1.0 General
1.1 The TRICARE
Systems Manual (TSM) describes how TRICARE business functions are implemented
technically via system-to-system interactions and Government provided
applications. The TSM also describes the technical concept of operations,
including the responsibilities associated with various Information
Systems (IS) including Defense Enrollment Eligibility Reporting
System (DEERS), the contractor systems, and selected Direct Care
(DC) IS.
1.2 The contractor shall comply with
the Department of Defense (DoD) guidance regarding directed Ports,
Protocols, and Services (PPS).
1.3 The contractor shall comply with
DoD guidance regarding allowable ports, protocols and risk mitigation
strategies. The contractor accessing DoD systems will be provided
direction from DoD on connectivity requirements that comply with
PPS in accordance with DoD Instructions (DoDIs).
1.4 The contractor
shall ensure that laptops, flash drives, and other portable electronic
devices do not contain Personally Identifiable Information (PII)/Protected
Health Information (PHI) unless the device is fully encrypted and
accredited per National Institute of Standards and Technology (NIST) standards.
1.5 Portable
electronic devices are often used to transmit reference materials
and data of a general nature at meetings and conferences. The contractor
shall ensure that their computer systems can accept and load all
such information, regardless of the media used to transmit it. All
materials provided to contractors at meetings, workgroups, and/or
training sessions sponsored by or reimbursed by the Government shall
be maintained in accordance with the Records Management requirements
in the TRICARE Operations Manual (TOM),
Chapter 9.
1.6 This
chapter addresses major administrative, functional, and technical
requirements related to the flow of health care related Automated
Data Processing/Information Technology (ADP/IT) information between
the contractor and the DoD/Defense Health Agency (DHA). TRICARE
Encounter Data (TED) records as well as provider information shall
be submitted to DHA in electronic media. This information is essential
to both the accounting and statistical needs of DHA in the management
of the TRICARE program and in required reports to DoD, Congress,
other governmental entities, and to the public. Technical requirements
for the transmission of data between the contractor and DHA are presented
in this section. The requirements for submission of TED records
and resubmission of records are outlined in the
Chapter 2, Section 1.1, and the Government
requirements related to submission and updating of provider information
are outlined in
Chapter 2, Section 1.2.
1.7 DoD/DHA data
includes all information (e.g., test or production data) provided
to the contractor for the purposes of determining eligibility, enrollment,
disenrollment, capitation, fees, claims, Catastrophic Cap And Deductible
(CC&D), patient health information, protected as defined by DoD
6025.18-R, or any other information for which the source is the
Government. Any information received by a contractor or other functionary
or system(s), whether Government owned or contractor owned, in the
course of performing Government business is also DoD/DHA data. DoD/DHA
data means any information, regardless of form or the media on which
it may be recorded.
1.8 The ADP requirements shall incorporate
standards mandated by the Health Insurance Portability and Accountability
Act (HIPAA) Privacy, Security, and Breach Rules, 45 CFR Parts 160
and 164 (collectively, “HIPAA Rules”), and the DoD HIPAA Issuances
identified below. Contractor compliance with the HIPAA Rules and
DoD HIPAA Issuances and related privacy requirements is addressed
in the TOM,
Chapter 1, Section 5 and
Chapter 19, Section 3 and
paragraph 1.10.
1.9 Management
and quality controls specific to the accuracy and timeliness of
transactions associated with ADP and financial functions are addressed
in the TOM,
Chapter 1. In addition to these requirements,
DHA also conducts reviews of ADP and financial functions for data
integrity purposes and may identify issues specific to data quality
(e.g., catastrophic cap issue). Upon notification of data quality
issues by DHA, the contractor shall participate in development of
a resolution for the issue(s) identified as appropriate. If DHA
determines corrective actions are required as a result of Government reviews
and determinations, the Contracting Officer (CO) will notify the
contractor of the actions to be taken by the contractor to resolve
the data issues. Corrective actions shall be taken by the contractor
to correct data integrity issues, resulting from contractor actions,
are the responsibility of the contractor.
1.10 The
references below relate to the subject matter covered in this section:
• Privacy Act of 1974.
• DoD HIPAA Issuances:
• DoD 6025.18-R, “DoD Health Information
Privacy Regulation,” January 2003.
• DoD 8580.02-R,
“DoD Health Information Security Regulation,” July 2007.
• DoD 5200.2-R, “DoD Personnel Security Program,”
January 1987.
• DoD 5400.11-R,
“Department of Defense Privacy Program,” May 14, 2007.
• DoD Directive (DoDD) 5015.2, “DoD Records
Management Program,” March 6, 2000.
• DoD Instruction (DoDI) 8500.01, “Cybersecurity,”
March 14, 2014.
• DoD 5015.02-STD,
“Electronic Records Management Software Applications Design Criteria Standard,”
April 25, 2007.
• Homeland Security
Presidential Directive 12 (HSPD-12), “Policy for a Common Identification Standard
for Federal Employees and Contractors,” August 27, 2004.
• Federal Information Processing Standards
Publication 201 (FIPS 201-1), “Personal Identify Verification (PIV)
of Federal Employees and Contractors,” August 2013.
• Directive Type Memorandum (DTM) 08-006,
“DoD Implementation of Homeland Security Presidential Directive-12
(HSPD-12),” November 26, 2008.
• DoDI 8582.01 (Security of Unclassified
DoD Information on Non-DoD IS).
The requirements above shall be
met by contractors, subcontractors and other individuals who have
access to IS containing PII protected by the Privacy Act of 1974
and PHI under HIPAA.
2.0 System Integration, Implementation And
Testing Meetings
2.1 The DHA hosts regularly scheduled
meetings, via teleconference, with contractor and Government representatives.
Government attendees may include, but are not limited to Defense Manpower
Data Center (DMDC), Infrastructure & Operations Division (I&OD),
and Defense Information System Agency (DISA). These meetings will:
• Review the status of system connectivity
and communications.
• Identify new DEERS applications or modifications
to existing applications, e.g., Government furnished web-based enrollment
systems/applications.
• Issue software enhancements.
• Implement system changes required for the
implementation of new programs and/or benefits.
• Review data correction issues and corrective
actions to be taken (e.g., catastrophic cap effort-review, research
and adjustments).
• Monitor results
of contractor testing efforts.
• Other activities as appropriate.
2.2 DHA provides
a standing agenda for the teleconference with the meeting announcement. Additional
subjects for the meetings are identified as appropriate. The contractor
shall ensure representatives participating in the calls are subject
matter experts for the identified agenda items and are able to provide
the current status of activities for their organization. The contractor
shall ensure testing activities are completed within the scheduled
time frames and any problems experienced during testing are reported
via the Government defined application for review and corrective
action by DHA or their designee. Upon the provision of a corrective
action strategy or implementation of a modification to a software
application by DHA (to correct the problem reported by the contractor),
the contractor shall retest the scenario to determine if the resolution
is successful. Retesting shall be accomplished within the agreed
upon time frame. The contractor shall update the Government defined
application upon completion of retesting activities.
2.3 DHA will
also document system issues and deficiencies into the Government
defined application related to testing and production analysis of
the contractors systems and processes. Upon the provision of a corrective
action strategy or implementation of a modification to a software application
by the contractor (to correct the problem reported by DHA), the
contractor shall retest the scenario to determine if the resolution
is successful. Retesting shall be accomplished within the agreed upon
time frames. The contractor shall correct internal system problems
that negatively impact their interface with the Business to Business
(B2B) Gateway, Military Health System (MHS), DMDC, etc. and/or the
transmission of data, at their own expense.
2.4 Each
organization identified shall provide two Points of Contact (POCs)
to DHA to include telephone numbers and e-mails to be used for call
back purposes, notification of planned and unplanned outages and
software releases. POCs will be notified via e-mail in the event
of an unplanned outage using the POC notification list, so it is
incumbent upon each organization to notify DHA of changes to the
POC list.
3.0 ADP Requirements
The contractor shall obtain and
maintain adequate hardware, software, personnel, procedures, controls,
contingency plans, and documentation to satisfy DHA data processing
and reporting requirements. Items requiring special attention are
listed below.
3.1 Continuity
of Operations Plan (COOP)
The contractor
shall develop a single plan, deliverable to the DHA CO on an annual
basis that ensures the continuous operation of their Information
Technologies (IT) systems and data support of TRICARE. The plan
shall provide information specific to all actions that will be taken
by the Prime and subcontractors in order to continue operations
should an actual disaster be declared for their region. The COOP
shall ensure the availability of the system and associated data
in the event of hardware, software and/or communications failures.
The COOP shall also include Prime and subcontractor’s plans for
relocation/recovery of operations, timeline for recovery, and relocation
site information in order to ensure compliance with the TOM,
Chapters 1 and
6. Information
specific to connection to the B2B Gateway to and from the relocation/recovery
site for operations shall also be included in the COOP. For relocation/recovery
sites, contractors shall ensure all security requirements are met
and appropriate processes are followed for the B2B Gateway connectivity.
The contractor’s COOP will enable compliance with all processing
standards as defined in the TOM,
Chapter 1,
and compliance with enrollment processing and Primary Care Manager
(PCM) assignment as defined in TOM,
Chapter 6.
The COOP shall include restoration of critical functions such as
claims and enrollment within five days of the disaster. The Government
reserves the right to re-prioritize the functions and system interactions proposed
in the COOP during the review and approval process for the COOP.
See Section J of the contract for information specific to deliverables,
milestones, and due dates.
3.2 Security Requirements
The contractor
shall ensure security and access requirements are met in accordance
with existing contract requirements for all COOP and disaster recovery
activities. Waivers of security and access requirements will not
be granted for COOP or disaster recovery activities.
3.3 Annual Disaster
Recovery Tests
3.3.1 The Prime contractor shall coordinate
annual disaster recovery testing of the COOP with its subcontractor(s)
and the Government. Coordination with the Government will begin
no later than 90 days prior to the requested start date of the disaster
recovery test. Each Prime contractor shall ensure all aspects of
the COOP are tested and coordinated with all contractors responsible
for the transmission of TRICARE data. Each Prime contractor shall
ensure major TRICARE functions are tested.
3.3.2 The Prime contractor shall also
ensure testing support activities (e.g., DEERS, TED, etc.) are coordinated
with the responsible Government POC no later than 90 days prior
to the requested start date of the annual disaster recovery test.
3.3.3 Annual
disaster recovery tests will evaluate and validate that the COOP
sufficiently ensures continuation of operations and the processing
of TRICARE data in accordance with the TOM,
Chapters 1 and
6. See Section J of the contract for information
specific to deliverables, milestones, and due dates. At a minimum,
annual disaster recovery testing will include the processing of:
• TRICARE Prime enrollments in the DEERS
contractor test region to demonstrate the ability to update records
of enrollees and disenrollees using the Government furnished web-based enrollment
system/application.
• Referrals.
• Preauthorizations/authorizations.
• Claims.
• Claims and catastrophic cap inquiries
will be made against production DEERS and the Catastrophic Cap and
Deductible Database (CCDD) from the relocation/recovery site. Contractors
shall test their ability to successfully submit claims inquiries
and receive DEERS claim responses and catastrophic cap inquiries
and responses. Contractors shall not perform catastrophic cap updates
in the CCDD and DEERS production for test claims.
• To successfully demonstrate the
ability to perform catastrophic cap updates and the creation of
newborn placeholder records on DEERS, the contractor shall process
a number of claims using the DEERS contractor test region.
• TED records will be created for
every test claim processed during the claims processing portion
of the disaster recovery test. The contractor shall demonstrate
the ability to process provider, institutional and non-institutional
claims. These test claims will be submitted to the DHA TED landing
area.
3.3.4 Contractors shall maintain static
B2B Gateway connections or other Government approved connections
at relocation/recovery sites that may be activated in the event
a disaster is declared for their region.
3.3.5 In all cases, the results of the
review and/or test results shall be reported to the DHA Contract
Operations Division-Aurora (COD-A) within 10 days of the conclusion
of the test. The contractor’s report shall include if any additional
testing is required or if corrective actions are required as a result
of the disaster recovery test. The notice of additional testing
requirements or corrective actions to be taken shall be submitted
along with the proposed date for retesting and the completion date
for any corrective actions required. Upon completion of the retest,
a report of the results of the actions taken shall be provided to
the COD-A within 10 business days of completion. See Section J of the
contract for information specific to deliverables, milestones, and
due dates.
3.4
Information
Security Compliance Programs
Information
Security Compliance under the NIST Program is recognized by the
DoD for non- DoD IS (defined as an IS that is not owned, controlled,
or operated by the DoD, and is not used or operated by a contractor
or other non-DoD entity exclusively on behalf of the DoD) that processes Controlled
Unclassified Information (CUI). Contracts governed by this manual
are generally considered to be non-DoD IS.
3.4.1 Controlled Unclassified Information
(CUI) and DoD Information Contractor IS
CUI is defined
as “Information that requires safeguarding or dissemination controls pursuant
to and consistent with applicable law, regulations, and Government-wide
policies.” DoD information is defined as “information that is provided
by the DoD to a non-DoD entity, or that is collected, developed,
received, transmitted, used, or stored by a non-DoD entity in support
of an official DoD activity, where that information has not been
cleared for public release.” DoDI 8582.01. See also DoD Directive
(DoDD) 5230.09, “Clearance of DoD Information for Public Release,”
August 22, 2008. PII/PHI that is DoD information constitutes CUI
because PII/PHI requires safeguarding or dissemination controls
unless it has been cleared for public release.
3.4.2 NIST References
and Related DoD Issuances
The references
below support the IA requirements outlined in the following paragraphs.
• 48 CFR Parts 204, 212, and 252 as amended
by 76 FR 69273 - 69282 / Vol. 78, No. 222 /Monday, November 18,
2013.
• NIST Special
Publication (SP) 800-53, “Security and Privacy Controls for Federal Information
Systems and Organizations.”
• NIST SP 800-53A, “Guide for Assessing the
Security Controls in Federal Information Systems and Organizations.”
• NIST SP 800-171, “Protecting Controlled
Unclassified Information in Non-Federal Information Systems and
Organizations.”
• DoDD 5230.09,
“Clearance of DoD Information for Public Release,” August 22, 2008.
• DoDI 8582.01, “Security of Unclassified
Department of Defense (DoD) Information on Non-DoD Information Systems,”
June 6, 2012.
• “Health Insurance
Portability and Accountability Act (HIPAA), Security Standards,
Final Rule,” February 20, 2003.
3.4.3 Compliance
with Federal Programs
The NIST-based computer security
program leverages a contractor’s compliance with existing Federal
Information Security-related measures (i.e., HIPAA, Federal Information
Security Management Act (FISMA), etc.) to attest to its readiness
to process CUI DoD information on non-DoD IS. This Information Security
program requires participating contractors to document compliance
with the security controls described in detail within the NIST SP
800-171, “Protecting Controlled Unclassified Information in Non-Federal
Information Systems and Organizations.” With respect to HIPAA Security Rule
compliance, the contractor shall follow the TOM,
Chapter 19, Section 3, including the requirement for
contractors to designate a Security Official with specified responsibilities.
Those responsibilities involve compliance with HIPAA Security Rule
and DHA DoD Information Security Program requirements under this
section.
3.4.3.1 Risk Management
Contractors
certifying compliance with the NIST-based process accept sole responsibility for
the risk(s) associated with developing and maintaining its IA readiness
posture.
3.4.3.2 IA Compliance Requirement
The contractor shall provide and
maintain its NIST-related compliance as required by the contract,
in order to connect to Government systems.
3.4.4 NIST Certification/Recertification
Procedures
3.4.4.1 Contractor
Self-Certification Process
The contractor
shall self-certify all IS that access, process, reproduce, modify,
perform, store, display, release, disclose, or disseminate CUI.
Self-certification shall be achieved, as specified in the contract.
The organization shall employ, Audit Review, Analysis, and Reporting
through proper Integration/Scanning and Continuous Monitoring Capabilities
(i.e., continuous monitoring for vulnerabilities) that identify
the breadth, depth, and rigor of coverage during the security review process
for submission of their self-certification documentation. Security
reviews shall describe, at a high level, how the security controls
and control enhancements meet those security requirements, also provide
detailed, technical descriptions of the specific implementation
of the controls and enhancements. The contractor shall ensure that
the security controls required by the contract are implemented correctly,
operating as intended, and support the security policies of the
DHA.
3.4.4.2 The
NIST SP 800-171, certification process, as allowed by DoDI 8582.01
and applicable contract clauses, requires compliance by contractors
for the protection of DoD information provided to, contained within
and/or processed by contractor IS. The following process applies
to the NIST-based Information Security certification process. See
Section J of the contract for information specific to deliverables,
milestones, and due dates.
3.4.4.3 The contractor
shall submit self-certification documents and will be notified of
any identified areas that need additional information. The contractor
shall respond within 10 calendar days.
3.4.5 Operation
and Connectivity Decisions
3.4.5.1 The contractor
shall complete and submit the NIST Certificate of Compliance in
accordance with Section J of the contract for information specific
to deliverables.
3.4.5.2 The contractor
shall submit a written determination report for any failure to achieve
and/or maintain its compliance with the NIST-based IA program.
3.4.6 Documentation
The contractor will be provided
with the most current version of the NIST Checklist and Written
Determination Report (WDR) within 10 calendar days of contract award.
If the contractor changes its compliance status with a vulnerability
mitigation plan for any IA control shown on the NIST Checklist,
the contractor shall submit an updated WDR statement within 10 calendar
days.
3.4.7 Disposing
of Electronic Media
Contractors shall follow the DoD
standards, procedures and use approved products to dispose of unclassified
hard drives and other electronic media, as appropriate, in accordance
with DoDD 8500.1 and NIST SP 800-171.
4.0
Health
Insurance Portability And Accountability Act (HIPAA)
The contractor shall be in compliance
with the HIPAA Rules, the DoD HIPAA Issuances, the TOM,
Chapter 19, Section 3, and any provisions
of this manual and DoD cybersecurity guidance addressing security
incident response. In particular, the contractor shall be in compliance
with HIPAA breach response requirements, which are addressed in
conjunction with DoD breach response requirements in the TOM,
Chapter 1, Section 5.
4.1 Data Sharing Agreements (DSAs)
Contractors requiring access to
PII, which includes PHI, or access to de-identified data, are subject
to the DHA Defense Privacy and Civil Liberties Office (DPCLO) (Privacy
Office) Data Sharing Program. This program requires DHA to enter
into DSAs with parties outside the MHS who use or create MHS data.
(DHA contracts may use the term Data Use Agreement (DUA) rather
than DSA.) DSAs assure that outside parties protect MHS data in
accordance with the Privacy Act and the HIPAA Rules. To apply for
a DSA, the Prime contractor submits a Data Sharing Agreement Application
(DSAA) to the DHA DPCLO. The contractor submits the DSAA even if
a subcontractor will be the party accessing MHS data. After review
and approval of the DSAA, the Privacy Office provides a DSA to the
contractor for execution. The DSAA template and other DSA guidance
and forms are available at the following page on the Privacy Office
web site:
http://health.mil/Military-Health-Topics/Privacy-and-Civil-Liberties. Primary
contractors and subcontractors requiring access to or use of MHS
data shall also complete an Account Authorization Request Form (AARF)
and have an ADP/IT-II designation. Refer to ADP/IT Category Guidance
below.
4.2 Disclosure
Tracking and Accounting and Other System Capabilities for Privacy
Act and HIPAA Privacy Compliance
Contractors
shall maintain systems (or utilize MHS systems) with the capabilities
to track and report on disclosure requests, disclosure restrictions,
accounting for disclosure requests, authorizations, PII/PHI amendments,
Notice of Privacy Practices (NoPP) distribution management, confidential communications
requests, and complaint management. Situation reports may be required
to address complaints, inquiries, or unique events related to the
foregoing responsibilities.
5.0
Personnel
Security ADP/IT Requirements
5.1 Formal Designations Required
Contractor
personnel requiring access to the following must be in positions
designated as ADP/IT-I (critical sensitive) or ADP/IT-II (non-critical
sensitive):
• Access to a
secure DoD facility.
• Access to a
DoD IS or a DoD Common Access Card (CAC)-enabled network.
• Access to DEERS
or the B2B Gateway.
5.2 ADP/IT Position Sensitivity Designations
5.2.1 An ADP/IT
position category includes access to DoD information systems. It
is a designator that indicates the level of IT access required to
fulfill the responsibilities of the position, including the potential
risk for an individual assigned to the position to adversely impact
DoD missions or functions. The contractor’s Facility Security
Officer (FSO) shall use the guidance below to determine a contractor employee’s
specific ADP/IT level. Contractor personnel designated for assignment
to a ADP/IT position shall undergo a successful background security
screening before being granted access to DoD Information Technology
(IT) systems and /or any DoD/Defense Health Agency (DHA) data directly extracted
from those contained on any system (e.g, test and /or production)
that contains sensitive data.
5.2.1.1 ADP/IT-I: Critical Sensitive Position
A
position where the individual is responsible for the development
and administration of MHS IS/network security programs and has the
direction and control of risk analysis and/or threat assessment.
The required investigation is a SSBI or equivalent. Responsibilities
include:
5.2.1.1.1 Significant
involvement in life-critical or mission-critical systems.
5.2.1.1.2 Responsibility
for the preparation or approval of data for input into a system,
which does not necessarily involve personal access to the system,
but with relatively high risk for effecting severe damage to persons,
properties or systems, or realizing significant personal gain.
5.2.1.1.3 Relatively high
risk assignments associated with or directly involving the accounting, disbursement,
authorization for disbursement from systems of:
• Dollar amounts of 10 million dollars per
year, or greater; or
• Lesser amounts if the activities of the
individuals are not subject to technical review by higher authority
in the ADP/IT-I category to ensure the integrity of the system.
5.2.1.1.4 Positions involving
major responsibility for the direction, planning, design, testing, maintenance,
operation, monitoring, and/or management of systems hardware and
software.
5.2.1.1.5 Other positions
as designated by the Designated Approving Authority (DAA) that involve
a relatively high risk for causing severe damage to persons, property
or systems, or potential for realizing a significant personal gain.
5.2.1.2 ADP/IT II:
Non-Critical-Sensitive Position
A position where
an individual is responsible for systems design, operation, testing, maintenance,
and/or monitoring that is carried out under technical review of
higher authority in the ADT/IT- I category. The required investigation
is a National Agency Check with Law Enforcement and Credit or equivalent.
Responsibilities include, but are not limited to:
5.2.1.2.1 Access to and/or
processing of proprietary data, information requiring protection,
or government-developed privileged information involving the award
of contracts.
5.2.1.2.2 Accounting,
disbursement, or authorization for disbursement from systems of
dollar amounts less than 10 million dollars per year.
5.2.1.2.3 Other positions
as designated by the DAA that involve a degree of access to a system that
creates a significant potential for damage or personal gain less
than that in ADP/IT-I positions.
5.2.2 Employee
Prescreening
5.2.2.1 The contractor shall conduct thorough
reviews of information submitted on an individual’s application
for employment in a position that requires either an ADP/IT background
investigation or involves access via a contractor system to data
protected by either the Privacy Act of 1974, as amended, or the
HHS HIPAA Privacy and Security Final Rule. For contractors working
in the United States (U.S.) and the District of Columbia, this prescreening
shall include reviews that:
• Verify U.S. citizenship.
• Verify education (degrees and certifications)
required for the position in question.
• Screen for negative criminal history at
all levels (federal, state, and local).
• Screen for egregious financial history;
for example, where adverse actions by creditors over time indicate
a pattern of financial irresponsibility or where the applicant has taken
on excessive debt or is involved in multiple disputes with creditors.
5.2.2.2 For contractors
working outside the U.S. and District of Columbia, prescreening
shall include reviews that:
• Verify United States citizenship.
• Verify education (degrees and certifications)
required for the position in question.
• Screen for negative criminal history, to
the maximum extent possible as permitted by local laws of the host
Government.
• Screen for egregious
financial history, to the maximum extent possible as permitted by local
laws of the host Government.
5.2.2.3 The prescreening
shall be conducted as part of the pre-employment screening, and
shall be completed before the assignment of any personnel to a position
requiring the aforementioned ADP/IT accesses. The pre-screening
can be performed by the contractor’s personnel security specialists, human
resource manager, hiring manager, or similar individual.
5.3 Processing
Personnel Security Requirements and Granting Interim Access to DoD
IS
5.3.1 Contractor
requests for a NACLC/SSBI type of security investigation are submitted
to the federal investigating agency, Office of Personnel Management,
via the electronic Questionnaires for Investigations Processing
(e-QIP) system. Contractor personnel who do not have an investigation
or appropriate level of investigation to obtain access to DoD/DHA
IT data, systems or networks shall complete the SF 86 in e-QIP.
5.3.2 The Personnel
Security Branch (PSB) may grant DHA contractors that are U.S. citizens interim
ADP-IT/CAC access upon confirmation of favorable results from the
advance NAC, FBI fingerprint check and a scheduled/open investigation
at OPM.
5.4 e-QIP Training
and Access
5.4.1 The contractor FSO shall complete
e-QIP training to access and use e-QIP.
5.4.2 The contractor FSO shall complete
the e-QIP Access User Form for e-QIP user accounts to be created.
5.4.3 FSO Roles
and Responsibilities
The contractor FSO shall:
• Be a U.S. citizen.
• Possess a favorably adjudicated NACLC or
equivalent investigation.
• Provide list of applicants to PSB for verification
of security eligibility.
• Initiate applicant’s security questionnaire
in e-QIP.
• Select the appropriate
Agency Use Block (AUB) template in e-QIP.
• Notify the Contracting Officer’s Representative
(COR) by e-mail that an e-QIP request has been initiated and requires
their approval.
• Inform applicant
to complete security questionnaire in e-QIP within 10 calendars
days.
• Perform initial
review of applications for required information.
• Capture and transmit e-fingerprints to
OPM via Secured Web Fingerprint Transmission (SWFT) or mail two
FD258 fingerprint cards to PSB.
• Verify applicant’s citizenship and upload
proof of citizenship document to investigation request before releasing
case to PSB.
• Serve as the
main Point Of Contact (POC) for the applicant.
• Monitor the e-QIP request, which includes
ensuring the applicant completes the e-QIP form in designated time
period.
• Cancel or delete
an e-QIP request on an applicant.
• Act as POC if DoD Central Adjudication
Facility (CAF) requires additional information on contractor employees.
5.5 Additional
Requirements/Information
5.5.1 Background
Investigation Request for ADP/IT-I
Contractors
requiring an ADP/IT-I investigation for their personnel shall have
their FSOs coordinate and submit a written request on company letterhead
to the DHA COR for endorsement. The request letter shall be signed
by, at a minimum, the FSO or other appropriate executive. It shall
include a detailed job description which justifies the requirement
for the ADP/IT-I. The justification letter shall be e-mailed to
a company assigned POC in PSB.
5.5.2 Reinvestigation Requirements
Contractor personnel in positions
designated as ADP/IT-I and ADP/IT-II have reinvestigation requirements.
ADP/IT-I positions are critical sensitive and shall be re-investigated
every five years. ADP/IT-II positions are non-critical sensitive
and shall be re-investigated every 10 years. The reinvestigation shall
be initiated within 60 days of the closed date of the last investigation.
The FSO shall track the reinvestigation requirement for contractor
employees and initiate new investigations, as required above. Fingerprints
are not required for re-investigations unless specifically requested.
5.5.3 Reciprocal
Acceptance of Prior Investigation
An investigation
is reciprocated when a new contractor employee has an existing favorably adjudicated
investigation that meets the appropriate level of investigation
required; and the break in service has been two years or less. The
FSO shall verify prior investigation and if valid, provide PSB new employee’s
name, Social Security Number (SSN), and Date of Birth (DOB).
5.5.4 Requests
for Additional Information
PSB may
require additional information while the contractor employee’s investigation
is in progress. The FSO will be notified to provide the information
by a specified date or the investigation may be rejected or returned
unacceptable. The FSOs shall review applications for required information prior
to release, to reduce case rejections and requests for additional
information.
5.5.5 Notification of Employee Termination
and Unfavorable Personnel Security Determination
5.5.5.1 The FSO shall notify PSB immediately
when a contractor employee is terminated from a DHA contract. E-mail
notification shall include the employee’s name and termination date.
If a contractor moves a contractor employee to another one its DHA
contracts, PSB shall be notified immediately, especially when a
contractor employee is being moved from an unclassified contract
to a classified contract.
5.5.5.2 PSB will notify FSOs when a contractor
employee has received an unfavorable personnel security determination.
Upon receipt of a denial letter from PSB, the FSO shall immediately
terminate the employee’s access to DoD IT systems. The return receipt
letter included with the denial letter from PSB shall be returned
to PSB one week after receipt of the letter to show compliance with
terminating employee’s access.
5.5.6 Transfers
Between Contractors
When contractor employees transfer
employment from one DHA contractor to another DHA contractor while
their investigation for ADP/IT trustworthiness determination is
in process, the scheduled investigation may be applied to the new
employing contractor. It shall be the responsibility of the new
employer to provide notification to PSB when this type of transfer
occurs. The notification shall contain employee’s name and effective
date of transfer.
5.5.7 Electronic
Fingerprint Capture and Submission
Contractors
shall capture e-fingerprints and transmit via SWFT as it improves
processing time and securely transmits fingerprints. These requirements
shall be met by contractors and subcontractors who have access to
DoD IS containing information protected by the Privacy Act of 1974 and
PHl under HIPAA.
5.5.8 Foreign Nationals
The
requirements above must be met by U.S. citizens who have access
to DoD IS containing information protected by the Privacy Act of
1974 and PHI under HIPAA. The required investigation must be completed
and favorably adjudicated prior to authorizing ADP/IT access to
DoD system/networks.
5.5.9 Notification
and Mailing
The contractor shall use the following
information to contact the PSB. The contractor shall handle sensitive
information according to applicable laws and DoD policies related
to privacy and confidentiality. The contractor shall transmit personally
identifiable information or protected health information via encrypted
e-mail or the OPM secure portal.
Mailing Address:
Defense
Health Agency
ATTN: Personnel
Security Branch
7700 Arlington
Blvd., Suite 5101
Falls Church,
VA 22042-5101
e-QIP Help Desk:
(703) 681-6508
E-mail address:
dhapsb@mail.mil
5.6 References
• DoDD 5136.01, “Assistant Secretary of Defense
for Health Affairs (ASD(HA)),” September 30, 2013.
• DoDD 5136.13, “Defense Health Agency (DHA),”
• DoDI 5025, “DoD Issuances Program,” June
6, 2014, as amended.
• DoDD 52002.2-R, “Personnel Security Program,”
January 1987, as amended,
http://www.dtic.mil/whs/directives/corres/pdf/520002r.pdf.
• FIPS Publication
140-2, Security Requirements for Cryptographic Modules,
http://csrc.nist.gov/publications/fips/fips140-2/fips1402.pdf.
• U.S. Code of Federal Regulations, Title
5, Part 731, “Suitability Regulations,” January 9, 2009, as amended.
• DoD Administrative Instruction 15, “Office
of the Secretary of Defense Records and Information Management Program,”
May 3, 2013.
• Executive Order
12968, “Access to Classified Information,” August 4, 1995.
• DoDD 5102.21, “Sensitive Compartmented
Information Administrative Security Manual,” October 2012.
• Intelligence Community Directive (ICD)
704, “Personnel Security Standards and Procedures Governing Eligibility
for Access to Sensitive Compartmented Information and Other Controlled
Access Program Information,” October 1, 2008.
• United States Code, Title 5, “The Privacy
Act of 1974,” December 31, 1974.
6.0 Public Key
Infrastructure (PKI)
DoD has initiated a PKI policy to support
enhanced risk mitigation strategies in support of the protection
of DoD’s system infrastructure and data. DoD’s implementation of
PKI requirements is specific to the identification and authentication
of users and systems within DoD (DoDI 8520.02). The following paragraphs
provide current DoD PKI requirements.
6.1 User Authentication
All contractor
personnel accessing DoD applications and networks shall obtain PKI
enabled and Personal Identity Verification (PIV) compliant Government
accepted credentials. Contractor personnel with access limited to
internal contractor systems and applications are not required to
obtain PKI enabled and PIV compliant credentials. Such credentials
shall follow the PIV trust model (FIPS 201-2) and be acceptable
to the Government. Currently, to meet this requirement, contractor
employees shall obtain Government-issued CACs. PIV compliant credentials
are required for access to DoD systems, networks and data. Alternate
sign on access will not be granted. Encryption and digital signatures
shall be used for information transmitted electronically that includes
DoD/DHA data covered by the Privacy Act, HIPAA and SI and network
requirements.
6.1.1 Common Access
Card (CAC) Issuance
6.1.1.1 The
CAC is the standard identification for Service members, DoD civilian
employees, and eligible DoD contractor personnel. It is the principal
card used to enable both physical access to a DoD facility and access,
via logon, to DoD networks on-site or remotely. Access to the DoD
network requires the use of a computer with Government-controlled
configuration or use of a DoD-approved remote access procedure in
accordance with the DISA Security Technical Implementation Guide.
6.1.1.2 Trust Associated
Sponsorship System (TASS), is a web-based system that allows eligible DoD
contractors to apply for a CAC through the Internet. Government
sponsors (also known as Trusted Agent (TA)) approve the application
to receive government credentials.
6.1.1.3 CACs Issued
On or After January 6, 2017
CACs
issued, reissued, or replaced on or after January 6, 2017, will
be issued with a blank e-mail certificate unless the CAC holder
already has a DoD approved e-mail address. Instructions for requesting
an approved e-mail address are available in
paragraph 6.1.1.3.3. Without
an approved government e-mail address (and the accompanying DoD
e-mail certificate), the CAC holder will be unable to use the capabilities
afforded by such a certificate, including digital signatures, digital encryption,
and/or to access government systems that require a DoD approved
email certificate authentication. CAC capabilities that do not require
a DoD approved e-mail certificate for authentication will still
function. If a CAC owner requires a DoD approved e-mail certificate
to perform their duties, the DHA’s DoD approved e-mail is Defense
Enterprise Email (DEE). Not all contractors require DoD approved
e-mail certificates on their CAC to perform those duties. More information
is provided in
paragraph 6.1.1.3.2 or the contractor shall
reference the specific requirements outlined in the contract for
clarification.
6.1.1.3.1 E-mail Address Certificates on CACs
6.1.1.3.2 CAC
owners will require a DoD approved e-mail address certificate on
their CAC in order to perform certain functions, such as the ability
to digitally sign, digitally encrypt, and/or access government systems
that require DoD approved e-mail address certificate assigned and
the email address certificate will remain blank. Some current CAC
users may already have another type of e-mail certificate that complies
with DoD requirements. If a contractor requires the capabilities
afforded by a DoD approved e-mail certificate on their CAC, they
shall obtain a DEE account, as described below. The DEE account
provides the CAC holder with the necessary DoD approved e-mail certificates
needed for the CAC. It also creates an e-mail in-box that allows
the user to send/receive encrypted e-mails and send/receive government
correspondence, among other capabilities. Once a CAC holder obtains
their DEE account, the account may be accessed using Outlook Web
Access (OWA) at
https://web.mail.mil.
6.1.1.3.3 The
Contracting Officer’s Representative/Program Manager (COR/PM) will
e-mail the contractor’s FSO requesting a list of users’ first and
last names, persona type codes (Civilian, Military, Contractor)
and DoD Identification (ID) Number, located on the back of the user’s
CAC be provided to the COR. Upon receipt, the COR/PM will forward
the information to GSC DHA.ITCallCenter@mail.mil requesting DEE
accounts be provided for each user listed. A DHA Add User Form is
not required to only obtain DEE accounts for CAC owners. GSC will
create a DEE account for each contractor request submitted, and
provide the COR/PM acknowledgment of the account creation. The COR/PM
will forward the account information to the FSO, who shall provide
the CAC owners the new account information with instructions on
how to create or update their DEERS/Real-Time Automated Personnel Identification
Systems (RAPIDS) Online profiles as described below.
6.1.1.3.4 When the CAC holder receives their
DEE account information, they shall:
• Update
the e-mail certificate associated with their CAC:
• Sign in to the
following link (do not select the DoD EMAIL certificate option):
https://www.dmdc.osd.mil/self_service/rapids/unauthenticated?execution=e1s1
• Within CAC Maintenance,
select Change CAC Email.
• Update
the DoD approved e-mail address on the CAC to reflect the DEE (@mail.mil)
account. This will create the DoD Certs needed for the digital signature
and encryption. (This may take up to 72 hours for the settings to update
and be reflected in the system.)
• Update their
Global Address List (GAL) properties:
• Select Update
Work Contact Info (GAL).
• Update contact
information accordingly.
• Access their
DEE account using OWA at
https://web.mail.mil.
Note: The amount of
time required to obtain a DEE account is contingent upon the independent steps
performed by the parties outlined above. Activities are typically
completed in hours.
6.1.2 FSO Roles
and Responsibilities
6.1.2.1 Obtaining a CAC
The FSO shall:
• Identify contractor support personnel who
require a CAC for accessing DoD networks and facilities.
• Verify the applicant’s background investigation
by submitting a request to PSB.
• Complete Sections I and III of the DHA
Form 33, the initial and/or renewal CAC.
• Submit DHA Form 33 to the COR for approval.
• Fax the completed form to (703-681-5207),
ATTN: PSB/TASS/Common Access Card Branch (CACB) or e-mail to (dha.ncr.security.mbx.personnel-security-tass@mail.mil).
6.1.2.2 Obtaining
E-Mail Address Certificate
The FSO
shall:
• Assist the CAC owner with obtaining a DoD
approved e-mail address (and the accompanying e-mail certificate)
for their CAC, if one is required to perform their job duties.
• Submit to the
COR a list of user’s first and last names, persona type codes (Civilian, Military,
Contractor) and DoD ID Number, for those requiring an e-mail certificate.
6.1.2.3 Out-Processing
Procedures
The FSO shall:
• Establish out-processing procedures to
collect the CAC when an employee quits, is terminated from the company
or when the CAC is no longer required.
• Notify the TA to revoke the applicant’s
CAC.
• CACs
shall be returned in accordance with
paragraph 6.1.3.8.
6.1.3 CAC Guidelines
and Restrictions
6.1.3.1 Any person willfully altering, damaging,
lending, counterfeiting, or using these cards in any unauthorized
manner is subject to fine or imprisonment or both, as prescribed
in sections 499, 506, 509, 701, and 1001 of title 18, United States
Code (USC). Section 701 prohibits photographing or otherwise reproducing
or possessing DoD ID cards in an unauthorized manner, under penalty
of fine or imprisonment or both. Unauthorized or fraudulent use
of ID cards would exist if bearers used the card to obtain benefits
and privileges to which they are not entitled. Examples of authorized
photocopying include photocopying of DoD ID cards to facilitate
medical care processing, check cashing, voting, tax matters, compliance
with appendix 501 of title 50, USC (also known as “The Service member’s
Civil Relief Act”), or administering other military-related benefits
to eligible beneficiaries. When possible, the ID card will be electronically
authenticated in lieu of photographing the card.
6.1.3.2 ID cards
shall not be amended, modified, or overprinted by any means. No
stickers or other adhesive materials are to be placed on either
side of an ID card. Holes shall not be punched into ID cards, except
when a CAC has been requested by the next of kin for an individual
who has perished in the line of duty. A CAC provided to next of
kin shall have the status of the card revoked in DEERS, have the
certificates revoked, and have a hole punched through the integrated
circuit chip before it is released to the next of kin.
6.1.3.3 Access
The
granting of access is determined by the contractor or system owner
as prescribed by the DoD.
6.1.3.4 Accountability
CAC holders
shall maintain accountability of their CAC at all times while affiliated
with the DoD.
6.1.3.5 Multiple Cards
In instances
where an individual has been issued more than one ID card (e.g.,
an individual that is eligible for an ID card as both a Reservist
and as a contractor employee), only the ID card that most accurately
depicts the capacity in which the individual is affiliated with
the DoD should be utilized at any given time.
6.1.3.6 Renewal and
Reissuance
The applicant for CAC renewal or
reissuance shall be required to surrender the current CAC card that
is up for renewal. The CAC shall be renewed 90 days prior to the
CAC expiring.
6.1.3.7 Replacement
The applicant
shall provide a letter from the local security office confirming
the CAC has been reported lost, stolen confiscated or destroyed,
and a valid (unexpired) State or Federal Government-issued picture
ID.
6.1.3.8
Retrieval
The CAC is property of the U.S.
Government and shall be retrieved and returned to TASS-CACB when
the card has expired, is damaged, compromised, when the applicant
is no longer affiliated with the DoD contractor or no longer meets
the eligibility requirements for the card.
Defense
Health Agency
Mission Assurance
Division
Personnel Security
Branch
ATTN: TASS/CACB
7700
Arlington Blvd, Suite 5101
Falls Church,
VA 22042-5101
6.1.4 Personal Identification Number (PIN)
Resets
Should an individual’s CAC become
locked after attempting three times to access it, the PIN shall
be reset at a RAPIDS facility or by designated individuals authorized
CAC PIN Reset (CPR) applications. These individuals may be contractor
personnel, if approved by the Government representative. PIN resets
cannot be done remotely. The Government will provide CPR software licenses;
the contractor shall provide all hardware for the workstation (PC,
Card Readers, Fingerprint capture device). The CPR workstation shall
not be used for other applications, as the Government has not tested
the CPR software for compatibility. The CPR software shall run on
the desktop and cannot be run from the Local Area Network (LAN).
The contractor shall install the CPR hardware and software, and provide
the personnel necessary to run the workstation.
6.1.5 Systems Requirements
for CAC Authentication
The contractor shall procure, install,
and maintain desktop level CAC readers and middleware. The middleware
software must run on the desktop and cannot be run from the LAN. Technical
Specifications for CACs and CAC readers may be obtained at
https://www.dmdc.osd.mil/ appj/dwp/contractor_civ_roles.jsp.
6.1.6 The contractor shall ensure that
CACs are only used by the individual to whom the CAC was issued.
Individuals must protect their PIN and not allow it to be discovered
or allow the use of their CAC by anyone other than him/herself.
The contractor shall ensure access to DoD systems applications and data
is only provided to individuals who have been issued a CAC and whose
CAC has been validated by the desktop middleware, including use
of a card reader. Sharing of CACs, PINs, and other access codes
is expressly prohibited.
6.1.7 The contractor shall provide locations
and approximate number of contractor personnel at each site who
will require the issuance of a CAC upon contract award.
6.1.8 The contractor shall identify to
DHA and DMDC the personnel that require access to the DMDC Contractor
Test environment in advance of the initiation of testing activities.
6.2 System Authentication
The contractor shall obtain DoD-acceptable
PKI server certificates for identity and authentication of the servers
upon direction of the CO. These interfaces include, but are not
limited to, the following:
• Contractor systems for inquiries and responses
with DEERS.
• Contractor systems
and the TED Processing Center.
7.0 Telecommunications
7.1 MHS Demilitarized
Zone (DMZ) Medical Community of Interest (MedCOI) B2B Gateway
7.1.1 In accordance with contract requirements,
the contractor shall connect to the B2B Gateway via a contractor
procured Internet Service Provider (ISP) connection. The contractor
shall assume all responsibilities for establishing and maintaining
their connectivity to the B2B Gateway. This shall include acquiring
and maintaining the circuit used to connect to the B2B Gateway and
the acquisition of a Virtual Private Network (VPN) device maintenance
agreement and license compatible with the MHS VPN device. The list
of compatible devices are detailed in the DHA B2B/MedCOI Gateway questionnaire.
7.1.2 The contractors shall submit a completed
current version of the DHA B2B/MedCOI Gateway questionnaire to their
Government sponsor or Government Program Office within 10 calendar
days after new requirements have been provided to the contractor.
The contractor shall provide information specific to their connectivity
requirements, proposed path for the connection and last mile diagram. The
completed questionnaire shall be submitted directly to the DHA B2B
office or through the contractor’s Government Program Office/sponsor for
review and scheduling of an initial technical specifications meeting.
7.2 Contractor
Provided IT Infrastructure
7.2.1 Platforms shall support HyperText
Transfer (Transport) Protocol (HTTP), HyperText Transfer (Transport)
Protocol Secure (HTTPS), web-derived Java Applets, and Secure File
Transfer Protocols (SFTPs) (e.g., STFP, Secure Socket Layer (SSL)/Transport
Layer Security (TLS)), and all software that the contractor proposes
to use to interconnect with DoD facilities.
7.2.2 The contractor
shall configure their networks to support access to Government systems (e.g.,
configure ports and protocols for access).
7.2.3 The contractor shall provide full
time connections to a TIER 1 or TIER 2 ISP. Dial-up ISP connections
are not acceptable. All IP addresses need to be publicly routable.
Private address space using Network Address Translation (NAT) will
not be permitted.
7.2.4 The contractor shall maintain a
valid maintenance contract and pertinent licenses for all devices
connecting to the MHS B2B Gateway.
7.3 System Authorization Access Request
(SAAR) Defense Department (DD) Form 2875
7.3.1 All contractors that use the DoD
Gateways to access Government IT systems and/or DoD applications
shall submit the most current version of DD Form 2875 in accordance
with CO guidance. A DD Form 2875 shall be completed for each contractor
employee who will access any system and/or application on a DoD
network. The DD Form 2875 shall clearly specify the system and/or
application name and justification for access to that system and/or
application.
7.3.2 The contractor shall submit the
completed DD Form 2875 to the DHA DPCLO for verification of ADP
Designation. The DHA DPCLO will verify that the contractor employee
has the appropriate background investigation completed or a request
for background investigation has been submitted to the OPM. Acknowledgment
from OPM that the request for a background investigation has been
received and that an investigation has been scheduled will be verified
by the DHA DPCLO prior to access being approved.
7.3.3 The DHA
DPCLO will forward the DD Form 2875 to I&OD for processing;
I&OD will forward DD Form 2875s to DHA. DHA will notify the
user of the ID and password via secure/encrypted e-mail upon the
establishment of a user account. User accounts will be established
for individual use and may not be shared by multiple users or for
system generated access to any DoD application. Misuse of user accounts
by individuals or contractor entities will result in termination
of system access for the individual user account.
7.3.4 The contractor
shall conduct a monthly review of all contractor employees who have
been granted access to DoD IS’/networks to verify that continued
access is required. The contractor shall provide the DHA DPCLO with
a report of the findings of their review by the 10th day of each
month following the review. Reports identifying changes to contractor
employee access requirements shall include the name, DoD ID number
from CAC, Company, IS/network for which access is no longer required
and the date access will be terminated. Details for reporting are
identified in DD Form 1423, Contract Data Requirements List (CDRL),
located in Section J of the applicable contract.
7.4 MHS Systems
Telecommunications
7.4.1 The primary communication links
shall be via encrypted tunnels (i.e., Secure Internet Protocol (IPSEC),
GetVPN, or SSL) between the contractor’s primary site and the MHS
B2B Gateway.
7.4.2 The contractor shall place the VPN
appliance device outside the contractor’s firewalls and shall allow
full management access to this device (e.g., in router access control
lists) to allow Central VPN Management services provided by DHA
or other source of service as designated by the MHS to remotely
manage, configure, and support this VPN device as part of the MHS
VPN domain.
7.4.3 For backup purposes, an auxiliary
VPN device for contractor locations shall also be procured and configured
for operation to minimize any downtime associated with problems
of the primary VPN.
7.4.4 Devices sent by the contractor to
the MHS VPN management authority (e.g., DHA) shall be sent postage
paid and include prepaid return shipping arrangements for the devices(s).
7.4.5 The MHS
VPN management authority (e.g., DHA) will remotely configure and
manage the VPN appliance once installed by the contractor.
7.4.6 Maintenance
and repair of contractor procured VPN equipment shall be the responsibility of
the contractor. Troubleshooting of VPN equipment will be the responsibility
of the Government.
7.5 Establishment of Telecommunications
7.5.1 Telecommunications
shall be established with the MHS through coordination with DHA. The
contractor shall identify their requirement(s) for the establishment
of telecommunications with the MHS, DMDC or other Government entities.
7.5.2 The DHA/MedCOI
B2B Gateway Questionnaire (provided by DHA) identifies the required telecommunication
infrastructure between the contractor and the MHS systems. This
includes all Wide Area Network (WAN), LAN, VPN, Web DMZ, and B2B
Gateway access requirements. The contractor shall complete their
applicable portion of the questionnaire and shall return it to the
DHA designated POC for review and approval. Upon Government request,
the contractor shall provide technical experts to provide any clarification
of information provided in the questionnaire. DHA will review and
process the questionnaire when it is accepted.
7.5.3 DHA will
coordinate any requirements for additional information with the
POC and schedule any meetings required to review the Questionnaire.
Upon approval of the Questionnaire, DHA will coordinate a testing
meeting with appropriate stakeholders. DHA will notify the contractor
POC of the meeting schedule. The purpose of the testing meeting
is to complete a final review of the telecommunication requirements
and establish testing dates.
7.5.4 The contractor shall provide DHA
with a copy of the approved and signed B2B Questionnaire for all
telecommunication efforts upon request.
7.6 Contractors
Located On Military Installations
7.6.1 Contractors located on a military
installation who require direct access to Government systems shall
coordinate/obtain these connections with the local Military Treatment
Facilities (MTFs)/Enhanced Multi-Service Markets (eMSMs) and Base/Post/Camp
communication personnel. These connections will be furnished by
the Government.
7.6.2 Contractors located on military
installations that require direct connections to their networks
shall provide an isolated IT infrastructure. They shall coordinate
with the Base/Post/Camp communications personnel and the MTF/eMSM
in order to get approval for a contractor procured circuit prior
to installation to ensure the contractor is within compliance with
the respective organizational security policies, guidance and protocols.
Note: In
some cases, the contractor may not be allowed to establish these
connections due to local administrative/security requirements.
7.6.3 The contractor
shall be responsible for all security certification documentation
as required to support DoD IA requirements for network interconnections.
Further, the contractor shall provide, on request, detailed network
configuration diagrams to support IA accreditation requirements.
The contractor shall comply with IA accreditation requirements.
All network traffic shall be via Transmission Control Protocol/Internet
Protocol (TCP/IP) using ports and protocols in accordance with current Service
security policy. All traffic that traverses MHS, DMDC, and/or military
Service Base/Post/Camp security infrastructure is subject to monitoring
by security staff using Intrusion Detection Systems.
7.7 DHA/TED
7.7.1 Primary Site
The
TED primary processing site is currently located in San
Antonio, TX; and operated by the DISA Defense
Enterprise Computing Center (DECC), Detachment San
Antonio, TX.
Note: The location
of the primary site may be changed. The contractor will be advised
should this occur.
7.7.2 General
The common
means of administrative communication between Government representatives
and the contractor is via telephone and e-mail. An alternate method
may be approved by DHA. At the start-up planning meeting, each contractor
on the telecommunication network shall provide DHA the name, address,
and telephone number of the person who will serve as a technical
POC (update when changes occur). The contractor shall also provide
a separate computer center (Help Desk) number to DHA which the DHA
computer operator may use for resolution of problems related to data
transmissions.
7.7.3 TED-Specific Data Communications Technical
Requirements
The contractor shall communicate
with the Government’s TED Data Center through the MHS B2B Gateway.
7.7.3.1 Communication
Protocol Requirements
7.7.3.1.1 File
transfer software shall be used to support communications with the
TED Data Processing Center. CONNECT:Direct is the current communications
software standard for TED transmissions. The contractor shall upgrade/comply
with any changes to this software. The contractor shall provide
this product and a platform capable of supporting this product with
the TCP/IP option included. Details on this product may be obtained
from:
Sterling Commerce
4600
Lakehurst Court
P.O. Box 8000
Dublin
OH 43016-2000 USA
Phone: (614)
793-7000
Fax: (614) 793-4040
7.7.3.1.2 For Ports
and Protocol support, TCP/IP communications software incorporating
the TN3270 emulation shall be provided by the contractor.
7.7.3.1.3 Transmission
size is limited to any combination of 400,000 records at one time.
7.7.3.1.4 “As Required”
Transfers
Ad hoc movement of data files shall
be coordinated through and executed by the network administrator
or designated representative at the source file site. Generally
speaking, the requestor needs only to provide the POC at the remote
site, and the source file name. Destination file names shall be
obtained from the network administrator at the site receiving the
data. Compliance with naming conventions used for recurring automated
transfers is not required. Other site specific requirements, such
as security constraints and pool names are generally known to the
network administrators.
7.7.3.1.5
File
Naming Convention
7.7.3.1.5.1 All files
received by and sent from the DHA data processing site shall comply
with the following standards when using CONNECT:Direct:
|
POSITION(S)
|
CONTENT
|
|
1 - 2
|
TD
|
|
3 - 8
|
YYMMDD Date
of transmission
|
|
9 - 10
|
Contractor number
|
|
11 - 12
|
Sequence number
of the file sent on a particular day. Ranges from 01 to 99. Reset
with the first file transmission the next day.
|
7.7.3.1.5.2 All files
sent from the DHA data processing site shall be named after coordination
with receiving entities in order to accommodate specific communication
requirements for the receivers.
7.7.3.1.6 Timing
7.7.3.1.6.1 Under
most circumstances, the source file site shall initiate automated
processes to cause transmission to occur. With considerations for
timing and frequency, activation of transfers for each application
shall be addressed on a case by case basis.
7.7.3.1.6.2 Alternate Transmission
Should the contractor not be able
to transmit their files through the normal operating means, the
contractor shall notify DHA to discuss alternative delivery methods.
7.8 DHA/MHS Referral
And Authorization System
The MHS Referral
and Authorization System is to be determined. Interim processes
are described in the TOM.
7.9 DHA/TRICARE Duplicate Claims System
(DCS)
The DCS is a web application accessible
via Microsoft Internet Explorer (MSIE) version 6.0, 7.0 or as directed
by the Government. The contractor shall provide internal connectivity
to the public Internet and is responsible for all systems and operating
system software needed internally to support the DCS. (See
Chapter 4 for DCS Specifications.)
7.10
Payroll
Allotment Systems
Enrollment fees/premium payments for specified
TRICARE Programs may be paid by electronic monthly allotments from
military payroll. The availability of this payment option is determined
by the Program requirements and the Service member’s duty status
and may not be available for all TRICARE Programs. Payroll allotment
data is exchanged between military payroll centers and the DHA purchased
care contractors. DHA contractors process allotment information
exchanged with military payroll centers in accordance with the TOM,
Chapter 6, Section 1. The following allotment
processing guidance is provided in accordance with the Memorandum
of Understanding (MOU) established between the Defense Health Agency
(DHA) and Defense Finance and Accounting Service (DFAS), the U.S.
Coast Guard (USCG), and Public Health Service (PHS) for allotments
from retired pay.
7.10.1 Exchange of Payroll Allotment Data
The contractor shall exchange payroll
allotment data with the DFAS and the USCG and PHS using a specified
transmission protocol.
7.10.1.1 DFAS
Payroll
allotment data for the U.S. Army, Air Force, Navy, and Marines shall
be transmitted to DFAS via the B2B Gateway using SFTP or a secure
Internet file transfer, e.g., Multi-Host Internet Access Portal
(MIAP). The use of the B2B or a Government identified secure file
transfer requires compliance with all security requirements in this
Chapter. The contractor shall separately provide DFAS with a System
Authorization Access Request (SAAR) DD Form 2875 requesting access
to DFAS systems. This is in addition to what may have already been
submitted for access to the B2B.
7.10.1.2 USCG and PHS
Payroll
allotment data for the USCG and PHS shall be transmitted via the
SilkWeb (a SFTP) and Titan web application (see instructions in
Addendum A). All security and data handling requirements
in this Chapter remain in effect. In addition, the contractor shall
obtain User IDs and passwords from the designated POC at the PHS.
7.10.2 Data Transmission
Requirements
7.10.2.1 The contractor shall provide DFAS/USCG/PHS
with a monthly file of retirees who have selected TRICARE Prime
for their health benefit and elected monthly allotments as the methodology for
paying enrollment fees. DFAS will return feedback files to the contractor
providing determinations of the actions, acceptance or rejection
and whether the item is paid or unpaid.
7.10.2.2 The contractor
shall provide DFAS/USCG/PHS with POCs for testing, system and ongoing business
requirements. POC information shall be maintained and include: name,
title, contractor name, address, electronic mail address and telephone
number. Updated information shall be provided to DFAS when the POC
or contact information changes.
7.10.2.3 DFAS/USCG/PHS
will provide the contractor with start/stop and change allotment
requests received directly from TRICARE beneficiaries. The contractor
shall process these requests and submit an initial file containing
information for all allotments selected in time for the first submission.
Subsequent files shall contain only new allotments and stops and/or
changes.
7.10.2.4 The file (initial and subsequent)
shall be sent using the appropriate transmission protocol determined
by the receiving payroll center, e.g., DFAS or USCG/PHS.
7.10.2.5 The contractor
shall submit an electronic mail notification to DFAS/USCG/PHS notifying them
of the file transmission.
7.10.3 File Layout
7.10.3.1 The contractor
shall exchange the following files with DFAS:
• Input data
• Reject Report
• Deduction Report
7.10.3.2 The file
layout is provided at
Addendum A. The contractor will be notified
of any changes to the file layout by the CO.
7.10.3.3 The contractor
shall submit files using the naming convention designated by DFAS.
7.10.4 Data Transmission
Schedule
7.10.4.1 Data shall be transmitted by the
contractor or their designated subcontractor on the business day
immediately prior to the eighth day of each month (or on the previous
Thursday, should the eighth fall on a Saturday or Sunday), for allotments
due on the first day of the upcoming month. The only exception to
this schedule is for the month of December when all data shall be
transmitted so it is received on the first business day of December.
7.10.4.2 During
months when no monthly beneficiary data exists, the contractor shall
continue to submit a file without data in accordance with the eighth
day of the month rule. The file shall consist of a header and trailer
record with no data in between. The electronic mail notification
shall indicate the file contains no member data.
7.10.4.3 Within
24 hours of file processing by DFAS/USCG/PHS, the contractor will
receive a file from the pay center identifying all “rejected” submissions
and the reasons for the rejection. The contractor shall research
the rejected submissions and resubmit resolved transactions on the
following month’s file. The contractor shall also notify the beneficiary
in accordance with TOM,
Chapter 6, Section 1.
7.10.4.4 The contractor
will receive a file of the “deduct/no deduct” file that contains
the “no deduct” reasons following processing of the “compute pay
cycle” by the pay center. The contractor shall research these items
and resubmit resolved items, as appropriate, on the following month’s
file. The “deduct/no deduct” file is informational and shall document
all payments not collected as well as unfulfilled allotment requests
(e.g., insufficient pay to cover deduction).
7.10.4.5 The contractor’s
banking institution will receive a Corporate Trade Exchange (CTX) “payment”
file from DFAS on the first business day of the month following
the submission of the files.