be reprinted. If the badge is a non-sida type, then the applicant will depart the ACO with the non-sida badge. If the badge is a SIDA badge, the ACO TA will then enter the applicant s data into the biometric system for Employee Portal access. This entails a card read to capture the card number for database indexing, and taking multiple samples of the biometric (hand geometry). Once this is done, the applicant can test the card with biometric and confirm correct function. If the card and biometric is functioning correctly, then the applicant departs the ACO. If not operating correctly, the ACO TA will verify the data entry and resample the biometric as required until the card and biometric work correctly. After the applicant departs the ACO, the ACO TA will review the AACS Badge Records for accuracy, fix any issues, and then file the application in the Daily Badge Issued file. The following process is referred to as Day 6 thru 30 for applicants fingerprinted and cleared by DPS in the Badging Flow Chart. Day 6 thru 30 is the Quality Assurance portion of the ACO operation. As all information is reviewed during the process, an AACS Error Report is created noting all mistakes or incorrect data entry. The report is reviewed, and then the Badging Scorecard is updated. The AACS STA Upload file is formatted to TSA requirements, zipped in an encrypted Zip file, and uploaded to the TSCH. All of the applications are then filed in the To Be Scanned File. All applications are prepared for document imaging and bar codes are printed. The bar codes are then matched to the scanned applications, and document images are compared to prove legibility and a complete scan. Once this is completed, the applications are filed and prepared for storage at the Records Center, and the Records Center is notified that records are ready for pick-up. In general, the electronic scans are used for reference and records are only retrieved based upon specific requirements. For Badge Renewals, the process is similar, but skips the CHRC and STA, instead starting with the Day 5 through Day 30 flow chart, with the application being presented by the applicant, verifying the forms of ID, verifying the NDI, verifying the completeness of the renewal application, and proceeding through to badge issuance. It should be noted that 15% of badge renewals are fingerprinted again to re-check the CHRC results. As noted previously, there are multiple levels of redundancy and multiple levels of quality assurance. The ACO TA has additional steps beyond what is visible to the badge applicants, and the process is very methodical to minimize error and assure data integrity. However, the process is also labor intensive and requires repetitive data entry into disparate systems that slows the overall process. The next section Not to be copied or distributed without the permission the of the DFW Airport Board. Page 11
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 discusses how the Access Control Management System will harvest data as input by the Applicants and then allow for the data to be shared, reducing or eliminating data entry tasks. 3.5. USER CLASSES AND OTHER INVOLVED PERSONNEL The Badge Applicant has to receive approval from the DFW Airport Board Sponsoring Authority for the access codes to be applied to the requested DFW badge upon approval. This may require the applicant to visit multiple DFW Sponsoring Authorities for approval and manual sign off; the Authority must manually add the access code(s) to the application and initial after the last code applied. This process can also add multiple days to the badging process depending on the number of DFW Authorities that are involved and must sign off. This process of sign off for access codes must be repeated for all Badge Renewals as well as for new applicants. The following are all personnel currently involved with an application or applicant during the badging process: Sponsoring Authority: DFW Airport Board Employee who is the responsible party sponsoring the applicant and badge and also provides the access/clearance codes for their responsible areas. Multiple sponsoring authorities may be involved based on the applicant s access requirements. ACO TAs: The ACO frontline responsible for accepting, entering and processing the Applicant s information and is also responsible for the direct contact with the applicant. ACO QC TA: ACO back of house employees that process the STA and CHRC background and history checks and reviews the information from the designated aviation channeler and enters the approval codes or forwards the information to DPS for further review. DPS Officer: Law Enforcement official that reviews flagged applications and rap sheets for approval for a badge or denial. ACO Manager: Provides overall quality control of the process. ACO Supervisor: Provides quality control, manages the Do Not Escort List, employer notifications and files the applications and oversees the Did Not Issue record for upload to TSA. 3.6. SUPPORT ENVIRONMENT The Airport IT Division allocates resources to provide day-to-day support for most of the existing applications and systems in use by the divisions, sections and units who will become active participants in the new ACMS. Currently, this includes technical support, system maintenance, backups/archival of data, equipment/hardware upgrades, and spares inventory. The systems, equipment and applications used by the ACO are maintained by several internal groups at DFW and some external as well. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 12
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 4. JUSTIFICATION FOR AND NATURE OF CHANGES 4.1. JUSTIFICATION OF CHANGES The nation s current threat level for the aviation sector has forced airports and airlines to comply with stricter policies, regulations, and guidelines for credentialing airport employees, airlines, tenant employees, contractors, and other frequent airport visitors. As noted in the Scope section of the document, Airports in the United States must comply with strict Federal Regulations (49 CFR 1542.209 and 211) when issuing credentials (security badges). The regulations are clearly established, and many of the requirements are listed in the Operational Policies and Constraints portion of the document. However, despite the same regulations applying to each airport, the processes used at each airport tend to vary widely based upon the operational requirements of each facility. Many of these are based on the overall operation of the facility; much of which is determined by the overall size of the badge population as well as the overarching business processes used at the facility. DFW Airport is the fourth busiest airport in the World in terms of aircraft movements, and eighth in the world in terms of passenger counts. As one of the Category X airports in the United States, DFW Airport employs a large number of people on the site. Any of these employees that require unescorted access into the Sterile or SIDA areas of the facility are required to be badged as noted above. Due to the sheer quantity of people on the site, the overall badging population is necessarily large, numbering in the tens of thousands. In addition, the process at DFW requires numerous checks and balances including multiple levels of approval. In order to facilitate the badging of the large population, DFW has put the badge form on the Internet at https://www.dfwairport.com/apps/aboa/index.php. This on-line badge application allows for people requiring access to complete and print the form. Once printed, the applicant will need to sign the forms, take the form to the Authorized Employer Representative for signature, and then to the DFW Authorized Sponsoring Authority for signature and additional data. Once all of this is completed, then the applicant can proceed to the DFW Access Control Office (ACO). The process of inputting the data that is on the forms is a manual process, which then requires multiple levels of Quality assurance to manually verify the data integrity. Overall, the process is time consuming for both the badge applicants and requires significant manpower for the DFW Airport Board. The process is defined further below. The primary function of the ACMS is to allow for the capture of data to reduce or eliminate the manual entry of data and to automate the interfaces to other systems used as a part of this process to prevent the introduction of data errors due to the re-entry of data. Through this process, one of the benefits should be a decrease in the processing time of each applicant, which would lead to a higher level of customer service and decreased waiting times. Also, with the increase in electronic data and storage, the requirements for back office functions such as the Quality Assurance and scanning will be greatly reduced. Overall, these will allow for a more efficient process that reduces overall manpower requirements, allowing for the personnel that have performed some of the back office tasks to be utilized for other roles and responsibilities. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 13
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 An added benefit to the reduction or elimination of a paper-based system will be that the overall process could also be viewed as a green initiative. Not only will it reduce overall paper consumption, it will greatly reduce processing such as scanning and reduce the volume of shredding of completed documents once the electronic storage process is completed. This will lead to a cost savings in regards to the paper document shredding, which can be fairly expensive. 4.2. DESCRIPTION OF DESIRED CHANGES Proposed Data and Workflow One of the main objectives of the DFW Airport Board is to streamline the overall process to reduce or eliminate repeated data entry, to assure data integrity, to automate data flow and sharing between the various systems, to go to a paperless system to the greatest extent possible, and interface with the DFW s select DAC, Telos. The workflow will be optimized to create a unified data entry process that allows for data to be entered once, verified once, and then shared to the disparate systems and verified between all of the data collected. One concept discussed has been to move the data entry to the Authorized Signer or Applicant Level. As noted previously, all applicants currently have to fill out the form on-line, but the data is not maintained or saved, so this means that the data is lost after the initial entry and has to be re-entered multiple times. The proposed workflow would require for the data flow to be defined and provide a means to capture data at all data entry points and securely route that data appropriately. The data flow includes data entry points that require manual data entry. The data is intended to be additive so that all data entered is maintained and additional data is added at each step to provide the completed data record. Re-entry of data is purposely avoided to reduce repetition and also assure data consistency. Some data, such as employer, will be automated and will be tied into the overall process to enforce specific rules such as who can be the Authorized Employer Representative and who can act as the DFW Authorized Sponsoring Authority. These processes and controls will assure proper handling of paperwork within a predefined sequence and also track progress in the system. For specifics on the proposed workflow of the new system, please refer to Reference 1, The DFW Access Control Management System (ACMS) Implementation Plan, January 2012. The new ACMS will integrate to multiple systems. Those integration points are briefly discussed below. Integration Point 1 The No Device Issuance (NDI) spreadsheet will be integrated to the employer authorization and applicant portal and to the IRMS to allow for automatic and continuous checking of companies against the NDI list at each stage of the badging process. ACO Supervisors or Manager will remove tenant employees and companies from the NDI list once they have been cleared by the DFW Finance Department. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 14
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Integration Point 2 The web portal will be integrated to the email system to allow for emails to be sent out to indicate status. The emails may include, but are not limited to, notification of completing the initial badge application entry to the applicant and a second email noting that the badge application is completed and the applicant can proceed to the ACO. Additional emails could include notifications to Authorized Employer Representatives, DFW Authorized Sponsoring Authorities, and notices to individual badge holders 30 days prior to badge expiration. Integration Point 3 The web portal will be integrated to the Inventory and Revenue Management System (IRMS) to allow for a listing of all active badge applications for the purposes of creating a queue within the IRMS and also allow for verification of an active, valid badge application. The integration will also include inventory control functions. Integration Point 4 - Upon selection of a badge applicant name within the ACMS and payment of the fees, the IRMS will be integrated to the ACMS to provide the name information to allow for the data for that person to be pulled from the Secured Web Portal to the ACMS to begin the badge record for that person. Integration Point 5 The ACMS will be integrated to the Authentication System to queue the scanning, and authentication of the forms of ID presented at the ACO. There will also be a capture of a reference biometric for the Applicant that will be used to identify the applicant and associated ACMS records to be used on subsequent trips to the ACO. Integration Point 6 The Authentication Equipment used to authenticate IDs presented at the ACO will also be used as the scanning means for inputting the images of IDs into the ACMS. The scanning equipment will be integrated to the ACMS to store the image plus any authentication information provided as part of the authentication process. The ACMS shall also verify that the names and information provided on the IDs matches the information as entered in the ACMS database. Integration Point 7 The ACMS will be integrated to the Fingerprinting System to allow for data transfer as required to allow for the submission of data for the CHRC. Integration Point 8 The ACMS shall be integrated to the DAC to get STA results so that all STA clearances received are automatically incorporated into the correct badging applicant record. At present and because of TSA restrictions, the CHRC results process will remain a manual process. An ACO TA will download the CHRC results from TSA s Finger Print System (FPS) and then the documents will be uploaded into the Applicant s ACMS record. Integration Point 9 The ACMS shall be integrated with the email system to provide notification once a badge applicant is cleared and may return for training. Integration Point 10 The ACMS shall be integrated with the E-Learning portal to provide names and required training information to the E-Learning Portal to allow for specific training to occur based upon access and badge type. The ACMS will automate the process for assigning login IDs and passwords to the E- Learning Portal. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 15
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Integration Point 12 The ACMS shall be integrated with the E-Learning portal to allow for all training information including training type, pass/fail, and time and date to be entered into the correct badging applicant record. Integration Point 13 The ACMS shall be integrated to the AACS to allow for the transfer and synchronization of all required data such as access codes, card numbers, expiration dates, etc to allow for the badge to operate on the access control system. This integration will also allow for error handling, fault recovery, changes, upgrades, or replacement of the AACS without impacting the operation of the ACO. Integration Point 14 The ACMS shall be integrated to the Biometric System to allow the transfer and synchronization of all required data such as card number and biometric template to allow for the badge and biometric to work at the Employee Portals. As noted earlier, the workflow will change based upon the unified data entry process that allows for data to be entered once, verified once, and then shared to the disparate systems and verified between all of the data collected. The manual entry of information within the ACMS will be moved from the ACO TA to the badge applicants, the Authorized Employer Representative, and the DFW Authorized Sponsoring Authority. This streamlined process will allow for all data to be collected into a single database, and assure data integrity as all data will be from a single source which will prevent data variations and discrepancies. The removal of the manual entry of data at the ACO will reduce the overall time required for servicing each customer, which will improve the throughput of people through the process. The automation of processes will also assure that proper notifications will occur upon the completion of the various steps, also reducing the time between each step in the process. 4.3. PRIORITIES AMONG CHANGES Currently, DFW has multiple, disparate systems utilized as part of the overall badging process including functions for credentialing, asset management, and access control. Most of the current processes are not automated; the Access Control Office (ACO) manually performs all credential handling/management, inventory and revenue control and reporting functions in a complex and labor intensive fashion as detailed in Section 3 above. The process involves multiple systems and entails input of the same data into each individual system. The current business practice is inefficient in that it is labor-intensive with many repeated steps especially in the entry of data into these systems. The repeated, manual process invites data entry errors and introduces unnecessary risk into the entire badging process (ID/credential management cycle) of application, enrollment, biometric handling, adjudication, issuance, and reconciliation. Specifically, the current situation points to the need for an automated system that will meet the DFW stakeholder needs identified below: Reduction of manual, duplicated data entry Reduction of processing time Not to be copied or distributed without the permission the of the DFW Airport Board. Page 16
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Identify the Applicant and the Applicant s ACMS records via a biometric Improved queuing management for various type of activities that includes the ability for Applicants to schedule appointments Integrated systems (IRMS, AACS, Badging, Fingerprint, Biometric) with automated data exchanges with the DAC, Telos. Ability to integrate to multiple AACS systems simultaneously Electronic application and approval process Electronic Access Level Approval by Department Heads and responsible parties Improved process audit and reporting Well-defined and automated workflow and processes Scalability to allow for future additional systems and practices In order to improve the process and make it more efficient and secure, it is recommended that DFW automate and integrate the credential management, access control, auditing and reporting functions to form a comprehensive and secure Access Control Management System (ACMS). The proposed ACMS will be a system-of-systems that will provide a unified workflow manager that will serve as a single user interface point, and will integrate with the individual systems that will provide the following functions: end-to-end credentialing, access control, workflow and credential management, auditing and reporting. In addition, the system will apply business rules and provide reporting functions in order to provide compliance with TSA regulations. The ACMS should have at its core an identity and workflow management system that enables to the DFW Airport Board to automate the management of identities and resources across multiple applications and business processes. It represents a category of interrelated solutions that are employed to administer user authentication, access rights, access restrictions, account profiles, and other attributes supportive of users' roles/profiles on one or more applications or systems. The ACMS should map to the business needs of DFW ACO and IT organizations in a way that provides both process and systems integration. While the core capability of an ACMS is much more than just integration, the system must have integration technology as its foundation. Otherwise, the ACMS will not provide for an enterprise-wide solution across multiple domains. The workflow management component of the ACMS software handles both the process integration and control and is the service that tracks an applicant s enrollment case through the full ID proofing and issuance process. It provides a programmable solution to allow the ACO manager to adjust processes and procedures to accommodate changing or emerging requirements. The workflow manager assists in coordinating identity management and access activities, and handles moving an enrollment through to production and issuance. The workflow management system also supports exception processing, such as adjudication services, revocation adjudication services, compliance and audit reporting, and related activities. 4.4. CHANGES CONSIDERED BUT NOT INCLUDED Not to be copied or distributed without the permission the of the DFW Airport Board. Page 17
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 In addition to the data and workflows described above, there are also other features that could be considered to further enhance the overall efficiency of the process. These should be considered to provide better customer service and also provide additional checks and balances in the process. Badge Applicant Web Portal Login The current direction is to provide logins for the Authorized Company Signers and Sponsoring authorities, but to have a public URL to allow for first-time badge applicants to complete the Employee ID Badge application on-line through the web portal. A possible future enhancement would allow for the individual employees or other people requiring airport badges to be provided with unique login IDs. This login ID could be a generic ID, or it could be an individual login that is generated based upon input by the Authorized Employer Representative. If a unique username and password are provided for each person, then this can be used year after year to allow for renewals without having to re-enter all of the information. For example, the first time it is entered, there could be confirmation for each section similar to the current form. For renewals, the system could present the information from the previous application and then have a dialog box for confirming all of the information instead of requiring it to be re-entered. Also, this login ID could also be used by the badge applicant to check status in case they do not have an email address. Scheduling The current system does not allow for scheduling for badge renewals, fingerprinting appointments, or for training; it is performed on a first come, first served basis. The system should provide a scheduling feature to reduce the overall wait time for the badge application process and for training, with scheduled people having priority over walk-in type customers. The ability to schedule personnel throughout the day could smooth out the overall activity in the office, allowing for a more consistent flow of people through the office and reducing overall wait times. Data Verification by Applicant One issue that is common at airports is an error in the data as provided or entered by the badge applicants. While the applicant confirmed all data as part of the initial entry process, it is still possible that information is incorrect. For example, an error in a Social Security Number (SSN) will cause issues in the CHRC and STA checks. If this occurs, not only will the prints be rejected but there will be a cost associated with the resubmission and there is also a minimum waiting period required between submissions, further delaying the process. In order to reduce these issues, other facilities have requested a badge applicant facing touch screen that can display the data for verification and requires for the badge applicant to confirm the data via on-screen buttons, and the pressing of the confirmation buttons is recorded as data in the system. In addition, these screens have also been proposed to be used during the badge printing and acceptance phases. Prior to printing the badge, an image of the badge is put onto the screen so that the person can verify color, expiration date, any endorsements (if applicable), picture, etc prior to the printing. Once the Not to be copied or distributed without the permission the of the DFW Airport Board. Page 18
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 applicant accepts the badge, then it is printed. Once printed, the badge applicant is handed the badge, the badge is tested, and then the badge is accepted by entering the applicants PIN code on the touch screen. The badge image acceptance and the PIN code entry are both stored in the system as data to show the user inputs with date and time stamps. This assures that there is a record in the system that the badge was correct per the applicant and that the applicant received their badge. 4.5. ASSUMPTIONS AND CONSTRAINTS It is assumed that all of the systems noted as part of this document that are involved in the overall badging process can be integrated to allow for automated data transfer. Some of these systems may require specialized or custom interfaces. It is assumed that these interfaces can be accomplished and that all vendors will be able to accommodate the integration. Should a system be found to be unable to be integrated or otherwise incompatible, this could drive the replacement of that particular system. The systems utilized will need to be clearly defined as part of the Request for Proposal process so that the Proposers can review the systems and determine if there are any issues that are foreseen as part of the implementation that have not been defined. 5. CONCEPTS FOR THE PROPOSED SYSTEM 5.1 BACKGROUND, OBJECTIVES, AND SCOPE The basic processes in the ACMS are the establishment of a New Company Profile, the review and approval of applications by Authorized Employee Representatives and Sponsors, badging employees and authorized personnel, and maintaining the lifecycle of the badge through management of renewals or replacements. The ACMS will provide the ability to establish business rules in the credentialing process and to assign access levels and privileges based on roles. In addition it will enable compliance enforcement and will support auditing and reporting functions. One of the main objectives of the ACMS implementation is to streamline the overall credentialing process to reduce or eliminate repeated data entry, to assure data integrity, to assure a single identity for all applicants, to automate data flow and sharing between the various systems, to go to a paperless system to the greatest extent possible, and to provide for an automated interface with Telos or any DAC selected by DFW. The ACMS will correlate the Applicant s biographic information, Identity documents and fingerprint biometrics, and save them as a unique identity. Applicant s bundled information will be sent to Telos for STA and CHRC processing. Ideally, the ACMS will be able to automatically download and store the STA results (green check, red x - need to correct, red x do not issue ) and the CHRC results (clear or not cleared) and take appropriate actions such as notifying the Authorized Employer Representative (AER) and Badge Applicant if either the STA or CHRC is rejected or needs correction. The ACMS workflow needs to be Not to be copied or distributed without the permission the of the DFW Airport Board. Page 19
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 optimized to create a unified data entry process that allows data to be entered once, verified once, and then shared to the disparate systems and verified between all of the data collected. The key to increasing credentialing security and efficiency for services is an ACMS software solution that streamlines processes and integrates controls over the multiple systems currently used in the credentialing process. An advantage of an integrated ACMS solution is that it can readily be adapted to changes in processes, sub-systems and regulations as transportation security directives evolve. 5.2 OPERATIONAL POLICIES AND CONSTRAINTS The ACMS/badging process operational policies are discussed in Section 3.2. The ACMS workflow manager must enforce all TSA regulations regarding the application, enrollment, and issuance of a badge. In addition the system should implement industry guidelines and best practices. An example of this is the FIP-201 Standard recommendation on the separation of Trusted Agent duties. This practice would require that more than one TA be involved in the issuance of any badge, thus eliminating the opportunity for a single person to be responsible for the issuance of a badge. The proposed ACMS will minimize the operational risks and temporal constraints of the current manual badging process through automation. The Applicant, AER and Sponsor can complete and submit the application on-line and will no longer be confined to doing so only during the hours of operation of the airport badging offices. The AER and Sponsor for that individual will be emailed when they need to review and approve an application, and will be reminded of their need for action if they do not respond within a user-defined time frame, thus optimizing the application submittal process. It is expected that the ACMS will increase the badging office productivity, but the processing may be constrained by the number of employees in the badging office at one time. The badging office will no longer be constrained by the time-consuming process of checking the application by hand and manually entering data into the system. This process will now be handled by the ACMS. The application data will be verified for format and (in a limited capacity) content as the Applicant enters the information into the ACMS on-line web portal. Applications will be queued into the appropriate processes and ACO personnel will be notified by the system when (and what) actions need to be taken in the process. The ACMS will allow the badging office manager or supervisor to override the default queuing priorities of specific applications. 5.3 DESCRIPTION OF THE PROPOSED SYSTEM An ACMS will enable the ACO to automate the management of identities and resources across multiple applications and business processes. The ACMS will provide for the management of an ID record (associated with a badge application) or assets (such as physical keys) as long as it exists in the system. It Not to be copied or distributed without the permission the of the DFW Airport Board. Page 20
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 will also serve as an integration buffer that will allow for the upgrade or replacement of systems (such as AACS upgrades or replacements) with minimal disruption to the security practices of the airport. The ACMS must meet the following basic operational requirements: Reduced management costs through business process automation Meet regulatory compliance and enforced security policies Synchronize user data across ALL connected systems/applications including error handling and fault management Ability to grant access based on role definitions Workflow Management Intuitive operation Biometric identification of ACO staff Biometric identification of applicants upon ACO determination of applicant identity Applicant appointment scheduling In addition, the ACMS must include the following intrinsic operational aspects: Masking, Encrypting and Securing of Personal Information Creating Audit Triggers As required for meeting Federal (TSA) and local Audit requirements Securing Biometrics possibly using ANSI 378 Standard data format for representation of fingerprints as minutiae Further securing and enhancing custody and control of Biometric Template Uploading and downloading information from Telos/DAC and automating the Correlation (Bundling) and Uploading of the Personal Information from ACMS database for the STA with the CHRC (Criminal History Record) request ACO Manager/Supervisor having control over final approval of a credential Separation of duties Asset (Genie, Key and Intellikey) Management Document Management SIDA Training, Drivers Training and Tracking Financial Processing & Tracking Segregation of Roles / Auditing Of All Transactions o During Application, Vetting, Issuing, Modifications, etc. Inventory control and tracking of each item throughout its lifecycle The workflow management component of the ACMS software will handle both the process integration and control and is the service that tracks an Applicant s enrollment case through the full ID proofing and issuance process. It provides a programmable solution to allow the ACO to adjust processes and procedures to accommodate changing or emerging requirements. The system workflow manager function assists in Not to be copied or distributed without the permission the of the DFW Airport Board. Page 21
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 coordinating identity management and access activities, and handles moving an application from enrollment through the various steps up to badge issuance. The system workflow management function also supports exception processing, such as adjudication services, revocation 1, compliance reporting and related activities. The ACMS will be implemented as the central hub with the AACS or multiple AACS and other systems interfaced as spokes in a hub-and-spoke logical topology. The rationale for the ACMS as the nexus of these systems is based on the increased potential of airport security vulnerabilities related to identity. Authentication of an airport employee s identity is a fundamental component of physical access control process. It is vital that the process of allowing access to the SIDA and Central Terminal Area (CTA) is thorough to assure that access is not granted to unauthorized personnel that have not been thoroughly vetted and approved. A unified ACMS as the core function enables issuance of secure and reliable forms of identification and access credentials. In addition, the control of identities is critical to the overall operation of this system. This aspect would mainly be related to creating standard profiles for badge holders that include predetermined access levels to allow for the DFW Authorized Sponsoring Authority to select a preset profile or identity instead of selecting the access levels on a per user basis. The system should also allow for exceptions to the standard profile so that the necessary access can be added or deleted from the badge. This would lead to more consistency in the process and would also tie into the access level exception approval process. The ACMS will interface to the following sub-systems: 1. On-line Scheduling (internal ACMS process) The ACMS On-Line Scheduling System will allow for ease, and management, of ACMS related scheduling such as fingerprinting and training appointments. 2. Web Portal (internal ACMS process) The ACMS Web Portal will allow on-line access to the ACMS for users such as Applicants, AERs and Sponsors. All ACMS functions will be available through the web portal, but most will be restricted for use by pre-approved personnel. Access may be restricted through logon (username and password following DFW Standards). 3. Identity Document Authentication by ia-thenticate - The document verification system is used to scan identification documents to verify their authenticity; currently, the scan only confirms the ID is authentic. When the system is interfaced to the ACMS, it is expected that the system may provide some biographic data input and verification and save the scanned document images to the applicant s record. 1 Revocation is the removal of a credential for reasons other than its expiration. For example, a badge may be revoked due to a breach of security by the credentialed individual. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 22
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 4. Casi Rusco Picture Perfect 4.6 Access Control System - The Automated Access Control System (AACS) implements through its operation the policies defined in the Airport Security Plan (ASP). It uses card readers and software solutions to control physical access points within and around the airport facilities, per 49 CFR PART 1542. The AACS interface to the ACMS will allow for ACMS-initiated definition of access privileges based on the individual s identity and role, as well as the exchange of information between the AACS and ACMS to correlate the identity of individuals to portal access activities. 5. Inventory & Revenue Management System (IRMS) tracks the following inventoried items: Keys, Electronic Programmable Keys (Intellikeys), AOA Permits, Genies (to open unmanned gates), Temporary AOA Permit Hang Tags. IRMS keeps track of sequencing of items (Permits, e.g.) and will send the ACO Manager an e-mail if an item is used out of sequence. It performs a sequencing and item reconciliation at the end of the day and forms a report. It tracks revenue, handles the processing of credit card transactions and issues receipts for all transactions, and performs reconciliation. The IRMS generates reports for revenue, inventory, transactions and ACO activity, manages email content for copies of sales receipts, corporate credit card enrollment, manages the web-content for corporate credit card enrollment process, manages the configuration of how customers are processed, manages the content for the revenue report, and manages serialized products. Some of the functions that the IRMS currently performs such as: customer check-in, the management of the purpose of visit to the ACO, the storage of company contact information, customer information, badge Sponsor codes and contact information, and the generation of notices of enrollment acknowledgment and expiration notices will be performed by the ACMS. The ACMS will need to generate and maintain unique sponsor codes and company codes for badge sponsors. 6. Fingerprint System DFW is currently using the Greenbit DactyScan 84C fingerprint scanners to capture the fingerprints of applicants. The Fingerprinting System captures the electronic fingerprinting of applicants in order to submit information for the Criminal History Record Check (CHRC). The interface to the ACMS will allow for the linked storage of an Applicant s biometric information with his/her identity records. It is expected the Fingerprinting System will allow for the capture and ANSI standard storage of reference biometrics. DFW currently captures slaps instead of rolling 10 fingers, however the flexibility to perform either slaps or rolls should be included and be configurable by the ACO Manager. 7. E-Learning Portal is the Safety and Security Instruction system for web-based SIDA training. It maintains SIDA and Ramp Safety Awareness training courses, training records, training course management, workgroup (company) management, role management (type of applicant), produces summary training reports upon request, manages user profiles (including applicant login IDs and passwords) that are set up by the ACO staff, and houses the express Course software that allows the ACO to develop new training courses. The on-line instruction system interface with the ACMS allows for the correlation between an identity and that person s training (level, type, expiration). The ACMS should also automate the login ID and password set up process. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 23
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 8. Fortis SE Document Imaging - electronically captures, indexes, stores, and organizes documents and information in a secure fashion such that content is protected from unauthorized users. The system is used currently by the ACO to archive badging documentation and key applications. This function will not be necessary with the advent of the ACMS. However, the ACMS will interface to the document imaging system to enable the scanning and saving of pertinent documents and the ability to link the electronic document images to an identity 9. The Telos Identity Management - Designated Aviation Channeling (DAC) service that processes applicant biographic and biometric data for vetting applicants. The ACMS will interface with Telos to upload copies of identity documents with biographic and biometric record for applicants. Telos is responsible for sending Security Threat Assessments (STA) to the TSA and Criminal History Record Checks (CHRC) to the FBI. 10. No Device Issuance (NDI) Listing This is an excel spreadsheet that must be cross-checked before a badge application is accepted into the ACMS. The spreadsheet is created by Finance and contains the names of companies and badge holders who owe fees to DFW and are not to be issued badges, permits or devices by the ACO. The proposed ACMS workflow is discussed in The DFW Access Control Management System (ACMS) Implementation Plan, January 2012, and in Section 6.0 Operational Scenarios. 5.4 MODES OF OPERATION The ACMS will have the following modes of operation: Normal / Regular Degraded Maintenance Training Normal Operation will be required of the ACMS 24/7/365, and will be characterized by the availability of all implemented features and functions of the ACMS for all users. In addition, if the system is scheduled for down time (for example due to maintenance), or is in any mode other than Normal Operational Mode, the ACMS will notify all Authorized Employer Representatives of the operational mode. Degraded Operation is likely to occur when there is a loss of functionality in the system s underlying technical infrastructure. For example, if a switch becomes inoperable, the system may not be able to communicate through all connected systems (for example the AACS systems) as well as through the DFW Security Network. Essentially, the situation is not a direct problem with the ACMS, but rather a problem with a supporting system. However, the problem may cause the ACMS to operate in a less than optimal fashion. During that period of time all normal ACMS operations would be operational and once the other Not to be copied or distributed without the permission the of the DFW Airport Board. Page 24
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 systems return the information is sent. In addition, hard copies of essential reports would be available (e.g. Stop List). The ACMS must be Fault Tolerant - to allow for failure of individual components without ceasing operation of the entire system. Maintenance Mode will allow for the maintenance and/or technology staff to upgrade, update, or repair the system. Ideally, the ACMS should only operate in maintenance mode during hours when the ACO offices are closed or, at worst, during non-peak times. Training Mode will allow for hands-on, interactive ACMS training for ACO personnel, system administrators, Issuing Officers, and others. Training mode must always be available during any of the above modes. 5.5 USER CLASSES AND OTHER INVOLVED PERSONNEL A user class is distinguished by the ways in which users will interact with the system. On a high level, there will be 2 primary user classes in the ACMS: External users comprised of those who are seeking to establish a company profile, designate Authorized Employer Representatives, or apply for a credential (airport badge), and Internal users who are DFW personnel responsible for sponsoring, approving or issuing an airport security credential/badge, adjudicating CHRC issues, or those responsible for administering and maintaining the ACMS. External users will be non-dfw personnel and will be able to access the ACMS remotely through a secure web portal application or locally in the Automated Control Office through a dedicated workstation. The workstations (remote and local) must have a digital signature pad for the capture of electronic signatures. Internal users will be DFW personnel who will access the system through the internal DFW Local Area Security Network (LAN). Internal user workstations must have access to document scanners and digital signature pads, and in some cases such as at the ACO - a biometric reader device. The ACMS external and internal user classes are further differentiated by user class numbers based on the user function or affiliation. Below is a list of all ACMS user classes followed by a notional block diagram of the ACMS user access methods and a table of the ACMS user classes and some of their proposed functions. External Users Access through firewall o User Class 1 Tenants and Carriers o User Class 2 Companies, Authorized Employer Representatives (AER), Employee Applicants, Authorized Badge Sponsors Internal Users Access through DFW Internal Network o User Class 3 Access Control Office Staff, ACO Manager, ASC o User Class 4 DFW Board Authorized Badge Sponsors, Operations, DPS Police, MCR Staff o User Class 5 System Administrator, IT Personnel, Technology staff, Maintenance (Siemens) Not to be copied or distributed without the permission the of the DFW Airport Board. Page 25
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Figure 2 ACMS Notional Block Diagram with User Classes 5.6 SUPPORT ENVIRONMENT The ACMS technology maintenance and support will be managed by the DFW Airport IT and Technology Staff and designated vendors and suppliers. 6. OPERATIONAL SCENARIOS The following section discusses operational scenarios which describe a user s interaction with the ACMS as a means to convey the conceptual operation of the system. The operational scenarios are divided here into 3 groups as delineated by the ACMS system s 3 primary user modes of operation: The establishment of a New Company The application for an Employee ID Badge o New Badge o Badge Renewal Not to be copied or distributed without the permission the of the DFW Airport Board. Page 26
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 o Badge Replacement (Lost/Stolen/ Mutilated/Change Access Level) Use of the ACMS through the secure Authorized User Login The establishment of a New Company and the application for an Employee ID Badge through the ACMS will not be access restricted. A user will only need the ACMS URL to access the public ACMS web portal functions. All other ACMS functions performed by the AERs, ACO Staff, or other authorized users - will be secured by limiting access to credentialed users only. All authorized signatories Authorized Sponsors and Authorized Employer Representatives will need to register their digital signature in-person at the ACO before being allowed to digitally sign through the ACMS web portal - New Company documents or Badge applications. All information entered into the ACMS will be stored in a secure fashion by the ACMS and access to that data will be limited to authorized, approved personnel. The ACMS will limit authorized users data access by role and will block the non-required data (e.g. will block out SSN if user does not have a need to know). The scenarios discussed below use ACMS notional screen mock-ups to convey the user-interaction concept. The screens used for this discussion are for illustration only and do not represent the actual online interface to the ACMS. The operational scenarios are based on the ACMS proposed workflow as detailed in the document, The DFW Access Control Management System (ACMS) Implementation Plan, January 2012 [Reference 1] and discussions with ACO staff. 6.1. NEW COMPANY PACKAGE OPERATIONAL SCENARIO When a new company is contracted to work at DFW, an Authorized Sponsor (Sponsoring Authority) is associated - as part of the contracting process or as a new airline, tenant or concessionaire - with the company. The Sponsor must complete and submit to the ACO a Sponsoring Authority Signature Form for SIDA Badges 03-05-12, or for non-sida Badges 03-05-12 (e.g. for Concessionaire or other employees needing access only to the Sterile areas). The Sponsor will affix his/her unique signature code and sign the form before submission. The first thing a new Company must do is to establish itself in the ACO system. This process is accomplished by the New Company by completing and submitting the Company Profile Form (CPF) to the ACO. The Company will identify the Company Type, Company information (Name, list all corporations and DBAs, list all departments, the company mailing address and street address, a primary Contact (who will act as the company s Authorized Employer Representative AER), a secondary contact, corporate credit card Not to be copied or distributed without the permission the of the DFW Airport Board. Page 27
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 information for IRMS and information regarding billing for badge fees, vehicle permit fees and any other appropriate ACO services. Currently the process involves completing the form, printing it and bringing it in to the ACO. With the ACMS, the process can take place via the interactive web portal. There will be no need for paper forms, all signatures will be entered and verified electronically, and the forms will be automatically dated upon submission. A New Company will not need a login name or password to access the ACMS web portal for entering and submitting information on the New Company profile. The ACO will provide the New Company a URL (web address) for the portal. The New Company Primary Contact will access the ACMS and complete the New Company Profile. The ACMS New Company process concept is shown below. The first New Company Profile screen will prompt the user to enter the pertinent New Company information. It will have a pull-down list of allowed company types. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 28
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 The ACMS will prompt the user to input both the New Company full legal name, which will be used to set up the Department Name in the AACS. The ACO staff will set up the Short Company Name upon completion of the Company Profile and the ACMS will used in the AACS and printed on the identification access badge The Short Company Name is limited in length. These data fields will be downloaded by the ACMS into the AACS. In addition, if the New Company is a tenant the ACMS will prompt the user to enter P.O. Box information. If the information is not entered, the New Company application will be rejected. Each of the screens will have a Help button that will provide screen-specific information on what the user must enter for each topic. In addition, and where appropriate, each screen will have a back button to take the user to the previous screen, and a save and continue button to save the current screen of data and go on to the next screen. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 29
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 The User will be prompted to enter the Primary and Secondary Company Contact information. The Company contacts will serve as the Company Authorized Signatory or Authorized Employer Representative (AER). The AERs must obtain a badge and the ACMS will then set up login IDs and passwords and email the information to the AERs before they will be allowed to access the ACMS. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 30
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 The AERs will be responsible for verifying the employee identification (breeder) documentation is of the ACO-specified type, that the information entered on the employee Badge Application matches the ID information, and that the Application is completed properly. The AERs are also responsible for returning badges to the ACO, for completing reverse audits and for reporting any information regarding lost or stolen badges via the Badge Deletion Request form. The process will be available via a secure Authorized User login to the ACMS web portal. The ACMS will prompt the user to enter information on the New Company s contract as shown below. This is a new step in the New Company process. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 31
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 The contract dates will be used by the ACMS to limit the valid dates for badges issued for work on this contract. Authorized badge sponsors will need to verify the contract information provided on this form and they will also need to be able to change the information if it is not correct. The ACMS will prompt the user to enter information regarding payment for the employee badges. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 32
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 If the New Company chooses to enroll in the corporate credit card program, then the ACMS will interface to the IRMS system to establish the new company s account in IRMS. If the New Company does not enroll in the corporate credit card program, the AMCS must require the employee to pay all fees by credit card. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 33
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Not to be copied or distributed without the permission the of the DFW Airport Board. Page 34
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Employers are responsible for notifying the ACO immediately whenever a badge holder no longer requires access privileges or whenever a badge is lost or stolen. The AER must logon to the ACMS Authorized User portal and complete and submit to the ACO (via the portal) a Badge Deletion Request Form, which will automatically deactivate the badge in the AACS. The ACMS must contain a report of badges that are deactivated and the date, time and ID of the AER who deactivated the badges, and the ACMS must contain a report for the badges that are to be billed because they were not returned to the ACO within 10 business days from the date of deactivation. The ACMS will prompt New Company AERs to specify up to 5 Badge Audit Delegates (BAD) to assist the AERs in annual badge auditing activities. No approval is necessary for BADs, but they must be a badge holder under the company. Once the Company Profile is on file, the next thing that needs to happen is for both company contacts the Authorized Employer Representatives to apply for and receive badges (this process is the same as the Employee badging process discussed below in Section 6.2). The AERs must have their badge before any other company employees can get their badges, because the AERs are responsible for verifying employee badge application information and signing the Employee Badge Applications. The ACO will have to associate a company with the Authorized Badge Sponsors so the applications can be processed. 6.2. EMPLOYEE ID BADGE OPERATIONAL SCENARIO The employee ID badging process begins with the Authorized Employer Representative (AER) and the Applicant completing the Employee ID Badge application on-line though the ACMS web portal. The AER and Applicant will access the ACMS through a public URL and select the Enter Application for an Employee Badge option. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 35
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 The Applicant will be prompted to complete information biographic information into several ACMS screens. The process will be similar in function to the existing DFW Application process and is shown below. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 36
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 The ACMS will ensure that all entered data are complete and in the correct format. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 37
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Not to be copied or distributed without the permission the of the DFW Airport Board. Page 38
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Not to be copied or distributed without the permission the of the DFW Airport Board. Page 39
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Not to be copied or distributed without the permission the of the DFW Airport Board. Page 40
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Not to be copied or distributed without the permission the of the DFW Airport Board. Page 41
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Once all Applicant biographic information is entered and submitted to the ACMS, the system will display detailed information regarding the 28 Disqualifying Criminal Offenses and will display a copy of the Privacy Act Notice. The ACMS will prompt the Applicant to (digitally/electronically) sign a statement acknowledging understanding and agreement with the Privacy Act Notice. The ACMS will display additional information regarding Security Training, Employee Portal Rules, and Social Security Administration Certification. Finally, the ACMS will prompt the Applicant to digitally sign the application. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 42
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 When the Applicant submits the application, the ACMS will perform several steps. First, the ACMS will check the Applicant s Company and his/her name (individual) against the No Device Issuance (NDI) list. If the Company is on the NDI, the ACMS will email the company AER and the Applicant and inform them that the Company must resolve the issue before the employee s application can be processed. If the Applicant s name is on the NDI list, the ACMS will email the individual employee and instruct him/her to contact Finance (point of contact will be provided) to resolve the issue before the ID Badge application can be processed. The ACO Manager or Supervisor will remove individuals and companies from the NDI list upon notification from Finance that the fees have been resolved. If there are no matches to the NDI list, the ACMS will check the applicant s name against the (DFW) No-fly list. If there is a match, the application is marked as rejected in the ACMS with an explanation and a restriction within the ACMS to not allow this person to be escorted at DFW. In addition, the ACMS must send an email to the ASC, the Secondary ASC, the Alternate ASC and to the ACO Manager regarding any applicant who is a match on the No-fly list. If there are no No Fly list matches, the ACMS will email the Company AER to notify him/her that the application must be reviewed, approved and signed. The AER will log on to the ACMS through the Authorized User access point and review and digitally sign the application. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 43
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 6.3. AUTHORIZED USER LOGIN OPERATIONAL SCENARIO Not to be copied or distributed without the permission the of the DFW Airport Board. Page 44
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 The Company AER will log on to the ACMS and select the Company Name and Employee Applicant s name from pull-down lists. The Company pull-down list is created from information in the Company Profile Form, and the Applicant Employee name will be derived from the employee s application information and associated with the Company name by the ACMS. The AERs should only be able to select companies that they are badged under and they should not be able to see or review any other company s information. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 45
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 After the company and employee names have been selected by the AER, the ACMS will automatically populate the Review and signature screen as shown below. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 46
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 The AER will be prompted to review and approve the application. The AER will digitally sign the application using a digital signature pad and submit his/her approval to the ACMS. Upon submission of the AER-signed application, the ACMS will email the Authorized Sponsor to logon to the ACMS to review the application and to add badge color and to sign and submit the application. The Authorized Sponsor will logon to the ACMS in a similar fashion to the AER and will identify the Company and Employee application to be reviewed. The Authorized Sponsor will review the employee information and then designate the appropriate type of badge. The ACMS will only allow a maximum 2 year expiration to be selected for SIDA badges and Airport Board employee White ID badges. If the Sponsor selects the Expiration at the End of Contract, the ACMS will limit the expiration date to the less of the allowed time period or the length of the contract. The ACMS will limit the number of Concessionaire SIDA badges to less than 25% (this value may be overridden by the ASC or ACO Manager and Supervisors. However, each Concessionaire is allowed to have at least 2 SIDA badges, even if that number is greater than 25% of their badged employees. Upon completion of the Authorized Sponsor review and approval process, the ACMS will verify that all required data has been entered and will notify via email the Authorized Employer Representative and the Badge Applicant that the application is approved and that the Applicant must come in to the ACO within 30 Not to be copied or distributed without the permission the of the DFW Airport Board. Page 47
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 days (date provided in email) for fingerprinting. The ACMS will start the 30-day clock upon receipt of the Authorized Sponsor s signature. The ACMS will provide the ACO Staff with a list of people with approved badge applications and 30-day time frames that can be used to create a queue once the person arrives at the ACO. The ACMS will also email the link to the applicant so that an appointment can be made for fingerprinting. Only applicants who have received a cleared CHRC and STA approval will be allowed to schedule an appointment within the upcoming 30 calendar days. If the Applicant does not come in to the ACO within 30 days, the ACMS will mark the application expired with the explanation that the 30-day limit was exceeded, and remove the Applicant s name from the queue. If the Applicant wants to re-apply for a badge, he/she must start the process from the beginning. When the Applicant arrives at the ACO office within 30 days from the Sponsor s signature/approval at his scheduled appointment time, he/she will check in at the front desk. The ACO front desk staff member will check the Applicant s name against the queue (with date). The Applicant must present 2 forms of unexpired IDs from the List of Acceptable Documents (I-9 documents). The ACO Trusted Agent (TA) will determine the identity of the Applicant by reviewing the identification documents and by scanning them through the iauthenticate system. Ideally, the ACMS should take the ID information read by iauthenticate and cross check/verify it with the biographic information (name, address, Height, weight, hair color, eye color, driver s license number, etc.) on the application. If there is a discrepancy, the ACMS should alert the ACO TA to the differences and request resolution before allowing the process to proceed. If there is no discrepancy or when the discrepancy is resolved, the scanned ID images will be stored within the identity record of the Applicant on the ACMS. The ACO TA will then capture a reference biometric for the applicant and store it in the Applicant s record so that it can be used to identify the Applicant throughout the application and badge issuance process and for future visits to the ACO. The AMCS will be capable of automating regulatory policy and procedure and FIPS-201 standard compliance by ensuring the separation of TA duties to make certain that no single individual has the capability to issue a badge without the participation of another authorized person. New badge applicants are required to have a Criminal History Record Check (CHRC) and a Security Threat Assessment (STA). Data from the ACMS will be transferred to populate any data required for these processes. The ACO uses Green Bit DactyScan 84C fingerprint scanners to capture the fingerprints of applicants. At present, the fingerprints are captured as flats and are saved locally as an Electronic File Transfer Protocol (EFT) file and are attached to the Telos (DAC) case without any local storage. It is anticipated that the Green Bit DactyScan fingerprinting system will allow for the capture, and ANSI 378 Standard for Finger Minutiae format storage, of reference biometrics in addition to the fingerprint formats required for the CHRC. The interface to the ACMS will allow for the linked storage of an Applicant s biometric information (reference and full fingerprints) with his/her identity records. The Reference Not to be copied or distributed without the permission the of the DFW Airport Board. Page 48
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 fingerprint will be used to verify the identity of the individual upon any subsequent visits to the ACO office, and this process will replace the ID document verification process now used repetitively by the ACO unless the ID documents expire and in that case, the Applicant will be required to present unexpired Identity Documents from the List of Acceptable Documents (I-9 documents). The fingerprint EFT file, biographic information, ID and I-9 documents will be bundled together and sent as a single package to Telos for the CHRC and STA process. The Applicant will leave the ACO. If an Applicant is a 1544 carrier employee, the employer (AER) must scan the clearance letter and enter the case number, date fingerprinted and date the CHRC was cleared via the ACMS web Portal (the on-line application will allow for these options); in this case, only the Applicant s biographic information and ID documents will be uploaded to Telos for the STA. The clearance letter image must be saved in the Applicant s record. The ACMS will be able to determine the required information to be packaged and sent to Telos. There are 3 types of uploads to Telos: 1. Full Package - Biographic information, fingerprint EFT file, IDs and I-9s required Most Applicants, Note: CHRCs are reprocessed for 15% of badge renewals and are processed as an biometric update to the existing Applicant case in Telos ID DAC 2. Fingerprint Only, No STA Biographic information, fingerprint EFT file, IDs and I-9s required Rarely used 3. No Fingerprint Required, STA Only - Biographic Information, IDs and -I9s required 1544 Carriers, Tenants 4. Previously Fingerprinted No longer used The ACO staff will have to continue to download CHRC results from the FPRD and update the ACMS with the CHRC results by scanning the CHRC results into the ACMS. However, the ACMS interface to Telos will allow for the STA results (Green Check STA OK; Red X with message: Need to Correct; Red X with message: Do Not Issue) to be automatically downloaded into the system. If the CHRC results contain a criminal charge(s), the ACMS will notify via email the Authorized Employer Representative and Applicant that the application is under review, as well as the DPS Police Sergeant and that the DPS Sergeant will contact the Applicant if proof of final disposition is needed. The ACMS will inform the Applicant (and AER) that he/she has only 30 days to adjudicate the CHRC issue with the DPS Sergeant. The ACMS will track the adjudication time as well as the resolution. The ACMS will allow the DPS Police Sergeant to logon to the system through the secure Authorized User login to review the application and CHRC results in question and the DPS Sergeant will approve or deny the Applicant s CHRC. The ACMS will notify the applicant and AER of approval or denial via email and if denied, the ACMS will update the Do Not Escort list with the Applicant s information. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 49
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 If the CHRC issue is not cleared within the allotted 30 days, the ACMS enters the applicant s name and information onto the Do Not Escort list and the application is marked as expired with the explanation of CHRC not cleared. If the CHRC does not contain any criminal charges, the ACMS will note the date the CHRC results are scanned into the system by a TA as the date the CHRC is cleared. If the STA result is a Red X with an explanation that an item requires correction, the ACMS notifies the ACO, enters the Applicant into a 30-day queue, and notifies the Applicant and the AER of the status. If the ACO office can handle the issue internally, then an ACO staff member will access the ACMS and resolve the issue. The ACMS will (as always) track any changes to applications/identity records along with the date/time and identification of the user who made the changes. If the Applicant needs to come in to the ACO to address the STA result, the ACMS will email the AER and Applicant that he/she must come in t the ACO within 30 days to address the STA issue. When the Applicant returns to the ACO, he/she will present his/her Reference Biometric at the front desk to verify his identity. No IDs will be needed for check-in, however additional IDs or other documents may need to be presented and scanned into the Applicant s record and sent to the TSA via Telos ID through a quick update to resolve the issue. The records associated with the Applicant will be pulled up through the use of the Reference Biometric. If the STA issue is not cleared within the allotted 30 days or the STA result is a Red X with a Do Not Issue message, the ACMS enters the applicant s name and information onto the Do Not Escort list and the application is marked as denied with the explanation of STA not cleared, and the ACMS will send an email to the ASC and the ACO Manager. Once the CHRC and STA results are cleared, the ACMS will email the Applicant and AER of the badge application status, and request the applicant to make an appointment to return to the ACO for training in the E-Learning Portal (if applicable) or for badge issuance. If the applicant is a SIDA applicant and has not taken SIDA Training in the E-Learning Portal, the ACMS will set up the login ID and password that the applicant uses to log into the portal for training in the ACO training room. The ACMS will also notify the Operations Department staff of SIDA applicants (new and renewal) so the required driver training simulator and other courses can be completed. Operations staff will have access to the ACMS to update the required training course completions. When the Applicant returns to the ACO, his/her Reference Fingerprint is checked at the front desk, and assuming a verification match, he/she will take training via the E-Learning Portal. The Reference biometric will serve to link the Applicant to his/her ACMS record. An appropriate subset of the record information will Not to be copied or distributed without the permission the of the DFW Airport Board. Page 50
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 be exported to the E-Learning Portal for correlation between the person and the training. When the applicant passes the testing in the E-Learning Portal, the ACMS will record the date and time of the test, type of training, and a notice that training has been completed. The ACMS will also email a link to the applicant and AER to make an appointment to return for badge issuance. If the Applicant fails the training 3 times each day over 3 separate days (for a total of 9 failures) he/she will be rejected from the process, added to the Do Not Escort List, and the application will be marked as rejected with Failed Training as the explanation. The ACMS will email the applicant and AER regarding the rejection and regarding the addition to the Do Not Escort list. The successfully trained Applicant will then proceed to the next step in the badging process, which is capture of the photo and hand geometry biometric information (if applicable) for specific AACS-controlled portal. Once the photograph is taken and the biometric template is captured, the ACMS will generate the appropriate badge. When the badge is produced, the ACMS will also interface with the AACS to define the badge in the Casi Rusco Picture Perfect system as well as define all access codes and other AACS required data. The ACMS will assign user access privileges based on the Applicant s role and by information provided by the Authorized Sponsor. The biometric template and the access control badge number will be provided to the biometric system to allow the current interoperability. The Applicant completes the process by testing (swiping) the badge on a test reader in the ACO. Another instance of the use of the ACMS through the Authorized User Login is for the interactive use of the Badge Deletion Request Form by the AER. When an employee is no longer with a company, the AER is responsible for entering that employee s information on the Badge Deletion Request Form and for retrieving and turning in the employee s badge. A non-returned badge will result in a $110 fee to the company. In addition, the badge will be added to the Total Non-returned Badge List which is maintained by the ACMS for 5% lost badge compliance tracking. When the ACMS receives this information through the automated Badge Deletion Form, the system will automatically download information to the AACS to deactivate the badge and will notify the TSA through Telos of the badge deletion. The ACMS will also have a report available to list the badge deactivations for a specified time period and a report for billing companies for the badges that were not returned within 10 business days from the date of badge deactivation. The ACO Staff will interact with the ACMS through internal (not web-based portal) logon procedures. The ACMS will perform format and error checking of entered application data fields and will ensure that the required documents (as identified on the eighth page of the application) are valid and presented by the Applicant the first time into the ACO. Not to be copied or distributed without the permission the of the DFW Airport Board. Page 51
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 In addition, the ACMS will track and record (date, time, user, action description) all actions taken on the system, thus eliminating the need for the manual data entry process required on the last page (9) of the Employee ID Badge Application. 7. SUMMARY OF IMPACTS 7.1 OPERATIONAL IMPACTS The ACMS must be a Fault Tolerant redundant system with a remote backup system (location TBD) that will be operated in parallel with the primary system. DFW ITS or responsible parties will need to determine the level of redundancy and location of systems. Since the ACMS will automate processes that are now largely manual, it is anticipated that the required response time for technical issues will be much shorter. This time will be further clarified in the ACMS Technical Requirements. All identities shall be retained in the ACMS indefinitely. The ACMS will interface with the existing AACS to exchange data with that system. The ACMS will require remote access for a majority External Users and will require the availability of digital signature capture devices for most internal and external users. These requirements will be impacted by the availability of the devices as well as the infrastructure required to interface them to and support them with the ACMS. 7.2 ORGANIZATIONAL IMPACTS The ACMS will not impact the number of ACO personnel, but will require modified responsibilities that will precipitate the need for extensive training for ALL system users. It is anticipated that the ACMS will increase productivity of the Access Control Office personnel. 7.3 IMPACTS DURING DEVELOPMENT While the intention will be to minimize the impact during the development of the ACMS, there will be some changes to the badging office operation before the ACMS is fully installed. The ACO staff, Supervisors and Manager may be required to attend and participate in meetings and to review and comment on documentation associated with the identified procedures, requirements, procurement and installation of the ACMS. During development of the ACMS, personnel may be required to meet with development staff to identify sub-system interface requirements, and ACO personnel will be apprized of the testing and migration plans and schedules. The deployment of the ACMS may require the installation or upgrading infrastructure that may cause a disruption to the daily activities in the badging office. In addition, the development/deployment of the ACMS will require installation of equipment (computers, scanners, digital signature pads, biometric Not to be copied or distributed without the permission the of the DFW Airport Board. Page 52
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 readers, badging stations (cameras etc.)) in the badging office and in remote, external locations. Once the hardware equipment is installed, the ACMS will operate in parallel with the current process during system testing and migration activities. DFW may want to consider the installation of a test bed system to enable off-line integration and to mitigate disruption to the security systems. 8. ANALYSIS OF THE PROPOSED SYSTEM 8.1 SUMMARY OF IMPROVEMENTS The key to increasing credentialing security and efficiency for services is a software solution that streamlines and integrates controls over the multiple systems currently used in the credentialing process. An advantage of an integrated solution is that it can readily be adapted to changes in processes and regulations as transportation security directives evolve. Any system procured will become the foundation for technologies such as biometrics and interoperability. As such, it is vital that this investment provide the flexibility and adaptability to meet the requirements of today and the challenges of tomorrow. Specifically, the anticipated improvements that the proposed ACMS will provide are as follows: Reduction of manual, duplicated data entry Reduction of processing time Improvement of queuing management for various type of activities Integrated systems (AACS, Badging, Fingerprint, Biometric) with automated data exchanges with the Telos (Designated Aviation Channeler - DAC) Ability to integrate to multiple AACS systems simultaneously Electronic application and approval process Electronic Access Level Approval by ACO Management and responsible parties Improvement of process audit and reporting Well-defined and automated workflow and processes Scalability to allow for future additional systems and practices Obtaining access information and credentialing information from other systems 8.2 DISADVANTAGES AND LIMITATIONS Disadvantages of the proposed ACMS are few. Security and badging office personnel will need to be trained on the new system, and this will require time out of their already busy schedules. However, the ACMS will save them time in the end. Another potential disadvantage of the ACMS will be the temporary disruption and rearrangement of workspaces during system implementation. 8.3 ALTERNATIVES AND TRADE-OFFS CONSIDERED Not to be copied or distributed without the permission the of the DFW Airport Board. Page 53
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Alternatives and trade-offs will be considered in the procurement process and requirements definition process, respectively. 9. GLOSSARY 49 C.F.R Part 1542: Code of Federal Regulations on Airport Security ABS: Authorized Badge Sponsor ACMS: Access Control Management System ACO: Access Control Office ACR: Authorized Company Representative (same as AER) AER: Authorized Employer Representative ANSI: American National Standards Institute ANSI 378: Interoperability standard for fingerprint templates AOA: Air Operations Area AACS: Automated Access Control System ASC: Airport Security Coordinator ASM: Airport Security Manager ASP: Airport Security Program ATC: Air Traffic Control ATCT: Air Traffic Control Tower BASIC: Biometric Airport Security Identification Consortium CBP: Customs and Border Protection CHRC: Criminal History Records Check CIV: Commercial Identity Verification ConOps: Concept of Operations DAC: Designated Aviation Channeler DFW: Dallas/Ft Worth International Airport Employee ID: Employee Identification Badge FAMS: Federal Air Marshal Service FBI: Federal Bureau of Investigation FICAM: Federal Identity, Credential and Access Management FIPS: Federal Information Processing Standard FIS: Federal Inspection Service ID: Identification LAN: Local Area Network PIV: Personal Identity Verification POC: Point of Contact SIDA: Security Identification Display Area STA: Security Threat Assessments Not to be copied or distributed without the permission the of the DFW Airport Board. Page 54
DFW Access Control Management System (ACMS) Concept of Operations Preliminary Report July, 2013 Sterile: TBD: TSA: TSR 1544: URL: Generally, that area between passenger screening checkpoint and the aircraft boarding areas To be determined Transportation Security Administration Transportation Security Regulation: Aircraft Operator Security for Air Carriers and Commuter Operators Uniform Resource Locator, a pointer to a "resource" on the Web Not to be copied or distributed without the permission the of the DFW Airport Board. Page 55
END OF SPECIFICATIONS / SCOPE OF WORK Not to be copied or distributed without the written permission the of the DFW Airport Board s Procurement & Materials Management Department. ACMS Technical Specification 113
SPECIAL PROVISIONS 1 AIRPORT SECURITY PROVISIONS 1.1 Work under this contract may require Contractor and subcontractor personnel to go through an access control badging process. All badge fees will be charged per the DFW Airport Schedule of Charges, which can be found at http://www.dfwairport.com/about/financials/index.php in the section titled Public Safety Medical and Service Charges. 1.2 U.S. DEPARTMENT OF HOMELAND SECURITY CUSTOMS & BORDER PROTECTION SECURITY ACCESS CLEARANCE. If your job responsibility requires you to access a Federal Inspection Services (FIS) area, aircraft deplaning and ramp area, or other restricted areas designated by the Customs & Border Protection (CBP) Port Director, additional clearance is required by CBP. You will need to complete CBP Form 3078 and the CBP Airport Security Access Addendum. Then you must present the forms to CBP along with a letter on company letterhead that attests that a background check was conducted on the applicant to the extent allowable by law. The letter must also contain a description of the duties that will be performed in the CBP area. Applicants for Customs seals must keep track of the date the Customs application is accepted at the CBP Air Security Office as you will be required to know this information in order to know when your seal is ready for pick-up. Each Friday, CBP will send a notification to point of contact for each stakeholder indicating the seals that are ready to be picked up for the applications that were accepted on a specific date. This will also include applications accepted prior to the date specified. Stakeholder Point of Contact Notification Example: Applications ready to be picked up: 11/07/2013 and prior; Application date CBP is working on: 11/12/2013. Seals can only be dropped off and picked up in the CBP Air Security Office in Terminal D on the Arrivals Level in Room D29L118 during CBP Air Security Office hours. The CBP Air Security Office is open on Tuesday and Thursday from 8:00 a.m. to 2:30 p.m., for more information about this process; please contact CBP at (972) 973-9820 or (972) 973-9972. 1.3 COMPLETING THE FINGERPRINT APPLICATION. First time applicants are required to clear an electronic, fingerprint-based criminal history records check, receive an approved Security Threat Assessment result from the Transportation Security Administration and if applying for a Security Identification Display Area (SIDA) badge, the applicant must also successfully complete DFW SIDA Training before a badge will be issued. Applicants are required to read and sign a Fingerprint Application before receiving fingerprint services. This application lists the 28 crimes that disqualify applicants from receiving a badge. It also advises the applicant of his/her responsibility to self-disclose any arrests/convictions received while possessing security access privileges with DFW Airport. 1.4 SECURITY TRAINING. Applicants applying for the SIDA badge will be required to successfully complete security training before badge issuance; the training must be completed in the DFW Access Control Office. The training must be successfully completed within thirty (30) days from the date of the criminal history records check clearance or the Security Threat Assessment approval, whichever is the later date. The applicant may come to the Access Control Office on three (3) separate days during the thirty (30) day timeframe. If the applicant does not successfully complete the security training within the thirty (30) day timeframe, the applicant will not receive a badge. 1.5 DFW AIRPORT BOARD ACCESS CONTROL (BADGING) OFFICE. Applications and forms are available on-line at http://www.dfwairport.com/badge. Paperwork is accepted at Terminal D, 114
Departure Level, Room D22L352. Office hours are Monday through Thursday between 7:00 a.m. and 5:00 p.m. and on Friday between 7:00 am and noon. For additional information about this process, please contact the Access Control Office at aco@dfwairport.com or at 972 973 5100. 2 BOARD S RIGHT TO INSPECT AND AUDIT 2.1 The Contractor (and Contractor s suppliers, vendors, subcontractors, insurance agents and other agents) shall maintain and the Board shall have the right to examine records, documents, books, accounting procedures and practice and any other supporting evidence deemed necessary by the Board to substantiate compliance with the terms of this Contract, including Change Orders. Such right of examinations shall include reasonable access to and cooperation by all Contractor personnel who have worked on or have knowledge related to the performance of this Contract. Proprietary/Trade Secret information pertaining to this Contract may not be withheld from Board or its Authorized Representative. 2.2 The Contractor s, subcontractors and related agent and vendor organization s documents, records and other evidence shall be subject to inspection and/or reproduction by the Board, it s agents and Authorized Representatives. The Contractor shall provide the Board with retrievals of computer-based records or transactions that the Board determines to be necessary to conduct the audit. There shall be no charge to the Board for reasonable use of the Contractor s photocopy machine while conducting the audit, nor for any cost of retrieving, downloading to diskette, and/or printing any records or transaction stored in magnetic, optical, microfilm, or other media. The Contractor shall provide all records and retrieval requested, within seven (7) calendar days. 2.3 The documents, etc., described above shall be made available at the office of the Contractor at all reasonable times, for inspection, audit, and reproduction, until the expiration of three (3) years from the date of the Board s final acceptance of the Work. Records, which relate to appeals or litigation or settlement or claims arising out of the performance of this Contract, shall be made available for a period of three (3) years from the date of the final disposition of such appeals, litigation, or claims. The Contractor shall provide adequate and appropriate workspace to conduct all inspections, audits, and reviews. The Board shall provide the Contractor with a reasonable advance notice of intended audit, inspections, and reviews. 2.4 The Contractor shall insert an item containing all these Audit provisions, including this paragraph, in all subcontracts hereunder except altered as necessary for the proper identification of the contracting parties and the Board under this Contract. Failure to insert these Audit provisions in all subcontracts hereunder shall be reason to exclude some or all of the related costs from amounts payable to the Contractor pursuant to this Contract. 2.5 In addition, where projects are funded wholly or in part by federal grants, the FAA, the Secretary and the Comptroller General of the United States or any of their duly authorized representatives shall have access, for the purpose of audit and examination, to any books, documents, papers, and records of the recipient that are pertinent to grants received in accordance with CFR 49, Part 18, as it may be amended from time to time. 2.6 If an audit or review in accordance with this Section disclosed overcharges (of any nature), by Contractor, in excess of five percent (5%) of the contract value audited, the cost of the Board's audit shall be paid by the Contractor. 115
3 BONDING PROVISIONS 3.1 PROPOSAL BOND 3.1.1 A Proposal Guaranty (Proposal Bond) will be required as part of the proposal submission. A Proposal Bond is a security designated in the Advertisement and Proposal Form, to be furnished by each Proposer as a guaranty of good faith to enter into a contract with the Board and execute the required bonds for the contract contemplated after the Work is awarded to him, and payment of damages upon his failure to enter into the contract. 3.1.2 No Proposal will be considered unless it is accompanied by an acceptable Proposal Bond, payable unconditionally to the Dallas-Fort Worth International Airport Board. A cashier check in the amount specified below is acceptable in lieu of a Proposal Bond if the cashier check is also accompanied with a notarized letter from a qualified surety stating its intent to issue performance and payment bonds if the contract is awarded and explains why a Proposal Bond could not be issued in time to meet the Proposal due date and time. The Proposer's Bond shall be in an amount as follows: 3.1.2.1 If the amount of the Proposal is $4,999.99 or less, then no Proposal Bond is required; 3.1.2.2 If the amount of the Proposal is $5,000.00 to $24,999.00, then the Proposal Bond amount is $250.00 3.1.2.3 If the Proposal amount is $25,000.00 or more, then the Proposal Bond amount is five percent (5%) of the amount of the Proposal. 3.1.3 In the case of Proposal alternates, the Proposal Bond amount shall be based on the highest total Proposal. The Proposal Bond is required by the Board as evidence of good faith and as a guarantee that if awarded the Contract, the Proposer will execute the Contract and furnish certificates of insurance and the required bonds within ten (10) calendar days after the award of the Contract or pay the damages for delay as set forth in the Contract Agreement and/or Specifications. The Proposal Bond shall be conditioned that if the Proposal is withdrawn after the bids have been opened or the successful Proposer refuses to enter into and execute a Contract with the Board under the terms of the Contract attached hereto, and shall deliver to the Board a copy of a payment bond and certificates of insurance as required hereby, the successful Proposer and the surety shall become liable to the Board for the amount of the Proposal Bond. The surety thereon shall designate a resident agent in Dallas or Tarrant County, Texas, to whom requisite notices may be delivered and upon whom service of process may be had. Individual sureties will not be accepted. Attorneys-in-Fact who sign Proposal Bonds or contract bonds must file with each bond a certified and effectively dated copy of their power of attorney. 3.2 PERFORMANCE AND PAYMENT BOND/GUARANTEE 3.2.1 The Contractor shall furnish to the Board within fourteen (14) days after receipt of notification of award, the following bonds payable to the Board: 3.2.1.1 A good and sufficient Performance Bond in the amount of 100% of the total amount proposed, guaranteeing the full and faithful execution of the Work and performance of the Contract in accordance with the Specifications and the Contract documents. This Performance Bond shall provide for the repair and maintenance of all defects due to faulty materials and workmanship 116
that appear within a period of one year from the date of completion and acceptance of the Work by the Board. 3.2.1.2 A good and sufficient Payment Bond in the amount of 100% of the total amount proposed, guaranteeing the full and proper protection of all claimants supplying labor and material in the prosecution of the Work provided for under the Contract and for the use of each such claimant. 3.2.2 Each of the above described bonds shall be executed by the Contractor and one corporate Surety authorized to do business in the State of Texas and acceptable to the Board. The Surety shall designate an agent resident in Dallas or Tarrant County, Texas, to whom any requisite notices may be delivered and on whom service of process may be had in matters arising out of such suretyship. The Contractor shall be required to absorb any and all costs of said Bonds. 3.3 Bid, Performance and Payment Bond forms are available in Proposal Response Forms section 4 CONTRACT TERM 4.1 This Contract, if awarded, shall be for an initial two-year period commencing as of the date specified in the Notice to Proceed letter, to be issued by the Board s Vice President of Procurement and Materials Management Department, unless renewed under the provisions below. 4.2 This Contract, as executed, shall include the options to renew for annual one-year periods, under the same terms and conditions, with said options to be exercised solely at the Board's discretion. 4.3 In recognition of the potential for fluctuations of the Contractor's costs for the years subsequent to the initial contract period, a price adjustment for each succeeding year may be requested subject to the following considerations: 4.3.1 Such adjustment is solely for the purpose of accommodating an increase in the Contractor's cost, not profits; 4.3.2 Request for same must be made in writing and supported by acceptable documentation of the cost increase. Any such request shall be submitted for approval to the Board's Vice President of Procurement and Materials Management no less than 150 days prior to the end of the then current Contract period. 4.4 Unless otherwise amended in writing and endorsed by both parties prior to the beginning of each respective renewal period, all terms and conditions of the Contract shall remain in full force and effect with the only change being in the Contract term. 5 CHARACTER OF WORKERS, METHOD AND EQUIPMENT 5.1 The Contractor shall, at all times, employ sufficient labor and equipment for performing the Work to full completion in the manner and time required by this Contract, plans, and specifications. 5.2 All workers shall conduct themselves with a courteous demeanor and professional manner. Contractor shall immediately remove any worker from performance of work at Board premises when one or more of the following occur: 5.3 Neglect of duty. 117
5.4 Disorderly conduct, use of abusive or offensive language, quarreling, intimidation by words or actions or fighting. 5.5 Theft, vandalism, immoral conduct or any other criminal action. 5.6 Selling, consuming possessing or being under the influence of intoxicants, alcohol, or illegal substances that produce similar effects while on duty. 5.7 Possession of a weapon on Airport property. 5.8 Organizing or participating in any form of gambling. 5.9 Misuse of equipment, computers or internet access. 5.10 All equipment that is proposed to be used on the Work shall be of sufficient size and in such functional condition as to meet requirements of the Work and to produce a satisfactory quality of Work. Equipment used on any portion of the Work shall be such that no injury to previously completed Work, adjacent property, or existing airport facilities will result from its use. 5.11 When the methods and equipment to be used by the Contractor in accomplishing the Work are not prescribed in the Contract, the Contractor is free to use any methods or equipment that will accomplish the Work in conformity with the requirements of the Contract, plans, and specifications 5.12 When the Contract specifies the use of certain methods and equipment, such methods and equipment shall be used, unless others are authorized by the Board s Technical Representative. If the Contractor desires to use a method or type of equipment other than specified in the Contract, he may request authority from the Board s Technical Representative to do so. The request shall be in writing and shall include a full description of the methods and equipment proposed and of the reasons for desiring to make the change. If approval is given and executed, it will be on the condition that the Contractor will be fully responsible for producing Work in conformity with Contract requirements. If, after trial use of the substituted methods or equipment, the Board s Technical Representative determines that the Work produced does not meet Contract requirements, the Contractor shall discontinue the use of the substitute method or equipment and shall complete the remaining Work with the specified methods and equipment. The Contractor shall remove any deficient Work and replace it with Work of specified quality, or take such other corrective action as the Board s Technical Representative may direct. No change will be made in basis of payment for the Contract items involved nor in Contract time as a result of authorizing a change in methods or equipment under this subsection. 6 CONTRACTOR RESPONSIBILITIES / PERFORMANCE OF WORK 6.1 The Contractor shall be fully responsible for the quality and accuracy of any and all Work performed in conjunction with this Contract. Neither acceptance of such Work by the Board, nor payment therefore, shall relieve the Contractor of this responsibility. If and when applicable, the Contractor shall complete all services in conformity with professional standards, and shall provide qualified personnel to meet agreed upon schedules. 6.2 In addition, at its own expense, the Contractor shall: 118
6.2.1 Take all precautions necessary per state regulations and/or OSHA Regulations to protect persons or property against injury or damages occurring as a result of its operations. 6.2.2 Obtain all permits/licenses required to perform work or deliver products, including the Board s security requirements for Air Operations Area (AOA) badging regulations where applicable. Any cost for compliance shall be paid by the Contractor. 6.2.3 Provide competent supervisors and workmen; 6.2.4 Take all precautions necessary or required by law to protect persons or property against injury or damages occurring as a result of its operations; 6.2.5 Perform the Work without unnecessarily interfering with Board operations; 6.2.6 Provide all vehicles and tools as necessary for its use; and 6.2.7 Protect existing facilities from damages and promptly repair or replace any damages caused by its employees or arising out of its operations. 7 DELIVERIES OF PRODUCT(S) 7.1 Delivery date is an important factor to the Board and may be required to be a part of each bid. The Board considers delivery time to be that period elapsing from the time the individual order is placed until that order or work thereunder is received by the Board at the specified delivery location. 7.2 All product(s) covered by this bid shall be delivered F.O.B. Destination DFW Airport, from point of assembly to the Dallas/Fort Worth area by railway freight or conveyed by truck or airfreight. The Board shall not be liable for any deliveries unless same has been received at the specified delivery location within the Dallas/Fort Worth International Airport, inspected and accepted as in full compliance with the Specifications. Risk of theft, destruction, loss or damage to any work, materials, shipment, or deliveries will be borne exclusively by the successful Bidder until after the Board completes its inspection and acceptance of said work, material, shipments, or deliveries; the burden and cost of insurance against such risks shall be assumed by the successful Bidder. 7.3 Delivery will be made only upon authorization of the Board s Technical Representative or Board's Vice President of PMM or designee, and shall be made if, as, and when required and ordered by the Board, at such intervals as directed. 7.4 Bidder warrants that all deliveries made under the Contract will be of the type and quality specified; and the Board's Vice President of PMM may reject and/or refuse any delivery that falls below the quality specified in the Specifications. The Board shall not be held to have accepted any delivery until after an inspection of same has been made and an opportunity to exercise its right of rejection has been afforded. 7.5 Failure by the Contractor to make reasonable delivery as and when requested shall entitle the Board's Vice President of PMM to acquire quantities from alternate sources wherever available, with the right to seek reimbursement from the Contractor for amounts, if any, paid by the Board over and above the bid price. 119
7.6 All materials delivered if required shall be free of any and all liens and shall upon acceptance thereof become the property of the Board, free and clear of any materialman's, supplier's, or other type liens. 7.7 Acceptance by the Board of any delivery shall not relieve the Contractor of any guarantee or warranty, express or implied, nor shall it be considered an acceptance of material not in accordance with the Specifications and shall not waive the Board's right to request replacement of defective material. 8 DELIVERY LOCATION 8.1 Unless otherwise directed by the specifications, order, or the Board s Technical Representative, the products to be furnished under this Contract shall be delivered to: Dallas/Fort Worth International Airport Board Procurement and Materials Management Department 3122 East 30th Street (Carbon Road) DFW Airport, Texas 75261 8.2 Successful Bidder may be required to provide notification of intent to deliver at least twenty-four (24) hours in advance of scheduled delivery. Unless otherwise agreed upon at time of notification, delivery must be accomplished between the hours of 8:00 a.m. and- 4:00 p.m., Monday through Friday (excluding Board-observed holidays). 9 INSURANCE PROVISIONS 9.1 DEFINITIONS FOR INSURANCE PROVISIONS We, us, or our means the Dallas/Fort Worth International Airport Board. You or your means the vendor, contractor, tenant, consultant, engineer, architect, and their agents, servants, employees, or other party to a contract with us. Contract means the contract, purchase order, Invitation for Bid, or similar memorandum or agreement. For purpose of defining Additional Insured and Waiver of Subrogation, the term Dallas Fort Worth International Airport Board (the Board) and the Cities of Dallas and Fort Worth, Texas (the Cities) shall also mean the elected officials, boards, officers, employees, agents and representatives of the Board and the Cities. 9.2 GENERAL REQUIREMENTS 9.2.1 You shall, at your own expense, maintain in effect not less than the following coverages and limits of insurance, which you shall maintain with insurers, policy forms and deductibles satisfactory to us. If your coverage fails to comply with these requirements, you agree to amend, supplement or endorse the existing coverage to comply, at no additional cost to us, and to maintain such insurance through the end of the contract, warranty period, or other specified time period, whichever is longer. ANY deviation from the requirements outlined below requires the prior written approval of the Board s Assistant Vice President of Risk Management. 9.2.2 All policies must be written through a licensed company authorized by the Texas State Board of Insurance to transact that class of insurance business in the State of Texas, with a minimum 120
rating of A -,and VII by A. M. Best Company. If the rating of any insurer should fall below this standard, you shall cause the policy to be replaced promptly by an acceptable insurer. 9.2.3 All policies, except policies for workers compensation, professional liability and pollution liability, shall designate the below mentioned parties as Additional Insureds, either by a blanket additional insured endorsement, or by specific endorsement: Dallas Fort Worth International Airport Board and the Cities of Dallas and Fort Worth, Texas 9.2.4 All policies shall waive the insurer s right of recovery or subrogation against the Board and the Cities. 9.2.5 If any policy is in excess of a deductible or self-insured retention (SIR), the amount of such deductible or SIR must be clearly identified, and may not exceed one (1%) percent of your net worth. We reserve the right to reject any deductible or SIR, or require you to provide a bond at no additional cost to the Board. 9.2.6 All policies must be primary with respect to coverage provided for the Board. 9.2.7 All policies must be non-contributory with other coverage or self-insurance available to the Board. 9.3 REQUIRED COVERAGE AND LIMITS 9.3.1 Workers Compensation... Statutory Coverage Employer s Liability Insurance... $500,000 Each Accident $500,000 Each Disease, Each Employee $500,000 Each Disease Policy Limit 9.3.1.1 All employees, leased or co-employees, independent contractors, and employees of subcontractors and vendors, occupants of the building as tenants, sub-tenants or sub subtenants, performing work for the Board, or entering upon the Board s premises, must be covered by Workers Compensation. 9.3.1.2 If Contractor is a sole proprietorship without employees and which will not be using any subcontractor(s) in the performance of the Contract Work, it may substitute the following for workers compensation insurance: The Contractor must provide the Board's Risk Management Department (Risk Management) with proof of medical insurance covering the sole proprietor and, as sole proprietor, must sign and provide to Risk Management a Hold Harmless and Indemnification Agreement in the form attached in the Proposal Response Forms section. 9.3.1.3 Commercial General Liability (CGL) Limit Any One Occurrence... $1,000,000 Damage to Rented Premises... $100,000 Personal and Advertising Injury... $1,000,000 Policy Aggregate (per location or per project)... $2,000,000 9.3.1.4 CGL coverage applies unless you provide only trucking, (no premises or operations other than driving, loading/unloading), or garage operations, (see below). 9.3.1.5 All Liability policies, except Pollution & Professional, must be written on an Occurrence Form. Neither Modified Occurrence nor Claims-Made policies are acceptable, and the Contractor 121
will be in contractual default if your insurance is Modified Occurrence or Claims Made. If the Pollution or Professional Liability policy is Claims-Made, the Retroactive Date must be on or before the contract date or the date of the Contractor s first professional service to the Board, your first exposure to pollutants, or first work that may give rise to a pollution liability claim, related to our contract. 9.3.1.6 Aggregate limits of all Liability policies shall be per project or per location, as appropriate. If any aggregate limit is reduced by 25% or more by reserved and/or paid claims, the contractor must notify the Board and promptly reinstate the required aggregates. 9.3.1.7 All Liability policies must provide unlimited defense costs in excess of policy limits. 9.3.1.8 All liability policies shall name the Board and the Cities (as defined above) as Additional Insureds, including coverage for Products/Completed Operations. 9.3.1.9 All liability shall include Broad Form Contractual Liability covering the indemnification provisions of our contract. 9.3.1.10 All liability policies shall cover loss caused by the contractor s subcontractors, independent contractors, suppliers or other parties providing goods or services in connection with our contract. 9.3.1.11 All liability policies must contain a severability of interests provision. 9.3.1.12 All liability policies must cover cross-suits between insureds. 9.3.1.13 If the contractor s operations involve excavation, grading, filling, backfilling, road or similar construction, no Liability policy may contain exclusions for subsidence or earth movement. 9.3.1.14 If the contractor s operations involve any construction, no liability policy shall contain exclusions for hazards of explosion ( X ), collapse ( C ) or underground ( U ). 9.3.1.15 If the contractor s operations involve any construction, reconstruction, repair or similar work, no liability policy may contain any exclusion for such work. 9.3.2 Business Automobile Liability Combined Single Limit for Each Accident... $500,000 9.3.2.1 Coverage must apply to all vehicles (owned, non-owned, or hired) operating on our site/location, or transporting our people or property off our site, except vehicles operated by you or your employee(s) commuting in personal vehicles to our parking facilities, in which case you must only carry Employer s Non-Ownership coverage, (same limit), and ensure that such vehicle(s) are personally insured. 9.3.2.2 Auto pollution liability coverage is required on vehicles hauling hazardous cargo. 9.3.2.3 If your operations are solely a garage (vehicle maintenance and repair), you must carry Garage Liability, instead of Business Auto Liability, but the Garage Liability must not be limited to auto liability only, and the same limit applies. 9.4 ADDITIONAL COVERAGE AND LIMITS 122
9.4.1 Excess / Umbrella Liability... $10,000,000 9.4.1.1 Coverage must apply in excess of all required primary General Liability and Professional Liability insurance, and must be at least as broad as the underlying Liability insurance. 9.4.1.2 This coverage limit may be satisfied by adding the amounts of CGL and Excess/Umbrella Liability to arrive at the total for Excess/Umbrella coverage stated above. The same would be applicable for Business Auto Liability and Excess/Umbrella Liability to arrive at the total for Excess/Umbrella coverage stated above. 9.4.2 Professional Liability Insurance... $1,000,000 9.4.2.1 Your policy must cover the type of professional service you will provide in fulfilling your contract with the Board. 9.4.2.2 If the Professional Liability policy is Claims-Made, the Retroactive Date must be on or before the contract date or the date of the contractor s first professional service to the Board. 9.4.3 Technology Professional Liability Insurance... $1,000,000 Professional liability insurance with a minimum limit of $1,000,000 each claim, with a retroactive date (if claims-made) on or before the effective date of this contract. The policy must cover liabilities for financial loss resulting or arising from acts, errors & omissions in rendering professional services; including, without limitation, third party losses due to security failures in connection with technology services, internet professional services, security and privacy liability, technology errors and omissions; and, must cover Contractor and all subcontractors / subconsultants of Contractor, individuals or other entities providing professional service concerning this Contract. The insurance coverage will include coverage for claims due to programming errors, software performance, or the failure of Contractor s work to perform according to the Contract and will remain in effect two years after work completed or expiration of this contract, whichever is later. 9.5 ADDITIONAL REQUIREMENTS 9.5.1 If you are a crane/rigging operator or will hoist or move property of others in connection with our contract, you must have care, custody & control exclusion deleted from your Commercial General Liability policy, or provide Rigger s Liability coverage at least equal to the highest replacement cost of materials to be hoisted or moved. 9.5.2 If your vehicles carry materials belonging to others in connection with our contract, you must carry Cargo Liability coverage, at least equal to the highest value of property to be carried on a single vehicle, with terminal coverage at least equal to the highest value of property at one terminal, owned or controlled by you. 9.5.3 If you will store, warehouse, or otherwise have custody of property belonging to others in connection with our contract, you must have Warehousemen s Liability, Bailee s Customers Goods, Garage-Keeper s Legal Liability or equivalent coverage at least equal to the highest value of property in your custody. 9.5.4 If our contract calls for you to construct a structure, you must purchase and maintain All-Risk Builders Risk insurance for the full completed value of the structure and contents, including all 123
changes and sufficient limit to fund full and immediate reconstruction under adverse conditions. This policy shall cover our interests as Loss Payee, so any loss will be adjusted with and made payable to us as trustee for all insureds as their interest may appear. 9.5.5 If you transport materials, equipment, machinery or furnishings to, or store such property on, our construction site, you must carry an All-Risk Installation Floater with coverage at least equal to the greatest concentration of value, (including the cost of transit, installation labor and testing). 9.5.6 If you use rented equipment or tools on our job site or premises, you must carry Rented Equipment coverage sufficient to repair or replace damaged equipment. 9.5.7 If you sell or serve alcohol or alcoholic beverages, you must carry $3,000,000 Liquor Legal Liability, not limited to host liquor coverage. 9.5.8 If your work involves administration of Airport Funds, you must furnish a Third Party Fidelity Bond that must remain in effect for the term of the contract, as modified and/or extended. The Board shall be named as "Loss Payee". 9.5.9 Should this Contract require the use of Subcontractors, it will be the sole responsibility of the General Contractor to either require Subcontractors to provide and maintain the insurance limits and coverages required herein or provide said insurance coverage for the subcontractor by designating the Subcontractor as an additional insured either by a blanket additional insured endorsement, or by specific endorsement. 9.5.9.1 The General Contractor shall verify that such Subcontractors are in compliance with all contractual insurance requirements. 9.5.9.2 The General Contractor shall assume all liability for those Subcontractors who do not meet the insurance requirements. 9.5.9.3 Access to the Air Operations Area will not be granted without verification of insurance coverage as required. 9.6 CERTIFICATION OF INSURANCE 9.6.1 Prior to execution of the contract you shall have your insurance agent(s), broker(s), or Insurer(s) enter your policy information into www.ins-cert.com and link your policy data to us. You shall cause your insurance data to be kept current on Ins-Cert.com for the period of time you are liable for your product or work, but not less than the warranty period of our contract. You further agree to cause your insurance agent(s), broker(s) or Insurer(s) to properly register, use and pay the fees for using Ins-Cert.com, (your agent will be charged $3 to enter your policy data, and 25 when we verify your coverage on-line, which is less than the cost of issuing certificates, so there should be no effect on your cost of insurance or service). 9.6.2 Paper, faxed or e-mailed insurance certificates are NOT acceptable. 9.6.3 You shall cause your insurance agent, broker or insurer to enter any restrictive or exclusionary provisions or endorsements that may affect you, us, and those required to be named as Additional Insureds, into Special Exclusions in Ins-Cert.com. 124
9.6.4 You further agree, upon our oral or written request, to furnish copies of your policies, certified by an authorized representative of the insurer(s), within ten (10) days of request. 9.6.5 All of your insurance policies shall contain a provision that written notice shall be given to the Board s Risk Management department, at least thirty (30) days prior to cancellation, except ten (10) days for non-payment of premium. In the event that you are notified that an insurer intends to terminate or non-renew a policy or reduce coverage below our requirements, you shall arrange acceptable alternate coverage to comply with our requirements and cause replacement coverage data to be obtained. In addition you shall cause your agent, broker or insurer to enter a cancellation date into Ins-Cert.com, as soon as the effective date is known to the agency, brokerage or insurer, (if insurer enters data). 9.6.6 Upon execution of the contract or prior to commencement of work, whichever is first, you shall have your insurance agent(s), broker(s), or Insurer(s) enter your policy information into www.ins- Cert.com, and link your policy data to us. You shall cause your insurance data to be kept current on Ins-Cert.com for the period of time you are liable for your product or work, but not less than through the warranty period of our contract. 9.6.7 No policy submitted shall be subject to limitations, conditions or restrictions that are inconsistent with the intent of the Insurance Requirements to be fulfilled by you. The Board's decision thereon shall be final. 9.6.8 Approval, disapproval or failure to act by the Board regarding any insurance obtained by you shall not relieve you of full responsibility or liability for damages and accidents as set forth herein. Neither shall the bankruptcy, insolvency or denial of liability by the insurance company exonerate you from liability. 9.6.9 No special payment, except when separate line item is provided, shall be made by the Board for any insurance that the Contractor may be required to carry; all are included in the Contract amount and the Contract unit prices. 10 NEW MATERIALS All products and components to be provided under this Contract shall be new (not used or reconditioned, and not of such age or so deteriorated as to impair their usefulness or safety), of current production, and of the most suitable grade for the purpose intended, unless otherwise specified. If at any time during the performance of this Contract the Contractor believes that the furnishing of supplies or components which are not new is necessary or desirable, it shall notify the Vice President of PMM immediately, in writing, including the reasons and proposing any consideration which will flow to the Board if authorization to use such supplies or components is granted. 11 PROTECTION AND RESTORATION OF PROPERTY 11.1 The Contractor shall be responsible for all damage or injury to property of any character, during the prosecution of the Work, resulting from any act, omission, neglect, or misconduct in his/her manner or method of executing the Work, or at any time due to defective Work or materials, and said responsibility will not be released until the project shall have been completed and accepted. 11.2 When or where any direct or indirect damage or injury is done to public or private property by or on account of any act, omission, neglect, or misconduct in the execution of the Work, or in consequence of the nonexecution thereof by the Contractor, the Contractor shall restore, at its 125
own expense, such property to a condition similar or equal to that existing before such damage or injury was done, by repairing, or otherwise restoring as may be directed, or he shall make good such damage or injury in an acceptable manner. 12 PUBLIC CONVENIENCE AND SAFETY The Contractor shall control its operations and those of its subcontractors and all suppliers to assure the least inconvenience to the Board operation. Under all circumstances, safety shall be the most important consideration. 13 SMALL BUSINESS ENTERPRISE (SBE) PROVISIONS Notification is hereby given that a SBE contract specific goal has been established for this Contract. The Contractor/vendor has committed to fifteen percent (15%) SBE participation of the total dollar value of this Contract including any change orders and/or modifications throughout the term of this contract/agreement. The commitment is a contractual commitment upon execution of the contract. 13.1 GENERAL REQUIREMENTS 13.1.1 It is the policy of the Dallas/Fort Worth International Airport Board of Directors ( Board ) to support the growth and development of Small Business Enterprises ( SBEs ) that can successfully compete for Airport prime contracting and subcontracting opportunities. 13.1.2 A Contractor is defined as one who participates, through a contract or any other contractual agreement in an Airport-funded contract opportunity. For purposes of these Provisions, a Contractor is one who seeks to do business with the Board by submission of a bid or proposal on any such contract or subcontract. A Contractor includes but is not limited to a Contractor, consultant, or vendor. 13.1.3 It is the policy of the Board to ensure non-discrimination in the award and administration of Board Contracts. Consequently, the Contractor must fully comply with the requirements of the Board s Small Business Enterprise Program Policies and Administrative Procedures in proposing and performing hereunder. 13.1.4 The Contractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The Contractor shall carry out applicable requirements of the Board s Policies. Failure by the Contractor to carry out these requirements is a material breach of this Contract, which may result in the termination of this Contract or such other remedy, as the Board deems appropriate. The Contractor shall insert an Article containing all of the provisions of this Section, including this paragraph, in all subcontracts hereunder, except altered as necessary for the proper identification of the contracting parties and the Board under this Contract. 13.1.5 The Business Diversity & Development Department ( BDDD ) is responsible to ensure compliance with the Board s SBE Policy and Administrative Procedures. BDDD has the mission to proactively facilitate and maximize business and capacity building opportunities for SBEs by collaborating with internal customers and implementing effective innovative programs and approaches for prime and subcontracting opportunities. 13.1.6 The Contractor specifically agrees to comply with all applicable provisions of the Board s SBE Policy and Administrative Procedures and any amendments thereto. SBE and Non-SBE subcontractors also agree to comply with all applicable provisions of the Board s SBE Policy and Administrative Procedures ( Policies ). 126
13.1.7 The Contractor shall maintain records, as specified in the Audit and Records Section of the Special Provisions in the contract, showing: 13.1.8 Subcontract/supplier awards, including awards to SBEs; 13.1.9 Specific efforts to identify and award such Contracts to SBEs, such as when requested, copies of executed contracts with SBEs to establish actual SBE project participation. 13.2 ADMINISTRATIVE REQUIREMENTS 13.2.1 All Contractors are charged with knowledge of and are solely responsible for complying with each requirement of the Policies making a bid and, if awarded a contract, in performing the work described in the contract documents. These instructions are intended only to generally assist the Contractor in preparing and submitting a compliant bid. Should any questions arise regarding specific circumstances, Contractors must consult with the BDDD office at 972-973-5500. 13.2.2 The Contractor shall appoint a high-level official to administer and coordinate the Contractor s efforts to carry out its SBE contractual commitments. 13.2.3 The Contractor agrees to submit monthly reports of payments and subcontract and/or supplier awards to SBEs and Non-SBEs in such form and manner and at such times as the Board shall prescribe. 13.2.4 The Contractor shall provide BDDD access to all books, records, accounts and personnel in accordance with the Audit and Records section of these Special Provisions. Such access will be used for, among other purposes, determining SBE participation and compliance with the Policies. All Contractors may be subject to interim and post-contract SBE audits. Audit determination(s) regarding Contractor s compliance with the SBE Policies may be considered and have a bearing on consideration of the Contractor for award of future Contracts. 13.3 GOALS AND GOOD FAITH EFFORTS 13.3.1 Each Contractor must comply with the terms and conditions of the Policies in making its bid or proposal and, if awarded the Contract, in performing all work thereunder. A Contractor s failure to comply with any Rules or Regulations promulgated pursuant thereto, or any additional requirements contained herein may render a bid or proposal non-responsive and may constitute cause for rejection. 13.3.1.1 Responsive; compliance with requirements. If a bid/proposal meets the contract-specific goal or shows an adequate good faith effort in accordance with the Policies, then BDDD shall notify the procuring department to regard the bid/proposal as responsive. 13.3.1.2 Non-Responsive; failure to meet requirements. If a bid/proposal subject to a contract-specific goal does not meet the goal or show an adequate good faith effort, or provide the necessary documentation or forms outlined in the Policies, then BDDD shall notify the procuring department to regard the bid/proposal as non-responsive. Such determination shall result in no further consideration of the bid/proposal by the Airport. 13.3.1.2.1 Informal meeting. If BDDD finds the bid/proposal non-responsive in accordance with the above, the non-responsive bidder/proposer may request an informal meeting with the Vice President or designee within two (2) business days from the date that the Airport notifies the bidder/proposer of the inadequacy of the proposal. Such meeting shall be scheduled by BDDD. All deficiencies in the bid/proposer shall be explained to the bidder or proposer at such meeting after which the bidder/proposer shall be allowed to clarify the original documentation submitted. BDDD will at no time, however, allow additional information, 127
documentation, certification certificates, subcontractors, joint venturers, suppliers, manufacturers, manufacturer s representatives or brokers that may later be added to the contract or to the original participation submitted at the time of the bid or proposal to be counted toward meeting of the project goal. If after this informal meeting the Vice President still finds the bid or proposal to be non-responsive, the Vice President or designee s decision shall stand with no further consideration. 13.3.2 Under the Policies, BDDD has established a contract-specific goal for this Contract. The specific goal for this Contract is stated in the Advertisement and Invitation to Bid. In order to comply with the proposal requirements, a Contractor must either meet the SBE contract-specific goal or demonstrate that the Contractor has made sufficient good faith efforts to meet the Contract goal. If the Contractor will not meet the SBE goal, it shall nevertheless be eligible for award of the Contract if it can demonstrate to BDDD that it has made good faith efforts to meet the SBE goal. This good faith effort documentation must be submitted with the Contractor s bid or proposal. 13.3.3 A Contractor cannot require exclusive subcontracting or teaming arrangements or agreements with subcontractors. 13.3.4 For Contracts awarded using the procurement methods of Indefinite Delivery, Job-Order- Contract, Construction Management-at-Risk or Design Build, the Vice President of BDDD may determine the requirements to address the Contract goal by means of a Compliance Plan for utilization of SBEs on such Contract, or for alternative demonstration of good faith efforts by the Proposer. The development, scope and utilization of such compliance plans shall be addressed in a separate document. 13.3.5 In evaluating a Contractor s good faith efforts submission, BDDD will only consider those documented efforts that occurred prior to the good faith effort submission. 13.3.6 The submission of good faith efforts documentation is a matter of responsiveness and shall include a specific response to each of the following factors with the bid or proposal. In addition, a Contractor may supplement its responses to include any additional information with the bid or proposal the Contractor believes may be relevant. Failure of the Contractor to demonstrate adequate good faith efforts as to any one of the following categories shall render the overall good faith showing insufficient and the bid/proposal non-responsive. The required SBE good faith efforts are set forth below: 13.3.6.1 Whether the Contractor attended any pre-bid or pre-proposal meetings to discuss subcontracting and supplier opportunities for SBE participation (acceptable documentation shall include copies of the meeting sign-in sheets with Contractor name noted as signed-in); 13.3.6.2 Whether the Contractor advertised in general circulation, trade association, and/or SBE focused media concerning subcontracting and supplier opportunities (acceptable documentation shall be copies of advertisement, newspaper page where advertisement was posted or print media confirmations); 13.3.6.3 Whether the Contractor provided written notice via email or facsimile to a reasonable number of SBEs and/or contacted a reasonable number of SBEs via telephone about the subcontracting/supplier opportunities. A reasonable number of SBEs is based on the number of all SBEs available in the areas of subcontracting or supplier opportunities (acceptable contact modes for solicitation shall be letters, facsimile transmissions, telephone communications and email); 13.3.6.4 Whether the Contractor solicited the SBEs at least five (5) business days prior to bid submission, exclusive of the day the bids are opened, to allow SBEs to participate effectively. Also, whether the Contractor followed up those initial solicitations of interest by contacting SBEs 128
at least three (3) business days prior to bid opening to determine with certainty whether the SBEs were interested (appropriate steps may be demonstrated by second contact attempts by letter, facsimile transmission, telephone communication or email, if bidder/proposer failed to make contact on its first attempt); 13.3.6.5 Whether the Contractor selected portions of the work to be performed by SBEs in order to increase the likelihood of meeting the SBE goals including, where appropriate, breaking down the Contract into economically feasible subcontracts to facilitate SBE participation. This includes portions of the work to be performed by SBEs the Contractor would otherwise prefer to perform with its own workforce. The ability or desire of a Contractor to perform the services of a Contract with its own workforce does not relieve the Contractor of the responsibility to meet the Contract goal or demonstrate good faith efforts to do so (The bidder/proposer shall make a moderate and reasonable adjustment to the normal and practiced industry standard that demonstrates a reasonable willingness to divide up scopes of work to provide more opportunities for SBEs to bid/quote); 13.3.6.6 Whether the Contractor provided interested SBEs with adequate information about the plans, specifications, scope of work and requirements of the Contract or adequate information about the locations of the plans, specifications, scope of work and requirements of the Contract (such access shall be provided at least five (5) business days before bid date or proposal submission); 13.3.6.7 Whether the Contractor fairly investigated and evaluated the interested SBEs regarding their capabilities, not rejecting SBEs as unqualified without sound reasons based on a thorough investigation. Also, whether the Contractor provided verification, including a statement giving the Contractor s reasons for its conclusion, that it rejected each non-utilized SBE because the SBE was not qualified. Qualifications must be based on factors other than solely the amount of the SBE s bid. A Contractor may not reject a SBE as being unqualified without sound reasons based on a reasonably thorough investigation and assessment of the SBE s capabilities and expertise. (Appropriate steps may be demonstrated with a summary matrix that identifies all bidders/proposers, evaluation criteria, assessments, conclusions and verifications); 13.3.6.8 Whether the Contractor negotiated in good faith with interested SBEs regarding price, using good business judgment and not rejecting reasonable quotes from interested SBE firms. Also, whether the Contractor provided written documentation why the Contractor and each of the SBEs contacted did not succeed in negotiating an agreement (Good faith negotiation shall mean scheduled meaningful discussions that demonstrably seek to find reasonable ways to utilize the SBE on the Contract); 13.3.6.9 Whether the Contractor made efforts to assist interested SBEs in obtaining Board or Contractorrequired bonding, lines of credit, insurance, etc.; 13.3.6.10 Whether the Contractor made efforts to assist interested SBEs in obtaining necessary equipment, supplies, materials, or related assistance or services; 13.3.6.11 Whether the Contractor effectively used the services of available minority and women community organizations; chambers and contractor groups; local, State, and Federal business assistance offices, and other organizations that provide assistance in the identification of SBEs (acceptable contact modes for solicitation shall be letters, facsimile transmissions, telephone communications and email, list(s) of SBEs identified, marketing brochure or flyers); 13.3.6.12 Whether the Contractor obtained written documentation from the Board s approved Surety Support Consultant, if applicable, or from a bona fide surety company indicating that bonding was denied and for what reason(s), prior to the SBE being rejected as a potential subcontractor 129
for failing to obtain Contractor-required bonding. Documentation furnished by a surety company will be subject to verification by BDDD; and 13.3.6.13 Whether other Contractors have attained a sufficient level of SBE participation to meet the Contract goals will also be taken into consideration in determining whether the Contractor has made a good faith effort. 13.3.7 BDDD will review not only at the different kinds of efforts that the Contractor has made but also the quantity and intensity of those efforts. Efforts that are merely pro-forma are not good faith efforts to meet the goal, even if they are sincerely motivated. BDDD will also consider if, given all relevant circumstances, the Contractor s efforts could reasonably be expected to produce a level of SBE participation sufficient to meet the goal. 13.3.8 Whether or not the contract-specific goal has been met and/or whether there were sufficient good faith efforts is considered a matter of the Contractor s responsiveness. The requirement to submit documentation that the goal has been met or good faith documentation in the manner prescribed by BDDD is considered a matter of the Contractor s responsiveness. The Board will only award Contracts to Contractors determined to be responsive and responsible. If a Contractor fails to submit good faith efforts documentation with the bid or proposal, it waives the right to appeal the good faith efforts decision. The Vice President of BDDD or designee shall be responsible for determining whether the Contractor made the required good faith effort to meet the SBE Contract goal and, if not, shall recommend that the Contractor be deemed nonresponsive. 13.3.9 If a Contractor desires a review of the Vice President of BDDD s decision, it shall file a written request for final reconsideration within five (5) business days after receipt of the decision to the Reconsideration Official: Executive Vice President Administration & Diversity P.O. Box 619428 DFW Airport, TX 75261 As part of the reconsideration, the Contractor will have the opportunity to provide written documentation or argument concerning the issue of good faith. 13.3.10 The Contractor has a continuing obligation as a covenant of performance to meet the SBE utilization to which it committed at Contract award, inclusive of change orders, amendments, and modifications. If the Contractor during Contract performance must replace a SBE for any reason, it must follow the provisions herein governing the substitution of SBEs and make documented good faith efforts to meet its original SBE contractual commitment. 13.3.10.1 Such good faith efforts during Contract performance must include, but are not limited to: 13.3.10.1.1 Solicitation of SBEs that are certified in the applicable area of work or specialty; 13.3.10.1.2 Providing interested SBEs with adequate information about the plans, specifications, scope of work and requirements of the Contract; 13.3.10.1.3 Fairly investigating and evaluating the interested SBEs regarding their capabilities, not rejecting SBEs as unqualified without sound reasons based on a thorough investigation, and providing verification, including a statement giving the Contractor s reasons for its conclusion, that it rejected each non-utilized SBE because the SBE was not qualified. Qualifications must be based on factors other than solely the amount of the SBEs bid; 130
13.3.10.1.4 Negotiating in good faith with interested SBEs regarding price, using good business judgment and not rejecting reasonable quotes from interested SBEs and providing written documentation why the Contractor and any of the SBEs contacted did not succeed in negotiating an agreement; and 13.3.10.1.5 Effectively using the services of available small, minority and women community organizations; chambers and contractor groups; local, State, and Federal business assistance offices, and other organizations that provide assistance in the identification of SBEs 13.3.10.2 A Contractor determined not to have made continuing good faith efforts to meet its SBE contractual commitments may request an administrative review and final reconsideration by the Vice President of BDDD. The Contractor may elect to meet in person to discuss whether the Contractor made continuing good faith efforts in accordance with the Policies. BDDD s determination shall be final. 13.4 COUNTING SBE PARTICIPATION 13.4.1 BDDD will evaluate each bid or proposal to determine the responsiveness of the bid or proposal to the SBE requirements. In determining if a Contractor s committed levels of participation meet or exceed the solicitation s SBE goal, BDDD shall base its determination solely on the information provided in the bid or proposal document. 13.4.2 Unless otherwise specified in the solicitation, all bids or proposals for the provision of Indefinite Delivery or Job-Order-Contracts for a period of time and with no delineation of the dollar amount for specific on-call projects, the Contractor shall submit only the anticipated overall percentage of SBE contractual commitment and post award, submit a completed Compliance Plan for review and approval by the Vice President of BDDD. 13.4.3 If a joint venture is proposed to meet the contract-specific goal or any portion thereof, the total value of the distinct and clearly defined portions of the work of the Contract that the SBE will perform with its own workforce; reflect its capital contribution, control, management and profits; and for which it is at risk will be counted. 13.4.4 When calculating participation levels, percentages and dollar amounts for each SBE, the Contractor cannot round up in determining whether or not the total of these amounts meets or exceeds the contract-specific goal. 13.4.5 An SBE must be certified as an SBE by a Board-approved entity and have a place of business in the Airport s market area at the time of bid or proposal submission to be counted towards meeting the contract-specific goal. Other certifications are not acceptable. 13.4.6 Post award, the Contractor may count towards its SBE contractual commitment a SBE that is certified during the performance of the Contract if the SBE is added to the Contract or substituted for a SBE pursuant to section herein. 13.4.7 The Contractor may not count toward its SBE contractual commitment the dollar value of work performed by a SBE after it has ceased to be certified as a SBE, except where the SBE is no longer certified because it has exceeded the size standard per the SBE Policies. 13.4.8 SBE prime Contractors can count their self-performance toward meeting the contract-specific goal, but only for the scope of work and at the percentage level they will self- perform. 13.4.9 When a SBE participates in a Contract, the Contractor shall count only the value of the work actually performed by the SBE toward SBE goals. 131
13.4.10 A Contractor cannot count toward the SBE contractual commitment amounts paid to an affiliate subcontractor, as defined in 49 C.F.R. Part 16.5 13.4.11 The Contractor shall count the entire amount of that portion of a Contract (or other Contract not covered by this section) that is performed by the SBEs own work forces. The Contractor may count the cost of supplies and materials obtained by the SBE for the work of the Contract, including supplies purchased or equipment leased by the SBE (except supplies and equipment the SBE subcontractor purchases or leases from the prime Contractor or its affiliate). 13.4.12 The Contractor shall count toward the SBE goals the entire amount of fees or commissions charged by a SBE for providing a bona fide service, such as professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance of an Board Contract, provided it determines the fee to be reasonable and not excessive as compared with fees customarily allowed for similar services. 13.4.13 When a SBE subcontracts part of the work of its Contract to another firm, the value of the subcontracted work may be counted towards the SBE goal only if the SBE's subcontractor is itself a SBE. Work that a SBE subcontracts to a non-sbe firm does not count toward SBE goals. 13.4.14 The Contractor will count expenditures to a SBE subcontractor towards the SBE goal only if the SBE is performing a commercially useful function on the Contract. 13.4.14.1 A SBE performs a commercially useful function when it is responsible for execution of the work of the Contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially useful function, the SBE must also be responsible, with respect to materials and supplies used on the Contract, for negotiating price, determining quality and quantity, ordering the materials, and installing (where applicable) and paying for the materials itself. To determine whether a SBE is performing a commercially useful function, the Contractor must evaluate the amount of the work subcontracted, industry practices, whether the amount the firm is to be paid under the Contract is commensurate with the work it is actually performing, the SBE credit claimed for its performance of the work, and other relevant factors. 13.4.14.2 A SBE does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction, Contract, or project through which funds are passed in order to obtain the appearance of SBE participation. In determining whether a SBE is such an extra participant, the Contractor must examine, among other relevant factors, similar transaction, particularly those in which SBEs do not participate. 13.4.14.3 If a SBE does not perform or exercise responsibility for at least 30 percent of the total cost of its Contract with its own work forces, or the SBE subcontracts a greater portion of the work of a Contract then would be expected on the basis of normal industry practice for the type of work involved, the Contractor must presume that it is not performing a commercially useful function. 13.4.14.4 When a SBE is presumed not to be performing a commercially useful function as provided in this section, the SBE may present evidence to rebut this resumption. BDDD may determine that the firm is performing a commercially useful function given the type of work involved and normal industry practices. 13.4.15 The Contractor shall use the following factors in determining whether a SBE trucking company is performing a commercially useful function: 13.4.15.1 The SBE must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular Contract, and there cannot be a contrived arrangement for the purpose of appearing to meet the SBE goal. 132
13.4.15.2 The SBE must itself own and operate at least one fully licensed, insured and operational truck used on the Contract. 13.4.15.3 The SBE shall receive credit for the total value of the transportation services it provides on the Contract using trucks it owns, insures, and operates using drivers it employs. 13.4.15.4 The SBE may lease trucks from another SBE, including an owner-operator who is certified as a SBE. The SBE who leases trucks from another SBE shall receive credit for the total value of the transportation services the lessee SBE provides on the Contract. 13.4.15.5 The SBE may also lease trucks from a non-sbe, including from an owner-operator. The SBE who leases trucks from a non-sbe is entitled to a credit only for the fee or commission it receives as a result of the lease arrangement. The SBE does not receive credit for the total value of the transportation services provided by the lessee, since these services are not provided by a SBE. 13.4.15.6 For purposes of this paragraph, a lease must indicate that the SBE has exclusive use and control over the truck. This does not preclude the leased truck from working for others during the term of the lease with the consent of the SBE, so long as the lease gives the SBE absolute priority for use of the leased truck. Leased trucks must display the name and identification number of the SBE. 13.4.16 The Contractor shall count expenditures to SBEs for materials or supplies towards the SBE goal as follows: 13.4.16.1 SBE Manufacturer 13.4.16.1.1 If the materials or supplies are obtained from a SBE manufacturer, count one hundred percent (100%) of the cost of the materials or supplies towards the SBE goal. 13.4.16.1.2 For purposes of this paragraph, a manufacturer is a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the Contract and of the general character described by the specifications. 13.4.16.2 SBE Regular Dealer 13.4.16.2.1.1 If the materials or supplies are purchased from a SBE regular dealer, count sixty percent (60%) of the cost of the materials or supplies towards the SBE goal. 13.4.16.2.1.2 For purposes of this section a regular dealer is a firm that owns, operates, or maintains a store, warehouse, or other establishment in which materials, supplies, articles or equipment of the general character described by the specifications and required under the Contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. To be a regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. 13.4.16.2.1.3 A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone, or asphalt without owning, operating, or maintaining a place of business as provided in this paragraph if the person both owns and operates distribution equipment for the products. Any supplementing of regular dealers own distribution equipment shall be by a long-term lease agreement and not on an ad hoc or contract-bycontract basis. Packagers, brokers, manufacturers representatives, or other persons who 133
arrange or expedite transactions are not regular dealers within the meaning of this paragraph. 13.4.17 With respect to materials or supplies purchased from a SBE which is neither a manufacturer nor a regular dealer, count the entire amount of fees or commission charges for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on a job site, towards the SBE goal, provided the fees are reasonable and not excessive as compared with fees customarily allowed for similar services. However, the Contractor shall not count any portion of the cost of the materials and supplies themselves toward SBE goals. 13.4.18 If a SBE subcontractor is not certified at the time of the execution of the Contract, supplemental agreement or subcontract, the Contractor may not count the firm s participation towards the SBE goal until the firm is certified. Additionally, the Contractor shall not count the dollar value of work performed under a Contract with a firm after it has ceased to be SBE certified, except where the SBE is no longer certified because it has exceeded the size standard per the SBE Policy and administrative procedures.. 13.4.19 The Board reserves the right to reject the participation of a certified firm for credit towards meeting the Contract goal, in its sole discretion. 13.4.20 BDDD will count SBE participation where the SBE or joint venture partner performs a portion of work on the Contract and the percentage of ownership or equity of the SBE in joint venture. BDDD will allow the joint venture to count the portion of the total dollar value of the Contract equal to the distinct, clearly defined portion of the work of the Contract that the SBE joint venture partner performs with its own forces toward the SBE commitment and for which it is at risk. 13.4.21 The Contractor shall not count the participation of a SBE subcontractor toward the goal until the amount has been actually paid to the SBE. 13.4.22 The following expenditures to SBE firms may also count toward the SBE goal: 13.4.22.1 The fees or commissions charged for providing a bona fide service, such as professional, technical, consultant or managerial services, and assistance in the procurement of essential personnel, facilities, equipment, materials or supplies required for performance of the Contract, provided that the fee or commission is determined by the Board to be reasonable and not excessive as compared with fees customarily allowed for similar services. 13.4.22.2 The fees charged for delivery of material and supplies required on a job site (but not the cost of materials and supplies themselves) when the hauler, trucker or delivery service is not also the manufacturer of or a regular dealer in the materials and supplies, provided that the fee is determined by BDDD to be reasonable and not excessive as compared with fees customarily allowed for similar services. 13.4.22.3 The fees of commission charged for providing any bonds or insurance specifically required for the performance of the Contract, provided that the fee or commission is determined by BDDD to be reasonable and not excessive as compared with fees customarily allowed for similar services. 13.5 CERTIFICATION 13.5.1 In order to count the participation of SBEs towards the Contract goal, the SBE must be certified by the Small Business Administration 8(a) Program, Texas Department of Transportation (TxDOT), North Central Texas Regional Certification Agency, D/FW Minority Supplier 134
Development Council or the Women s Business Council Southwest. Other certifications are not acceptable. 13.5.2 In addition to having a valid certification from one of the entities listed above, the SBE must have a place of business in the Airport s market area at the time the firm is submitted for credit towards meet the SBE goal, which is defined as the North Texas Commission twelve-county area of Dallas, Tarrant, Collin, Delta, Denton, Ellis, Hunt, Johnson, Kaufman, Parker, Rockwall, and Wise counties. The SBE must provide any requested documentation to establish its place of business to the satisfaction of BDDD. 13.5.3 The Contractor must submit to BDDD a properly completed SBE certificate or letter, with all required attachments, for all SBE participation (self-performance, subcontractors or suppliers) proposed to meet the Contract goal at the time of bid/proposal submission. The Board reserves the right to reject the participation of a certified firm for credit towards meeting the Contract goal, in its sole discretion. Such rejection shall be in writing and state the reason(s) for the rejection. A Contractor whose proposed certified firm is rejected for goal credit may request reconsideration of the rejection to BDDD in writing. The request for reconsideration must be received by BDDD within five (5) business days of the notification of rejection. BDDD s decision on the request shall be final. 13.5.4 A firm must be certified as a SBE by an agency accepted by BDDD at the time of bid or proposal submission to be counted towards meeting the goal for purposes of determining Contract award. 13.5.5 Post award, a Contractor may count SBEs certified during the performance of the Contract towards its SBE contractual commitment once documentation confirming such certification is submitted to BDDD. 13.5.6 BDDD and the Texas Department of Transportation maintain a current listing of certified SBEs. Bidders and proposers must utilize these Directories to assist them in locating SBEs for the work required on the Contract. The SBE Directories are located at: http://www.dot.state.tx.us/business/sbeinfo.htm https://dfw.diversitysoftware.com/frontend/vendorsearchpublic.asp?tn=dfw&xid=5886 13.5.7 SBE certification does not constitute a representation or warranty as to the qualifications or capabilities of any certified firm. 13.6 SBE UTILIZATION FORMS AND RELATED DOCUMENTATION 13.6.1 Each Contractor must submit for all solicitations, bids or proposals, completed SBE utilization forms as outlined below. 13.6.1.1 Invitation for Bid (IFB) for Construction Projects: Commitment to SBE Participation must be submitted at the time of bid submission. Preliminary Schedule of Subcontractors must be submitted at the time of bid submission Certification Certificates. Copies of corresponding certification certificates must be attached to the Preliminary Schedule of Subcontractors. Good Faith Effort Documentation. If the Contractor fails to meet the SBE goal, this documentation must be submitted at the time of bid submission. Final Schedule of Subcontractors shall be submitted within three (3) business days from the date of the bid opening or with the bid verification. Intent to Perform as a Subcontractor A signed and executed form for each SBE subcontractor identified on the Final Schedule of Subcontractors, shall be submitted within three (3) business days from the date of the bid opening or with the bid verification. 135
OR 13.6.1.2 Invitation for Bid (IFB) for General Goods and Services Projects: Commitment to SBE Participation must be submitted at the time of bid submission. Certification Certificates. Copies of corresponding certification certificates must be attached to the Final Schedule of Subcontractors. Good Faith Effort Documentation. If the Contractor fails to meet the SBE goal, this documentation must be submitted at the time of bid submission. Final Schedule of Subcontractors shall be submitted at the time of bid submission. Intent to Perform as a Subcontractor A signed and executed form for each SBE subcontractor should be submitted at bid time. 13.6.1.3 Request for Proposals (RFP) or Request for Qualifications (RFQ): OR Commitment to SBE Participation must be submitted at the time of proposal submission. Preliminary Schedule of Subcontractors must be submitted at the time of proposal submission Certification Certificates. Copies of corresponding certification certificates must be attached to the Preliminary Schedule of Subcontractors. Good Faith Effort Documentation. If the Contractor fails to meet the SBE goal, this documentation must be submitted at the time of proposal submission. Final Schedule of Subcontractors shall be submitted with the best and final offer. Intent to Perform as a Subcontractor A signed and executed form for each SBE subcontractor identified on the Final Schedule of Subcontractors, shall be submitted with the best and final offer. 13.6.1.4 Request for Price Proposal for a task/delivery order under an Indefinite Delivery Contract: Commitment to SBE Participation must be submitted at the time of proposal submission. Compliance Plan: Post Contract award, submit to BDDD for review and approval. Final Schedule of Subcontractors At the time that a delivery order price proposal is requested, the Final Schedule of Subcontractors must be submitted with the price proposal submission. Certification Certificates. Copies of corresponding certification certificates must be attached to the Final Schedule of Subcontractors. Intent to Perform as a Subcontractor A signed and executed form for each SBE subcontractor identified on the Final Schedule of Subcontractors must be submitted with the final agreed-upon price proposal for each delivery order. 13.6.2 Any commitments to meet the SBE goal must be detailed on the Commitment to Small Business Enterprise (SBE) Participation form included with the bid/proposal. This commitment includes the following: The Contractor must maintain the SBE participation level to which it committed at contract award throughout the performance of the Contract. A Contractor may not terminate for convenience a SBE subcontractor (or an approved substitute SBE) and then perform the work of the terminated subcontract with its own workforces, those of an affiliate or any other firm, without the prior written consent from BDDD. When a SBE subcontractor is terminated, or fails to complete its work on the Contract for any reason, the Contractor is required to make good faith efforts to substitute another SBE to fulfill its SBE contractual commitment. 136
13.6.3 The Schedule of Subcontractors form must list all subcontractors the Contractor intends to use in performing the work of the project, including non-sbes, and detail the preliminary and/or final percentage and dollar commitment of the Contractor to SBE participation. Only SBEs identified and the levels of participation listed for each at the time of bid submission will be considered in determining whether the Contractor has met the goal. All SBEs must be properly certified under the guidelines of the CERTIFICATION section. Submission of the Intent to Perform as a Subcontractor form for each SBE shall constitute a representation by the Contractor to the Board that it believes the SBE to be certified as a SBE to perform the work as designated. It shall also represent a commitment by the Contractor that if it is awarded the Contract, it will enter into a subcontract with the SBE for the work described at the approximate price and percentage set forth in the Intent to Perform as a Subcontractor form. 13.6.4 If the SBE's information or status changes after the form has been submitted but prior to award of the Contract, the Contractor must immediately notify BDDD of the change and a written explanation for the change by submitting a Request for Approval of Change to Final Schedule of Subcontractors form. No change in SBE participation after bid submission, but prior to Contract award, may change, or be deemed to change, the Contractor s submitted bid amount. The Modification and Substitutions section of the Policies shall govern the modifications and substitutions of the SBEs that occur after Contract award. 13.6.5 Except as authorized by BDDD, the Contractor shall enter into formal agreements with the SBEs listed on the Final Schedule of Subcontractors and Intent to Perform as a Subcontractor forms within ten (10) business days after receipt of the Contract executed by the Board. If requested, the Contractor must provide the BDDD copies of those agreements within five (5) business days of the written request. 13.6.6 Alternative Compliance Plan 13.6.6.1 When the project design is not complete or at a level of completeness allowing for final competitive pricing proposals, BDDD s may, in its sole discretion, require bidders or proposers for a construction or construction-related professional services Contract to submit a Compliance Plan in lieu of the above forms. The Compliance Plan shall be developed in accordance with the following requirements: 13.6.6.1.1 BDDD may require separate goals for project professional services and for project construction services, or a project aggregate goal. The Compliance Plan may be required to address the project professional services goal and project the construction goal, only the project construction goal or any project aggregate goal in BDDD s discretion. 13.6.6.1.2 The construction goal shall be expressed as a percentage of either the total amount of any lump sum construction Contract awarded to complete a project, or in the alternative, the total estimated cost of the work as that term is defined in any guaranteed maximum price Contract awarded to complete a project. 13.6.6.1.3 The Airport department head shall provide a good faith estimate of the construction cost upon which a construction goal shall be set and the bidder or proposer must provide a refined estimate at the time of the submission of a proposed Compliance Plan, if the amount is not reflected in an executed Contract. 13.6.6.1.4 After consultation with the Department head or a designated representative, BDDD shall establish a timetable for submittal and review of the proposed Compliance Plan. 13.6.6.1.5 At BDDD s sole discretion, it may require submission and review of a proposed Compliance Plan during the solicitation process as a solicitation submittal requirement or after the conclusion of the solicitation process as a component of Contract negotiations and award. 137
Failure to comply with the submittal timetable may, at BDDD s sole discretion, result in no further consideration of the proposed Compliance Plan and rejection of the proposal. 13.6.6.2 At a minimum, a proposed Compliance Plan must: 13.6.6.2.1 Comply with the Policies, including affirming that BDDD shall have prompt, full and complete access to all bidder or proposer and subcontractor personnel, books and records required to monitor and assure performance of the approved Compliance Plan and acknowledging the Board s right to withhold payment in the event of non-compliance and subject the Contractor to other sanctions pursuant to the Policies. 13.6.6.2.2 Provide a detailed program for community outreach and support to enhance SBE opportunities. 13.6.6.2.3 Provide a detailed program describing how the bidders or proposers will divide up the anticipated work into economically feasible units calculated to enhance SBE opportunities. 13.6.6.2.4 Describe in detail how the bidders or proposers will make good faith efforts to meet the project goal, including work that the bidders or proposers would normally self-perform, and provide for review, reconciliation milestones and audit opportunities for BDDD. 13.6.6.2.5 If the proposed Compliance Plan is based upon a phased or packaged buy out of the project construction work, the bidders or proposers will describe the process by which the bidders or proposers will address the project goal on a phased/ package or cumulative basis. 13.6.6.2.6 Describe how the bidders or proposers will comply with the requirements herein as part of the subcontractor buyout of the construction work, including use of commitment forms, Schedule of Subcontractors, Intent to Perform and joint venture forms to adequately document committed participation attained. 13.6.6.2.7 Contain a specific acknowledgement of the bidder s or proposer s continuing duty to meet the requirements of the Policies. The Compliance Plan must detail how the proposer will make good faith efforts to maintain its SBE commitments. 13.6.6.2.8 Set forth how the bidders or proposers will comply with BDDD s online reporting system for tabulation of participation performance and plan administration and for monitoring and reporting progress and participation performance to BDDD. 13.6.6.2.9 Recommend methods for supporting BDDD administration and oversight of the Compliance Plan. 13.6.6.2.10 Set forth a detailed methodology for issuance of notice(s) of non-compliance to the bidder s or proposer s subcontractors with the Compliance Plan and a reasonable opportunity to cure. 13.6.6.2.11 Set forth a detailed methodology for final reconciliation of participation performance, measured against the established goal and plan close out. 13.6.7 BDDD shall approve or initially reject, with comments, the proposed Compliance Plan. If the proposed Compliance Plan is rejected, the bidder or proposer may submit a revised Compliance Plan by a date set by BDDD. BDDD in its sole discretion may meet with the proposer to discuss any deficiencies that must be addressed in the revised Compliance Plan. If BDDD determines the revised Compliance Plan is insufficient to meet the requirements of the Policies, it shall notify the department head in writing of the rejection and the reasons for the rejection. BDDD s determination shall be final and result in no further consideration of the proposal or, in the event a 138
Contract has been awarded, in withdrawal of the award for cause. In no event shall a Contract to construct a project be executed or continue without an approved Compliance Plan. 13.7 PAYMENT 13.7.1 It is Board policy that all Contractor invoices submitted to it in compliance with the Contract will be paid by it within 30 days of its receipt. 13.7.2 All Contractors must comply with the Texas Prompt Pay Act (Chapter 2251; Texas Government Code) in paying all sums, including retainage withheld from subcontractors, to subcontractors, subconsultants, vendors, materialmen, suppliers and similar persons or entities, including paying such persons or entities within 10 days of receiving payment from the Board their appropriate share of such payment. No Contractor that has received payment of an undisputed amount from the Board may withhold from any subcontractor its undisputed appropriate share of such payment. 13.7.3 No Contractor may withhold retainage from any subcontractor at a higher percentage rate than retainage is withheld by the Board from Contractor. Except for the Texas Prompt Pay Act requirement that a Contractor release retainage to a subcontractor within 10 days of that subcontractor s invoice for retainage, each Contractor must withhold/release retainage from/to each subcontractor in at least the same manner as retainage is withheld/released by the Board from/to Contractor (and must include provisions in its subcontracts ensuring this), including, but not limited to mirroring the Board s treatment of retainage withheld/released to Contractor concerning the following subjects: 13.7.3.1 the percentage amount of retainage withheld/released; 13.7.3.2 the schedule for withholding/releasing retainage; 13.7.3.3 the phased release of retainage according to any phased completion (substantial/final) of portions of the project; 13.7.3.4 the optional cessation of withholding retainage prior to substantial/final completion of, or final payment for, the project (e.g. optional cessation when 50% of project is substantially complete, with an owner s right to resume withholding retainage upon the occurrence of certain events); 13.7.3.5 the release of retainage prior to final payment, less an amount withheld to cover a percentage of the value of punch-list work required before final completion is certified (e.g. retention of 200% of the value of punch-list work pending certification of final completion). 13.7.4 Each Contractor must address (and implement) in its subcontracts the subject of retainage so that each subcontractor is treated by the Contractor in the same manner as Board treats Contractor. Nothing in this provision precludes a Contractor from including in its subcontracts retainage provisions that are more favorable than those contained in the Contract between Board and Contractor, including, but not limited to, provisions withholding retainage at a lesser percentage rate, releasing retainage in part/whole earlier than retainage released by Board and/or withholding less retainage than Board withholds to cover the value of punch-list work required to be completed before final completion certification. 13.7.5 DFW encourages all Contractors and their subcontractors, subconsultants, vendors, materialmen, suppliers and similar persons or entities to make payment of invoices submitted to them more expeditiously than required under the Texas Prompt Pay Act. 13.7.6 Payment by a Contractor in violation of the terms of the Contract or applicable law will constitute a material breach of this Contract. 139
13.7.7 The Board may withhold progress payments until the Contractor demonstrates compliance with the payment terms of this Contract or applicable law, including withholding progress payments solely relating to monies payable to Contractor for work it self-performs or associated retainage. 13.7.8 The Board may also exercise any other rights or remedies available to it under this Contract or applicable law if Contractor fails to comply with the payment terms of this Contract or applicable law. 13.7.9 In an effort to remove the obstacle of the length of time for subcontractor payments on Board procurements, the Board has an Expedited Payment Policy for eligible Contractors that may elect to voluntarily participate in. This policy is applicable if a Contractor has been awarded a multi-year Contract for construction and/or maintenance services of at least $10,000,000 in Contract value. The Expedited Payment program requires those eligible Contractors that voluntarily participate in the program to pay their subcontractors within seven (7) calendar days after receipt of the subcontractor s invoice. The Board would then pay interest and provide other incentives to the Contractor on eligible expedited payments according to the Expedited Payment Process and Policy. The terms for Expedited Payment will be negotiated prior to the issuance of the Notice to Proceed. 13.7.10 To ensure that the Contractor meets all its SBE contractual commitments, BDDD will review the Contractor's SBE utilization throughout the term of the Contract, including any term extensions of the original Contract period. If a Contract includes a SBE contractual commitment, the Contractor must report all SBE payments using the BDDD s online reporting system and submit a Pay Period Activity Report (PPAR) (with verifying information) concurrent with the Contractor s submission of payment requests with each invoice. The information reflected on the PPAR will be utilized to provide constant monitoring of the payments made to the SBE as well as non-sbe subcontractors in relation to the percentage of work performed. Failure to include a required PPAR form with the invoice utilizing the Board s online reporting system will result in the invoice being returned to the Contractor. 13.7.11 Contract Close Out: To ensure that the Contractor meets all its SBE contractual commitments, BDDD will review the Contractor s SBE utilization throughout the term of the Contract, including any term extensions of the original Contract period, prior to receiving final payment. If a Contract includes a SBE contractual commitment, the Contractor must report all SBE payments using BDDD s online reporting system and submit Final Pay Period Activity Report (with verifying information) concurrent with the Contractor s submission of final payment request. 13.7.12 BDDD encourages all Contractors that may have a dispute with any subcontractor to attempt to resolve such dispute through appropriate formal or informal alternative dispute resolution procedures, including, but not limited to, negotiation, mediation, collaborative law, arbitration and/or conciliation, prior to seeking BDDD s assistance in resolving the dispute. If any Contractor or subcontractor does seek BDDD s assistance, it may require them to first attempt to resolve their dispute through appropriate alternative dispute resolution procedures and to provide BDDD with evidence of their good faith attempts to resolve the dispute as a condition of further assistance from BDDD. 13.8 MODIFICATIONS OR SUBSTITUTIONS 13.8.1 This Section applies to all subcontractor modifications, changes and substitutions under this Contract. The Contractor shall comply with this Section to the extent needed to achieve its SBE contractual commitment stated in its Commitment to Small Business Enterprise (SBE) Participation form. 140
13.8.2 The Contractor understands that if change orders or any other Contract modifications are issued under the Contract, the Contractor shall have a continuing obligation to immediately inform BDDD in writing of any agreed upon increase or decrease in the scope of work of such Contract, regardless of whether such increase or decrease in scope of work has been reduced to writing at the time of notification. 13.8.3 The Contractor agrees that if change orders or other Contract modifications are issued under the Contract that include an increase in the scope of work whether by amendment, change order, force account or otherwise which increases or decreases the dollar value of the Contract, whether or not such change is within the scope of work designated for performance by a SBE at the time of Contract award, then such amendment, change order or other modification shall be contemporaneously submitted to BDDD. The Contractor must make good faith efforts to meet its SBE contractual commitment. If the Contractor is unable to meet its SBE contractual commitment, it must submit a Request for Approval of Change to Final Schedule of Subcontractors, must be approved in writing by BDDD. 13.8.4 The Contractor cannot terminate or otherwise change the terms of its Final Schedule of Subcontractors prior to or after Contract award without the prior written consent of BDDD. This includes, but is not limited to, instances in which the Contractor seeks to perform work originally designated for a SBE subcontractor with its own forces or those of an affiliate, a non-sbe or another SBE. 13.8.5 The Contractor must demonstrate good cause to terminate the SBE to the satisfaction of BDDD. Good cause includes the following circumstances: 13.8.5.1 The listed SBE subcontractor fails or refuses to execute a written Contract. 13.8.5.2 The listed SBE subcontractor fails or refuses to meet the Contractor s reasonable, nondiscriminatory bond requirements. 13.8.5.3 The listed SBE subcontractor becomes bankrupt, insolvent or exhibits credit unworthiness. 13.8.5.4 The listed SBE is ineligible to work on public works projects because of suspension and debarment proceedings pursuant to federal or state law. 13.8.5.5 BDDD has determined that the listed SBE subcontractor is not a responsible contractor. 13.8.5.6 The listed SBE subcontractor voluntarily withdraws from the project and provides BDDD written notice of its withdrawal. 13.8.5.7 The listed SBE subcontractor is ineligible to receive to receive credit for the type of work required. 13.8.5.8 The SBE owner dies or becomes disabled with the result that the listed SBE subcontractor is unable to complete its work on the Contract. 13.8.5.9 Other good cause as determined in BDDD s sole discretion, Good cause does not include where the Contractor seeks to terminate a SBE it relied upon to obtain the Contract so that the Contractor can self-perform the work or substitute another SBE or non-sbe subcontractor to perform the work for which the SBE was engaged or listed on the Final Schedule of Subcontractors. 13.8.6 The Contractor must give the SBE notice in writing, with a copy to BDDD, of its intent to request to terminate and/or substitute, and the detailed reasons for the request. The Contractor and the 141
SBE must attempt to negotiate a resolution of the situation, and if the negotiation is unsuccessful, the Contractor must document this effort before the Contractor seeks BDDD s approval to substitute the SBE. 13.8.7 Contractors must meet the above criteria and process before requesting prior written approval of any material change in the ownership, control, duties, functions and responsibilities of any SBE. The Contractor cannot make any changes to the Final Schedule of Subcontractors without the prior written consent of BDDD. 13.8.8 If the Contractor proposes to terminate or substitute a SBE subcontractor for any reason, the Contractor must make good faith efforts as defined herein to find a substitute SBE subcontractor for the original SBE to meet its SBE contractual commitment. Its good faith efforts shall be directed at finding another SBE to perform or provide at least the same amount of work, material or service under the Contract as the original SBE to the extent necessary to meet its SBE contractual commitment. The Contractor may also find additional SBEs and/or adjust the current/projected SBE participation to meet its SBE contractual commitment. 13.8.9 The Contractor must submit an Intent to Perform as a Subcontractor form for each proposed new SBE subcontractor. BDDD will approve or disapprove the substitution based on the Contractor s documented compliance with these provisions. 13.8.10 All changes to the Intent to Perform As A Subcontractor form must be submitted for review and approval through the Request for Approval of Change to Final Schedule of Subcontractors form when adding, changing, or deleting any subcontractor. 13.8.11 If the Contractor does not comply with these provisions relating to the modification or termination of, and/or substitution for a SBE subcontractor, the Board may elect to apply Contract remedies as described in the Board s Policies. Additionally, the Board may order the Contractor to forfeit the profits from the terminated portion of the SBE subcontract. 13.9 COMPLIANCE AND ENFORCEMENT 13.9.1 These Compliance and Enforcement Provisions address the additional contractual remedies available to Board as a result of Contractor s failure to comply with the obligations set forth in the SBE Program requirements. The contractual remedies set forth in the SBE Program are also applicable to the Contractor s failure to comply with the Program requirements, as well as any remedies available at law or in equity. These remedies are not intended to apply to Contractor s failure to comply with other obligations under the Contract unrelated to the Program requirements or preclude Board s recovery of its actual damages for such unrelated breaches. 13.9.2 The Contractor must forward all necessary documents and information during the course of performance under this Contract and to close out the Contract and must cooperate with BDDD in providing any information, including the final accounting for SBE participation on the Contract. 13.9.3 BDDD is empowered to receive and investigate complaints and allegations by SBEs, third parties or Board Staff, or to initiate its own investigations, regarding Contractor s compliance with the Program requirements. If BDDD determines that an investigation is warranted, the Contractor must fully cooperate with the investigation and provide complete, truthful information to the Board concerning the investigation and Contractor s compliance with the Program requirements. 13.9.4 The failure of the Contractor to meet the SBE contractual commitment or comply with any other aspect of the Program requirements will constitute a material breach of the Contract entitling the Board to exercise any remedy available in this Contract, the Program requirements or applicable law. 142
13.9.5 The Board may report any suspected false, fraudulent or dishonest conduct relating to the Contractor s performance of the Program requirements to the Board s Department of Audit Services or to any applicable enforcement agency, including the State Attorney General's Office and appropriate federal law enforcement authorities. 13.9.6 If Contractor is in breach of any of the Program requirements, the Board may exercise any of following remedies, in addition to any other remedies available to it under this Contract or at law or in equity: 13.9.6.1 withholding funds payable under this Contract, including, but not limited to, funds payable for work self-performed by the Contractor or applicable retainage; 13.9.6.2 temporarily suspending, at no cost to DFW, Contractor s performance under the Agreement/Contract; 13.9.6.3 termination of the Agreement/Contract; 13.9.6.4 suspension/debarment, in accordance with applicable law, of Contractor for a period of time from participating in any solicitations issued by DFW for severity of breach of Contract. 13.9.7 With respect to SBE firms, a finding of non-compliance could result in a denial of certification or removal of eligibility and/or suspension and debarment. 14 WARRANTY INFORMATION Manufacturers standard warranty for parts and labor must be included in the prices bid and must meet or exceed any additional warranty requirements specified herein. All manufacturers' warranties shall inure to the benefit of the Board, and replacement of defective materials shall be made promptly upon request. All warranties are subject to compliance with the Uniform Commercial Code. Warranty shall be effective the date of acceptance by the Board. END OF SPECIAL PROVISIONS 143
GENERAL TERMS AND CONDITIONS 1 ASSIGNMENT The Contractor is prohibited from assigning, transferring, conveying, subletting, or otherwise disposing of the Contract or its rights, title, or interests therein, or its power to execute such agreement to any other person, company, or corporation without the prior approval, in writing, by the Dallas/Fort Worth International Airport Board s (Board) Vice President of Procurement and Materials Management Department (PMM), whose approval shall be discretionary. Such consent shall not relieve the assignor of liability in the event of default by its assignee. 2 CHANGES IN CONTRACT The Board reserves the right to make changes in the scope of the Work as may be considered necessary or desirable, and Contractor shall perform the Work as altered, whether increased or decreased, for a new Contract price equitably adjusted to reflect the changes. No allowance will be made for anticipated profits where the scope of the Work has been diminished. All Contract changes must be executed in writing by Contract Change Order signed by the Vice President of PMM or designee from the PMM Department. Payment will be made only for actual quantities of products delivered or Work performed. 3 CODE OF BUSINESS ETHICS 3.1 All Board employees must adhere to the Board s Code of Business Ethics, which is included in this Section by reference. The Contractor is therefore prohibited from offering or providing Board employees, directly or indirectly, any gifts or other items that the Board s Code of Business Ethics does not allow the employee to accept. The Contractor shall ensure that all of its management and other Fair Labor Standard Act-exempt employees associated with this Contract read and understand the Board s Code of Business Ethics. The Board may require each such employee of the Contractor to acknowledge in writing that they have read and do understand the Board s Code of Business Ethics found online at www.dfwairport.com. 3.2 Additionally, the Board frequently uses outside contractors to perform functions similar to those performed by Board employees (e.g., project managers, quality assurance inspectors, payment analysts, contract administrators, etc.). Contractor employees who perform work associated with this Contract (including any supplemental agreements, extra work authorizations, delivery orders, change orders, etc.) shall comply, in all respects, with the Board s Code of Business Ethics as it relates to their assigned scope of work on this Contract. For example, a quality assurance inspector may not accept a gift from a subcontractor that he or she is monitoring, if the Board s Code of Business Ethics would prohibit a Board employee performing the same duties from accepting the gift. 3.3 Any questions related to the interpretation of this Section shall be directed to the Airport Board s General Counsel. 3.4 The Contractor shall insert an Article containing all the provisions of this Section, including this paragraph, in all subcontracts hereunder executed except altered as necessary for the proper identification of the contracting parties and the Board under this Contract. 4 COMPLIANCE WITH LAWS Contractor shall comply with all applicable Federal, State and Local laws, statutes and 144
ordinances, and with all applicable regulations or orders of any governmental department, board, bureau or agency, including the Board. 5 CONFIDENTIAL OR PROPRIETARY INFORMATION Any portion of the Contractor s Bid that is marked confidential or proprietary, or clearly states contains trade secrets of the Contractor may not necessarily guarantee the non-release of the information under the Public Information Act or as otherwise required by law. If access is requested to information in the Contractor s Bid so marked, the Board shall review the issues thoroughly and, if justified, shall request an opinion by the Attorney General's office prior to releasing any information requested under the Public Information Act. 6 DELIVERY / PERFORMANCE OF SERVICES 6.1 Performance will be made only upon authorization of the Board's Vice President of PMM and shall thereafter be made if, as, and when required and ordered by the Board. 6.2 Performance shall be at the location identified in the Contract or purchase order. When no location is specified, the Board s Technical Representative will provide direction. 6.3 The scope of this contract and requirements of the Board as shown in the contract specifications and bid shall not be considered as binding on the Board, and the work actually may be less than or greater than projected. 6.4 Bidder warrants that all work under the contract will be of the type and quality specified, and the Board's Vice President of PMM or designee, may reject, and/or refuse work that falls below the quality required in the specifications. 6.5 Failure by the Contractor to make reasonable progress as and when requested shall entitle the Vice President of PMM or designee, to seek work from alternate sources wherever available, with the right to seek reimbursement from the Contractor for amounts, if any, paid by the Board over and above the bid price. 6.6 All materials delivered shall be free of any and all liens and shall upon acceptance thereof become the property of the Board, free and clear of any materialman s, supplier's, or other type liens. 6.7 All work performed under this Contract, as herein shown under the Specifications, shall be of the highest quality workmanship and shall in every respect meet or exceed the industry standards for this type contract. 6.8 Authorized Board personnel on a routine basis will make inspections. The Contractor must correct any deficiencies in the work performance disclosed during such inspections following receipt of notification. Continued failure to take such corrective actions could, at the Board's discretion, lead to termination of the Contract. 6.9 Failure of Contractor to fully comply with the terms and provisions of this Contract shall constitute grounds for declaring the Contractor in default. 6.10 Acceptance by the Board of any delivery shall not relieve the Contractor/Supplier of any guarantee or warranty, express or implied, nor shall it be considered an acceptance of material not in accordance with the Specifications and shall not waive the Board s right to request 145
replacement of defective material. 6.11 The Contractor shall at all times when Work is in progress be represented in person, either by a qualified superintendent, or by other designated, qualified representative who is duly authorized to receive and execute orders of the Board. 7 SMALL BUSINESS ENTERPRISE (SBE) PARTICIPATION 7.1 It is the policy of the Board to remove barriers for Small Business Enterprises (SBEs) to compete and create a level playing field for SBEs to participate in Board contracts and related subcontracts. 7.2 Additional SBE Program requirements, if any, shall be included in the Special Provisions Section of this Contract. 7.3 The Contractor specifically agrees to comply with all applicable provisions of the Board s SBE Program and any amendments thereto. The Contractor agrees to include all Board SBE Program requirements in all subcontracts and to further require all subcontractors to include all SBE Program requirements into all sub-subcontracts. All subcontractors at all tiers agree to comply with all applicable provisions of the Board s SBE Program. 8 DISPUTE RESOLUTION The Board and Contractor agree that before either party files suit against the other to enforce, or otherwise relating to, the terms of this Contract, it shall notify the other party of its intent to sue. Upon delivery and receipt of such notice, the parties agree to submit the matter to be litigated to mediation before a mutually-agreed upon mediator and to diligently pursue a mediated settlement until such time as the parties mutually agree to terminate such mediation or the mediator declares an impasse. No lawsuit under or relating to this Contract by one party against the other may be filed until mediation of the issue has ended in accordance with the terms hereof. Notwithstanding the foregoing, this section may be enforced by action for specific performance or injunctive relief. 9 FINANCIAL INTEREST Contractor understands that Article 11 of the Contract and Agreement between The City of Dallas and The City of Fort Worth, dated April 15, 1968, prohibits any officer or employee of the Board from having any financial interest, direct or indirect, in any Contract with the Board, or be financially interested, directly or indirectly, in the sale to the Board of any land, materials, supplies, equipment or services, except on behalf of the Board as an officer or employee thereof. Any violation of this prohibition shall constitute malfeasance in office, and any officer or employee adjudged guilty thereof shall thereby be subject to removal from his/her office or position by the Board or the Chief Executive Officer. Any violation of this provision by a member of the Board shall be grounds for removal by a vote of two-thirds (2/3rds) of the City Council appointing such member. 10 FISCAL YEAR FUNDING The Board's fiscal year begins October 1 and ends the following September 30th. Budget funds are approved by the Board and the Cities of Dallas and Fort Worth on an annual basis. In the event the Board/Cities should fail to fund the Contract for any fiscal year during the Contract term, the Contract shall automatically terminate on the last day of the fiscal year for which funding has been approved. Contractor will be given no less than sixty-(60) days written notice of any such non-approval of Contract funding. Termination under this clause shall be without penalty to the Board. 146
11 FORCE MAJEURE Neither Contractor nor the Board shall be responsible or deemed to be in default of its obligations to the other to the extent any failure to perform or delay in performing its obligations under this Contract is caused by events or conditions beyond the reasonable control of that party, and are not due to the negligence or willful misconduct of such party (hereinafter, force majeure events ). For purposes of this Contract, force majeure events shall include, but not be limited to, acts of God or public enemy, war, riot or civil commotion, strikes, epidemic, fire, earthquake, tornado, hurricane, flood, explosion, or other catastrophes, or events or conditions due to governmental law, regulations, ordinances, order of a court of competent jurisdiction, executive decree or order. However, in the event of such delay(s) or nonperformance, the party so delayed shall furnish prompt written notice to the other party (including the date of inception of the force majeure event and the extent to which it will affect performance) and shall undertake all efforts reasonably possible to cure the delay or nonperformance and mitigate its effects or to otherwise perform. The Board shall not be responsible for payment for any product or service delayed or foreclosed by any force majeure event unless and until such delayed or foreclosed product or service is provided. The provisions of this section shall not preclude the Board from canceling or terminating this Contract (or any order for any goods or services included herein), or from revising the scope of the Work, as otherwise permitted under this Contract. 12 INDEMNIFICATION AND HOLD HARMLESS 12.1 CONTRACTOR COVENANTS AND AGREES TO FULLY INDEMNIFY AND HOLD HARMLESS, THE DALLAS/FORT WORTH INTERNATIONAL AIRPORT BOARD AND CITIES OF DALLAS AND FORT WORTH AND THE ELECTED OFFICIALS, EMPLOYEES, OFFICERS, DIRECTORS, VOLUNTEERS AND REPRESENTATIVES OF THE DALLAS/FORT WORTH INTERNATIONAL AIRPORT BOARD AND CITIES OF DALLAS AND FORT WORTH, INDIVIDUALLY OR COLLECTIVELY, FROM AND AGAINST ANY AND ALL COSTS, CLAIMS, LIENS, DAMAGES, LOSSES, EXPENSES, FEES, FINES, PENALTIES, PROCEEDINGS, ACTIONS, DEMANDS, CAUSES OF ACTION, LIABILITY AND SUITS OF ANY KIND AND NATURE, INCLUDING BUT NOT LIMITED TO, PERSONAL OR BODILY INJURY, DEATH AND PROPERTY DAMAGE, MADE UPON THE DALLAS/FORT WORTH INTERNATIONAL AIRPORT BOARD AND CITIES OF DALLAS AND FORT WORTH DIRECTLY OR INDIRECTLY ARISING OUT OF, RESULTING FROM OR RELATED TO CONTRACTOR S ACTIVITIES UNDER THIS CONTRACT, INCLUDING ANY ACTS OR OMISSIONS OF CONTRACTOR, ANY AGENT, OFFICER, DIRECTOR, REPRESENTATIVE, EMPLOYEE, CONTRACTOR OR SUBCONTRACTOR OF CONTRACTOR, AND THEIR RESPECTIVE OFFICERS, AGENTS, EMPLOYEES, DIRECTORS AND REPRESENTATIVES WHILE IN THE EXERCISE OF PERFORMANCE OF THE RIGHTS OR DUTIES UNDER THIS CONTRACT. THE INDEMNITY PROVIDED FOR IN THIS PARAGRAPH SHALL NOT APPLY TO ANY LIABILITY RESULTING FROM THE NEGLIGENCE OF DALLAS/FORT WORTH INTERNATIONAL AIRPORT BOARD AND CITIES OF DALLAS AND FORT WORTH, ITS OFFICERS OR EMPLOYEES, IN INSTANCES WHERE SUCH NEGLIGENCE CAUSES PERSONAL OR BODILY INJURY, DEATH, OR PROPERTY DAMAGE. IN THE EVENT CONTRACTOR AND DALLAS/FORT WORTH INTERNATIONAL AIRPORT BOARD AND CITIES OF DALLAS AND FORT WORTH ARE FOUND JOINTLY LIABLE BY A COURT OF COMPETENT JURISDICTION, LIABILITY SHALL BE APPORTIONED COMPARATIVELY IN ACCORDANCE WITH THE LAWS OF THE STATE OF TEXAS, WITHOUT, HOWEVER, WAIVING ANY GOVERNMENTAL IMMUNITY AVAILABLE TO THE DALLAS/FORT WORTH 147
INTERNATIONAL AIRPORT BOARD AND CITIES OF DALLAS AND FORT WORTH UNDER TEXAS LAW AND WITHOUT WAIVING ANY DEFENSES OF THE PARTIES UNDER TEXAS LAW. 12.2 THE PROVISIONS OF THIS INDEMNIFICATION ARE SOLELY FOR THE BENEFIT OF THE PARTIES HERETO AND NOT INTENDED TO CREATE OR GRANT ANY RIGHTS, CONTRACTUAL OR OTHERWISE, TO ANY OTHER PERSON OR ENTITY. 12.3 CONTRACTOR SHALL PROMPTLY ADVISE THE DALLAS/FORT WORTH INTERNATIONAL AIRPORT BOARD AND CITIES OF DALLAS AND FORT WORTH IN WRITING OF ANY CLAIM OR DEMAND AGAINST THE DALLAS/FORT WORTH INTERNATIONAL AIRPORT BOARD AND CITIES OF DALLAS AND FORT WORTH OR CONTRACTOR KNOWN TO CONTRACTOR RELATED TO OR ARISING OUT OF CONTRACTOR S ACTIVITIES UNDER THIS CONTRACT. 13 INDEPENDENT CONTRACTOR The relationship of Contractor to Board is that of Independent Contractor. Under no circumstances shall Board be considered in privity of Contract with any subcontractor or supplier hired by Contractor, and such subcontractor or supplier, if any, shall look solely to Contractor or to the Contract Bond Surety, if any, for recovery of any claims for monies owed for material supplied or labor performed relating to the Work hereunder. 14 JURISDICTION This Contract shall be construed in accordance with the laws and court decisions of the State of Texas and be enforceable in Dallas County or Tarrant County, Texas, and if legal action is necessary by either party with respect to the enforcement of any and all of its terms and conditions, exclusive venue for same shall lie in Dallas and Tarrant Counties, Texas. 15 NON-DISCRIMINATION As a condition of this Contract, Contractor hereby covenants that it will take all necessary action to insure that, in connection with any Work under this Contract, it will not discriminate in the treatment or employment of any individual or groups of individuals on the grounds of race, color, religion, national origin, age, sex, or handicap unrelated to job performance, either directly, indirectly or through contractual or other arrangements. In this regard, Contractor shall keep, retain and safeguard all records relating to this Contract or Work performed hereunder for a minimum period of three years following final payment by Board or resolution of outstanding issues between the Board and Contractor, whichever is later, with full access allowed to authorized representatives of the Board upon request for purposes of evaluating compliance With this and other provisions of the Contract. 16 NOTICE OF DELAYS Whenever the Contractor encounters any difficulty which is delaying or threatens to delay timely performance (including actual or potential labor disputes), the Contractor shall immediately give notice in writing to the Vice President of PMM, or designee, including all relevant information. Such notice shall not in any way constitute a basis for an extension of the delivery or performance schedule or be construed as a waiver by the Board of any right or remedies to which it is entitled by law or pursuant to provisions herein. Failure to give such notice, however, may be grounds for denial of any request for an extension of the delivery or performance schedule because of such delay. 148
17 PERSONAL LIABILITY OF PUBLIC OFFICIALS In carrying out any of the Contract provisions or in exercising any power or authority granted to him by this Contract, neither the Board s Technical Representative, his/her authorized representatives, nor any employees or officers of the Board shall be personally liable. 18 SEVERABILITY If any provision of the Contract is declared or found to be illegal, unenforceable or void, in whole or in part, then both parties shall be relieved of all obligations arising under such provision, but only to the extent that it is illegal, unenforceable or void, it being the intent and agreement of the parties that the Contract shall be deemed amended by modifying such provision to the extent necessary to make it legal and enforceable while preserving its intent or, if that is not possible, by substituting therefore another provision that is legal and enforceable and achieves the same objectives. Any such invalidity, illegality, or unenforceability shall not affect any other provision of the Contract. The parties agree to negotiate in good faith for a proper amendment to the Contract in the event any provision thereof is declared illegal, invalid or unenforceable. 19 SUBLETTING OF CONTRACT The Board will not recognize any subcontractor on the Work. The Contractor shall at all times when Work is in progress be represented in person, either by a qualified superintendent, or by other designated, qualified representative who is duly authorized to receive and execute orders of the Board s Technical Representative. 20 TAX EXEMPTION STATUS The Board is a local governmental agency and exempt from all city, state, and federal sales and use taxes. However, it shall be understood this tax-exempt status cannot be utilized by the Contractor for its purchase, lease, or rental of a motor vehicle. Additional sales tax requirements may pertain to this Contract and, if so, will be detailed in the Special Provisions contained herein. 21 TEMPORARY SUSPENSION OF THE WORK 21.1 The Board Technical Representative, in conjunction with PMM, shall have the authority to suspend the Work wholly, or in part, for such period or periods as he may deem necessary, due to unsuitable weather, or such other conditions as are considered unfavorable for the performance of the work, or for such time as is necessary due to the failure on the part of the Contractor to carry out orders given or perform any or all provisions of the Contract. 21.2 In the event that the Contractor is ordered by the Board s Technical Representative, in writing, to suspend Work, in whole or in part, for some unforeseen cause not otherwise provided for in the Contract and over which the Contractor has no control, the Contractor shall be paid that part of the Work, if any, not shut down, and for extended overhead, if any relating to the part of the Work suspended. No allowance will be made for anticipated profits. The period of shutdown shall be computed from the effective date of the Technical Representative s order to suspend Work to the effective date of the Technical Representative s order to resume the Work. Claims for extended overhead shall be filed with the Board s Technical Representative within the time period stated in the Board s Technical Representative s order to resume Work. The Contractor shall submit with his/her claim information substantiating the amount shown on the claim. The Board s Technical Representative will forward the Contractor's claim to the Board for consideration in accordance with local laws or ordinances. No provision of this article shall be construed as entitling the Contractor to compensation for delays due to inclement weather, for suspensions made at the 149
request of the Contractor, or for any other delay provided for in the Contract, plans, or specifications. 21.3 If it should become necessary to suspend Work for an indefinite period, the Contractor shall store all materials in such manner that they will not become an obstruction nor likely to become damaged in any way. 22 TERMINATION OF CONTRACT: DEFAULT AND REMEDIES In the event of a default by the Contractor of this Contract or of any one or more Delivery Orders issued hereunder, the Contractor shall be given written notice to cure. Such notice shall describe the default and may, but shall not be required to, recommend a remedy to the default. The Contractor shall have seven (7) days to respond to the notice in writing, which notice shall describe the cure and any associated plan of action. The Contractor shall have thirty (30) days from the date of its receipt of the notice of default to cure the default. If the Contractor has not cured the default on the 31st day after receipt of the notice, the Board may terminate the contract and/or pursue any and all relief, at law or in equity, to which it may be entitled by reason of such default. 23 TERMINATION OF CONTRACT FOR BOARD CONVENIENCE Whenever the Board, in its discretion, deems it to be in the Board s best interests, it may terminate this Contract for the Board s convenience. Such termination shall be effective thirty (30) days after Board delivers written notice of such termination for convenience to the Contractor. Upon receipt of such notice from Board, Contractor shall not thereafter incur, and Board shall have no liability for, any costs under this Contract that are not necessary for actual performance of the Contract between the date of the notice of termination for convenience and the effective date of that termination for convenience. In the event of a termination for convenience hereunder, Board shall have no liability to Contractor for lost or anticipated profit resulting therefrom. 24 TERMS OF PAYMENT 24.1 Terms of payment to the successful Bidder will be contingent upon the terms provided in the Contract and based on invoices submitted to and approved by the Vice President of PMM or designee. Invoices shall be fully documented in accordance with the specifications. If no specific payment terms are stated, the terms shall be Net 30. 24.2 Payment may be delayed on invoices not listing the Contract number. Invoices shall be priced per unit prices as awarded unless Contractor invoices at a discounted unit price. If Contractor invoices for less than the contracted unit price, the Board has the right to accept invoice and pay the discounted price as full satisfaction of compensation due the Contractor. 24.3 Invoices will be paid following delivery and acceptance unless special arrangements are made through the Vice President of PMM for partial payment or progress payments. Progress payments will be made following receipt of a valid invoice submitted by the Contractor. Invoices must reflect only the amount due for accepted portion of the services performed, materials, and equipment furnished for the period covered by each invoice. 24.4 Upon payment by the Board, Contractor shall pay each subcontractor the appropriate share of the payment no later than the seventh (7th) calendar day after the day on which the Contractor receives payment from the Board. 24.5 Unless otherwise directed, invoices shall be submitted by mail, fax or email to: 150
Dallas/Fort Worth International Airport Board Procurement and Materials Management Department Attn: Contract Accounts Payable P. O. Box 619428 Dallas/Fort Worth Airport, Texas 75261-9428 Fax: 972-973-5601 Email: imaging@dfwairport.com USE ONLY ONE METHOD OF INVOICE DELIVERY 25 THIRD-PARTY BENEFICIARY CLAUSE It is specifically agreed between the parties executing the Contract that it is not intended by any of the provisions of any part of the contract to make the public or any member thereof a third party beneficiary or to authorize anyone not a party to the contract to maintain a suit on or under the Contract. END OF GENERAL TERMS AND CONDITIONS 151
PROPOSAL RESPONSE FORMS TO: Vice President of Procurement and Materials Management Department Dallas/Fort Worth International Airport Board P. O. Box 619428 DFW Airport, Texas 75261-9428 FROM: PROPOSAL FIRM 1 PROPOSAL PRICING: 1.1 The Proposing Firm/Consultant hereby proposes to Contract with the Board, on the terms and conditions contained in this Proposal, the General Conditions, the Specifications and Scope of Work, and other conditions attached hereto for the following: CONTRACT FOR ACCESS CONTROL MANAGEMENT SYSTEM PER DALLAS/FORT WORTH INTERNATIONAL AIRPORT BOARD SPECIFICATIONS 1.2 Proposing Firms are to submit their fees for proposed Services inclusive of all direct and indirect costs involved, including support staff, overhead, profit, or other incidentals. 1.3 See Exhibit A Solicitation No. 8004926 Proposal Pricing Schedule. 2 INSURANCE REVIEW VERIFICATION 2.1 Does the proposing firm currently carry the insurance coverage as specified in the Special Provisions? Yes No 2.2 If no, has your firm reviewed the steps necessary, including cost, with your insurance agent, broker or internal department to ensure it will obtain the specified insurance? Yes No 152
3 ORGANIZATIONAL SUMMARY INFORMATION 1. PROPOSAL FIRM: 2. Social Security or Taxpayer Identification Number: (NOTE: Submit copy of Proposer s current W-9 Form.) 3. In what state is the principal place of business? 4. Does the state in which the principal place of business or home office is located have local supplier or manufacturer preference laws? No Yes If yes, give applicable percentage: %, or other conditions: 5. Optional Information: SBE American Indian Female Owned American Indian Male Owned Asian Pacific American Female Owned Asian Pacific American Male Owned Black American Female Owned Black American Male Owned Caucasian Female Owned Caucasian Male Owned Hispanic Female Owned Hispanic Male Owned Indo American Female Owned Indo American Male Owned Other (Please Define): Certified as a State of Texas Historically Underutilized Business (HUB) ID Number: Certified as Small Business Enterprise Certification Agency: Certification Number: Additional Comments if Desired: 153
4 WORK FORCE COMPOSITION NAME OF BIDDING FIRM / CONTRACTOR DATE Classification American Indian or Alaskan Native Asian or Pacific Islander Black Hispanic White Total Number of Full Time Employees M=Male / F=Female M F % M F % M F % M F % M F % M F ALL % Officials and Managers Professionals Technicians Sales Workers Administrative Support Workers Craft Workers Laborers and Helpers Service Workers TOTAL Definitions in accordance with Equal Employment Opportunity (EEO) American Indian or A person having origins in any of the original peoples of North America, and who maintain their culture through a tribe or community Alaskan Native Asian or Pacific A person having origins in any of the original people of the Far East, Southeast Asia, India, or the Pacific Islands. These areas include, for example, Islander China, India, Korea, the Philippine Islands, and Samoa. Black A person having origins in any of the black racial groups of Africa. Hispanic A person of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin, regardless of race. White A person with origins in Europe, North Africa, or the Middle East. REMARKS: Oct-09 154
5 COMMITMENT TO SBE PARTICIPATION Commitment to Small Business Enterprise (SBE) Participation Form (This form is required as part of the bid/proposal submission.) The SBE goal for Solicitation/Contract #8004926 is 15%. NOTE: The BDDD will only credit SBE participation that is certified by an approved certification entity at the time of bid/proposal submission. Certification certificates must be included with bid submission or bid will be deemed non-responsive. Effective 10/1/12, in addition to having a valid certification, SBEs must also have a place of business in the Airport s market area 1 at the time of bid/proposal submission for credit towards meeting a contract goal. The undersigned Contractor has satisfied the requirements of the bid/proposal specifications in the following manner (Please check ( ) the appropriate space): The Contractor is committed to meeting the SBE goal by self-performing as an SBE-certified Prime Contractor. The Contractor is committed to a minimum of % SBE utilization on this Contract utilizing subcontractor participation. The Contractor is unable to meet the SBE goal of % and is committed to a minimum of % SBE utilization on this Contract and submits documentation demonstrating good faith efforts. The Contractor is unable to meet the SBE goal of % and submits documentation demonstrating good faith efforts. Name of Prime Contractor: Signature Title 1 The Airport s market area is defined as the North Texas Commission twelve-county area of Dallas, Tarrant, Collin, Delta, Denton, Ellis, Hunt, Johnson, Kaufman, Parker, Rockwall, and Wise counties. 155
6 SCHEDULE OF SUBCONTRACTORS SCHEDULE OF SUBCONTRACTORS 1 (PRELIMINARY) Prime Bidder/Contractor: DBE SBE MBE WBE NON-D/S/M/WBE Contract Name: Contract/Solicitation Number: As part of the procedures for the submission of a completed bid/proposal, all bidders/proposers are required to identify ALL participating subcontractors applicable to the above project and include this form as part of the bid. Check all Certification Status categories that apply to each subcontractor; however, only the shaded category shall be credited towards the established diversity goal. The submission of this information is considered an issue of responsiveness, and the Airport Board will not award a Contract to any Contractor who has not supplied this documentation. Use additional sheets if necessary. Name of Subcontractor(s) Certification Status 2 (check the applicable) DBE SBE MBE WBE NON Description of Material or Service Being Provided or Performed Dollar Amount ($) and Percentage (%) of Work Dollar Amount & Percentage of Work to be Completed by Non-D/SBE Subcontractors Dollar Amount & Percentage of Work to be Completed by D/SBE Subcontractors Dollar Amount & Percentage of Work to be Self-Performed by the Prime Total Dollar Amount & Percentage of Work (The Total Amount shall equal the amount proposed on summary of bid/proposal page) NOTE: Certification certificate or letter MUST be attached to this form or it will be deemed non-responsive PRIME CONTRACTOR S CERTIFICATION The above information is true and complete to the best of my knowledge and belief. I further understand and agree that if awarded the Contract, this certification shall be attached thereto and become a part thereof. Failure to provide accurate and complete information or exercise positive, good faith efforts (as defined by the Board s D/S/M/WBE Program) in support of the Board s disadvantaged/small/minority/woman-owned business intent and objective may result in being considered non-responsive to the Board s requirements. Furthermore, it is understood and agreed that, if awarded a Contract by the Airport Board, the Contractor will not make additions, deletions or substitutions to this certified list of D/S/M/WBE subcontractors without the consent of the Board s Vice President of Business Diversity & Development Department (BDDD) or designee through the submittal of the D/S/M/WBE Form 102, Request for Approval of Change to Final Schedule of Subcontractors if this is determined to be the final schedule. The BDDD reserves the right to ensure compliance with the Board s D/S/M/WBE programs as deemed necessary including but not limited to audits of submitted D/S/M/WBE information applicable to the Contractor/subcontractors participating on the Contract. Name and Title of Authorized Representative (Please print or type) Signature: Date: 1 Any named person, firm, partnership, corporation, association or joint venture as herein provided identified as providing work, labor, services, supplies, equipment, materials or any combination of the foregoing, under Contract to a prime Contractor on an Airport Contract at any tier. 2 In order to credit the participation of disadvantaged/small/minority and woman-owned businesses, firms must be certified as D/S/M/WBEs by a certification agency approved by the Airport Board as defined in the D/S/M/WBE Policies and Administrative Procedures. Form 90_Updated 10/1/2012 156
SCHEDULE OF SUBCONTRACTORS 1 (FINAL) Prime Bidder/Contractor: DBE SBE MBE WBE NON-D/S/M/WBE Contract Name: Contract/Solicitation Number: As part of the procedures for the submission of a completed bid/proposal, all bidders/proposers are required to identify ALL participating subcontractors applicable to the above project and include this form as part of the bid. Check all Certification Status categories that apply to each subcontractor; however, only the shaded category shall be credited towards the established diversity goal. The submission of this information is considered an issue of responsiveness, and the Airport Board will not award a Contract to any Contractor who has not supplied this documentation. Use additional sheets if necessary. Name of Subcontractor(s) Certification Status 2 (check the applicable) DBE SBE MBE WBE NON Description of Material or Service Being Provided or Performed Dollar Amount ($) and Percentage (%) of Work Dollar Amount & Percentage of Work to be Completed by Non-D/SBE Subcontractors Dollar Amount & Percentage of Work to be Completed by D/SBE Subcontractors Dollar Amount & Percentage of Work to be Self-Performed by the Prime Total Dollar Amount & Percentage of Work (The Total Amount shall equal the amount proposed on summary of bid/proposal page) NOTE: Certification certificate or letter MUST be attached to this form or it will be deemed non-responsive PRIME CONTRACTOR S CERTIFICATION The above information is true and complete to the best of my knowledge and belief. I further understand and agree that if awarded the Contract, this certification shall be attached thereto and become a part thereof. Failure to provide accurate and complete information or exercise positive, good faith efforts (as defined by the Board s D/S/M/WBE Program) in support of the Board s disadvantaged/small/minority/woman-owned business intent and objective may result in being considered non-responsive to the Board s requirements. Furthermore, it is understood and agreed that, if awarded a Contract by the Airport Board, the Contractor will not make additions, deletions or substitutions to this certified list of D/S/M/WBE subcontractors without the consent of the Board s Vice President of Business Diversity & Development Department (BDDD) or designee through the submittal of the D/S/M/WBE Form 102, Request for Approval of Change to Final Schedule of Subcontractors if this is determined to be the final schedule. The BDDD reserves the right to ensure compliance with the Board s D/S/M/WBE programs as deemed necessary including but not limited to audits of submitted D/S/M/WBE information applicable to the Contractor/subcontractors participating on the Contract. Name and Title of Authorized Representative (Please print or type) Signature: Date: 1 Any named person, firm, partnership, corporation, association or joint venture as herein provided identified as providing work, labor, services, supplies, equipment, materials or any combination of the foregoing, under Contract to a prime Contractor on an Airport contract at any tier. 2 In order to credit the participation of disadvantaged/small/minority and woman-owned businesses, firms must be certified as D/S/M/WBEs by a certification agency approved by the Airport Board as defined in the D/S/M/WBE Policies and Administrative Procedures. Form 90_Updated 10/1/2012 157
7 INTENT TO PERFORM/CONTRACT AS A SUBCONTRACTOR INTENT TO PERFORM CONTRACT AS A D/S/M/WBE SUBCONTRACTOR 1 The Airport requires that disadvantaged, small, minority and woman-owned businesses be certified as D/S/M/WBEs by an approved certification agency as defined in the DBE, SBE, and M/WBE Policy and Administrative Procedures. Effective 10/1/12, in addition to having a valid certification, MBEs, WBEs and SBEs must have a place of business in the Airport s market area 2 at the time of bid/proposal submission for credit towards meeting a contract goal. 1. Contract/Solicitation Number: 2. Name of Prime Contractor: 3. Address, City, State and Zip: 4. E-Mail Address: Telephone: 5. The Prime Contractor designates the following person as their high-level official designated to administer and coordinate the efforts to carry out the D/S/M/WBE policy on behalf of the Prime Contractor: (Name and Title Please Print) The undersigned subcontractor is prepared to perform the following described work and/or supply the material listed in connection with the above project (where applicable specify "supply" or "install" or both): 1. The undersigned D/S/M/WBE subcontractor has a place of business in the Airport s market area ( if applicable) Name of D/S/M/WBE Subcontractor Address, City, State and Zip E-Mail Address: Telephone: Scope of Work: Price: D/S/M/WBE Certification # Certification Agency: 2 nd Tier Subcontracting: % of the proposed subcontract described above will be sublet and/or awarded to Non-D/S/M/WBE contractor(s). (Name of D/S/M/WBE Subcontracting Firm) (Address, City, State and Zip) (Telephone) / / (Signature of Owner, President or Authorized Agent) (Printed name) (Date) DECLARATION OF PRIME CONTRACTOR I HEREBY DECLARE AND AFFIRM that as a duly authorized representative of the Prime Contractor stated above, I have personally reviewed the material and facts set forth in this form. To the best of my knowledge, information and belief, the facts and representations contained in this form are true and the owner or authorized agent of the D/S/M/WBE firm stated above signed this form in the place indicated, and no material facts have been omitted. The undersigned affirms that the Prime Contractor has no ownership or financial interest in the D/S/M/WBE subcontracting firm stated above. Except as authorized by the Vice President of Business Diversity & Development Department or his designee, the undersigned shall enter into a formal agreement with the listed D/S/M/WBE firm for work as indicated by this form within ten (10) business days after receipt of the contract executed by the Airport. The undersigned will, if requested, provide said Vice President or his designee a copy of that agreement within five (5) business days of the written request. Pursuant to State Law, any person [entity] who makes a false or fraudulent statement in connection with the participation of a D/S/M/WBE in any locally funded project or otherwise violates applicable program requirements may be referred for prosecution. (Signature of Owner, President or Authorized Agent) (Name) (Date) 1 Any named person, firm, partnership, corporation, association or joint venture, as herein provided, identified as providing work, labor, services, supplies, equipment, materials or any combination of the foregoing, under Contract to a Prime Contractor on an Airport Contract at any tier. 2 The Airport s market area is defined as the North Texas Commission twelve-county area of Dallas, Tarrant, Collin, Delta, Denton, Ellis, Hunt, Johnson, Kaufman, Parker, Rockwall, and Wise counties. 158
8 D/S/M/WBE GOOD FAITH EFFORT PLAN D/S/M/WBE GOOD FAITH EFFORT PLAN NOTE: Complete form and attach support documentation only if the SBE goal is not achieved. The following factors are taken into account when assessing a good faith effort response. These factors are minimally considered as good faith efforts and demonstrate specific initiatives made in attempting to achieve the contract-specific SBE goal. These factors should not be considered as a template, checklist or some quantitative formula. Proposers are required to meet all factors outlined below and provide support documentation in order for the good faith effort plan to be assessed. CHECKING THE BOXES ONLY AND NOT SUBMITTING PROPER SUPPORT DOCUMENTATION IS NOT EVIDENCE OF A PROPER DEMONSTRATION OF GOOD FAITH EFFORT. SUBMITTAL OF THE CHECKLIST, WITH NO ADDITIONAL DOCUMENTATION, WILL NOT BE CONSIDERED ADEQUATE DEMONSTRATION OF GOOD FAITH EFFORT. Proposers are not limited to these particular areas and may include other efforts deemed appropriate GOOD FAITH EFFORT FACTORS Yes ( ) No Whether the Contractor attended any pre-bid or pre-proposal meetings to discuss subcontracting and supplier opportunities for SBE participation (acceptable documentation shall include copies of the meeting sign-in sheets with Contractor name noted as signed-in) Whether the Contractor advertised in general circulation, trade association, and/or SBE focused media concerning subcontracting and supplier opportunities (acceptable documentation shall be copies of advertisement, newspaper page where advertisement was posted or print media confirmations); Whether the Contractor provided written notice via email or facsimile to a reasonable number of SBEs and/or contacted a reasonable number of SBEs via telephone about the subcontracting/supplier opportunities. (acceptable contact modes for solicitation shall be letters, facsimile transmissions, telephone communications and email); Whether the Contractor solicited SBEs at least five (5) business days prior to bid opening and whether the Contractor followed up those initial solicitations of interest by contacting SBEs at least three (3) business days prior to bid opening to determine with certainty whether the SBEs were interested (appropriate steps may be demonstrated by second contact attempts by letter, facsimile transmission, telephone communication or email, if bidder/proposer failed to make contact on its first attempt); Whether the Contractor selected portions of the work to be performed by SBEs in order to increase the likelihood of meeting the SBE goals including, where appropriate, breaking down the Contract into economically feasible subcontracts to facilitate SBE participation. (The bidder/proposer shall make a moderate and reasonable adjustment to the normal and practiced industry standard that demonstrates a reasonable willingness to divide up scopes of work to provide more opportunities for SBEs to bid/quote); Whether the Contractor provided interested SBEs with adequate information about the plans, specifications, scope of work and requirements of the Contract or adequate information about the locations of the plans, specifications, scope of work and requirements of the Contract (such access shall be provided at least five (5) business days before bid date or proposal submission); Whether the Contractor fairly investigated and evaluated the interested SBEs regarding their capabilities, not rejecting SBEs as unqualified without sound reasons based on a thorough investigation. Also, whether the Contractor provided verification, including a statement giving the Contractor s reasons for its conclusion, that it rejected each non-utilized SBE because the SBE was not qualified. (Appropriate steps may be demonstrated with a summary matrix that identifies all bidders/proposers, evaluation criteria, assessments, conclusions and verifications); Whether the Contractor negotiated in good faith with interested SBEs regarding price, using good business judgment and not rejecting reasonable quotes from interested SBE firms. Also, whether the Contractor provided written documentation why the Contractor and each of the SBEs contacted did not succeed in negotiating an agreement (Good faith negotiation shall mean scheduled meaningful discussions that demonstrably seek to find reasonable ways to utilize the SBE on the Contract); 159
Whether the Contractor made efforts to assist interested SBEs in obtaining Board or Contractor-required bonding, lines of credit, insurance, etc.; Whether the Contractor made efforts to assist interested SBEs in obtaining necessary equipment, supplies, materials, or related assistance or services; Whether the Contractor effectively used the services of available minority and women community organizations; chambers and contractor groups; local, State, and Federal business assistance offices, and other organizations that provide assistance in the identification of SBEs (acceptable contact modes for solicitation shall be letters, facsimile transmissions, telephone communications and email, list(s) of SBEs identified, marketing brochure or flyers); Whether the Contractor obtained written documentation from the Board s approved Surety Support Consultant, if applicable, or from a bona fide surety company indicating that bonding was denied and for what reason(s), prior to the SBE being rejected as a potential subcontractor for failing to obtain Contractor-required bonding. Documentation furnished by a surety company will be subject to verification by BDDD. Whether other Contractors have attained a sufficient level of SBE participation to meet the Contract goals will also be taken into consideration in determining whether the Contractor has made a good faith effort. AFFIRMATION I HEREBY AFFIRM THAT THE ABOVE INFORMATION IS TRUE AND COMPLETE TO THE BEST OF MY KNOWLEDGE. I FURTHER UNDERSTAND AND AGREE THAT, THIS DOCUMENT SHALL BE ATTACHED THERETO AND BECOME A BINDING PART OF THE CONCESSION CONTRACT. NAME AND TITLE OF AUTHORIZED OFFICIAL: SIGNATURE: DATE: FOR DFW BUSINESS DIVERSITY & DEVELOPMENT USE ONLY: Plan Reviewed by: Date: Signature of D/S/M/WBE Liaison: Recommendation: Approval: Denial: 160
9 REQUEST FOR APPROVAL OF CHANGE TO ORIGINAL SCHEDULE OF SUBCONTRACTORS Contract/Solicitation Number Project Name Contractor Name, requests approval of the following addition(s) and/or deletion(s) on the SCHEDULE OF SUBCONTRACTORS (D/S/M/WBE Form No. 90), as originally submitted as part of the bid on the above named project. CHANGE Check (X) block for each transaction. ADD DELETE COMPANY NAME TRADE D/S/M/WBE STATUS DOLLAR AMOUNT INTENT TO PERFORM JUSTIFICATION Note: the proposed change(s) must be based on good cause. The Contractor must list and explain in detail its good cause for the change. Attach additional sheets as necessary. Good cause is limited to the following circumstances: 1. The listed D/S/M/WBE subcontractor fails or refuses to execute a written contract. 2. The listed D/S/M/WBE subcontractor fails or refuses to meet the Contractor s reasonable, nondiscriminatory bond requirements. 3. The listed D/S/M/WBE subcontractor becomes bankrupt, insolvent or exhibits credit unworthiness. 4. The listed D/S/M/WBE is ineligible to work on Airport projects because of suspension and debarment proceedings pursuant to federal or state law or other applicable laws or regulations. 5. BDDD has determined that the listed D/S/M/WBE subcontractor is not a responsible contractor. 6. The listed D/S/M/WBE subcontractor voluntarily withdraws from the project and provides BDDD written notice of its withdrawal. 7. The listed D/S/M/WBE subcontractor is ineligible to receive to receive credit for the type of work required. 8. The D/S/M/WBE owner dies or becomes disabled with the result that the listed D/S/M/WBE subcontractor is unable to complete its work on the contract. CERTIFICATION OF AFFIDAVIT The above information is true and complete to the best of my knowledge and belief. I further understand and agree that this certification shall become a part of my contract with the Dallas/Fort Worth International Airport Board. Name and Title of Signer: (Please print or type) Signature Date: Routed To: Approved by: (Check One) Airport Development & Engineering Dept. Procurement & Materials Management Dept. Vice President or Designee Business Diversity & Development Dept. 161
10 INSURANCE AFFIDAVIT Dallas Fort Worth International Airport Board Solicitation No. 8004926 NAME OF PROPOSER: To be completed by the Proposer: I confirm that, if awarded the Contract, I will comply with all of the Insurance Provisions, as stated in the Insurance Requirements of Solicitation No. 8004926, and said insurance shall be provided without change to the prices offered. Name of Proposer: Authorized Agent (please print): Authorized Agent s Signature: Date: To be completed by Proposer s insurance provider: I confirm that, if awarded the Contract, the Bidding Firm stated above either has insurance coverage or can obtain coverage in compliance with the requirements of DFW International Airport Board Solicitation No. 8004926. I further confirm that this Insurance Agency can comply with the insurance provisions as stated in the Insurance Requirements. Insurance Agency: Insurance Agent s Name (please print): Insurance Agent s Signature: Date: 162
11 BOND FORMS PROPOSAL BOND KNOW ALL MEN BY THESE PRESENTS, that we, the undersigned, as Principal, and as Board in the penal sum of as Surety, are hereby held and firmly bound unto dollars ($ ) for the payment of which, well and truly to be made, we hereby jointly and severally bind ourselves, our heirs, executors, administrators, successors, and assigns. The condition of the above obligation is such that whereas the principal has submitted to Dallas/Fort Worth International Board a certain proposal, attached hereto and hereby made a part hereof to enter into a contract in writing, for the. NOW THEREFORE, (a) If said proposal shall be rejected, or in the alternate, (b) If said proposal shall be accepted and the principal shall execute and deliver a contract (properly completed in accordance with said proposal) and shall, if required by the Specifications or General Conditions, furnish a bond for his faithful performance of said contract, and for the payment of all persons performing labor or furnishing materials in connection therewith, and shall in all other respects perform the agreement created by the acceptance of said proposal, then this obligation shall be void; otherwise the same shall remain in full force and effect, it being expressly understood and agreed that the liability of the surety for any and all claims hereunder shall, in no event, exceed the penal amount of this obligation as herein stated. IN WITNESS WHEREOF, this instrument is executed in copies, each one of which shall be deemed an original, this the day of,. PRINCIPAL: BY: SURETY: BY: Attorney-in-Fact The Resident Agent of the Surety in Dallas or Tarrant County, Texas, for delivery of notice and service of process is: NAME: PHYSICAL ADDRESS: TELEPHONE NUMBER: 163
PERFORMANCE BOND THE STATE OF TEXAS ) COUNTY OF DALLAS AND ) COUNTY OF TARRANT ) KNOW ALL MEN BY THESE PRESENTS: That of, hereinafter called Principal, and, a corporation organized and existing under the laws of the State of and fully authorized to transact business in the State of Texas, as Surety, are held and firmly bound unto the Dallas-Fort Worth International Airport Board, acting on behalf of the Cities of Dallas and Fort Worth, municipal corporations organized and existing under the laws of the State of Texas, hereinafter called Owner, in the penal sum of DOLLARS ($ ) in lawful money of the United States, to be paid in Dallas County or Tarrant County, Texas, for the payment of which sum well and truly to be made, we hereby bind ourselves, our heirs, executors, administrators, and successors, jointly and severally, firmly by these presents. This Bond shall automatically be increased by the amount of any Change Order that increases the Contract price, but in no event shall a Change Order that reduces the Contract price decrease such obligations. THE OBLIGATION TO PAY SAME is conditioned as follows: Whereas, the Principal entered into a certain Contract designated as Contract Number with the Dallas-Fort Worth International Airport Board, the Owner, dated the day of, A.D., a copy of which is hereto attached and made a part hereof, for the Project. NOW, THEREFORE, if the Principal shall well, truly, and faithfully perform and fulfill all of the undertakings, covenants, terms, conditions, and agreements of said Contract in accordance with the plans, specifications, and Contract documents during the original term thereof and any extension thereof which may be granted by the Owner, with or without notice to the Surety, and during the life of any guaranty or warranty required under this Contract, and shall also well and truly perform and fulfill all the undertakings, covenants, terms, conditions, and agreements of any and all duly authorized Change Order of said Contract that may hereafter be made, notice of which Change Order to the Surety being hereby waived; and, if the Principal shall repair and/or replace all defects due to faulty materials and workmanship that appear within a period of one (l) year from the date of final completion and final acceptance of the Work by Owner; and, if the Principal shall fully indemnify and save harmless the Owner from all costs and damages which Owner may suffer by reason of failure to so perform herein and shall fully reimburse and repay Owner all outlay and expense which the Owner may incur in making good any default or deficiency, then this obligation shall be void; otherwise, it shall remain in full force and effect. PROVIDED FURTHER, that if any legal action be filed upon this Bond, venue shall lie in Tarrant or Dallas County, State of Texas. AND PROVIDED FURTHER, that the said Surety, for value received, hereby stipulates and agrees 164
that no change, extension of time, alteration or addition to the terms of the Contract or to the Work to be performed thereunder or the Specifications accompanying the same shall in anywise affect its obligation on this Bond, and it does hereby waive notice of any such change, extension of time, alteration or addition to the terms of the Contract or to the Work or to the Specifications. This Bond is given pursuant to the provisions of the Texas Government Code, Title 10, Chapter 2253, Public Work Performance and Payment Bond, and any other applicable statutes of the State of Texas. The undersigned and designated agent is hereby designated by the Surety herein as the Resident Agent in Dallas or Tarrant County to whom any requisite notices may be delivered and on whom service of process may be had in matters arising out of such suretyship, as provided by Article 7.l9-l of the Insurance Code, Vernon's Annotated Civil Statutes of the State of Texas. IN WITNESS WHEREOF, this instrument is executed in three copies, each one of which shall be deemed an original, this, the day of,. PRINCIPAL: BY: SURETY: BY: Attorney-in-Fact The Resident Agent of the Surety in Dallas or Tarrant County, Texas, for delivery of notice and service of process is: NAME: PHYSICAL ADDRESS: TELEPHONE NUMBER: (Note: Date of Performance Bond must be date of Contract. If Resident Agent is a corporation, give a person's name.) 165
PAYMENT BOND THE STATE OF TEXAS ) COUNTY OF DALLAS AND ) COUNTY OF TARRANT ) KNOW ALL MEN BY THESE PRESENTS: That of, hereinafter called Principal, and, a corporation organized and existing under the State of and fully authorized to transact business in the State of Texas, as Surety, are held and firmly bound unto the Dallas-Fort Worth International Airport Board, acting on behalf of the Cities of Dallas and Fort Worth, municipal corporations organized and existing under the laws of the State of Texas, hereinafter called Owner, and unto all persons, firms, and corporations who may furnish materials for, or perform labor upon the building or improvements hereinafter referred to, in the penal sum of DOLLARS ($ ) lawful money of the United States, to be paid in Dallas or Tarrant County, Texas, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, and successors, jointly and severally, firmly by these presents. This Bond shall automatically be increased by the amount of any Change Order that increases the Contract price, but in no event shall a Change Order that reduces the Contract price decrease such obligations. THE OBLIGATION TO PAY SAME is conditioned as follows: Whereas, the Principal entered into a certain Contract designated as Contract Number with the Dallas-Fort Worth International Airport Board, the Owner, dated the day of, A.D., a copy of which is hereto attached and made a part hereof, for the Project. NOW, THEREFORE, if the Principal shall well, truly, and faithfully perform its duties and make prompt payment to all persons, firms, subcontractors, corporations, and claimants supplying labor and/or materials in the prosecution of the Work provided for in said Contract and any and all duly authorized Change Order of said Contract that may hereafter be made, notice of which modification to the Surety is hereby expressly waived, then this obligation shall be void; otherwise it shall remain in full force and effect. PROVIDED FURTHER, that if any legal action be filed on this Bond, venue shall lie in Tarrant or Dallas County, Texas. AND PROVIDED FURTHER, that the said Surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration, or addition to Contract, or to the Work performed thereunder, or the Plans, Specifications, Drawings, etc., accompanying the same, shall in anywise affect its obligations on this Bond, and it does hereby waive notice of any such change, extension of time, alteration, or addition to the terms of the Contract, or to the Work to be performed thereunder. 166
This Bond is given pursuant to the provisions of the Texas Government Code, Title 10, Chapter 2253, Public Work Performance and Payment Bond, and any other applicable statutes of the State of Texas. The undersigned and designated agent is hereby designated by the Surety herein as the Resident Agent in Dallas or Tarrant County to whom any requisite notices may be delivered and on whom service of process may be had in matters arising out of such suretyship, as provided by Article 7.19-1 of the Insurance Code, Vernon's Annotated Civil Statutes of the State of Texas. IN WITNESS WHEREOF, this instrument is executed in two copies, each one of which shall be deemed an original, this, the day of,. PRINCIPAL: BY: SURETY: BY: Attorney-in-Fact The Resident Agent of the Surety in Dallas or Tarrant County, Texas, for delivery of notice and service of process is: NAME: PHYSICAL ADDRESS: TELEPHONE NUMBER: (Note: Date of Payment Bond must be date of Contract. If Resident Agent is a corporation, give a person's name.) 167
12 BUSINESS DISCLOSURE FORM It is recommended this form be completed by a governing person, governing authority, or legal counsel. Information about Entity Submitting Bid/Proposal/Offer (This information must match the information provided on the Bid/Proposal/Offer.) Business Name: Business Address: Mailing Address: City State Zip City State Zip Business Web Address: Business Phone: Contact Person: Business Fax: Contact s Phone No.: Contact s E-Mail Address: I. Entity Ownership Information (Check the appropriate box and provide requested details below.) Business Structure: (Please check only one box) Partnership Limited Partnership Limited Liability Partnership Sole Proprietorship Joint Venture Limited Liability Company Corporation ( C ) IF CORPORATION, please check all the type(s) below that are applicable: For Profit or Non Profit Public or Private S Corporation Professional Parent-Subsidiary Close State of Incorporation, Registration or Formation: State: Month: Year: Name(s) of Owner(s) or Partners (or Owner of DBA if applicable) Please indicate if any such individual(s) were employed by DFW Airport and the dates employed: Name of Joint Venture Participants, if applicable Please indicate if any such individual(s) were employed by DFW Airport and the dates employed: UNLESS PUBLICLY TRADED list all individuals, partnerships, corporations or other entities having at least 10% ownership in the business and indicate their percentage of ownership. Please indicate if any such individual(s) were employed by DFW Airport and the dates employed. Attach additional sheets if necessary. Form Completion Date: Failure to properly complete and submit this form with the bid/proposal/offer may cause the bid/ proposal/offer to be considered non-responsive. Form Revised 10/13 168
13 PROPOSAL ENDORSEMENT FORM The undersigned, in submitting this Proposal and endorsement of same, represents that he/she is authorized to obligate his/her firm, and that he/she has read this entire Solicitation package, is aware of the covenants contained herein and will abide by and adhere to the expressed requirements. THE PROPOSER AGREES THAT THIS PROPOSAL, WHEN ACCEPTED BY THE BOARD, SHALL CONSTITUTE A CONTRACT EQUALLY BINDING BETWEEN THE PROPOSER AND THE BOARD. Acceptance may take the form of an Acceptance Letter or Purchase Order issued by the Board, or a Contract document issued by the Board and executed by both parties, followed by a Notice to Proceed issued by the Board. Each of these forms constitutes a legal contract equally binding between the Successful Proposer and the Board. After Proposal acceptance, no different or additional terms shall become part of the Contract without a properly executed change order. PROPOSAL FOR SOLICITATION NO. 8004926 SUBMITTED BY: (OFFICIAL NAME OF PROPOSING FIRM) By: (Original Signature of Proposing Firm s Authorized Agent) Must be signed for proposal to be considered responsive (Typed or Printed Name) (Title) (Email or Telephone Number) (Date Signed) 169