Overview

At Compex and ARS, all records emailed from a custodian must be sent to our designated general production email addresses, not to an individual agent’s personal email. This procedure safeguards our ability to control and secure sensitive materials containing protected personal information and helps prevent violations in the handling of documents.

We understand that, in the normal course of business, custodians may occasionally choose to send records directly to a specific agent. When this occurs, the following protocols must be followed to prevent violations in document handling, as well as to avoid unnecessary duplication of effort and waste in other departments.

Additionally, our intake and indexing teams should make these adjustments during the normal course of business to ensure consistency across the organization

Step-by-Step Instructions
All employees who handle records must perform a thorough review before forwarding them to production. While production will conduct a secondary quality control check, the primary responsibility lies with the uploader.

QA Review Requirements:
Due to the varying length of records, the level of review should correspond to the document’s size.




For all records received:
1. First five pages of records
2.  Last five pages of records
3. Confirm whether a custodian certification/affidavit is included
4. Complete the additional protocol below based on number of pages.

Elements to Review on Each Page:

When performing a review, please ensure the following

Process Records:
Next: Submit through FPC app and confirm that it was successful.
Oracle: Upload to the ShareFile folder.





For Customer Service and Expediting only and after uploading records:
 
              Oracle orders: 
              Add a status, set the SB code as SB39 Production Inquiry, and set a call back for 4 business days. 
              Include the following in the status:

• Total number of pages
• Type of records and whether there is additional record types needed
• Number of parts
• Whether or not an affidavit is included
• Indicate the records were uploaded to ShareFile for processing.

NEXT orders: 
Add an inter-departmental status (303 – C110) note, make it available on the website and includes the following:

• Total number of pages
• Type of records and whether there is additional record types needed
• Number of parts
• Whether or not an affidavit is included
• Indicate the records were processed through the FPC app
• Whether or not an affidavit is included

? Example inter-departmental status
System description:
48 pages of medical records and billing received, no custodian certification, films still outstanding, records processed through FPC app.

Web Description must be the following:
Records have been received from the provider.  They are being reviewed for quality and accuracy by our production team.   Once the records are validated, they will be released and delivered by your preferred method of receipt.

⚠️If you are an Expeditor or a Customer Service Agent working directly with the facility and you have received records without an affidavit, incorrect records or missing record types, please follow up with the custodian immediately.

✅Refer to the Quick Reference Guide as a resource, reviewing the SOP as needed for additional detail and clarification.

Quick Reference Guide

Quality Review of Records Prior to Submission to Production
Companion to SOP #:   GE091025-01