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.