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TRICARE Operations Manual 6010.62-M, April 2021
Records Management (RM)
Chapter 9
Section 4
Electronic Records Disposition and Storage
Revision:  
1.0  GENERAL
1.1  The contractor shall adhere to the following current industry standards in regard to electronic records (i.e., International Organization for Standardization (ISO) guidelines for electronic storage and transfer of records).
•  ISO 13008:2012 - Information and Documentation - Digital Records Conversion and Migration Process
•  ISO/TR 13028:2010 - Information and Documentation - Implementation Guidelines for Digitization of Records
•  ISO 15489-1:2016 - Information and Documentation - Records Management - Part 1: Concepts and Principles
•  ISO/TR 15489-2:2001 - Information and Documentation - Records Management - Part 2: Guidelines
•  ISO 16175-1:2010 - Information and Documentation - Principles and Functional Requirements for Records in Electronic Office Environments - Part 1: Overview and Statement of Principles
•  ISO 16175-2:2011 - Information and Documentation - Principles and Functional Requirements for Records in Electronic Office Environments - Part 2: Guidelines and Functional Requirements for Digital Records Management Systems
•  ISO 16175-3:2010 - Information and Documentation - Principles and Functional Requirements for Records in Electronic Office Environments - Part 3: Guidelines and Functional Requirements for Records in Business Systems
•  ISO 17068:2017 - Information and Documentation - Trusted Third Party Repository for Digital Records
•  ISO/TR 18128:2014 - Information and Documentation - Risk Assessment for Records Processes and Systems
•  ISO 22310:2006 - Information and Documentation - Guidelines for Standards Drafters for Stating Records Management Requirements in Standards
•  ISO 23081-1:2017 - Information and Documentation - Records Management Processes - Metadata for Records - Part 1: Principles
•  ISO 23081-2:2009 - Information and Documentation - Managing Metadata for Records - Part 2: Conceptual and Implementation Issues
•  ISO/TR 23081-3:2011 - Information and Documentation - Managing Metadata for Records - Part 3: Self-assessment Method
•  ISO/TR 26122:2008 - Information and Documentation - Work Process Analysis for Records
•  ISO 30300:2011 - Information and Documentation - Management Systems for Records - Fundamentals and Vocabulary
•  ISO 30301:2019 - Information and Documentation - Management Systems for Records - Requirements
1.2  The contractor shall keep all the above ISO standards updated with the most current released version available.
2.0  STANDARDS
2.1  The contractor shall ensure electronic records are:
•  Accessible
•  Identifiable
•  Retrievable
•  Usable
•  Understandable
•  Authentic
2.2  The contractor shall ensure they maintain accurate, reliable, and trustworthy electronic document-based information to ensure information:
•  Can be read and correctly interpreted by a computer application;
•  Is available in natural language format; and
•  Has a logical and physical structure, substantive content, and context that were apparent at the time of creation or receipt.
2.3  The contractor shall follow Department of Defense Standard (DoD) 5015.02-STD, Electronic Records Management Software Applications Design Criteria Standard if it chooses to use an electronic Records Management Application (RMA) software.
2.4  The contractor’s acquisition, development, and enhancement of Electronic Information Systems (EIS) and Information Technology (IT) services shall incorporate RM and preservation considerations, and any records contained in the systems or IT services must be managed in accordance with the Defense Health Agency (DHA) approved Records Disposition Schedules.
2.5  The contractor shall manage records electronically for new EIS and IT services, by recordkeeping functionality provided by the EIS or IT service, or by transferring records to an electronic recordkeeping repository, such as a RM solution that is compliant with DoD 5015.02-STD.
2.6  The contractor shall manage records electronically, manually, or a combination of both for existing EIS and IT services. To manage records electronically, recordkeeping functionality shall be provided by the EIS or IT service, or records shall be transferred to an electronic recordkeeping repository, such as a RM solution that is compliant with DoD 5015.02-STD.
2.7  The contractor shall manage electronic records in accordance with the functional requirements outlined in the “NARA Electronic Records Management Federal Integrated Business Framework: Federal Business Lifecycle and Business Capabilities” document found on National Archives and Records Administration’s (NARA’s) website or by contacting the DHA RM Office.
2.8  Physical Media and Storage
2.8.1  The contractor shall apply ISO requirements to all storage processes, procedures, archiving, data back-up and recovery, and vital records.
2.8.2  The contractor shall manage electronic DHA records in accordance with DoD RM policies, regulations and laws referenced in Section 1.
2.8.3  The contractor shall design and implement migration strategies to counteract hardware and software dependencies of electronic records whenever the records must be maintained and used beyond the life of the information system in which the records are originally created or captured.
2.8.4  The contractor shall perform the following to successfully protect records against technological obsolescence:
2.8.4.1  Determine if the NARA-approved retention period for the records will be longer than the life of the system where they are currently stored. If so, plan for the migration of the records to a new system before the current system is retired.
2.8.4.2  Carry out upgrades of hardware and software in such a way as to retain the functionality and integrity of the electronic records created in them. Retention of record functionality and integrity requires:
•  Retaining the records in a usable format until their authorized disposition date.
•  Where migration includes conversion of records, ensure that the authorized disposition of the records can be implemented after conversion.
•  Any necessary conversion of storage media to provide compatibility with current hardware and software.
•  Maintaining a link between records and their metadata through conversion or migration, including capture of all relevant associated metadata at the point of migration (for both the records and the migration process).
2.8.4.3  Ensure that migration strategies address non-active electronic records that are stored off-line.
2.8.5  The contractor shall reference American National Standards Institute (ANSI)/Association for Information and Image Management (AIIM) TR39-1996 Guidelines for the Use of Media Error Monitoring and Reporting Techniques for the Verification of Stored Data on Optical Digital Data Disks in support of MS59.
2.9  The contractor shall, if it chooses to use an optical disc system:
2.9.1  Monitor trends in the technological environments conforming to open systems standards.
2.9.2  Specify existing and emerging non-proprietary technology standards in system design.
2.9.3  Evaluate possible data degradation of information stored on optical discs and system functionality on an annual basis using media error monitoring and reporting tools outlined in proposed and evolving standards.
2.9.4  Support the ongoing development of non-proprietary standards for data exchange and interoperability.
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