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 Government will provide the contractor 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. The
contractor shall maintain all materials provided to the contractors
at meetings, workgroups, and/or training sessions sponsored by or
reimbursed by the Government 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). The contractor shall submit TRICARE Encounter
Data (TED) records as well as provider information 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 TOM,
Chapter 1 addresses
management and quality controls specific to the accuracy and timeliness
of transactions associated with ADP and financial functions. 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. The contractor shall
take corrective actions to correct data integrity issues, resulting
from contractor actions.
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
contractor, subcontractor(s) and other individuals with access to
IS containing PII protected by the Privacy Act of 1974 and PHI under
HIPAA shall meet the above requirements.
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 report any problems experienced during testing 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.
The contractor shall accomplish retesting 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. The contractor shall accomplish retesting 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 emails to be used for call back purposes, notification
of planned and unplanned outages and software releases. The Government
will notify POCs via email in the event of an unplanned outage using
the POC notification list. The contractor shall notify DHA regarding
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 contractor
and subcontractors in order to continue operations should an actual
disaster be declared for their region. The contractor shall ensure
the COOP:
• Ensures the availability of
the system and associated data in the event of hardware, software
and/or communications failures.
• Includes the prime contractor
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.
• Includes information specific
to connection to the B2B Gateway to and from the relocation/recovery
site for operations 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.
• Enables 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.
• Includes 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. The Government will not grant waivers
of security and access requirements 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. The contractor
shall ensure coordination begins 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 shall include processing:
• 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 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.
• 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. The contractor
shall create TED records 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. The contractor shall submit these
test claims to the DHA TED landing area.
3.3.4 The contractor 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 contractor shall report results of the review and/or
test results to the DHA Managed Care Contracting Division (MC-CD)
within 10 days of test conclusion. 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 contractor
shall submit notice of additional testing requirements or corrective
actions to be taken along with the proposed date for retesting and
the completion date for any corrective actions required. Upon completion
of the retest, the contractor shall provide a report of the results
of the actions taken to the MC-CD 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
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. The contractor shall achieve self-certification, as specified in
the contract. The contractor 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. The contractor shall ensure security reviews describe,
at a high level, how the security controls and control enhancements
meet those security requirements, and 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 the Government will notify the
contractor regarding any identified areas that need additional information.
The contractor shall respond within 10 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
Government will provide the contractor with the most current version
of the NIST Checklist and Written Determination Report (WDR) within
10 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 days.
3.4.7 Disposing
of Electronic Media
The
contractor 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 shall submit 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
The
contractor shall maintain systems (or use 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.
The contractor shall submit situation reports as necessary 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 shall be in ADP/IT-I
(critical sensitive) or ADP/IT-II (non-critical sensitive) designated
positions:
• 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. The contractor shall ensure its personnel
designated for assignment to a ADP/IT position 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 contractor shall conduct
prescreening as part of the pre-employment screening, and shall
complete the prescreening before the assigning of any personnel
to a position requiring the aforementioned ADP/IT accesses. The
pre-screening shall 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 The contractor shall submit
requests for a NACLC/SSBI type of security investigation 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 email 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 emailed 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 contractor shall initiate reinvestigation 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 is 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.
PSB will notify the FSO regarding the required information and a
due date. If the contractor does not provide the required information
by the due date, the Government may reject the investigation or
return it. 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. The contractor shall email notification and
include the employee’s name and termination date. The contractor
shall immediately notify PSB if they move an employee to another
one of its DHA contracts, especially when an 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 contractor shall return the return receipt
letter (included with the denial letter from PSB) to PSB within
one week after receipt of the letter to show compliance with terminating
the 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. The gaining contractor
shall notify PSB when this type of transfer occurs. The notification
shall contain the employee’s name and the effective date of transfer.
5.5.7 Electronic Fingerprint Capture
and Submission
The
contractor shall capture e-fingerprints and transmit via SWFT as
it improves processing time and securely transmits fingerprints.
The contractor and its subcontractors with access to DoD IS containing
information protected by the Privacy Act of 1974 and PHl under HIPAA,
shall meet these requirements.
5.5.8 Foreign Nationals
The requirements above shall
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 contractor
shall ensure the required investigation is 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 email 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
Email 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. To meet this requirement, contractor
employees shall obtain Government-issued CACs. PIV compliant credentials
are required for access to DoD systems, networks and data. The Government
will not grant alternate sign on access. The contractor shall use
encryption and digital signatures for electronically transmitted
information 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
The Government will issue,
reissue, or replace CACs with a blank email certificate unless the CAC
holder already has a DoD approved email address. Instructions for
requesting an approved email address are available in
paragraph 6.1.1.3.3. Without an approved Government
email address (and the accompanying DoD email 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 email certificate for authentication will still function.
If a CAC owner requires a DoD approved email certificate to perform
their duties, the DHA’s DoD approved email is Defense Enterprise Email
(DEE). Not all contractors require DoD approved email 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 Email
Address Certificates on CACs
6.1.1.3.2 CAC
owners need a DoD approved email 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 email address certificate assigned and the email address
certificate will remain blank. Some current CAC users may already
have another type of email certificate that complies with DoD requirements.
If a contractor requires the capabilities afforded by a DoD approved
email certificate on their CAC, the contractor shall obtain a DEE
account, as described below. The DEE account provides the CAC holder
with the necessary DoD approved email certificates for the CAC.
It also creates an email inbox that allows the user to send/receive
encrypted emails and send/receive Government correspondence, among
other capabilities. Once a CAC holder obtains their DEE account,
the holder may access the account via Outlook Web Access (OWA) at
https://web.mail.mil.
6.1.1.3.3 Upon
request from the Contracting Officer’s Representative/Program Manager
(COR/PM), the contractor FSO shall email 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 to the COR. Upon receipt, the COR/PM will forward the information
to GSC DHA.ITCallCenter@mail.mil and request DEE accounts 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
along 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 email 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 email 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 email to dha.ncr.security.mbx.personnel-security-tass@mail.mil.
6.1.2.2 Obtaining Email Address Certificate
The
FSO shall:
• Assist the CAC owner with obtaining
a DoD approved email address (and the accompanying email 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, personal type codes (Civilian, Military,
Contractor) and DoD ID Number, for those requiring an email 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.
• Return
CACs 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 shall be electronically
authenticated in lieu of photographing the card.
6.1.3.2 The contractor shall not amend,
modify, or overprint ID cards by any means. The contractor shall
not place stickers or other adhesive materials on either side of
an ID card. The contractor shall not punch holes 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. The contractor shall ensure the
status of the CAC is revoked in DEERS, the certificates are revoked,
and a hole is 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), the individual shall use the ID card
that most accurately depicts the capacity in which the individual
is affiliated with the DoD at any given time.
6.1.3.6 Renewal and Reissuance
The
applicant for CAC renewal or reissuance shall surrender the current
CAC card that is up for renewal. The individual shall renew their
CAC 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 individual
shall get the PIN 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 shall not 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 contractor shall not use the CPR workstation for other applications,
as the Government has not tested the CPR software for compatibility.
The contractor shall ensure the CPR software is installed on the
desktop and not 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 contractor shall ensure the middleware
software runs on the desktop and not be run from the LAN. For CAC
and CAC reader technical specifications go to
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 shall 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. The contractor
shall not allow CACs, PINs, and other access code sharing.
6.1.7 The
contractor shall provide to the Government the locations and approximate
number of contractor personnel by site who require CAC issuance
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 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 contractor shall
submit the completed questionnaire 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 The contractor shall ensure
its platforms 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. The contractor shall
not use dial-up ISP connections. The contractor shall ensure all
IP addresses are publicly routable. The contractor shall not use
Network Address Translation (NAT) for private address space.
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. The contractor shall
complete a DD Form 2875 for each contractor employee who will access
any system and/or application on a DoD network. The contractor shall
ensure the DD Form 2875 clearly specifies 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 either a complete appropriate background investigation or one
requested from OPM. DHA DPCLO will verify the background investigation
request and scheduled investigation with OPM prior to approving
access.
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 email 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. 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
contractor shall ensure primary communication links are 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, the contractor shall procure an auxiliary VPN device
for contractor locations and configure devices for operation to
minimize any downtime associated with problems of the primary VPN.
7.4.4 The contractors send devices
to the MHS VPN management authority (e.g., DHA) 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 The
contractor shall maintain and repair contractor procured VPN equipment.
The Government will troubleshoot of VPN equipment.
7.5 Establishment of Telecommunications
7.5.1 The contractor shall establish
telecommunications with the MHS in 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 Market/Military Treatment Facilities (MTFs) and Base/Post/Camp
communication personnel. The Government will furnish these connections.
7.6.2 Contractors located on military
installations that require direct connections to their networks
shall provide an isolated IT infrastructure. The contractor shall
coordinate with the Base/Post/Camp communications personnel and
the Market/MTF 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.
The contractor shall ensure all network traffic is via Transmission
Control Protocol/Internet Protocol (TCP/IP) using ports and protocols
in accordance with current Uniformed 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 Government will advise the contractor if
the primary site changes.
7.7.2 General
The
common means of administrative communication between Government representatives
and the contractor is via telephone and email. DHA may approve an
alternate method. At the start-up planning meeting, each contractor
on the telecommunication network shall provide DHA the name, address,
and telephone number of the technical POC and update the information
when changes occur. The contractor shall also provide a separate
computer center (Help Desk) number to DHA for the DHA computer operator
to use for data transmission problem resolution.
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 The contractor shall use file
transfer software 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 The contractor shall provide
TCP/IP communications software incorporating the TN3270 emulation,
for ports and protocol support.
7.7.3.1.3 The contractor shall not transmit
more than any combination of 400,000 records at one time.
7.7.3.1.4 “As Required” Transfers
The
contractor shall coordinate and execute ad hoc movement of data
files through 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. The contractor shall obtain destination file names 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 The contractor shall ensure
all files received by and sent from the DHA data processing site
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 shall supply 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
Uniformed Services pay centers and the DHA private care contractors.
DHA contractors process allotment information exchanged with Uniformed Services
pay in accordance with the TOM,
Chapter 6, Section 1. The following allotment
from
retirement pay 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), or the Uniformed Services
pay center.
7.10.1 Exchange of Payroll Allotment
Data
The
contractor shall exchange payroll allotment data with the DFAS and
the Uniformed Services pay centers using a specified transmission
protocol.
7.10.1.1 DFAS
The contractor shall transmit
Army, Air Force, Navy, Marines, and Space Force pay allotment data
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 anything already submitted for B2B access.
7.10.1.2 Pay Center Specific Allotment
Data - U.S. Coast Guard (USCG) and Public Health Service (PHS)
The
contractor shall transmit USCG and PHS payroll allotment data 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 or the appropriate Uniformed Services pay center with a monthly
file of retirees who have selected
a TRICARE Health Plan (THP) or a file to include active duty sponsors
who have selected the TRICARE Dental Program (TDP). The contractor
shall ensure the files include
the elected monthly allotments as the methodology for paying enrollment
fees. DFAS or the appropriate Uniformed Service pay centers 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
POCs to the DFAS or the appropriate Uniformed Services pay center
for testing, system and ongoing business requirements. The contractor
shall maintain POC information and include: name, title, contractor
name, address, electronic mail address and telephone number. The
contractor shall provide updated information to DFAS when the POC
or contact information changes.
7.10.2.3 DFAS or the appropriate Uniformed
Services pay center 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. The contractor shall only include new
allotments and stops and/or changes for subsequent files.
7.10.2.4 The contractor shall send the
file (initial and subsequent) using the appropriate transmission
protocol determined by the receiving payroll center, e.g., DFAS
or the appropriate Uniformed Services pay center.
7.10.2.5 The contractor shall email
notification to DFAS or the appropriate Uniformed Services pay center
regarding file transmission.
7.10.3 File
Layout
7.10.3.1 The
contractor shall exchange the following files with DFAS or the appropriate
Uniformed Services pay center not identified in
paragraph 7.10.3.2:
• Input
data
• Reject Report
• Deduction Report
7.10.3.2 The
contractor shall exchange the following files for both the U.S.
Air Force (USAF) and U.S. Navy (USN):
• Premium Deduction File
• No Match File
• Deduct/No Deduct File
7.10.3.3 The general file layout is
provided at
Addendum A. The CO will notify the contractor regarding
changes to the file layout.
7.10.3.4 The USAF file layout is provided
at
Addendum B. The contractor will be notified
of any changes to the file layout by the CO.
7.10.3.5 The contractor shall submit
files using the DFAS naming convention.
7.10.4 Data Transmission Schedule
7.10.4.1 The contractor (or their designated
subcontractor) shall transmit data 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 the contractor shall
transmit all data 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. In the accompanying email, the contractor
shall indicate the file does not contain member data.
7.10.4.3 Within 24 hours of file processing
by DFAS or the appropriate Uniformed Services pay center, 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 documents 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 file submission.