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pdfGeneral Payments (Non‐Research)
A
B
1 General payments or other transfers of value data elements
2
DE #
Data Element Name
1
Applicable manufacturer or applicable GPO name
C
Definition / Description
Name of either the applicable manufacturer or applicable group purchasing organization (GPO) submitting the report.
D
E
Format
Free form text
Yes
Required?
System generated
Yes
"Y" = Yes;
"N" = No
"Y" = Yes;
"N" = No
Yes
If this file is a single applicable manufacturer or applicable GPO's set of payment(s) and/or transfer(s) of value records, this applicable
manufacturer or applicable GPO name will be used for all records in the file.
If this file contains a Consolidated Report, this Applicable Manufacturer/Applicable GPO Name will be used as the Consolidated Reporter,
and the Applicable Manufacturer/Applicable GPO Names and Open Payments system IDs of the sub‐companies making the
payments/transfers of value will be recorded with every payment or transfer of value record in the file.
3
2
Applicable manufacturer or applicable GPO
registration ID
Open Payments system‐generated identifier used to identify the applicable manufacturer or GPO (populated only with CMS‐provided
identifier).
If this file is a single applicable manufacturer or applicable GPO's set of payment/transfer of value records, this applicable manufacturer or
applicable GPO ID will be used for all records in the file.
If this file contains a Consolidated Report, this Applicable Manufacturer/GPO ID will be used as the Consolidated Reporter and the
Applicable Manufacturer/GPO Names and Open Payments System IDs of the sub‐companies making the payments/transfers of value will be
recorded with every payment/transfer of value record in the file.
4
3
Consolidated report indicator
Indicator showing if this submission file constitutes a consolidated report.
4
Resubmission file indicator
Indicator showing if this submission file contains payment(s) and/or transfer(s) of value that are amended or corrected versions of
5
6
previously submitted records.
8 Submission Record Information (all sections from here to the end of this table contain data elements that are reported once per payment or other transfer of value)
9 Recipient Demographic Information
6
Recipient Type
Indicator showing if the recipient of the payment or other transfer of value is a physician covered recipient, teaching hospital covered
recipient or physician owner or investor.
Yes
"1" = Physician
Yes
"2" = Teaching hospital
"3" = Physician owner or investor
A standardized list of covered Teaching Hospital names and information is provided on the CMS Open Payments Website:
http://www.cms.gov/Regulations‐and‐Guidance/Legislation/National‐Physician‐Payment‐Transparency‐Program/index.html
10
7
Teaching hospital name
The name of the teaching hospital receiving the payment or other transfer of value.
Text from Standardized Selection Yes IF
A standardized list of covered teaching hospital names and information is provided on the CMS Open Payments Website:
http://www.cms.gov/Regulations‐and‐Guidance/Legislation/National‐Physician‐Payment‐Transparency‐Program/index.html
Line 6
Covered Recipient Type = "2"
(Teaching Hospital)
11
8
Teaching hospital Tax ID Number (TIN)
Tax Identification Number of teaching hospital receiving the payment or other transfer of value.
A standardized list of covered teaching hospital names and information is provided on the CMS Open Payments Website:
http://www.cms.gov/Regulations‐and‐Guidance/Legislation/National‐Physician‐Payment‐Transparency‐Program/index.html
12
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
XXXXXXXXX
Yes IF
Line 6
Covered Recipient Type = "2"
(Teaching Hospital)
1
General Payments (Non‐Research)
A
B
1 General payments or other transfers of value data elements
2
DE #
Data Element Name
9
Physician first name
C
D
Definition / Description
Format
First name, as listed in the National Plan & Provider Enumeration System (NPPES), of the physician receiving the payment or other transfer of Free form text
value.
E
Required?
Yes IF
Line 6
"1" or "3"
13
10
Physician middle name
Middle initial or middle name, as listed in the National Plan & Provider Enumeration System (NPPES), of the physician receiving the payment Free form text
or other transfer of value.
No
11
Physician last name
Last name, as listed in the National Plan & Provider Enumeration System (NPPES), of the physician receiving the payment or other transfer of Free form text
value.
Yes IF
14
Line 6
= "1" or "3"
15
12
Physician name suffix
Name suffix, as listed in the National Plan & Provider Enumeration System (NPPES), of the physician receiving the payment or other transfer Free form text
of value chosen from a constrained list of values (Examples: Jr., Sr., III).
13
Recipient primary business street address line 1
14
Recipient primary business street address line 2
Yes
The first line of the primary practice/business street address of the physician or teaching hospital receiving the payment or other transfer of Two line address format;
First line contains building
value.
number, street name, street
identifier
The second line of the primary practice/business street address of the physician or teaching hospital receiving the payment or other transfer Two line address format;
No
of value.
Second line contains suite
number, apartment number,
post office box number or other
qualifying information
15
Recipient city
The primary practice/business city of the physician or teaching hospital receiving the payment or other transfer of value.
16
Recipient state
The primary practice/business state or territory abbreviation of the physician or teaching hospital receiving the payment or other transfer of 2 character U.S. state or territory Yes IF
value, if the primary practice/business address is in the United States.
alpha abbreviation
Recipient Country, Line 18, is
the United States
17
Recipient zip code
The 5‐ or 9‐digit zip code for the primary practice/business location of the physician or teaching hospital receiving the payment or other
transfer of value, if the primary practice/business address is in the United States.
16
17
18
Free form text
No
Yes
19
20
5‐ or 9‐digit numeric zip code
Yes IF
Recipient Country, Line 18, is
the United States
21
18
Recipient country
The primary practice/business address country name of the physician or teaching hospital receiving the payment or other transfer of value. Free form text
Yes
19
Recipient province
The primary practice/business province name of the physician or teaching hospital receiving the payment or other transfer of value, if the
primary practice/business address is outside the United States, and if applicable.
No
22
23
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
Free form text
2
General Payments (Non‐Research)
A
B
1 General payments or other transfers of value data elements
2
DE #
Data Element Name
20
24
25
Recipient postal code
C
D
Definition / Description
Format
The international postal code for the primary practice/business location of the physician or teaching hospital receiving the payment or other Alphanumeric
transfer of value, if the primary practice/business address is outside the United States.
E
Required?
Yes IF
Recipient Country, Line 18, is
outside the United States
21
22
Recipient email address
Physician primary type
The primary email address for the recipient to be used for communication purposes.
Primary type of medicine practiced by the physician.
Email Address
"1" = Medical Doctor (MD);
"2" = Doctor of Osteopathy (DO);
"3" = Doctor of Dentistry (DDS);
"4" = Doctor of Podiatric
Medicine (DPM);
"5" = Doctor of Optometry (OD);
"6" = Chiropractor (DCP)
No
Yes IF
Yes IF available
Line 6
= "1" or "3"
26
23
Physician NPI
Individual NPI for the Physician (not the NPI of a group the physician belongs to).
Numeric digits only
24
Physician specialty
Physician's single specialty, chosen from the standardized "provider taxonomy" code list.
Text from Standardized Selection Yes IF
27
Line 6
= "1" or "3"
28
25
Physician license state and license number
Paired state and official state license number of the physician. The pairing includes the 2‐letter state abbreviation, followed by a hyphen,
followed by the state license number. May include up to 5 "Physician license state and license number" pairs, if a physician is licensed in
multiple states.
29
30 Associated Drug, Device, Biological, or Medical Supply Information
26
Marketed name of drug, device, biological or
medical supply
Maximum of 5 pairs of the state Yes IF
and license number: AA‐
XXXXXXXXXXXXXXXXX
Line 6
= "1" or "3"
The marketed name of the drug, device, biological or medical supply. May report the marketed name of up to five products (drugs, devices,
biologicals, or medical supplies). Indicate "none" if the payment or other transfer of value is not associated with a drug, device, biological or
medical supply.
No
If the drug or biological associated with this payment or transfer does not have a marketed name, report the drug or biological name as it is
registered on http://www.clinicaltrials.gov.
Not required if the payment or other transfer of value is only related to non‐covered products or none.
31
27
32
Covered or non‐covered product indicator
For each product listed in data element 26, indicate if the product is covered or non‐covered. Indicate covered for each product listed in
data element 26 which is a covered product. Indicate non‐covered for each product listed in data element 26 which is non‐covered.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
"1" for covered
"2" for non‐covered
yes unless "none" is indicated in
data element 26
3
General Payments (Non‐Research)
A
B
1 General payments or other transfers of value data elements
2
DE #
Data Element Name
C
Definition / Description
For each marketed name listed in data element 26, indicate if the product is a drug, device, biological or medical supply
28
Indicate drug, device, biological, or medical supply
29
Associated drug or biological NDC
The National Drug Code, if any, of the drug(s) or biological(s) associated with the payment or other transfer of value (if applicable; up to 5
NDCs). If no NDC exists for any named drug or biological in data element 26, leave blank.
30
Product category or therapeutic area
Provide the therapeutic area or product category for the drug, device, biological or medical supply listed in data element 26.
33
D
E
Format
Required?
"1" for drug
yes unless "none" is reported in
"2" for device
data element 26.
"3" for biological
"4" medical supply
Element 27 and element 28 are No
for a group of Associated
Covered Drugs Or Biologicals.
They can contain a maximum of
5 groups of associated covered
drug or biological names and
associated covered drug or
biological NDCs
34
35
36 Transfer of Value (Payment) Information
31
Applicable manufacturer or applicable GPO making
payment name
Not required if the payment or other transfer of value is only related to non‐covered products or none.
Element 29 can repeat a
maximum of 5 times for drugs,
devices, biologicals or medical
supplies
Name of either the applicable manufacturer or applicable GPO making the payment or other transfer of value being reported in this record. Free form text
yes
Yes
If this file contains a single applicable manufacturer or applicable GPO's set of payment(s) and/or other transfer(s) of value records (i.e., it is
not a consolidated report), this data element will be the same as reported in data element #1 for each record.
37
32
Applicable manufacturer or applicable GPO making
payment registration ID
CMS‐issued generated alphanumeric identifier for this applicable manufacturer or applicable GPO issued during the registration process.
System generated
Yes
Text
No
System generated
No
If this file contains a single applicable manufacturer or applicable GPO's set of payment(s) and/or other transfer(s) of value records (i.e., it is
not a consolidated report), this data element will be the same as reported in data element #2 for each record.
38
33
Home system payment ID
34
Resubmitted payment or other transfer of value
record ID
39
40
The identifier associated with the payment or other transfer of value transaction in the applicable manufacturer or applicable GPO home
system
This data element will be blank for initial file submissions.
For resubmission files ‐ this data element will either be blank (indicating an omitted record is being submitted in the resubmission file) or
contain the original payment or other transfer of value record ID (indicating which record is to be corrected). The original payment or other
transfer of value record ID is provided by the CMS Open Payments system.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
4
General Payments (Non‐Research)
A
B
1 General payments or other transfers of value data elements
2
DE #
Data Element Name
35
Total amount of payment or other transfer of value
C
Definition / Description
Amount of payment to recipient, in US dollars. Convert to US dollar currency, if necessary.
D
E
Format
Currency (US dollars)
##########.##
Yes
Required?
YYYYMMDD
Yes
Integer
Yes
The “total amount of payment” should be tied to a singular transaction or purchased service (items listed in “Nature of Payment” line 37).
41
36
Date of payment or other transfer of value
If reporting a singular payment, report the actual date the payment was issued.
If reporting EITHER a series of payments OR an aggregated set of payments, record the date of the first payment to the covered recipient in
this reporting year.
42
37
Number of payments or other transfers of value
included in total amount
43
38
Form of payment or transfer of value
The number of discrete payments being reported in the "Total Amount of Payment" data element (#33).
Report 1 in this data element if this is a singular payment to the covered recipient.
Report the actual number of payments made to the covered recipient in this reporting year if the amount of payment reported is EITHER a
series of payments OR an aggregation of a set of payments
The method of payment used to pay the covered recipient or to make the transfer of value.
"1" = Cash or cash equivalent;
Yes
"2" = In‐kind items and services;
"3" = Stock;
"4" = stock option;
"5" = any other ownership
interest;
"6" = Dividend, profit or other
return on investment
44
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
5
General Payments (Non‐Research)
A
B
1 General payments or other transfers of value data elements
2
DE #
Data Element Name
C
D
E
39
Nature of Payment or Transfer of Value
Definition / Description
The nature of payment used to pay the covered recipient or to make the transfer of value.
Format
"1" = Consulting Fee;
Yes
"2" = Compensation for services
other than consulting, including
serving as faculty or as a speaker
at a venue other than a
continuing education program;
"3" = Honoraria;
"4" = Gift;
"5" = Entertainment;
"6" = Food and Beverage;
"7" = Travel and Lodging;
"8" = Education;
"9" = Charitable Contribution;
"10" = Royalty or License;
"11" = Current or prospective
ownership or investment
interest;
"12" = Compensation for serving
as faculty or as a speaker for a
non‐accredited and noncertified
continuing education program;
"13" = Compensation for serving
as faculty or as a speaker for an
accredited or certified
continuing education program;
"14" = Grant;
"15" = Space rental or facility
fees (teaching hospital only);
40
City of Travel
For "Travel and Lodging" payments, destination city where the physician traveled.
Free form text
Required?
45
Yes IF
Line 37 Nature of Payment = "7"
Travel and Lodging
46
41
State of Travel
For "Travel and Lodging" payments, destination state where physician traveled.
47
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
2 character U.S. state or territory Yes IF
alpha abbreviation
Line 37 Nature of Payment = "7"
Travel and Lodging
AND
Line 40 Country of Travel = "US"
or "United States"
6
General Payments (Non‐Research)
A
B
1 General payments or other transfers of value data elements
2
DE #
Data Element Name
42
Country of travel
C
Definition / Description
For "Travel and Lodging" payments, destination country where physician traveled.
D
Format
Free form text
Physician ownership indicator
Required?
Yes IF
Line 37 Nature of Payment = "7"
Travel and Lodging
48
49 General Record Information
43
E
If Recipient type = "Physician", does the physician hold ownership or investment interest in the applicable manufacturer?
"Y" = Yes;
"N" = No
Yes IF
This indicator is limited to physician's ownership, not physician's family members' ownership.
Line 6 Covered Recipient Type =
"1" or "3"
50
44
Third party payment recipient indicator
Indicates if a payment or transfer of value was paid to a third‐party entity or individual at the request of, or on behalf of, a covered recipient "1" = "Entity"
(physician or teaching hospital).
"2" = "Individual"
"3" = "No Third Party Payment"
Yes
45
Name of third party entity receiving payment or
transfer of value
The name of the entity that received the payment or other transfer of value.
Yes IF
51
Free form text
Line 42, Third Party Payment
Recipient Indicator = "1" (Entity)
52
46
Charity indicator
Indicates the third party entity that received the payment or other transfer of value is a charity.
47
Third party equals covered recipient indicator
Indicator showing that the "Third Party" who received the payment or other transfer of value is a covered recipient.
53
"Y" = Yes;
"N" = No
"Y" = Yes;
"N" = No
No
Yes IF
Line 42, Third Party Payment
Recipient Indicator = "1" (Entity)
or "2" (Individual)
54
48
Contextual information
49
Delay in publication of research payment indicator
55
Any free text which the reporting entity deems helpful or appropriate regarding this payment or other transfer of value.
Free form text
Yes IF
the Delay in Publication of
Research Payment Indicator
equals “1” or “2”
Indicator showing if an applicable manufacturer or applicable GPO is requesting a delay in publication of a payment or other transfer of
"1" = R&D on new drug, device, Yes
value when the payment or transfer of value is made in connection with: (1) research on or development of a new drug, device, biological, or biological, or medical supply
medical supply, (2) a new application of an existing drug, device, biological or medical device or (3) clinical investigation regarding a new
"2" = new application of an
drug, device, biological, or medical supply.
existing drug, device, biological,
or medical supply
If the delay in publication of research payment indicator equals “1,” “2” or "3" indicate the name of the related research study in line 46,
"3" = Clinical investigation on
"Contextual information."
new drug, device, biological, or
medical supply
Applicable manufacturers or applicable GPOs not requesting a delay in publication of a payment or other transfer of value should select (4), "4" = No delay requested
not requesting a delay in publication, to indicate that no delay is requested.
CMS will display payments or other transfers of value no later than four years after the initial request for delay in publication of the payment
or transfer of value.
56
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
7
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
1
Applicable manufacturer or applicable GPO name
C
Definition / Description
Name of either the applicable manufacturer or applicable group purchasing organization (GPO)
submitting the report.
D
E
F
Data Type
Text
Format
Free form text
Required?
Yes
Numeric
System generated
Yes
Boolean
"Y" = Yes;
"N" = No
"Y" = Yes;
"N" = No
Yes
If this file is a single applicable manufacturer or applicable GPO's set of payment(s) and/or other
transfer(s) of value records, this applicable manufacturer or applicable GPO name will be used for
all records in the file.
If this file contains a consolidated report, this applicable manufacturer or applicable GPO name
will be used as the consolidated reporter and the Applicable manufacturer or applicable GPO
names, and Open Payments system IDs of the sub‐companies making the payments or other
transfers of value will be recorded with every payment or other transfer of value record in the
file.
3
2
applicable manufacturer or applicable GPO registration Open Payments system‐generated identifier used to identify the applicable manufacturer or
ID
applicable GPO (populated only with CMS‐provided identifier).
If this file is a single applicable manufacturer or applicable GPO's set of payment/other transfer of
value records, this applicable manufacturer or applicable GPO ID will be used for all records in
the file.
If this file contains a Consolidated Report, this Applicable Manufacturer/Applicable GPO ID will be
used as the Consolidated Reporter and the Applicable Manufacturer/Applicable GPO Names and
Open Payments System IDs of the sub‐companies making the payments/transfers of value will be
recorded with every payment/transfer of value record in the file.
4
3
Consolidated report indicator
Indicator showing if this submission file constitutes a consolidated report.
4
Resubmission file indicator
Indicator showing if this submission file contains payment(s) and/or transfer(s) of value that are Boolean
5
6
amended or corrected versions of previously submitted records.
8 Submission Record Information (all sections from here to end of template contain data elements that are reported once per payment/transfer of value)
9 Recipient Demographic Information
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
Yes
8
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
6
Recipient Type
C
D
Definition / Description
Data Type
Indicator showing if recipient of the payment or transfer of value is a physician covered recipient, Enumeration
teaching hospital covered recipient, non‐covered recipient entity, or non‐covered recipient
individual.
A standardized list of covered Teaching Hospital names and information is provided on the CMS
Open Payments Website: http://www.cms.gov/Regulations‐and‐Guidance/Legislation/National‐
Physician‐Payment‐Transparency‐Program/index.html
10
7
Non‐covered recipient entity name
The name of the non‐covered recipient entity receiving the payment or other transfer of value. Text
E
F
Format
"1" = Physician
or
"2" = Teaching Hospital
or
"3" = Non‐covered Recipient
Entity
or
"4" = Non‐covered Recipient
Individual
Required?
Yes
Free form text
Yes IF
Line 6 =
"3" Non‐covered
Recipient Entity
11
8
Teaching hospital name
The name of teaching hospital receiving the payment or other transfer of value.
Text
A standardized list of covered recipient teaching hospital names and information is provided on
the CMS Open Payments website: http://www.cms.gov/Regulations‐and‐
Guidance/Legislation/National‐Physician‐Payment‐Transparency‐Program/index.html
Text of Standardized Selection
from approved list of
Teaching Hospitals
Yes IF
Line 6
Recipient Type =
"2" Teaching
Hospital
12
9
Teaching hospital Tax ID Number (TIN)
Tax Identification Number of teaching hospital receiving the payment or other transfer of value. Numeric
XXXXXXXXX
Yes IF
Line 6
Recipient Type =
"2" Teaching
Hospital
A standardized list of covered teaching hospital names and information is provided on the CMS
Open Payments website: http://www.cms.gov/Regulations‐and‐Guidance/Legislation/National‐
Physician‐Payment‐Transparency‐Program/index.html
13
10
Physician first name
First name, as listed in the National Plan & Provider Enumeration System (NPPES), of the
physician receiving the payment or other transfer of value.
Text
Free form text
Yes IF
Line 6
Recipient Type =
"1" Physician
14
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
9
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
11
Physician middle name
12
Physician last name
15
C
Definition / Description
Middle initial or middle name, as listed in the National Plan & Provider Enumeration System
(NPPES), of the physician receiving the payment or other transfer of value.
Last name, as listed in the National Plan & Provider Enumeration System (NPPES), of the
physician receiving the payment or other transfer of value.
D
E
Data Type
Text
Format
Free form text
Text
Free form text
F
Required?
No
Yes IF
Line 6
Recipient Type =
"1" Physician
16
13
Physician name suffix
Name suffix, as listed in the National Plan & Provider Enumeration System (NPPES), of the
physician receiving the payment or other transfer of value chosen from a constrained list of
values (Examples: Jr., Sr., III).
Text
Free form text
14
Recipient business street address Line 1
The first line of the primary business street address of the physician or teaching hospital or non‐
covered recipient entity receiving the payment or other transfer of value.
Text
Two line address format;
First line contains building
number, street name, street
identifier
No
17
Yes IF
Line 6, "Recipient
Indicator" =
"1", Physician, OR
"2", Teaching
Hospital OR
"3" Non‐covered
Recipient Entity
18
15
Recipient business street address line 2
The second line of the primary business street address of the physician or teaching hospital or
non‐covered recipient entity receiving the payment or other transfer of value.
Text
Two line address format;
Second line contains suite
number, apartment number,
post office box number, or
other qualifying information
No
19
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
10
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
16
Recipient city
C
D
Definition / Description
Data Type
The primary business address city of the physician or teaching hospital or non‐covered recipient Text
entity receiving the payment or other transfer of value.
E
Format
Free form text
F
Required?
Yes IF
Line 6, "Recipient
Indicator" =
"1", Physician, OR
"2", "Teaching
Hospital OR "3",
Non‐covered
Recipient Entity
20
17
Recipient state
The state or territory abbreviation of the primary business address of the physician or teaching
hospital or non‐covered recipient entity receiving the payment or other transfer of value if the
primary business address is in the United States.
Enumeration
The 5‐ or 9‐digit zip code for the primary business location of the physician or teaching hospital
or non‐covered recipient entity receiving the payment or other transfer of value if the primary
practice address is in the United States.
Numeric
2 character U.S. state or
territory alpha abbreviation
Yes IF
Recipient Country
Line 19 is the
United States
21
18
Recipient zip code
9 digit numeric zip code
Yes IF
Recipient Country
Line 19 is the
United States
22
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
11
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
19
Recipient Country
C
Definition / Description
The business address country of the physician or teaching hospital or non‐covered recipient
entity receiving the payment or other transfer of value.
D
Data Type
Text
E
Format
Free form text
F
Required?
Yes IF
Line 6, "Recipient
Indicator" =
"1", Physician, OR
"2", "Teaching
Hospital OR "3" =
Non‐covered
Recipient Entity
23
20
Recipient Province
The business address province of the physician or teaching hospital or non‐covered recipient
Text
entity receiving the payment or other transfer of value if the primary practice address is outside
the United States and if applicable.
Free form text
The international postal code for the primary business location of the physician or teaching
hospital or non‐covered recipient entity receiving the payment or other transfer of value if the
primary business address is outside the United States.
Text
Alphanumeric
The primary email address for physician or teaching hospital or non‐covered recipient entity to
be used for communication purposes.
Individual NPI for physician (not the NPI of any group the physician belongs to). Required, if
applicable.
Text
Email Address
No
Numeric
Numeric digits only
No
Yes IF
Recipient Country
Line 19 is outside
the United States
AND Line 6 = "1",
OR "2", OR "3"
24
21
Recipient postal code
Yes IF
Recipient Country
Line 19 is outside
the United States
AND Line 6 = "1",
OR "2", OR "3"
25
22
Recipient email address
23
Physician NPI
26
27
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
12
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
24
Physician primary type
C
Definition / Description
Primary type of medicine practiced by the physician.
D
Data Type
Enumeration
28
25
Physician specialty
Physician's single specialty, chosen from the standardized "provider taxonomy" code list.
Text
E
Format
"1" = Medical Doctor (MD);
"2" = Doctor of Osteopathy
(DO);
"3" = Doctor of Dentistry
(DDS);
"4" = Doctor of Podiatric
Medicine (DPM);
"5" = Doctor of Optometry
(OD);
"6" = Chiropractor (DCP)
Text from Standardized
Selection
F
Required?
Yes IF
Line 6
Recipient Type =
"1" Physician
Yes IF
Line 6
Recipient Type =
"1" Physician
29
26
Physician license state and license number
Paired state and official state license number of the covered recipient physician. The pairing
includes the 2‐letter state abbreviation, followed by a hyphen, followed by the state license
number and may include up to five "physician license state and license number" pairs, if the
physician is licensed in multiple states.
Text
Maximum of 5 pairs of the
state and license number: AA‐
XXXXXXXXXXXXXXXXX
Yes IF
Line 6
Recipient Type =
"1" Physician
30
31 Associated Drug, Device, Biological, or Medical Supply Information
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
13
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
27
Marketed name of drug, device, biological or medical
supply
C
D
Definition / Description
Data Type
The marketed name of the drug, device, biological or medical supply. May report the marketed Text
name of up to five products (drugs, devices, biologicals, or medical supplies). Indicate "none" if
the payment or other transfer of value is not associated with a drug, device, biological or medical
supply.
E
F
Format
Required?
No
Text
If the drug or biological associated with this payment or transfer does not have a marketed
name, report the drug or biological name as it is registered on http://www.clinicaltrials.gov.
Not required if the payment or other transfer of value is only related to non‐covered products or
none.
32
28
Covered or non‐covered product indicator
For each product listed in data element 26, indicate if the product is covered or non‐covered.
Indicate covered for each product listed in data element 26 which is a covered product. Indicate
non‐covered for each product listed in data element 26 which is non‐covered.
"1" for covered
"2" for non‐covered
yes unless "none"
is indicated in data
element 27.
33
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
14
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
29
Indicate drug, device, biological, or medical
supply
30
Associated drug or biological NDC
C
Definition / Description
For each marketed name listed in data element 26, indicate if the product is a drug, device,
biological or medical supply
D
Data Type
E
F
Format
Required?
yes unless "none"
is indicated in data
element 27.
"1" for drug
"2" for device
"3" for biological
"4" medical supply
34
The National Drug Code (NDC), if any, of the drug or biological associated with the payment or Text
other transfer of value (if applicable; up to five NDCs). If there is no NDC for any named covered
drug or biological in line 28, leave the element blank.
If more than one is NDC provided, their order must match the order of named covered drugs or
biologicals in line 28, "Name of Associated Covered Drug or Biological." If no NDC exists for any
named drug or biological, leave the element blank.
35
31
Product category or therapeutic area
Provide the therapeutic area or product category for the drug, device, biological or medical
supply listed in data element 26.
Text
Not required if the payment or other transfer of value was related to non‐covered products or
none.
Element 28 and element 29
are for a group of Associated
Covered Drugs Or Biologicals.
They can contain a maximum
of 5 groups of associated
covered drug or biological
names and associated
covered drug or biological
NDCs
No
Element 30 can repeat a
maximum of 5 times for
drugs, devices, biologicals or
medical supplies
No
36
37 Transfer of Value (Research Payment) Information
31
Applicable manufacturer or applicable GPO making
payment name
Name of either the applicable manufacturer or applicable GPO making the payment or transfer of Text
value being reported in this record.
Free form text
Yes IF
Line 3
Consolidated
Report Indicator =
"Y"
If this file contains a single applicable manufacturer or applicable GPO's set of payment(s) and/or
transfer(s) of value records, this data element will be blank, since it was reported in data element
#1.
38
32
Applicable Manufacturer or Applicable GPO
Making Payment Registration ID
Open Payments system‐generated alphanumeric identifier for this Applicable Manufacturer or
Applicable GPO issued during the registration process.
Numeric
System generated
Yes
39
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
15
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
33
Home system payment ID
34
Resubmitted payment record ID
40
C
Definition / Description
The identifier associated with the payment transaction in the applicable manufacturer or
applicable GPO home system.
This data element will be blank for initial file submissions.
D
E
F
Format
Required?
No
Data Type
Text
Text
Numeric
System generated
Yes IF
Line 4
Resubmission File
Indicator = "Y"
For resubmission files ‐ this data element will either be blank (indicating an omitted record is
being submitted in the resubmission file) or will contain the original payment or other transfer of
value record ID (indicating which record is to be corrected). The original payment or other
transfer of value record ID is provided by the Open Payments system.
and
Record is not
being submitted as
an omission from
the original
submission
41
35
Total amount of research payment (U.S. Dollars)
Amount of payment to recipient, in US dollars. Convert to US dollar currency, if necessary.
Fixed Point
Currency (US dollars)
##########.##
36
Date of payment
If reporting a singular payment, report the actual date the payment was issued.
Date
YYYYMMDD
Enumeration
"1" = Cash or cash equivalent;
"2" = In‐kind items and
services;
"3" = Stock;
"4" = stock option;
"5" = any other ownership
interest;
"6" = Dividend, profit or other
return on investment
Yes
42
No
If reporting EITHER a series of payments OR an aggregated set of payments, record the date of
the first payment to the covered recipient in this reporting year.
43
37
Form of payment or other transfer of value
The method of payment used to pay the covered recipient or to make the transfer of value.
Yes
44
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
16
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
38
Expenditure Category
C
Definition / Description
Contextual category for this research payment or transfer of value. There can be multiple
contextual categories for this research reported. For every Expenditure Category reported, an
Expenditure Category percentage must also be reported.
D
Data Type
Enumeration
Format
Format: X‐XXX
"1" = Professional Salary
Support;
"2" = Medical Research
Writing or Publication;
"3" = Patient Care;
"4" = Non‐patient Care;
"5" = Overhead;
"6" = Other
"Y" = Yes;
"N" = No
"1" = R&D on new drug,
device, biological, or medical
supply
"2" = new application of an
existing drug, device,
biological, or medical supply
"3" = Clinical investigation on
new drug, device, biological,
or medical supply
"4" = No delay requested
Category and percent represented as a single number for the category followed by the 2‐ or 3‐
digit percentage value (e.g., 1‐90 or 1‐100).
45
46 Research Related Information
39
Pre‐clinical Research Indicator
Indicator showing if payment or transfer of value is related to research, which is pre‐clinical.
Boolean
40
Delay in publication of research payment indicator
Indicator showing if an applicable manufacturer or applicable GPO is requesting a delay in
publication of a payment or other transfer of value when the payment or transfer of value is
made in connection with: (1) research on or development of a new drug, device, biological, or
medical supply, (2) a new application of an existing drug, device, biological or medical device or
(3) clinical investigation regarding a new drug, device, biological, or medical supply.
Enumeration
47
If the delay in publication of research payment indicator equals “1,” “2” or "3" indicate the name
of the related research study in line 46, "Contextual information."
Applicable manufacturers or applicable GPOs not requesting a delay in publication of a payment
or other transfer of value should select (4), not requesting a delay in publication, to indicate that
no delay is requested.
E
F
Required?
No
Yes
Yes
CMS will display payments or other transfers of value no later than four years after the initial
request for delay in publication of the payment or transfer of value.
48
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
17
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
41
Name of study
C
D
Definition / Description
Data Type
Name of the study for which the covered recipient is receiving this payment or transfer of value. Text
E
Format
Free form text
F
Required?
Yes IF
Line 37
Pre‐clinical
Research Indicator
= "N"
49
50
42
43
Context of research
ClinicalTrials.Gov Identifier
Description of research context or research objectives.
Identifier assigned if research study is registered on clinicaltrials.gov.
Free form text
11 character alphanumeric,
first 3 characters alpha
No
No
44
Research information link
Optional link to information relevant to the research study for which this payment or transfer of Text
value is being reported.
Web URL
No
45
Principal investigator covered recipient physician
indicator
Indicator showing the principal investigator of the research study is a covered recipient physician. Boolean
Indicate no if all the principal investigators for the research study are not covered recipient
physicians.
"Y" = Yes;
"N" = No
Yes
Text
Text
51
52
If there are multiple principal investigators, indicate "Yes" if at least one (1) is a covered recipient
physician and provide the identifiers (data elements 44‐59) for each principal investigator (up to
5), who is a covered recipient physician.
If the Principal Investigator is the same as the Covered Recipient Physician receiving the payment
(identified in data elements 10‐13), this information must be duplicated for the Principal
Investigator fields (Data Elements 44‐59).
53
46
Principal investigator first name
First name of the principal investigator(s) of the research study, if the principal investigator is a
covered recipient physician.
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), this information must be duplicated for the principal
investigator fields (Data Elements 44‐59).
Text
Free form text
Yes
IF
Line 43, "Principal
Investigator
Physician Covered
Recipient
Indicator" = "Y"
54
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
18
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
C
D
E
F
Definition / Description
Middle initial or middle name of the principal investigator of the research study, if the principal
investigator is a covered recipient physician.
Data Type
Text
Format
Free form text
Principal investigator last name
Last name of the principal investigator of the research study, if the principal investigator is a
covered recipient physician.
Text
Free form text
Yes
IF
Line 43, "Principal
Investigator
Physician Covered
Recipient
Indicator" = "Y"
49
Principal investigator name suffix
Name suffix of the principal investigator of the research study, chosen from a constrained list of Text
values (e.g., Jr., Sr., III), if the principal investigator is a covered recipient physician.
Free form text
No
50
Principal investigator business street address Line 1
The first line of the primary business street address of the principal investigator of the research
study, if the principal investigator is a covered recipient physician.
Text
Two line address format;
First line contains building
number, street name, street
identifier
Yes
IF
Line 43, "Principal
Investigator
Physician Covered
Recipient
Indicator" = "Y"
51
Principal investigator business street address line 2
The second line of the primary business street address of the Principal investigator of the
research study.
Text
Two line address format;
Second line contains suite
number, apartment number,
post office box number, or
other qualifying information
No
47
Principal investigator middle name
48
Required?
No
55
56
57
58
59
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
19
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
C
D
E
F
Definition / Description
The primary business address city of the principal investigator of the research study.
Data Type
Text
Format
Free form text
Required?
Yes IF
Line 43, "Principal
Investigator
Physician Covered
Recipient
Indicator" = "Y"
Principal investigator state
The primary business address state or territory abbreviation of the principal investigator of the
research study, if the primary practice address is in the United States.
Enumeration
2 character U.S. state or
territory alpha abbreviation
Yes IF
Line 43, "Principal
Investigator
Physician Covered
Recipient
Indicator" = "Y"
AND
Recipient Country,
Line 53 is the
United States
Principal investigator zip code
The 5‐ or 9‐digit zip code of the primary business address location of the principal investigator of Numeric
the research study, if the primary practice address is in the United States.
9 digit numeric zip code
Yes IF
Line 43, "Principal
Investigator
Physician Covered
Recipient
Indicator" = "Y"
AND
Recipient Country,
Line 53 is the
United States
52
Principal investigator city
53
54
60
61
62
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
20
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
C
D
E
F
Definition / Description
Data Type
The primary business address country name of the principal investigator of the research study. Text
Format
Free form text
Required?
Yes IF
Line 43, "Principal
Investigator
Physician Covered
Recipient
Indicator" = "Y"
Principal investigator province
The primary business address province name of the principal investigator of the research study, if Text
the primary practice address is outside the United States.
Free form text
Yes IF
Principal
Investigator
Country Line 53 is
outside the United
States
57
Principal Investigator Postal Code
The international postal code of the primary business location of the principal investigator of the Text
research study if the primary practice address is outside the United States.
Alphanumeric
Yes IF
Principal
Investigator
Country Line 53 is
outside the United
States
58
Principal investigator physician primary type
Primary type of medicine practiced by the principal investigator.
"1" = Medical Doctor (MD);
"2" = Doctor of Osteopathy
(DO);
"3" = Doctor of Dentistry
(DDS);
"4" = Doctor of Podiatric
Medicine (DPM);
"5" = Doctor of Optometry
(OD);
"6" = Chiropractor (DCP)
Yes IF
Line 43, "Principal
Investigator
Physician Covered
Recipient
Indicator" = "Y"
55
Principal investigator country
56
63
64
65
Enumeration
66
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
21
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
59
Principal investigator NPI
C
D
Definition / Description
Data Type
Individual NPI for principal investigator if principal investigator is a physician (not the NPI of any Numeric
group the physician belongs to). Required, if applicable.
E
Format
Numeric digits only
67
60
Principal investigator specialty
Principal investigator's single specialty, chosen from "provider taxonomy" code list.
61
Text
Principal investigator license state and license number Paired state and state license number of the principal investigator, who is a physician covered
recipient. The pairing includes the 2 letter state abbreviation, followed by a hyphen, followed by
the state license number and may include up to 5 "physician license state and license number"
pairs. If a principal investigator is licensed in multiple states, provide only one state and license
number pair.
Text
Text from Standardized
Selection
F
Required?
Yes IF
the Physician has
an NPI
Yes
IF
Line 43, "Principal
Investigator
Physician Covered
Recipient
Indicator" = "Y"
68
Maximum of 5 comma‐
separated pairs of the state
and license number; AA‐
XXXXXXXXXXXXXXXX
Yes
IF
Line 43, "Principal
Investigator
Physician Covered
Recipient
Indicator" = "Y"
Free form text
No, unless
indicating multiple
Principal
Investigators
69
Multiple Principal Investigators:
For lines 62‐125, when indicating multiple principal investigators, include the first name, last
name, business address, physician primary type, NPI (if applicable), physician specialty, and
license state and license number for each principal investigator added as required.
70
62
Principal investigator first name
First name of the principal investigator(s) of the research study; required, if the principal
investigator is a covered recipient physician.
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), this information must be duplicated for the principal
investigator fields.
Text
71
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
22
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
C
D
E
F
Definition / Description
Data Type
Middle initial or middle name of the principal investigator of the research study; required, if the Text
principal investigator is a covered recipient physician.
Format
Free form text
Required?
No, unless
indicating multiple
Principal
Investigators
Principal investigator last name
Last name of the principal investigator of the research study; required, if the principal
investigator is a covered recipient physician.
Text
Free form text
No, unless
indicating multiple
Principal
Investigators
65
Principal investigator name suffix
Name suffix of the principal investigator of the research study chosen from a constrained list of
values (e.g., Jr., Sr., III), if the principal investigator is a covered recipient physician.
Text
Free form text
No, unless
indicating multiple
Principal
Investigators
66
Principal investigator business street address line 1
The first line of the primary business street address of the principal investigator of the research
study, if the principal investigator is a covered recipient physician.
Text
Two line address format;
First line contains building
number, street name, street
identifier
No, unless
indicating multiple
Principal
Investigators
Text
No, unless
Two line address format;
indicating multiple
Second line contains suite
Principal
number, apartment number,
Investigators
post office box number, or
other qualifying information
63
Principal investigator middle name
64
72
73
74
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), this information must be duplicated for the principal
investigator fields.
75
67
Principal investigator business street address line 2
The second line of the primary business street address of the principal investigator of the
research study.
76
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
23
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
C
D
E
F
Definition / Description
The primary business address city of the principal investigator of the research study.
Data Type
Text
Format
Free form text
Required?
No, unless
indicating multiple
Principal
Investigators
Principal investigator state
The primary business address state or territory abbreviation of the principal investigator of the
research study, if the primary practice address is in the United States.
Enumeration
2 character U.S. state or
territory alpha abbreviation
No, unless
indicating multiple
Principal
Investigators
70
Principal investigator zip code
The 5‐ or 9‐digit zip code of the primary business address location of the principal investigator of Numeric
the research study, if the primary practice address is in the United States.
9 digit numeric zip code
No, unless
indicating multiple
Principal
Investigators
71
Principal investigator country
The primary business address country name of the principal investigator of the research study. Text
Free form text
No, unless
indicating multiple
Principal
Investigators
72
Principal investigator province
The primary business address province name of the Principal investigator of the research study, if Text
the primary practice address is outside the United States.
Free form text
No, unless
indicating multiple
Principal
Investigators and
Principal
Investigator
Country Line 69 is
outside the United
States
68
Principal investigator city
69
77
78
79
80
81
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
24
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
C
D
73
Principal investigator postal code
Definition / Description
Data Type
The international postal code of the primary business location of the principal investigator of the Text
research study if the primary practice address is outside the United States.
74
Principal investigator physician primary type
Primary type of medicine practiced by the principal investigator.
E
Format
Alphanumeric
Required?
No, unless
indicating multiple
Principal
Investigators and
Principal
Investigator
Country Line 69 is
outside the United
States
"1" = Medical Doctor (MD);
"2" = Doctor of Osteopathy
(DO);
"3" = Doctor of Dentistry
(DDS);
"4" = Doctor of Podiatric
Medicine (DPM);
"5" = Doctor of Optometry
(OD);
"6" = Chiropractor (DCP)
No, unless
indicating multiple
Principal
Investigators
Numeric digits only
No, unless
indicating multiple
Principal
Investigators
Text from Standardized
Selection
No, unless
indicating multiple
Principal
Investigators
82
Enumeration
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), this information must be duplicated for the principal
investigator fields.
83
75
Principal investigator NPI
76
Principal investigator specialty
84
Individual NPI for the principal investigator if the principal investigator is a physician (not NPI of Numeric
any group physician belonging to). Required, if applicable.
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13),this information must be duplicated for the principal
investigator fields.
Text
Principal investigator's single specialty chosen from "provider taxonomy" list.
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), this information must be duplicated for the principal
investigator fields.
F
85
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
25
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
77
86
78
C
D
E
F
Definition / Description
Data Type
Text
Principal investigator license state and license number Paired state and state license number of the principal investigator, who is a physician covered
recipient; the pairing includes the 2 letter state abbreviation, followed by a hyphen, followed by
the state license number and may include up to five "physician license state and license number"
pairs. If a principal investigator is licensed in multiple states, provide only one state and license
number pair.
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), this information must be duplicated for the principal
investigator fields.
Format
Required?
Maximum of 5 pairs of the
No, unless
state and license number: AA‐ indicating multiple
XXXXXXXXXXXXXXXXX
Principal
Investigators
Principal investigator first name
Free form text
No, unless
indicating multiple
Principal
Investigators
Free form text
No, unless
indicating multiple
Principal
Investigators
87
First name of the principal investigator(s) of the research study, if the principal investigator is a
covered recipient physician.
Text
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), this information must be duplicated for the principal
investigator fields.
Middle initial or middle name of the principal investigator of the research study, if the principal Text
investigator is a covered recipient physician.
79
Principal investigator middle name
80
Principal investigator last name
Last name of the principal investigator of the research study, if the principal investigator is a
covered recipient physician.
Text
Free form text
No, unless
indicating multiple
Principal
Investigators
81
Principal investigator name suffix
Name suffix of the principal investigator of the research study chosen from a constrained list of
values (e.g., Jr., Sr., III), if the principal investigator is a covered recipient physician.
Text
Free form text
No, unless
indicating multiple
Principal
Investigators
88
89
90
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
26
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
82
Principal investigator business street address line 1
C
Definition / Description
The first line of the primary business street address of the principal investigator of the research
study, if the principal investigator is a covered recipient physician.
D
E
Data Type
Text
Format
Two line address format;
First line contains building
number, street name, street
identifier
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), this information must be duplicated for the principal
investigator fields.
F
Required?
No, unless
indicating multiple
Principal
Investigators
91
83
Principal investigator business street address line 2
The second line of the primary business street address of the Principal investigator of the
research study.
Text
No, unless
Two line address format;
indicating multiple
Second line contains suite
Principal
number, apartment number,
Investigators
post office box number, or
other qualifying information
84
Principal investigator city
The primary business address city of the principal investigator of the research study.
Text
Free form text
No, unless
indicating multiple
Principal
Investigators
85
Principal investigator state
The primary business address state or territory abbreviation of the principal investigator of the
research study, if the primary practice address is in the United States.
Enumeration
2 character U.S. state or
territory alpha abbreviation
No, unless
indicating multiple
Principal
Investigators
86
Principal investigator zip code
The 5‐ or 9‐digit zip code of the primary business address location of the principal investigator of Numeric
the research study, if the primary practice address is in the United States.
9 digit numeric zip code
No, unless
indicating multiple
Principal
Investigators
92
93
94
95
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
27
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
C
D
E
F
Definition / Description
Data Type
The primary business address country name of the principal investigator of the research study. Text
Format
Free form text
Required?
No, unless
indicating multiple
Principal
Investigators
Principal investigator province
The primary business address province name of the principal investigator of the research study, if Text
the primary practice address is outside the United States.
Free form text
No, unless
indicating multiple
Principal
Investigators and
Principal
Investigator
Country Line 85 is
outside the United
States
Principal investigator postal code
The international postal code of the primary business location of the principal investigator of the Text
research study if the primary practice address is outside the United States.
Alphanumeric
No, unless
indicating multiple
Principal
Investigators and
Principal
Investigator
Country Line 85 is
outside the United
States
87
Principal investigator country
88
89
96
97
98
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
28
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
90
Principal investigator physician primary type
C
Definition / Description
Primary type of medicine practiced by the principal investigator.
D
Data Type
Enumeration
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the principal
investigator fields.
99
91
Principal investigator NPI
92
Principal investigator specialty
100
Individual NPI for the principal investigator if the principal investigator is a physician (not NPI of Numeric
any group physician belonging to). Required, if applicable.
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the principal
investigator fields.
Text
Principal investigator's single specialty chosen from "provider taxonomy" list.
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the principal
investigator fields.
E
F
Format
"1" = Medical Doctor (MD);
"2" = Doctor of Osteopathy
(DO);
"3" = Doctor of Dentistry
(DDS);
"4" = Doctor of Podiatric
Medicine (DPM);
"5" = Doctor of Optometry
(OD);
"6" = Chiropractor (DCP)
Required?
No, unless
indicating multiple
Principal
Investigators
Numeric digits only
No, unless
indicating multiple
Principal
Investigators
Text from Standardized
Selection
No, unless
indicating multiple
Principal
Investigators
101
93
102
Text
Principal investigator license state and license number Paired state and state license number of the principal investigator, who is a physician covered
recipient. The pairing includes the 2 letter state abbreviation, followed by a hyphen, followed by
the state license number and may include up to five "physician license state and license number"
pairs. If a principal investigator is licensed in multiple states, provide only one state and license
number pair.
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the principal
investigator fields.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
Maximum of 5 pairs of the
No, unless
state and license number: AA‐ indicating multiple
XXXXXXXXXXXXXXXXX
Principal
Investigators
29
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
94
Principal investigator first name
103
C
Definition / Description
Textual first name of the Principal Investigator(s) of the research study, if the Principal
Investigator is a Covered Recipient Physician.
D
Data Type
Text
If the Principal Investigator is the same as the Covered Recipient Physician receiving the payment
(identified in data elements 10‐13), this information must be duplicated for the Principal
Investigator fields.
Middle initial or middle name of the principal investigator of the research study, if the principal Text
investigator is a covered recipient physician.
E
F
Format
Free form text
Required?
No, unless
indicating multiple
Principal
Investigators
Free form text
No, unless
indicating multiple
Principal
Investigators
95
Principal investigator middle name
96
Principal investigator last name
Last name of the principal investigator of the research study, if the principal investigator is a
covered recipient physician.
Text
Free form text
No, unless
indicating multiple
Principal
Investigators
97
Principal investigator name suffix
Name suffix of the principal investigator of the research study chosen from a constrained list of
values (e.g., Jr., Sr., III), if the principal investigator is a covered recipient physician.
Text
Free form text
No, unless
indicating multiple
Principal
Investigators
98
Principal investigator business street address line 1
The first line of the primary business street address of the principal investigator of the research
study, if the principal investigator is a covered recipient physician.
Text
Two line address format;
First line contains building
number, street name, street
identifier
No, unless
indicating multiple
Principal
Investigators
104
105
106
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the principal
investigator fields.
107
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
30
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
C
D
E
F
99
Principal investigator business street address line 2
Definition / Description
The second line of the primary business street address of the principal investigator of the
research study.
Data Type
Text
Format
Required?
No, unless
Two line address format;
indicating multiple
Second line contains suite
Principal
number, apartment number,
Investigators
post office box number, or
other qualifying information
100
Principal investigator city
The primary business address city of the principal investigator of the research study.
Text
Free form text
No, unless
indicating multiple
Principal
Investigators
101
Principal investigator state
The primary business address state or territory abbreviation of the principal investigator of the
research study, if the primary practice address is in the United States.
Enumeration
2 character U.S. state or
territory alpha abbreviation
No, unless
indicating multiple
Principal
Investigators
102
Principal investigator zip code
The 5‐ or 9‐digit zip code of the primary business address location of the principal investigator of Numeric
the research study, if the primary practice address is in the United States.
9 digit numeric zip code
No, unless
indicating multiple
Principal
Investigators
103
Principal investigator country
The primary business address country name of the principal investigator of the research study. Text
Free form text
No, unless
indicating multiple
Principal
Investigators
108
109
110
111
112
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
31
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
C
D
E
F
Definition / Description
Data Type
The primary business address province name of the principal investigator of the research study, if Text
the primary practice address is outside the United States.
Format
Free form text
Required?
No, unless
indicating multiple
Principal
Investigators and
Principal
Investigator
Country Line 101 is
outside the United
States
Principal investigator postal code
The international postal code of the primary business location of the principal investigator of the Text
research study if the primary practice address is outside the United States.
Alphanumeric
No, unless
indicating multiple
Principal
Investigators and
Principal
Investigator
Country Line 101 is
outside the United
States
Principal investigator physician primary type
Primary type of medicine practiced by the principal investigator.
"1" = Medical Doctor (MD);
"2" = Doctor of Osteopathy
(DO);
"3" = Doctor of Dentistry
(DDS);
"4" = Doctor of Podiatric
Medicine (DPM);
"5" = Doctor of Optometry
(OD);
"6" = Chiropractor (DCP)
No, unless
indicating multiple
Principal
Investigators
104
Principal investigator province
105
106
113
114
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the principal
investigator fields.
115
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
Enumeration
32
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
107
Principal investigator NPI
108
Principal investigator specialty
116
C
D
Definition / Description
Data Type
Individual NPI for principal investigator if the principal investigator is a physician (not NPI of any Numeric
group physician belonging to). Required, if applicable.
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the principal
investigator fields.
Text
Principal investigator's single specialty chosen from "provider taxonomy" list.
E
F
Format
Numeric digits only
Required?
No, unless
indicating multiple
Principal
Investigators
Text from Standardized
Selection
No, unless
indicating multiple
Principal
Investigators
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the principal
investigator fields.
117
109
Text
Principal investigator license state and license number Paired state and state license number of the principal investigator, who is a physician covered
recipient; the pairing includes the 2 letter state abbreviation, followed by a hyphen, followed by
the state license number and may include up to five "physician license state and license number"
pairs. If a principal investigator is licensed in multiple states, provide only one state and license
number pair.
If the principal investigator is the same as the covered recipient physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the principal
investigator fields.
Maximum of 5 pairs of the
No, unless
state and license number: AA‐ indicating multiple
XXXXXXXXXXXXXXXXX
Principal
Investigators
110
Principal investigator first name
Free form text
No, unless
indicating multiple
Principal
Investigators
Free form text
No, unless
indicating multiple
Principal
Investigators
118
119
111
Principal Investigator Middle Name
Textual first name of the principal investigator(s) of the research study, if the principal
investigator is a covered recipient physician.
Text
If the Principal Investigator is the same as the Covered Recipient Physician receiving the payment
(identified in data elements 10‐13), this information must be duplicated for the Principal
Investigator fields.
Textual middle initial or middle name of the Principal Investigator of the research study, if the
Text
Principal Investigator is a Covered Recipient Physician.
120
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
33
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
C
D
E
F
Definition / Description
Data Type
Textual last name of the Principal investigator of the research study, if the Principal Investigator is Text
a Covered Recipient Physician.
Format
Free form text
Required?
No, unless
indicating multiple
Principal
Investigators
Principal Investigator Name Suffix
Name suffix of the Principal Investigator of the research study chosen from a constrained list of
values (e.g.,, Jr., Sr., III), if the Principal Investigator is a Covered Recipient Physician.
Text
Free form text
No, unless
indicating multiple
Principal
Investigators
Principal Investigator Business Street Address Line 1
The first line of the primary business street address of the Principal Investigator of the research
study, if the Principal Investigator is a Covered Recipient Physician.
Text
Two line address format;
First line contains building
number, street name, street
identifier
No, unless
indicating multiple
Principal
Investigators
112
Principal Investigator Last Name
113
114
121
122
If the Principal Investigator is the same as the Covered Recipient Physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the Principal
Investigator fields.
123
115
Principal Investigator Business Street Address Line 2
The second line of the primary business street address of the Principal investigator of the
research study.
Text
No, unless
Two line address format;
indicating multiple
Second line contains suite
Principal
number, apartment number,
Investigators
post office box number, or
other qualifying information
116
Principal Investigator City
The primary business address city of the Principal investigator of the research study.
Text
Free form text
124
No, unless
indicating multiple
Principal
Investigators
125
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
34
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
C
Definition / Description
The primary business address state or territory abbreviation of the Principal investigator of the
research study, if the primary practice address is in the United States.
D
Data Type
Enumeration
E
F
Format
2 character U.S. state or
territory alpha abbreviation
Required?
No, unless
indicating multiple
Principal
Investigators
The 5‐ or 9‐digit zip code of the primary business address location of the Principal investigator of Numeric
the research study, if the primary practice address is in the United States.
9 digit numeric zip code
No, unless
indicating multiple
Principal
Investigators
Principal Investigator Country
The primary business address country name of the Principal investigator of the research study. Text
Free form text
No, unless
indicating multiple
Principal
Investigators
Principal Investigator Province
The primary business address province name of the Principal investigator of the research study, if Text
the primary practice address is outside the United States.
Free form text
No, unless
indicating multiple
Principal
Investigators and
Principal
Investigator
Country Line 117 is
outside the United
States
117
Principal Investigator State
118
Principal Investigator Zip Code
119
120
126
127
128
129
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
35
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
C
D
E
F
121
Principal Investigator Postal Code
Definition / Description
Data Type
The international postal code of the primary business location of the Principal investigator of the Text
research study if the primary practice address is outside the United States.
Format
Alphanumeric
Required?
No, unless
indicating multiple
Principal
Investigators and
Principal
Investigator
Country Line 117 is
outside the United
States
122
Principal Investigator Physician Primary Type
Primary type of medicine practiced by the Principal Investigator.
"1" = Medical Doctor (MD);
"2" = Doctor of Osteopathy
(DO);
"3" = Doctor of Dentistry
(DDS);
"4" = Doctor of Podiatric
Medicine (DPM);
"5" = Doctor of Optometry
(OD);
"6" = Chiropractor (DCP)
Numeric digits only
No, unless
indicating multiple
Principal
Investigators
130
Enumeration
If the Principal Investigator is the same as the Covered Recipient Physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the Principal
Investigator fields .
131
123
Principal Investigator NPI
124
Principal Investigator Specialty
132
Individual NPI for Principal Investigator if the Principal Investigator is a Physician (not NPI of any Numeric
group physician belonging to). Required, if applicable.
If the Principal Investigator is the same as the Covered Recipient Physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the Principal
Investigator fields.
Text
Principal Investigator's single specialty chosen from "provider taxonomy" list.
If the Principal Investigator is the same as the Covered Recipient Physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the Principal
Investigator fields.
Text from Standardized
Selection
No, unless
indicating multiple
Principal
Investigators
No, unless
indicating multiple
Principal
Investigators
133
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
36
Research Payment
A
B
1 Research payments or other transfers of value
2
DE #
Data Element Name
125
134
Principal Investigator License State and License
Number
C
D
Definition / Description
Data Type
Alphanumeric
Paired state and state license number of the Principal Investigator, who is a physician covered
recipient. The pairing includes the 2 letter state abbreviation, followed by a hyphen, followed by
the state license number and may include up to 5 "Physician License State and License Number"
pairs. If a Principal investigator is licensed in multiple states, provide only one state and license
number pair.
If the Principal Investigator is the same as the Covered Recipient Physician receiving the payment
(identified in data elements 10‐13), it is necessary to duplicate the information for the Principal
Investigator fields.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
E
F
Format
Required?
Maximum of 5 pairs of the
No, unless
state and license number: AA‐ indicating multiple
XXXXXXXXXXXXXXXXX
Principal
Investigators
37
Physician Ownership
B
A
1 Submission File Specification
2
DE #
Data Element Name
1
Applicable manufacturer or
applicable GPO Name
C
D
Definition / Description
Name of either the submitting applicable manufacturer or submitting applicable group
purchasing organization (GPO).
Data Type
E
F
Format
Required?
Text
Free form text
Yes
Numeric
System generated
Yes
"Y" = Yes;
"N" = No
"Y" = Yes;
"N" = No
Yes
If this file contains a single applicable Manufacturer or applicable GPO's set of ownership or
investment records, this applicable manufacturer or applicable GPO name will be used for all
records in the file.
If this file contains a consolidated report, this applicable manufacturer or applicable GPO name
will be used as the consolidated reporter and the applicable manufacturer or applicable GPO
names and Open Payments system IDs of the sub‐companies related to the ownership or
investment will be recorded with every payment or transfer of value record in the file.
3
2
Applicable manufacturer or
applicable GPO registration ID
Open Payments system generated identifier used to identify the applicable manufacturer or
applicable GPO (populated only with the CMS‐provided identifier).
If this file contains a single applicable manufacturer or applicable GPO's set of ownership or
investment records, this applicable manufacturer or applicable GPO name will be used for all
records in the file.
4
3
Consolidated Report Indicator
4
Resubmission File Indicator
If this file contains a Consolidated Report, this Applicable Manufacturer/Applicable GPO Name
will be used as the Consolidated Reporter and the Applicable Manufacturer/Applicable GPO
Names and Open Payments system IDs of the sub‐companies related to the
ownership/investment will be recorded with every payment or transfer of value record in the
file.
Indicator showing if this submission file constitutes a consolidated report.
Boolean
5
6
Indicator showing if this submission file contains information that is amended or corrected
versions of previously submitted records.
Boolean
Yes
Submission Record Information (all sections from here to end of the table contain data elements that are reported once per physician ownership/investment record)
8
9 Physician Demographic Information
6
10
7
11
Physician owner or investor first
name
Physician owner or investor
middle name
First name, as listed in the National Plan & Provider Enumeration System (NPPES), of the
physician with the ownership or investment interest being reported.
Middle initial or middle name, as listed in the National Plan & Provider Enumeration System
(NPPES), of the physician with the ownership or investment interest being reported.
Text
Free form text
Yes
Text
Free form text
No
8
Physician owner or investor last Last name, as listed in the National Plan & Provider Enumeration System (NPPES), of the
name
physician with the ownership or investment interest being reported.
Text
Free form text
Yes
9
Physician owner or investor
name suffix
Name suffix, as listed in the National Plan & Provider Enumeration System (NPPES), of the
physician with the ownership or investment interest being reported.
Text
Free form text
No
10
Physician owner or investor
Business Street Address Line 1
The first line of the primary practice street address of the physician with the ownership or
investment interest being reported.
Text
Two line address format:
First line contains building
number, street name, street
identifier
Yes
11
Physician owner or investor
Business Street Address Line 2
The second line of the primary practice street address of the physician with the ownership or
investment interest being reported.
Text
Two line address format:
Second line contains suite
number, apartment number,
post office box number, or
other qualifying information
No
Text
Free form text
Yes
Enumeration
2 character U.S. state or
territory alpha abbreviation
Yes
12
13
14
15
12
16
Physician owner or investor city The primary practice city of the physician with the ownership or investment interest being
reported.
The primary practice state or territory abbreviation of the physician with the ownership or
investment interest being reported, if the primary practice address is in the United States.
13
Physician owner or investor
state
14
Physician owner or investor zip The 5‐ or 9‐digit zip code for the primary practice location of the physician with the ownership Numeric
code
or investment interest being reported, if the primary practice address is in the United States.
9 digit numeric zip code
Yes
15
Physician owner or investor
country
The primary practice/business address country name of the physician with the ownership or
investment interest being reported.
Text
Free form text
Yes
16
Physician owner or investor
province
The primary practice/business province name of the physician with the ownership or
investment interest being reported, if the primary practice/business address is outside the
United States, and if applicable.
Text
Free form text
No
17
Physician owner or investor
postal code
The international postal code for the primary practice/business location of the physician with Text
the ownership or investment interest being reported, if the primary practice/business address is
outside the United States.
Alphanumeric
Yes IF
17
18
19
20
Recipient Country Line 15 is
outside the United States
21
18
22
19
Physician owner or investor
email address
Physician owner or investor
primary type
Text
The primary email address of the physician with the ownership or investment interest being
reported.
Primary type of medicine practiced by the physician with the ownership or investment interest Enumeration
being reported.
Email Address
No
"1" = Medical Doctor (MD);
"2" = Doctor of Osteopathy
(DO);
"3" = Doctor of Dentistry (DDS);
"4" = Doctor of Podiatric
Medicine (DPM);
"5" = Doctor of Optometry (OD);
"6" = Chiropractor (DCP)
Yes
23
20
24
21
25
22
Physician owner or investor NPI Individual NPI for the Physician (not the NPI of any group the physician belongs to)
Text
Physician's single specialty chosen from the standardized "provider taxonomy" code list.
Text
Physician owner or investor
specialty
Physician owner or investor
Paired state and official state license number of the physician with the ownership or investment Text
license state and license number interest being reported. The pairing includes the 2 letter state abbreviation, followed by a
hyphen, followed by the state license number and may include up to 5 "Physician License State
and License Number" pairs, if a physician is licensed in multiple states.
Numeric digits only
Text from Standardized
Selection
Maximum of 5 pairs of the state
and license number: AA‐
XXXXXXXXXXXXXXXXX
Yes if Physician has an NPI
Yes
Yes
26
27 Ownership/Investment Information
23
Applicable manufacturer or
applicable GPO reporting
ownership name
28
Name of either the applicable manufacturer or applicable GPO reporting the ownership or
investment interest being reported in this record.
Text
If this file contains a single applicable manufacturer or applicable GPO's report(s) of ownership
or investment interest, this data element will be blank, since it was reported in data element
#1
CMS‐issued generated alphanumeric identifier for this applicable manufacturer or applicable Numeric
GPO issued during the registration process.
Free form text
Yes IF
Line 3
Consolidated Report
Indicator = "Y"
24
Applicable manufacturer or
applicable GPO reporting
ownership registration ID
25
Text
The identifier associated with the payment transaction in the Applicable Manufacturer or
Applicable GPO home system
Resubmitted Ownership Record This data element will be blank for initial file submissions.
Numeric
ID
For resubmission files ‐ this data element will either be blank (indicating an omitted record is
being submitted in the Resubmission file) or will contain the original ownership record ID
(indicating which record is to be corrected). The original payment/transfer of value record ID is
provided by the Open Payments System.
Text
27
Interest Held by Physician or an Indicator showing if the ownership or investment interest is held by the physician themselves or Enumeration
Immediate Family Member
by an immediate family member.
"1" = Physician;
"2" = Physician's Immediate
family member
Yes
28
Dollar Amount Invested
The dollar amount the physician or immediate family member has invested in the Applicable
Manufacturer or Applicable GPO, given in US dollars. Convert values to US dollar currency if
necessary.
Fixed point
Currency (US dollars)
##########.##
Yes
29
Value of Interest
The current value (as of the reporting date) of the ownership or investment interest of the
physician or immediate family member.
Fixed point
Currency (US dollars)
##########.##
Yes
29
30
26
Home System Payment ID
System generated
System generated
Yes
No
Yes IF
Line 4
Resubmission File Indicator =
"Y"
AND
Record is not being
submitted as an omission
from the original submission
31
32
33
34
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
38
Physician Ownership
B
A
1 Submission File Specification
2
DE #
Data Element Name
30
Terms of Interest
C
Definition / Description
Description of any applicable terms of the ownership or investment interest.
D
E
F
Data Type
Format
Required?
Text
Yes
35
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
39
Version Date Published
1.0
Dec 2013/Jan 2014
1.1
April/May 2014
1.2
May/June 2014
1.3
June 2014
Description
Initial Release
Updated and corrected throughout
Updated and corrected throughout
Updated and corrected throughout
Version Updates
Initial Release
April/May 2014 version
May/June 2014 version
June 2014 version
| File Type | application/pdf |
| File Title | Final rule Open Payments data elements PRA 10 29 14.xlsx |
| Author | W1UG |
| File Modified | 2014-10-31 |
| File Created | 2014-10-31 |