What Every RCFE Needs to Know About LIC 602A Record Retention
| What Is LIC 602A | Explains the purpose of the form and why it is required before admission to RCFE. |
| Validity and Retention Periods | Outlines how long the form is valid and how long facilities must keep it after discharge. |
| Required Resident Records | Lists all forms and documents that must be stored with LIC 602A in each resident file. |
| Ambulatory Status | Clarifies how resident mobility levels affect placement and documentation requirements. |
| Record Storage Practices | Explains where and how files must be stored, including on-site access for inspectors. |
| Penalties and Violations | Describes potential fines and compliance risks for improper recordkeeping or early destruction. |
| Practical Recommendations | Summarizes key actions for administrators to ensure compliance and resident data protection. |
When an older adult moves into a Residential Care Facility for the Elderly (RCFE) in California, the facility must collect medical documentation. One of the most important forms is LIC 602A — a physician’s report that summarizes the resident’s health condition and care needs. This form determines whether the RCFE can safely accept the resident and provide proper support.
What Is LIC 602A and Why It Matters
In simple terms:
The LIC 602A form is a medical assessment completed by a licensed physician before admission. It describes the person’s health, current diagnoses, medications, and ability to care for themselves.
For example, the physician notes whether the person can take medication independently, use the restroom, walk without help, and perform daily routines.
LIC 602A is required by Title 22 of the California Code of Regulations. Without this form, an RCFE cannot legally admit a new resident.
How Long the Form Is Valid and How Long It Must Be Kept
Validity period
A completed LIC 602A is generally valid for up to one year from the date of the medical evaluation. After that, the resident’s doctor must update the assessment to reflect any health changes.
Retention period
Even after the resident leaves the facility, the documents cannot be discarded right away. According to §87506(e), all resident records — including LIC 602A — must be kept for at least three (3) years after the end of care.
What Records Must Be Kept in a Resident File
Each resident has a personal record that documents their health, safety, and care history. It must be complete and available for inspection at any time.
Typical contents include:
LIC 602A: the physician’s medical assessment;
LIC 603A and LIC 625: pre-admission appraisal and service plan;
Admission agreement and emergency contact information;
LIC 624/624A: incident or injury reports;
Medication and treatment logs.
All of these documents must remain in the resident’s file for three years after discharge, whether stored on paper or electronically.
Minimum Retention Periods
| Document Type | Example Form | Minimum Retention | Starting Point |
|---|---|---|---|
| Medical assessment | LIC 602A | 3 years | After discharge |
| Care plans | LIC 603A, LIC 625 | 3 years | After discharge |
| Incident reports | LIC 624 / 624A | 3 years | After discharge |
Understanding Ambulatory Status
The LIC 602A form also identifies how independent the resident is:
Ambulatory: can exit the building without help.
Non-ambulatory: needs help to evacuate in an emergency, such as a fire.
Bedridden: cannot move without assistance and requires special supervision.
These classifications determine where a resident may live and what safety precautions the RCFE must provide. In case of an inspection or incident, a properly completed LIC 602A proves the facility met legal placement requirements.
Where and How Records Should Be Stored
Accessibility
All resident files must be kept on-site and be readily available to inspectors from the Community Care Licensing Division (CCLD) during normal business hours. If an inspector temporarily removes any documents, they must return them within three working days.
Storage format
Records may be paper or electronic. Digital copies are acceptable as long as they are secure, unaltered, and easy to retrieve. Facilities must use locked storage or encrypted systems to protect resident data.
Staff files
Employee personnel records must also be retained for at least three years after employment ends. Therefore, facilities should maintain two tracking systems — one for residents and one for staff.
What Happens if Records Are Lost or Destroyed Early
If an RCFE cannot produce required documents during a CCLD inspection, it may face daily penalties until compliance is restored. Repeated violations can increase fines and affect the facility’s license status.
Because LIC 602A contains personal health information, improper disposal — such as discarding papers without shredding — can also result in confidentiality violations and serious financial penalties under state law.
Practical Recommendations
Create a written record retention policy.
Define how long each type of document is kept and how it will be safely destroyed afterward.
Check legal status before destruction.
Do not destroy any files if they are part of an active audit or legal case.
Use secure disposal methods.
Shred paper documents and permanently delete digital copies using certified software.
Consider extended retention.
Although the law requires a minimum of three years, it is wise to keep key medical and incident forms five to seven years for stronger legal protection.
Conclusion
Properly maintaining and storing the LIC 602A form protects both residents and facilities. It ensures that each admission decision was appropriate and that care matched the resident’s medical condition.
Regular record reviews, safe digital storage, and clear policies build trust — with families, regulators, and the residents themselves.
Sources Used
California Department of Social Services (CDSS) – LIC 602A Physician’s Report for Residential Care Facilities for the Elderly (RCFE)
California Code of Regulations (Title 22, Division 6, Chapter 8) – Section 87458: Medical Assessment Requirements
California Code of Regulations (Title 22, Division 6, Chapter 8) – Section 87506: Resident Records – Retention and Accessibility
California Code of Regulations (Title 22, Division 6, Chapter 1) – Section 80066: Personnel Records – Content and Retention Period
CDSS Community Care Licensing Division (CCLD) Manual – Resident and Facility Recordkeeping Policies for RCFEs
CDSS Form LIC 624 / LIC 624A – Unusual Incident/Injury Report – Residential Care Facilities for the Elderly
Health and Safety Code, Section 1569.30 – Retention of Resident Records in Licensed Facilities
Health and Safety Code, Section 1280.15 – Protection and Confidentiality of Medical Information in Health Facilities
CDSS Provider Information Notices (PINs) – Guidance on Record Retention, Digital Documentation, and Access During CCLD Inspections
