§ 493.557 Additional submission requirements. ( a ) *Specific requirements for accreditation organizations.* In addition to the information specified in §§ 493.553 and 493.555, as part of the approval and review process, an accreditation organization applying or reapplying for deeming authority must also provide the following: ( 1 ) The specialty or subspecialty areas for which the organization is requesting deeming authority and its mechanism for monitoring compliance with all requirements equivalent to condition-level requirements within the scope of the specialty or subspecialty areas.
( 2 ) A description of the organization's data management and analysis system with respect to its inspection and accreditation decisions, including the kinds of routine reports and tables generated by the systems.
( 3 ) Detailed information concerning the inspection process, including, but not limited to the following: ( i ) The size and composition of individual accreditation inspection teams.
( ii ) Qualifications, education, and experience requirements that inspectors must meet.
( iii ) The content and frequency of training provided to inspection personnel, including the ability of the organization to provide continuing education and training to inspectors.
( 4 ) Procedures for removal or withdrawal of accreditation status for laboratories that fail to meet the organization's standards.
( 5 ) A proposed agreement between CMS and the accreditation organization with respect to the notification requirements specified in § 493.555(c).
( 6 ) Procedures for monitoring laboratories found to be out of compliance with its requirements. (These monitoring procedures must be used only when the accreditation organization identifies noncompliance. If noncompliance is identified through validation inspections, CMS or a CMS agent monitors corrections, as authorized at § 493.565(d)).
( 7 ) A demonstration of its ability to provide CMS with electronic data and reports in compatible code, including the crosswalk specified in § 493.553(a)(1), that are necessary for effective validation and assessment of the organization's inspection process.
( 8 ) A demonstration of its ability to provide CMS with electronic data, in compatible code, related to the adverse actions resulting from PT results constituting unsuccessful participation in PT programs as well as data related to the PT failures, within 30 days of the initiation of adverse action.
( 9 ) A demonstration of its ability to provide CMS with electronic data, in compatible code, for all accredited laboratories, including the area of specialty or subspecialty.
( 10 ) Information defining the adequacy of numbers of staff and other resources.
( 11 ) Information defining the organization's ability to provide adequate funding for performing required inspections.
( 12 ) Any facility-specific data, upon request by CMS, which includes, but is not limited to, the following: ( i ) PT results that constitute unsuccessful participation in a CMS-approved PT program.
( ii ) Notification of the adverse actions or corrective actions imposed by the accreditation organization as a result of unsuccessful PT participation.
( 13 ) An agreement to provide written notification to CMS at least 30 days in advance of the effective date of any proposed change in its requirements.
( 14 ) An agreement to disclose any laboratory's PT results upon reasonable request by any person.
( b ) *Specific requirements for a State licensure program.* In addition to requirements in §§ 493.553 and 493.555, as part of the approval and review process, when a State licensure program applies or reapplies for exemption from the CLIA program, the State must do the following: ( 1 ) Demonstrate to CMS that it has enforcement authority and administrative structures and resources adequate to enforce its laboratory requirements.
( 2 ) Permit CMS or a CMS agent to inspect laboratories in the State.
( 3 ) Require laboratories in the State to submit to inspections by CMS or a CMS agent as a condition of licensure or approval.
( 4 ) Agree to pay the cost of the validation program administered in that State as specified in §§ 493.649(a) and 493.655(b).
( 5 ) Take appropriate enforcement action against laboratories found by CMS not to be in compliance with requirements equivalent to CLIA requirements.
( 6 ) Submit for Medicare and Medicaid payment purposes, a list of the specialties and subspecialties of tests performed by each laboratory.
( 7 ) Submit a written presentation that demonstrates the agency's ability to furnish CMS with electronic data in compatible code, including the crosswalk specified in § 493.553(a)(1).
( 8 ) Submit a statement acknowledging that the State will notify CMS through electronic transmission of the following: ( i ) Any laboratory that has had its licensure or approval revoked or withdrawn or has been in any way sanctioned by the State within 30 days of taking the action.
( ii ) Changes in licensure or inspection requirements.
( iii ) Changes in specialties or subspecialties under which any licensed laboratory in the State performs testing.
( 9 ) Provide information for the review of the State's enforcement procedures for laboratories found to be out of compliance with the State's requirements.
( 10 ) Submit information that demonstrates the ability of the State to provide CMS with the following: ( i ) Electronic data and reports in compatible code with the adverse or corrective actions resulting from PT results that constitute unsuccessful participation in PT programs.
( ii ) Other data that CMS determines are necessary for validation and assessment of the State's inspection process requirements.
( 11 ) Agree to provide CMS with written notification of any changes in its licensure/approval and inspection requirements.
( 12 ) Agree to disclose any laboratory's PT results in accordance with a State's confidentiality requirements.
( 13 ) Agree to take the appropriate enforcement action against laboratories found by CMS not to be in compliance with requirements comparable to condition-level requirements and report these enforcement actions to CMS.
( 14 ) If approved, reapply to CMS every 2 years to renew its exempt status and to renew its agreement to pay the cost of the CMS-administered validation program in that State.
[63 FR 26732, May 14, 1998, as amended at 88 FR 90035, Dec. 28, 2023]