Preparing Transfer Summaries

---
name: preparing-transfer-summaries
language: en
description: Creates comprehensive transfer documentation for ICU-to-floor or facility-to-facility transitions. Use when transferring patients between units, preparing transfer notes, or coordinating level-of-care changes.
tags:
  - preparation
  - hospital-medicine
  - patient-care
metadata:
  author: casemark
  practice_areas:
    - Hospital Medicine
    - Internal Medicine
  document_types:
    - Preparation Document
  skill_modes:
    - Preparation
---

# Preparing Transfer Summaries

Creates comprehensive transfer documentation for ICU-to-floor or facility-to-facility transitions to ensure continuity of care.

## Why This Skill Exists

Transfers between levels of care represent high-risk discontinuity points where critical information is lost, orders are missed, and monitoring gaps occur. ICU-to-floor transfers carry a 4-8% "bounce-back" rate (return to ICU within 48 hours), and inadequate transfer communication is the most common contributing factor. Facility-to-facility transfers (hospital-to-SNF, hospital-to-LTACH, hospital-to-rehab) require regulatory-compliant documentation under CMS Conditions of Participation and EMTALA (for inter-hospital transfers).

The Joint Commission National Patient Safety Goal 02.05.01 mandates standardized communication during handoffs and transitions. For inter-facility transfers, Medicare and Medicaid require specific documentation: medical necessity for transfer, acceptance by the receiving facility, informed consent from the patient, and a transfer summary that accompanies the patient. Incomplete transfer documentation is a top citation in CMS surveys and a leading cause of adverse events in the post-acute setting.

---

## Checkpoint A: Pre-Draft Intake (Mandatory)

Before preparing any transfer summary, confirm:

1. What **type of transfer** is this — ICU-to-floor, floor-to-ICU, hospital-to-SNF, hospital-to-LTACH, hospital-to-rehab, or inter-hospital? *(Default: Identify based on clinical scenario)*
2. What is the **clinical reason** for transfer — improvement (step-down) or deterioration (step-up)? *(Default: Document clearly)*
3. Has the **receiving provider/facility** accepted the patient? *(Default: Document name, time, and method of acceptance)*
4. Are there **active drips, devices, or monitoring** that must be addressed before or during transfer? *(Default: Review current orders)*
5. What is the patient's **code status**? *(Default: Confirm and document)*
6. Are there **pending results or consults** that affect the transfer? *(Default: Document status and follow-up plan)*
7. For inter-facility transfers: Has **EMTALA-compliant documentation** been prepared? *(Default: Required for all inter-hospital transfers)*
8. Has the patient or surrogate provided **informed consent** for the transfer? *(Default: Required for inter-facility transfers)*

### Documents to Request

- Current H&P and most recent progress note
- Active problem list with treatment status
- Complete medication list (reconciled for transfer)
- Pending orders and results with follow-up responsibility
- Code status and advance directives
- Isolation precautions
- Lines, drains, and device inventory
- Nursing assessment of current functional status
- Insurance authorization for receiving facility (if applicable)
- EMTALA transfer certification (for inter-hospital transfers)

---

## Step 1: ICU-to-Floor Transfer Summary

Use this template for all ICU-to-floor step-down transfers:

```
ICU TRANSFER SUMMARY

Transfer from: [ICU unit] → [Floor unit/bed]
Date/Time: [Timestamp]
Accepting provider: [Name, service]

ICU Admission Diagnosis: [Primary reason for ICU stay]
ICU Course Summary:
- Duration in ICU: [X days]
- Key interventions: [Intubation/mechanical ventilation, vasopressors, 
  CRRT, procedures performed]
- Complications during ICU stay: [List or "None"]
- Reason for transfer: [Clinical improvement criteria met]

Current Clinical Status:
- Vitals: [Most recent set]
- O2 requirement: [Current device and FiO2/flow rate]
- Mental status: [GCS or description — alert, oriented, etc.]
- Mobility: [Bed-bound, sit-to-stand, ambulating with assistance]
- Diet: [Current diet order and tolerance]
- Lines/Devices: [Central lines (type, site, day count), Foley (day count), 
  drains, wound vacs]

Active Problems and Plan:
1. [Problem]: [Current treatment, pending actions]
2. [Problem]: [Current treatment, pending actions]
(Continue for all active problems)

Medications at Transfer: [Complete list with recent changes highlighted]
Recent Medication Changes: [What was added, removed, or adjusted in ICU]

Pending Items:
- Labs: [Pending results with expected timing]
- Imaging: [Pending reads]
- Consults: [Active consults with follow-up plan]
- Procedures: [Scheduled or anticipated]

Monitoring Requirements Post-Transfer:
- Vital sign frequency: [Q2h x 24h recommended post-ICU]
- Telemetry: [Yes/No — indication]
- Specific parameters: [O2 sat target, BP parameters, UOP monitoring]

Code Status: [Current status]
Isolation: [Current precautions]
Allergies: [List with reaction types]

Contingency: [If X happens, do Y — specific to this patient's ICU issues]
```

---

## Step 2: Facility-to-Facility Transfer Summary

For transfers to SNF, LTACH, rehab, or another hospital:

**EMTALA Requirements (Inter-Hospital Only):**
1. Physician certification that benefits of transfer outweigh risks
2. Sending facility has provided treatment within its capability
3. Receiving facility has accepted the transfer and has capacity
4. Patient (or surrogate) has given informed consent
5. Medical records and imaging accompany the patient
6. Transfer by qualified personnel with appropriate equipment

**Transfer Summary Content:**
- Hospital course summary (narrative, not just problem list)
- Active diagnoses with ICD-10 codes
- Complete medication list with dose, route, and frequency (reconciled for receiving facility formulary)
- Functional status at admission vs. at transfer
- Pending results and follow-up plan with responsible provider
- Follow-up appointments scheduled
- Equipment and supply needs (wound care supplies, O2, specialized equipment)
- Dietary requirements and nutritional status
- Code status and advance directive copies
- Physician-to-physician or physician-to-nurse verbal handoff documentation

---

## Step 3: Medication Reconciliation at Transfer

Medication errors at transfer are the most common preventable adverse event:

1. **Compare**: ICU medication list vs. floor-appropriate medications
2. **Convert**: IV to PO where clinically appropriate (antibiotics, antihypertensives, pain medications, PPIs)
3. **Discontinue**: ICU-specific medications no longer needed (propofol, vasopressors, stress dose steroids if tapering complete)
4. **Resume**: Home medications held during ICU stay (assess appropriateness to resume)
5. **Reconcile**: Verify no duplications, interactions, or contraindications in the transfer medication list
6. **Communicate**: Highlight all medication changes in the transfer note for the receiving provider

---

## Step 4: Post-Transfer Monitoring Plan

**ICU-to-Floor (first 24-48 hours):**
- Enhanced vital sign monitoring (Q2h minimum for first 24h)
- NEWS2 score calculation at each vital sign check
- Specific triggers for calling the covering physician
- Reassessment of ICU bounce-back risk factors (prior intubation, vasopressor weaning < 24h before transfer, active titrations)

**Facility-to-Facility:**
- Scheduled follow-up call to receiving facility within 24-48 hours
- PCP notification of transfer with summary
- Pending result follow-up assigned to specific provider
- 30-day readmission risk mitigation (medication access, follow-up confirmed, patient education documented)

---

## Checkpoint B: Post-Draft Alignment (Mandatory)

Before executing any transfer:

1. Has the **receiving provider/facility** confirmed acceptance?
2. Is the **medication list** reconciled and transfer-appropriate?
3. Are all **lines and devices** accounted for with necessity documented?
4. Have **pending results** been assigned to a responsible follow-up provider?
5. For inter-facility: Is **EMTALA documentation** complete (physician certification, consent, acceptance)?

---

## Quality Audit

- [ ] Transfer type and reason are clearly documented
- [ ] Receiving provider/facility acceptance is documented with name, time, and method
- [ ] ICU course is summarized with key interventions and complications
- [ ] All active problems have a current treatment plan
- [ ] Medication reconciliation is complete with changes highlighted
- [ ] Lines, drains, and devices are inventoried with day counts and necessity
- [ ] Code status is confirmed and documented
- [ ] Isolation precautions are communicated
- [ ] Pending results have assigned follow-up responsibility
- [ ] Post-transfer monitoring orders are in place
- [ ] EMTALA documentation is complete (for inter-hospital transfers)
- [ ] Patient/surrogate consent for transfer is documented
- [ ] Contingency plans for post-transfer deterioration are documented

---

## Guidelines

- ICU-to-floor transfers should occur during daytime hours when possible — nighttime transfers carry higher bounce-back rates
- Never transfer a patient with active drip titrations (vasopressors, insulin drips) to a floor that cannot manage them — confirm receiving unit capabilities
- Central line and Foley catheter necessity should be reassessed at every transfer — transfer is a natural discontinuation opportunity
- For facility-to-facility transfers, always include a physician-to-physician (or physician-to-nurse) verbal handoff — written documentation alone is insufficient
- Medication reconciliation errors at transfer are the most common adverse event — use a pharmacist-assisted reconciliation when available
- Include functional status in every transfer summary — the receiving facility needs this to set therapy goals and plan staffing
- Document follow-up appointments with date, time, provider name, and phone number — not just "follow up with PCP"
- Ensure advance directive copies physically accompany the patient for inter-facility transfers — EMR access may not transfer between systems