AMSIS Draft Screening Information Request, Attachment J-12 Attachment J-12 AMSIS Interface Requirements Document (IRD) Designee Management System (DMS) Aerospace Medical Safety Information System (AMSIS) DTFAWA-16-R-70451
Aerospace Medicine Safety Information System (AMSIS) Program Office (IRD) Designee Management System (DMS) February 12, 2016 Federal Aviation Administration 600 Independence Avenue, SW Washington, DC 20591 i
Signature Approval Page Aerospace Medicine Safety Information System (AMSIS) To And From Designee Management System (DMS) Approval Signatures Name Organization Signature Date Signed Adrian Caster AMSIS Program Manager DMS Janet Talley AAM-110 ii
AMSIS Draft Screening Information Request, Attachment J-12 Revision Record REVISION LETTER DESCRIPTION DATE ENTERED BY Aerospace Medical Safety Information System (AMSIS) DTFAWA-16-R-70451
Table of Contents 1 Scope... 6 1.1 Summary... 6 1.2 Subsystem Responsibility List... 6 2 Applicable Documents... 7 2.1 Government Documents... 7 2.2 Non-Government Documents... 7 2.3 Sources of Documents... 8 2.3.1 ISO Documents... 8 2.3.2 IETF Documents... 8 3 Interface Requirements... 9 3.1 General Requirements... 9 3.1.1 Security Requirements... 10 3.1.1.1 Data Security Requirements... 10 3.2 General Functional Requirements... 11 3.2.1 Functional Requirements... 11 3.2.2 Application Processes and Message Requirements... 11 3.2.2.1 Identification of Each Application Process... 11 3.2.2.2 Application Process Capability Requirements... 12 3.2.2.3 Message Content Requirements... 12 3.2.2.4 Relationship among Messages... 13 3.2.2.5 Quality of Service Requirements... 13 3.2.2.6 Error Handling Requirements... 13 3.2.2.7 Interface Summary Table... 13 3.2.3 Protocol Implementation... 14 3.2.3.1 Application Layer Services... 14 3.2.3.2 Transport Layer Services... 14 3.2.3.3 Network Layer Services... 14 3.2.3.4 Data Link Layer Services... 14 3.2.3.5 Physical Layer Services... 14 3.3 Physical Requirements... 14 3.3.1 Electrical Power and Electronic Requirements... 14 3.3.1.1 Connectors... 14 3.3.1.2 Wire/Cables... 14 3.3.1.3 Grounding... 14 3.3.1.4 Fasteners... 14 3.3.1.5 Electromagnetic Compatibility... 14 4 Quality Assurance Provisions... 15 4.1 Responsibility for Verification... 15 4.2 Special Verification Requirements... 15 4.3 Qualification Methods... 15 4.3.1 Demonstration... 15 iv
4.3.2 Regression Test... 15 4.3.3 System Test... 15 5 Notes... 16 5.1 Concept of Operations... 16 5.1.1 AMSIS... 16 5.2 Abbreviations and Acronyms... 16 List of Figures Figure 3-1. System Interface Diagram... 9 Figure 3-2. AMSIS Interface to DMS... 11 List of Tables Table 1-1. Subsystem Responsibility List... 6 Table 3-1. Data Sets... 12 Table 3-2. AME Performance/Exam Data Elements 12 Table 3-3. Designee Profile/Exam Data Elements...12 Table 3-4. Interface Summary Table 13 v
1 Scope This (IRD) provides the requirements for an interface between Aerospace Medicine Safety Information System (AMSIS) and Designee Management System (DMS). 1.1 Summary AMSIS is sponsored by the Office of Aerospace Medicine (AAM) under the Office of Aviation Safety (AVS). AAM is responsible for a broad range of medical programs and services for both the domestic and international aviation communities, including pilot medical certification. Office of Information & Technology (AIT) manages the Medical Support Systems (MSS). AIT manages all aspects of the information technology operations and maintenance support for the Medical Support Systems (MSS) in support of AAM business operations. AMSIS will subsume the MSS for medical certification & clearance business operations (DIWS Web, MedXpress, AMCS, and CPDSS). DMS is a system within the AVS enterprise. The Designee Management System (DMS) is a web-based tool designed to standardize the management of designees. The Designee Management Policy establishes the process and procedures for managing all aspects of administration including registration, application, selection, appointment, orientation, training, oversight, suspension and termination. 1.2 Subsystem Responsibility List Table 1-1. Subsystem Responsibility List System Name Responsible Program Office AMSIS Aerospace Medicine Safety Information System AJM-2342 DMS Designee Management System AVS 6
2 Applicable Documents The following listed documents form a part of this IRD to the extent specified herein. In event of a conflict between the documents referenced herein and the contents of this IRD, the contents of this IRD must be considered the superseding requirement. If interfaces are with systems within the AVS enterprise, then this IRD does not require interconnection agreements or MOU/MOA per FAA Order 1370.82A, Information Systems Security Program, Section 2.f.(4). 2.1 Government Documents Federal Aviation Administration (FAA) Standards: FAA-STD-025f Preparation of Interface Documentation, 11/30/07. FAA Specifications: FAA Order 1370.82A Information Systems Security Program, 09/11/2006 FAA Order 1375.1E Data Management, 11/16/11. Non-FAA Specifications: NIST SP 800-47 Security Guide for Interconnecting Information Technology Systems, August 2002. 2.2 Non-Government Documents International Organization for Standardization (ISO): ISO/IEC 8802-2:1994 ISO/IEC 8802-3:1996 Information Technology - Telecommunications and information exchange between systems - Local and Metropolitan area networks - Specific requirements - Part 2: Logical link control, 1994. Information Technology - Telecommunications and information exchange between systems - Local and Metropolitan area networks - Specific requirements - Part 3: Carrier sense multiple access with collision detection (CSMA/CD) access method and physical layer specifications, 1996. Internet Engineering Task Force (IETF): 7
IETF Standard 5/RFC-791 Internet Protocol, September 1981 IETF Standard 6/RFC-768 User Datagram Protocol, August 1980 IETF Standard 41/RFC-894 Standard for the Transmission of IP Datagrams over Ethernet Networks, April 1984 2.3 Sources of Documents Copies of government specifications, standards, drawings, and publications required by suppliers in connection with this interface should be obtained from the procuring activity or as directed by the contracting officer. 2.3.1 ISO Documents Copies of International Standards Organization documents may be obtained from American National Standards Institute, 11 West 42 nd Street, 13 th Floor, New York City, NY 10036. Telephone: (212) 642-4900, Telefax: (212) 398-0023, Email: info@ansi.org, web site: http://www.ansi.org or http://www.iso.ch. 2.3.2 IETF Documents Copies of the Internet Engineering Task Force, Request for Comment (RFC), documents may be obtained through the web site: http://www.rfc-editor.org/rfc-index2.html. 8
3 Interface Requirements AMSIS interfaces with several internal and external systems as depicted in Figure 3-1. Internal systems are those systems managed/maintained by the Office of Information & Technology (AIT) at the Enterprise Data Center (EDC). External systems are managed/maintained outside of the AIT/EDC organizational infrastructure. The AMSIS system will be released in two segments. Segment 1 interfaces are indicated by a solid line and Segment 2 interfaces are indicated by a dashed line. 3.1 General Requirements Figure 3-1. System Interface Diagram For interface to the System User(s) and other FAA Enterprise Architecture elements, the following messaging requirements apply: AMSIS transmission of system status messages must be in accordance with NIST SP 800-47 Security Guide for Interconnecting Information Technology Systems. AMSIS must support integration with the FAA messaging system. AMSIS must utilize one of the following email protocols: 9
o Internet Message Access Protocol (IMAP). o Post Office Protocol (POP) Version 3. o Simple Mail Transfer Protocol (SMTP). AMSIS email transmissions must comply with FAA Order 1370.82A, Electronic Mail. AMSIS must interface with FAA Lightweight Directory Access Protocol (LDAP) system. AMSIS must use data from LDAP to populate user profiles at login. AMSIS notifications must be in American Standard English. AMSIS instructions must be in American Standard English. AMSIS must automatically deliver a notification of email failure to logged-in user(s). AMSIS must allow user(s) to subscribe or unsubscribe to workflow email notifications. AMSIS must notify user(s) with emails related with specific steps of the workflow process. For exchange with other FAA/External Organizations, the following general interface requirements apply: AMSIS Program must establish and maintain mutually secure, electronic interfaces with DMS. The AMSIS Program must develop Computer Matching Agreements in lieu of a MOU/MOA with DMS. AMSIS must interface with DMS without a direct user intervention. AMSIS must interface with DMS without an additional authentication process. AMSIS must utilize industry standards and protocols for data exchange with DMS in accordance with FAA Order 1375.1E. 3.1.1 Security Requirements Any equipment in support of the interface between AMSIS and DMS must be maintained within a physically secured facility staffed by cleared personnel. Protection for the interface is provided through the physical and personnel security measures. 3.1.1.1 Data Security Requirements All interface sessions and data transmissions must be encrypted. All data must to be treated as Sensitive-But-Unclassified -- no classified data may be transmitted. By no means must data or login credentials ever be transmitted in an unencrypted manner, on any type of network (Intranet, Internet, etc.). Technical personnel from AMSIS and DMS system must establish connectivity that meets the specific encryption requirements/capabilities applicable to their system/organization. The technical details of this connectivity must be documented in an ICD, maintained by each system's technical support personnel. 10
3.2 General Functional Requirements The interface between AMSIS and DMS must be a bi-directional interface. DMS must transfer Aviation Medical Examiner (AME) information to AMSIS. AMSIS must transfer medical certification application related information to DMS. The AMSIS to DMS interface is depicted in Figure 3-2. 3.2.1 Functional Requirements Figure 3-2. AMSIS Interface to DMS The bi-directional interface between AMSIS and DMS must provide the following functions: a. AME Performance/Exam data must be pulled into DMS from AMSIS. b. DMS must initiate the connection and only pull the new data generated on a periodic basis. c. AMSIS must provide AME Performance/Exam data in the form of a generated table view. d. AMSIS must use a DMS provided 9-digit Designee number. e. DMS must replicate a table view of Designee profile information (Designee profile, exam data, designation info) into the AMSIS database. f. AMSIS must treat Personally Identifiable Information (PII) shared with DMS in the same privacy-sensitive manner, integrity, and quality of the originating source that defines the protocols, recipients, security, authorized uses, and other protection. 3.2.2 Application Processes and Message Requirements 3.2.2.1 Identification of Each Application Process The application processes of this interface must support transfer of information between AMSIS and DMS. 11
3.2.2.2 Application Process Capability Requirements The application process must provide an essential bi-directional message transfer service of an availability to be determined. 3.2.2.3 Message Content Requirements AMSIS and DMS must subscribe to one or more data sets. A data set must be composed of one or more messages (refer to Table 3-1). Each message must be composed of a set of data elements. Table 3-1. Data Sets Data Set Message Type Message ID 1 AME Performance/Exam Data DMS-1, AMSIS- 1 2 Designee Profile/Exam Data DMS-2 The units of information defining this interface must be data elements. These data elements must be contained within one or more messages that are transferred between AMSIS and DMS. The specific messages transferred and the location of their formats must be defined based on standard protocols. The data elements for the AME Performance/Exam Data and Designee Profile/Exam Data are listed (refer to Table 3-2, Table 3-3). Table 3-2. AME Performance/Exam Data Elements Export Field Name Data Field Export Field Name Data Field Total Exam Total Exam 31-60 Days 31-60 Days First Class Exam First Class Exam 60+ Days 60+ Days Second Class Exam Second Class Exam % Over 60 Days % Over 60 Days Third Class Exam Third Class Exam Total exams Total number exams Deferred Exam Deferred Exam DataPeriod DataPeriod Denied Exam Denied Exam APPTMONTH APPTMONTH Total Exams Total Exams TOTALEXAMS2YEARS TOTALEXAMS2YEARS Deferred / Denied % Deferred / Denied % Physical Exam Date Physical Exam Date Judgment Errors - Rv Judgment Errors - Rv Date Exam Received Date Exam Received Judgment Errors - Hx Judgment Errors - Hx MID MID Judgment Errors - % Judgment Errors - % Applicant Name Applicant Name Total Exams Submitted Total Exams Submitted Date Created Date Created Under 15 Days Under 15 Days AME_NUMBER AME_NUMBER 15-30 Days 15-30 Days AME_NAME AME_NAME Table 3-3. Designee Profile/Exam Data Elements 12
Export Field Name Data Field Export Field Name Data Field DMS Number DMSNumber Specialty medicalspecialty Last Name LastName First Class Examiner FirstClass First Name FirstName DOB BirthDate Middle MiddleName Degree Degree AME Number DesigneeNumber Authorization Authorizations Address 1 ADDRESS_LINE_1 Status UserStatus Address 2 ADDRESS_LINE_2 Appointment Date AppointmentDate City CITY Clinic Name CLINIC_NAME State State County Name COUNTY_NAME Zip Code POSTAL_CODE Medical License MedicalLicense Country Country AME Type AME_Type Primary Phone PointOfContactPhoneNumber Employee Designated Employee_designated Email Address EmailAddressPrimary AME Region AME_Region 3.2.2.4 Relationship among Messages All messages exchanged between AMSIS and DMS must be of equal priority. The message contents and formats, including their frequency, must be determined based on messaging best practices and standard protocols. 3.2.2.5 Quality of Service Requirements The quality of service requirements must be contained in the Statement of Work. 3.2.2.6 Error Handling Requirements Identifying and handling application process errors must be the responsibility of the receiving system. 3.2.2.7 Interface Summary Table The messages must be exchanged between AMSIS and DMS as specified in Table 3-4. Table 3-4. Interface Summary Table Source Interface Message Definition Destination DMS Request AME Performance/Exam Data Message AMSIS (Data Set 1) AMSIS Send AME Performance/Exam Data Message DMS (Data Set 2) DMS Send Designee Profile/Exam Data Message AMSIS (Data Set 3) 13
3.2.3 Protocol Implementation 3.2.3.1 Application Layer Services The application layer must support the transfer of the data sets in Table 3-1 between AMSIS and DMS. 3.2.3.2 Transport Layer Services Data transmission between AMSIS and DMS must be in accordance with the standard User Datagram Protocol as specified in IETF Standard 6, RFC-768. 3.2.3.3 Network Layer Services Data transmission between AMSIS and DMS must be in accordance with the standard Internet Protocol as specified in IETF Standard 5, RFC-791. 3.2.3.4 Data Link Layer Services Data transmission between AMSIS and DMS must be implemented as specified in ISO/IEC 8802-2:1994 and ISO/IEC 8802-3:1996. Data link layer protocol must conform to IETF Standard 41 / RFC-894. 3.2.3.5 Physical Layer Services Data transmission between AMSIS and DMS must be implemented as specified in ISO/IEC 8802-2:1994 and ISO/IEC 8802-3:1996. 3.3 Physical Requirements 3.3.1 Electrical Power and Electronic Requirements 3.3.1.1 Connectors This IRD imposes no explicit requirements for connectors. 3.3.1.2 Wire/Cables This IRD imposes no explicit requirements for cables. 3.3.1.3 Grounding This IRD imposes no explicit requirements for grounding. 3.3.1.4 Fasteners This IRD imposes no explicit requirements for fasteners. 3.3.1.5 Electromagnetic Compatibility This IRD imposes no explicit electromagnetic compatibility requirements. 14
4 Quality Assurance Provisions 4.1 Responsibility for Verification The Federal Aviation Administration (FAA) must be responsible for developing and implementing the verification of requirements for each project. The FAA must delegate verification activities to other FAA organizations, independent contractors, and/or the major prime contractor. 4.2 Special Verification Requirements There are no special verification requirements. 4.3 Qualification Methods Qualification methods for this interface must be based on system demonstration and system automated testing of the interface. At each test or demonstration, analysis must be performed when errors are identified. Description of the qualification methods are below. 4.3.1 Demonstration The system must be tested in a non-production environment that mirrors the environment in which the production system will be fielded. Every system feature may be tested for correctness and satisfaction of functional requirements. This must be performed in a user acceptance test (UAT) environment, and testers must be provided test cases to enable this. Testers are encouraged to perform standard work procedures not necessarily defined within the test cases. (Performance testing must be included in the System Testing phase, unless FAA plans to perform stress testing on its environment). 4.3.2 Regression Test AMSIS system should undergo regression testing across its various subsystems to determine the impact of the new interface. Tests are conducted in accordance with existing test cases derived from baselined requirements. Defects related to the interface must be reported to a defect tracking system. The defects discovered must be logged into the defect tracking system and followed to completion with all activities performed to resolve the issues. 4.3.3 System Test System testing ensures compliance with standards and satisfaction of functional and technical requirements by executing tests on target hardware using simulated operational data files and prepared test data. Tests must be conducted in accordance with test cases derived from the system requirements and supported by system design elements. Additional tests ensuring operation in line with generally accepted Web application standards must also be performed. All findings must be recorded a defect tracking system. The defects discovered must be logged into the defect tracking system and followed to completion with all activities performed to resolve the issues. Performance testing must be executed to ensure any system response time and program run-time issues are addressed. 15
5 Notes 5.1 Concept of Operations 5.1.1 AMSIS AMSIS must provide an aerospace medical information network that integrates critical medical information from geographically distributed locations nationally and internationally. AMSIS must adhere to any re-engineering aerospace medicine program business processes provided from AAM; design and develop new information systems architecture; design, procure and deploy the AMSIS system and any required enhancements throughout the life of the program. The program objectives include providing tools necessary for AAM to analyze information to make risk-based policy decisions through an automated method of collecting, reviewing, and analyzing medical information for Airmen and ATCS. This system must ensure timely and comprehensive access to data in reducing delays, thereby improving timeliness and accuracy while eliminating paper based correspondence. It must also enable collaboration within the aviation community, both domestic and international, as well as among personnel, designees, and applicants. Data must be easily accessible, while facilitating management and workforce decision making, thereby providing the basis for a proactive safety approach with improved productivity. AMSIS must support the following operational scenarios: Issuing and maintaining aviation certificates and licenses Providing for medical certification of all pilots operating within National Airspace System (NAS) Adhering to aerospace medical and safety standards and policy Monitoring safety performance to ensure compliance with current standards and regulation Adhering industry safety programs and practices (e.g., drug and alcohol compliance and enforcement program) Providing necessary information for investigating the medical aspects of aviation accidents. 5.2 Abbreviations and Acronyms Acronym AAM ACCME AMCS AME AMEIS AMSIS API Full Name Office of Aerospace Medicine Accreditation Council for Continuing Medical Education Aerospace Medical Certification Subsystem Aviation Medical Examiners Airman Medical Examiner Information Subsystem Aerospace Medicine Safety Information System A Programming Interface 16
ARB ASH ASKME ASOR ATCS ATO AVS BPM BPR CAIS CAMI CETS CFR CPDSS DIWS EIS ECG FAA FAR F&E FTP ICD LIE NDR NIST NTSB PII RCISS RFS SE SFS SOA SQL VA WAN VPN WebOPSS Architecture Review Board FAA Security Office Aviation Safety Knowledge Management Environment Assignment of Safety Objectives and Requirements Air Traffic Control Specialists Air Traffic Organization FAA Office of Aviation Safety Business Process Management Business Process Reengineering Comprehensive Airman Information System Civil Aeronautical Research Institute Compliance and Enforcement Tracking Subsystem Code of Federal Regulations Covered Position Decision Support Subsystem Document Imaging Workflow Subsystem Enforcement Information System Electrocardiogram Subsystem Federal Aviation Administration Federal Acquisition Regulation Facility and Equipment File Transfer Protocol Interface Control Document Legal Instrument Examiner National Drivers Registry National Institute of Standards and Technology National Transportation Safety Bureau Personally Identifiable Information Regulation and Certification Infrastructure for System Safety Regional Flight Surgeon Systems Engineering Senior Flight Surgeon Service Oriented Architecture Standard Query Language Veterans Administration Wide Area Network Virtual Private Network Operational Procedure Specifications Subsystem 17