Issue Date: February 6, 2017: Accreditation Survey Activity Guide For Health Care Organizations

Accreditation Survey Activity Guide
For Health Care Organizations

Issue Date: February 6, 2017
The Joint Commission
Survey Activity Guide

For Health Care Organizations
February 6, 2017
Issue Date: February 6, 2017

What’s New for 2017
New or revised content for 2017 is identified by underlined text.
Corrected Guide: Issued: February 6, 2017

Hospital and Critical Access Hospital
 Life Safety and Environment of Care Document List and Review Tool – This tool required additional
corrections to reflect the standards changes that took effect in January 2017
 Individual Tracer Activity – Surveyors will not be interviewing patients regarding appropriate use of
antibiotics. The note indicating that they would do so if a patient “is being discharged on antimicrobials”
has been deleted.
Nursing Care Centers
 Individual Tracer Activity – Surveyors will not be interviewing patients regarding appropriate use of
antibiotics. The note indicating that they would do so if a patient “is being discharged on antimicrobials”
has been deleted.
Clarifications and Corrections to January, 2017 Guide issued: January 20, 2017
Hospital and Critical Access Hospital Accreditation Program Document List –

a. Medical record delinquency data (item 35) – Returned the note indicating this documentation is only
required from Critical Access Hospitals
b. Removed item 49 as follows:

List of patients receiving antimicrobials as follows:
o Emergency department patients who are prescribed antimicrobials.
o Ambulatory and clinic patients surveyed under the hospital program who are prescribed
antimicrobials
o Hospitalized patients who will be discharged on antimicrobials
Surveyors will ask staff during Individual Tracer Activity to identify

 Emergency department patients who are prescribed antimicrobials
 Ambulatory and clinic (surveyed under the hospital accreditation standards) patients who
are prescribed antimicrobials
 Hospitalized patients who will be discharged on antimicrobials
No computer generated lists of patients are required. There is no need for the organization to
produce names of patients for any period of time except the week of survey. The organization does
not need to provide any retrospective patient information for the antimicrobial stewardship standard.
c. Removed item 51 requesting, Documents demonstrating leadership support for the organization
antimicrobial stewardship program.
Life Safety and Environment of Care Document List and Review Tool – The following edits were made:
a. Corrected reference to NFPA 101 2000 edition to read 2012 edition
b. Removed strike-through text throughout the tool
c. Corrected LS.01.02.01 order of EPs 1-3
d. Corrected the EP 2 description to distinguish the out of service time frame difference for fire alarms
and sprinkler systems
Copyright: 2017 The Joint Commission

Nursing Care Center Accreditation Program Document List – Removed the following items related
to Antimicrobial Stewardship:
a. List of patients to be discharged who are prescribed antimicrobials. Surveyors will ask staff
during Individual Tracer Activity to identify patients or residents being discharged who are
prescribed antimicrobials.
b. Documents demonstrating leadership support for the organization antimicrobial stewardship
program.
Changes effective January 1, 2017

All Programs
Opening Conference, Organization Exit Conference – Updated to include discussion topic related to
the changes in the Clarification process, and the revised accreditation report content related to the
SAFER™ matrix
Preparing for Surveyor Arrival, Document Lists – The Customer Value Assessment tool has been
retired and tool references removed from this Guide; removed references to Statement of Conditions
(eSOC) and Plans for Improvement (PFIs), as these are no longer required
Emergency Management and Environment of Care and Emergency Management – Added an IT

Representative, when available, to the list of recommended participants

Antimicrobial stewardship standard and survey process related material has been added to the following
sections: Document List, Individual Tracer Activity, Competence Assessment, Medical Staff
Credentialing and Privileging, System Tracer - Data Management, System Tracer - Medication
Management, Leadership Session

Antimicrobial stewardship standard and survey process related material has been added to the following
sections: Document List, Individual Tracer Activity, Competence Assessment and
Credentialing/Privileging, Leadership and Data Use
Laboratory
Document List updated to include the Surveyor Checklist to Unique Requirements of California
Department of Public Health

How to Use this Guide
The Joint Commission’s Survey Activity Guide is available on your organization’s extranet site.
This guide contains:

 Information to help you prepare for survey
 An abstract of each survey activity that includes logistical needs, session objectives, an overview of the
session, and suggested participants
 Sessions are listed in the general order that they are conducted.
A template agenda and a list of survey activities that occur during an onsite visit are posted to your
organization’s Joint Commission Connect extranet site in proximity to the time your application is received and
reviewed. When the template agenda and survey activity list is available, please download and review the
activities and think about the people you might like to have involved. The activity list includes a column in which
you can record participant names or positions next to each of the sessions. Identifying key participants (and
their phone numbers) for each session, including back-ups, is important. Consider including possible meeting
locations and surveyor work space in your planning documents. Reference the sessions in this Survey Activity
Guide and learn more about what you can expect to occur during the activity.
The template agenda and activity list includes suggested duration and scheduling guidelines for each of the
activities. On the first day of survey, there will be an opportunity for you to collaborate with the surveyor in
preparing an agenda for the visit that is considerate of your day-to-day operations.
Please Note: Not all of the activities described in this guide are included in the activity list or on the agenda
template. Many of the accreditation program-specific activities are designed to take place during individual
tracer activity. Surveyors will incorporate these into the onsite survey when they are applicable to your
organization.
For complex organizations (being surveyed under more than one accreditation manual or for more than one
service under one accreditation manual), you will receive an activity list and agenda template for each of the
programs being surveyed (e.g., hospital, home care, long term care). Include an organization contact name and
phone number for each program, as well as, names or positions and phone numbers of activity participants from
all of the programs on these activity lists. Identify when it would be most effective to conduct an activity with all
programs present (e.g., Leadership, Daily Briefing, and System Tracer--Data Management) and suggest this to
the surveyors when they arrive.
For multiple services being surveyed under a single accreditation program, be sure to include contact names
and phone numbers from all of your organization’s services. For example, Home Care might have the following
services: Home Health, Hospice, Personal Care /Support Services, Home Medical Equipment, or Pharmacy.
Finally, please recognize that this Survey Activity Guide is created for small and large organizations. Some
organizations will have one surveyor while others will have multiple surveyors. If you have any questions about
the number of surveyors who will arrive at your site, please contact your Account Executive. If you are unsure of
your Account Executive’s name or phone number, call the Joint Commission switchboard operator at 630-792-
3007 for assistance.

Health Care Organization
Survey Activity Guide (SAG)
Key: The following abbreviations are used throughout this Guide to identify specific accreditation programs and the survey activities
applicable to the program.
 All – All programs (All accreditation programs listed below)
 AHC – Ambulatory Health Care (surveyed from the Comprehensive Accreditation Manual for Ambulatory Health Care and not the
Hospital Accreditation Manual)
 BHC – Behavioral Health Care
 CAH – Critical Access Hospitals
 HAP – Hospital
 LAB – Laboratory
 NCC – Nursing Care Centers (previously Long Term Care or Nursing and Rehabilitation Centers)
 OBS – Office-Based Surgery
 OME – Home Care
 HME – Home Medical Equipment
Table of Contents
Session Applicable Page
Program Number
Pre-survey All 11
Preparing for Surveyor Arrival
Readiness Guide All 13
Ambulatory Care and Office-Based Surgery Accreditation Programs AHC, OBS 14
Document List and Survey Activity List
Behavioral Health Care Accreditation Program Document List and Survey BHC 17
Activity List
Hospital and Critical Access Hospital Accreditation Programs Document List HAP, CAH 20
and Survey Activity List
Laboratory Accreditation Program Document List and Survey Activity List LAB 24
Nursing Care Centers Accreditation Program Document List and Survey NCC 26
Activity List
Home Care Accreditation Program Document List and Survey Activity List OME 29
During survey – Sessions are generally in order of the survey agenda
Surveyor Arrival All 33
Surveyor Preliminary Planning Session All 34
Opening Conference All 35
Orientation to Your Organization All 36
Initial Surveyor Planning All 38
Individual Tracer Activity All 39
Program-Specific Tracers: (conducted during Individual Tracer Activity)
 Continuity of Care AHC 45
 Elopement BHC 46
 Continuity of Foster/Therapeutic Foster Care BHC 47
 Violence BHC 48
 Suicide Prevention BHC, HAP 49
 Laboratory Integration HAP, CAH 50
 Patient Flow HAP, CAH 51
 Staffing NCC 52
 Equipment & Supply Management HME 53
 Fall Reduction OME 54
 Hospital Readmission OME 55
Special Issue Resolution All 56
Team Meeting/Surveyor Planning All 57
Daily Briefing All 58
Competence Assessment and Credentialing/Privileging AHC, BHC, NCC, 59
OBS, OME
Competence Assessment HAP, CAH 60
Environment of Care and Emergency Management Session AHC, BHC, NCC, 61

OBS, OME
Facility Orientation – Life Safety Surveyor HAP, CAH 64
Environment of Care HAP, CAH 65
Life Safety Code® Building Assessment HAP, CAH 68
Emergency Management HAP, CAH 70
Life Safety Code® Building Assessment BHC, NCC, OBS, 71
OME
System Tracer-Data Management All, except LAB, NCC 73
System Tracer -Infection Control AHC, BHC, HAP, 75
OME
System Tracer -Medication Management AHC, BHC, HAP, 76
OME
Foster Family Home Visits BHC 77
Foster Parents Group Meeting BHC 79
Proficiency Testing Validation/Performance Improvement Data Review LAB 80
Regulatory Review – HME HME 81
Regulatory Review – LAB LAB 82
Clinical Leadership and Staff Discussion – Bureau of Primary Health Care AHC 83
Governance Discussion Session – Bureau of Primary Health Care AHC 85
Leadership Session All, except LAB, NCC 86
Leadership and Data Use Session NCC 87
Medical Staff Credentialing and Privileging HAP, CAH 89
Surveyor Report Preparation All 90
CEO Exit Briefing All 91
Organization Exit Conference All 92
Organization Guide for OPTIONAL Memory Care Certification NCC w/ optional 93
certification
Organization Guide for OPTIONAL Post-Acute Care Certification NCC w/ optional 94
certification
Transitions of Care Session – Applies to Nursing Care Center, Post-Acute NCC w/ optional 95
Care Optional Certification surveys ONLY certification
Critical Access Hospital Medical Record Statistics Form CAH 96
Organization Guide for OPTIONAL Primary Care Medical Home (PCMH) HAP, CAH 97
Certification
Life Safety and Environment of Care Document List and Review Tool HAP, CAH 99

Ambulatory Health Care (AHC) Table of Contents
Survey Activity Page
Preparing for Surveyor Arrival...................................................................................................................................... 11
Readiness Guide ......................................................................................................................................................... 13
Ambulatory Care Accreditation Program Document List and Survey Activity List ........................................................ 14
Surveyor Arrival ........................................................................................................................................................... 33
Surveyor Preliminary Planning Session ....................................................................................................................... 34
Opening Conference .................................................................................................................................................... 35
Orientation to Your Organization ................................................................................................................................. 36
Initial Surveyor Planning .............................................................................................................................................. 38
Individual Tracer Activity .............................................................................................................................................. 39
Program Specific Tracer-Continuity of Care ................................................................................................................ 45
Special Issue Resolution.............................................................................................................................................. 56
Team Meeting/Surveyor Planning ............................................................................................................................... 57
Daily Briefing................................................................................................................................................................ 58
Competence Assessment and Credentialing/Privileging.............................................................................................. 59
Environment of Care and Emergency Management Session ...................................................................................... 61
System Tracer-Data Management ............................................................................................................................... 73
System Tracer -Infection Control ................................................................................................................................. 75
System Tracer -Medication Management .................................................................................................................... 76
Clinical Leadership and Staff Discussion1.................................................................................................................... 83
Governance Discussion Session1 ............................................................................................................................... 85
Leadership Session ..................................................................................................................................................... 86
Surveyor Report Preparation ....................................................................................................................................... 90
CEO Exit Briefing ........................................................................................................................................................ 91
Organization Exit Conference ...................................................................................................................................... 92
--------------------------------------------------
1- Only applies to Federal Bureau of Primary Health Care programs
Behavioral Health Care (BHC) Table of Contents

Readiness Guide ......................................................................................................................................................... 13
Behavioral Health Care Accreditation Program Document List and Survey Activity List .............................................. 17
Program-Specific Tracer-Elopement 1 ......................................................................................................................... 46
Program-Specific Tracer-Continuity of Foster Care (only applies to Foster/Therapeutic Foster Care programs) ................. 47
Program-Specific Tracer-Violence .............................................................................................................................. 48
Program-Specific Tracer-Suicide Prevention (only applies to 24 hour settings) ....................................................................... 49
Team Meeting/Surveyor Planning ................................................................................................................................ 57
Daily Briefing................................................................................................................................................................ 58
Life Safety Code Building® Assessment ...................................................................................................................... 71
Foster Family Home Visits (only applies to Foster/Therapeutic Foster Care programs) ........................................................ 77
Foster Parents Group Meeting (only applies to Foster/Therapeutic Foster Care programs) ................................................ 79
-----------------------------------------------------
1- Applies to the following types of programs: Addictions, Children & Youth, Developmental Disabilities, Foster/Therapeutic Foster
Care, Group Homes, Mental Health, and Residential Treatment

Critical Access Hospital (CAH) and Hospital (HAP) Table of Contents
Readiness Guide ......................................................................................................................................................... 13
Hospital and Critical Access Hospital Accreditation Programs Document List
and Survey Activity List ............................................................................................................................................. 20
Program-Specific Tracers- Suicide Prevention 1 .......................................................................................................... 49
Program-Specific Tracers- Lab Integration .................................................................................................................. 50
Program-Specific Tracers- Patient Flow ...................................................................................................................... 51
Daily Briefing................................................................................................................................................................ 58
Competence Assessment ........................................................................................................................................... 60
Facility Orientation – Life Safety Surveyor ................................................................................................................... 64
Environment of Care ................................................................................................................................................... 65
Life Safety Code® Building Assessment ...................................................................................................................... 68
Emergency Management ............................................................................................................................................. 70
System Tracer - Data Management ............................................................................................................................. 73
System Tracer - Infection Control1 ............................................................................................................................... 75
System Tracer - Medication Management1 .................................................................................................................. 76
Medical Staff Credentialing and Privileging.................................................................................................................. 89
Critical Access Hospital Medical Record Statistics Form ............................................................................................. 96
Organization Guide for OPTIONAL Primary Care Medical Home (PCMH) Certification .............................................. 97
Life Safety and Environment of Care Document List and Review Tool ........................................................................ 99
-------------------------------------------------------
1- Does not apply to Critical Access Hospitals
Laboratory (LAB) Table of Contents

Survey Activity ..................................................................................................................................... Page
Readiness Guide ......................................................................................................................................................... 13
Laboratory Accreditation Program Document List and Survey Activity List.................................................................. 24
Daily Briefing................................................................................................................................................................ 58
Proficiency Testing Validation/Performance Improvement Data Review ..................................................................... 80
Regulatory Review - LAB ............................................................................................................................................. 82

Nursing Care Center (NCC) Table of Contents
Preparing for Surveyor Arrival..................................................................................................................................... 11
Readiness Guide ......................................................................................................................................................... 13
Nursing Care Centers Accreditation Program Document List and Survey Activity List ................................................ 26
Program Specific Tracer- Staffing ................................................................................................................................ 52
Daily Briefing................................................................................................................................................................ 58
Competence Assessment and Credentialing/Privileging ............................................................................................. 59
Life Safety Code® Building Assessment ..................................................................................................................... 71
Leadership and Data Use Session .............................................................................................................................. 87
Memory Care Optional Certification…………………………………………………………………………………………….93
Post-Acute Care Optional Certification…………………………………………………………………………………………94
Transitions of Care Session1-------------------------------------------------------------………………………………………………95
1 -- Applies to Post-Acute Care Optional Certification surveys ONLY
Office-Based Surgery (OBS) Table of Contents

Readiness Guide ......................................................................................................................................................... 13
Office-Based Surgery Accreditation Program Document List and Survey Activity List ................................................ 14
Daily Briefing................................................................................................................................................................ 57
Life Safety Code® Building Assessment ...................................................................................................................... 71
System Tracer - Data Management ............................................................................................................................. 73

Home Care (OME) Table of Contents
Readiness Guide ......................................................................................................................................................... 13
Home Care Accreditation Program Document List and Survey Activity List ................................................................ 29
Program Specific Tracer- Equipment & Supply Management1 .................................................................................... 53
Program Specific Tracer- Fall Reduction2 .................................................................................................................... 54
Program Specific Tracer- Hospital Readmission3 ........................................................................................................ 55
Daily Briefing................................................................................................................................................................ 58
Competence Assessment Process .............................................................................................................................. 59
Life Safety Code® Building Assessment4 ..................................................................................................................... 71
Regulatory Review - HME1 .......................................................................................................................................... 81
-----------------------------------------------------
1- Only applies to Home Medical Equipment (HME) programs
2- Applies to the following programs: Home Health/Personal Care, HME, and hospice
3- Only applies to Medicare Certified Home Health
4- Only applies to Inpatient Hospice programs

Applicable Programs
All Programs
Preparing for Surveyor Arrival

Overview
The surveyors arrive unannounced or with short notice for most surveys. Please consult the program
accreditation manual, “The Accreditation Process chapter”, “Unannounced Surveys” section, for more
information about exceptions to the unannounced survey process. Changes to these exceptions may occur at
any time and are published in the Joint Commission newsletter Perspectives.
*All CMS deemed surveys or surveys conducted for CMS recognition

are unannounced.
Comments received from staff in accredited organizations indicate that a planned approach for the surveyor’s
arrival allows them to feel calmer and more synchronized with the survey. Whether the surveyor arrival is
announced or unannounced, the first hour of the surveyor’s day is devoted to planning for your survey activities.
This planning requires review of specific documents provided by your organization which can be found on the
Document Lists for each accreditation program in the pages that follow. If these documents are not available
when the surveyors arrive, they immediately begin to evaluate the care, treatment, or services provided to one
of your patients/residents/individuals served through an individual tracer.
Preparing for Survey

Prepare a plan for staff to follow when surveyors arrive. The plan should include:
 Greeting surveyors: Identify the staff usually at the main entrance of your organization. Tell them about
The Joint Commission and educate them about what to do upon the arrival of surveyors. Explain the
importance of verifying any surveyor’s identity by viewing their Joint Commission identification badge.
This badge is a picture ID.
 Who to notify upon their arrival: Identify leaders and staff who must be notified when surveyors arrive.
Create a list of names, phone numbers, or cell phone numbers. Also, include the individual who will be
the surveyor’s “contact person” during the survey. Identify alternate individuals in the event that leaders
and staff are unavailable.
 A location for surveyors: Ask surveyors to wait in the lobby until an organization contact person is
available. Surveyors will need a location that they will call their “base” throughout the survey. This
location should have a desk or table, electrical outlet, phone access, and internet access.
 Validation of survey: Identify who will be responsible for the validation of the survey and the identity of
surveyors. Identify the steps to be taken for this process. (See Surveyor Arrival Session for these
steps.)
 Readiness Guide and Accreditation Program-specific Document Lists: The Guide is created for you to
use as a planning tool and can be included with your survey plan. The document list portion of the
Readiness Guide now appears as six separate lists specific to each accreditation program. Your
organization should be prepared to have documents available for each program for which you are
seeking accreditation. These documents should be given to surveyors as soon as your organization
validates their identity. If this information is not immediately available for surveyors at the
Surveyor Preliminary Planning Session, they will begin the survey with an individual tracer.
 Identifying who will serve as escorts for the surveyors.
 Identifying who will assist the surveyors with review of electronic records of care, if applicable to your
organization; surveyors may ask to print some components of the record in order to facilitate tracer
activity and subsequent record review.
 Identifying your organization’s expectations for the on-site survey and who will share these with the
survey team.
Copyright: 2017 The Joint Commission Organization Guide, Feb 6 2017 11

Note: When a situation is identified that could be a threat to health and safety, surveyors contact
the Joint Commission administrative team. The Joint Commission either sends a different
surveyor to investigate the issue or the surveyor on site will be assigned to conduct the
investigation. Investigations include interviews, observation of care, treatment and service
delivery and document review. Your cooperation is an important part of this process. Surveyors
collaborate with the Joint Commission administrative team and outcomes will be communicated
to your organization when a determination is reached.

Readiness Guide
Actions to take when

Responsible Staff Comments:
surveyor arrives
Greet surveyor(s)
Verify identity Look at picture ID to ensure they are
from the Joint Commission
Ask them to wait Location:
Validate authenticity of survey Contact: _____________________ (this

individual has a user ID and password to
access the organization’s Joint
Commission extranet site)
Phone number:_________________
Note: Please download the entire Survey Activity Guide for additional information on how to prepare
for survey
Document Lists and Survey Activity Lists for each accreditation program appear on the pages that
follow. These lists are intended for use with the Survey Activity Guide.
Survey Planning and Readiness Notes:
1. Please review the Program-Specific Survey Activity List to assist you in preparing for your
survey. The list includes the potential survey activities that can occur on an accreditation
survey, including the suggested duration, and suggested timing for these activities. This
information will allow your organization to begin identifying participants that need to be
involved in the survey. The activity list includes a column for your organization to use for
recording participant names, possible meeting locations, times that could conflict with
participant availability, or any other notes.
2. If more than one of your programs is being surveyed by The Joint Commission at the same
time, please consider the following in your survey readiness plans:
 Making available as many of the materials noted on the applicable program-specific
document list at the organization’s primary location for the Surveyor Arrival and Preliminary
Planning Session. (Note: This does not apply to the Laboratory) Program.
 Arrangements to have a staff representative from each applicable program available in-
person or by phone for the Opening Conference and Orientation to the Organization
session.
Please work with your surveyor(s) to confirm the best day and time for specific survey
activities to take place.
Contact your Account Executive with any questions related to this information

Ambulatory Care Accreditation Program
Office-Based Surgery Accreditation Program
Document List
As an Ambulatory Care or Office-Based Surgery organization, you will need the following information and
documents available for the surveyor to review during the Preliminary Planning Session and Surveyor Planning
Session, which occurs on the first day of survey.
Note: The 12-month reference in the following items is not applicable to initial surveys.
 Performance / Quality Improvement Data from the past 12-months

 Infection Control surveillance data from the past 12-months
 Infection Control Plan
 Environment of Care management plans and annual evaluations
 Environment of Care team meeting minutes for the 12-months prior to survey
 An organization chart
 A map of the organization, if available
 List of all sites that are eligible for survey (AHC only, as applicable)
 List of locations where services are provided, including anesthetizing locations (AHC only, as applicable)
 List of sites where high-level disinfection and sterilization is in use
 Any reports or lists of patient appointment schedules or surgery schedules for each day of the survey
 A list of contracted services
 Name and extension of key contacts who can assist surveyors in planning tracer selection
For Ambulatory Surgery Center (ASC) Deemed Status surveys:

 List of surgeries from the past six months
 List of cases in the past 12-months, if any, where the patient was transferred to a hospital or the patient died
(Note: The 12-month time frame for this data applies to all ASC organizations seeking deemed
status, whether undergoing a Joint Commission initial survey or resurvey.)
 Documents related to the infection control program (e.g., description, policy, procedures, surveillance data)
For Bureau of Primary Health Care (BPHC) surveys:

 Health Center’s responses to the “Health Center Self-Report Tool for BPHC Program Expectations,” if the
organization completed one (optional as of April, 2012)
 List of Board of Directors membership, including the user/patient/consumer status, occupational/areas of
expertise, geographic location, and special population representation
 Board minutes (past 12 months on all surveys); annual Uniform Data System (UDS) report
 Most recent BPHC Notice of Grant Award (with any conditions or management assessment items)
 Items from most recent BPHC Grant Application: Health Care Plan, Scope of Services; Overall Summary (if
available)
 Health Center’s bylaws, strategic plan, and needs assessment
Please note that this is not intended to be a comprehensive list of documentation that may be requested during
the survey. Surveyors may need to see additional documents throughout the survey to further explore or
validate observations or discussions with staff.

Ambulatory Care and Office-Based Surgery Accreditation
Survey Activity List
Suggested Key Organization Participants
Suggested Scheduling of
Activity Name Duration of (Refer to Survey Activity Guide
Activity
Activity for more info.)
Surveyor Arrival and Preliminary
30-60 minutes 1st day, upon arrival
Planning
Opening Conference 15 minutes 1st day, as early as possible
Orientation to Organization 30-60 minutes 1st day, as early as possible
Surveyor Planning 30-60 minutes 1st day, as early as possible

Individual Tracer activity
occurs throughout the
Individual Tracer 60-120 minutes survey; the number of
individuals who surveyors
trace varies by organization
At a time negotiated with
Lunch 30 minutes
the organization
End of each day except
Issue Resolution 30 minutes last; can be scheduled at
other times as necessary
Mid-day and/or end of each
Team Meeting/Surveyor Planning 30 minutes
day except last
Start of each survey day
except the first day; can be
Daily Briefing 15-30 minutes
scheduled at other times as
necessary
After some individual tracer
Competence Assessment and activity has occurred; at a
30-60 minutes
Credentialing & Privileging time negotiated with the
organization
Environment of Care and activity has occurred; at a
45-90 minutes
Emergency Management time negotiated with the
organization
activity has occurred; at a
time negotiated with the
organization. If this is the
System Tracer – Data only system tracer taking
30-90 minutes
Management place during survey, the
topics of Infection Control
and Medication
Management will be
covered in this discussion.
Towards the middle or end
of survey at a time
Leadership 60 minutes
negotiated with the
organization
Report Preparation 60-120 minutes Last day of survey
CEO Exit Briefing 15 minutes Last day of survey

Last day, final activity of
Organization Exit Conference 30 minutes
survey
Note: The following activities may be incorporated into the survey agenda as noted under the Suggested
Scheduling of Activity column.
Occurs on all Ambulatory
Life Safety Code Building Surgery Center deemed
45-90 minutes
Assessment status surveys; occurs on
surveys where four or more

Ambulatory Care and Office-Based Surgery Accreditation
Survey Activity List… continued
Activity Name Duration of (Refer to Survey Activity Guide
Activity
individuals are
simultaneously rendered
incapable of self
preservation
activity has occurred; topic
may be covered during the
System Tracer – Infection Control 30-60 minutes
Data Management system
tracer depending on the
length of survey
System Tracer – Medication may be covered during the
30-60 minutes
Management Data Management system
tracer depending on the
length of survey
Bureau of Primary Health Care
Surveys only -- Governance 45-60 minutes
Discussion
organization
Bureau of Primary Health Care
Surveys only – Clinical 60 minutes
Leadership & Staff Discussion
organization

Behavioral Health Care Accreditation Program
Document List
As a Behavioral Health Care organization accredited under the Accreditation Manual for Behavioral Health
Care, you will need the following information and documents available for the surveyor to review during the
Preliminary Planning Session and Survey Planning Session which occurs on the first day of survey.
 Organization Chart, if available

 Contact person who will assist the surveyor(s) during survey (name, phone number, extension)
 Map of your organization, if applicable/available
 Results of data analysis
o Performance improvement projects
o Infection Control
o Environment of Care (e.g., fire drill critiques, reports of injuries to individuals served, occupational
illnesses and staff injuries, property damage or security incident reports, environmental monitoring
for deficiencies, hazards or unsafe practices)
o Emergency Management Plan and evaluations of exercises and responses to actual emergencies
 Lists of individuals served by program/service with diagnosis or condition
 Reports or recommendations from external authorized agencies, such as accreditation, certification, or
regulatory bodies and annual objective evaluation of organization’s financial ability to provide care,
treatment or services. Regulatory body reports include, but are not limited to licensing reports and
local/state fire inspections.
For organizations that elect the Behavioral Health Home (BHH) Certification option
 Health screening policy with triggers
 Policy on performing assessments
 Treatment planning policy
 Brochure/information on BHH services for individuals served
 If EHR system in use, evidence of certification
the survey. The surveyor(s) may need to see additional documents throughout the survey to further explore or

Behavioral Health Care Accreditation Survey Activity List
Suggested Key Organization Staff
Activity Name Duration of (Refer to Survey Activity
Activity
Activity Guide for more info.)
Surveyor Arrival and Preliminary
30 minutes 1st day, upon arrival
Planning
Orientation to Organization 45 minutes 1st day, as early as possible
Surveyor Planning Initial 30-60 minutes 1st day, as early as possible

Individual Tracer activity
occurs throughout the survey;
the number of individuals
served that surveyors trace
Individual Tracer 60-120 minutes
varies by organization. If
travel is required to perform
tracer activity it will be planned
into this time.
At a time negotiated with the
Lunch 30 minutes
organization
End of each day except last;
Issue Resolution 30 minutes can be scheduled at other
times as necessary
Mid-day and/or end of each
Team Meeting/Surveyor Planning 30 minutes
day except last
Start of each survey day
except the first day; can be
Daily Briefing 30 minutes
scheduled at other times as
necessary
Competence Assessment 60 minutes
activity has occurred
Environment of Care and After some individual tracer
60-90 minutes
Emergency Management activity has occurred
activity has occurred at a time
negotiated with the
organization. If this is the only
System Tracer – Data
60 minutes system tracer taking place
Management
during survey, the topics of
Infection Control and
Medication Management will
be covered in this discussion.
Towards the middle or end of
Leadership 60 minutes survey at time negotiated with
organization

Last activity on last day of
survey on surveys occurring
Interim Exit 30 minutes simultaneously with other
program surveys, e.g.,
hospital
Last day, final activity of
Organization Exit Conference 30 minutes
survey
Life Safety Code Building Only takes place on surveys
60 minutes
Assessment when the behavioral health

Behavioral Health Care Accreditation Survey Activity List
…continued
Suggested Key Organization Staff
Activity Name Duration of (Refer to Survey Activity
Activity
care organization is subject to
compliance with the Life
Safety Code standards. See
the Accreditation Manual for
Behavioral Health Care, Life
Safety chapter Overview,
Applicability of the Standards
section. If required, occurs at
a time negotiated with
organization
Only applicable to
organizations providing
Foster Parents Group Meeting 60 minutes Foster Care services;
organization
Only applicable to
organizations providing
Foster/Therapeutic Foster Family
60-90 minutes Foster Care services;
Home Visit
organization
may be covered during the
System Tracer – Infection Control 60 minutes
Data Management system
tracer depending on the length
of survey
Only occurs if the organization
is responsible for any of the
critical medication processes.
Takes place after some
System Tracer – Medication individual tracer activity has
60 minutes
Management occurred. Topic may be
covered during the Data
Management system tracer
depending on the length of
survey

Hospital Accreditation Program
Critical Access Hospital Accreditation Program
Document List
As a Hospital, you will need the following information and documents available for the surveyor to review during
the Preliminary Planning Session and Surveyor Planning Session, which occurs on the first day of survey.
In addition to the documents noted below, please be prepared to provide the Life Safety Surveyor, upon
arrival, the documents found on the Life Safety and Environment of Care Document List and Review
Tool, which is located later in this Guide.
1. Hospital license
2. CLIA Certificates
3. An organization chart
4. Name of key contact person who can assist surveyors in planning tracer selection
5. A map of the organization, if available
6. List of all sites that are eligible for survey
7. List of sites where deep or moderate sedation is in use
8. List of sites where high-level disinfection and sterilization is in use
9. List of departments/units/ areas/programs/services within the organization, if applicable
10. List of patients that includes: name, location, age, diagnosis and length of stay, admit date, source of
admission (ED, direct admit, transfer)
11. Lists of scheduled surgeries and special procedures, e.g. cardiac catheterization, endoscopy lab,
Electroconvulsive Therapy, Caesarian Sections, including location of procedure and time
12. List of unapproved abbreviations
13. List of all contracted services
14. Agreement with outside blood supplier (Not applicable to Critical Access Hospitals unless they operate
Rehab and Psych Distinct Part Units)
15. Organ Procurement Organization agreement
16. Tissue and Eye Procurement Organization agreement
17. Organ, tissue and eye procurement policies
18. Performance improvement data from the past 12 months
19. Documentation of performance improvement projects being conducted, including the reasons for conducting
the projects and the measurable progress achieved (this can be documentation in governing body minutes
or other minutes)
20. Patient flow documentation: Dashboards and other reports reviewed by hospital leadership; documentation
of any patient flow projects being conducted (including reasons for conducting the projects); internal
throughput data collected by emergency department, inpatient units, diagnostic services, and support
services such as patient transport and housekeeping
21. Analysis from a high risk process
22. Organ donation and procurement conversion rates (Hospital)
23. Environment of Care data
24. Environment of Care Management Plans and annual evaluations
25. Environment of Care multidisciplinary team meeting minutes for the 12 months prior to survey
26. Emergency Operations Plan (EOP) and annual evaluation
27. Hazard Vulnerability Analysis
28. Emergency management drill records and after action reports
29. Written fire response plan
30. Interim Life Safety Measure policy
31. Fire drill evaluations

Hospital & Critical Access Hospital Accreditation Document List
…continued
32. Infection Control Plan

 Annual risk assessment and Annual Review of the Program
 Assessment-based, prioritized goals
33. Infection Control surveillance data from the past 12 months
34. Medical Staff Bylaws and Rules and Regulations
35. Medical record delinquency data (Critical Access Hospitals only)
36. Medical Executive Committee meeting minutes
37. The organization's signed and dated agreement with the QIO; in the absence of an agreement with a QIO,
the organization's Utilization Review plan (Not applicable to Critical Access Hospitals unless they operate
Rehab and Psych Distinct Part Units)
38. Governing Body minutes for the last 12 months
39. Autopsy policy
40. Blood transfusion policy
41. Complaint/grievance policy
42. Restraint and seclusion policy
43. Waived testing policy and quality control plan
44. ORYX data – (required only for very small hospitals exempt from submitting this data through vendors)
45. Available regulatory reports (CMS, State)
46. Medication management policy (which defines what is a complete medication order and therapeutic
duplication)
47. Abuse and neglect policy for inpatient, and ambulatory sites, if applicable
48. Fall risk assessment and policy
49. Document describing how the organization is using the CDC’s Core Elements of Hospital Antibiotic
Stewardship Programs
50. Organization approved antimicrobial stewardship protocols (e.g. policies, procedures, or order sets)
51. Antimicrobial stewardship data
52. Antimicrobial stewardship reports documenting improvement (Note: If the data supports that antimicrobial
stewardship improvements are not necessary make sure the surveyor is informed.)
the survey. Surveyors may ask, on an as needed basis, to see additional documents throughout the survey to
further explore or validate observations or discussions with staff.

Hospital & Critical Access Hospital Accreditation Survey Activity List
Suggested Organization Participants
Survey Activity Name Duration of Suggested Scheduling of Activity (Refer to Survey Activity
Surveyor Arrival and
Preliminary Planning
Opening Conference and
Orientation to the 30-60 minutes 1st day, as early as possible
Organization
Individual Tracer activity occurs
each day throughout the survey; the
number of individuals that surveyors
Individual Tracer 60-120 minutes trace varies by organization. If travel
is required to perform tracer activity
(e.g., to an outpatient setting), it will
be planned into this time.
Lunch 30 minutes
organization
End of each day except last; can be
Issue Resolution 30 minutes scheduled at other times as
necessary
Team Meeting/Surveyor Mid-day and/or end of each day
30 minutes
Planning except first and last
Start of each survey day except the
Daily Briefing 30-45 minutes first day; can be scheduled at other
times as necessary
After some individual tracer activity
Competence Assessment 30-60 minutes has occurred; at a time negotiated
with the organization
Medical Staff
60 minutes has occurred; at a time negotiated
Credentialing & Privileging
Environment of Care 60-90 minutes has occurred; at a time negotiated
Emergency Management 60-90 minutes has occurred; at a time negotiated
has occurred; at a time negotiated
with the organization. If this is the
System Tracer – Data only system tracer taking place
60 -90 minutes
Management during survey, the topics of Infection
Control and Medication
Management will be covered in this
discussion.
Towards the middle or end of survey
Leadership 60 minutes at a time negotiated with the
organization
CEO Exit Briefing 15-30 minutes Last day of survey

Organization Exit
30-45 minutes Last day, final activity of survey
Conference
Occurs on surveys greater than
System Tracer – Infection
60 minutes three days in duration. After some
Control
individual tracer activity has

Hospital & Critical Access Hospital Accreditation Survey Activity List
…continued
Survey Activity Name Duration of Suggested Scheduling of Activity (Refer to Survey Activity
occurred; at a time negotiated with
the organization.
Occurs on surveys greater than
three days in duration. After some
System Tracer –
60 minutes individual tracer activity has
Medication Management
occurred; at a time negotiated with
the organization.
At the end of any day another
Interim Exit – w/ early
program surveyor or Life Safety
departing surveyors & 30 minutes
Code Specialist is departing from the
Org.
survey in advance of the team
Life Safety Code®
Survey Activity
Life Safety Code
Specialist Arrival and
30 minutes LSCS survey 1st day, early
Session
Facility Orientation/
Maintenance Document 60-90 minutes
organization
Review
Life Safety Code® Building At a time negotiated with the
2 - 5 hours per day
Assessment organization
Lunch 30 minutes
organization
Facility Maintenance /
Document Review At a time negotiated with the
60-90 minutes
(Critical Access Hospital organization
ONLY)
Environment of Care &
Emergency Management At a time negotiated with the
60-90 minutes
ONLY)
Facility Tracer / Issue
resolution At a time negotiated with the
30 minutes
ONLY)
Towards the end of last day of
Report Preparation 60 minutes
survey
Interim Exit 30 minutes Last activity on last day of survey

Laboratory Accreditation Program
Document List
As a Laboratory, you will need the following information and documents available for the surveyor to review during
the Surveyor Planning Session which occurs on the first day of survey:
Note: The 24-month reference in the following items is not applicable to initial surveys, except for proficiency
data. For initial surveys, a minimum of 4 months of data must be available for review.
 Name of key contact person who can assist surveyors in planning tracer selections
 CLIA Certificates, Specialties and Subspecialties, State Licenses, and personnel licenses or certification if
required by the state or the policy of the organization. (Needed for Regulatory Review)
 An organizational chart and map of the facility
 Ability to retrieve testing records for patients who have had laboratory tests or other services for the past 24
months
 Performance Improvement Data for the past 24 months
 Proficiency data by CLIA number for the past 24 months (required for initial and resurveys)
 Results of periodic laboratory environment inspections from the safety committee or safety officer and
manifests for disposal of hazardous waste
 Emergency Operations Plan, and evaluations of exercises and responses to actual emergencies
 A list of specialties and subspecialties performed by the laboratory, a list of tests performed (e.g. the test
menu) and major instruments used by the laboratory service, including all other ancillary and point-of-care
sites performing laboratory tests
 Correlations and Calibration Verifications for the past two years
 A list of new instruments and new tests that have been implemented in the past two years and their validation
studies
 List of all testing personnel qualifications, hire date, training & competency records
 Errors/accidents/nonconformances/complaints
 Internal and external audits/assessments
 Temperature and QC records including EQC and attempts at IQCP
 List of critical equipment/supplies and maintenance records Policies, processes, and procedures
 A list of tests that do not use proficiency testing for accuracy and precision for verification
 The normal patient prothrombin time mean for your current lot of thromboplastin reagent
 The international sensitivity index (ISI) value specific to the lot of thromboplastin reagent in use
 IQCP documentation for all applicable test systems
 In cases where IQCP was discontinued, risk assessment documentation for the past 24 months
 State of California Surveys: Using the Surveyor Checklist to Unique Requirements of California
Department of Public Health, laboratories should review and ensure compliance to specific state regulations
that apply to their facility.
 State of Florida surveys: Laboratories should complete the Clinical Laboratory Personnel Roster form in
advance of the on-site visit (the form is available on the organizations secure Joint Commission Connect
extranet site under the Survey Process tab, Laboratory Tools)
the survey. Surveyors may need to see additional documents throughout the survey to further explore or validate
observations or discussions with staff.

Laboratory Accreditation Survey Activity List
Activity Name Duration of Suggested Scheduling of Activity (Refer to Survey Activity Guide
Orientation to Organization 30-45 minutes 1st day, as early as possible

Tracer activity occurs throughout the
Tracer Activity 60-120 minutes survey; the amount of tracer activity
varies by organization
Lunch 30 minutes
organization
Issue Resolution 30 minutes
scheduled at other times as necessary
Mid-day and/or end of each day
Team Meeting/Surveyor
30 minutes except last when more than one
Planning
surveyor on site
times as necessary
Topic is explored during Tracer
Competence Assessment 60 minutes
Activity
Proficiency Testing
1st day, must occur immediately after
Validation/Performance 90-120 minutes
Regulatory Review
Improvement Data Review
1st day; must occur before or just after
Regulatory Review 30 minutes
Surveyor Planning Session

Organization Exit
30 minutes Last day, final activity of survey
Conference
NOTE: Regulatory review may be extended for laboratories performing IQCP to provide adequate time for
document review

Nursing Care Center (NCC) Accreditation Program
Document List
As a Nursing Care Center, you will need the following information and documents available for the surveyor to
review during the Preliminary Planning Session and Survey Planning Session, which occurs on the first day of
survey.
 Organization Chart
 Contact person who will assist the surveyor during survey: Name and phone extension
 Map of your organization, if available
 List of sites where high-level disinfection and sterilization is in use, when applicable
 List of staff members on the interdisciplinary team, and when the team meets
 List of patients/residents discharged in the last 48 hours
 Facility Level Quality Measure Report, most current
 Resident Level Quality Measure Report (also known as CMS Form 802)
 Patient/resident treatment schedules
 Performance Improvement data from the past 12 months, including your proactive risk assessment
 Infection Control Plan, including risk assessment
 Environment of Care Plan
 Emergency management hazard vulnerability analysis (HVA)
 Emergency Operations Plan and evaluations of exercises and responses to actual emergencies
 Evaluations and results of the organization’s culture of person-centered care
 Antimicrobial Stewardship
o Document describing how the organization is using the CDC’s The Core Elements of Antibiotic
Stewardship for Nursing Homes
o Organization approved antimicrobial stewardship protocols (e.g. policies, procedures, or order
sets)
o Antimicrobial stewardship data
o Antimicrobial stewardship reports documenting improvement (If the data supports that
antimicrobial stewardship improvements are not necessary make sure the surveyor is
informed.)
For Nursing Care Centers that elect the Post-Acute Care Certification option
The following additional documents will need to be available for the surveyor:
 List of patient or resident discharges within the past 30 days
 List of patients or residents readmitted to the hospital within the past 90 days
For Nursing Care Centers that elect the Memory Care Certification option
The following additional documents will need to be available for the surveyor:
 Performance Improvement data from the past 12 months related to psychotropic medication use
 Activity calendar for past 3 months
 Nurse staffing schedule (RN, LPN, CNA) for past 3 months

Nursing Care Center Accreditation Survey Activity List
Activity Name Duration of Suggested Scheduling of Activity (Refer to Survey Activity Guide
Activity for more information)
Opening Conference,
Orientation to
30-60 minutes 1st day, as early as possible
Organization and Brief
Orientation Tour
Individual tracer activity occurs
each day throughout the survey; the
number of individuals that surveyors
trace varies by organization
Lunch 30 minutes
organization
Issue Resolution 30 minutes scheduled at other times as
necessary
Surveyor Team Mid-day and/or end of each day
30 minutes
Meeting/Planning Session except last
times as necessary
Competence Assessment
& Credentialing of
60 minutes has occurred; at a time negotiated
Licensed Independent
Practitioners
Environment of Care and
60-90 minutes has occurred; at a time negotiated
Emergency Management
Life Safety Code Building At a time negotiated with the
30 minutes
Assessment organization
has occurred; at a time negotiated
with the organization. The topics of
Leadership and Data Use 90 minutes
Infection Control and Medication
discussion.

Organization Exit
30 minutes Last day, final activity of survey
Conference
For Nursing Care Centers that elect the Post-Acute Care Certification option
The following activity will be incorporated into the survey agenda as noted under the Suggested Scheduling of Activity
column.
Only occurs in organizations that
elect the optional Post-Acute Care
Transitions of Care
60 minutes Certification. Occurs towards the
Session
middle of survey at a time
negotiated with the organization.

Home Care Accreditation Program
Document List
As a Home Health, Hospice, Pharmacy and or Home Medical Equipment/DMEPOS organization, you will need
the following information and documents available for the surveyor to review during the Preliminary Planning
Session and Surveyor Planning Session, which occurs on the first day of survey.
As a Home Health, Hospice, Pharmacy and or Home Medical Equipment/DMEPOS organization, you will need
the following information and documents available for the surveyor to review.
Documents Needed Within One Hour of Surveyor Arrival

General Organization Information
 Name and phone number of key contact person who can assist surveyors in patient visits or observation of
service delivery
 A copy of your organizational chart
 Active employee list with discipline or title
 List of all sites, branches and services provided, if applicable
 State licenses, certificates, etc.
 CLIA waiver and Waived tests being performed
 List of contracted agencies or contracted staff and the contract(s)
Tracer Selection Documentation (Lists needed within one hour of surveyor arrival)
 Active patient list with
o Patient name
o Diagnosis or therapy, equipment provided
o Start of care date
 List of scheduled home visits for the duration of the survey including:
o Type of service (home health, hospice, personal care and support)
o Disciplines
o Diagnosis
o Date of admission
 List of scheduled deliveries, mail orders or planned walk in business for the days of survey and from specific
points in time as delineated by the surveyor, including: Home Medical Equipment/DMEPOS, Pharmacy
o Type of medication/therapy
o Durable Medical Equipment, Prosthetics or Orthotics being supplied/delivered
o Supplier’s date of first encounter/admission
o Address, IF delivery is part of the service
 List of all active rental equipment patients
Documents Needed During the Course of the Survey
General Organization Information

 Marketing material
 Admission packet – Documents such as patient rights and responsibilities, advanced directives, consents,
charges, medication education information
 Policies and Procedures including:
o Home Safety – safety checklist, O2, signs, fire extinguisher, smoke alarm (see NPSG.15.02.01)
o Do not use abbreviations, approved abbreviations
o Medication management policy
 High risk medications and Look Alike Sound Alike (LASA)

o Assessment and reassessment policies
o Pain assessment and reassessment policies
o Process/policy for case conferencing
o Complaint process/policy
o Budget & Surety Bond - DMEPOS
o Equipment cleaning policy - DMEPOS
o After Hours On-Call log - DMEPOS and Pharmacy
 Selected personnel files for employees and contractors observed during the survey will be requested for
review
Performance Monitoring and Improvement Documentation

 Performance improvement data (12 months for re-surveys) including Perception of care/satisfaction data
 Medication error reports and adverse drug reactions
 Fall reduction program, fall risk assessment and evaluation of program
 Patient event, incident, or unusual occurrence reports logs or summary data
 Complaint logs
 Staff event, incident, unusual occurrence reports (for example: falls, sharps injury)
 Infection Control Summary Reports, 12 months of surveillance data
 Infection Control Plan including risk analysis
 Hand hygiene program, including policy, goals and surveillance data
 Emergency Management plan (Annual drill and evaluation of drills)
 Clean room monitoring records - Providers of Infusion Pharmacy Services
Documents Required on Deemed Status Surveys

 Unduplicated admissions for the past 12 months with diagnosis, start of care date and disciplines
 Discharged patients for the past 12 months with diagnosis, start of care date and disciplines
 Last State survey report, if applicable
 Professional Advisory Committee meeting minutes, & Board meeting minutes
 Annual program evaluation
 Budget, capital expenditures – 3 years
 Quarterly record review documentation (recent 12 months)
 HHA training program, if applicable, and 12 month education calendar
 OBQM/OBQI/HHA provider reports (Please provide this data by lunch of day one)
o OBQM Adverse Outcome Report
o OBQI (Avoidable Event Report) Outcome Report
o OBQI (Avoidable Event Report) Case Mix Report
o OASIS Submission Statistics by Agency report
o Error Summary Report by HHA
 HQRP/QAPI reports for the past quarter (initial survey) or past year (re-survey)
For Hospice organizations that are Medicare certified:

 Hospice Quality Reporting Program (HQRP) reports on QAPI data collection and submission to CMS
For Hospice Inpatient facility based care sites:

 Life Safety Code® and Environment of Care standards-related documentation

Home Care Accreditation Survey Activity List
Activity Name Duration of Suggested Scheduling of Activity (Refer to the Survey Activity
Activity Guide for more information)
1st day, as early as possible; may be
combined with the Orientation to
Opening Conference 30-60 minutes
Organization on surveys of shorter
duration
1st day, as early as possible; may be
Orientation to
45 minutes combined with the Opening Conference
Organization
on surveys of shorter duration
Surveyor Planning
30-60 minutes 1st day, as early as possible
Initial
Individual Tracer activity occurs
throughout the survey; the number of
individuals that surveyors trace varies by
organization. Travel to perform tracer
activity (e.g., patient home visits) will be
planned into this time.
Lunch 30 minutes At a time negotiated with the organization
Issue Resolution 30 minutes
scheduled at other times as necessary
Team
Mid-day and/or end of each day except
Meeting/Surveyor 30 minutes
last
Planning
Start of each survey day except the first
Daily Briefing 15-30 minutes day; can be scheduled at other times as
necessary
After some individual tracer activity has
Competence occurred; at a time negotiated with the
30-60 minutes
Assessment organization or in conjunction with
Leadership session
Environment of Care After some individual tracer activity has
and Emergency 45-90 minutes occurred; at a time negotiated with the
Management organization
occurred; at a time negotiated with the
organization. If this is the only system
System Tracer –
60 minutes tracer taking place during survey, the
Data Management
topics of Infection Control and Medication
discussion.
Towards the middle or end of survey at a
Leadership 60 minutes
time negotiated with the organization
CEO Exit Briefing 15-30 minutes Last day of survey

Last activity on last day of survey on
Interim Exit 30 minutes surveys occurring simultaneously with
other program surveys, e.g., hospital
Organization Exit
30-45 minutes Last day, final activity of survey
Conference
System Tracer – After some individual tracer activity has
30-60 minutes
Infection Control occurred; topic may be covered during the

Activity Name Duration of Suggested Scheduling of Activity (Refer to the Survey Activity
Activity Guide for more information)
Data Management system tracer
depending on the length of survey
System Tracer –
occurred; topic may be covered during the
Medication 30-60 minutes
Data Management system tracer
Management
depending on the length of survey
Only occurs on Facility-Based Hospice
Life Safety Code
45-60 minutes surveys; at time negotiated with
Building Assessment
organization
Only occurs on DMEPOS surveys; At
Regulatory Review 45-60 minutes
time negotiated with organization

Applicable Programs
All programs
Surveyor Arrival
Joint Commission Participants

Surveyors
Organization Participants
Suggested participants include organization staff and leaders as identified in the Pre-survey
Planning process.
Logistical Needs
Identify a location where surveyors can wait for organization staff to greet them and a location where surveyors
can consider as their “base” throughout the survey.
Overview
Surveyors arrive at approximately 7:45-7:50 a.m. unless business hours, as provided in the application, indicate
that your organization opens at a later time. Surveyors will check in at the front desk, identifying themselves as
Joint Commission surveyors.
Surveyor Arrival Activities

 Implement your Readiness Guide as discussed in the Preparing For Surveyor Arrival section
 Notify key organization members as identified in the pre-survey planning session of the surveyor’s arrival
 Validate that the survey is legitimate by accessing your Joint Commission extranet site. A staff member in
your organization with a login and password to your Joint Commission extranet website will follow through
with this by:
o Accessing the Joint Commission’s website at www.jointcommission.org
o Click on “the Joint Commission Connect” logo
o Enter a login and password
o If you cannot access the extranet site to validate the survey or surveyors, call your Account
Executive
 Your organization’s extranet site contains the following information (posted by 7:30 a.m. on the morning of
your survey):
o Notification of scheduled Joint Commission event authorizing the surveyor’s presence for the
unannounced survey
o Surveyor name(s), picture and biographical sketch
o Scheduled survey dates
 If you have not already downloaded a copy of your survey agenda, do so at this time.
 Begin gathering and presenting documents as identified in the Document List applicable to your program(s).
Surveyors will start reviewing this information immediately.

Applicable Programs
All programs
Surveyor Preliminary Planning Session

Surveyors
Suggested participants include the staff responsible for coordinating The Joint Commission
survey and others as needed and identified by surveyors.
Logistical Needs
The suggested duration of this session is approximately 30 to 60 minutes. Surveyors need a workspace they
can use as their “base” for the duration of the survey. This area should have a desk or table, telephone,
internet access, and access to an electrical outlet, if possible. Provide the surveyors with the name and phone
number of a key contact person who will assist them in planning for the survey and their tracer selection.
Objectives
Surveyors will:
 Review organization documents to become acquainted with your organization
 Plan for tracer activity
Overview
After surveyors have arrived and their identification has been verified, surveyors immediately begin planning for
tracer activity by reviewing the documents you provide them (refer to the program-specific Document Lists on
the preceding pages). They begin discussing the focus of the survey with the other surveyors (when
applicable). If documents are not available for surveyors to review during this session, they will proceed to
areas where care, treatment, or services are provided and begin individual tracer activity.
For complex organizations being surveyed under more than one accreditation manual or for more than one
service under one accreditation manual), surveyors review information from all accredited programs. It is
important to have documents available at this session for each program being surveyed.

Applicable Programs
All programs
Opening Conference

Surveyors
Suggested participants include members of the governing body and senior leadership (representing all
accredited programs/services). Attendees should be able to address leadership’s responsibilities for planning,
resource allocation, management, oversight, performance improvement, and support in carrying out your
organization’s mission and strategic objectives. Other attendees may include at least one member of the
governing body or organization trustee and leaders of the medical staff, when applicable.
Logistical Needs
The duration of this session is approximately 15 minutes. Immediately following this session is the Orientation
to Your Organization. If possible, designate a room or space that will hold all participants and will allow for an
interactive discussion. Inform surveyors at this time of any agenda considerations that may impact the activities
for the day.
Objectives
Surveyors will:
 Describe the structure of the survey
 Answer questions your organization has about the survey
 Review your organization’s expectations for the survey
Overview
Surveyors introduce themselves and describe each component of the survey agenda. Surveyors describe the
System Tracers they will conduct. It is important for you to discuss and review your organization’s expectations
for the on-site survey with the surveyor(s). Questions about the on-site visit, schedule of activities, availability of
documents or people and any other related topics should be raised at this time. Surveyors will also take time to
introduce your organization to the revised Clarification procedures and new SAFER™ reporting process.
Nursing Care Centers: Surveyors explain the patient and resident-centered approach to the survey process
and the need to interview patients and residents privately.

Applicable Programs
All programs
Orientation to Your Organization

Surveyors
Suggested participants include the same participants as the Opening Conference. Suggested participants
include members of the governing body and senior leadership (representing all accredited programs/services).
Attendees should be able to address leadership’s responsibilities for planning, resource allocation,
management, oversight, performance improvement, and support in carrying out your organization’s mission and
strategic objectives. Other attendees may include at least one member of the governing body or organization
trustee and leaders of the medical staff, when applicable.
For Office-Based Surgery organizations: It is very helpful if physicians can be present for at least some
portion of this session.
Logistical Needs
The suggested duration of this session is approximately 30-60 minutes. Do not prepare a formal
presentation. This session is an interactive discussion, and it is usually combined with the Opening
Conference.
Objective
Surveyors will learn about your organization through an interactive dialogue to help focus subsequent survey
activities.
Overview
During this session surveyors become acquainted with your organization. They begin to learn how your
organization is governed and operated, discuss leaders’ planning priorities, and explore your organization’s
performance improvement process.
Governance and operations-related topics for discussion include:

 Organization’s mission, vision, goals, and strategic initiatives
 Organization structure
 Operational management structure
 Information management, especially the format and maintenance of medical records
 Contracted services and performance monitoring
 Health care errors reduction and/or patient/resident/individual served safety initiatives
 National Patient Safety Goals
 Community involvement
 Leader’s role in emergency management planning
 Ambulatory Care, Home Care, Hospital: Cleaning, disinfection and sterilization
 Nursing Care Centers: Culture transformation, initiatives for patient and resident centered care
 Hospital: Patient flow, specifically, inpatient admission sources, volume and types of patients seen in
the emergency department, how ED throughput is monitored, managing care of patients presenting with
conditions outside the scope of services (e.g., mental health, trauma), patient boarding
 Hospital: Organ procurement and donation including conversion rates
 Laboratory: Test utilization and process for addition/deletion of tests and quality management system
in place (e.g. IQCP)
Discussion topics include your:

 Leaders’ ideas of your organization’s potential risk areas
 Leader’s approach to completing the Focused Standards Assessment (FSA) Tool and methods used to
address areas needing improvement (resurveys only)
 Management and leadership’s oversight and other responsibilities
Senior Leadership Role in Improving Performance discussion topics may include:

 How leaders set expectations, plan, assess, and measure initiatives to improve the quality of services
 Organization approach to safety, including selection of Proactive Risk Assessment topics, resulting
improvements, and Board/Governance involvement in safety issues
 Provision of personnel and resources including time, information systems, data management, and staff
training
Note: Surveyors will request examples of performance improvement initiatives including evidence that
performance was achieved and sustained.
Long Term Care Medicare/Medicaid Certification Option discussion topics include:

 Long Term Care based physicians (for example the Medical Director)
 MDS Quality Measure Reports, Facility MDS Quality Indicator Profile, or Quality Measure Reports
 Most recent CMS state certification report, i.e., CMS form 2567

Applicable Programs
All programs
Initial Surveyor Planning Session

Surveyors
Joint Commission Coordinator (at the request of surveyors)
Logistical Needs
The suggested duration of this session is approximately 30 to 60 minutes.
Objectives
Surveyors will:
 Review organization documents to become acquainted with your organization
 Plan for tracer activities
Overview
This is a continuation of the Preliminary Planning Session. Surveyors begin by selecting individuals
served/patients/residents for tracers based on the care, treatment and services your organization provides.
They also continue reviewing the materials listed in the Surveyor Preliminary Planning Session. For complex
organizations (being surveyed under more than one accreditation manual or for more than one service under
one accreditation manual), surveyors review materials relative to all accredited programs.

Applicable Programs
All programs
Individual Tracer Activity

One surveyor per individual tracer
Suggested participants include staff and management involved in the individual’s care, treatment, and services.
Logistical Needs
The suggested duration of individual tracer activity varies but typically is 60-120 minutes. Care is taken by
surveyors to assure confidentiality and privacy and they will seek the help and guidance of staff in this effort.
Surveyors may use multiple individual served/patient/resident records of care, treatment or services during an
individual tracer. The purpose of using the record is to guide the review, following the care, treatment, or
services provided by the organization to the individual served/patient/resident.
A surveyor may arrive in a setting/unit/program/service and need to wait for staff to become available. If this
happens, the surveyor may use this time to evaluate environment of care issues or observe the care, treatment,
or services being rendered.
If there are multiple surveyors conducting the survey, they will make every effort to avoid visiting areas at the
same time and will try to minimize multiple visits to the same location. However, an individual tracer does follow
where the individual served/patient/resident received services.
Objective
The surveyor will evaluate your organization’s compliance with standards as they relate to the care and services
provided to individuals served/patients/residents.
Overview
The majority of survey activity occurs during individual tracers. The term “individual tracer” denotes the survey
method used to evaluate your organization’s compliance with standards related to the care, treatment, and
services provided to an individual served/patient/resident. Most of this survey activity occurs at the point where
care, treatment, or services are provided.
Initially, the selection of individual tracer candidates is based on your organization’s clinical services as reported
in your e-application and the general risk areas identified for the accreditation program which are listed in the
Intra-Cycle Monitoring (ICM) Profile. Surveyors will also consider any organization-specific risk areas listed in
the ICM Profile. As the survey progresses, the surveyors may select individuals served/patients/residents with
more complex situations, which are identified through the system tracers, and whose care crosses programs.
For Laboratory surveys, additional tracers may be selected through review of proficiency testing and quality
control data.
The individual tracer begins in the setting/unit/program/service/location where the individual

served/patient/resident and his/her record of care are located. The surveyor starts the tracer by reviewing a
record of care with the staff person responsible for the individual’s care, treatment, or services. The surveyor
then begins the tracer by:
 Following the course of care, treatment, or services provided to the individual served/patient/resident
from preadmission through post discharge
 Assessing the interrelationships between disciplines, departments, programs, services, or units (where
applicable), and the important functions in the care, treatment or services provided
 Identifying issues that will lead to further exploration in the system tracers or other survey activities such
as Environment of Care and Leadership Sessions
During the individual tracer, the surveyor observes the following (includes but is not limited to):

 Care, treatment or services being provided to individuals served/patients/residents by clinicians,
including physicians
 Hospitals and Critical Access Hospitals: Education provided on the appropriate use of antibiotics for
the following populations:
o Emergency department patients who are prescribed antimicrobials
o Ambulatory and clinic patients surveyed under the hospital program who are prescribed
antimicrobials
o Hospitalized patients who will be discharged on antimicrobials
 Nursing Care Centers: Patients who will be discharged on antimicrobials
 The medication process (e.g., preparation, dispensing, administration, storage, control of medications)
 Infection control issues (e.g., techniques for hand hygiene, sterilization of equipment, disinfection, food
sanitation, and housekeeping)
 The process for planning care, treatment or services
 The environment as it relates to the safety of individuals served/patients/residents and staff
 LAB: Quality control, IQCP documentation (as applicable), maintenance and testing performance
During the individual tracer, the surveyor interviews staff about:

 Processes as they relate to the standards
 Intradepartmental and interdepartmental communication for the coordination of care, treatment or
services. (e.g., hand offs)
 The use of data
 Individual served/patient/resident flow through the organization
 National Patient Safety Goals
 Individual served/patient/resident education
 Orientation, education, and competency of staff
 Hospitals, Critical Access Hospitals, and Nursing Care Centers: The education staff have been
provided on antimicrobial resistance and the organization’s antimicrobial stewardship program
 Other issues
During the individual tracer, the surveyor may speak with available licensed independent practitioners about:
 Organization processes that support or may be a barrier to individual served/patient/resident care,
treatment and services
 Communications and coordination with other licensed independent practitioners (hospitalists, consulting
physicians, primary care practitioners)
 Discharge planning, or other transitions-related resources and processes available through the
organization
 Awareness of roles and responsibilities related to the Environment of Care, including prevention of, and
response to incidents and reporting of events that occurred
 Hospitals, Critical Access Hospitals, and Nursing Care Centers: The education or information they
have been provided on antimicrobial resistance and the organization’s antimicrobial stewardship
program
During the individual tracer, the surveyor interviews individuals served/patients/residents and their families
about:
 Coordination and timeliness of services provided
 Education, including discharge instructions
 Response time when call bell is initiated or alarms ring, as warranted by care, treatment or services
 Perception of care, treatment or services
 Staff observance of hand-washing and verifying their identity
 Understanding of instructions (e.g., diet or movement restrictions, medications, discharge and provider
follow-up), as applicable
 Rights of individuals served/patients/residents
 Other issues
Home Medical Equipment only: The surveyor requests the manufacturer, model, and serial numbers for all
medical equipment provided by your organization.

Home Medical Equipment Mail Order: The surveyor traces mail order clients/patients in the same manner.
They will utilize telephone support in lieu of patient home visits.
Home Medical Equipment Walk-in Business: The surveyor traces the client/patient services when they arrive
at your organization. Due to the unscheduled nature of this business, survey activity is interrupted to
accommodate tracers for walk-in clients/patients.

Using individual tracers for continuous evaluation
Many organizations find tracer activity helpful in the continuous evaluation of their services. If you choose to
conduct mock tracers, in addition to clinical services, consider the following criteria in selecting the individual
served/patient/resident.
Selection Criteria
 Individuals served/patients/residents related to system tracers such as infection control and medication
management
 Individuals served/patients/residents who move between programs/services (e.g. individuals
served/patients/residents scheduled for a follow-up in ambulatory care, home care patients received
from the hospital, long term care residents transferred from the hospital, individuals served receiving
behavioral health care and ambulatory health care services, individuals served moving from behavioral
health care residential program to a day program, patients referred to another specialty provider within
the same organization, patients who received radiology or laboratory services, assisted living residents
receiving home care services)
 Individuals served/patients/residents recently admitted
 Individuals served/patients/residents due for discharge or recently discharged
 Individuals served/patients/residents who cover multiple additional criteria listed below
Ambulatory Health Care and Office Based Surgery:

Surgery/Anesthesia Services
 Operative and other procedures
 IV/Infusion therapy
 Blood/blood component administration
 Alternative complementary care
 Care for a terminal condition
 Pediatric or less than 18 year old care
 Geriatric care
 Pain Management
Medical/Dental Services:
 Maternal/child care
 Pediatric or less than 18 year old care
 Geriatric care
 Terminal condition
 Equipment maintenance
Bureau of Primary Health Care:

Care provided to:
 School-based health center patients
 Homeless patients
 Migrant and seasonal farm workers
 Individuals in public housing
 Individuals with HIV/AIDS
Other Services:
 Pain Management (uncontrolled pain)
 High risk areas
 Equipment Maintenance
 Cleaning, disinfection and sterilization
 Point of Care Testing (CLIA Waived Testing)

Behavioral Health Care:
Care provided through programs and services to:
 High risk populations (restraint use, seclusion, suicidal)
 Vulnerable populations (very young, very old, reclusive, persons with intellectual or developmental
disabilities)
 Long length of stay populations (perhaps more complicated)
Home Care
Care provided to:
 A patient who is on a high-risk medication or piece of equipment
 A patient receiving ventilator care
 A pediatric patient or a patient < 18 years old
 A patient receiving Maternal/Child care
 A patient receiving IV/Infusion therapy
 A patient receiving blood/blood component administration
 A patient undergoing acute care re-hospitalizations
 A patient receiving personal care and support services
 A patient receiving alternative complementary care
 A patient receiving oxygen therapy
 A patient in a terminal condition
Hospice Services:
 A patient receiving facility-based care within the past 12 months
 A patient receiving continuous care/respite care
 A patient to whom infusion therapy is being administered
 A pediatric patient or a patient <18 years old
 A patient receiving alternative complementary care
 A patient undergoing pain management
Home Medical Equipment:

Patients who use:
 Custom adult wheelchairs (usually fixed frame requiring assessment and fitting)
 Custom pediatric wheelchairs (usually fixed frame requiring assessment and fitting)
 Custom seating systems associated with the provision of wheelchairs
 Custom power wheelchairs (including power stretchers, etc)
 Standard adult and pediatric power wheelchairs (custom and non-custom)
 Custom adult and pediatric ambulatory aids (prone standers, circular walkers, etc)
 A customer receiving multiple types of equipment
 A customer receiving clinical respiratory services
 A customer receiving rehab technology services
 A patient receiving customized orthotics or prosthetics
 A patient using respiratory equipment
 A patient using durable medical equipment
 A patient using specialized equipment with supplies

Pharmacy:
Care provided to patients on high-risk medication
Hospitals and Critical Access Hospitals:

 A patient in the intensive care units (MICU, SICU, CVCU, etc.)
 A patient who entered the health care system through the emergency department
 A patient in labor and delivery services (including patients scheduled for C-section)
 A patient who receives sedation and anesthesia (includes hand-off communication)
 A patient on a skilled nursing unit and/or subacute care
 A patient who is a 23-hour admit
 A patient receiving dialysis
 A psychiatric patient
 A pediatric patient
 A patient receiving radiology or nuclear medicine services
 A patient receiving rehabilitation services
 A patient who is a possible organ donor or transplant recipient
 A patient receiving waived lab services
 A deceased patient or terminal patient
 A patient discharged (or retrospective review and interview of recently discharged patient)
Laboratory
 Patient sample testing in laboratory sections (i.e., hematology, chemistry, microbiology, blood bank)
 Policy and procedures that guide testing performance of patient samples
 Maintenance of laboratory equipment
 Pre- and Post- analytical procedures

 Patient or resident receiving health services coordination (i.e., medication management, skin integrity,
complex medical services)
 Patient or resident with limited mobility
 Resident who smokes
 Resident from a special population (children/young adults, neurologic ITBI, developmentally disabled)
 Resident with a dementia diagnosis
 Resident on an antipsychotic medication
 Resident residing in the organization’s distinct dementia or memory care unit, if applicable
 Resident receiving supervised assistance with one or more Activities of Daily Living
 Patient or resident receiving rehabilitation therapy
 Organization’s quality indicators from MDS, if available

Applicable Programs
AHC
Program Specific Tracer – Continuity of Care

Surveyor
Suggested participants include staff involved in an individual’s care, treatment, or services.
Logistical Needs
This focused tracer occurs during time designated for Individual Tracer Activity.
Objectives
The surveyor will:
 Evaluate the effectiveness of your organization’s processes from prescribing a diagnostic study through the
follow-up of the patient
 Identify processes and system level issues contributing to missed follow-up of diagnostic studies
Overview
Organizations providing medical services, by design, have patients who often receive care from multiple
clinicians. A frequently cited concern by care providers is missing an abnormal test result and failing to
coordinate necessary follow-up. The surveyor conducts an in-depth evaluation of the communication,
coordination, and continuity of care for a patient receiving laboratory or diagnostic studies.
The surveyor reviews the clinical record and may interview the patient, family, and other health care staff
involved in the patient’s care.

Applicable Programs
BHC
[24 hour care settings only;
Addictions, Children & Youth,
Residential Treatment, Group
Program Specific Tracer – Elopement homes, Developmental Disabilities,
Foster /Therapeutic Foster Care,
Joint Commission Participants Mental Health]
Surveyor
Suggested participants include staff and management who have been involved in the care, treatment, or
services of the individual served
Logistical Needs
This focused tracer occurs during time designated for Individual Tracer Activity
Objectives
The surveyor will:
 Evaluate the effectiveness of the organization’s processes to prevent elopement therefore enhancing safety
 Identify process and system level issues contributing to successful elopements
Overview
The surveyor selects an individual served who eloped multiple times. The surveyor begins by reviewing the
case/clinical record for the events leading up to the elopement of the individual served. The surveyor evaluates
your organization’s physical environment and security systems.
The surveyor interviews staff about the elopement and the processes that are in place to prevent elopement and
ensure the safety of individuals served.
The surveyor also interviews the individual served, if available, and family, if applicable about:
 Their perception of the services provided, the episode of elopement, the causation and treatment, and use
of restraints
 Elopement prevention activities for which they are aware
 Guidance provided from staff to prevent escalation in the future

Applicable Programs
BHC
[Foster/Therapeutic Foster Care]
Program Specific Tracer – Continuity of Foster/Therapeutic Foster Care

Surveyor
Suggested participants include the case manager, individual served, and foster parents/family members
Logistical Needs
Objectives
The surveyor will:
 Evaluate the effectiveness of the foster care agency’s processes surrounding number of foster home
placements
 Identify processes and system level issues contributing to multiple placements
Overview
A problem in Foster Care may be the issue of multiple foster home placements of a single individual served.
This leads to disconnects in the continuity of care, a sense of alienation and isolation, and potential for the foster
care agency/organization missing serious problems with the individual served.
The surveyor selects an individual served with multiple foster homes within the foster care agency being
surveyed. The surveyor conducts a home visit at the current foster home and interviews the individual served
about their experience with foster care homes; their perception of issues that led to multiple placements; and
their involvement in the process including communications from their case worker.
The surveyor also interviews foster parents/caregivers, when possible, about the placement process and how
they were assessed for fostering.
The surveyor interviews the case manager about:

 the assessment process
 content and use of information communicated from a state or county agency
 process and content of basic assessment to ensure the safety of the individual served and foster family
when emergency placement is made
 compliance with the triage process for initial placement
 the use of guiding criteria for appropriate placement
 ongoing evaluation of the foster family

Applicable Programs
BHC
Program Specific Tracer – Violence

Surveyor
Suggested participants include staff and management involved in the care, treatment, or services of the
individual served.
Logistical Needs
Objectives
The surveyor will:
 Evaluate the effectiveness of your organization’s processes to control violence and ensure the safety of
others
 Identify process and system level issues contributing to violent behavior
Overview
The surveyor selects an individual served who had a history of violent behavior with or without injury to self,
staff, or others. The surveyor begins the tracer by reviewing the clinical record to identify the documentation of
events leading up to the violence. The surveyor also evaluates the following:
 The physical environment that could make violent behavior possible
 Measures taken by your organization to ensure security for individuals served
 Security systems such as security cameras and alarm mechanisms, when present
The surveyor interviews the individual served and family about the following:
 Their perception of the episodes of violent behavior and use of restraints
 Violent behavior prevention activities
 Guidance provided from staff to prevent further violent behavior
The surveyor interviews staff about the following issues:

 The episodes of violent behavior
 Communication to other caregivers
 Inclusion of the individual served and family in identifying the risk for and prevention of violent behavior
 The risk assessment process
 Restraint use
 Orientation and training of staff about violent behavior risks and de-escalation techniques

Applicable Programs
BHC
[24 hour settings]
CAH, HAP
Program Specific Tracer - Suicide Prevention

Surveyor
Staff and management who have been involved in the care, treatment, or services of the individual served
Logistical Needs
Objectives
The surveyor will:
 Evaluate the effectiveness of your organization’s suicide prevention strategy
 Identify processes and system level issues contributing to suicide attempts
Overview
Suicide ranks as the 11th most frequent cause of death (third most frequent in young people) in the United
States, with one person dying from suicide every 16.6 minutes. Suicide of a care recipient while in a staffed,
round-the-clock care setting has been the #1 most frequently reported sentinel event to the Joint Commission.
Identification of individuals at risk for suicide while under the care of, or following discharge from a behavioral
health care organization or a hospital psychiatric inpatient setting, is an important first step in protecting and
planning the care of these at-risk individuals.
The surveyor begins by reviewing the record of the patient/individual served to attain an understanding of
services provided and individual served/patient specific issues. The surveyor interviews the clinical staff
working with the individual served/patient about the following issues:
 Crisis process
 Initial assessment process
 Reassessment process
 Planning of care, treatment or services
 Continuum of care, treatment or services
 Education provided to the individual served/patient and family
 Orientation, training, and competency of clinicians
 Staffing
 Information management

Applicable Programs
CAH, HAP
Program Specific Tracer - Laboratory Integration

Surveyor
Suggested participants include laboratory and other hospital staff
Logistical Needs
Objectives
The surveyor will:
 Evaluate the consistent application of processes related to laboratory testing throughout the hospital
 Evaluate the exchange of information (specimen collection and handling, specimen identification) and
integration of the laboratory processes in the hospital setting
 Evaluate the involvement of laboratory personnel in important processes within the hospital, such as point of
care testing
Overview
The surveyor traces the processes and flow of communication between the laboratory and hospital units,
beginning with the order for testing, and moving through physician/licensed independent practitioners actions
based on testing results.
This tracer does not address laboratory functioning, quality control, proficiency testing, or technical competence.
It does address the communication and integration between the hospital and the laboratory. The surveyor will
review collected data and seek to understand actions taken by leaders.

Applicable Programs
CAH, HAP
Program Specific Tracer – Patient Flow

Surveyor
Staff involved in patient care, treatment, or services throughout the hospital and leaders responsible for the
planning, development and oversight of related systems, as available
Logistical Needs
Objectives
The surveyor will:
 Look for organization awareness and improvements in patient flow
 Evaluate process issues throughout the hospital contributing to patient flow concerns
Overview
Growing concerns from the health care field about increasing patient congestion continue. Poorly managed
patient flow most often impacts vulnerable areas in the hospital first, such as the emergency department, critical
care units and surgical areas; but these are not always the causative factors and answers lie throughout the
hospital. Treatment delays, medical errors and generally, unsafe practices thrive in the presence of patient
congestion; these are precursors to and contributing factors in negative sentinel events. Many hospitals have
improved their flow of patients through due diligence. Joint Commission accredited hospitals are required to
identify and correct patient flow issues throughout their organization. While evidence of patient flow issues
surface in the emergency department, post anesthesia care unit or other patient care units, corrective
improvements must be organization-wide.
Surveyors may trace patients who were affected by patient flow issues, (e.g., bed availability delays, lengthy
boarding experiences, transport or transfer delays, delays in performing tests and receiving test results,
availability of providers), during their hospitalization that may or may not have impacted their care, treatment or
services. Surveyors seek information at different locations throughout the hospital about unit-specific and
hospital-wide processes that support unrestricted patient flow.
Discussions with leaders occur to learn more about the data that is being collected and monitored related to
patient flow. Surveyors will want to learn about leaders sharing accountability with the medical staff for patient
flow situations, and the actions being taken throughout the organization to mitigate the impact of patient flow
issues. Surveyors will have these discussions with leaders per the planned agenda encounters; however, if a
department leader or manager is available during the tracer the surveyor will speak with them at that time.

Applicable Programs
NCC
Program Specific Tracer – Staffing

Surveyors
The surveyor will suggest participants. This may include CNAs, as applicable; agency staff; non-nursing
ancillary staff; administrator; family council members, if available (may be telephonic); and other leaders
Logistical Needs
This focused tracer occurs during time designated for Individual Tracer Activity. Documents that are requested
include staffing plans, staff variance reports, and meeting minutes.
Objectives
The surveyor will:
 Evaluate actions taken by your organization during staff turnover to ensure positive outcomes to resident
care
 Identify processes and possibly system issues contributing to negative resident outcomes in light of staff
or administrative turnover
Overview
The focus of this session is to identify breeches in continuity of care and explore operational processes in the
presence of staff or administrative turnover.
The surveyor conducts individual interviews with staff that includes the following discussions:
 Processes pertaining to the care of residents to prevent negative outcomes
 Barriers to those processes
 Staff’s knowledge of the residents for which they are assigned
 Perception of issues leading to turnover
 Staff communication
 Recruitment and hiring practices
 Orientation and training
 Changes in policy, procedure, vision, expectations
The surveyor also conducts interviews with residents and/or their family members (family interviews can be
conducted telephonically) to ask questions about:
 The care received and the perceived barriers to that care
 Communication regarding administrative and staff turnover
 Changes in the provision of care when there is administrative or staff turnover
The surveyor conducts individual interviews with leadership (for example, governing body member,
administrator, director of nursing, etc.) to discuss their knowledge regarding:
 MDS outcomes
 Association of negative outcomes with staff issues
 Follow-up actions taken
 Monitoring of actions taken
 Communication of changes in mission, vision, process, etc.
 Methods used to stabilize or prevent turnover

Applicable Programs
OME
[HME only]
Program Specific Tracer – Equipment & Supply Management

Surveyor
Suggested participants include staff from various areas such as drivers, technicians, and warehouse
employees.
Logistical Needs
Objectives
The surveyor will:
 Learn how your organization processes equipment and supplies from initial receipt through
decommissioning
 Evaluate the implementation effectiveness for specific pieces of equipment
 Identify processes and system issues contributing to failed equipment/supply management
Overview
During this tracer the surveyor focuses on high risk equipment identified from individual tracers. They evaluate
all aspects of procurement, inventory, cleaning, maintenance, and decommissioning. The surveyor spends
time walking through the sites responsible for the equipment management plan to evaluate the following:
 Safe environment and processes
 Staff education about the equipment/supplies
 Storage
 Obtaining physician orders
 Selection of the most suitable equipment/supplies to meet the patient’s needs
 Preparation for delivery
 Delivery and set-up
 Tracking equipment location
 Patient education about the care and use of equipment/supplies
 Preventive maintenance
 Equipment failure management, including back-up
 Recall of equipment – monitoring, back-up equipment process
 Equipment return - cleaning and inspection processes
 Equipment repair
 Obsolete inventory
 Incident management
The surveyor interviews staff about:

 Any of the above processes
 Orientation, training and competency evaluation processes

Applicable Programs
OME
[Home Health / Personal Care,
HME, and Hospice]
Program Specific Tracer – Fall Reduction

Surveyor
Suggested participants include staff and management who have been involved in the individual’s care,
treatment, or services
Logistical Needs
Objectives
The surveyor will:
 Learn how your organization evaluates the patient’s risk for falls
 Evaluate the action taken to reduce the risk of falling
 Understand your organization’s plan for reducing the risk of injury, should a fall occur
 Identify processes and system issues contributing to a high re-hospitalization rate
 Evaluate the organization’s compliance with NPSG.09.02.01 (Reduce the risk of falls).
Overview
During this tracer, the surveyor begins where the patient’s home care record is located.
The surveyor interviews the direct care provider about the following issues:
 Entry into care
 Risk assessment process for falls
 Identification of in-home environment
 Care planning process
 Coordination of care and communication process to internal and external customers
 Fall reduction education to the patient and caregiver
The surveyor conducts a home visit and interviews the patient and/or the caregiver about:
 Possible unsafe environmental issues that could lead to a fall
 Relevancy of the patient’s medication to potential for falls
 Knowledge level about their fall risk status and preventive techniques to remain safe in the home

Applicable Programs
OME
[Medicare Certified Home
Health only]
Program Specific Tracer – Hospital Readmission

Surveyor
Suggested participants include staff and management involved in the individual’s care, treatment, or services.
Logistical Needs
Objectives
The surveyor will:
 Evaluate the action taken to reduce the hospital readmission rate
 Evaluate the accuracy of medication lists and education
 Identify processes and system issues contributing to a high re-hospitalization rate
Overview
This tracer is conducted when the home health organization has a significantly higher percentage of patients
who had to be admitted to the hospital or need urgent, unplanned medical care.
The surveyor begins this tracer where the home care record is maintained.
The surveyor interviews the case manager or direct care provider about the following issues:
 Entry into care
 Assessment of the patient
 Care planning process
 Coordination of care between patient care providers
 Education provided to the patient
The surveyor conducts a home visit and interviews the patient/caregiver about the following issues:
 Conditions leading to re-hospitalization
 Review medication
 The patients understanding about their medical condition and treatment.
 Educational materials received from your organization

Applicable Programs
All programs
Special Issue Resolution

Surveyors
None, unless otherwise requested by the survey team
Logistical Needs
For surveys lasting more than one day, 30 minutes is scheduled toward the end of each day except the last.
Surveyors will inform your organization’s contact person of what documentation, if any, is needed and any staff
who they would like to speak with or locations they want to visit.
Overview
Surveyors explore issues that surfaced during the course of the survey that could not be resolved. Depending
on the circumstances, this may include:
 The review of policies and procedures
 The review of additional patient/resident/individual served records to validate findings
 Discussions with staff, if necessary
 Review of personnel and credentials files
 Review of data, such as performance improvement results
 Review of medical record delinquency data (applicable only to hospitals)
 Other issues requiring more discussion

Applicable Programs
All programs
Team Meeting/Surveyor Planning

Surveyors
None
Logistical Needs
The suggested duration for this session is 30 minutes.
Overview
Surveyors use this session to debrief on the day’s findings and observations and plan for upcoming survey
activities.
Before leaving the organization, surveyors will return organization documents to the survey coordinator / liaison.
If surveyors have not returned documentation, your organization is encouraged to ask surveyors for the
documents prior to their leaving.

Applicable Programs
All programs except
OBS
Daily Briefing

Surveyors
Suggested participants include representative(s) from governance, CEO/Administrator or Executive Director,
individual coordinating the Joint Commission survey, and other staff at the discretion of organization leaders
Logistical Needs
The suggested duration for this session is approximately 15 to 30 minutes and occurs every morning of a multi-
day survey, with the exception of the first day. Surveyors may ask to hold a daily briefing before concluding
activity on the first day, depending on circumstances. If a surveyor cannot participate in this session because
they are surveying at a remote location, you may be asked for assistance with setting up a conference call to
include all surveyors and appropriate staff.
Objective
The surveyor will summarize the events of the previous day and communicate observations according to
standards areas that may or may not lead to findings.
Overview
The surveyors briefly summarize the survey activities completed the previous day. During this session the
surveyors make general comments regarding significant issues from the previous day, note potential non-
compliance, and emphasize performance patterns or trends of concern that could lead to findings of non-
compliance. The surveyors will allow you the opportunity to provide information that they may have missed or
that they requested during the previous survey day. You may also present surveyors with information related to
corrective actions being implemented for any issues of non-compliance. Surveyors will still record the
observations and findings, but will include a statement that corrective actions were implemented by the
organization during the on-site survey.
Your organization should seek clarification from the surveyors about anything that you do not understand. Note
that the surveyors may decide to address your concerns during a Special Issue Resolution Session, later in the
day. It is important for you to seek clarification if you do not understand anything that the surveyors discuss.

Applicable Programs
AHC, BHC, NCC, OBS,
OME
Competence Assessment and
Credentialing/Privileging

Surveyor
Suggested participants include staff responsible for the human resources processes; orientation and education
of staff; assessing staff competency; assessing licensed independent practitioner and other credentialed
practitioner competency. There should be someone with authority to access information contained in personal
and credential files. For complex organizations (being surveyed under more than one accreditation manual or
for more than one service under one accreditation manual), representatives from each applicable accreditation
program or service should be available.
Logistical Needs
The suggested duration for this session is 30-60 minutes. In order to plan for a file review, inform the surveyors
of your process for maintaining competency records. The review of files is not the primary focus of this session;
however, the surveyor verifies process-related information through documentation in personnel or credential
files. The surveyor identifies specific staff, licensed independent practitioners, or other credentialed practitioners
whose files they would like to review.
Objectives
The surveyor will:
 Learn about your organization’s competence assessment process for staff, licensed independent
practitioners, and other credentialed practitioners
 Learn about your organization’s orientation, education, and training processes as they relate to staff,
licensed independent practitioners, and other credentialed practitioners encountered during individual
tracers
Overview
The surveyor discusses the following topics:
 Internal processes for determining compliance with policies and procedures, applicable law and
regulation, and Joint Commission standards
 Methods used to determine staffing adequacy, frequency of measurement, and what has been done
with the results
 Performance improvement initiatives related to competency assessment for staff, licensed independent
practitioners, and other credentialed practitioners
 Orientation of staff, licensed independent practitioners, and other credentialed practitioners to your
organization, job responsibilities, and/or clinical responsibilities
 Experience, education, and abilities assessment
 Ongoing education and training
 Nursing Care Centers: Education on antimicrobial resistance and antimicrobial stewardship (Note:
surveyors will not review human resource records or medical staff records related to antimicrobial
stewardship) (NCC only)
 Competency assessment, maintenance, and improvement
 Competency assessment process for contracted staff, as applicable
 Process for granting of privileges to licensed independent practitioners (AHC, NCC, OBS, OME)
 Behavioral Health Care: Process for assigning clinical responsibilities (BHC only)
 Other topics and issues discovered during the tracer activity

Applicable Programs
HAP, CAH
Competence Assessment

Surveyor
Suggested participants include staff responsible for the human resources processes; orientation and education
of staff; assessing staff competency. There should be someone with authority to access information contained in
personal files. For complex organizations (being surveyed under more than one accreditation manual or for
more than one service under one accreditation manual), representatives from each applicable accreditation
program or service should be available.
Logistical Needs
The suggested duration for this session is 30-60 minutes. In order to plan for a file review, inform the surveyors
of your process for maintaining competency records. The review of files is not the primary focus of this session;
however, the surveyor verifies process-related information through documentation in personnel files. The
surveyor identifies specific staff whose files they would like to review.
Objectives
The surveyor will:
 Learn about your organization’s competence assessment process for staff
 Learn about your organization’s orientation, education, and training processes as they relate to staff,
encountered during individual tracers
Overview
The surveyor discusses the following topics:
 Internal processes for determining compliance with policies and procedures, applicable law and
regulation, and Joint Commission standards
 Methods used to determine staffing adequacy, frequency of measurement, and what has been done
with the results
 Performance improvement initiatives related to competency assessment for staff
 Orientation of staff to your organization, job responsibilities, and/or clinical responsibilities
 Experience, education, and abilities assessment
 Ongoing education and training
 Education on antimicrobial resistance and antimicrobial stewardship (Note: surveyors will not review
human resource records or medical staff records related to antimicrobial stewardship)
 Competency assessment, maintenance, and improvement
 Competency assessment process for contracted staff, as applicable
 Other topics and issues discovered during the tracer activity

Applicable Programs
AHC, BHC, NCC, OBS,
OME
Environment of Care and

Emergency Management Session

Surveyor
Suggested participants include individuals familiar with the management of the environment of care and
emergency management in all major areas within your organization. This may include the safety management
coordinator, security management coordinator, facility manager, building utility systems manager, IT
Representative, and the person responsible for emergency management.
Objective
The surveyor will assess your organization’s degree of compliance with relevant standards and identify
vulnerabilities and strengths in your organization’s management of the environment of care and emergency
management processes.
Overview
The duration of this session is approximately 45-90 minutes depending on the type of organization, services
provided and facilities, and will consist of two parts: Environment of Care/Emergency Management discussion
and Environment of Care tracer.
During the first part, there is a group discussion that takes approximately 70% of this session. Surveyors are
not the primary speakers during this time; they are listeners to the discussion, it is not intended to be an
interview. The surveyors review the Environment of Care risk categories as indicated in the matrix below, and
safety data analysis and actions taken by your organization.
The remaining time is spent as the surveyor observes and evaluates your organization’s performance in
managing a particular risk or management process in the environment of care. The management process or
risk selected for observation is based on the environment of care documents previously reviewed, observation
by other surveyors, and knowledge gained during the group discussion of this session.
Environment of Care Discussion and Emergency Management (Approximately 70% of session time) – Be
prepared to discuss how the various Environment of Care risk categories1 and construction activities, when
applicable, are addressed in each of the following six management processes.
IMPROVE PLAN
MONITOR
EC Risk
Management Cycle
RESPOND
TEACH
IMPLEMENT
Plan
 What specific risks related to its environment of care have been identified by your organization?
Teach
 How have roles/responsibilities for staff/volunteers been communicated by your organization.
1 The environment of care risk categories include: general safety and security, hazardous materials and waste, fire safety,
medical/laboratory equipment, and utilities (see matrix on the next page for applicability of risk categories to each
accreditation program).
Implement
 What procedures and controls (both human and physical components) does your organization implement to
minimize the impact of risk to patients, visitors, and staff?
Respond
 What procedures does your organization implement to respond to an environment of care incident/failure?
 How, when, and to whom are environment of care problems, incidents, and/or failures reported within your
organization.
Monitor
 How is environment of care performance (both human activities and physical components) monitored by your
organization
 What monitoring activities have taken place within the last 12 months (on re-surveys)?
Improve
 What environment of care issues are currently being analyzed?
 What actions have been taken as a result of monitoring activities?
The following matrix is provided to assist in determining patterns of management process or risk
category areas of concern and strengths.
CONSTRUCTION 2
MED/LAB. EQ. 1
SECURITY 2
SAFETY and
EMG. MGT 2
HAZMAT 2
UTILITIES
FIRE 2
PLAN
TEACH
IMPLEMENT
RESPOND
MONITOR
IMPROVE
Note: 1 = Not applicable to Behavioral Health Care

2 = Not applicable to Long Term Care Medicare/Medicaid Certification-Based Option Surveys
If your organization wants to conduct a mock Environment of Care Session:

1. Identify a high risk process or category
2. Determine the location for that risk or category in your plans, e.g. safety, security etc.
3. Trace the risk or category through the phases in the first column: planning, teaching, implementing,
responding, monitoring and improving
4. Note any gaps between what exists and what should be in place
5. Modify the process, as needed

Be prepared to discuss your organization’s performance addressing the emergency management requirements
including performance in:
 Identifying potential emergencies that could affect demand for organization services or the
organization’s ability to provide services (sometimes referred to as a, Hazard Vulnerability Analysis)
 Identifying your role in relation to the community’s, county’s, or region’s emergency management
program
 Identifying processes for the timely sharing of information with other health care organizations that
provide services within the contiguous geographic area (for hospitals and long term care organizations
only)
 Identifying an “all hazards” command structure that links with the community’s command structure and
 Making any necessary improvements to its emergency management based on critiques of emergency
management drills
Environment of Care Tracer (Approximately 30% of session time)

The surveyor observes and evaluates your organization’s performance in managing the selected Environment of
Care risk. They observe implementation of those particular management processes determined to be
potentially vulnerable or trace a particular risk(s) in one or more of the environment of care risk categories your
organization manages by:
 Beginning where the risk is encountered or first occurs. (i.e., a starting point might be where a particular
safety or security incident occurs, a particular piece of medical equipment is used, or a particular hazardous
material enters your organization)
 Having staff describe or demonstrate their roles and responsibilities for minimizing the risk, what they are to
do if a problem or incident occurs, and how to report the problem or incident
 Assessing any physical controls for minimizing the risk (i.e., equipment, alarms, building features)
 Assessing the emergency management plan for mitigation, preparedness, response, and recovery
strategies, actions and responsibilities for each priority emergency
 Assess the emergency plan for responding to utility system disruptions or failures (e.g., alternative source of
utilities, notifying staff, how and when to perform emergency clinical interventions when utility systems fail,
and obtaining repair services)
 If equipment, alarms, or building features are present for controlling the particular risk, reviewing
implementation of relevant inspection, testing, or maintenance procedures
 If others in your organization have a role in responding to the particular problem or incident, having them
describe or demonstrate that role, and reviewing the condition of any equipment they use in responding
If the risk moves around in your organization’s facility (i.e., a hazardous material or waste), the surveyor follows
the risk from “cradle to grave.”

Applicable Programs
CAH, HAP
Facility Orientation – Life Safety Surveyor
Applicability
This activity only applies to Critical Access Hospitals and Hospitals.

Life Safety Code Specialist
Suggested participants include the individual who manages your organization's facility(ies) and other staff at the
discretion of your organization. Due to the limited amount of time the Life Safety Surveyor is onsite, please
be prepared to facilitate this activity upon his/her arrival.
Logistical Needs
Upon arrival by the surveyor, an escort will be needed to take him/her to the main fire alarm panel to verify that
it is functional. The surveyor will then meet with an organization staff member(s) to become oriented to the
layout of the building. This activity is greatly facilitated if the organization has plans and drawings available that
display the building fire safety features. Other documents need for this session include your organization’s:
 Policies and procedures for Interim Life Safety Measures (ILSMs)
 Written fire response plans
 Evaluations of fire drills conducted for the past 12 months
 Maintenance records for fire protections and suppressions equipment,
 Maintenance records for emergency power systems
 Maintenance records for piped medical gas and vacuum systems
A detailed listing of these documents along with their related standards and elements of performance Life
Safety and Environment of Care Document List and Review Tool found at the end of this guide.
Objectives
The surveyor will:
 Assess the main fire alarm panel
 Become familiar with the building to the layout of the building (including arrangement of smoke
compartments, location of any suites, age of building additions, areas with sprinklers, areas under
construction, and any equivalencies granted by the Joint Commission).
 Evaluate the effectiveness of processes for identifying and resolving Life Safety Code® problems
 Evaluate the effectiveness of processes for activities developed and implemented to protect occupants
during periods when a building does not meet the applicable provisions of the Life Safety Code® or during
periods of construction
 Evaluate the effectiveness of processes for maintaining fire safety equipment and fire safety building
features
 Evaluate the effectiveness of processes for maintaining and testing any emergency power systems
 Evaluate the effectiveness of processes for maintaining and testing any medical gas and vacuum systems
 Educate attendees on potential actions to take to address any identified Life Safety Code® problems

Applicable Programs
CAH, HAP
Environment of Care

Surveyor
At a minimum, representation should include safety, security management coordinator, facility manager, building
utility systems manager, responsible person for medical/laboratory maintenance, Environment of Care team or
safety committee leader, and organizational leadership.
Objective
vulnerabilities and strengths in your organization’s environment of care management processes.
Overview
The suggested duration of this session is approximately 60-90 minutes and will consist of two parts:
Environment of Care discussion and Environment of Care tracer. In preparation for this session, the surveyor
evaluates the Environment of Care management plans, any Environment of Care multidisciplinary team meeting
minutes for the previous 12 months, and the annual evaluation of the environment of care management plans
from the previous year.
During the first part, there is a group discussion that takes approximately 50% of this session. Surveyors are
not the primary speakers during this time; they are listeners to the discussion, it is not intended to be an
interview. The surveyors review the Environment of Care risk categories as indicated in the matrix below, and
safety data analysis and actions taken by your organization.
The remaining time is spent as the surveyor observes and evaluates your organization’s performance in
managing a particular risk or management process in the environment of care. The management process or
risk selected for observation is based on the environment of care documents previously reviewed, observation
by other surveyors, and knowledge gained during the group discussion of this session.
Environment of Care Discussion (Approximately 70% of session time) – Be prepared to discuss how the
various Environment of Care risk categories 2 and construction activities are addressed in each of the following
six management processes.
2 The environment of care risk categories include: general safety and security, hazardous materials and waste, fire safety,
medical/laboratory equipment, and utilities (see matrix on the next page for applicability of risk categories to each
accreditation program).

IMPROVE PLAN
MONITOR
EC Risk
Management Cycle
RESPOND
TEACH
IMPLEMENT
Plan
 What specific risks related to its environment of care have been identified by your organization?
Teach
 How have roles/responsibilities for staff/volunteers been communicated by your organization (HR).
Implement
 What procedures and controls (both human and physical components) does your organization implement
to minimize the impact of risk to individuals served/patients/residents, visitors, and staff?
Respond
 What procedures does your organization implement to respond to an environment of care incident/failure?
 How, when, and to whom are environment of care problems, incidents, and/or failures reported within your
organization.
Monitor
 How is environment of care performance (both human activities and physical components) monitored by
your organization
 What monitoring activities have taken place within the last 12 months?
Improve
 What environment of care issues are currently being analyzed?
 What actions have been taken as a result of monitoring activities?
Environment of Care Tracer (Approximately 30% of session time)

The surveyor will select an Environment of Care risk category to trace based on the Environment of Care
session discussion, individual tracer activity observations, or high risk areas based on your type of organization
and the services you provide.
The surveyor observes and evaluates your organization’s performance in managing the selected Environment of
Care risk. He or she observes implementation of those particular management processes determined to be
potentially vulnerable or trace a particular risk(s) in one or more of the environment of care risk categories your
organization manages by:
 Beginning where the risk is encountered or first occurs. (i.e., a starting point might be where a particular
safety or security incident occurs, a particular piece of medical equipment is used, or a particular
hazardous material enters your organization).
 Having staff describe or demonstrate their roles and responsibilities for minimizing the risk, what they are
to do if a problem or incident occurs, and how to report the problem or incident.
 Assessing any physical controls for minimizing the risk (i.e., equipment, alarms, building features).
 Assessing the emergency management plan for mitigation, preparedness, response, and recovery
strategies, actions and responsibilities for each priority emergency
 Assess the emergency plan for responding to utility system disruptions or failures (e.g., alternative source
of utilities, notifying staff, how and when to perform emergency clinical interventions when utility systems
fail, and obtaining repair services)
 If equipment, alarms, or building features are present for controlling the particular risk, reviewing
implementation of relevant inspection, testing, or maintenance procedures.

 If others in your organization have a role in responding to the particular problem or incident, having them
describe or demonstrate that role, and reviewing the condition of any equipment they use in responding.
If the risk moves around in your organization’s facility (i.e., a hazardous material or waste), the surveyor follows
the risk from “cradle to grave.”

Applicable Programs
CAH, HAP
Life Safety Code Building Assessment
Applicability
This activity only applies to Critical Access Hospitals and Hospitals.

Life Safety Code Specialist
discretion of your organization.
Logistical Needs
The surveyor will need a ladder and flashlight for this activity and the escort needs to have keys or tools
necessary to open locked rooms, closets or compartments in order to allow the surveyor access to and
observation of space above the ceilings.
Objectives
The surveyor will:
features
 Determine the degree of compliance with relevant Life Safety Code® requirements
Overview of Building Tour

Surveyors will:
 Assess Operating Room(s) for proper pressure relationships
 Assess required fire separations
 Assess required smoke separations (at least two)
 Assess hazardous areas, such as soiled linen rooms, trash collection rooms, and oxygen storage rooms
 Conduct an "above the ceiling" survey at each location identified above by observing the space above
the ceiling to identify:
 penetrations of smoke, fire or corridor walls
 smoke or fire walls that are not continuous from slab-to-slab and outside wall to outside wall
 penetrations or discontinuities of rated enclosures including hazardous areas, stairwells, chutes,
shafts, and floor or roof slabs
 corridor walls that are not slab-to-slab or do not terminate at a monolithic ceiling (if the building is
fully sprinkled and the ceiling is smoke tight, the walls may terminate at the ceiling line)
 the presence or absence of required smoke detectors or fire dampers
 the presence or absence of required fire proofing on structural members such as columns, beams,
and trusses
 Verify that fire exits per building and verify that they are continuous from the highest level they serve to
the outside of the building
 Assess any kitchen grease producing cooking devices
 Assess any laundry and trash chutes (including the bottoms of any laundry and trash chutes
 Assess the condition of all emergency power systems and equipment

 Verify that there is a reliable emergency power system that supplies electricity when normal electricity is
interrupted to the following areas: exit route illumination, emergency/urgent care areas, areas where
electrically powered life-support equipment is used, operating rooms, and postoperative recover rooms
 Assess any medical gas and vacuum system components including master signal panels, area alarms,
automatic pressure switches, shutoff valves, flexible connectors, and outlets
Documentation of Findings
If a LSC deficiency will be recorded as a finding in the Summary of Survey Findings Report. Any “below-the-
ceiling” LSC deficiencies identified by other survey team members will also be documented as a finding in the
Summary of Survey Findings Report.

Applicable Programs
CAH, HAP
Emergency Management

Surveyor (or Life Safety Code Specialist)
Suggested participants include individuals familiar with emergency management within your organization. This
may include the emergency management coordinator, safety management coordinator, security management
coordinator, facility manager, building utility systems manager, IT Representative, nursing administration,
infection control staff, and organizational leadership including representation from the Medical Staff.
Logistics
The suggested duration of the Emergency Management session is approximately 60-90 minutes. In preparation
for this session, the surveyor evaluates the Hazard Vulnerability Analysis, the Emergency Operation Plan, annual
evaluation of the Emergency Operation Plan from the previous year, and Emergency Management (EM) drills and after
action reports
Objective
vulnerabilities and strengths in your organization’s emergency management processes structure, operations,
and planning activities.
Overview
The surveyor initiates discussion around the four emergency management categories: mitigation, planning,
response, and recovery.
Discussion topics include:
 Your organization’s involvement with your community and its relationship with other health care
organizations
 Inventory of the assets it has on-site, that would be needed during an emergency.
 Capabilities and response efforts when the organization cannot be supported by the local community for
at least 96 hours.
 Planning performance for the six critical functions:
- Communication (including backup communications capabilities)
- Resources and assets
- Safety and Security
- Staff responsibilities (including orientation/ competency/training of staff
- Utilities management
- Patient and clinical support activities
 Your organization’s processes for the disaster privileging of licensed independent practitioners and
verification of other practitioners who are required to have licensure, certification or registration
 Recent improvements to the Emergency Operations Plan or any lessons learned from your emergency
management exercises.
Potential for survey team to follow-up on emergency management related issues during Individual Tracers,
System Tracers, Leadership session, and other activities as needed.

Applicable Programs
BHC (24 hour care
settings only) NCC, OBS,
OME
Life Safety Code Building Assessment
Applicability
This activity does not apply to Behavioral Health Care organizations designated as business occupancies. For
the Home Care accreditation program, this activity only applies to certain facility-based hospice settings (see the
Life Safety chapter Overview in each program’s Accreditation Manual for more information).

Surveyor
discretion of your organization.
Logistical Needs
The surveyor will need a ladder and flashlight for this activity and the escort needs to have keys or tools
necessary to open locked rooms, closets or compartments in order to allow the surveyor access to and
observation of space above the ceilings. NOTE: Nursing Care Center surveyors will limit their Life Safety
Code® tour to issues below the ceiling and will not require ladder and flashlight.
In preparation for this session, the surveyor meets with an organization staff member to become oriented to the
layout of the building (including arrangement of smoke compartments, location of any suites, age of building
additions, areas with sprinklers, areas under construction, and any equivalencies granted by the Joint
Commission). This activity is greatly facilitated if the organization has plans and drawings available that display
the building fire safety features. The surveyor will also review your organization’s processes for Interim Life
Safety Measures (ILSMs).
Objectives
The surveyor will:
features
 Evaluate the effectiveness of processes for identifying and resolving Life Safety Code® problems
 Evaluate the effectiveness of processes for activities developed and implemented to protect occupants
during periods when a building does not meet the applicable provisions of the Life Safety Code® or during
periods of construction
 Determine the degree of compliance with relevant Life Safety Code® requirements
Facility Orientation
1. Meet with appropriate organization staff to become oriented to the:
 Layout of the building (including arrangement of smoke compartments, location of any suites, age of
building additions, areas with automatic sprinklers, areas under construction, and any equivalencies
granted by the Joint Commission
 Organization processes for Interim Life Safety Measures (ILSMs)
Overview of Building Tour

Surveyors will:

 Assess hazardous areas, such as soiled linen rooms, trash collection rooms, and oxygen storage rooms
 Assess required fire separations
 Assess required smoke separations (at least two)
 Conduct an "above the ceiling" survey at each location identified above by observing the space above
the ceiling to identify:
 penetrations of smoke, fire or corridor walls
 smoke or fire walls that are not continuous from slab-to-slab and outside wall to outside wall
 penetrations or discontinuities of rated enclosures including hazardous areas, stairwells, chutes,
shafts, and floor or roof slabs
 corridor walls that are not slab-to-slab or do not terminate at a monolithic ceiling (if the building is
fully sprinklered and the ceiling is smoke tight, the walls may terminate at the ceiling line)
 the presence or absence of required smoke detectors or fire dampers
 the presence or absence of required fire proofing on structural members such as columns, beams,
and trusses
 Verify that fire exits per building and verify that they are continuous from the highest level they serve to
the outside of the building
 Assess any kitchen grease producing cooking devices
 Assess the bottoms of any laundry and trash chutes
 Assess the main fire alarm panel (if any)
 Assess the condition of all emergency power systems and equipment
 Assess any medical gas and vacuum system components including master signal panels, area alarms,
automatic pressure switches, shutoff valves, flexible connectors, and outlets
Documentation of Findings
A LSC deficiency will be recorded as a Requirement for Improvement in the Summary of Survey Findings
Report.

Applicable Programs
All programs, except LAB
and NCC
System Tracer – Data Management

Surveyors
Suggested participants vary depending on the focus of the tracer. Surveyors inform your organization who
should participate in this session.
Logistical Needs
The suggested duration for this activity is 30-90 minutes depending on the number of days surveyors spend
onsite and the size and complexity of your organization. A room that can accommodate both organization and
Joint Commission participants is needed.
Objective
Surveyors will learn about how your organization is using data to evaluate the safety and quality of care being
provided to individuals served/patients/residents. They will also seek to understand, as well as, assess your
organization’s performance improvement processes including the management and use of data.
Overview
During the Surveyor Planning Session, surveyors review your organization’s data. Surveyors will review your
organization’s data and performance improvement projects during planning activity in preparation to discuss the
following topics:
 Planning for data use including how your organization identifies and prioritizes measurement and
performance improvement projects
 Data collection methodology to ensure that all data is collected as planned, and that it is accurate and
reliable
 Data aggregation and analysis and the processes for turning it into useful information
 Data use in your organization – be prepared with examples of how it is used on an ongoing basis, how it
is used in periodic performance monitoring and project based activities
Data-related topics that will be discussed during this session include:

 Infection Control
 Antimicrobial Stewardship including data and reports demonstrating improvement. If the data
demonstrates that antimicrobial stewardship improvement is not necessary make sure the surveyor is
informed.
 Medication Management
 Antimicrobial Stewardship including: (HAP and CAH only)
o A document that describes how the organization uses the CDC’s Core Elements of a Hospital
Antibiotic Stewardship Program. This information can be a separate document or can be included in other
antimicrobial stewardship documents. This documentation does not have to be provided in a lengthy format
but needs to describe how the core elements are addressed in their antimicrobial stewardship program.
o Organization-approved antimicrobial stewardship protocols (e.g. policies, procedures or order sets
are acceptable)
o Antimicrobial stewardship multidisciplinary team
 National Patient Safety Goal data
 Contracted services performance monitoring

 Organization directed data collection
 Proactive risk assessment, when applicable
 Regulated data collection, e.g., OASIS, MDS, other federal or state reporting, etc.
 Incident/error reporting
 Staffing issues
 Hospital only:
 Core Measures
 Patient flow
 Readmission rates

Applicable Programs
AHC, BHC, HAP, OME
System Tracer – Infection Control

Surveyors
Suggested participants include the infection control coordinator for each program being surveyed; physician
member of the infection control team; clinicians from the laboratory; clinicians knowledgeable about the
selection of medications available for use and pharmacokinetic monitoring, as applicable; facility or facilities
staff; organization leadership; and staff involved in the direct provision of care, treatment, or services.
Logistical Needs
The duration of this session is approximately 30-60 minutes. The surveyor may need a quiet area for brief
interactive discussion with staff who oversee the infection control process. The remaining session is spent
where the care, treatment, or services are provided.
Objectives
The surveyor will:
 Learn about the planning, implementation, and evaluation of your organization’s infection control program
 Identify who is responsible for day-to-day implementation of the infection control program
 Evaluate your organization’s process for the infection control plan development, outcome of the annual
infection control evaluation process, and oversight of opportunities for improvement
 Understand the processes used by your organization to reduce infection
Overview
The infection control session begins during one of the individual tracers where the surveyor identifies a
individual served/patient/resident with an infectious disease. This session is conducted in two parts. During the
first part, surveyors meet with staff from all programs being surveyed to discuss your organization’s infection
control program. During the remaining time, surveyors spend their time where care, treatment, or services are
provided.
Topics of discussion include:

 How individuals with infections are identified
 Laboratory testing and confirmation process, if applicable
 Staff orientation and training activities
 Current and past surveillance activity
 Analysis of infection control data
 Reporting of infection control data
 Prevention and control activities (for example, staff training, staff and licensed independent practitioner
vaccinations and other health-related requirements, housekeeping procedures, organization-wide hand
hygiene, food sanitation, and the storage, cleaning, disinfection, sterilization and/or disposal of supplies
and equipment)
 Staff exposure
 Physical facility changes that can impact infection control
 Actions taken as a result of surveillance and outcomes of those actions
Note: These topics are covered by surveyors during other activities on surveys that do not have a specific
system tracer related to infection control.

Applicable Programs
AHC, BHC, HAP, OME
System Tracer – Medication Management

Surveyors
Suggested participants include clinical and support staff responsible for medication processes.
Logistical Needs
The suggested duration of this session is approximately 30-60 minutes. A room is needed to accommodate
organization and Joint Commission surveyor participation.
Objectives
The surveyor will:
 Learn about your organization’s medication management processes
 Evaluate the continuity of medication management from procurement of medications through monitoring, if
applicable
 Evaluate the medication reconciliation process during “hand-offs” from one level of care to another, if
medication is prescribed
Overview
The surveyor targets a individual served/patient/resident receiving a specific medication. The review begins
with the individual’s record of care then follows the medication throughout the system.
For complex organizations being surveyed under more than one accreditation manual or for more than one
service under one accreditation manual), the surveyor selects an individual served/patient/resident who is
receiving a high-risk medication, who moves between or who has the potential of moving between
programs/services. If a program is not involved in the selected medication, then a surveyor from each program
will trace a high risk medication through their program.
For Home Care Pharmacy organizations being surveyed: The surveyor will observe the sterile compounding
process as part of the Medication Management session, or as part of a patient tracer.
Other discussion issues include:

 Antimicrobial Stewardship including: (HAP only)
o A document that describes how the organization uses the CDC’s Core Elements of a Hospital Antibiotic
Stewardship Program. This information can be a separate document or can be included in other antimicrobial
stewardship documents. This documentation does not have to be provided in a lengthy format but needs to
describe how the core elements are addressed in their antimicrobial stewardship program.
o Organization-approved antimicrobial stewardship protocols (e.g. policies, procedures or order sets are
acceptable)
o Antimicrobial stewardship multidisciplinary team
 Process for reporting errors, system breakdowns, near misses, or overrides
 Data collection, analysis, systems evaluation, and performance improvement initiatives
 Medications brought into an organization by the patient/resident/individual served
 Education of staff and individual served/ patient/resident
 Information management systems related to medication management
 Individual served/ patient/resident involvement in medication management
Note: These topics are covered by surveyors during other activities on surveys that do not have a specific
system tracer related to medication management.

Applicable Programs
BHC
[Foster / Therapeutic Foster Care only]
Foster Family Home Visits

Surveyor
Suggested participants include the case manager, foster parent or family, and individual served
Logistical Needs
This focused tracer occurs during time designated for Individual Tracer Activity. The suggested duration for this
activity is approximately 90 minutes. Time will be spent in the agency, traveling, and in the foster family home.
To help with planning for this session, identify the foster parents/family scheduled for a visit that a Joint
Commission surveyor can observe. This provides the surveyor with an opportunity to interview the individual
served and the family about the foster care program. You will need to obtain written permission for the home
visit from the foster parent/family. This signed permission form should be kept by your organization.
Objectives
The surveyor will:
 Assess the interaction among the foster parents/family, the individual served, and the case worker
 Assess the environmental safety issues in the home
Overview
Prior to the home visit, the surveyor asks the Case Manager for an overview of the services and care required
by and provided to the individual served. This overview includes the following:
 History of the individual served
 The medical and emotional assessments of the individual served
 The case plan
 Special needs of the individual served
 The plan for coordination with other service providers
 Permanency goal for the individual served (children/youth only)
 The Case Manager’s understanding of organization policies, procedures, job responsibilities and
performance improvement
During the home visit, the surveyor observes the home environment for:
Staff/individual served/foster family interaction including:
 Safety, security, and confidentiality
 Communication in a language the individual served/foster family can understand
 Encouragement by the case manager for the individual served/foster family to verbalize and ask
questions
 Respect for the privacy of the individual served and foster family
 Respect for their culture/religious beliefs
Care, including:
 Provision of a nurturing care environment
 Recognition of (and provision for) the assessed special needs of the individual served
 Opportunities for the individual served to interact with siblings and other members of the family of
origin, if indicated in the case plan(children/youth only)
 Participation of the individual served/foster family in case planning, permanency planning
(children/youth only) and planning for independent living (when appropriate)
Environmental safety issues including:

 Life safety issues such as smoke detectors in or near the sleeping room of the individual served
and a large window or other means of secondary egress from the sleeping room
 Safe storage, handling, and dispensing of medications in the home

 Sanitary living conditions
Depending on the level of maturity of the individual served, and their condition, and personal wishes, the
surveyor interviews him or her (without the foster parents present) to discover the opinions about his or her
placement, agency support, protection of his or her individual rights, involvement in case plan decisions, and
permanency planning (for children/youth only). The surveyor interviews the individual served in the presence of
the case manager or other agency staff, or may talk privately with him or her as long as they stay in visual
contact with the foster parents and the case manager. This casual talk may include the following topics:
 His or her involvement in case planning, permanency planning (for children/youth only), and preparation
for independent living (if appropriate)
 Steps taken to meet any “special needs” that may have been identified during assessment
 How the his or her unique cultural/ethnic/religious needs (if any) are addressed
 How the foster parents handle the situation if he or she doesn’t obey the house rules”
 His or her understanding of their rights to safety and privacy (to learn how these issues are addressed
by your organization and the foster family)
 His or her contacts with organization staff and the support services received
The surveyor will ask about information the foster parents/family received from your organization related to the
following topics:
 The special physical, emotional, and social needs of the individual served
 The rights of the individual served, foster family, and family of origin
 Procedures for reporting incidents and accidents
 Support services available from your organization and the community
 Foster care financial reimbursement issues
 Respite care policies and procedures
 How to ensure a safe living environment
 Provision for the educational and health needs of the individual served
 Confidentiality of information
 How the special cultural/ethnic needs of the individual served are addressed
 Education and training provided by your organization
 Requirements for foster care family licensure
 Competency assessment and evaluation
The surveyor is also interested to know if the foster parent/family have ever identified any problems with the
support or services offered by your organization and, if so, how these problems were handled.

Applicable Programs
BHC
[Foster / Therapeutic Foster Care Only]
Foster Parents Group Meeting

Surveyor
Suggested participants include staff who are familiar with your organization’s foster care services and foster
parents who are representative of all the foster care services provided by your organization.
Logistical Needs
This focused tracer occurs during time designated for Individual Tracer Activity. The suggested duration of this
session is approximately 60 minutes. During this session, surveyors visit foster homes. You are responsible for
making all arrangements for this visit, including securing a location, notifying foster parents of the date, time,
and place. If you host a regularly scheduled meeting with foster parents for training, education, communication,
or other purposes, explore the possibility of scheduling this meeting during the survey. It may be held any
afternoon or evening of the survey except for the last day.
Objectives
The surveyor will:
 Learn about your organization’s recruitment, licensing, and training process
 Learn about the preparation of foster parents to meet the needs of individuals served
 Learn about your organization’s foster care program from the foster parent’s perspective
Overview
Foster parents provide important information about a foster care program’s services and support which makes
them key participants in an accreditation survey. A Foster Parents Group meeting provides a surveyor the
opportunity to speak with more foster parents than individual home visits will allow.
The surveyor asks about information foster parents receive from your organization regarding the following
areas:
 The special physical, emotional, and social needs of the individual served
 The rights of the individual served, foster family, and family of origin
 Procedures for reporting incidents and accidents
 Support services available from your organization and the community
 Foster care financial reimbursement issues
 Respite care policies and procedures
 How to ensure a safe living environment
 Provision for the educational and health needs of the individual served
 Confidentiality of information
 How the special cultural/ethnic needs of the individual served are addressed
 Education and training provided by your organization
 Requirements for foster care family licensure, including competency

Applicable Programs
LAB
Proficiency Testing Validation/Performance

Improvement Data Review

Surveyor
Laboratory director(s) on all CLIA certificates held by the organization, the laboratory administrative director
and/or manager and other staff or laboratory staff as designated by the organization
Logistical Needs
The suggested duration of this session is approximately 30 minutes. A room is needed to accommodate
Objective
The surveyor will verify that the laboratory is enrolled and participates in a CMS-approved proficiency testing
program for each regulated analyte and will review proficiency testing performance for regulated and non-
regulated analytes (if applicable), including documentation of remedial action for each result exceeding
acceptable limits.
Overview
During this session the surveyor will review and discuss the following documents with laboratory
representatives:
 All proficiency testing results for the last two years (previous six testing events)
 All records of test handling, preparation, processing, examination, and results reporting and signed
attestation statements provided by the proficiency feedback reports
 Documentation of review of each proficiency report and documentation of review of problems or
potential problems with remedial actions, as indicated
 Performance improvement data
 Record retention policies and procedures

Applicable Programs
OME
[HME only]
Regulatory Review - HME

Clinician surveyor
Suggested participants include those responsible for billing, posting revenue and reconciliation of accounts.
Additionally, staff responsible for budgeting and oversight of client complaints will be interviewed.
Logistical Needs
The suggested duration of this session is approximately 60 minutes. A location with access to accounting
documents is needed. Surveyors can go to the billing staff desks and review information on the computer if that
is the most convenient way of viewing the information.
Objective
The surveyor will learn about your organization’s financial management processes relative to Medicare/Medicaid
billing and receivables
Overview
During this session the surveyor will want to learn about your organization's processes for internal oversight and
reconciliation processes (monitoring) to ensure that:
 Medicare/Medicaid is being billed only for supplies and equipment provided the a patient/client; and
 Medicare/Medicaid payments are being appropriately assigned to a patient/client account; and
 Money is being deposited into the organization's account.
Surveyors will want to interview staff about your organization's process for complaint receipt, tracking and
resolution and will ask to see your complaint log.
Annual Budget Review: Your organization’s annual budget will be reviewed if it is available.

Applicable Programs
LAB
Regulatory Review - LAB

Surveyor
Laboratory leadership
Logistical Needs
The suggested duration of this session is approximately 30 minutes. A room is needed to accommodate
Objective
The surveyor will verify that licensing and services provided by the laboratory comply with law and regulation.
Overview
During this session the surveyor will:
 Verify CLIA certificates:
▪ Director
▪ Specialties/subspecialties
▪ Type corresponds to level of testing
 Verify license requirements of lab, director and staff
 Verify proficiency testing provider and enrollment period
 Determine test volumes per CMS guidelines for specialties
 Review of IQCP documentation, if applicable

Applicable Programs
AHC
[Federal Bureau of Primary
Health Care only]
Clinical Leadership and Staff Discussion

Surveyor
Required participants include at a minimum:
 Clinical leadership
 One licensed independent practitioner or clinical staff member from each satellite/remote site that is not
scheduled for a site visit
 One clinical staff member responsible for providing direct care to any special population for which the Health
Center receives specific funding support (e.g. homeless, migrant and seasonal farm workers, public housing
residents, HIV/AIDS)
 A cross section of providers including physicians, dentists, other licensed independent practitioners, nurses,
social workers, and other categories of staff who provide direct care to patients
 If all sites are scheduled for a visit, at least one person who may not otherwise be available to participate in
the site visit, e.g. part-time individual with clinical responsibilities who is not scheduled to work on the day of
the site visit, part-time or week-end staff member, individual with a schedule conflict which would preclude
participation during a scheduled on-site visit
Logistical Needs
The suggested duration of this session is approximately 60 minutes.
[NOTE: As of April, 2012 Health Center completion and surveyor review of the “Health Center Self-Report Tool
for BPHC Program Expectations” is an option.]
The surveyor will review the health care plan, credentialing and privileging policies and procedures, risk
management policies and procedures, and clinical practice guidelines
Objectives
The surveyor will:
 Understand the clinical staff’s role in your organization
 Learn about the clinician’s understanding of performance improvement approaches and methods, and their
involvement in your organization’s approach to performance improvement
 Assess the interrelationships and communication between and among disciplines, departments, programs,
services or settings, when applicable to your organization
Overview
Based on prior survey findings and other available information the surveyor assesses issues according to the
following framework:
 Pre-entry and entry phases of the continuum of care
 Linkage with and use of available information sources about the patient's needs
 Linkages with other care settings within and/or outside your organization
 Availability of and access to services consistent with your organization's mission, populations, and
treatment settings or services to meet the patient's needs, including BPHC required services
 Arrangements with other organizations and the community to facilitate entry and access to
comprehensive health and social services
 Referrals and transfers to meet the patient's needs and BPHC requirements
 The use of clinical consultants and contractual arrangements

 Care within your organization
 Scope of service being provided directly or indirectly; including those required by BPHC
 Continuous flow of services from assessment through treatment and reassessment
 Coordination of care among providers
 Pre-exit and exit phases of the continuum of care

 Assessment of the patient's status and need for provision of continuing care
 Direct referral to practitioners, settings, and organizations to meet the patient's continuing needs
 Reassessment of the use and value of providing continuing care in meeting the patient's needs
 Provision of information or data to help others meet the patient's continuing needs.
 Systems issues supporting the continuum of patient care

Applicable Programs
AHC
[Federal Bureau of Primary Health
Care only]
Governance Discussion Session

Administrative surveyor (or clinician surveyor on surveys with one surveyor)
Required participants include at least the following:
 Chairperson/President or Vice-Chair/Vice President
 Treasurer or Chair of the Finance Committee
 A board member who represents the users/patients/consumers, if one of the above officers is not a
patient/user/consumer
 If the center receives funding for any special population groups (e.g. Migrant and Seasonal Farm
Workers, Homeless Individuals, Residents of Public Housing), the representative for this population
group
Note: Board members may participate by conference call.
Logistical Needs
Objective
The surveyor will learn about your organization’s governance, particularly as it pertains to compliance with
BPHCs statutory and regulatory requirements.
Overview
The surveyor begins this session with a brief overview of the Joint Commission’s mission and goals as well as a
description of the benefits of the combined Joint Commission - BPHC survey. Discussion is based on relevant
standards-based issues, BPHC Program Expectations required by law or regulation, and information presented
by your organization during the opening conference and orientation to the organization. Information gained
during the session is used to assess levels of compliance with BPHC statutory and regulatory requirements.
Assessments of compliance with The Joint Commission standards may also occur.
The surveyor addresses the following issues:

 The structure and composition of the governing body
 The functioning, participation, and involvement of the governing body in the oversight and operation of
your organization
 The level of communication among the board members
 The governing body’s perception and implementation of its role in your organization, especially
regarding the governance, and mission and strategy expectations, if described in the “Health Center
Self-Report Tool for BPHC Program Expectations*”
 The knowledge of the governing body members with respect to federal law and regulation
 The governing body’s understanding of performance improvement approaches and methods and
involvement in your organization’s approach to performance improvement
 Pertinent Joint Commission Leadership standards relevant to the governing body’s role in your
organization
The surveyor engages the governing body participants in discussions regarding new processes or services in
your organization, and about the collaboration and involvement of appropriate leaders and other individuals.
The surveyor reviews and summarizes the issues or opportunities for improvement that relate to the BPHC’s
statutory and regulatory requirements and those that are Joint Commission standards-related areas that will be
addressed in subsequent system or patient tracers.
*[NOTE: As of April, 2012 Health Center completion and surveyor review of the “Health Center Self-Report Tool
for BPHC Program Expectations” is an option.]

Applicable Programs
All programs, except LAB
and NCC
Leadership Session

Surveyors
Suggested participants include senior leaders who have responsibility and accountability for design, planning,
and implementation of organization processes. Leaders typically include but are not limited to members of the
governing body/trustee, CEO, and leaders of the medical staff and clinical staff.
For complex surveys, there is a single Leadership Session that will include discussion of all programs and
services being accredited at the time of this survey. Surveyors from all programs should participate in this
session if they are onsite. Your organization should have leadership representation from all programs
undergoing survey.
Logistical Needs
Objective
Surveyors will explore leadership’s responsibility for creating and maintaining your organization’s systems,
infrastructure, and key processes which contribute to the quality and safety of care, treatment, or services.
Overview
During this session, surveyors will explore, through organization-specific examples,
 Leadership commitment to improvement of quality and safety
 Creating a culture of safety
 Robust process improvement
 Observations that may be indicative of system-level concerns
The surveyor facilitates discussion with leaders to understand their roles related to performance of your
organization-wide processes and functions. This discussion will be a mutual exploration of both successful and
perhaps less successful organization performance improvement initiatives, or introduction of a new service or an
optimal performing department, unit or area vs. one in need of improvement. Surveyors will want to hear how
leaders view and perceive these successes and opportunities and learn what they are doing to sustain the
achievements, as well as encourage and support more of the same success. Throughout the discussion
surveyors will listen for examples of
 The planning process used
 How data is used once it is collected
 The approach used to change processes and work flow
 How information about newly implemented processes is communicated throughout your organization
 How leaders assess the culture of safety throughout the organization
 How leaders envision the performance of processes that are selected for improvement
 Leadership support and direction, including planning and resource allocation
 The degree to which the implementation is comprehensive and organization-wide
 The relationship of the function or process to patient/resident/individual served safety and quality
 How the effective performance of the function or process is evaluated and maintained
 Hospitals and Critical Access Hospitals: How leadership demonstrates that antimicrobial stewardship
is an organizational priority

Applicable Programs
(NCC)
Leadership and Data Use Session

Surveyors
Suggested participants include leaders with responsibility and accountability for design, planning, organizational
processes, and data management. Typically participants include the following:
 At least one member of the governing body or an organization trustee (in single-owner organizations,
this individual may also be the Administrator)
 Senior organization leaders (Administrator, COO, CNO, CFO, CIO, VP for Clinical Services, Director of
Patient Services or Branch Manager)
 Other organization leaders (Director of Human Resources, MDS Coordinator, and Performance
Improvement).
Logistical Needs
Objective
Surveyors will explore and evaluate how leaders of the organization oversee the collection and use of data to
evaluate the safety and quality of care being provided to patients and residents, where the organization is on its
journey to high reliability, and to understand and assess the organization’s performance improvement process.
Overview
During this session, the surveyor will facilitate discussion with staff to understand the organization’s adoption of
performance improvement fundamental principles for the following topics:
 MDS outcomes
 Medication monitoring through data including medication errors, adverse events, and utilization
 Infection prevention and control, collection and use of surveillance data
 The influenza vaccination program, including education, vaccination goals, and vaccination rates
 Antimicrobial stewardship
o The organization’s use of the CDC’s The Core Elements of Antibiotic Stewardship for Nursing
Homes
o Demonstration that antimicrobial stewardship is an organizational priority
o Antimicrobial stewardship multidisciplinary team functions
o Organization development and approval of antimicrobial stewardship protocols (e.g. policies,
procedures or order sets)
o Antimicrobial stewardship data collection, analyses and reports
o Data and reports demonstrating antimicrobial stewardship improvement (if available)
 Risk assessment/management activities National Patient Safety Goals, including monitoring of CDC or
WHO hand hygiene compliance
 Monitoring performance of contracted services
 Monitoring staff compliance with employee health screening requirements
 The culture transformation planning process, evaluation of culture transformation efforts, and the quality
of person-centered care being provided to patients and residents

For NCC Organizations that elect the Post-Acute Care Certification option
The following additional topics will be explored by the surveyor during the Leadership and Data Use
Session:
 Post-acute patients that are readmitted to the hospital or emergency department
 Opportunities for improvement identified following the discharge of post-acute patients
For NCC Organizations that elect the Memory Care Certification option
The following additional topics will be explored by the surveyors during the Leadership and Data Use
Session:
 The role of the Coordinator in the provision of dementia care, programs, and services
 How the organization remains current with trends in the provision of dementia care
 Efforts to minimize the use of psychotropic medications, particularly antipsychotic medications

Applicable Programs
CAH, HAP
Medical Staff Credentialing and Privileging

One clinician surveyor
Suggested participants include the President of the medical staff; Medical Director and Medical Staff
Coordinator, if applicable; and Medical staff credentials committee representatives.
Logistical Needs
The suggested duration of this session is approximately 60 minutes. The surveyor requests specific credential
files of practitioners who are identified from tracers, from OR log, from the ICU and special procedures unit logs,
etc. The type of files a surveyor requests are from high-risk specialties, non-physician specialties, non-
physician licensed independent practitioners, moonlighters, hospitalists, practice outside the usual scope of
specialty, and low volume specialties. When a Nursing Care Center is integrated with the hospital, the
surveyor reviews credential files of the Medical Director of the NCC and other licensed independent
practitioners.
The surveyor also requests the Medical Staff Bylaws, Rules, and Regulations, Medical Executive Committee
minutes, peer review and focused monitoring records for the session.
Objectives
The surveyor will:
 Learn about the process used to collect data relevant to appointment decisions, the process for granting and
delineating privileges, and the structures that guide consistency of implementation (e.g., bylaw
requirements)
 Evaluate the credentialing and privileging process for the medical staff and other licensed independent
practitioners who are privileged through the medical staff process
Overview
During this session, the surveyor discusses with organization participants:
 How your organization collects data used in making decisions on appointment, granting and delineating
privileges
 Consistent implementation of the credentialing and privileging process for the medical staff and other
licensed independent practitioners who are privileged through the medical staff process
 Processes for granting privileges and the delineation of privileges
 Whether practitioners practice within the limited scope of delineated privileges
 The link between peer review and focused monitoring to the credentialing and privileging process
 Potential concerns in the credentialing, privileging, and appointment process
 Education on antimicrobial resistance and antimicrobial stewardship (Note: surveyors will not review
medical staff records related to antimicrobial stewardship)

Applicable Programs
All programs
Surveyor Report Preparation

Surveyors
None
Logistical Needs
The suggested duration of this session is approximately 60-120 minutes. Surveyors need a room that includes
a conference table, power outlets, telephone, and internet access.
Overview
Surveyors use this session to compile, analyze, and organize the data collected during the survey into a report
reflecting your organization’s compliance with the standards. Surveyors will provide you with the opportunity to
present additional information at the beginning of this session if there are any outstanding surveyor requests or
further evidence to present from the last day of survey activity. Surveyors may also ask organization
representatives for additional information during this session.

Applicable Programs
All programs
CEO Exit Briefing

Surveyors
Suggested participants include the Chief Executive Officer (CEO) or Administrator, if available
Logistical Needs
Objectives
Surveyors will:
 Review the survey findings as represented in the Summary of Survey Findings Report
 Discuss any concerns about the report with the CEO/Administrator
 Determine if the CEO/Administrator wishes to have an Organization Exit Conference or if the
CEO/Administrator prefers to deliver the report privately to your organization
Overview
Surveyors will review the Summary of Survey Findings Report (organized by chapter) with the most senior
leader. Surveyors will discuss any patterns or trends in performance. Surveyors will also discuss with the most
senior leader if they would like the Summary of Survey Findings Report copied and distributed to staff attending
the Organization Exit Conference.

Applicable Programs
All programs
Organization Exit Conference

Surveyors
Suggested participants include the CEO/Administrator (or designee), senior leaders and staff as identified by the
CEO/Administrator or designee.
Logistical Needs
The suggested duration of this session is approximately 30 minutes and takes place immediately following the
Exit Briefing.
Objectives
Surveyors will:
 Verbally review the Summary of Survey Findings Report, if desired by the CEO
 Review identified standards compliance issues
Overview
Surveyors will verify with participants that all documents have been returned to the organization. You are
encouraged to question the surveyor about the location of documents if you are unsure.
Surveyors will review the Summary of Survey Findings Report with participants. Discussion will include the
SAFER™ matrix, Requirements for Improvement, and any patterns or trends in performance. Surveyors will
provide information about the revised Clarification process. If follow-up is required in the form of an Evidence of
Standard Compliance (ESC) the surveyors explain the ESC submission process.
Note: Surveyors will direct you to information on your extranet site that explains “What Happens after Your
Survey.”
For complex organizations (being surveyed under more than one accreditation manual or for more than one
service under one accreditation manual), there may be instances when surveyors from other programs will not
be present for the entire duration of the survey. In this situation, the surveyor departing early will request an
Interim Exit Conference where he/she may provide your organization with a brief oral report of their findings and
at that time will respond to questions.
For Hospital, Ambulatory Surgery Centers and Home Care & Hospice Deemed Status, surveyors communicate
their findings relating to the Medicare Conditions of Participation. This includes describing the regulatory
requirements that the organization does not meet and the findings that substantiate these deficiencies.

Applicable Program
NCC
Organization Guide for OPTIONAL

Memory Care Certification (MCC)
Joint Commission Participants:

Surveyor
Organization Participants:
Staff involved in patient or resident care, support staff, and clinical management staff, interdisciplinary team
Objective:
To survey nursing care centers identified to take part in optional certification.
Logistical Needs:
During the surveyor planning session, your organization will need to provide the surveyor with information
related to the memory care services provided at your nursing care center. This information will help the surveyor
determine the areas of focus for the certification survey.
 Profile of memory care services:

o Number of patients or residents with dementia
o Varying cognitive levels or stages of dementia
o Services provided in distinct specialized memory care unit or throughout the organization
Overview:
Memory Care (MCC) certification is optional and can be obtained initially through an extension survey or as part
of your triennial accreditation survey. Once certification is obtained, recertification will always occur at the time
of the triennial survey. If an extension survey is chosen as the route for initially obtaining MCC certification, then
only the unique MCC accreditation requirements are evaluated during the certification survey. When MCC
certification is obtained as part of the accreditation survey, all nursing care center standards as well as the
unique MCC accreditation requirements are evaluated.
Documents to have available:

There are no additional documents required for the MCC survey beyond the list of documents to have available
for the accreditation survey.
Scope of MCC survey:

The MCC survey will focus on evaluating the organization’s provision of care needed for patients or residents
who have been diagnosed with memory-impacting conditions such as Alzheimer’s disease or dementia. The
survey will include an evaluation of how the organization:
 Coordinates care through collaborative assessment and planning

 Provides care that is consistent with current advances in dementia care practices
 Ensures staff posses the knowledge and competency to assess and provide care for a patient or
resident population with memory impairment
 Provides activity programming matched with the patient’s or resident’s cognitive ability, memory,
attention span, language, reasoning ability, and physical function.
 Manages patient or resident behaviors with emphasis on the use of non-pharmacological interventions
as an alternative to antipsychotic medication use
 Provides a safe and supportive physical environment to promote safety and minimize confusion and
overstimulation
 Conducts PI activities related to MCC

Applicable Program
NCC

Post-Acute Care Certification

Surveyor
Staff involved in patient care, support staff, and clinical management staff, interdisciplinary team
Objective:
To survey nursing care centers identified to take part in optional certification.
Logistical Needs:
During the surveyor planning session, your organization will need to provide the surveyor with information
related to the types of post-acute care services provided at your nursing care center, such as stroke, post-op
wound care, or orthopedic rehab. Additionally, you will want to be prepared to share the average length of stay
and census, as well as whether or not post-acute care services are provided in a distinct unit(s) or throughout
the organization. This information will help the surveyor determine the areas of focus for the certification survey.
Overview:
Post-Acute Care (PAC) certification is optional and can be obtained initially through an extension survey or as
part of your triennial accreditation survey. Once certification is obtained, recertification will always occur at the
time of the triennial survey. If an extension survey is chosen as the route for initially obtaining PAC certification,
then only the unique PAC accreditation requirements are evaluated during the certification survey. When PAC
certification is obtained as part of the accreditation survey, all nursing care center standards as well as the
unique PAC accreditation requirements are evaluated.

In addition to the list of documents to have available for the accreditation survey, organizations taking part in the
optional PAC certification survey should have the following additional documents available:
 List of patient discharges within the past 30 days

 List of patients readmitted to the hospital within the past 90 days
Scope of PAC survey:

The survey will focus on evaluating the organization’s provision of goal-directed, time-limited medically complex
care or rehabilitative services to patients who have typically been recently hospitalized. Additionally, the survey
will include an evaluation of how the organization:
 Uses clinical practice guidelines to guide the provision of care, treatment, and services of the post-acute
patient
 Identifies early warning signs of a change in patient’s condition and responds to a decline in condition
 Helps the patient transition from the nursing care center to a lower level of care setting or home
 Manages the discharge/post-discharge process to minimize the risk of unnecessary rehospitalizations
 Conducts initial and ongoing assessments
 Ensures physician availability and provides medical director oversight
 Provides collaborative effective communication processes
 Conducts provider hand-offs
 Conducts staff competencies
 Conducts PI activities related to PAC

Applicable Programs
NCC – Optional Post-
Acute Care Certification
Only
Transitions of Care Session

Surveyor
Suggested participants include staff and leaders who are involved in the patient admission and discharge
process (e.g., as applicable, post acute care coordinator, discharge planner, social worker, case manager,
clinical liaison).
Logistical Needs
Objective
Surveyors will explore and evaluate the effectiveness of the organization’s processes related to transitions of
care of the post acute patient, and to help the organization identify opportunities for process improvement.
Overview
During this session, the surveyor will facilitate discussion with staff to understand their roles related to the
following processes:
 The admission process, including sources of patient referrals, procedures followed to determine if a
prospective patient is eligible for admission, how communication occurs between care settings, and
physician coordination of care
 Provider hand-off, including the availability of advance information to ensure timely availability of
needed medications, equipment, and accommodations
 The medication reconciliation process during transitions between care settings
 How to recognize and respond to a patient’s change in condition
 The development, implementation, and evaluation of the effectiveness of clinical practice guidelines
 Physician availability to meet the needs of the post-acute patient population
 The discharge process, including the provision of patient/family education, and how the organization
facilitates the transfer of important information to other service providers
 The surveyor may also speak with patients and family members who have recently been admitted to the
post-acute care setting or who are close to being discharged
 The post-discharge process, including the topics discussed during the follow-up communication with the
patient and/or family, and how this information is used for process improvement
The medical director’s review of admissions, transfers and discharges for

appropriateness

Critical Access Hospital Medical Record Statistics Form
(Determines compliance with RC.01.04.01 EP 4)
Organization ID:_____________________ City/State__________________________ Box #
Average Monthly Discharge Rate (AMD): Total number of inpatient discharges in the 12 months prior to survey ÷ 12.
This number represents all inpatient records, and can include other records if they are observation visits, ambulatory surgery 1
visits, endoscopy visits, cardiac catheterization visits, and Emergency Department visits. No other type of ambulatory or
outpatient encounter may be included. Place this number in Box #1.
Medical Record Delinquency Timeframe: Place the number of days within which a medical record must be completed, as
specified within the Medical Staff rules and regulations, in Box #2.
2
This value may not exceed 30 days. If the Medical Staff has not defined this value, or if the defined number exceeds 30,
place the number 30 in Box #2.
Monthly Delinquency Totals
Calculate the total number of medical records which are delinquent (not completed within the number of days specified in Box
#2), on the last day of the month immediately preceding the survey. This is a cumulative number and includes all records still
delinquent on the last day of that month, for any reason. This number represents all inpatient records, and must include
3
other records such as observation visits, ambulatory surgery visits, endoscopy visits, cardiac catheterization visits, and
Emergency Department visits, if they were included in Box #1. No other type of ambulatory or outpatient encounter may be
included. Place this number in Box #3. Or, in other words: Most recent month 
 Use instructions for Box #3, for the mo. preceding the one in Box #3. This is the month of _________________ Place # in Box #4.  4
 Use instructions for Box #3, for the mo. preceding the one in Box #7. This is the month of _________________ Place # in Box #8  8
 Use instructions for Box #3, for the mo. preceding the one in Box #8 This is the month of _________________ Place # in Box #9  9
Quarterly Numerator Averages Total Numerator Avg.
Quarter 1 Quarter 2 Quarter 3 Quarter 4 Total
Add the numbers in Add the numbers in Add the numbers in boxes Add the numbers in boxes Add the numbers in boxes
boxes 3, 4,& 5, ÷ 3, and boxes 6, 7 & 8, ÷ 3, and 9, 10 & 11,÷ 3, and place 12, 13 & 14 ÷ 3, and place 15, 16, 17 & 18, ÷ 4, and
place below in Box #15 place below in Box #16 below in Box #17 below in Box #18 place below in Box #19
15 16 17 18 19
Completed by: Name/Job Title_________________________(Print)_______________________Date:_____________
Name/Job Title_________________________(Print)_______________________Date:_____________
The above numbers (Boxes 15 through 18 ) will be used by surveyors to compute your quarterly and total average delinquency rates. These
numbers are entered into the surveyor’s computer. The computer completes the calculations to arrive at your quarterly and total delinquency
rates. If you would like to calculate your delinquency rates in the same way, use the formula provided below.
Box 15 ÷ Box 1 = Box 16 ÷ Box 1 = Box 17 ÷ Box 1 = Box 18 ÷ Box 1 = Box 19 ÷ Box 1 =
20 21 22 23 24
Scoring Rules at RC.01.04.01, Element of Performance 4:
The medical record delinquency rate averaged from the last four quarterly measurements (Box #24) is the following:
 Not greater than 50% of the Average Monthly Discharge (AMD) rate and no single quarterly measurement (Boxes 20 through 23) are
greater than 50% of the AMD rate -- the score is 2 -Compliance.
 Not greater than 50% of the AMD rate but one or more quarterly measurements(Boxes 20 through 23) is greater than 50% of the AMD
rate -- the score is 0 – Insufficient Compliance.
 Greater than 50% of the AMD rate (Box #24) but less than twice (that is, 200%) the AMD rate, the score is 0 – Insufficient Compliance.

Applicable Programs
HAP, CAH

Primary Care Medical Home (PCMH) Certification

Surveyor
Staff involved in patient care, support staff, and clinic management staff
Objective: To survey primary care medical home clinics identified by a hospital to take part in optional
certification.
Logistical Needs:
During the surveyor planning session, your hospital will need to provide the surveyor with information related to
the services provided at your primary care medical home clinics, the distance of the clinic from the hospital site,
and who is serving in the role of the primary care clinician at each site. This information will help the surveyor
determine which sites will be visited.
Overview: Primary care medical home certification is optional and can be obtained initially through an extension
survey or as part of your triennial accreditation survey. Once certification is obtained, re-certification will always
occur at the time of the triennial survey. Hospitals are allowed to choose which sites they want PCMH certified.
If an extension survey is chosen as the route for initially obtaining PCMH certification, then only the unique
PCMH accreditation requirements are evaluated during the certification survey.
When PCMH certification is obtained as part of the accreditation survey, all hospital standards as well as the
unique PCMH accreditation requirements are evaluated.
 Performance improvement data related to:

o Disease management outcomes
o Patient access to care
o Patient experience and satisfaction related to access to care, treatment, or services, and
communication
o Patient perception of the comprehensiveness, coordination, and continuity of care, treatment, or
services
o Patient perception of the continuity of care
 PCMH Self-assessment tool if completed (available on The Joint Commission’s website at

http://www.jointcommission.org/accreditation/primary_care_medical_home_certification_option_for_hos
pitals.aspx)
Scope of PCMH Site Visit:
The survey will focus on evaluating the organization’s provision of patient-centered care, comprehensive care,
coordinated care, and superb access to care. Additionally, the survey will include an evaluation of the

organization’s system-based approach to quality, that is, the commitment to quality and quality improvement
through ongoing engagement in activities such as:
 Using evidence-based medicine and clinical decision support tools,
 Guiding shared decision making with patients and families,
 Engaging in performance measurement and improvement,
 Measuring and responding to patient experiences and patient satisfaction, and
 Practicing population health management.
The site visit will include evaluation of hospital accreditation standards as well as unique PCMH standards when
the certification occurs at the time of the accreditation survey. An extension survey for performed for
certification purposes would only include evaluation of the unique PCMH requirements.
Individual tracer activity for unique PCMH requirements will focus on areas such as:
 Information provided to patients related to access to care, treatment and services, as well as primary
care clinician information (for example, information related to selection of primary care clinician, how to
access clinic staff, make appointments, and obtain specialty care)
 Tracking and follow-up on referrals and test results
 Interdisciplinary team collaboration and communication
 Involvement of patients in establishing treatment goals
 How patients are assessed for health literacy
 24/7 access to prescription renewal requests, test results, clinical advice for urgent health care needs,
and appointment availability
 Competence of primary care clinicians and staff
 PI activities related to PCMH

Revised: February 2, 2017
The following pages present documentation required by the Hospital Accreditation program Life Safety (LS),
and selected Environment of Care (EC) standards. The Life Safety surveyor will begin review of these
documents soon after arrival for the onsite survey.
Surveyors may request other EC and LS documents, as needed, throughout the survey.
Organizations may want to consider using this tool in their continuous compliance and survey readiness efforts.

Life Safety and Environment of Care – Document List and Review Tool Revised: Feb 2, 2017
Legend: C=Compliant; NC=Not compliant; NA=Not applicable; IOU=Surveyor awaiting documentation

See Legend
STANDARD - EPs Document / Requirement Yes No
C NC NA IOU
LS.01.01.01 Buildings serving patients comply with NFPA 101 (2012 edition)
EP 1 Individual assigned to assess Life Safety Code® compliance
EP 2 Building Assessment to determine compliance with Life Safety Code ®
EP 3 Current and accurate drawings w/ fire safety features & related square footage
 Areas of building fully sprinklered (if building only partially sprinklered)
 Locations of all hazardous storage areas
 Locations of all fire-rated barriers
 Locations of all smoke-rated barriers
 Sleeping and non-sleeping suite boundaries, including size of identified
suites
 Locations of designated smoke compartments
 Locations of chutes and shafts
 Any approved equivalencies or waivers
EP 4 Timely completion of Survey-Related PFIs (SPFI)
EP 5 Deemed Hospitals: Documentation of inspections and approvals made by state
or local AHJs
EP 6 Removal/maintenance of life safety features
COMMENTS:
See Legend Addressed in Implemented as

STANDARD - EPs Document / Requirement policy? required?
C NC NA IOU Yes No Yes No
LS.01.02.01 Interim Life Safety Measures (ILSM)
EP 1 ILSM policy identifying when and to what extent ILSM implemented
EP 2 Alarms out of service 4 or more hours in 24 hours or sprinklers out of service more
than 10 hours in 24 hours in an occupied building - Fire watch / Fire Dept.
notification
EP 3 Signs for alternate exits posted
EP 4 Daily inspection of routes of egress (See also 19.7.9.2 RE: daily inspections)
EP 5 Temporary but equivalent systems while system is impaired
EP 6 Additional firefighting equipment provided
EP 7 Smoke tight non-combustible temporary barriers
EP 8 Increased surveillance implemented
EP 9 Storage and debris removal
See Legend Addressed in Implemented as

STANDARD - EPs Document / Requirement policy? required?
C NC NA IOU Yes No Yes No
LS.01.02.01 Interim Life Safety Measures (ILSM)
EP 10 Additional training on firefighting equipment
EP 11 Additional fire drill per shift per quarter
EP 12 Temporary systems tested and inspected monthly
EP 13 Additional training on building deficiencies, construction hazards, temp measures
EP 14 Training for impaired structural or impaired compartment fire safety features
EP 15 Other ILSM's
COMMENTS:
STANDARD - EPs See Legend

Document / Requirement Yes No
C NC NA IOU
EC.02.03.01 Hospital Manages Fire Risk – Fire Response Plan
EP 9 The written fire response plan describes the specific roles of staff and LIPs at
and away from fire including
 When and how to sound and report fire alarms
 How to contain smoke and fire
 How to use a fire extinguisher
 How to assist and relocate patients
 How to evacuate to areas of refuge
COMMENTS:
See Legend Q 4/
STANDARD - EPs Document / Requirement Frequency Q1 Q2 Q3
C NC NA IOU Annual
EC.02.03.03 Fire Drills
EP 1 Fire drills once per shift per quarter: Health Care and Ambulatory Quarterly
Health Care (If available, please provide five quarters of fire drill
data)
EP 2 Fire drills every 12 months from date of last drill: Business Annually
Occupancies
EP 3 When quarterly fire drills are required, at least 50% are Quarterly
unannounced
 Drills held at unexpected times and under varying
conditions
See Legend Q 4/
STANDARD - EPs Document / Requirement Frequency Q1 Q2 Q3
C NC NA IOU Annual
EC.02.03.03 Fire Drills
 Drills include transmission of fire alarm signal and
simulation of emergency fire conditions
EP 4 Staff participate in the drills according to the hospital's fire YES NO
response plan
EP 5 Critiques include fire safety equipment and building features, and YES NO
staff response
COMMENTS:
See Legend Q 1/ Q 3/ Q 4/
STANDARD - EPs Document / Requirement Frequency Q2
C NC NA IOU Semi Semi Annual
EC.02.03.05 Fire Protection and Suppression Testing and Inspection
Supervisory Signals-including: fire pump running, fire pump
failure trouble signals; control valves; pressure supervisory;
pressure tank, pressure supervisory for a dry pipe (both high
EP 1 Quarterly
and low conditions), steam pressure; water level supervisory
signal initiating device; water temperature supervisory; and
room temperature supervisory.
EP 2 Water flow devices Semiannually
Tamper switches Semiannually
EP 3 Duct, heat, smoke detectors, pull boxes Annually
Notification devices (audible & visual), and door-releasing
EP 4 Annually
devices
EP 5 Emergency services notification transmission equipment Annually
EP 6 Electric motor-driven fire pumps tested under no-flow conditions Monthly
Diesel-engine-driven fire pumps tested under no-flow conditions Weekly

EP 7 Water storage tank high and low level alarms Semiannually
EP 8 Water storage tank low water temp alarms (cold weather only) Monthly
EP 9 Sprinkler systems main drain tests on all risers Annually
Fire department connections inspected (Fire hose connections
EP 10 Quarterly
N/A)
EP 11 Fire pump(s) tested – under flow Annually
EP 12 Standpipe flow test every 5 years 5 years
See Legend Q 1/ Q 3/ Q 4/
STANDARD - EPs Document / Requirement Frequency Q2
C NC NA IOU Semi Semi Annual
EC.02.03.05 Fire Protection and Suppression Testing and Inspection
EP 13 Kitchen suppression semi-annual testing Semiannually
EP 14 Gaseous extinguishing systems inspected (no discharge req.) Annually
EP 15 Portable fire extinguishers inspected monthly Monthly
EP 16 Portable fire extinguishers maintained annually Annually
EP 17 Fire hoses hydro tested 5 years after install; every 3 years 5 years /
thereafter 3 years
EP 18 Smoke and fire dampers tested to verify full closure 1 year after install
At least every 6 years thereafter
EP 19 Smoke detection shutdown devices for HVAC tested Annually
EP 20 All horizontal and vertical roller and slider doors tested Annually
EP 25 Inspection and testing of door assemblies by qualified person Annually
EP 27 Documentation of maintenance testing and inspection activities
for EPs 1-20 and 25 includes: activity name; date; inventory of
devices, equipment or other items; frequency; contact info for
person performing activity; NFPA standard; activity results
COMMENTS:
See Legend
STANDARD - EPs Document / Requirement Frequency YES NO / Missing Date
C NC NA IOU
EC.02.05.07 Emergency Power Systems are Maintained and Tested
EP 1 Battery powered egress lights tested monthly – 30 seconds; visual Monthly
inspection of EXIT signs
EP 2 Battery powered egress lights tested annually – 90 minutes; or Annually
replace all batteries every 12 months and during replacement,
perform random test of 10% of all batteries for 1 ½ hours
Functional test of Level 1 SEPSS, monthly; Level 2 SEPSS, Monthly
quarterly, for 5 minutes or as specified for its class Quarterly
Annual test at full load for 60% of full duration of its class Annually
EP 3 Note 1: Non-SEPSS tested per manufacturer’s specifications Per Mfr.
Note 2: Level 1 SEPSS defined for critical areas and equipment
Note 3: Class defines minimum time which SEPSS is designed to
operate at rated load without recharging
EP 4 Emergency power supply system (EPSS) inspected weekly, Weekly
including all associated components and batteries
EP 5 Emergency generators tested monthly for 30 continuous minutes Monthly
under load (plus cool-down)
See Legend
STANDARD - EPs Document / Requirement Frequency YES NO / Missing Date
C NC NA IOU
EC.02.05.07 Emergency Power Systems are Maintained and Tested
EP 6 Monthly load test for diesel-powered emergency generators Monthly
conducted with dynamic load at least 30% of nameplate rating or
meets mfr. recommended prime movers’ exhaust gas temperature;
OR
Emergency generators tested once every 12 months using Annually
supplemental loads of 50% of nameplate rating for 30 minutes,
followed by 75% of nameplate rating for 60 minutes for total of 1 ½
continuous hours
EP 7 All transfer switches monthly/12 times per year Monthly
EP 8 Fuel quality test to ASTM standards Annually
EP 9 Generator load test once every 36 months for 4 hours 36 Months
EP 10 Generator 4 hour test performed at, at least 30% nameplate 36 Months
COMMENTS:
See Legend THIS MAY BE SCORED AS CONDITIONAL OR

STANDARD - EPs Document / Requirement STANDARD
C NC NA IOU YES NO
EC.02.05.09 Medical Gas and Vacuum Systems are Inspected and Tested
EP 1 Test, inspect and maintain critical components of piped medical gas
systems: Source, distribution, master panels, area alarms, automatic
pressure switches, shut-off valves, flexible connectors and outlets Per policy
No prescribed frequency; recommend risk assessment if < annual

EP 2 Location of and signage for bulk oxygen systems On Bldg. Tour
EP 3 Emergency oxygen supply connection On Bldg. Tour
EP 4 Review medical gas installation/modification/breech certification As applicable
results for cross connection, purity, correct gas, and pressure
EP 5 Medical gas supply and zone valves are accessible and clearly labeled On Bldg. Tour
EP 6 Handling, transfer, storage, labeling, transfilling of cylinders Per policy
COMMENTS:
Legend: C=Compliant; NC=Not compliant; NA=Not applicable; IOU=Surveyor awaiting documentation
Revision: 2/2/2017
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Accreditation Survey Activity Guide

For Health Care Organizations

Survey Activity Guide

Issue Date: February 6, 2017

Corrected Guide: Issued: February 6, 2017

Nursing Care Centers

Hospital and Critical Access Hospital

Hospital and Critical Access Hospital Accreditation Program Document List –

b. Removed item 49 as follows:

Surveyors will ask staff during Individual Tracer Activity to identify

Copyright: 2017 The Joint Commission

Changes effective January 1, 2017

Emergency Management and Environment of Care and Emergency Management – Added an IT

Hospital and Critical Access Hospital

Nursing Care Centers

Copyright: 2017 The Joint Commission

This guide contains:

Copyright: 2017 The Joint Commission

Environment of Care and Emergency Management Session AHC, BHC, NCC, 61

Copyright: 2017 The Joint Commission

Behavioral Health Care (BHC) Table of Contents

Copyright: 2017 The Joint Commission

Laboratory (LAB) Table of Contents

Copyright: 2017 The Joint Commission

Office-Based Surgery (OBS) Table of Contents

Copyright: 2017 The Joint Commission

Copyright: 2017 The Joint Commission

Preparing for Surveyor Arrival

*All CMS deemed surveys or surveys conducted for CMS recognition

Preparing for Survey

Copyright: 2017 The Joint Commission Organization Guide, Feb 6 2017 11

Copyright: 2017 The Joint Commission Organization Guide, Feb 6 2017 12

Actions to take when

Ask them to wait Location:

Validate authenticity of survey Contact: _____________________ (this

Survey Planning and Readiness Notes:

Copyright: 2017 The Joint Commission Organization Guide, Feb 6 2017 13

 Performance / Quality Improvement Data from the past 12-months

For Ambulatory Surgery Center (ASC) Deemed Status surveys:

For Bureau of Primary Health Care (BPHC) surveys:

Copyright: 2017 The Joint Commission Organization Guide, Feb 6 2017 14

Orientation to Organization 30-60 minutes 1st day, as early as possible

Surveyor Planning 30-60 minutes 1st day, as early as possible

CEO Exit Briefing 15 minutes Last day of survey

Copyright: 2017 The Joint Commission Organization Guide, Feb 6 2017 15

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 Organization Chart, if available

Copyright: 2017 The Joint Commission Organization Guide, Feb 6 2017 17

Orientation to Organization 45 minutes 1st day, as early as possible

Surveyor Planning Initial 30-60 minutes 1st day, as early as possible

CEO Exit Briefing 15 minutes Last day of survey

Copyright: 2017 The Joint Commission Organization Guide, Feb 6 2017 18

Copyright: 2017 The Joint Commission Organization Guide, Feb 6 2017 19

Copyright: 2017 The Joint Commission Organization Guide, Feb 6 2017 20

32. Infection Control Plan

Copyright: 2017 The Joint Commission Organization Guide, Feb 6 2017 21

CEO Exit Briefing 15-30 minutes Last day of survey

Copyright: 2017 The Joint Commission Organization Guide, Feb 6 2017 22

Copyright: 2017 The Joint Commission Organization Guide, Feb 6 2017 23