4.2 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
paragraph 4.2.1 for transferring electronic
records to the DHA RM Office.
4.2.1 When
transferring electronic records to the DHA RM Office, the contractor
shall prepare and e-mail the SF-135 to the DHA RM Officer prior
to shipping the electronic transfer package. In the SF-135 “From”
block (Block 5) the contractor shall enter the following: Defense
Health Agency, ATTN: Records Management, 16401 East Centretech Parkway,
Aurora, Colorado 80011-9066. The contractor shall insert its own
address below the DHA address. The contractor shall state in the
Series Description Block, the description of the records, the contract
number, record series, and specific metadata elements, indicators
for required or visible, and delimiter that will be in the metadata
file of the transfer package. The contractor shall state in the
volume and agency box number columns the storage size, and total
number of rows in the metadata file respectively. Instructions for
completing the remainder of the form are printed on the reverse
side of the SF-135.
4.2.2 When records
are transferred, they must be scheduled for disposal using the applicable disposition
schedule referenced in DHA Records Retention Schedule (RRS). When
the disposal authority is not cited, the SF-135 will be returned
for completion.
4.2.3 Upon receipt of the SF-135,
the DHA staff reviews it for completeness for transfer. If approved,
the DHA RM Officer annotates the official transfer number on the
form and returns it to the contractor for continued processing.
4.2.4 The original SF-135 is retained
by the DHA; one copy of the annotated SF-135, showing transfer number(s)
will be e-mailed to the contractor, indicating the approval of the
transfer.
4.2.5 After receiving the copy of
the approved SF-135 PDF document, the contractor shall prepare the
transfer package. The contractor shall place the electronic copy
of the SF-135 PDF document on the first media device of each transfer
and the records shall be shipped to the DHA RM Officer in accordance
with Protected Health Information (PHI)/ Personally Identifiable
Information (PII) guidance. A copy of the SF-135 PDF document shall
be retained by the contractor for its reference and use.
4.2.6 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
can receive the Validator Installation program and the installation
instruction from the DHA RM Officer.
4.2.7 After
successful validation the contractor shall send the transfer package
to the DHA RM Officer.
4.2.8 The DHA
RM Officer uses the Validator to verify that the transfer package
meets the requirements and specifications.
4.2.9 If the
Validator identifies no errors, the DHA RM Officer proceeds to next
step.
4.2.10 If the Validator identifies
one or more errors, the DHA RM Officer returns the transfer package
to the contractor for corrections.
4.2.11 The DHA RM Officer adds the
successful Validator audit log file to the transfer package.