Dispenser s Implementation Guide

Transcription

1 Minnesota Board of Pharmacy Prescription Monitoring Program April 2017 This document is formatted for duplex printing.

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3 Contents Contents 1 Document Overview... A-1 2 Data Collection and Tracking... A-3 Data Collection equirements... A-3 eporting equirements... A-3 Definition of Dispenser... A-4 3 Data Submission... A-7 About This Chapter... A-7 Timeline and equirements... A-7 Upload Specifications... A-7 Creating Your Account... A-8 Modify Your Upload Account... A-10 Change Account Status... A-10 eporting Zero Dispensing... A-11 eporting Zero Activity xsentry... A-11 eport Zero Activity File Upload... A-15 4 Data Delivery Methods... A-17 About This Chapter... A-17 Secure FTP Over SSH... A-17 Encrypted File Transmission with OpenPGP via FTP... A-18 SSL Website... A-19 Universal Claim Form (UCF) Submission... A-20 otes about DC umbers... A-20 Online UCF Submission... A-20 5 Upload eports and Edit Definitions... A-25 Upload eports... A-25 View Upload eports... A-26 View Zero eports... A-27 Error Correction... A-28 Submit a ew ecord... A-28 evise a ecord... A-28 Void a ecord... A-29 Edit Definitions... A-29 6 Glossary... A-31 7 Assistance and Support... A-33 Technical Assistance... A-33 Administrative Assistance... A-33 i

4 Contents 8 Document Information... A-35 Version History... A-35 Change Log... A-35 Copyright and Trademarks... Error! Bookmark not defined. Disclaimer... Error! Bookmark not defined. Corporate Address... Error! Bookmark not defined. Appendix A:... A-39 Appendix B: Zero eport Specifications... B-1 ii

5 1 Document Overview The xsentry serves as a step-by-step guide for Minnesotalicensed dispensers who dispense schedule II through schedule V controlled substances, as well as butalbital and gabapentin, and use xsentry as a repository for the reporting of their dispensed prescriptions. It includes such topics as: eporting requirements for Minnesota-licensed dispensers Data file submission guidelines and methods Creating your upload account Creating a data file Uploading or reporting your data Understanding upload error codes and definitions This guide is intended for use by all Minnesota-licensed dispensers required to report their dispensing of controlled substances. A-1

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7 2 Data Collection and Tracking Data Collection equirements The Minnesota Legislature passed a law (M.S ) requiring the Minnesota Board of Pharmacy (M BOP) to establish a Prescription Monitoring Program (PMP) for schedule II, III, IV, and V controlled substances, butalbital, and gabapentin prescriptions. A dispenser is required by law to report to the PMP the dispensing of all schedule II-V controlled substances as well as butalbital and gabapentin. The PMP is an essential tool for addressing the problem of prescription drug abuse, misuse, and diversion. It utilizes an electronic monitoring system to facilitate the transmission of data concerning controlled substance prescriptions from dispensers to a central database maintained by the vendor. Dispenser is defined on page A-4 of this guide. Dispensers are required to report on a daily basis. Dispensers who do not dispense a controlled substance prescription on any given day are required to submit a zero report at the end of the day or by noon on the following day, regardless of whether the pharmacy is open for business. Instructions for zero reporting are available on page A-11 of this guide. In your reporting, please note that M.S has designated certain drugs as schedule III controlled substances in Minnesota. These drugs are either in a different federal schedule or are not federally scheduled; they include certain codeine-containing cough syrups, anabolic steroids, human growth hormones, and chorionic gonadotropin. eporting equirements Data collected from the dispensers shall include, for each schedule II-V, butalbital, and gabapentin prescription, the following information: ame of the prescriber Prescriber s DEA number (or PI number, if the prescriber is prescribing gabapentin and does not have a DEA number) Prescriber s phone number ame of the dispenser Dispenser s DEA number (or PI number, if the dispenser is dispensing gabapentin and does not have a DEA number) Dispenser s phone number Patient s name Patient s full address, including city, state, and ZIP code Patient s date of birth Patient s gender Species code (to differentiate a prescription for an individual from one prescribed for an animal) Prescription number A-3

8 Date the prescription was written Date the prescription was filled efill number and number of refills authorized ame and strength of the controlled substance (or DC number) Quantity of controlled substance dispensed Drug dosage units (each, milliliters, grams) Partial fill indicator (indicates whether or not the quantity dispensed is less than the quantity authorized by the prescriber) umber of days supply Payment type When the recipient of a controlled substance (the patient) is an animal, the requirements shown above are to be modified as follows: Animal s first name must be entered for patient s first name Owner s last name must be entered for patient s last name Animal s date of birth (DOB) must be entered for patient s DOB (if not known, provide best estimate of DOB) Animal s gender must be entered for patient s gender Owner s full address including city, state, and ZIP code must be entered for patient s address Chapter 3, Data Submission, provides all the instructions necessary to submit the required information. Definition of Dispenser Dispenser includes: All pharmacies that provide controlled substances on an outpatient basis to patients in Minnesota, including pharmacies located within the state and those nonresidential pharmacies that regularly ship into the state and are licensed by the M BOP. Practitioners (physicians, dentists, podiatrists, physician assistants, advanced nurse practitioners, and optometrists) who dispense controlled substances. Veterinarians are excluded from reporting to the PMP. Methadone clinics are excluded from reporting to the PMP. Dispensers are not required to submit data for: Individuals residing in a healthcare facility, as defined in section , subdivision 2, paragraph (b), when a drug is distributed through the use of an automated drug distribution system according to section ; and Individuals receiving a drug sample that was packaged by a manufacturer and provided to the dispenser for dispensing as a professional sample pursuant to Code of Federal egulations, title 21, part 203, subpart D. A-4

9 Pharmacies that do not dispense controlled substances must forward a written request to the M BOP for an exemption using the equest for Exemption from eporting form that is available on the PMP website ( If you are a chain pharmacy, your data will likely be submitted from your home office. Please verify this with your home office. If you are an independent pharmacy or other entity, please forward the reporting requirements to your software vendor. They will need to create the data file, and they may be able to submit the data on your behalf. If not, follow the instructions provided in Chapter 3, Data Submission, to submit the data. A-5

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11 3 Data Submission About This Chapter This chapter provides information about and instructions for submitting data to the xsentry repository. Timeline and equirements Dispensers must create an account once licensed by the BOP and prior to opening the facility. Instructions for creating an account are provided in the Creating Your Account section below. You can begin submitting data as soon as your account has been established. Upload Specifications Beginning September 1, 2016, you may begin submitting files in ASAP 4.2 format, as defined in Appendix A:. Files for upload must be named in a unique fashion, with a prefix constructed from the date (YYYYMMDD) and a suffix of.dat. An example file name would be dat. ote: All of your uploaded PMP files will be kept separate from the files of other reporting entities. eports for multiple dispensers/pharmacies can be included in the same upload file in any order. Prescription information is to be reported daily. If you are a pharmacy that does not dispense controlled substances, submit a written request to the M BOP for an exemption using the equest for Exemption from eporting form that is available from the PMP Data Uploaders area of the PMP website ( A-7

12 Creating Your Account Prior to submitting data, you must create an account. ote: Data from multiple pharmacies can be uploaded in the same file. For example, Walmart, CVS, etc. can send in one file containing all their pharmacies from around the state. Therefore, chains with multiple stores only have to set up one account to upload their files. Perform the following steps to create an account: 1. Open an Internet browser window and type the following UL in the address bar: A window similar to the following is displayed: 2. Type newacct in the User ame field. ote: This user name is required for the first login. 3. Type welcome in the Password field, and then click OK. ote: This password is required for the first login. A window similar to the following is displayed: 4. Click Setup Upload Account. A-8

13 A window similar to the following is displayed: 5. Type your DEA number in the Physician or Pharmacy DEA number field. 6. Type your ZIP code in the ZIP Code field, and then click ext. A window similar to the following is displayed: 7. Complete the form in its entirety, and then click ext. A window similar to the following is displayed: A randomly-assigned password for the FTP, SFTP, and SSL website upload processes is provided to you (displayed on this window). Software vendors setting up multiple accounts may choose from the following options: 1. Create each account separately by using the method listed above. After you finish one pharmacy s account, click Setup Upload Account on the home page, and repeat the process. Or 2. Create multiple accounts using one pharmacy s DEA number and ZIP code. If you choose this method, select Set up user name as a group. ote: When data error reports are generated, they will be forwarded to the address(es) supplied for the account(s). A-9

14 Modify Your Upload Account Use this function to modify the information supplied when you originally created your account. Perform the following steps to update your account information: 1. Open an Internet browser window and type the following UL in the address bar: A window similar to the following is displayed: 2. Type your user name in the User ame field. 3. Type your password in the Password field. 4. Click OK. 5. From the xsentry home page, click Modify Upload Account. 6. Update the information as necessary, using the field descriptions provided in the Creating Your Account topic as a guideline. 7. Click ext. A message displays confirming that your account information was successfully updated. Change Account Status Use this function to change the status of your upload account. Perform the following steps to change your account status: 1. Log in to xsentry. 2. From the xsentry home page, click Modify Upload Account. A window similar to the following is displayed: A-10

15 3. In the Account Status section of this window, select one of the following options: Active Inactive Closed 4. Click ext. A window displays confirming that your account information was successfully updated. eporting Zero Dispensing If you have no dispensed controlled substance prescriptions to report on any day, you must report this information to M PMP. You may report zero dispensing by using the functionality provided within xsentry via the eport Zero Activity menu item or by creating and uploading a zero report data file. The steps you must perform for each method are provided in the following sections. eporting Zero Activity xsentry The information in the following topics explains the processes single dispensers and dispensers reporting for a group of pharmacies should use to report zero activity using xsentry s eport Zero Activity menu item. Single Dispensers If you are a single dispenser, perform the following steps to report zero activity using xsentry: 1. If you do not have an account, perform the steps in Creating Your Account. 2. Open an Internet browser window and type the following UL in the address bar: A window similar to the following is displayed: 3. Type your user name in the User ame field. 4. Type your password in the Password field. 5. Click OK. 6. From the xsentry home page, click eport Zero Activity. A-11

16 A window similar to the following is displayed: 7. Type the start date for this report in the Period Start Date field, using the mm/dd/yy format. otes: The Period End Date field is populated with the current date. You may adjust this date, if necessary. All other pharmacy information is populated with the information provided when you created your account. 8. Click Continue. A message similar to the following is displayed: Group Pharmacies If you are responsible for reporting for a group of pharmacies, perform the following steps to report zero activity using xsentry. ote: You are required to repeat this process for every pharmacy for which you are responsible for reporting. 1. If you do not have an account, perform the steps in Creating Your Account. 2. Open an Internet browser window and type the following UL in the address bar: A-12

17 A window similar to the following is displayed: 3. Type your user name in the User ame field. 4. Type your password in the Password field. 5. Click OK. 6. From the xsentry home page, click eport Zero Activity. A window similar to the following is displayed: 7. Type the start date for this report in the Period Start Date field, using the mm/dd/yy format. otes: The Period End Date field is populated with the current date. You may adjust this date to reflect the dates during which no dispensing occurred. All other pharmacy information is populated with the information provided when you created your account. 8. Select the Use ID/ame listed above option to manually enter the pharmacy ID whose information you are reporting. If you choose to enter the pharmacy ID manually, type the pharmacy ID in the Pharmacy ID/ame field. Or Select the Choose from list option to select the pharmacy ID whose information you are reporting from a list of pharmacies with a name similar to your pharmacy. 9. Click Continue. A-13

18 If you selected the Use ID/ame listed above option, a message similar to the following is displayed: Or If you selected the Choose from list option, a window similar to the following is displayed: 10. Click the radio button next to the correct pharmacy ID. 11. Click Continue. A window similar to the following is displayed: A-14

19 eport Zero Activity File Upload Perform the following steps to report zero activity by uploading a zero report data file: 1. If you have not created an account, perform the steps in Creating Your Account. 2. Prepare the zero report data file for submission, using the specifications described in Appendix B: Zero eport Specifications. Important otes: The file name should be constructed using the date of submission to Appriss Health as the file name and should have a.dat extension. For example, name the file dat if submitted on June 1, Do not include spaces in the file name. If you submit more than one file within the same day, you must uniquely name each file so the system does not overwrite existing uploaded files. For example, if uploading three files within the same day, you could use the following file names: a.dat, b.dat, and c.dat. The system will accept zipped files and you should name them using the date of submission to Appriss Health. For example, name the file zip if you submit it on June 1, Before transmitting your file, rename it to include the suffix.up (e.g., dat.up). This will ensure that we do not try to load the file while you are transmitting it. Once transmission is complete, rename the file back to the original name (e.g., dat). 3. Upload the file using the steps provided in one of the following data delivery topics: Secure FTP over SSH Encrypted File with OpenPGP via FTP SSL Website Appriss Health tracks the use of the web-based tool, date stamps incoming files, and notifies you of a successful file transmission. After the file is reviewed for accuracy, you are notified of the status of the submitted file. A-15

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21 4 Data Delivery Methods About This Chapter This chapter provides information about the data delivery methods you can use to upload your controlled substance reporting data file(s). If you are using an electronic version of this document, you can quickly locate step-by-step instructions for a particular data delivery method by clicking the hyperlink in the following table: Delivery Method Page Secure FTP Over SSH A-17 Encrypted File with OpenPGP via FTP A-18 SSL Website A-19 Online UCF Submission A-20 Secure FTP Over SSH Many free software products support Secure FTP. either the M BOP nor Appriss Health is in a position to direct or support your installation of operating system software for Secure FTP; however, we have information that WinSCP ( has been used successfully by other pharmacies. 1. If an account has not yet been created, perform the steps in Creating Your Account. 2. Prepare the data file for submission, using the ASAP 4.2 specifications described in Appendix A:. Important notes: The file name is to be constructed using the date of submission to Appriss Health as the file name and should have a.dat extension. For example, name the file dat if it is submitted on June 1, Do not include spaces in the file name. If more than one file is submitted within the same day, each file must be uniquely named so that existing uploaded files are not overwritten. For example, if uploading three files within the same day, the following file names could be used: a.dat, b.dat, and c.dat. Zipped files can be accepted and should be named using the date of submission to Appriss Health. For example, name the file zip if it is submitted on June 1, Before transmitting your file, rename it to include the suffix.up (e.g., dat.up). This will ensure that we do not try to load the file while you are transmitting it. Once transmission is complete, rename the file back to the original name (e.g., dat). 3. SFTP the file to ftp://mnreporting.hidinc.com. A-17

22 4. When prompted, type mnpdm (lower case) in front of your DEA number as your user ID and enter the password supplied when you created your account. 5. Place the file in the new directory. 6. Once the transmission is complete, rename the file without the.up extension (e.g., dat). 7. If desired, view the results of the transfer/upload in your user directory. The file name is YYYYMMDD.rpt. 8. Log off when the file transfer/upload is complete. Appriss Health tracks the use of the web-based tool, and incoming files are date stamped. You are notified of each successful file transmission. After the file is reviewed for accuracy, you are notified of the status of the submitted file. Encrypted File Transmission with OpenPGP via FTP Many free software products support file encryption using the PGP standard. either the M BOP nor Appriss Health is in a position to direct or support your installation of PGP-compatible software utilities; however, our usage indicates that software from the GnuPG Project ( is compatible with many operating systems. 1. If an account has not yet been created, perform the steps in Creating Your Account. 2. Import the PGP public key, supplied during account creation, into your PGP key ring. 3. Prepare the data file for submission, using the ASAP 4.2 specifications described in Appendix A:. Important notes: The file name is to be constructed using the date of submission to Appriss Health as the file name and should have a.pgp extension. For example, name the file pgp if it is submitted on June 1, Do not include spaces in the file name. If more than one file is submitted within the same day, each file must be uniquely named so that existing uploaded files are not overwritten. For example, if uploading three files within the same day, the following file names could be used: a.pgp, b.pgp, and c.pgp. Zipped files can be accepted and should be named using the date of submission to Appriss Health. For example, name the file zip if it is submitted on June 1, Before transmitting your file, rename it to include the suffix.up (e.g., pgp.up). This will ensure that we do not try to load the file while you are transmitting it. Once transmission is complete, rename the file back to the original name (e.g., pgp). 4. Encrypt the file with the PGP software, using the public key supplied during account creation. A-18

23 ote: PGP encryption performs a single compression as it encrypts, so there is no need to zip the file. 5. FTP the file to ftp://mnreporting.hidinc.com. 6. When prompted, type mnpdm (lower case) in front of your DEA number as your user ID and enter the password supplied when you created your account. 7. Place the file in the new directory. 8. Once the transmission is complete, rename the file without the.up extension (e.g., pgp). 9. If desired, view the results of the transfer/upload in your user directory. The file name is YYYYMMDD.rpt. 10. Log off when the file transfer/upload is complete. Appriss Health tracks the use of the web-based tool, and incoming files are date stamped. You are notified of each successful file transmission. After the file is reviewed for accuracy, you are notified of the status of the submitted file. SSL Website 1. If an account has not yet been created, perform the steps in Creating Your Account. 2. Prepare the data file for submission, using the ASAP 4.2 specifications described in Appendix A:. Important notes: The file name is to be constructed using the date of submission to Appriss Health as the file name, and should have a.dat extension. For example, name the file dat if it is submitted on June 1, Do not include spaces in the file name. If more than one file is submitted within the same day, each file must be uniquely named so that existing uploaded files are not overwritten. For example, if uploading three files within the same day, the following file names could be used: a.dat, b.dat, and c.dat. Zipped files can be accepted and should be named using the date of submission to Appriss Health. For example, name the file zip if it is submitted on June 1, Open an Internet browser and enter the following UL: 4. When prompted, type the user ID and password supplied when you created your account. 5. From the xsentry home page, click Upload a File. 6. Click Browse to navigate to the location where you saved the file you created in step If not previously named according to upload requirements, rename the file using the format YYYYMMDD.dat, for example, dat. 8. Click to select the file, and then click Open. A-19

24 9. Click Send File. Appriss Health tracks the use of the web-based tool, and incoming files are date stamped. You are notified of each successful file transmission. After the file is reviewed for accuracy, you are notified of the status of the submitted file. Universal Claim Form (UCF) Submission If you have Internet access, but do not have an automated record keeping system capable of producing an electronic report following the provided ASAP 4.2 format, you may submit prescription information using xsentry s online Universal Claim Form (UCF). When submitting information using the online UCF, the information provided must be complete and accurate. Please use the information in the otes about DC umbers topic as a guideline for providing accurate DC numbers. otes about DC umbers Use the following information when entering DC numbers on the UCF: DCs are 11 digits and use the format When adding an DC, do not include the dashes, for example, DCs are typically located on the original medication bottle on the top right corner of the label, prefaced with DC- and followed by the number. Manufacturers often leave off a zero in the DC. In these instances, you should add the 0 where appropriate, using the following examples as a guideline: If the DC appears this way Enter it this way (missing 0 in first segment) (missing 0 in 2nd segment) Online UCF Submission The UCF may be submitted electronically using the online UCF submission function in xsentry. The following new terms are introduced in this topic: ecord the patient, dispenser, and prescription information that you enter for one patient on the UCF Batch a single record, or group of records, that you upload using the Submit Batch function ote: ecords can be continually added to a batch a convenient feature that allows you to enter records at your convenience and not all at one time. We recommend that you add as many records as possible to a batch before submitting it; however, you should submit and close batches in accordance with your state s reporting timeframe. Perform the following steps to use the online UCF to submit prescription information: 1. If you do not have an account, perform the steps in Creating Your Account. A-20

25 2. Open an Internet browser window and type the following UL in the address bar: A window similar to the following is displayed: 3. Type your user name in the User ame field. 4. Type your password in the Password field. 5. Click OK. 6. From the xsentry home page, click UCF Form Entry. A window similar to the following is displayed: Enter ext Form allows you to prepare one or more records for submission. Show Batch Counts displays the number of records in the batch currently being prepared for submission and the number of records that have been previously been submitted. 7. Click Enter ext Form. The online UCF is displayed as shown on the following page. A-21

26 8. The UCF contains three sections Patient Information, Dispenser Information, and Prescription Information. efer to the following information to complete these sections on the UCF: Patient Information Complete all fields in this section. Dispenser Information In this section, supply your DEA number in the DEA field. Once this information is provided, all associated dispenser information available within the xsentry database is populated in the appropriate fields. Prescription Information Information for up to three prescriptions may be entered in this section, and all fields for each prescription must be completed. If entering more than one prescription for the same prescriber, you may select the Use Prescriber Information From Above check box in subsequent Prescription Information sections of this window to auto-populate each prescription with the previously-used prescriber information. A-22

27 9. Once all information has been entered, click Submit. otes: If information is missing from any required fields on the UCF, the UCF window will display again with the required fields indicated. Click Modify to add the missing information, and then click Submit. If the system indicates that the DEA number or the DC number you have provided is invalid, and you are certain you have provided the correct number, contact Appriss Health using the information supplied in Assistance and Support. 10. The UCF is displayed for your review. If all information is correct, click Submit. If you need to modify any information, click Modify. Once you click Submit, a window similar to the following is displayed: This window displays the submitted information and confirms that it has been accepted for processing. 11. Perform one of the following functions: Click Enter ext Form to add additional records to this batch. Click Show Batch Counts to display the number of records in the current batch. Click Submit/Close Batch to upload this batch of records. A-23

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29 5 Upload eports and Edit Definitions Upload eports Appriss Health provides all submitters of data with an upload report. When creating an account, you are required to submit an address and a fax number. You can specify if you wish to receive your upload report by either of these methods. If you FTP/SFTP the data to Appriss Health, a report will be placed in your home directory on the FTP server. The following is an example of an error report: A single claim may be rejected, or if a certain percentage of claims are rejected in an individual file, the entire file may be rejected. Appriss Health tracks three types of errors: Minor Incorrect data in non-vital field Serious ecord can be loaded with missing or inappropriate data Fatal ecord cannot be loaded An entire batch may be rejected if: ALL records have Fatal or Serious errors More than 10% of the records have Fatal errors More than 20% of the records have Serious errors ote: The M PMP requires errors to be corrected within seven days of the sending of an error report. See the Error Correction topic in this document for instructions on correcting errors. A-25

30 View Upload eports This function provides dispensers access to upload reports that were previously delivered via e- mail or fax following a data submission. By default, the reports that display for reviewing are provided for a 31-day period. However, dispensers can view reports outside of the 31-day default period by entering start and end dates for the desired date range. Perform the following steps to view upload reports: 1. Open an Internet browser window and type the following UL in the address bar: A window similar to the following is displayed: 2. Type your user name in the User ame field. 3. Type your password in the Password field. 4. Click OK. 5. From the xsentry home page, click View Upload eports. A window similar to the following is displayed: 6. Click a hyperlink in the eport ame field to open an upload report for viewing. 7. To view reports for a different timeframe, type a start and end date in the eport Timeframe fields, and then click Submit. A-26

31 View Zero eports This function provides uploaders the ability to view previously submitted zero reports. By default, the reports that display for reviewing are provided for a 31-day period. However, uploaders can view reports outside of the 31-day default period by entering start and end dates for the desired date range. Perform the following steps to view zero reports: 1. Open an Internet browser window and type the following UL in the address bar: A window similar to the following is displayed: 2. Type your user name in the User ame field. 3. Type your password in the Password field. 4. Click OK. 5. From the xsentry home page, click View Zero eports. A window similar to the following is displayed: 6. To view reports for a different timeframe, type a start and end date in the eport Timeframe fields, and then click Submit. A-27

32 Error Correction The ASAP 4.2 standard requires a dispenser to select an indicator in the DSP01 (eporting Status) field. Dispensers may submit new records, revise and resubmit records, and void (delete) erroneous records. These actions are indicated by supplying one of the following values in the DSP01 field: 00 ew ecord indicates a new record 01 evise indicates that one or more data elements in a previously-submitted record have been revised 02 Void indicates that the original record should be removed otes: Edit numbers 02 and V1, defined in the Edit Definitions table, should not be resubmitted. All other records with errors that are not fatal will be loaded unless the batch thresholds are hit. Error thresholds are defined in the Upload eports section of this document. The M PMP requires errors to be corrected within seven days of the sending of an error report. Use the information in the following topics to create, revise/resubmit, or void an erroneous record. Submit a ew ecord Perform the following steps to submit a new record: 1. Create a record with the value 00 in the DSP01 field. 2. Populate all other required fields and submit the record. ote: These steps are used to submit new records or to submit records that were previously submitted but received a fatal status on your error report. ecords with fatal errors are not loaded to the system. The errors in these records must be corrected in your system and resubmitted using the 00 status in the DSP01 field. evise a ecord Perform the following steps to revise a record: 1. Create a record with the value 01 in the DSP01 field. 2. Populate the following fields with the same information originally submitted in the erroneous record: PHA03 (DEA umber), or PHA01 (Pharmacy PI) if the dispenser does not have a DEA number DSP02 (Prescription umber) DSP05 (Date Filled) 3. Fill in all other data fields with the correct information. This information will override the original data linked to the fields referenced in step 2. A-28

33 4. Submit the record. Important note: If any of the fields referenced in step 2 are part of the correction, the record must first be voided using the steps provided in the Void a ecord section, and then you must re-submit the record using the value 00 in the DSP01 field. Void a ecord Perform the following steps to void (delete) a record: 1. Send a record with the value 02 in the DSP01 field. 2. Fill in all other data identical to the original record. This will void the original record submission. Edit Definitions The following table describes the current list of edits: Edit umber Message Severity Edit 01 Format of File Error ASAP 07 Only Fatal Edit 02 Pharmacy DEA is blank Fatal Edit 03 PI umber is blank Fatal Edit 05 Pharmacy ID not found Fatal Edit 09 Invalid DOB Fatal Edit 10 Gender must be valid Serious Edit 14 Invalid reporting status Fatal Edit 15 Date Dispensed is invalid Serious Edit 16 Partial Fill Indicator is not valid Minor Edit 17 efill Code must be a valid number Serious Edit 18 Quantity is invalid Serious Edit 19 Days Supply is invalid Serious Edit 20 Days Supply >360 Serious Edit 21 DC not found Serious DC is blank Fatal Edit 25 Prescriber ID not found Serious Prescriber ID cannot be blank Fatal Edit 28 Date X Written is invalid Serious Edit 31 Classification Code for Payment Type is invalid Serious Edit 32 Prescriber Phone umber is blank Serious Edit 50 Customer Last ame blank Fatal Edit 51 Customer First ame blank Fatal Edit 52 Customer Address blank Serious A-29

34 Edit umber Message Severity Edit 53 Customer Zip Code blank Serious Edit 54 Customer Zip and State Code conflict Serious Edit 60 Customer State Code blank Serious Edit 61 Customer State Code invalid Serious Edit 105 Pharmacy Phone umber is blank Serious Edit 150 Species Code is invalid Serious Edit 201 Drug Dosage Units Code is blank Serious Edit 210 PI umber is invalid Serious Edit 300 Compound Drug Dosage Units Code must not be blank if CDI03 is filled in Serious Edit 360 Date dispensed prior to Jan. 4, 2010 Fatal Edit V1 ecord already exists Fatal A-30

35 6 Glossary ASAP American Society for Automation in Pharmacy Batch Group of files (report or query requests) that are processed in the background while other work is continued Dispenser Pharmacy or practitioner authorized to dispense controlled substances FTP ABP DC PMP File Transfer Protocol; commonly-used protocol for exchanging files over any network ational Association of Boards of Pharmacy ational Drug Code; describes specific drugs by manufacturer drug and package size Prescription Monitoring Program Prescriber xsentry A practitioner who is authorized by state and federal agencies to prescribe controlled substances Prescription drug monitoring program owned by Appriss Inc SFTP SSL Secure File Transfer Protocol (also referred to as SSH File Transfer Protocol ); provides file transfer and manipulation functionality over any reliable data stream Secure Sockets Layer; cryptographic protocol that provides secure communications for data transfers Universal Claim Form Form used by someone who does not have electronic capability to send data; must be approved by governing agency A-31

36 Uploader A pharmacy or group of pharmacies, a practitioner, or a group of practitioners that upload a data file containing controlled substance dispensing information A-32

37 7 Assistance and Support Technical Assistance If you need additional help with any of the procedures outlined in this guide, you can: Contact Appriss Health by at Or Call Technical assistance is available Monday through Friday (except for holidays) from 8:00 am 5:00 pm CT (Central Time). Administrative Assistance If you have non-technical questions regarding the Minnesota PMP, please contact: PMP Office 2829 University Ave. SE, Suite 530 Minneapolis, M minnesota.pmp@state.mn.us Phone: A-33

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39 8 Document Information Version History The Version History records the publication history of this document. Publication Date Version umber Comments 10/22/ Initial publication 11/13/ evised publication 11/23/ evised publication 12/08/ evised publication 12/29/ evised publication 01/04/ evised publication 09/16/ evised publication 08/22/ evised publication 06/05/ evised publication 07/02/ evised publication 07/27/ evised publication 02/24/ evised publication 05/26/ evised publication 06/30/ evised publication 07/18/ evised publication 08/04/ evised publication 04/18/ evised publication Table 1 Document Version History Change Log The Change Log records the changes and enhancements included in each version. Version umber Chapter/Section Change 1.0 /A /A 2.0 Appendix A Updated ASAP 2007 specifications A-35

40 Version umber Chapter/Section Change Chapter 4/Data Delivery Methods Updated UL in Online Submission topic 2.1 Appendix A Updated field usage for Gender Code (PAT19) in ASAP 2007 specifications to 2.2 Appendix A Changed Patient Location Code (PAT21) in ASAP 2007 specifications unknown code from 12 to Chapter 2/Data Collection Eliminated retroactive reporting to September 1, 2009 Added note regarding difference in Minnesota schedules and federal schedules Eliminated Quantity of controlled substance prescribed from the list of eporting equirements Added note that methadone clinics are excluded from reporting to the PMP 2.4 Chapter 2/Data Collection Added additional information in eporting equirements for reporting controlled substance dispensing for animals 2.5 Global Converted document to new HID standard format Chapter 2/Data Collection equirements Chapter 2/eporting equirements Chapter 3/Upload Specifications Updated reference to online list of controlled substances Updated Web address for obtaining a waiver Updated Web address for obtaining a waiver Chapter 3/Timeline and equirements emoved topic 2.6 Chapter 5/View Upload eports Added new topic 2.7 Chapter 5/Edit Definitions Changed Edit 14, Invalid eporting Status, from a minor error to a fatal error Global 2.8 Chapter 4/Universal Claim Form (UCF) Submission Appendix B: Universal Claim Form Updated cover page and screen shots to show new logo emoved Manual Submission instructions Updated language regarding online UCF submission emoved section, as the state will only accept online UCFs from new uploaders A-36

41 Version umber Chapter/Section Change 2.9 Chapter 3/Modify Your Upload Account Chapter 3/Change Account Status Added new topics 3.0 Global Updated to the new HID document format Updated to reflect policy changes, including the collection of all schedule II-V controlled substances and butalbital Chapter 3/eporting Zero Dispensing Chapter 5/View Zero eports 3.1 Chapter 3: Change Account Status eporting Zero Activity Split into two sections ( Single Dispensers and Group Dispensers ) to clarify instructions for dispensers submitting data only for themselves and those submitting data for a group of pharmacies Added new topic Updated screenshots 4.0 Global Updated for ASAP 4.2 Chapter 2/Data Collection equirements Chapter 2/eporting equirements Chapter 3/ eport Zero Activity File Upload Chapter 4/Online UCF Submission Added gabapentin as a drug required to be reported Updated fields required to be reported Added new topic for ASAP zero reporting Updated screenshot of online UCF Chapter 5/Error Correction Updated error correction instructions for ASAP 4.2 Chapter 5: Submit a ew ecord evise a ecord Void a ecord Chapter 5/Edit Definitions Chapter 7/Technical Assistance Appendix A/ASAP 4.2 Specifications Appendix B/Zero eport Specifications Added new topics Updated the list of current edits and their severity Updated the HID Help Desk address eplaced ASAP 2007 specifications with ASAP 4.2 specifications Added new topic A-37

42 Version umber Chapter/Section Change 4.1 Chapter 2: Data Collection equirements Definition of Dispenser Updated with changes requested by the State Chapter 3/eporting Zero Dispensing Chapter 5: Error Correction Edit Definitions Chapter 5/Edit Definitions Added another line for Edit 21 for DC is blank 4.2 Chapter 5/Edit Definitions Changed Edit 02 from Date dispensed prior to Jan. 4, 2010 to Pharmacy DEA is blank Added Edit 360, Date dispensed prior to Jan. 4, Global emoved HID references and replaced with Appriss Health Table 2 Document Change Log A-38

43 Appendix A: The information on the following pages contains the definitions for the specific contents required of uploaded records in the American Society for Automation in Pharmacy (ASAP) 4.2 format to comply with the Minnesota Prescription Monitoring Program (M PMP) requirements. The following elements are used in each upload file: Segment Identifier indicates the beginning of a new segment, for example, PHA. Data Delimiter character used to separate segments and the data elements within a segment, for example, an asterisk (*). o Each completed field should be followed by an asterisk, and each blank field should contain a single asterisk. o If the last field in the segment is blank, it should contain an asterisk and a backslash. Segment Terminator character used to mark the end of a segment, for example, the backslash (\). o The Transaction Header is the only segment that has a Data Segment Terminator field built in. For all other segments, the last required field or the last field used in the segment should be followed by a backslash. Field Usage o o o o o = equired by ASAP = ot used = equired by the M PMP S = Situational Both and fields must be reported. ote: For more information, contact the American Society for Automation in Pharmacy for the full Implementation Guide for the ASAP Standard for Prescription-Monitoring Programs. This guide includes field lengths, acceptable attributes, and examples. A-39

44 Segment Field ID Field ame Field Usage TH: Transaction Header equired segment; used to indicate the start of a transaction. It also assigns the data element separator, segment terminator, and control number. TH01 TH02 TH03 TH04 TH05 TH06 TH07 TH08 TH09 Version/elease umber Code uniquely identifying the transaction. Format = xx.x Transaction Control umber Sender assigned code uniquely identifying a transaction. Transaction Type Identifies the purpose of initiating the transaction. 01 Send/equest Transaction 02 Acknowledgement (used in esponse only) 03 Error eceiving (used in esponse only) 04 Void (used to void a specific x in a real-time transmission or an entire batch that has been transmitted) esponse ID Contains the Transaction Control umber of a transaction that initiated the transaction. equired in response transaction only. Creation Date Date the transaction was created. Format: CCYYMMDD. Creation Time Time the transaction was created. Format: HHMMSS or HHMM. File Type P = Production T = Test outing umber eserved for real-time transmissions that go through a network switch to indicate, if necessary, the specific state PMP the transaction should be routed to. Segment Terminator Character This terminates the TH segment and sets the actual value of the data segment terminator for the entire transaction. IS: Information Source equired segment; used to convey the name and identification numbers of the entity supplying the information. IS01 IS02 IS03 Unique Information Source ID eference number or identification number. (Example: phone number) Information Source Entity ame Entity name of the Information Source. Message Free-form text message. A-40

45 Segment Field ID Field ame Field Usage PHA: Pharmacy Header equired segment; used to identify the pharmacy. ote: It is required that information be provided in at least one of the following fields: PHA01, PHA02, or PH03. PHA01 PHA02 PHA03 PHA04 ational Provider Identifier (PI) Identifier assigned to the pharmacy by CMS. CPDP/ABP Provider ID Identifier assigned to pharmacy by the ational Council for Prescription Drug Programs. DEA umber Identifier assigned to the pharmacy by the Drug Enforcement Administration. ote: If you dispense gabapentin and do not have a DEA number, please leave this field blank and enter your PI in PHA01. Pharmacy ame Free-form name of the pharmacy. PHA05 Address Information 1 Free-form text for address information. PHA06 Address Information 2 Free-form text for address information. PHA07 PHA08 PHA09 PHA10 PHA11 PHA12 City Address Free-form text for city name. State Address U.S. Postal Service state code. ZIP Code Address U.S. Postal Service ZIP Code. Phone umber Complete phone number including area code. Contact ame Free-form name. Chain Site ID Store number assigned by the chain to the pharmacy location. Used when PMP needs to identify the specific pharmacy from which information is required. PAT: Patient Information equired segment; used to report the patient s name and basic information as contained in the pharmacy record. S PAT01 ID Qualifier of Patient Identifier Code identifying the jurisdiction that issues the ID in PAT03. Used if the PMP requires such identification and PAT02 is equal to 02 or 06. A-41

46 Segment Field ID Field ame Field Usage PAT02 PAT03 PAT04 PAT05 PAT06 PAT07 PAT08 PAT09 PAT10 ID Qualifier Code to identify the type of ID in PAT03. If PAT02 is used, PAT03 is required. 01 Military ID 02 State Issued ID 03 Unique System ID 04 Permanent esident Card (Green Card) 05 Passport ID 06 Driver s License ID 07 Social Security umber 08 Tribal ID 99 Other (agreed upon ID) ID of Patient Identification number for the patient as indicated in PAT02. An example would be the driver s license number. ID Qualifier of Additional Patient Qualifier Code identifying the jurisdiction that issues the ID in PAT06. Used if the PMP requires such identification and PAT05 is equal to 02 or 06. Additional Patient ID Qualifier Code to identify the type of ID in PAT06 if the PMP requires a second identifier. If PAT05 is used, PAT06 is required. 01 Military ID 02 State Issued ID 03 Unique System ID 04 Permanent esident Card (Green Card) 05 Passport ID 06 Driver s License ID 07 Social Security umber 08 Tribal ID 99 Other (agreed upon ID) Additional ID Identification that might be required by the PMP to further identify the individual. An example might be in that PAT03 driver s license is required and in PAT06 Social Security number is also required. Last ame Patient s last name. First ame Patient s first name. Middle ame Patient s middle name or initial if available. ame Prefix Patient s name prefix such as Mr. or Dr. S A-42

47 Segment Field ID Field ame Field Usage PAT11 ame Suffix Patient s name suffix such as Jr. or the III. PAT12 Address Information 1 Free-form text for street address information. PAT13 Address Information 2 Free-form text for additional address information. PAT14 PAT15 PAT16 PAT17 PAT18 PAT19 PAT20 City Address Free-form text for city name. State Address U.S. Postal Service state code. ote: Field has been sized to handle international patients not residing in the U.S. ZIP Code Address U.S. Postal Service ZIP code. Populate with zeros if patient address is outside the U.S. Phone umber Complete phone number including area code. Date of Birth Date patient was born. Format: CCYYMMDD. Gender Code Code indicating the sex of the patient. F Female M Male U Unknown Species Code Used if required by the PMP to differentiate a prescription for an individual from one prescribed for an animal. 01 Human 02 Veterinary Patient S A-43

48 Segment Field ID Field ame Field Usage PAT21 PAT22 PAT23 Patient Location Code Code indicating where patient is located when receiving pharmacy services. 01 Home 02 Intermediary Care 03 ursing Home 04 Long-Term/Extended Care 05 est Home 06 Boarding Home 07 Skilled-Care Facility 08 Sub-Acute Care Facility 09 Acute Care Facility 10 Outpatient 11 Hospice 98 Unknown 99 Other Country of on-u.s. esident Used when the patient s address is a foreign country and PAT12 through PAT16 are left blank. ame of Animal Used if required by the PMP for prescriptions written by a veterinarian and the pharmacist has access to this information at the time of dispensing the prescription. DSP: Dispensing ecord equired segment; used to identify the basic components of a dispensing of a given prescription order including the date and quantity. DSP01 DSP02 DSP03 DSP04 eporting Status DSP01 requires one of the following codes, and an empty or blank field no longer indicates a new prescription transaction: 00 ew ecord (indicates a new prescription dispensing transaction) 01 evise (indicates that one or more data element values in a previously submitted transaction are being revised) 02 Void (message to the PMP to remove the original prescription transaction from its data, or to mark the record as invalid or to be ignored). Prescription umber Serial number assigned to the prescription by the pharmacy. Date Written Date the prescription was written (authorized). Format: CCYYMMDD efills Authorized The number of refills authorized by the prescriber. A-44