Legal Medical Record Standards

Policy No. 9420

LEGAL MEDICAL RECORD STANDARDS

PURPOSE
To establish guidelines for the contents, maintenance, and confidentiality of patient Medical
Records that meet the requirements set forth in federal and State laws and regulations, and to
define the portion of an individuals healthcare information, whether in paper or electronic
format, that comprises the medical record.
Patient medical information is contained within
multiple electronic records systems in combination with financial and other types of data. This
policy defines requirements for those components of information that comprise a patients
complete Legal Medical Record.
DEFINITIONS
Medical Record: The collection of information concerning a patient and his or her health care
that is created and maintained in the regular course of UC__ business in accordance with UC__
policies, made by a person who has knowledge of the acts, events, opinions or diagnoses relating
to the patient, and made at or around the time indicated in the documentation.
The medical record may include records maintained in an electronic medical / record
system, e.g., an electronic system framework that integrates data from multiple sources,
captures data at the point of care, and supports caregiver decision making.
The medical record excludes health records that are not official business records of UC,
such as personal health records managed by the patient.
Each Medical Record shall contain sufficient, accurate information to identify the patient, support
the diagnosis, justify the treatment, document the course and results, and promote continuity of
care among health care providers. The information may be from any source and in any format,
including, but not limited to print medium, audio/visual recording, and/or electronic display.
The Medical Record may also be known as the Legal Medical Record or LMR in that it
serves as the documentation of the healthcare services provided to a patient by a UC__ hospital,
clinic, physician or provider and can be certified by the UC__ Record Custodian(s) as such. .
The Legal Medical Record is a subset of the Designated Record Set and is the record that will be
released for legal proceedings or in response to a request to release patient medical records. The
Legal Medical Record can be certified as such in a court of law.
Designated Record Set (DRS): A group of records that include protected health information
(PHI) and that is maintained, collected, used or disseminated by, or for, a covered entity (e.g. the
UC Medical Center) for each individual that receives care from a covered individual or
institution. The DRS includes:
1. The medical records and billing records about individuals maintained by or for a covered
health care provider (can be in a business associates records);
2. The enrollment, payment, claims adjudication, and case or medical management record
systems maintained by or for a health plan; or
3. The information used, in part or in whole, to make decisions about individuals.
Any research activities that create PHI should be maintained as a part of the DRS and are
Policy Dated 05/01/2008

1 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

Policy No. 9420

accessible to research participants unless there is a HIPAA Privacy Rule permitted exception.
Protected Health Information (PHI): PHI is individually identifiable health information that
is transmitted or maintained in any medium, including oral statements.
Authentication: The process that ensures that users are who they say they are. The aim is to
prevent unauthorized people from accessing data or using another person's identity to sign
documents.
Signature: A signature identifies the author or the responsible party who takes ownership of and
attests to the information contained in a record entry or document.
Clinic Record / Shadow File: A folder containing COPIES ONLY of information from the
medical record used primarily by clinicians in their office or clinic setting. These COPIES of the
relevant documents from the original medical record are NOT part of the legal medical record.
Macros: Macros allow a provider to record and replay a series of typed characters or other
keystrokes (e.g., hot keys, one or more keys at the same time, or one-word commands) in a
manner that makes it possible for a physician or a provider to quickly document an entire medical
note while avoiding the cost of transcription and/or the time of repetitive documentation.

POLICY / PROCEDURES
I.

Maintenance of the Medical Record

A.

A Medical Record shall be maintained for every individual who is evaluated or

treated as an inpatient, outpatient, or emergency patient of a UC__ hospital, clinic,
or physicians office.

B.

Currently, the Medical Record is considered a hybrid record, consisting of both

electronic and paper documentation. Documentation that comprises the Medical
Record may physically exist in separate and multiple locations in both paper-based
and electronic formats. (See Appendix A).

C.

The medical record contents can be maintained in either paper (hardcopy) or

electronic formats, including digital images, and can include patient identifiable
source information, such as photographs, films, digital images, and fetal monitor
strips and/or a written or dictated summary or interpretation of findings.

D.

The current electronic components of the Medical Record consist of patient

information from multiple Electronic Health Record source systems. The intent of
UC__ is to integrate all electronic documents into a permanent electronic
repository.

E.

Original Medical Record documentation must be sent to the designated Medical

Records department or area. Whenever possible, the paper chart shall contain
original reports. Shadow files maintained by some clinics or care sites contain

Policy Dated 05/01/2008

2 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

Policy No. 9420

copies of selected material, the originals of which are filed in the patients
permanent Medical Record.
II.

Confidentiality
The Medical Record is confidential and is protected from unauthorized disclosure by law.
The circumstances under which UC__ may use and disclose confidential medical record
information is set forth in the Notice of Privacy Practices (see: Privacy Policy and
Procedure No. _____, Notice of Privacy Practices) and in other UC__ Privacy Policies
and Procedures.

III.

IV.

Content
A.

Medical Record content shall meet all State and federal legal, regulatory and
accreditation requirements including but not limited to Title 22 California Code of
Regulations, sections 70749, 70527 and 71549, and the Medicare Conditions of
Participation 42 CFR Section 482.24. Appendix A contains a listing of required
Medical Record documentation content, and current electronic or paper format
status.

B.

Additionally, all hospital records and hospital-based clinic records must comply
with the applicable hospitals Medical Staff Rules and Regulations requirements
for content and timely completion.

C.

All documentation and entries in the Medical Record, both paper and electronic,
must be identified with the patients full name and a unique UC__ Medical Record
number. Each page of a double-sided or multi-page forms must be marked with
both the patients full name and the unique Medical Record number, since single
pages may be photocopied, faxed or imaged and separated from the whole.

D.

All Medical Record entries should be made as soon as possible after the care is
provided, or an event or observation is made. An entry should never be made in
the Medical Record in advance of the service provided to the patient. Pre-dating or
backdating an entry is prohibited.

Medical Record vs. Designated Record Set

A. Under the HIPAA Privacy Rule, an individual has the right to access and/or amend his
or her protected health (medical record) information that is contained in a designated
record set. The term designated record set is defined within the Privacy Rule to
include medical and billing records, and any other records used by the provider to
make decisions about an individual. In accordance with the HIPAA Privacy Rule,
UC__ has defined a designated record set to mean the group of records maintained
for each individual who receives healthcare services delivered by a healthcare
provider, which is comprised of the following elements:

Policy Dated 05/01/2008

3 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

Policy No. 9420

1. The Medical Record whether in paper or electronic format, to include patient

identifiable source information such as photographs, films, digital images, and fetal
monitor strips when a written or dictated summary or interpretation of finding has not
been prepared;
2. Billing records including claim information; and
3. All physician or other provider notes, written or dictated, in which medical decisionmaking is documented, and which are not otherwise included in the Legal Medical
Record (e.g., outside records, email when applicable for treatment).

B. The Medical Record generally excludes records from non-UC providers (i.e., health
information that was not documented during the normal course of business at a UC__
facility or by a UC__ provider). However, if information from another provider or
healthcare facility, or personal health record, is used in providing patient care or
making medical decisions, it may be considered part of the UC__ Designated Record
Set, and may be subject to disclosure on specific request or under subpoena.
Disclosures from medical records in response to subpoenas will be made in
accordance with applicable Campus policies.
V.

Who May Document Entries in the Medical Record: Multidisciplinary Notes

Only the following types of UC__ employees and/or employees of UC__-contracted
clinical and social services providers may document entries in the Multidisciplinary Notes
section of the Medical Record:
1. Child Life Specialists
2. Clinical Social Workers
3. Dentists
4. Dietitians/Diet Technicians
5. Emergency Trauma Technicians
6. Fellows
7. Home Health Coordinators
8. Clinical Care Partners
9. Hyperbaric Technicians/Observers
10. Interns
11. Interpreters (Employees of UC__)
12. Lactation Specialists
13. Licensed Vocational Nurses
14. Medical Assistants
15. Medical Ethicists
16. Nurse Practitioners
17. Nurses employed by physicians (exceptions)
18. Occupational Therapists
19. Osteopathic Students
20. Pastoral Care Providers

Policy Dated 05/01/2008

4 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

Policy No. 9420

21. Pharmacists
22. Physical Therapists
23. Physician Assistants
24. Physicians including MDs and DOs
25. Podiatrists
26. Psychologists
27. Registered Nurses
28. Mental Health Practitioners
29. Licensed Psychiatric Technicians
30. Midwives
31. Residents
32. Respiratory Therapists
33. School Teachers
34. Speech Pathologists
35. Students, e.g., MD, RN, Occupational Therapy, etc. (Notations in the record
must be co-signed by a supervising clinician)
36. Students, e.g., MD, RN
37. Others as designated by Medical Center Policies and /or Medical Staff Bylaws
VI.

VII.

Completion, Timeliness and Authentication of Medical Records

A.

All inpatient Medical Records must be completed within 14 days from the date of
discharge (California Code of Regulations, Title 22, section 70751). Additional
requirements may also be included in the applicable UC__ hospital Medical Staff
By-Laws and/or Rules and Regulations.

B.

All operative and procedure reports must be completed immediately after surgery.

C.

All Medical Record entries are to be dated, the time entered, and signed.

D.

Certain electronic methods of authenticating the Medical Record, including

methods such as passwords, access codes, or key cards may be allowed provided
certain requirements are met. The methodology for authenticating the document
electronically must comply with UC__ electronic signature standards (See Section
XII below: Authentication of Entries). The entries may be authenticated by a
signature stamp or computer key, in lieu of a medical staff members signature,
only when that medical staff member has placed a signed statement with the
Medical Center to the effect that the member is the only person who: 1) has
possession of the stamp or key (or sequence of keys); and 2) will use the stamp or
key (or sequence of keys).

E.

Fax signatures are acceptable.

Routine Requests for Medical Records for Purposes of Treatment, Payment

and Healthcare Operations (TPO)
The Health Information Management Services staff will process routine requests for
Medical Records. All charts physically removed from the Medical Record storage areas
will be logged, e.g., using a computerized tracking system

Policy Dated 05/01/2008

5 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

Policy No. 9420

Only authorized UC__ workforce members may access Medical Records in accordance
with Privacy Policy and Procedure No. ____, Employee Access to Protected Health
Information (PHI). UC__ Workforce members (as defined in Policy No. ____) who
access Medical Records for payment or healthcare operations are responsible to access
only the amount of information in medical records which is necessary to complete job
responsibilities.
A.

Access to Medical Records for Treatment Purposes.

Healthcare providers who are directly involved in the care of the patient may
access the full Medical Record in accordance with Policy No. ____.

B.

Payment Purposes.
Authorized and designated UC__ workforce members may access the patients
medical record for purposes of obtaining payment for services, including the
following uses:

C.

1.

Coding and abstracting;

2.

Billing including claims preparation, claims adjudication and substantiation

of services;

3.

Utilization Review; and

4.

Third Party Payor Reviews (including Quality Improvement Organization

reviews).

Healthcare Operations.
Patient medical records may be accessed for routine healthcare operation purposes,
including, but not limited to:

D.

1.

Peer Review Committee activities;

2.

Quality Management reviews including outcome and safety reviews;

3.

Documentation reviews; and

4.

Teaching.

Requests for Electronic Components of the Medical Record.

Personnel who access the electronic Medical Record are required to have a unique
User ID and password, and access to information is limited according to the
minimum necessary rule and managed by role, as approved by designated
management personnel.

VIII. Ownership, Responsibility and Security of Medical Records

A.

All Medical Records of UC__ patients, regardless of whether they are created at,
or received by, UC__, and patient lists and billing information, are the property of
UC__ and The Regents of the University of California. The information contained

Policy Dated 05/01/2008

6 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

Policy No. 9420

within the Medical Record must be accessible to the patient and thus made
available to the patient and/or his or her legal representative upon appropriate
request and authorization by the patient or his or her legal representative.

IX.

B.

Responsibility for the Medical Record. The UC__ Director of Medical Information
(Health Information Services) is designated as the person responsible for assuring
that there is a complete and accurate medical record for every patient. The medical
staff and other health care professionals are responsible for the documentation in
the medical record within required and appropriate time frames to support patient
care.

C.

Original records may not be removed from UC__ facilities and/or offices
except by court order, subpoena, or as otherwise required by law.
If an
employed physician or provider separates from or is terminated by the University
for any reason, he or she may not remove any original Medical Records, patient
lists, and/or billing information from UC__ facilities and/or offices. For continuity
of care purposes, and in accordance with applicable laws and regulations, patients
may request a copy of their records be forwarded to another provider upon written
request to UC__.

D.

Medical records shall be maintained in a safe and secure area. Safeguards to

prevent loss, destruction and tampering will be maintained as appropriate. Records
will be released from Health Information Management Services only in accordance
with the provisions of this policy and other UC__ Privacy Policies and Procedures.

E.

Special care must be exercised with Medical Records protected by the State and
federal laws covering mental health records, alcohol and substance abuse records,
reporting forms for suspected elder/dependent adult abuse, child abuse reporting,
and HIV-antibody testing and AIDS research. (Refer to Policy No. _____.
Authorization for Use/Disclosure of PHI.)

F.

Chronology is essential and close attention shall be given to assure that documents
are filed properly, and that information is entered in the correct encounter record
for the correct patient, including appropriate scanning and indexing of imaged
documents.

Retention and Destruction of Medical Records

All Medical Records are retained for at least as long as required by State and federal law
and regulations, and UC__ policies and procedures (see: Records Retention and No.
____, Records Storage and Destruction). The electronic version of the record must be
maintained per the legal retention requirements as specified in Policy No. _____ (UC
Campus) Record Retention or consult with Campus Legal Counsel.
A.

In the event that an original Medical Record cannot be located, a temporary

medical record folder will be created as follows:
1.

Policy Dated 05/01/2008

All identified original documentation held for filing in the original record
will be included in the temporary folder;

7 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

X.

Policy No. 9420

2.

A notation will be made in the record by the Medical Records Department

Supervisor or Manager that the record is a temporary chart being used
until the original can be located;

3.

As needed, online documents will be printed and filed into the temporary
folder;

4.

The temporary folder will be tracked in the computerized chart tracking

system by means of a special volume number to distinguish it from the
original and to indicate that it is a temporary chart;

5.

Upon location of the original record, all material from both the original
and temporary folder will be incorporated into the original folder, and the
temporary folder will be removed from the computerized tracking system.

Maintenance and Legibility of Record

All Medical Records, regardless of form or format, must be maintained in their entirety,
and no document or entry may be deleted from the record, except in accordance with the
destruction policy (refer to section IX).
Handwritten entries should be made with permanent black or blue ink, with medium
point pens. This is to ensure the quality of electronic scanning, photocopying and faxing
of the document. All entries in the medical record must be legible to individuals other
than the author.

XI.

Corrections and Amendments to Records

When an error is made in a medical record entry, the original entry must not be
obliterated, and the inaccurate information should still be accessible.
The correction must indicate the reason for the correction, and the correction entry must
be dated and signed by the person making the revision. Examples of reasons for incorrect
entries may include wrong patient, etc. The contents of Medical Records must not
otherwise be edited, altered, or removed. Patients may request a medical record
amendment and/or a medical record addendum. (Refer to UC__ policy for handling
patient requests for record amendment and record addendums.)
A.

Documents created in a paper format:

1.

Do not place labels over the entries for correction of information.

2.

If information in a paper record must be corrected or revised, draw a line

through the incorrect entry and annotate the record with the date and the
reason for the revision noted, and signature of the person making the
revision.

3.

If the document was originally created in a paper format, and then scanned
electronically, the electronic version must be corrected by printing the
documentation, correcting as above in (2), and rescanning the document.

Policy Dated 05/01/2008

8 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

B.

Policy No. 9420

Documents that are created electronically must be corrected by one of the

following mechanisms:
1. Adding an addendum to the electronic document indicating the corrected
information, the identity of the individual who created the addendum, the date
created, and the electronic signature of the individual making the addendum.
2. Preliminary versions of transcribed documents may be edited by the author
prior to signing. A transcription analyst may also make changes when a nonclinical error is discovered prior to signing (i.e., wrong work type, wrong date,
wrong attending assigned). If the preliminary document is visible to providers
other than the author, then this document needs to be part of the legal health
record.
3. Once a transcribed document is final, it can only be corrected in the form of
an addendum affixed to the final copy as indicated above. Examples of
documentation errors that are corrected by addendum include: wrong date,
location, duplicate documents, incomplete documents, or other errors. The
amended version must be reviewed and signed by the provider.
4. Sometimes it may be necessary to re-create a document (e.g., wrong work
type) or to move a document, for example, if it was originally posted
incorrectly or indexed to the incorrect patient record.

C.

D.

E.

When a pertinent entry was missed or not written in a timely manner, the author
must meet the following requirements:
1.

Identify the new entry as a late entry

2.

Enter the current date and time do not attempt to give the appearance
that the entry was made on a previous date or an earlier time. The entry
must be signed.

3.

Identify or refer to the date and circumstance for which the late entry or
addendum is written.

4.

When making a late entry, document as soon as possible. There is no time

limit for writing a late entry; however, the longer the time lapse, the less
reliable the entry becomes.

An addendum is another type of late entry that is used to provide additional

information in conjunction with a previous entry.
1.

Document the date and time on which the addendum was made.

2.

Write addendum and state the reason for creating the addendum,
referring back to the original entry.

3.

When writing an addendum, complete it as soon as possible after the

original note.

Errors in Scanning Documents

If a document is scanned with wrong encounter date or to the wrong patient, the
following must be done:

Policy Dated 05/01/2008

9 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

F.

Policy No. 9420

1.

Reprint the scanned document.

2.

Rescan the document to the correct date or patient, and void the
incorrectly scanned document in the permanent document repository.

Electronic Documentation Direct Online Data Entry

Note: The following are guidelines for making corrections to direct entry of
clinical documentation, and mechanisms may vary from one system to another.

G.

1.

In general, correcting an error in an electronic/computerized medical

record should follow the same basic principles as corrections to the paper
record.

2.

The system must have the ability to track corrections or changes to any
documentation once it has been entered or authenticated.

3.

When correcting or making a change to a signed entry, the original entry

must be viewable, the current date and time entered, and the person
making the change identified.

Copy and Paste Guidelines

The copy and paste functionality available for records maintained electronically
eliminates duplication of effort and saves time, but must be used carefully to
ensure accurate documentation and must be kept to a minimum.

XII.

1.

Copying from another clinicians entry: If a clinician copies all or part of

an entry made by another clinician, the clinician making the entry is
responsible for assuring the accuracy of the copied information.

2.

Copying test results/data: If a clinician copies and pastes test results into
an encounter note, the clinical-provider is responsible for ensuring the
copied data is relevant and accurate.

3.

Copying for re-use of data: A clinician may copy and past entries made in
a patients record during a previous encounter into a current record as long
as care is taken to ensure that the information actually applies to the
current visit, that applicable changes are made to variable data, and that
any new information is recorded.

Authentication of Entries
A.

Electronic signatures must meet standards for:

1.

Data integrity to protect data from accidental or unauthorized change (for

example locking of the entry so that once signed no further untracked
changes can be made to the entry);

2.

Authentication to validate the correctness of the information and confirm

the identity of the signer (for example requiring signer to authenticate with
password or other mechanism);

3.

Non-repudiation to prevent the signer from denying that he or she signed

the document (for example, public/private key architecture).

Policy Dated 05/01/2008

10 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

Policy No. 9420

At a minimum, the electronic signature must include the full name and either the
credentials of the author or a unique identifier, and the date and time signed.*

XIII.

B.

Electronic signatures must be affixed only by that individual whose name is being
affixed to the document and no other individual.

C.

Countersignatures or dual signatures must meet the same requirements, and are
used as required by State law and Medical Staff Rules and Regulations.

D.

Initials may be used to authenticate entries on flow sheets or medication records,

and the document must include a key to identify the individuals whose initials
appear on the document.

E.

Rubber stamp signatures: Refer to Section VI (D).

F.

Documents with multiple sections or completed by multiple individuals should

include a signature area on the document for all applicable staff to sign and date.
Staffs who have completed sections of a form should either indicate the sections
they completed at the signature line or initial the sections they completed.

G.

No individual shall share electronic signature keys with any other individual.

H.

Macros & Checklists. Pre-printed forms, checklists, patient questionnaires, and

word-processing macros can be used to supplement written or dictated notes.
When using an electronic medical record, it is acceptable for the teaching
physician to use a macro as the required personal documentation, if the teaching
physician adds it personally in a secured (password protected) system. In addition
to the teaching physicians macro, either the resident or the teaching physician
must provide customized, patient specific information that is sufficient to support
a medical necessity determination. The note in the record must sufficiently
describe the specific services furnished to the specific patient on the specific date.
It is insufficient documentation if both the resident and the teaching physician use
macros which do not contain patient specific information. Medical record macros
and checklists may be used to supplement provider written or dictated notes.

Designation of Secondary Patient Information

The following three categories of data contain secondary patient information and must be
afforded the same level of confidentiality as the LMR, but are not considered part of the
legal medical record.
A.

Patient-identifiable source data are data from which interpretations, summaries,

notes, etc. are derived. They often are maintained at the department level in a
separate location or database, and are retrievable only upon request. Examples:
1.

Photographs for identification purposes

2.

Audio recordings of dictation notes or patient phone calls.

3.

Video recordings of an office visit, if taken for other than patient care
purposes

* Acknowledge that there may be older systems that do not have this capability. Future plans for
all system to meet this minimum requirement.
Policy Dated 05/01/2008

11 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

Policy No. 9420

4.

Video recordings/pictures of a procedure, if taken for other than patient

care purposes

5.

Video recordings of a telemedicine consultation

6.

Communication tools (i.e., Kardex, patient lists, work lists, administrative

in-baskets messaging, sign out reports, FYI, drafts of notes, or summary
reports prepared by clinicians, etc.)

7.

Protocols/clinical pathways, best practice alerts, and other knowledge

sources.

8.

A Patients personal health record provided by the patient to his or her

care provider.

9.

Alerts, reminders, pop-ups and similar tools used as aides in the clinical
decision making process. The tools themselves are not considered part of
the legal medical record. However, the associated documentation of
subsequent actions taken by the provider, including the condition acted
upon and the associated notes detailing the exam, are considered as
component of the legal medical record. Similarly, any annotations, notes
and results created by the provider as a result of the alert, reminder or popup are also considered part of the legal medical record.

Some source data are not maintained once the data has been converted to text.
Certain communication tools are part of workflow and are not maintained after
patient's discharge.
B.

C.

Administrative Data is patient-identifiable data used for administrative,

regulatory, healthcare operations and payment purposes. Examples include but are
not limited to:
1.

Authorization forms for release of information

2.

Correspondence concerning requests for records.

3.

Birth and death certificates.

4.

Event history/audit trails.

5.

Patient-identifiable abstracts in coding system.

6.

Patient identifiable data reviewed for quality assurance or utilization

management.

7.

Administrative reports.

Derived Data consists of information aggregated or summarized from patient

records so that there are no means to identify patients. Examples:
1.

Accreditation reports

2.

Best practice guidelines created from aggregate patient data.

3.

ORYX reports, public health records and statistical reports.

Policy Dated 05/01/2008

12 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

D.

Policy No. 9420

Draft Documents / Work in Progress. Electronic processes and workflow

management require methods to manage work in progress. These work-in-progress documents

often are available in the system as draft documents, viewable to a limited number of users.
They generally are not viewable to clinicians until the document is sent for final signature. Draft
documents are not considered an official medical record document until it has been signed by an
authorized signer.

XIV. ENFORCEMENT, CORRECTIVE & DISCIPLINARY ACTIONS

Compliance with the above policy is monitored by UC__ Department of ________.
Violations of any of the above policy will be reported to the appropriate supervising authority
for potential disciplinary action, up to and including termination and/or restriction of
privileges in accordance with UC__ Medical Staff ByLaws, and Human Resource /
Personnel Policies.

RELATED POLICIES
-

Each UC may insert a list of related policies and forms or include the list as a separate
Appendix,

Authorization for Release of Information; and Access to the medical record

Patient Requests for Record Amendment and Record Addendums

Auditing of access to medical records

Notice of Privacy Practices; and in other UC__ Privacy Policies and Procedures.

Authorization for Use/Disclosure of PHI

Employee Access to Protected Health Information (PHI)

Records Retention

Records Storage and Destruction

Verbal / Telephone Orders

APPROVAL

REVISION HISTORY

REFERENCES
Policy Dated 05/01/2008

13 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

Policy No. 9420

Health Insurance Portability and Accountability Act (HIPAA) Privacy & Security Rule, 45 CFR
160-164
California Medical Information Act, California Civil Code Section 56 et seq.
Medicare Conditions of Participation, 42 CFR Section 482.24
Title 22 California Code of Regulations, Sections 70749, 70527, and 71549
Business Records Exception, Federal Evidence 803(6)
California Code of Regulations, Title 22, Section 70751
California Healthcare Association Manual Authentication sections

Policy Dated 05/01/2008

14 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

Policy No. 9420

Appendix A
Documentation Contents of the Medical Record

The medical record shall include, at a minimum, the following items (if applicable):
A.

Identification information, which include but are not limited to the following:
1)
2)
3)

4)
5)
6)
7)
8)

9)
10)
11)
12)
13)
14)
15)
16)
17)
18)
19)
20)

21)
22)
23)
24)
25)

Name.
Address on admission.
Identification number (if applicable).
1. Medicare.
2. Medi-Cal.
3. Hospital Number
4. Social Security Number.
Age.
Sex.
Marital status.
Legal status.
Mothers Maiden name
(i)
Patients Mothers maiden name
(ii)
Place of Birth
Legal Authorization for admission (if applicable).
School Grade, if applicable
Religious Preference.
Date and time of admission (or arrival for outpatients).
Date of time discharge (departure for outpatients).
Name, address and telephone number of person or agency responsible for patient.
Name of patient's admitting/attending physician.
Initial diagnostic impression.
Discharge or final diagnosis and disposition.
Allergy records.
Advance Directives (if applicable).
Medical History including, as appropriate: immunization record, screening tests,
allergy record, nutritional evaluation, psychiatric, surgical and past medical
history, social and family history, and for pediatric patients a neonatal history.
Physical examination.
Consultation reports.
Orders including those for medication, treatment, prescriptions, diet orders, lab,
radiology and other ancillary services.
Progress notes including current or working diagnosis (excluding psychotherapy
notes).
Nurses' notes, which shall include, but not be limited to, the following:
i.
Nursing assessment including nutritional, psychosocial and functional
assessments.

Policy Dated 05/01/2008

15 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

ii.
iii.
iv.

v.
vi.

Policy No. 9420

Concise and accurate record of nursing care administered.

Record of pertinent observations including psychosocial and physical
manifestations and relevant nursing interpretation of such observations.
Name, dosage and time of administration of medications and treatment.
Route of administration and site of injection shall be recorded if other than
by oral administration.
Record of type of restraint and time of application and removal.
Record of seclusion and time of application and removal. (NPH)

25)

Graphic and vital sign sheet.

26)

Results of all laboratory tests performed.

27)

Results of all X-ray examinations performed.

28)

Consent forms for care, treatment and research, when applicable.

29)

Problem List (outpatient records only).

30)

Emergency Department record.

31)

Anesthesia record including preoperative diagnosis, if anesthesia has been

administered.

32)

Operative and procedures report including preoperative and postoperative

diagnosis, description of findings, technique used, and tissue removed or altered,
if surgery was performed.

33)

Pathology report, if tissue or body fluid was removed.

34)

Written record of preoperative and postoperative instructions.

35)

Labor record, if applicable.

36)

Delivery record, if applicable.

37)

Physical, Occupational and/or respiratory therapy assessments and treatment

records, when applicable.

38)

Patient/Family Education Plan (NPH Only)

39)

Clinical Data set from other providers.

40)

Master Data Sets (as applicable to record type) including but not limited to :
MDS (Skilled Nursing), OASIS (Home Health), IRF and PAI (Rehabilitation).

41)

Patient Photographs when used for identification or treatment.

42)

Master Treatment Plan and Reassessment (NPH only).

43)

Discharge Instructions

44)

A discharge summary which shall briefly recapitulate the significant findings and
events of the patient's hospitalization, final diagnoses, his/her condition on
discharge and the recommendations and arrangements for future care. If
applicable it shall include diet and self-care instructions.

45)

Copies of letters to patients.

Policy Dated 05/01/2008

16 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

Policy No. 9420

46)

Email communications between the patients and the provider regarding the care
and treatment of the patient.

47)

Telephone Encounters. Documentation is required for telephone encounters with

patients and/or their caregivers, or other care providers that:
1.

Provide new or renewal of prescription for medications

2.

Alter the current plan of care, including treatments and

medications

3.

Identify a new system or problem and provide a plan of care

4.

Provide home care advice for symptom/problem management

5.

Provide authorization for care

6.

Provides or reinforces patient education

Documentation should include the date and time of call, name of caller and
relationship to patient (if different from patient), date and time of the response (or
attempts to return call), the response given, and the signature and professional title
of provider or clinic staff handling the call.
48)

Primary Language

Policy Dated 05/01/2008

17 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

Policy No. 9420

Appendix B
Medical Records Forms Standards

Appendix C
Abbreviations & Symbols

Policy Dated 05/01/2008

18 of 19

UC__
Corporate Compliance Policies and Procedures

Legal Medical Record Standards

Policy No. 9420

Table of Contents
Section #

Section Heading

Page(s)

Related
Policies

Purpose
Definitions
I

Maintenance of the Medical Record

II

Confidentiality

III

Content

IV

Medical Record vs. Designated Record Set

Who May Document in the Multidisciplinary Notes

VI

Completion, Timeliness and Authentication of Medical

Records

VII

Routine Requests for Medical Records For Purposes

of Treatment, Payment & Health Care Operations

VIII

Ownership, Responsibility and Security of Medical

Records

IV

Retention and Destruction of Medical Records

Permanency and Legibility of Record

XI

Corrections and Amendments to Records

XII

Authentication of Entries

XIII

Designation of Secondary Patient Information

XIV

Enforcement, Corrective & Disciplinary Actions

Approval
Revision History
References

Appendix Documentation Contents of the Medical Record

A
Appendix Medical Records Forms Standards
B
Appendix Medical Record: Acceptable Abbreviations & Symbols
C
Appendix Related Policies <optional place to list the related
D
policies & forms>

Policy Dated 05/01/2008

19 of 19

UC__
Corporate Compliance Policies and Procedures