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TRICARE Operations Manual 6010.62-M, April 2021
Records Management (RM)
Chapter 9
Addendum B
Electronic Record Transfer Procedures
Revision:  
1.0  GENERAL
The Defense Health Agency (DHA) Records Management (RM) Office requires the contractor to manage Government records in electronic format (reference this Addendum).
1.1  The contractor shall use the acceptable storage media for any transfer of electronic records. The acceptable storage media for electronic transfers are Compact Disc-Read Only Memory (CD-ROM), Digital Versatile Disk-Recordable (DVD-R), or on external terabyte drives. If there is a need for other storage media not identified, contact the DHA Records Management Officer (RMO).
1.2  The contractor shall use the existing Standard Form 135 (SF-135) (Records Transmittal and Receipt) to communicate specific transfer information for electronic records. The SF-135 is specific to paper records; however, with specific electronic record details in the same form (reference Figure 9.B-1 for more details) it may be used to initiate a request to transfer electronic records.
1.3  The DHA RMO will receive the SF-135 Portable Document Format (PDF) via email from the contractor. Once the transfer is approved, the DHA RMO will send the annotated SF-135 PDF via email to the contractor.
1.4  The contractor shall include the e-copy of the SF-135 PDF in the transfer package.
2.0  VALIDATOR UTILITY
2.1  Validator utility deployment package and documentation will be provided by the DHA RMO to the contractor. The purpose of the Validator utility is to provide the quality assurance necessary to ensure trustworthy electronic records by performing low-level validation, analyzing a sample of the records, identifying the possible errors or omissions, and conducting a Validation Survey for 20 randomly selected record objects.
2.2  The Validator will produce an audit log to document the success of the transfer package validation and this log is required as part of the final transfer package.
2.3  The contractor shall run the validator tool prior to shipping the transfer package to DHA.
2.4  DHA will run the Validator upon receiving the transfer package to perform the quality assurance process.
2.5  DHA will send the errors to the contractor for resolution. Updates to the Validator tool will be provided by DHA to contractors as necessary.
3.0  TRANSFER PACKAGE PREPARATION AND LABELING OF ELECTRONIC RECORDS
DHA accepts electronic record transfers. An important aspect of preparing electronic records for transfer is proper preparation. Improper preparation of the transfer package may result in the transfer package being rejected by the DHA RMO. The transfer package consists of the following files:
3.1  SF-135 (PDF Format)
The SF-135 provides details of the transfer package. An e-copy of SF-135 shall be retained by the contractor so that documents needed for future reference can be identified clearly by requesting officials.
3.2  eXtensible Markup Language (XML) Transfer Specification File
This file displays, in XML format, the information that the contractor provided on the SF-135 and the transfer number. It describes how to locate the Record Object Metadata File (ROMF). DHA provides the XML file to the contractor.
3.3  ROMF
A character-delimited text file that contains the metadata field values from each of the record objects that is included in the transfer package. The metadata fields are identified in the XML transfer specification file. In addition to the identified metadata elements by the contractor, the Validator also requires the following metadata fields:
3.3.1  The Record Object File Type is Image, Text, or None.
3.3.2  The Record Object File Name.
3.3.3  The Record Object File Format. The acceptable Record Object File Formats are TIF, TIFF, PDF (image based), JPEG, JPG, GIF, TXT, RTF, HTML, DOC, DOCX, PDF (text based), XML, XLS, XLSX, CSV, MSG, PPT, PPTX, VSD, or VSDX.
3.3.4  The Record Object File Format Version.
3.3.5  The View Type tag is specific to check record objects to indicate the front or back of the check image. The values are FBW, BBW.
Note:  The View Type tag is required in the ROMF when a check image is broken down into two separate record objects to indicate the front or back of the check. This is not required when a check image is not separated into two record objects. If View Type tag is available in the ROMF, the Validator will display the front of the check image for the validation survey.
3.4  Record Objects
Electronic files that contain a group of related information. The information can be formatted as either text or images, and the computer file-type indicates the format of the information. For example, scanned images are typically stored in Tagged Image File Format (TIFF) or PDF files.
3.5  Audit Log of Validation
3.5.1  The Validator generates an audit log file that provides detailed information about any ROMF data errors, data entry errors that occurred during the validation process and the final validation result.
3.5.2  When preparing to transfer files for validation and the eventual transfer to the media device, the user creates a folder on their computer and transfers the XML Transfer Specification file, SF-135, ROMF, Audit Log file, and Record Objects in a sub-folder to that folder. Contact the DHA RMO for specific instructions for using the Validator utility.
3.5.3  The media device shall be encrypted with password protection. After the electronic records are stored on the media device, include the following information on the label:
•  Contractor, region, and information.
•  For Official Use Only (FOUO).
•  Identify the sequential order of the media set, if applicable (e.g., 1 of 10, 2 of 10, 3 of 10, etc.).
•  Include the date media was created.
•  File Numbers, transfer number(s), and file formats.
3.5.4  For more specific instruction on labeling of storage media, contact the DHA RMO.
4.0  PREPARING TRANSMITTAL DOCUMENT AND LOADING PACKAGE PROCESS
4.1  The contractor shall obtain permission from DHA to transfer a group of records.
4.2  DHA will verify that the repository has adequate storage space for the records and that the records are structured in the manner to meet the DHA Electronic Records Transfer requirements.
4.3  The DHA has defined a process for transferring a group of records and it is described in the following paragraphs. The process helps ensure that the records meet the quality requirements and specifications. Figure 9.B-1 illustrates the SF-135 form described in paragraphs 4.4 through 4.9 for transferring electronic records to the DHA RM Office.
4.4  The contractor shall prepare and email the SF-135 to the DHA RMO prior to shipping the electronic transfer package when transferring electronic records to the DHA RM Office.
4.5  The contractor shall enter the following: Defense Health Agency, ATTN: Records Management Office, 16401 East Centretech Parkway, Aurora, Colorado 80011-9066 in the SF-135 “To” block (Block 1).
4.6  The contractor shall enter the records liaison details in the “Transferring Agency Liaison Official” (Block 3).
4.7  The contractor shall enter the contractor address, date, phone, email in the “From” block (Block 5).
4.8  The contractor shall state the storage size, and total number of rows in the metadata file in the “Volume” (Block 6d) and the media details in the “Agency Box Numbers” (Block 6e).
4.9  The contractor shall state the contract number, file number, the description of the records, closed date, specific metadata elements with indicators for required and visible, and delimiter to create the metadata file of the transfer package in the “Series Description” (Block 6f). Instructions for completing the remainder of the form are printed on the reverse side of the SF-135.
4.10  When records are transferred, they must be scheduled for disposal using the applicable disposition schedule referenced in DHA Records Disposition Schedule (RDS). When the disposal authority is not cited, the SF-135 will be returned for completion.
4.11  Upon receipt of the SF-135, the DHA staff will review the SF-135 for completeness for transfer. If approved, the DHA RMO will annotate the official transfer number on the SF-135 and return the SF-135 to the contractor for continued processing.
4.12  The original SF-135 is retained by the DHA; one copy of the annotated SF-135, showing transfer number(s) will be emailed to the contractor, indicating the approval of the transfer.
4.13  The contractor shall prepare the transfer package as referenced in paragraph 3.0 and the encrypted media shall be shipped to the DHA RMO in accordance with Protected Health Information (PHI)/Personally Identifiable Information (PII) guidance after receiving the copy of the approved SF-135 PDF document.
4.14  The shipment of the transfer package of electronic records shall be accomplished as soon as the contractor has successfully run the Validator utility. The contractor will receive the Validator Deployment package and the installation instruction from the DHA RMO.
4.15  The contractor shall send the transfer package to the DHA RMO after successful validation.
4.16  The DHA RMO uses the Validator utility to verify that the transfer package meets the DHA Electronic Records Transfer requirements and specifications.
4.17  If the Validator identifies no errors, the DHA RMO proceeds to next step.
4.18  If the Validator identifies one or more errors, the DHA RMO returns the transfer package to the contractor for corrections.
4.19  The DHA RMO adds the successful Validator audit log file to the transfer package.
5.0  SHIPPING RECORDS
5.1  The contractor shall follow the sensitive data (PII/PHI) transfer protocol instructions available from the DHA RMO.
5.2  The contractor shall ensure that all sensitive data that includes PII or PHI be encrypted on the media device prior to shipping the transfer package to DHA.
5.3  The contractor shall contact the DHA RM Office for guidance on the use for sensitive data.
5.4  The contractor shall comply with the following instructions:
5.4.1  Double wrapping shall be used for shipment.
5.4.2  Recommended shipment methods are United States Postal Service (USPS), FedEx, and UPS along with the tracking number and delivery signature confirmation.
5.4.3  Use opaque envelopes or containers.
5.4.4  Complete Chain of Custody template along with the paper copy of the SF-135.
5.4.5  Inner envelope or container has classification and handling markings (i.e., unclassified, FOUO).
5.4.6  Outer envelope or container has full address for DHA RMO.
5.4.7  Outer envelope or container has no classification markings.
5.4.8  For hard drive media encryption guidance contact the DHA RMO.
5.5   The contractor shall ship non-sensitive data to DHA RMO using normal shipment methods and sensitive data transfer protocol is not necessary.
6.0  RETRIEVING RECORDS
6.1  DHA provides reference services which include search, retrieval, and providing authorized requesters with a copy of the electronic records stored in the repository.
6.2  The contractor shall manage the copy of an electronic record as a convenience copy and destroy when no longer needed. Recall of an electronic record from DHA does not include a permanent recall. If the content of the recalled record is re-utilized for other business purposes, it becomes a new record and shall be managed and maintained as such.
6.3  The best method to recall records from DHA is with the use of the Optional Form 11 (OF-11) (Reference Request-Federal Records Center). Use the electronic form OF-11 per request and email it to the DHA RMO.
6.4  The contractor shall provide the following information when preparing a reference request:
•  Transfer Number
•  Metadata elements used for Search Criteria
•  File Number
•  Description of Records or Information Requested
•  Name, Address, and Telephone Number of Requester
Figure 9.B-1  RECORDS TRANSMITTAL AND RECEIPT (SF-135)
Description of Figure 9.B-1 - A picture of Standard Form 135 (SF-135), Revision 7-85, titled Records Transmittal and Receipt. To be attached to records being sent to the appropriate Federal Records Center.
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