3.2 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
paragraph 3.2.1 for transferring
electronic records to the DHA RM Office.
3.2.1 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 The contractor
shall contact the DHA recipient office for the office address
to enter the following: Defense Health
Agency, ATTN: Records Management, 16401 East Centretech Parkway,
Aurora, Colorado 80011-9066 in the SF-135
“To” block (Block 1). The contractor shall insert its
own name, address below the
DHA address, phone email, and date in
the “From” block (Block 5). The contractor shall state
in the Series Description Block (Block 6f),
the description of the records, the contract number, region, record
series, and specific metadata elements, indicators for required
or visible, and delimiter that will be in to
create 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 in
the “Volume” (Block 6d) and the media details in the “Agency Box
Numbers” (Block 6e). Instructions for completing the
remainder of the form are printed on the reverse side of the SF-135.
3.2.2 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.
3.2.3 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.
3.2.4 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.
3.2.5 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 or the encrypted files be transferred to
the DHA RM Officer recipient
office 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.
3.2.6 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.
3.2.7 After successful
validation the contractor shall send the transfer package to the
DHA RM Officer.
3.2.6 The DHA RM Officer recipient
office uses the Validator to verify ROMF
to search locate and access the records and verify that
the transfer package meets the requirements and specifications.
3.2.9 If the Validator
identifies no errors, the DHA RM Officer proceeds to next step.
3.2.7 If the Validator DHA
recipient office identifies one or more errors, the
DHA RM Officer recipient
office communicates errors and returns the transfer
package to the contractor for corrections.
3.2.11 The DHA RM Officer
adds the successful Validator audit log file to the transfer package.