2.0 OUTGOING CONTRACTOR RESPONSIBILITES
2.1 The outgoing contractor shall
develop an Outgoing Records Transfer Report that details the process
and timeliness of the transfer of all DHA records. For report submission
requirements, see DD Form 1423, Contract Data Requirement List (CDRL),
located in Section J of the applicable contract.
2.2 The Government will review
and set up a meeting if necessary to discuss the initial Outgoing
Records Transfer Report.
2.3 The outgoing
contractor shall transfer all DHA records not eligible for destruction,
along with its associated metadata, to the incoming contractor or
DHA Records Management in accordance with
Chapter
9.
2.4 The outgoing contractor shall
transfer DHA records to the appropriate receiving party (i.e., incoming contractor
or DHA Records Management) no later than the following timeline
and this timeline is applicable only for records management tracking
purposes:
• Thirty (30) calendar days after
the Transition Specification (TRANSPEC) meeting, a cross-section
representation of DHA records shall be transferred to include the
record layouts with specifications, formats, definitions of fields
and data elements, access keys, and sort orders, for the following,
but not limited to:
• Beneficiary
History Files
• Claims
History Files
• TRICARE
Encounter Provider Files (TEPRVs)
• Enrolled Beneficiary and Primary
Care Manager (PCM) Assignment Files
• Automated Data Processing (ADP)
files, such as the Provider and Pricing Files
• Case Management (CM)/Care Coordination
Files
• Two hundred and ten (210) calendar
days prior to the end of Health Care Delivery (HCD), one year of
history (the one year period begins with the date of the transfer
minus one year).
• One hundred and fifty (150)
calendar days prior to end of HCD additional on year of history
(year 2).
• Ninety (90) calendar days prior
to the end of HCD additional one year of history (year 3).
• Thirty (30) calendar days prior
to the end of HCD, the outgoing contractor shall transfer records
from 180 days to 30 days from the end of HCD.
• For the last 30 days of HCD,
the outgoing contractor shall transfer records to the incoming contractor
weekly. The records shall be transferred no later than the second
business day of the week.
• Thirty (30) calendar days after
the end of HCD, additional two years of history (years 4 and 5).
• Sixty (60) calendar days after
the end of HCD, additional two years of history (years 6 and 7).
• Ninety (90) calendar days after
the end of HCD, additional two years of history (years 8 and 9).
• One hundred and twenty (120)
calendar days after the end of HCD, all remaining records shall
be delivered.
2.5 The outgoing
contractor shall transfer all electronic records to DHA Records
Management that are responsive to records freeze or that are considered
contractor’s proprietary records.
2.5.1 The outgoing
contractor shall transfer all records to DHA Records Management
if there is no incoming contractor.
2.5.2 The outgoing
contractor shall request approval from the DHA Records Management
Officer (RMO) prior to transferring records to the DHA Records Management
Office.
2.5.4 The outgoing
contractor shall provide records in the native electronic format
in which the record was created or received. Mainframe screen shots
or any other system screenshots are not acceptable record formats. The
acceptable formats of records are detailed in
Chapter 9, Section 3.
2.5.5 The outgoing contractor shall
include required metadata files that support the accessibility,
usability, searchability, and retrievability of the images. This
includes any unique identifiers used to accurately retrieve electronic
records or record objects.
2.6 The outgoing
contractor shall communicate, collaborate, and coordinate with the
incoming contractor and DHA Records Management to report and resolve
issues related to records transfer activities.
2.6.1 The outgoing
contractor shall inform the Contracting Officer (CO) and DHA Records
Management Office of any records it considers proprietary.
2.6.2 The outgoing
contractor shall identify proprietary data in records within 30
calendar days of contract award.
2.7 The outgoing
contractor shall communicate, collaborate, and coordinate with the
incoming contractor and DHA Records Management to conduct Proof
of Concept testing to ensure the file format is acceptable and records
are accessible, usable, searchable and retrievable no later than
30 calendar days prior to the start of records transfer.
2.8 The outgoing contractor shall
communicate, collaborate, and coordinate with the Government Designated
Authority (GDA) and the incoming contractor to provide a monthly
update of transfer records activity in accordance with the Outgoing
Records Transfer Report, Integrated Master Plan (IMP) and Integrated
Master Schedule (IMS).
2.9 Records
Disposition
2.9.1 The outgoing contractor shall
comply with the provisions of
Chapter 9, Section 1 for
final disposition of all files and documentation.
2.9.2 The outgoing contractor shall
destroy all copies to include backup data in accordance with 36
Code of Federal Regulation (CFR) Part 1226, “Implementing Disposition”,
once the transition of records and materials has been accomplished
as outlined in above paragraphs.
2.9.3 The outgoing
contractor shall not dispose or destroy any copies or backup data
prior to formal written notification from the DHA Contracting Office
and DHA RMO.
2.9.4 The outgoing contractor shall
follow the provisions of
Chapter 9, Section 5,
Destruction of Records.
2.9.5 The outgoing
contractor shall document the removal of extra copies of records
after a successful transfer of electronic records to the incoming
contractor, as identified by DD Form 1423, CDRL, located in Section
J of the applicable contract, Declaration of Transfer and Destruction
of Records, and in accordance with 36 CFR Chapter XII, Subchapter
B, Department of Defense Manual (DoDM) 5200.01, and DoD Instruction
(DoDI) 8510.01.
2.9.6 The incoming
contractor shall document permanent removal of electronic records
that have met their legal disposition, as identified by DD Form
1423, CDRL, located in Section J of the applicable contract, Declaration of
Transfer and Destruction of Records, in accordance with 36 CFR Chapter
XII, Subchapter B, DoDM 5200.01, and DoDI 8510.01.
3.0 INCOMING CONTRACTOR RESPONSIBILITES
3.1 The incoming contractor shall
develop an Incoming Records Transfer Report that details the process
and timeliness of the receipt of all DHA records transferred from
the outgoing contractor. For plan submission requirements, see DD
Form 1423, CDRL, located in Section J of the applicable contract.
3.1.1 The Government will review
and either accept or reject the initial Incoming Records Transfer
Report.
3.1.2 The incoming contractor shall
resubmit the revised Incoming Records Transfer Report within 15 calendar
days to the Government’s, if the Incoming Records Transfer Report
is rejected.
3.2 The incoming
contractor shall receive all DHA records not eligible for destruction,
along with their associated metadata, from the outgoing contractor
in accordance with
Chapter 9, Section 2.
3.3 The incoming contractor shall
contact the DHA Records Management Office to recall records from
the Federal Records Center (FRC).
3.4 The incoming
contractor will receive DHA Records from the outgoing contractor
in accordance with the following timeline no later than the following
timeline and this timeline is applicable only for records management tracking
purposes:
• Thirty (30) calendar days after
the TRANSPEC meeting, a cross-section representation of DHA records
shall be transferred to include the record layouts with specifications,
formats, definitions of fields and data elements, access keys, and
sort orders, for the following, but not limited to:
• Beneficiary History Files
• Claims History Files
• TEPRVs
• Enrolled Beneficiary and PCM
Assignment Files
• ADP files, such as the Provider
and Pricing Files
• Two hundred and ten (210) calendar
days prior to the end of HCD, one year of history (the one year
period begins with the date of the transfer minus one year).
• One hundred and fifty (150)
calendar days prior to end of HCD additional on year of history
(year 2).
• Ninety (90) calendar days prior
to the end of HCD additional one year of history (year 3).
• Thirty (30) calendar days prior
to the end of HCD, the outgoing contractor shall transfer records
from 180 days to 30 days from the end of HCD.
• For the last 30 days of HCD,
the outgoing contractor shall transfer records to the incoming contractor
weekly. The records shall be transferred no later than the second
business day of the week.
• Thirty (30) calendar days after
the end of HCD, additional two years of history (years 4 and 5).
• Sixty (60) calendar days after
the end of HCD, additional two years of history (years 6 and 7).
• Ninety (90) calendar days after
the end of HCD, additional two years of history (years 8 and 9).
• One hundred and twenty (120)
calendar days after the end of HCD, all remaining records shall
be delivered.
3.5 The incoming
contractor shall communicate, collaborate, and coordinate with the
outgoing contractor and DHA Records Management to conduct Proof
of Concept testing to ensure the file format is acceptable and records
are accessible, usable, searchable and retrievable no later than
30 calendar days prior to the start of records transfer.
3.6 The incoming contractor shall
communicate, collaborate, and coordinate with the outgoing contractor and
DHA Records Management to report and resolve issues related to records
transfer activities.
3.7 The incoming
contractor shall communicate, collaborate, and coordinate with the
GDA and the outgoing contractor to provide a biweekly update of
transfer records activity in accordance with the Incoming Records Transfer
Report, IMP and IMS.
3.8 The incoming
contractor shall validate that all transferred records are accessible,
usable, searchable, and retrievable no later than 30 calendar days
after receipt from the outgoing contractor.
3.9 The incoming contractor shall
continue the validation process until the full set of records transferred
has been completed and all transferred records have been validated.
3.10 The incoming contractor shall
sign off the custodial ownership document confirming the acceptance
of transferred records following their validation of the accessibility,
usability, searchability, and retrievability of the transitioned
records.
3.11 The incoming contractor shall
complete and submit the custodial ownership document as identified
by DD Form 1423, CDRL, located in Section J of the applicable contract.
4.0 PROGRAM INTEGRITY CASES
4.1 The outgoing contractor shall
deliver to the incoming contractor all case files and documentation regarding
all open program integrity cases, all open leads under development,
and proactive action items to the incoming contractor no later than
30 calendar days prior to the SHCD for the incoming contractor.
4.2 The incoming contractor shall
contact the DHA Program Integrity Office the next business day of
the receipt of the files to ensure seamless continuity of oversight
of these cases, leads, and action items.
4.3 The outgoing
contractor shall provide weekly updates, following the initial transfer
of case files and documentation, to include new cases under development,
active leads, and proactive action items to DHA PI and the incoming
contractor as identified by DD Form 1423, CDRL, located in Section
J of the applicable contract.
5.0 PERFORMANCE READINESS VALIDATION
(PRV)/PERFORMANCE READINESS ASSESSMENT AND VERIFICATION (PRAV)
During transition, the incoming
contractor’s performance readiness status regarding records management
will be subject to PRV/PRAV reviews as described below.
5.1 Records Management PRV
5.1.1 The incoming contractor shall
continually monitor and validate its progress towards receiving
records from the outgoing contractor and ensuring that the file
format is acceptable and records are accessible, usable, searchable
and retrievable during the transition-in period. Progress shall
be monitored based on the time lines and goals established in the
IMP and IMS.
5.1.2 The incoming contractor shall
brief the validation results monthly to the Government for the duration of
the transition period.
5.1.3 The incoming
contractor shall conduct a re-validation of a percentage of records
transferred no later than 30 calendar days following submission
of the custodial ownership document.
5.1.4 The incoming
contractor shall identify a random sample equal to 5% of each record
set (e.g., claims, referrals and authorizations) and re-validate
that the file format is acceptable and the records are accessible,
usable, searchable, and retrievable.
5.2 Records Management PRAV
5.2.1 The incoming contractor shall
comply with the Government’s approach for assessment and verification of
the contractor’s performance readiness regarding records management
as described above.
5.2.2 The incoming
contractor must submit a detailed mitigation plan no later than
10 business days if, after review, the Government finds the contractor’s
performance readiness for records management to be deficient.
5.2.3 Specific PRAV activities, assessment
techniques, and performance readiness thresholds will be identified
by the Government during the TRANSPEC meeting.