Utah CSD
Data Submitter’s Reference Guide
Contents
Data Submitter Reference Guide
Utah Division of Occupational and Professional Licensing (DOPL)
Controlled Substance Database (CSD)
June 2020
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The CSD collects data on the dispensing of all Schedule II-V drugs ... “Dispenser” includes licensed pharmacies, whether in-state or non- ...
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Data Submitter’s Reference Guide Contents
Data Submitter Reference Guide
Utah Division of Occupational and Professional Licensing (DOPL)
Controlled Substance Database (CSD)
June 2020
Data Submitter’s Reference Guide Contents
Data Submitter’s Reference Guide Document Overview
4
1. Document Overview
Purpose and Content
The RxGov Data Submitter’s Reference Guide serves as a step-by-step implementation and training guide for data submitters who dispense Schedule II, III, IV, and V controlled substances (CS) in and into the State of Utah. RxGov is the system for the reporting of these dispenses. This guide includes the following topics:
- Reporting requirements for dispensers
- Data file submission guidelines and methods
- Creating your account
- Creating a data file
- Submitting or reporting your data
- Understanding submission error codes and definitions
This guide has been customized to target the specific training needs of data submitters who dispense CS in and into Utah. It is intended for use by all dispensers required to report their dispensing of CS prescription drugs to Utah’s Controlled Substance Database (CSD).
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Data Submitter’s Reference Guide Data Collection and Reporting Requirements
2. Program Overview
Purpose
Utah's Controlled Substance Database Program (CSD) is a resource that assists prescribing practitioners and pharmacists in providing efficient care for their patients' and customers' usage of controlled substances (CS).
The Utah Controlled Substance Database Program was legislatively created UCA §§ 58-37f and put into effect on July 1, 1995. The CSD collects data on the dispensing of all Schedule II-V drugs UCA §§ 58-37-4 from all retail, institutional, and outpatient hospital pharmacies, and in-state/out-of-state mail order pharmacies. The data is available to authorized individuals and used to identify potential cases of drug over-utilization, misuse, and over-prescribing of controlled substances throughout the state.
3. Data Collection and Reporting Requirements
About This Chapter
This chapter provides information regarding the data collection and reporting requirements established by the Utah CSD, as well as information regarding reporting exemptions.
Data Collection Requirements
Utah law UCA §§ 58-37f-203 (1)(a)(i)(ii) requires all pharmacies including non-resident pharmacies as defined in Section 58-17b-102, to report dispensing a controlled substance prescription (schedules II – V) to an out- patient, by the following two options: 24-hour daily or next business day batch file, whichever is later, or in real- time file submission.
Please note that information in the Controlled Substance Database may not contain information from the following, as they are not required to report to the Utah program, but are encouraged to do so:
- Prescriptions filled at federal facilities (military or VA);
- Controlled substances administered in an in-patient setting.
- Veterinary clinics which prescribe and dispense within the clinic.
Reporting Requirements
Data Submitters
“Data submitter” refers to users who submit CS dispensed data to RxGov. Data submitters are not always dispensers, and some data submitters may submit data for large organizations who may have multiple dispensers. Requirements for who must submit data, are listed in the Dispenser Reporting section below.
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Data Submitter’s Reference Guide Data Collection and Reporting Requirements
Notes: Required and conditionally required fields are shaded in the table below. Compound- related fields (CDI) are required only if reporting a compound. Fields that are not shaded are optional (“situational”). For reference purposes, Appendix A lists all data fields identified in the ASAP 4.2 standard. In the Field Usage column: ○ “R” indicates a field required by ASAP ○ “RR” indicates a field required by the Utah CSD ○ “S” indicates a situational field (not required; however, supply if available) Both “R” and “RR” fields must be reported. The Data Submission chapter provides the instructions to submit required information.
ASAP 4.
Field Name
ASAP 4.
Field ID
Comments (^) Field Usage
ASAP Version TH01 ASAP Version and Release Format = x.x
R
Transaction Control Number
TH02 Unique transaction ID Code This ID must be used in TT
R
Transaction Type
TH03 ID’s the purpose of the transaction. Use of codes: 01-Send/Request; 02-Acknowledgment; 03-Error; 04-Void
S
Response (^) TH04 Require in response transaction only (^) S
Creation Date (^) TH05 Date created: CCYYMMDD (^) R
Creation Time (^) TH06 Time created: HHMMSS (^) R
File Type (^) TH07 P = Production T = Test
R
Routing Number
TH08 For real time transactions^ S
Segment Terminator
TH09 Sets the value for data segment termination for all segments
R
ASAP 4.
Field Name
ASAP 4.
Field ID
Comments Field Usage
Unique Source ID
IS01 Identification number or Reference Number, if phone number used, no hyphens
R
Information Source Name
IS02 Entity name of source^ R
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Data Submitter’s Reference Guide Data Collection and Reporting Requirements
Message (^) IS03 Use to contain a date range: Exp: #CCYYMMDD#-#CCYYMMDD#
S
National Provider Identifier (NPI)
PHA01 Per Utah spec’s NPI number is required. RR
NCPDP Provider ID
PHA02 Per Utah's spec's NCPDP number is required in PHA02 unless PHA03 is provided
RR
DEA Number PHA03 Per Utah's spec's DEA number is required in PHA03 unless PHA02 is provided
RR
Pharmacy or Dispensing Prescriber Name
PHA04 Free form name, If dispensing prescriber, provide professional acronym (MD, DDS, ect…)
S
Address Information
PHA05 Freeform text S
Address Information
PHA06 Freeform text S
City Address PHA07 Name of the City S
State Address PHA08 State U.S. Postal abbreviation S
Zip Code Address
PHA09 Use if available with NO hyphens, minimum of five characters
S
Phone Number PHA10 Requires ten characters with NO hyphens S
ASAP 4.
Field Name
ASAP 4.
Field ID
Comments Field Usage
Contact Name PHA11 Freeform name S
Chain Site PHA12 Store or pharmacy number ID S
ID Qualifier of Patient Identifier
PAT01 Used if supplied but not required. Identifies the jurisdiction of the ID used in PAT03. NOTE: if PAT01 is provided then PAT02 & PAT03 must also be provided. Use Appendix A for jurisdiction codes
S
ID Qualifier PAT02 Code to identify the type of ID in PAT03.^ NOTE: if PAT02 is provided then PAT01 & PAT03 must also
S
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Data Submitter’s Reference Guide Data Collection and Reporting Requirements
Name Suffix PAT11 Patient’s name suffix such as Jr. or the III. S
Address Information – 1
PAT12 Free-form text for street address information.^ R
Address Information – 2
PAT13 Free-form text for additional address information. S
City Address PAT14 Free-form text for city name. R
State Address PAT15 U.S. Postal Service state code S
ZIP Code Address
PAT16 U.S. Postal Service ZIP code. Populate with zero’s if patient address is outside the U.S.
R
Phone Number PAT17 Complete phone number including area code, no hyphens
S
Date of Birth PAT18 Date patient was born. Format: CCYYMMDD R
Gender Code PAT19 Code indicating the sex of the patient. F Female M Male U Unknown
S
Species Code PAT20 Used if required by the CSD to differentiate a prescription for an individual from one prescribed for an animal. 01 Human 02 Veterinary Patient
S
ASAP 4.
Field Name
ASAP 4.
Field ID
Comments Field Usage
Patient Location Code
PAT21 Code indicating where patient is located when receiving pharmacy services. 01 Home 02 Intermediary Care 03 Nursing Home 04 Long-Term/Extended Care 05 Rest 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
S
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Data Submitter’s Reference Guide Data Collection and Reporting Requirements
Country of Non- U.S. Resident
PAT22 Used when the patient’s address is a foreign country and PAT12 through PAT16 are left blank. This is a freeform text field.
S
Name of Animal PAT23 For prescriptions written by a veterinarian and the pharmacist has access to this information at the time of dispensing the prescription. Example: Fido, Kitty, etc…
S
Reporting Status
DSP01 DSP01 requires one of the following codes, and an empty or blank field no longer indicates a new prescription transaction: 00 New Record (indicates a new prescription dispensing transaction) 01 Revise (indicates that one or more data element values in a previously submitted transaction are being revised) 02 Void (message to the CSD to remove the original prescription transaction from its data, or to mark the record as invalid or to be ignored).
R
Prescriptio n Number
DSP02 Serial number assigned to the prescription by the pharmacy.
R
Date Written
DSP03 Date the prescription was written (authorized). Format: CCYYMMDD
R
Refills Authorized
DSP04 The number of refills authorized by the prescriber.^ R
Date Filled DSP05 Date prescription was filled. Format: CCYYMMDD R
Refill Number
DSP06 Number of the fill of the prescription. 00 indicates New Rx; 01-99 is the refill number.
R
ASAP 4.
Field Name
ASAP 4.
Field ID
Comments Field Usage
Product ID Qualifier
DSP07 Used to identify the type of product ID contained in DSP08. 01 NDC 06 Compound (indicates a compound; if used, the CDI segment becomes a required segment)
R
Product ID (^) DSP08 Full product identification as indicated in DSP07, including leading zeros without punctuation.
R
Quantity Dispensed
DSP09 Number of metric units dispensed in metric decimal format. Example: 2.
Note : For compounds show the first quantity in CDI04.
R
Days’ Supply DSP10 Calculated or Estimated # of days’ supply R
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Data Submitter’s Reference Guide Data Collection and Reporting Requirements
04 = Branded Package
RxNorm Code DSP19 Used if supplied but not required. S
Electronic Prescription Reference Number
DSP20 Used if supplied but not required. S
Electronic Prescription Order Number
DSP21 Used if supplied but not required. S
National Provider Identifier (NPI)
PRE01 Used if supplied but not required. S
DEA Number PRE02 Cannot be blank. Required as Prescriber ID. Number can be assigned to a prescriber or an institution
R
DEA Number Suffix
PRE03 Suffix assigned to an individual prescriber by an institution when the institution’s DEA # is used in PRE02. This field is required only when institutional DEA # is used to identify the prescribing practitioner.
S
Prescriber State License Number
PRE04 Identification assigned to the prescriber by the State Licensing Board.
S
ASAP 4.2 Field Name
ASAP 4.
Field ID
Comments Field Usage
Last Name PRE05 Prescriber’s last name. S
First Name PRE06 Prescriber’s first name. S
Middle Name PRE07 Prescriber’s middle name or initial. S
Phone Number PRE08 Prescriber’s primary phone number S
Compound Drug Ingredient Sequence Number
CDI01 First reportable ingredient is 1; each additional reportable ingredient is incremented by 1.
R
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Data Submitter’s Reference Guide Data Collection and Reporting Requirements
Product ID Qualifier
CDI02 Code to identify the type of product ID contained in CDI03. 01 NDC 02 UPC 03 HRI 04 UPN 05 DIN 06 Compound (this code is not used in this segment)
R
Product ID CDI03 Full product identification as indicated in CDI02, including leading zeros without punctuation.
R
Compound Ingredient Quantity
CDI04 Metric decimal quantity of the ingredient identified in CDI03. Example: 2.
R
Compound Drug Dosage Units Code
CDI05 Identifies the unit of measure for the quantity dispensed in CDI04. 01 Each (used to report as package) 02Milliliters (ml) (for liters, adjust to the decimal milliliter equivalent) 03 Grams (gm) (for milligrams, adjust to the decimal gram equivalent)
S
State Issuing Rx Serial Number
AIR01 U.S.P.S. state code of state that issued serialized prescription blank. This is required if AIR02 is used.
S
ASAP 4.2 Field Name
ASAP 4.
Field ID
Comments Field Usage
State Issued Rx Serial Number
AIR02 Number assigned to state issued serialized prescription blank. If AIR01 is provided a number will be required for this field.
S
Issuing Jurisdiction
AIR03 Code identifying the jurisdiction that issues the ID in AIR05. See Appendix A for a list of valid jurisdictions
RR
ID Qualifier of Person Picking Up Rx
AIR04 Used to identify the type of ID contained in AIR05 for person picking up the prescription. 01 Military ID 02 State Issued ID 03 Unique System ID 04 Permanent Resident Card (Green Card) 05 Passport ID 06 Driver’s License ID 07 Social Security Number 08 Tribal ID 99 Other (agreed upon ID)
RR
ID of Person Picking Up Rx
AIR05 ID number of patient or person picking up the prescription.
RR
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Data Submitter’s Reference Guide Data Submission
Note : Dispensing data from multiple pharmacies can be submitted in the same file. For example, chain pharmacies may send in one file containing CS dispensing information for all their pharmacies licensed in the state of Utah. Chains with multiple stores only need to set up one account to submit a file.
Zero Reports
The Utah CSD requires dispensers to submit “zero” or “null” reports when no CS prescription drugs have been dispensed during a 24-hour period. Blank reports are not acceptable.
See Appendix B for report specifications.
4. Data Submission
About This Chapter
This chapter provides information and instructions for submitting data to the Utah CSD.
Timeline and Requirements
Upon receipt of this guide, dispensers and software vendors serving as data submitters can establish submission accounts at https://utpdmp.rxgov.com/login.
Submission Specifications
Per Appendix A: ASAP 4.2 specifications, files should be in the ASAP 4.2 format. Submission files should 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 “20130801.dat”. All submitted files are kept separate from the files of other data submitters.
Reports for multiple dispensers can be in the same submission file in any order.
Creating Your Account
To submit data, you will first need to create a data submitter account. If you have already created your account, proceed to the appropriate section of this document that outlines the steps you must follow to submit your data.
Complete the following steps to create an account:
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Data Submitter’s Reference Guide Data Submission
- Go to RxGov.
- On the RxGov home page, click Register.
- Enter the following required information: a. Email (This becomes your username and cannot be changed) b. Password c. First Name d. Last Name e. State f. Mobile Phone Number You are not required to enter any additional information, but you are encouraged to enter as much of the following information as possible: g. Street Address h. City i. Zip Code j. Phone Number
- In the Account Type menu, select Submitter.
- Enter your Submitter Name with which you are submitting data.
- Click Register.
After review by an administrator, an email is sent to the submitted email address notifying you that your account is now accessible.
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Data Submitter’s Reference Guide Data Submission need to change your identifier in the comment box. Enter a new submitter name in the Submitter Name box.
- Click Submit.
Reporting Zero Dispensing
If you have no dispensing transactions to report for the preceding 24 hours, you are required to report this information to the Utah CSD. See Appendix B for report specifications.
Report Zero Activity
When you do not have any CS dispenses to submit, you must submit a Zero Report.
Complete the following steps to submit a Zero Report:
- Log into RxGov.
- Click Submit Data in the left menu.
- In the Submit Zero Report section, select the date for the report to be submitted.
- Enter the NPI Number in the NPI Number box.
- Enter the DEA Number in the DEA Number box.
- Enter the NCPDP/NABP Provider ID in the NCPDP/NABP Provider ID box.
- When all required data is entered, click Submit.
Report Zero Activity – File Submission
You can also submit a Zero Report in compliance with ASAP 4.2 file requirements.
To submit a Zero Report, complete the following steps:
- Prepare the Zero Report data file for submission, using the specifications described in Appendix B: Zero Report Specifications.
- Log on to RxGov.
- Click Submit Data in the left menu.
- In the “Submit By File” section, click Select Files.
- Select the file on your computer and click Open. After being selected, the file is displayed in the “Submit By File” section. If a mistake is made, you can click the red X in the line of the incorrect file. Multiple files can be submitted at once.
- When all desired files are listed, click Submit Files.
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Data Submitter’s Reference Guide Data Delivery Methods
5. Data Delivery Methods
About This Chapter
This chapter provides information about data delivery methods you can use to submit your controlled substance reporting data file(s).
Delivery Method Page Secure FTP over SSH 20 SSL Website 20 Universal Claim Form (UCF) Submission Reporting Requirements for UCF Submissions 21 Notes about NDC Numbers 21 Online UCF Submission 22
Secure FTP over SSH
There are many free software products that support Secure FTP. Neither Utah nor NIC is in a position to direct or support your installation of operating system software for Secure FTP; however, we have information that WinSCP (http://winscp.net) and Filezilla (https://filezilla-project.org/) have been used successfully by other pharmacies.
- You must first create an RxGov account. Information for creating an account is available in Chapter 4 of this document.
- Prepare the data file for submission using the ASAP specifications described in Appendix A: ASAP 4.2 Specifications.
- SFTP the file to: […]
- When prompted, type your data submitter credentials. (HOST: 52.188.183.46 PORT:
- Place the file in the new directory.
- If desired, view the results of the submission in the administration section of RxGov.
- Log off when the file submission is complete.
SSL Website
ASAP files are designated by the American Society for Automation in Pharmacy. You can find more information at https://www.asapnet.org.