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TRICARE Operations Manual 6010.62-M, April 2021
Records Management (RM)
Chapter 9
Section 1
General
Revision:  
1.0  POLICY
1.1  All records created for Government use and delivered to, or under the legal control of, the Government must be managed in accordance with Federal law. In addition, electronic records and background electronic data specified for delivery to the contracting agency must be accompanied by sufficient technical documentation to permit understanding and use of the records and data.
1.2  This chapter implements the Department of Defense (DoD) RM Policy and “Defense Health Agency (DHA) Records Disposition Schedule (RDS) (hereafter referred to as “DHA RDS”). The DHA RDS is located on the DHA Records Management SharePoint page or by contacting the DHA Records Management Officer (RMO). In addition to the DHA RDS, contractor’s RM Program shall adhere to the following policies, regulations, and laws:
•  36 Code of Federal Regulations (CFR) Chapter XII Subchapter B - Records Management.
•  Federal Records Act (Title 44 United States Code (USC), Chapters 21, 29, 31, 33).
•  Paperwork Reduction Act (Title 44 USC, Chapter 35).
•  DoD Instruction (DoDI) 5015.02, “DoD Records Management Program,” February 24, 2015.
1.3  Records, regardless of media or security classification, will be created, maintained and used, disposed, and preserved to document the transaction of business and mission in wartime and peacetime. Records are evidence of DoD Component organization, functions, policies, procedures, decisions, and activities, and will be maintained in accordance with guidance issued by National Archives and Records Administration (NARA), Office of Management and Budget (OMB) M-12-18, OMB Circular A-130, and the references listed in paragraph 1.1.
1.4  The contractor shall prevent the alienation, mutilation, and unauthorized destruction of records. Willful and unlawful destruction, damage, or alienation of federal records is subject to the fines and penalties imposed by 18 USC 2701.
1.4.1  The contractor shall not remove records in accordance with the 36 CFR 1230.
1.4.2  The contractor shall not destroy records except in accordance with the DHS RDS.
1.5  The contractor shall manage Government records on behalf of DHA. Records related to beneficiary health care, claims, and all supporting documentation, received or developed under DHA contracts are the property and under the legal control of the United States (US) Government.
2.0  APPLICABILITY
The provisions of this Chapter apply to all DHA contractors and subcontractors.
3.0  RESPONSIBILITIES
3.1  The contractor shall comply with the federal policies, regulations, and laws referenced in paragraph 1.1, including those policies associated with safeguarding records covered by the Privacy Act of 1974, Freedom of Information Act (FOIA), and Health Insurance Portability and Accountability Act (HIPAA) statutes. These policies include the preservation of all DHA records created or received, regardless of format or mode of transmission (email, fax, etc.), or state of completion (draft, final, etc.).
3.2  The contractor may choose to maintain records in either paper or electronic format. Federal Record Centers will not accept paper records in their facilities after December 31, 2022.
3.3  Contractor Responsibilities
The contractor shall:
3.3.1  Plan for the full life cycle (from capture or creation, during retention, to their approved destruction) of Government records regardless of media.
3.3.2  Prevent the unlawful or accidental removal, defacing, alteration, or destruction of records. Records must not be destroyed except under the provisions of the DHA RDS. The penalties for the unlawful removal, defacing, alteration, or destruction of federal records or the attempt to do so, include a fine, imprisonment, or both.
3.3.3  Ensure that appointed contractor’s Records Liaisons (RLs) attend the DHA RM annual training.
3.3.4  Maintain all government records in their custody pursuant to the DHA RDS and federal law.
3.3.5  Provide RMO with RLs appointment letters for those individuals working with the DHA RMO.
3.3.6  Apply current laws, regulations, standards, procedures, and techniques to ensure creation, retrieval, maintenance, preservation, and disposition of Government records, regardless of media.
3.3.7  Maintain file plans of Government records and annually provide to the DHA RMO for review and approval.
3.3.8  Provide file plans to the Government, if requested.
3.3.9  Maintain documentation on any Federal records that have been transferred to the Federal Records Centers (FRC) or destroyed pursuant to the DHA RDS.
3.3.10  Participate in biennial RM Program evaluations to monitor compliance with RM laws and regulations.
3.3.11  Evaluate current and potential electronic information systems to identify record information being created or received during the conduct of business and ensure the preservation of federal records as specified in the DHA RDS.
3.3.12  Incorporate recordkeeping functionality into electronic information systems or transfer records to a compliant electronic recordkeeping repository.
3.3.13  Demonstrate recordkeeping functionality compliance within electronic information systems which store Government-owned records.
3.3.14  Notify the DHA RMO of any unscheduled records.
3.3.15  Train all employees on their legal responsibility to report to the RL any actual, impending, or threatened unlawful removal, alteration, or destruction of federal records. Policies and regulations are referenced in paragraph 1.1.
3.3.16  Report any incidents to DHA RMO within five business days.
3.3.17  Establish a RM Program covering all media formats.
3.3.18  Use the filing system outlined in the DHA RDS. This allows for the maximum uniformity and ease in maintaining and using Government records and facilitating the locating, charge-out, re-filing, and disposing of records.
3.3.19  Submit a Notice of Destruction (NOD) form to the DHA RMO for approval before destroying any DHA records.
3.3.20  Develop and implement a vital records program in accordance with 36 CFR Chapter XII Subchapter B, Part 1223, “Managing Vital Records.” Vital records are also called essential records.
3.3.21  Retrieve and deliver requested records, or other records management related activities within five business days of receiving the US Government’s request for them.
3.3.22  Routinely transfer inactive paper records to the FRC designated by DHA RMO in accordance with Section 4. The deadline for paper records transfer is December 31, 2022.
3.3.23  Manage email that complements Government records by applying the laws, regulations, and instructions which are identified in paragraph 1.0 and include the following administrative actions:
3.3.23.1  Publish and implement an internal email policy to include requirements and risk prevention guidance addressing unauthorized additions, deletions, and alterations to message content, all of which impair record integrity.
3.3.23.2  The contractor’s policy shall include, but not be limited to:
•  Defining what is a record versus what identifies a non-record.
•  Adding records to recordkeeping systems.
•  Preserving data; to include preserving names on distribution lists and directories.
•  When to request receipts and how to preserve them.
•  Circulating drafts securely.
•  Using external email systems for Government email as records.
3.3.24  Assign an individual to be responsible for the maintenance of the email recordkeeping system. This individual is also required to annually monitor the use of the email system to assure recordkeeping instructions are being followed.
3.3.25  Provide basic records management training annually to each employee who receives, creates, maintains, uses, and dispositions Government records that covers employee responsibilities throughout the lifecycle of records.
3.3.26  Use Addendum B for guidance on transferring electronic records to DHA.
3.3.27  Transition records in accordance with Chapter 2, Section 6.
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