§ 493.563 Validation inspections—Basis and focus. ( a ) *Basis for validation inspection* — ( 1 ) *Laboratory with a certificate of accreditation.* ( i ) CMS or a CMS agent may conduct an inspection of an accredited laboratory that has been issued a certificate of accreditation on a representative sample basis or in response to a substantial allegation of noncompliance.
( ii ) CMS uses the results of these inspections to validate the accreditation organization's accreditation process.
( 2 ) *Laboratory in a State with an approved State licensure program.* ( i ) CMS or a CMS agent may conduct an inspection of any laboratory in a State with an approved State licensure program on a representative sample basis or in response to a substantial allegation of noncompliance.
( ii ) The results of these inspections are used to validate the appropriateness of the exemption of that State's licensed or approved laboratories from CLIA program requirements.
( b ) *Validation inspection conducted on a representative sample basis.* ( 1 ) If CMS or a CMS agent conducts a validation inspection on a representative sample basis, the inspection is comprehensive, addressing all condition-level requirements, or it may be focused on a specific condition-level requirement.
( 2 ) The number of laboratories sampled is sufficient to allow a reasonable estimate of the performance of the accreditation organization or State.
( c ) *Validation inspection conducted in response to a substantial allegation of noncompliance.* ( 1 ) If CMS or a CMS agent conducts a validation inspection in response to a substantial allegation of noncompliance, the inspection focuses on any condition-level requirement that CMS determines to be related to the allegation.
( 2 ) If CMS or a CMS agent substantiates a deficiency and determines that the laboratory is out of compliance with any condition-level requirement, CMS or a CMS agent conducts a full CLIA inspection.
( d ) *Inspection of operations and offices.* As part of the validation review process, CMS may conduct an onsite inspection of the operations and offices to verify the following: ( 1 ) The accreditation organization's representations and to assess the accreditation organization's compliance with its own policies and procedures.
( 2 ) The State's representations and to assess the State's compliance with its own policies and procedures, including verification of State enforcement actions taken on the basis of validation inspections performed by CMS or a CMS agent.
( e ) *Onsite inspection of an accreditation organization.* An onsite inspection of an accreditation organization may include, but is not limited to, the following: ( 1 ) A review of documents.
( 2 ) An audit of meetings concerning the accreditation process.
( 3 ) Evaluation of accreditation inspection results and the accreditation decision-making process.
( 4 ) Interviews with the accreditation organization's staff.
( f ) *Onsite inspection of a State licensure program.* An onsite inspection of a State licensure program office may include, but is not limited to, the following: ( 1 ) A review of documents.
( 2 ) An audit of meetings concerning the licensure or approval process.
( 3 ) Evaluation of State inspection results and the licensure or approval decision-making process.
( 4 ) Interviews with State employees.