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JCI Internal Audit Checklist By-Dr.Mahboob Khan Phd

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A very meticulous JCI internal audit checklist based on latest JCI edition.

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JCI Internal Audit Checklist By-Dr.Mahboob Khan Phd

  1. 1. JCI Internal Audit Checklist N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T A SCOPE OF SERVICE PASS/FAIL/N.A (Circle one for this section) A1 AFTER ENTERING THE WARD Tell me about your ward Staff should able to share the following: a  No. of beds in the word/cubicle  Are your wards usually full?/What the occupancy rate? b  Nurse to patient ratio in the ward  How many units are you responsible for? c  Type of patients  Common conditions of patients in the wards  Average age of patients d  Average length of safety Staff doing the coordination is able to articulate e  No. of working shifts for nurses f  No. of staff at each shifts in the wards g  The difference between Nurses and HCA h  How patients are being assigned to the consultant i  specific core competency for for professional staff to practice in this ward j  What do you do if the patients does not speak English? k  How the appointments are obtained /given A2 AFTER RECEIVING PATIENT'S CASE NOTES a Could you tell me more about this patients ? Staff should be able to share the following  Patient's diagnosis  Time patient was seen  How he was seen  course of treatment  Reasons for transfer/discharge, if any b Is the patient on any clinical pathway? A3 DOCUMENTATION - COMPLETENESS AND LEGIBILITY (MCI) a Legibility of patients clinical records is evidenced b  Every clinical record entry Identifies the data and name of person who made the entry in the records  Inpatients entries must also include time of entry c Doctors use the SOAP format in writing case notes d Order forms and checklist are adequately filled in (e.g. Radiology laboratory)
  2. 2. JCI Internal Audit Checklist (For Inpatient Only) N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T f Standardizes symbols/abbreviations are used g No parts of the clerking sheet should be left blank "N.A" should be written in those sections not deemed to be clinically relevant B INTRNATIONAL PATIENT SAFETY GOALS(IPSG) B1 Identify patients correctly (IPSG1) PASS/FAIL/N.A (Circle one for this section) a How do you identify patients b How do you identify unknown /unconscious /uncommunicative patients (e.g. comalose)? c When do you use 2 patient's identifiers? B2 Improve Effective Communication (IPSG2) PASS/FAIL/N.A (Circle one for this section) Verbal and Telephone orders -"Read Back" a What is the procedure of taking down verbal/telephonic order for the doctor or receiving &reporting critical test results? b b How do you do a verbal handover of your patients when you go for a break ? What do you inform the nurse. B3 Safety of High alert medications (HAM)(IPSG3) PASS/FAIL/N.A (Circle one for this section) a Are there any high concentrated electrolyte her? Where should they be kept? b why are the concentrated electrolytes kept in ICUs? c For places that can store concentrated electrolytes, they are not stored in matrix drawer or omnicell shelves d What HAM do you have in the clinic? e where is the list of High Alert Medication? f Can high alert alert medications be stored with other drugs? g Where are HAM placed/ stored &how do you ensure the safety of HAM? h refrigerated drugs are  Kept under lock and key  Fridges should be located in secure areas allowing only medical/nursing staff access. i Drugs are not under lock and key in ED resuscitation rooms and during surgery or procedure j How do you know how long you can keep the medications? Do you have discard dates for medications and disinfectants once they are opened? k What are the examples of measures used to improve the safety of high alert medications l when do you serve PRN (pro re nata or "as needed") medication
  3. 3. JCI Internal Audit Checklist (For Inpatient Only) N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T B4 Ensure Correct site/Procedure/Patient surgery (IPSG4) PASS/FAIL/N.A (Circle one for this section) a When do you Tme-out b Do you document the completed time-out procedure?Where is it? c What do you check before conducting the procedure? d How is site making done? e How do you involved patients during site making? f when doyou do site making? B5 Reduce risk of Healthcare Associated Infections(HAI)(IPSG5) PASS/FAIL/N.A (Circle one for this section) a When do you practice hand hygiene b Staff practice correct hand washing and hand disinfection techniques c when do we hand wash and not handrub d hand hygiene items are available /Alcohl handrub at cubicles are reasonably used e What kind of training is there for staff on infection control practices? f What do you teach patient regarding infection control? B6 Reduce risk of patient Harm Reducing from Falls(Exclude ICU &HDs) (IPSG6) PASS/FAIL/N.A (Circle one for this section) a How do you determine the Score for falls risk? b When is the initial fails risk assessment for all patients? c When and how often do you do conduct the fall risk reassessment for all patients? d What interventions do you do those patients who are at fail risk? e How do we know which patients here are at fall risk? f How do you educate patients & families on falls prevention ? g What happens when a patient falls? How do you report falls? C ASSESSMENT OF PATIENTS (AOP) C1 Initial Assessment (AOP1.2) PASS/FAIL/N.A (Circle one for this section) a What are the main factors in the Initial Assessment? b How long do the doctor and nurses need to complete the initial medical and nursing assessment of a patient? C2 Re-assessments(AOP2) PASS/FAIL/N.A (Circle one for this section) a How often do you re -assess patient
  4. 4. JCI Internal Audit Checklist (For Inpatient Only) N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T C3 Nutritional screening(AOP1.6) PASS/FAIL/N.A (Circle one for this section) a Do you do nutritional screening ? What do you do when patient has nutritional risk? b who can refer patient to the dietician? c How fast would the dietician see the patient? For Speech Therapist ,Prosthelist & Ortholist Podiatrist, Medical Social Worker ,Occupational Therapist and Psychologist: Physiotherapist: Respiratory Therapist: Acupuncturist: Case Manager: C4 Pain Assessment(AOP1.7) PASS/FAIL/N.A (Circle one for this section) a Do you screen for pain the initial assessment? How do you assess for pain /What do you measure? b Pain score is documented c What happens to the patient when significant pain is identified by screening criteria? d(i) How often do you assess/re-assess for pain? d(ii) If pain score is ≥ 6, interventions and evaluation post pain interventions are documented. C5 Discharge planning (AOP1.11) PASS/FAIL/N.A (Circle one for this section) a What's the time frame for discharge planning D PATIENTS &FAMILY EDUCATION(PFE) PASS/FAIL/N.A (Circle one for this section) a What are assessed and documented in the patient record? b who initiates patient education c What have you been communicating to the patient about education? d PFE form is adequately filled up E PATIENTS &FAMILY RIGHTS(PFR) PASS/FAIL/N.A (Circle one for this section) E1 Consent Taking /Information Consent(PFR6) a What is the process for obtaining consent b Is the patient capable of give consent? Who do you obtain consent from if patient is incapable of giving consent? c What are some of the procedure and treatments that require informed consent? Is the re a list of them?
  5. 5. JCI Internal Audit Checklist (For Inpatient Only) N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T d Do you use family members as interpreters for consent? e No medical abbreviations and symbols are used. f For parts of the consent form that are not relevant, that particular portion should be marked "not applicable"/"N.A" g No alterations made in the consent form. E2 Patient's Charter PASS/FAIL/N.A (Circle one for this section) a What relevant and available information do you have to inform patients/family? b When the patients come to the ward, are they given the patient's charter? What if they want to read? c What do you do if the patient who does not understand English asks fo the patient's charter? E3 Patient Privacy and confidentiality (PFR1) PASS/FAIL/N.A (Circle one for this section) a How do you ensure patients personal belongings are protected? b How are patients protected from physical assault? c How do you ensure patients privacy and confidentiality ? d Privacy is povided to patients during the care and treatment(Observation) e What is the process when patient or family request for a second opinion? f Where can the patients carry out religious service or worship? g what if patient or family request for spirutual support? E4 Care of high Risk Patients/ High risk Services(COP.3) PASS/FAIL/N.A (Circle one for this section) a What is the timeframe to prepare patient's care plan? b The patient's plan of care is documented in the medical record and masurable goals are indicated , when appropriate. c What are the High risk groups? d What do you do when depressed patients become suicidal? E5 Do Not Resuscitate Orders (DNR) (PER2.3) & Eternal of Care at the End of Life (PFR 2.5) PASS/FAIL/N.A (Circle one for this section) a How is a DNR order made? Can the on cal doctor (register and above ) make the DNR and EOC orders? b How often to you review the DNR and EOC order? c If Patient (on DNR &EOC ) is not able to communicate , how do you assist the family with decision on end of life case? d How do you know if a patient has an AMD?
  6. 6. JCI Internal Audit Checklist (For Inpatient Only) N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T e If you are faced with unresolved ethical dilemmas, what do you do? E6 Use of Restraints(COP3.7) PASS/FAIL/N.A (Circle one for this section a Who can initiate restraint use for a patient? b How often do you need to monitor patients on restraints? c How long is each restraint order limited to? F ACCESS OF CARE AND CONTINUTY OF CARE (ACC) F1 Patient Transfer/Referral(ACC 3,4) PASS/FAIL/N.A (Circle one for this section Staff are able to articulate: a Patient transfer to ICU/ Specialized services is according to criteria, and jointly agreed/ approved by primary team and ICU doctor b When and how referrals for services(e.g. AHS) are made c Who accompany patients during transfer d when a patient is transferred to another healthcare organization, What relevant documents are required to handover to the staff of the receiving institution? F2 Patient Discharge and Follow Up (ACC 4) PASS/FAIL/N.A (Circle one for this section a Staff able to articulate process & requirements for patient going on home leave. b Staff/ Care Manager aware of the community healthcare providers/ organizations that patients can be discharged or referred to. c When do you have to complete the Hospital Inpatient Discharge summery (EOSS)? d Upon discharge , what documents will the patient take? e Who is allowed to give approval to patients who request for discharge against medical advice (AMA)? f For an approved AMA, what do you need to give the patient/ legally acceptable surrogate at the point of discharge? G ANAESTHESIA AND SURGICAL CARE (ASC) G1 Sedation (Moderate and Deep sedation) (ASC 3) PASS/FAIL/N.A (Circle one for this section a What do you have to do before administering sedation? b What minimum monitoring is provided when performing sedation? How often do you monitor patient when performing sedation? c What is the criteria for assessing the readiness for discharge to ward from sedation monitoring? d How do you know if the doctor has been to perform moderate sedation?
  7. 7. JCI Internal Audit Checklist (For Inpatient Only) N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T G2 Anaesthesia (ASC4,5,6) PASS/FAIL/N.A (Circle one for this section) a Pre-anaesthesia assessment performed b Anaesthesia care is planned and documented c Patient is reassessed prior to induction of anaesthesia by the anaesthesiology team? d When do you monitor patient's physiological status? e What tol do you use to monitor the physiological status? f What is the criteria for patient to be discharge from PACU? g How long does the patient need to stay in the PACU post operation? h What do you do when the PACU is full after surgery? G3 Surgery (ASC 7) PASS/FAIL/N.A (Circle one for this section) a Before surgery, what assessment is needed? b Patient is re-evaluated before surgery . Date and time documented. c Documentation of the following are completed in the surgical reports and brief operative notes: d Written surgical reports is completed and available before patient leaves PACU H EMERGENCY RESUSCITATION H1 Emergency Medications (MMU3.2) PASS/FAIL/N.A (Circle one for this section) a Where can I find emergency medications? b Emergency Medications are stored , maintained and protected from loss o theft c Emergency medications are available, monitored , and replaced after use. d How do you replace the medications In the Emergency drug kit? e No expired items in the E-kit /E-trolley. Staff should know who checks for the expiry dates. H2 Equipments (FMS 8) PASS/FAIL/N.A (Circle one for this section) a Check that emergency trolley is locked &checking is documented daily. b who checks the E-trolley How often do you check the items in the E-trolley? What do you checked for? c Are all the E-trolleys the same in the hospital? d Check defibrillator is complete with defibrillation pads(in sealed package and are not expired) e Staff able to demonstrate proficient testing of: f Demonstrate fixing of a functioning laryngoscope.
  8. 8. JCI Internal Audit Checklist (For Inpatient Only) N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T H3 Emergency Resuscitation Activation (cop 3.2) PASS/FAIL/N.A (Circle one for this section) a Staff able to recognize and assess cardiac arrest to activate CPR Staff know the steps/ who to call for Emergency Resuscitation at: b Clinical area (ward) c Non-clinical area(public) d What number to call during emergency resuscitation ? I MEDICATION MANAGEMENT AND USE (MMU) I1 Storage (MMU 3) PASS/FAIL/N.A (Circle one for this section) a How are the medications stored? b Medications are stored using First-in-first-out principle. c How do you label look-alike and sound-alike medications? d There is segregation of look-alike and sound-alike medications? e Controlled drugs are checked each shift and kept locked in safe? f The type of quality of controlled drugs physically available tallies with the number recorded in the CD Book? g Staff able to show log on drug wastage h Staff able to show specimen signature for controlled drugs? i Drug fridge temperature maintained at 2°C-8°C. The medications fridge lights are working j Staff interviewed can explain what he/she is supposed to do when the alarm for the medication fridge goes off. k medications are properly and safely stored according to recommended storage conditions as specified by manufacturers l What is the procedure for inpatients who bring their own medication and for of patients own medication m There is a procedure to stored and control sample medications. n Cartons are stacked in a "criss- cross" manner to improve stability: will not topple when pushed gently and staff are able to reach for the top carton without having to use a stepper. o There is no obstruction of firefighting equipment (e.g. Sprinkler, fire hoses, fire extinguishers) In the medication storage area. I2 Ordering and Transcribing (MMU 4) PASS/FAIL/N.A (Circle one for this section) a Who or where can you look for where you have doubts/ clarification on the medications prescribed? b Patients recorded contain a list of current medications taken prior to admission and this information is made available to the pharmacy and the patient's care providers.
  9. 9. JCI Internal Audit Checklist (For Inpatient Only) N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T c The doctor screens through all the patient's existing medications and documents in the clerking case notes, under "Present Medicines". d The doctor reviews if the medicines are still required by the patient and enters the drugs the drugs to be continued in the e- IMR. These drugs should be indicated in brackets under the Remarks column "patient's existing medication" e Initial medication orders are compared to the list of medications taken prior to admission , according to the organization’s established process. f There are special precautions or procedure for ordering drugs with look-alike and sound-alike names? I3 Preparing and Dispensing (MMU 5) PASS/FAIL/N.A (Circle one for this section) a Injection trolleys are: Clean and tidy Assigned area for drug dilution Aseptic techniques observed during dilution b Medication cart is clean and tidy c Stock medication is dated upon opening. d there are no expired medications/ tubes. e How do you review medications prescriptions or orders for appropriateness? f Staff is able to articulate how to dispense the medication for the omnicell during omnicell downtime I4 Administering Medications ( MMU 6) PASS/FAIL/N.A (Circle one for this section) a what is process of administering medications to patients? b Drug allergies are identified and indicated c What are the 5 rights of medication administration? d medication prescribed and administered is written in the patient's record. e What do you do with the leftover cytotoxic drug and consumable used during administration of cytotoxic drugs? f For multiple uses of the drug/mixture the following are recorded g For medication prepared in a syringe or burette for continuous infusion, the following is labeled : h Are patients able to do self- administration of medication during their hospital stay? i eIMR and eMARS are logged off when not in use. I5 Monitoring(MMU 7) PASS/FAIL/N.A (Circle one for this section) a What do you do when adverse side effects are observed?
  10. 10. JCI Internal Audit Checklist (For Inpatient Only) N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T b What happens when there is a medication error/near miss? c there is a medication recall system in place J INJECTION CONTRO (PCI) J1 Equipment (PCI 7.1) PASS/FAIL/N.A (Circle one for this section) Staff have knowledge of: a Who is supposed to clean equipments b Devices which are reused in the hospital (None) c The process for the collection , analysis and use of infection prevention and control data related to reused devices and materials J2 Laundry and linen Management (PCI 7.1, ME 3) PASS/FAIL/N.A (Circle one for this section) a soiled linen is appropriately disposed b Linen carrier is properly covered J3 Waste Disposal (PCI 7.2) PASS/FAIL/N.A (Circle one for this section) a Name some examples of biohazard waste b How do you dispose biohazard materials? J4 Sharps and needles (PCI 7.3) PASS/FAIL/N.A (Circle one for this section) a Sharp boxes is less than 2/3 filled b What is the process of disposing the sharp box? c Staff's knowledge of needle-stick injury protocol J5 Patients In Isolation (PCI 8) PASS/FAIL/N.A (Circle one for this section) a What do you need to observe before entering an isolation room/ ward? b Signage for isolation precaution are available and appropriate c Personal protection Equipment (PPE) is available for use d Staff educates patient's relatives to take precautions for patients in isolation room e What happens when one bedded isolation rooms are unavailable? f Patients with known/ suspected diseases are isolated appropriately J6 Personal Protective Equipment (PCI 9) PASS/FAIL/N.A (Circle one for this section) a Staff know which situations to use different levels of PPE b Staff demonstrates correct techniques of pulling on and taking of PPE and known what to do removal of PPE
  11. 11. JCI Internal Audit Checklist (For Inpatient Only) N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T J7 MRSA(PCI 6) PASS/FAIL/N.A (Circle one for this section) a Cases of MRSA infection are documented and reported b What precautions do you have for MRSA patient? K FACILITY MANAGEMENT AND SAFETY (FMS) K1 Safety and Security (FMS 4) PASS/FAIL/N.A (Circle one for this section) a All staff, visitors and venders are identified K2 Hazardous Materials (FMS 5) PASS/FAIL/N.A (Circle one for this section) a How do you handle a chemical spill? b Show your Materials Safety Datasheet(MSDS) c Give examples on the type of hazardous wastes. d How is general waste disposed? e How do you dispose cytotoxic wastes? K3 Emergency Management (FMS 6) PASS/FAIL/N.A a The following information is posted? Emergency instructions Emergency phone numbers Fire Emergency instructions b Staff has participated in Emergency Preparedness Exercise (at least 1 per year) K4 Fire Safety (FMS 7) PASS/FAIL/N.A (Circle one for this section) Staff is able to articulate procedures related to: a Fire safety R.A.C.E. relating to fire b Location of Fire Extinguishers c P.A.S.S. relating to fire d Location of Fire hose reel e P.O.R.T.S. relating hose reel f Contact number for fire safety reporting center g Clear passage way for all fire exits h Fire exit doors closed completely i Location of fire assembly area j Staff has participated in fire drills (at least 1 per yr) K5 Medical Equipment (FMS 8) PASS/FAIL/N.A (Circle one for this section) a Preventive Maintenance of equipment is updated & documented
  12. 12. JCI Internal Audit Checklist (For Inpatient Only) N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T b Oxygen cylinders are stored properly in holder in a designated area c Point of Care Testing Equipment: -Urine lab-stick-not expired -Hypo -count machine  show Quality records  expiry date time frame K6 Utility Systems(FMS 9) PASS/FAIL/N.A (Circle one for this section) a Show you uninterruptable power supply(UPS) K7 Utility Room-Clean (FMS 11.2) PASS/FAIL/N.A (Circle one for this section) a Items are labeled and placed in correct containers b Stock items are arranged in first in first out order c No carton boxes on floor /All items are elevated from the floor d No contaminated or dirty items in utility room e No patient care items under the sink f CSSD items are stored in a clean and dry area g Check integrity of items h Pat- slide hung on the wall i Utility room door is kept closed K8 Utility Room-Dirty (Sluice Room) (FMS 11.2) PASS/FAIL/N.A (Circle one for this section) a Room door is kept closed b Separation of clean and dirty items K9 Food and Pantry (COP 4.1) PASS/FAIL/N.A (Circle one for this section) a Food stored in the fridge are labeled with name date and time b Floor is clean and not littered c No food related items placed under the sink d Area clean: infection control measures implemented L STAFF QUALIFICATIONS AND EDUCATION (SQE) PASS/FAIL/N.A (Circle one for this section) a Department Staffing plan Staff schedule/roster in place
  13. 13. JCI Internal Audit Checklist (For Inpatient Only) N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T b In the event of an emergency, what would your staffing response plan be? c Plan is in place for unexpected staff shortage d Job description are current and available for all staff e How do you ensure competency for your staff? Does Nursing or Pharmacist do competency training? f What groups staffs are BCLS certified? g How does your Hospital carry out Privileging? Do all departments have a list of specific privileges for senior consultants / aside from common privileges? h All newly appointed , promoted and transferred staff ( including contract workers, students, volunteers, temp staff) have attended department induction program. All newly appointed staff have attended the hospital orientation program and can articulate what they have learnt during their orientation. I Each staff can articulate heor he or she is continuously (i.e. knowledge, skills, competencies) j All staff wear name tags or identification badges k What quality improvement activities are you involved in? M QUALITY IMPROVEMENT AND PATIENT SAFETY (QPS) PASS/FAIL/N.A (Circle one for this section) a What are your quality data and measures / quality improvement projects? b Are there any new /modified clinical pathways developed in the last 12 months? c What is a serious reportable event? d What is medication error? e What is a near miss? f What are steps to take in the event of a serious reportable event / near miss?
  14. 14. JCI Internal Audit Checklist (For Inpatient Only) N.A-Not Applicable N.T- Not Tested Assessed (Tick as appropriate) SN STANDARDS/MEASURABLE ELEMENTS MET? REMARKS Y N N.A N.T Other Comments: Prepared by Dr.Mahboob Khan Phd Healthcare Quality Consultant Copy right reserved c 2015

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