Transitioning from a construction project to survey-ready compliance at occupancy is challenging at best. Facility activation and move-in are usually foremost and it is often difficult to get all of the compliance work done on time. This can put the hospital at risk during an early survey. This series of articles will discuss the major environment of care (EC) compliance issues and needs for Day 2 – the day after a facility opens.
Proactive compliance recognizes that “continuous compliance” could include an unannounced accreditation survey shortly after occupancy – and some hospitals will tell you that this has occurred. Rather than finding what is wrong and fixing it, proactive compliance involves determining what is needed and when it is needed for compliance, identifying what is missing in time to obtain it, and then thoroughly managing this process.
Unfortunately, many construction projects reflect one or more of the following conditions about some of the compliance-related project record documentation:
• The work never gets done.
• The work gets done but is not accurately documented.
• The work gets done and gets accurately documented, but that documentation does not meet
the AHJ’s rules.
• The work gets done, gets accurately documented, the documentation would be acceptable to
the AHJ, but it does not arrive on time for an early AHJ survey.
It is necessary to identify all of the required documentation, and who on the project team is responsible for each item. If documentation is not contractually required in a format that will be survey-ready, chances are that it will not be survey-ready without more work by the Owner. And that extra work is not always completed before occupancy because of the conflicting priorities associated with opening and occupying the project area. The best situation occurs when the AHJ’s compliance requirements related to the initial inspections, testing, documentation and training are factored into project construction documents – with the intent to ensure that project record documents are survey-ready when received on time to support an early survey. This approach leverages already scarce resources by assuring that facility personnel do not need to spend time or funds redoing, to make survey-ready, what the Contractor has already prepared.
The following types of EC compliance documentation should be ready and easily retrievable during a survey on Day 2:
• Project record documentation: test and inspection reports, permits, licenses, certifications, documentation of all required “testing prior to initial use,” AHJ approvals, etc.
• Documentation for the new facility/expansion: inventories, management plans, policies and procedures (P&Ps), risk assessments, training records, maintenance decision processes, inputs into P&Ps and maintenance management systems from O&M manuals, evaluations, lists, spreadsheets, databases, schedules and forms for ongoing required drills, exercises, tests, inspections and maintenance, and all required Emergency Operations Plan (EOP) documentation.
• Life Safety Assessment™ and accurate updated life safety plans, eSOC™, any Plan for Improvement items, and performance-based options for new construction or equivalencies for existing construction.
• Personnel protective equipment (PPE), spill kits, monitoring equipment and other supplies.
• Mapping of utility systems and labeling for critical utility disconnects.
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