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pdfOMB Control No: 0938-1237
Expiration Date: XX/2020
Open Payments
Data Elements & Screen Shots
Version for 2016
General Payments (Non-Research)
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DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Yes
≤ 100 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
APPLICABLE_MANUFACTURER_OR_APPLI
CABLE_GPO_NAME
Published as "Submitting
Applicable Manufacturer or
Applicable GPO Name"
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
No
APPLICABLE_MANUFACTURER_OR_APPLI
CABLE_GPO_ID
No notes
System generated value only.
For more information on
No, only values given in Format Column E are
Consolidated Reporting, consult allowed.
the Quick Reference Guide on
Consolidated Reporting, located
on the CMS Open Payments
website
No notes
No, only values given in Format Column E are
allowed.
1
Applicable Manufacturer or
Applicable GPO Name
Textual proper name of either the Submitting Applicable
Manufacturer or Submitting Applicable Group Purchasing
Organization (GPO).
Text
Free form text
Match the name on file for associated Registration ID
If this submission file contains records of payment(s) and/or other
transfer(s) of value made by only one Applicable
Manufacturer/Applicable GPO, enter that Applicable
Manufacturer’s/Applicable GPO’s name in this data field for all
records in the submission file.
If this submission file contains records of payment(s) and/or other
transfer(s) of value from multiple Applicable
Manufacturers/Applicable GPOs, enter the name of the Applicable
Manufacturer/Applicable GPO submitting the consolidated report in
this field. The name of the Applicable Manufacturer/Applicable GPO
that made the payment for each record is entered in the “Applicable
Manufacturer or Applicable GPO Making Payment Name” (DE#32)
field of that record.
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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).
Numeric
System generated
Yes
System generated :
≤ 38 digits
Validated against data type, format, and field size (columns D, E, G)
Validates that only character "Y" or "N" is provided
No
CONSOLIDATED_REPORT_INDICATOR
Validates that only character "N","Y","R", or "D" is provided
No
RESUBMISSION_FILE_INDICATOR
Match the Registration ID on file
If this submission file contains records of payment(s) and/or other
transfers of value made by only one Applicable
Manufacturer/Applicable GPO, enter that Applicable
Manufacturer’s/Applicable GPO’s Registration ID in this data field for
all records in the submission file.
If this submission file contains records of payment(s) and/or other
transfer(s) of value from multiple Applicable
Manufacturers/Applicable GPOs, enter the Record ID of the
Applicable Manufacturer/Applicable GPO submitting the consolidated
report. The Record ID of the Applicable Manufacturer/Applicable
GPO that made the payment for each record is entered in the
“Applicable Manufacturer or Applicable GPO Making Payment
Registration ID” (DE#33) field of that record.
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5
3
Consolidated Report Indicator
Indicator showing if this submission file constitutes a Consolidated
Report.
Boolean
4
Resubmission File Indicator
Indicator showing if this submission file contains payment(s) and/or Enumeration
other transfer(s) of value that are all new records, amended or
corrected versions of previously submitted records, previously
submitted records for which a delay in publication has been
requested that you now wish to update, or previously submitted
records that you now wish to delete.
"Y" = Yes;
"N" = No
Yes
1 Char
"N" = New Submission
"Y" = Resubmission
"R" = Renew Delay in
Publication
"D" = Delete
Yes
1 Char
If "R" is provided, only DE# 2, 3, 4, 33, 34, 36, and 49 are required for
the record. All other fields are optional.
If "D" is provided, only DE# 2, 3, 4, 33, 34, and 36 are required for the
record. All other fields are optional.
All records in a file must have the same value in this field.
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5
Original File Submission ID
This field is no longer collected by Open Payments and has been
replaced by Home System Payment ID, data element 33A.
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8
9
10
This field is no longer
collected by Open
Payments and has
been replaced by
Home System
Payment ID, data
element 33A
This field is no longer
collected by Open
Payments and has been
replaced by Home
System Payment ID, data
element 33A.
This field is no longer collected
by Open Payments and has been
replaced by Home System
Payment ID, data element 33A.
This field is no longer
collected by Open
Payments and has been
replaced by Home
System Payment ID,
data element 33A.
This field is no longer collected by Open Payments and has been
replaced by Home System Payment ID, data element 33A.
This field is no longer collected by
Open Payments and has been
replaced by Home System
Payment ID, data element 33A.
This field is no longer collected by Open
Payments and has been replaced by
Home System Payment ID, data element
33A.
This field is no longer collected N/A
by Open Payments and has
been replaced by Home System
Payment ID, data element 33A.
Submission Record Information (all sections from here to the end of this table contain data elements that are reported once per payment/transfer of value)
Recipient Demographic Information
DE #
6
Data Element Name
Covered Recipient Type
Definition / Description
Data Type
Indicator showing if the recipient of the payment or other transfer of Enumeration
value is a physician covered recipient or a teaching hospital.
Format
"1" = Physician
"2" = Teaching Hospital
Required?
Field Size
Validation Rules
Publicly Displayed
Yes
1 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
CSV Field Name
COVERED_RECIPIENT_TYPE
Additional Notes
No notes
Allowed Special Characters
No, only values given in Format Column E are
allowed.
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INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
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DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Yes IF
≤ 100 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
TEACHING_HOSPITAL_NAME
No
TEACHING_HOSPITAL_TAX_ID_NUMBER_ No notes
TIN
No, only numeric values are allowed.
Yes
PHYSICIAN_FIRST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
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Teaching Hospital Name
The "doing business as" name of the Teaching Hospital receiving the Text
payment or other transfer of value. This can be found under the
"Hospital Name" field on the CMS-provided Teaching Hospital List.
Text from Standardized
Selection
A standardized list of covered Teaching Hospital names and
information is provided on the CMS Open Payments website.
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8
Teaching Hospital Tax ID Number
(TIN)
Tax Identification Number (TIN) of the Teaching Hospital receiving
the payment or other transfer of value.
DE# 6
Covered Recipient Type = "2"
(Teaching Hospital)
IF DE# 6 Covered Recipient Type
= "1" (Physician), this field must
be blank.
Numeric
999999999
Yes IF
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Physician First Name
Textual first name of the physician (covered recipient) receiving the
payment or other transfer of value.
9 Char
DE# 6
Covered Recipient Type = "2"
(Teaching Hospital)
Text
Free form text
Yes IF
Validated against data type, format, and field size (columns D, E, G)
A standardized list of covered Teaching Hospital names and information
is provided on the CMS Open Payments website.
Value must match the TIN associated with the teaching hospital name
(DE #7) as per the Teaching Hospital List
≤ 20 Char
DE# 6
Covered Recipient Type = "1"
(Physician)
If applicable, report the value for this data element as listed in the
National Plan & Provider Enumeration System (NPPES).
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Value must match the hospital name associated with the TIN (DE #8) as
per the Teaching Hospital List
IF DE# 6 Covered Recipient Type
= "1" (Physician), this field must
be blank.
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No notes
A standardized list of covered Teaching Hospital names and information
is provided on the CMS Open Payments website. Hospital name
submitted is matched against this list. Use the "Hospital Name" value in
the list for the correct name. (Records for program year 2013 only must
use the "PECOS Legal Name" instead)
Validated against data type, format, and field size (columns D, E, G)
Validated against CMS-approved data sources
IF DE# 6 Covered Recipient Type
= "2" (Teaching Hospital), this
field must be blank.
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Physician Middle Name
Textual middle initial or middle name of the physician (covered
recipient) receiving the payment or other transfer of value.
Text
Free form text
If applicable, report the value for this data element as listed in the
National Plan & Provider Enumeration System (NPPES).
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Physician Last Name
Textual last name of the physician (covered recipient) receiving the
payment or other transfer of value.
No
≤ 20 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
PHYSICIAN_MIDDLE_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
≤ 35 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
PHYSICIAN_LAST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
IF DE# 6 Covered Recipient Type
= "2" (Teaching Hospital), this
field must be blank.
Text
Free form text
Yes IF
DE# 6
Covered Recipient Type = "1"
(Physician)
If applicable, report the value for this data element as listed in the
National Plan & Provider Enumeration System (NPPES).
Validated against CMS-approved data sources
IF DE# 6 Covered Recipient Type
= "2" (Teaching Hospital), this
field must be blank.
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Physician Name Suffix
Recipient Primary Business Street
Address Line 1
Name suffix of the physician (covered recipient) receiving the
payment or other transfer of value chosen from a constrained list of
values (Examples: Jr., Sr., III).
If applicable, report the value for this data element as listed in the
National Plan & Provider Enumeration System (NPPES)
The first line of the primary practice/business street address of the
physician or teaching hospital (covered recipient) receiving the
payment or other transfer of value.
Text
Free form text
No
≤ 5 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
PHYSICIAN_NAME_SUFFIX
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
≤ 55 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
RECIPIENT_PRIMARY_BUSINESS_STREET No notes
_ADDRESS_LINE_1
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
RECIPIENT_PRIMARY_BUSINESS_STREET No notes
_ADDRESS_LINE_2
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
RECIPIENT_CITY
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
IF DE# 6 Covered Recipient Type
= "2" (Teaching Hospital), this
field must be blank.
Text
Recipient Primary Business Street
Address Line 2
The second line of the primary practice/business street address of
the physician or teaching hospital (covered recipient) receiving the
payment or other transfer of value.
Text
Recipient City
The primary practice/business city of the physician or teaching
hospital (covered recipient) receiving the payment or other transfer
of value.
Text
Two line address format;
First line contains
building number, street
name, street identifier
Yes
Two line address format;
Second line contains
suite number, apartment
number, post office box
number or other
qualifying information
No
Free form text
Yes
If the Covered Recipient Type (DE#6) has a value of "2" (Teaching
Hospital), NPPES Address Line 1 from the CMS-provided Teaching
Hospital list should be used for this data element
≤ 55 Char
Validated against data type, format, and field size (columns D, E, G)
If the Covered Recipient Type (DE#6) has a value of "2" (Teaching
Hospital), NPPES Address Line 2 from the CMS-provided Teaching
Hospital list should be used for this data element
≤ 40 Char
Validated against data type, format, and field size (columns D, E, G)
If the Covered Recipient Type (DE#6) has a value of "2" (Teaching
Hospital), NPPES Address City from the CMS-provided Teaching Hospital
list should be used for this data element
No notes
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DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Yes IF
2 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
RECIPIENT_STATE
No notes
No, only values given in Format Column E are
allowed.
Yes
RECIPIENT_ZIP_CODE
No notes
No, only numeric values are allowed.
Yes
RECIPIENT_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
16
Recipient State
The primary practice/business state or territory abbreviation of the
physician or teaching hospital (covered recipient) receiving the
payment or other transfer of value, if the primary practice/business
address is in the United States.
Enumeration
2 character U.S. state or
territory alpha
abbreviation
Recipient Country, DE# 18 =
"US" or "United States"
Limited to list of state abbreviations and territories per US Postal Service
If the Covered Recipient Type (DE#6) has a value of "2" (Teaching
Hospital), NPPES Address State from the CMS-provided Teaching
Hospital list should be used for this data element
IF DE# 18 is any other value,
this field must be blank.
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Recipient Zip Code
The 5- or 9-digit zip code for the primary practice/business location
of the physician or teaching hospital (covered recipient) receiving
the payment or other transfer of value, if the primary
practice/business address is in the United States.
Numeric
5- or 9-digit numeric zip
code
Yes IF
≤ 9 Char
Recipient Country, DE# 18 =
"US" or "United States"
Validated against data type, format, and field size (columns D, E, G)
If the Covered Recipient Type (DE#6) has a value of "2" (Teaching
Hospital), NPPES Address Zip Code from the CMS-provided Teaching
Hospital list should be used for this data element
IF DE# 18 is any other value,
this field must be blank.
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24
25
26
27
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18
Recipient Country
The primary practice/business address country name of the
physician or teaching hospital (covered recipient) receiving the
payment or other transfer of value.
Text
19
Recipient Province
Text
The primary practice/business province name of the physician or
teaching hospital (covered recipient) receiving the payment or other
transfer of value, if the primary practice/business address is outside
the United States, and if applicable.
20
Recipient Postal Code
The international postal code for the primary practice/business
location of the physician or teaching hospital (covered recipient)
receiving the payment or other transfer of value, if the primary
practice/business address is outside the United States.
Text
The primary email address for this payment recipient to be used for
communication purposes.
Text
21
Recipient Email Address
Free form text
Free form text
Alphanumeric
Yes
2 Char
* For US only, you can
enter either US or
United States
Validated against data type, format, and field size (columns D, E, G)
No
≤ 20 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
RECIPIENT_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes IF
≤ 20 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
RECIPIENT_POSTAL_CODE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
No
RECIPIENT_EMAIL_ADDRESS
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Recipient Country, DE# 18, is
outside the United States
Email Address
IF DE# 18 = "US" or "United
States", this field must be
blank
No
Physician Primary Type
Primary type of medicine practiced by the physician covered
recipient.
Enumeration
Yes IF
"1" = Medical Doctor
(MD);
"2" = Doctor of
DE# 6
Osteopathy (DO);
Covered Recipient Type = "1"
"3" = Doctor of Dentistry
(Physician)
(DDS);
"4" = Doctor of Podiatric IF DE# 6 Covered Recipient Type
Medicine (DPM);
= "2" (Teaching Hospital), this
"5" = Doctor of
field must be blank.
Optometry (OD);
"6" = Chiropractor (DCP)
23
Physician NPI
Individual NPI for the Physician (not the NPI of a group the
physician belongs to).
Numeric
Numeric digits only
Taxonomy code for the physician's specialty, chosen from the
standardized "provider taxonomy" code list.
Text
Physician Specialty
Proper length and format validated for each country
≤ 100 Char
Validated against data type, format, and field size (columns D, E, G)
Proper email format enforced
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Must be exactly 2 char abbreviation of country
* For US only, you can enter US or United States
Yes IF Physician has an NPI
1 Char
Allowed values limited to "1", "2", "3", "4", "5", or "6"
Yes
PHYSICIAN_PRIMARY_TYPE
No notes
No, only values given in Format Column E are
allowed.
10 Char
Validated against data type, format, and field size (columns D, E, G)
No
PHYSICIAN_NPI
No notes
No, only numeric values are allowed.
PHYSICIAN_SPECIALTY
Refer to the Open Payments
Physician Taxonomy Code list
on the CMS Open Payments
website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
IF DE# 6 Covered Recipient Type
= "2" (Teaching Hospital), this
field must be blank.
Text from Standardized
Selection
Yes IF
Validated against CMS-approved data sources
10 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
≤ 28 Char
Validated against data type, format, and field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
DE# 6
Covered Recipient Type = "1"
(Physician)
IF DE# 6 Covered Recipient Type
= "2" (Teaching Hospital), this
field must be blank.
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25
Physician License State and License Paired state and official state license number of the covered
Number
recipient physician. May include up to 5 "Physician License State and
License Number" pairs, if a physician is licensed in multiple states.
Maximum of 5 unique
pairs of the state and
license number: AA99999999999999999999
99999
Yes IF
DE# 6
Covered Recipient Type = "1"
(Physician)
The pairing includes the 2-letter state abbreviation, followed by a
hyphen, followed by the state license number
IF DE# 6 Covered Recipient Type
= "2" (Teaching Hospital), this
field must be blank.
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Text
PHYSICIAN_LICENSE_STATE_AND_LICEN No notes
SE_NUMBER_1
PHYSICIAN_LICENSE_STATE_AND_LICEN
SE_NUMBER_2
PHYSICIAN_LICENSE_STATE_AND_LICEN
SE_NUMBER_3
PHYSICIAN_LICENSE_STATE_AND_LICEN
SE_NUMBER_4
PHYSICIAN_LICENSE_STATE_AND_LICEN
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Associated Drug, Device, Biological, or Medical Supply Information
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
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DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Format
Required?
Field Size
Validation Rules
Publicly Displayed
Yes
1 Char
Validates that only character "Y" or "N" is provided
Yes
Yes IF
1 Char
Allowed values limited to "1" or "2"
Yes
COVERED_OR_NONCOVERED_INDICATO
R_1
COVERED_OR_NONCOVERED_INDICATO
R_2
COVERED_OR_NONCOVERED_INDICATO
R_3
COVERED_OR_NONCOVERED_INDICATO
R_4
COVERED_OR_NONCOVERED_INDICATO
1 Char
Allowed values limited to "1", "2", "3", or "4"
< 100 Char
Validated against data type, format, and field size (columns D, E, G)
DE #
Data Element Name
Definition / Description
Data Type
26
Related Product Indicator
Identifies whether the payment or other transfer of value is related
to one or more product(s) (drugs, devices, biologicals, or medical
supplies). If the payment was not made in relation to a product,
select "No". If the payment was related to one or more product,
select "Yes".
Boolean
"Y" = Yes;
"N" = No
27
Covered or Non covered Product
Indicator
For each product listed in relation to the payment or other transfer
of value, indicate if the product is a covered or non covered product
per the covered product definition in the Open Payments final rule.
Do not report this element if the payment is not related to any
products.
Enumeration
"1" for covered
"2" for non covered
CSV Field Name
RELATED_PRODUCT_INDICATOR
Additional Notes
Allowed Special Characters
If reporting multiple products,
the information in DE# 27-31
must be reported for one
product before moving on to
the next product in the record
(i.e., report all information for
one product, then all
information for the next
product, etc.)
No, only values given in Format Column E are
allowed.
No notes
No, only values given in Format Column E are
allowed.
Yes
INDICATE_DRUG_OR_BIOLOGICAL_OR_D No notes
EVICE_OR_MEDICAL_SUPPLY_1
INDICATE_DRUG_OR_BIOLOGICAL_OR_D
EVICE_OR_MEDICAL_SUPPLY_2
INDICATE_DRUG_OR_BIOLOGICAL_OR_D
EVICE_OR_MEDICAL_SUPPLY_3
INDICATE_DRUG_OR_BIOLOGICAL_OR_D
EVICE_OR_MEDICAL_SUPPLY_4
INDICATE_DRUG_OR_BIOLOGICAL_OR_D
EVICE_OR_MEDICAL_SUPPLY_5
No, only values given in Format Column E are
allowed.
Yes
PRODUCT_CATEGORY_OR_THERAPEUTIC No notes
_AREA_1
PRODUCT_CATEGORY_OR_THERAPEUTIC
_AREA_2
PRODUCT_CATEGORY_OR_THERAPEUTIC
_AREA_3
PRODUCT_CATEGORY_OR_THERAPEUTIC
_AREA_4
PRODUCT_CATEGORY_OR_THERAPEUTIC
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
NAME_OF_DRUG_OR_BIOLOGICAL_OR_D No notes
EVICE_OR_MEDICAL_SUPPLY_1
NAME_OF_DRUG_OR_BIOLOGICAL_OR_D
EVICE_OR_MEDICAL_SUPPLY_2
NAME_OF_DRUG_OR_BIOLOGICAL_OR_D
EVICE_OR_MEDICAL_SUPPLY_3
NAME_OF_DRUG_OR_BIOLOGICAL_OR_D
EVICE_OR_MEDICAL_SUPPLY_4
NAME_OF_DRUG_OR_BIOLOGICAL_OR_D
EVICE_OR_MEDICAL_SUPPLY_5
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
33
34
28
Indicate Drug, Device, Biological,
or Medical Supply
Related Product Indicator (DE
#26) is "Yes"
IF DE# 26 = "N", this field must
be blank.
Enumeration
For each product listed in relation to the payment or other transfer
of value, indicate if the product is a drug, device, biological, or
medical supply. Do not report this element if the payment is not
related to any products.
"1"
"2"
"3"
"4"
for
for
for
for
drug
device
biological
medical supply
Yes IF
Rela‐ted Product Indicator (DE
#26) is "Yes" and Covered or
Non covered Product Indicator
(DE #27) is "Covered"
OR
Rela‐ted Product Indicator (DE
#26) is "Yes", Covered or
Non covered Product Indicator
(DE #27) is "Non-covered", and
an Associated Drug or Biological
NDC (DE#31) has been
provided. In this case, this field
must be "1" or "3".
IF DE# 26 = "N", this field must
be blank.
35
36
29
Product Category or Therapeutic
Area
Text
Provide the product category or therapeutic area for the covered
drug, device, biological, or medical supply listed in relation to the
payment or other transfer of value. Do not report this element if the
payment or other transfer of value is not related to any products.
Free form text
Text
Free form text
Yes IF
The values in this field may not consist of only zeroes
Rela‐ted Product Indicator (DE
#26) is "Yes" and Covered or
Non covered Product Indicator
(DE #27) is "Covered"
IF DE# 26 = "N", this field must
be blank.
30
Marketed Name of Drug, Device,
Biological, or Medical Supply
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) associated with the
payment or other transfer of value.
If the drug or biological associated with this payment or other
transfer of value does not have a marketed name, report the drug
or biological name as it is registered on www.clinicaltrials.gov.
If the device or medical supply associated with this payment does
not have a marketed name, this field may be left blank. Do not
report this element if the payment is not related to any products.
Yes IF
< 100 Char
Rela‐ted Product Indicator (DE
#26) is "Yes" and Covered or
Non covered Product Indicator
(DE #27) is "Covered" and
Indicate Drug, Device, Biological,
or Medical Supply (DE#28) is "1"
or "3"
Validated against data type, format, and field size (columns D, E, G)
The values in this field may not consist of only zeroes
OR
Rela‐ted Product Indicator (DE
#26) is "Yes", Covered or
Non covered Product Indicator
(DE #27) is "Non-covered",
Indicate Drug, Device, Biological,
or Medical Supply (DE#28) is "1"
or "3" and an Associated Drug or
Biological NDC (DE#31) has
been provided
37
IF DE# 26 = "N", this field must
be blank.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
4
General Payments (Non-Research)
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
31
Associated Drug or Biological NDC
Yes IF
12 Char (including
dashes)
Validated against format and field size (columns E and G)
Yes
For each covered drug or covered biological listed in relation to the
payment or other transfer of value, provide the associated National
Drug Code (NDC) (if applicable). Up to 5 NDCs can be provided.
Text
NDCs are required for all drugs and biologicals that have NDCs. If
the reported drug or biological does not have an NDC this field may
be left blank. Report this element for drugs and biologicals only. Do
not report this element if the payment or other transfer of value is
not related to any products.
10-digit numeric code
with three segments
divided by dashes,
grouped in one of three
ways:
9999-9999-99
99999-999-99
99999-9999-9
Rela‐ted Product Indicator (DE
#26) is "Yes" and Covered or
Non covered Product Indicator
(DE #27) is "Covered" and when
the reported drug or biological
has an NDC
If a drug or biological named in the record (DE#30) has an NDC, the
NDC must be reported with the same record. The order of NDCs
provided must match the order of named drugs or biologicals in DE#30.
If no NDC exists for a named drug or biological in DE#30, leave the
corresponding NDC field blank for that drug or biological.
The numeric values in this field may not consist of only zeroes
IF DE# 26 = "N" or if DE# 28 =
"2" or "4", this field must be
blank.
ASSOCIATED_DRUG_OR_BIOLOGICAL_N No notes
DC_1
ASSOCIATED_DRUG_OR_BIOLOGICAL_N
DC_2
ASSOCIATED_DRUG_OR_BIOLOGICAL_N
DC_3
ASSOCIATED_DRUG_OR_BIOLOGICAL_N
DC_4
ASSOCIATED_DRUG_OR_BIOLOGICAL_N
DC_5
Minus sign/hyphen (-)
38
39
Transfer of Value (Payment) Information
DE #
40
32
Data Element Name
Applicable Manufacturer or
Applicable GPO Making Payment
Name
Definition / Description
Data Type
Text
Textual proper name of either the Applicable Manufacturer or
Applicable GPO making the payment or other transfer of value being
reported in this record.
Format
Free form text
Required?
Field Size
Yes
≤ 100 Char
Validation Rules
Publicly Displayed
Validated against data type, format, and field size (columns D, E, G)
Yes
APPLICABLE_MANUFACTURER_OR_APPLI
CABLE_GPO_MAKING_PAYMENT_NAME
Published as "Making Payment
Applicable Manufacturer or
Applicable GPO Name"
Yes
APPLICABLE_MANUFACTURER_OR_APPLI
CABLE_GPO_MAKING_PAYMENT_REGIST
RATION_ID
System generated value only.
Published as
"Applicable_Manufacturer_or_A
pplicable_GPO_Making_Paymen
t_ID"
Matches Applicable AM/Applicable GPO names specified at registration
for associated Registration IDs
CSV Field Name
Additional Notes
Allowed Special Characters
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
If DE# 3 (Consolidated Report Indicator) = “N”, the value provided for
this data element must be the same as the value provided for DE# 1
(Applicable Manufacturer or Applicable GPO Name).
41
33
Applicable Manufacturer or
Applicable GPO Making Payment
Registration ID
Open Payments system-generated identifier for this Applicable
Manufacturer or Applicable GPO issued during the registration
process.
Numeric
System generated
Yes
System generated :
≤ 38 digits
44
33A
34
Home System Payment ID
Resubmitted Payment Record ID
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.
Text
Text
Numeric
System generated
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/transfer of value record ID
(indicating which record is to be corrected). The original
payment/transfer of value record ID is provided by the CMS Open
Payments System.
35
Total Amount of Payment
Amount of payment to recipient, in US dollars. Convert to US dollar
currency, if necessary.
No
≤ 50 Char
Validated against data type, format, and field size (columns D, E, G)
No
HOME_SYSTEM_PAYMENT_ID
No notes
Yes IF
System generated :
≤ 38 digits
Validated against data type, format, and field size (columns D, E, G)
No
RESUBMITTED_PAYMENT_RECORD_ID
No notes
Yes
TOTAL_AMOUNT_OF_PAYMENT
No notes
No, only values given in Format Column E are
allowed.
Yes
DATE_OF_PAYMENT
No notes
No, only values given in Format Column E are
allowed.
Yes
NUMBER_OF_PAYMENTS_INCLUDED_IN_ No notes
TOTAL_AMOUNT
No, only values given in Format Column E are
allowed.
DE# 4 Resubmission File
Indicator = "Y", "R" or "D"
Fixed point
Currency (US dollars)
9999999999.99
Yes
≤ 13 Char (including
decimal point)
The “Total Amount of Payment” should be tied to a singular
transaction or purchased service (items listed in “Nature of
Payment” DE#39).
45
46
Matches Registration ID(s) on file
If DE# 3 (Consolidated Report Indicator) = “N”, the value provided for
this data element must be the same as the value provided for DE# 2
(Applicable Manufacturer or Applicable GPO Registration ID).
42
43
Validated against data type, format, and field size (columns D, E, G)
36
Date of Payment
If reporting a singular payment, report the actual date the payment
was issued.
Number of Payments Included in
Total Amount
The number of discrete payments being reported in the "Total
Amount of Payment" data element (#35).
If reported, matches Initial Payment Record ID for given Original File
Submission ID
Validated against data type, format, and field size (columns D, E, G)
Must have 2 digits after decimal
The value in this field cannot be 0.00. The value entered must be
greater than zero dollars
Date
YYYYMMDD
Yes
8 Char
Validated against data type, format, and field size (columns D, E, G)
Is within correct reporting year
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.
37
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
System generated value only.
Numeric
Integer
Yes
3 Char
Validated against data type, format, and field size (columns D, E, G)
Report 1 in this data element if this is a singular payment to the
covered recipient.
47
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.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
5
General Payments (Non-Research)
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
"1" = Ca‐sh or cash
equivalent;
Yes
1 Char
Allowed values limited to "1", "2", "3","4", "5", or "6"
Yes
FORM_OF_PAYMENT_OR_TRANSFER_OF_
VALUE
No notes
No, only values given in Format Column E are
allowed.
"1" = Consulting Fee;
"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;
Yes
≤ 2 Char
Limited to numeric characters 1 through 15
Yes
NATURE_OF_PAYMENT_OR_TRANSFER_O
F_VALUE
No notes
No, only values given in Format Column E are
allowed.
Yes IF
≤ 20 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
CITY_OF_TRAVEL
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
2 Char
Limited to list of state abbreviations and territories per US Postal Service
Yes
STATE_OF_TRAVEL
No notes
No, only values given in Format Column E are
allowed.
13 Char
* For US only, you can
enter US or United
States
Must be exactly 2 char abbreviation of country
* For US only, you can enter US or United States
Yes
COUNTRY_OF_TRAVEL
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
38
48
49
50
51
Enumeration
Form of Payment or Transfer of
Value
The method of payment used to pay the covered recipient or to
make the transfer of value.
39
Nature of Payment or Transfer of
Value
The nature of payment used to pay the covered recipient or to make Enumeration
the transfer of value.
40
City of Travel
For "Travel and Lodging" payments, destination city where covered
recipient traveled.
"2" = In kind items and
services;
"3" = Stock;
"4" = Stock option;
"5" = Any other
ownership interest;
"6" = Dividend, profit or
other return on
investment
Text
Free form text
DE# 39 Nature of Payment = "7"
Travel and Lodging
41
State of Travel
For "Travel and Lodging" payments, destination state where covered Enumeration
recipient traveled.
42
Country of Travel
For "Travel and Lodging" payments, destination country where
covered recipient traveled.
2 character U.S. state or
territory alpha
abbreviation
For all other conditions, this field
Text
Free form text
54
If DE# 39 Nature of Payment is
any other value, this field must
be blank
General Record Information
DE #
43
Data Element Name
Physician Ownership Indicator
Yes IF
DE# 39 Nature of Payment = "7"
Travel and Lodging
52
53
If DE# 39 Nature of Payment is
any other value, this field must
be blank
Yes IF
DE# 39 Nature of Payment = "7"
Travel and Lodging
AND
DE# 42 Country of Travel = "US"
or "United States"
Definition / Description
Data Type
If Recipient type = "Physician", does the physician hold ownership or Boolean
investment interest in the applicable manufacturer?
Format
"Y" = Yes;
"N" = No
This indicator is limited to physician's ownership, not physician's
family members' ownership.
Required?
Field Size
Validation Rules
Publicly Displayed
Yes IF
1 Char
Validates that only character "Y" or "N" is provided
Yes
PHYSICIAN_OWNERSHIP_INDICATOR
CSV Field Name
No notes
Additional Notes
No, only values given in Format Column E are
allowed.
Yes
1 Char
Limited to numeric characters "1," "2," or "3"
Yes
THIRD_PARTY_PAYMENT_RECIPIENT_IND No notes
ICATOR
No, only values given in Format Column E are
allowed.
Yes IF
≤ 50 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
NAME_OF_THIRD_PARTY_ENTITY_RECEIV No notes
ING_PAYMENT_OR_TRANSFER_OF_VALU
E
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
1 Char
Validates that only character "Y" or "N" is provided
Yes
CHARITY_INDICATOR
No notes
No, only values given in Format Column E are
allowed.
1 Char
If reported Third Party Payment Recipient Indicator = 1 (Entity)
Validates that only character "Y" or "N" is provided
Yes
THIRD_PARTY_EQUALS_COVERED_RECIP No notes
IENT_INDICATOR
No, only values given in Format Column E are
allowed.
≤ 500 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
CONTEXTUAL_INFORMATION
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
DE# 6 Covered Recipient Type
= "1" (Physician)
Allowed Special Characters
IF DE# 6 Covered Recipient Type
= "2" (Teaching Hospital), this
field must be blank.
55
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 (physician or teaching hospital).
Enumeration
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.
Text
56
"1" = "Entity"
"2" = "Individual"
"3" = "No Third Party
Payment"
Free form text
DE# 44, Third Party Payment
Recipient Indicator = "1" (Entity)
IF DE# 44 is any other value,
this field must be blank.
57
58
59
60
46
47
Charity Indicator
Indicates the third party entity that received the payment or other
transfer of value is a charity.
Boolean
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.
Boolean
Contextual Information
Any free text which the reporting entity deems helpful or
appropriate regarding this payment or other transfer of value.
Text
"Y" = Yes;
"N" = No
"Y" = Yes;
"N" = No
No
Yes IF
DE# 44, Third Party Payment
Recipient Indicator = "1" (Entity)
or "2" (Individual)
IF DE# 44 is any other value,
this field must be blank.
48
Free form text
Yes IF
DE#49, Delay in Publication of
Research Payment Indicator =
“1” or “2”
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
No notes
6
General Payments (Non-Research)
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Yes
1 Char
Limited to numeric characters "1," "2," or "3"
Yes
49
Delay in Publication of Research
Payment Indicator
Indicator showing if an Applicable Manufacturer/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 product (drug,
device, biological, or medical supply) or (2) clinical investigation
regarding a new product (drug, device, biological, or medical
supply).
Enumeration
"1" = R&D on New
Product
"2" = Clinical
Investigation on New
Product
"3" = No Delay
Requested
Validated against CMS-approved data sources
If the Delay in Publication of Research Payment Indicator equals “1”
or “2”, indicate the name of the related research study in DE#48,
"Contextual information."
To determine if a record that
has been delayed in publication
requires renewal to remain
delayed, go to the Review
Records page and select the
payment category to view. Use
the filter tools on the next page
to search for records with a
"Delay in Publication" status of
"Renew"
Applicable Manufacturers/GPOs not requesting a delay in publication
of a payment or other transfer of value should select (3), not
requesting a delay in publication, to indicate that no delay is
requested.
61
DELAY_IN_PUBLICATION_OF_RESEARCH Delay in publication must be re- No, only values given in Format Column E are
_PAYMENT_INDICATOR
requested annually and can only allowed.
be requested for a total of four
years. This can be done by
resubmitting the record and
requesting a delay in
publication again.
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.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
7
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Yes
≤ 100 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
APPLICABLE_MANUFACTURER_OR_APPLICAB Published as "Submitting Applicable
LE_GPO_NAME
Manufacturer or Applicable GPO Name"
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
No
APPLICABLE_MANUFACTURER_OR_APPLICAB No notes
LE_GPO_ID
System generated value only.
1
Applicable Manufacturer or
Applicable GPO Name
Textual proper name of either the Submitting Applicable Manufacturer or Submitting
Applicable Group Purchasing Organization (GPO).
Text
Free form text
If this submission file contains records of payment(s) and/or other transfer(s) of
value made by only one Applicable Manufacturer/Applicable GPO, enter that
Applicable Manufacturer’s/Applicable GPO’s name in this data field for all records in
the submission file.
Match the name on file for associated
Registration ID
If this submission file contains records of payment(s) and/or other transfer(s) of
value from multiple Applicable Manufacturers/Applicable GPOs, enter the name of the
Applicable Manufacturer/Applicable GPO submitting the consolidated report in this
field. The name of the Applicable Manufacturer/Applicable GPO that made the
payment for each record is entered in the “Applicable Manufacturer or Applicable GPO
Making Payment Name” (DE#33) field of that record.
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).
Numeric
System generated
Yes
System generated
:
≤ 38 digits
Validated against data type, format, and
field size (columns D, E, G)
If this submission file contains records of payment(s) and/or other transfers of value
made by only one Applicable Manufacturer/Applicable GPO, enter that Applicable
Manufacturer’s/Applicable GPO’s Registration ID in this data field for all records in
the submission file.
Match the Registration ID on file
If this submission file contains records of payment(s) and/or other transfer(s) of
value from multiple Applicable Manufacturers/Applicable GPOs, enter the Record ID
of the Applicable Manufacturer/Applicable GPO submitting the consolidated report.
The Record ID of the Applicable Manufacturer/Applicable GPO that made the payment
for each record is entered in the “Applicable Manufacturer or Applicable GPO Making
Payment Registration ID” (DE#34) field of that record.
4
3
Consolidated Report Indicator
Indicator showing if this submission file constitutes a Consolidated Report.
Boolean
4
Resubmission File Indicator
Indicator showing if this submission file contains payment(s) and/or other transfer(s) Enumeration
of value that are all new records, amended or corrected versions of previously
submitted records, previously submitted records for which a delay in publication has
been requested that you now wish to update, or previously submitted records that
you now wish to delete.
"Y" = Yes;
"N" = No
Yes
1 Char
Validates that only character "Y" or "N" is
provided
No
CONSOLIDATED_REPORT_INDICATOR
"N" = New Submission
"Y" = Resubmission
"R" = Renew Delay in
Publication
"D" = Delete
Yes
1 Char
Validates that only character "N","Y","R",
or "D" is provided
No
RESUBMISSION_FILE_INDICATOR
5
9
10
No, only values given in Format Column E are
allowed.
If "D" is provided, only DE# 2, 3, 4, 34, 35,
and 36A are required for the record. All
other fields are optional.
5
8
No, only values given in Format Column E are
allowed.
If "R" is provided, only DE# 2, 3, 4, 34, 35,
36A, and 40 are required for the record. All
other fields are optional.
6
7
For more information on Consolidated
Reporting, consult the Quick Reference
Guide on Consolidated Reporting,
located on the CMS Open Payments
website
No notes
Original File Submission ID
This field is no longer collected by Open Payments and is replaced by Home System
Payment ID, data element 34A.
This field is no
longer collected by
Open Payments and
is replaced by Home
System Payment ID,
data element 34A.
This field is no longer
collected by Open
Payments and is replaced
by Home System Payment
ID, data element 34A.
This field is no longer collected by Open Payments and is
replaced by Home System Payment ID, data element 34A.
Submission Record Information (all sections from here to end of template contain data elements that are reported once per payment/transfer of
Recipient Demographic Information
DE #
Data Element Name
Definition / Description
Data Type
Format
6
Covered Recipient Type
Indicator showing if the recipient of the payment or other transfer of value is a
covered physician, a covered teaching hospital, a non-covered entity, or a noncovered individual.
Enumeration
"1" = Covered Recipient
Physician
or
"2" = Covered Recipient
Teaching Hospital
or
"3" = Non-covered
Recipient Entity
or
"4" = Non-covered
Recipient Individual
7
Non-covered Recipient Entity Name
The name of the Non-covered Recipient Entity receiving the payment or other
transfer of value.
Text
Free form text
11
This field is no
This field is no longer collected by Open
longer collected by Payments and is replaced by Home System
Open Payments
Payment ID, data element 34A.
and is replaced by
Home System
Payment ID, data
element 34A.
This field is no longer collected This field is no longer collected by Open
by Open Payments and is
Payments and is replaced by Home System
replaced by Home System
Payment ID, data element 34A.
Payment ID, data element 34A.
This field is no longer collected by Open N/A
Payments and is replaced by Home
System Payment ID, data element 34A.
value)
Required?
Field Size
Validation Rules
Publicly Displayed
Yes
1 Char
Validates that only 1, 2, 3, or 4 is provided
Yes
COVERED_RECIPIENT_TYPE
CSV Field Name
No notes
Additional Notes
No, only values given in Format Column E are
allowed.
Allowed Special Characters
Yes IF
≤ 100 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
NON_COVERED_RECIPIENT_ENTITY_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet
≤ 100 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
COVERED_RECIPIENT_TEACHING_HOSPITAL No notes
_NAME
DE# 6 Covered Recipient Type =
"3" (Non-covered Recipient Entity)
IF DE# 6 is any other value, this field must be blank.
12
8
Covered Recipient Teaching Hospital
Name
The "doing business as" name 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.
Text
Text of Standardized
Selection from approved
list of Teaching Hospitals
Yes IF
DE# 6
Covered Recipient Type = "2" (Covered Recipient Teaching
Hospital)
IF DE# 6 is any other value, this field must be blank.
13
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
A standardized list of covered Teaching
Hospital names and information is provided
on the CMS Open Payments website.
Hospital name submitted is matched
against this list. Use the "Hospital Name"
value in the list for the correct name.
(Records for program year 2013 only must
use the "PECOS Legal Name" instead)
Value must match the hospital name
associated with the TIN (DE #8) as per the
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
8
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
9
Covered Recipient Teaching Hospital
Tax ID Number (TIN)
Tax Identification Number (TIN) of Teaching Hospital receiving the payment or other
transfer of value.
Yes IF
9 Char
Validated against data type, format, and
field size (columns D, E, G)
No
COVERED_RECIPIENT_TEACHING_HOSPITAL No notes
_TAX_ID_NUMBER
No, only numeric values are allowed.
Numeric
999999999
DE# 6
Covered Recipient Type = "2" (Covered Recipient Teaching
Hospital)
A standardized list of covered Teaching
Hospital names and information is provided
on the CMS Open Payments website.
IF DE# 6 is any other value, this field must be blank.
Value must match the TIN associated with
the teaching hospital name (DE #8) as per
the Teaching Hospital List
14
10
Covered Recipient Physician First
Name
Textual first name of the physician (covered recipient) receiving the payment or
other transfer of value.
Text
Free form text
Yes IF
≤ 20 Char
Validated against CMS-approved data
sources
Yes
COVERED_RECIPIENT_PHYSICIAN_FIRST_NA No notes
ME
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
COVERED_RECIPIENT_PHYSICIAN_MIDDLE_ No notes
NAME
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
≤ 35 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
COVERED_RECIPIENT_PHYSICIAN_LAST_NA
ME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
DE# 6
Covered Recipient Type = "1" (Covered Recipient Physician)
If applicable, report the value for this data element as listed in the National Plan &
Provider Enumeration System (NPPES).
IF DE# 6 is any other value, this field must be blank.
15
11
Covered Recipient Physician Middle
Name
Textual middle initial or middle name of the physician (covered recipient) receiving
the payment or other transfer of value.
Text
Free form text
16
12
Covered Recipient Physician Last
Name
No
IF DE# 6 Covered Recipient Type = "2" (Covered Recipient
Teaching Hospital), "3" (Non-covered Recipient Entity), or "4"
(Non-covered Recipient Individual), this field must be blank.
If applicable, report the value for this data element as listed in the National Plan &
Provider Enumeration System (NPPES).
Textual last name of the physician (covered recipient) receiving the payment or other Text
transfer of value.
Free form text
Yes IF
DE# 6
Covered Recipient Type = "1" (Covered Recipient Physician)
If applicable, report the value for this data element as listed in the National Plan &
Provider Enumeration System (NPPES).
Validated against CMS-approved data
sources
IF DE# 6 is any other value, this field must be blank.
17
13
Covered Recipient Physician Name
Suffix
Name suffix of the physician (covered recipient) receiving the payment or other
transfer of value chosen from a constrained list of values (Examples: Jr., Sr., III).
Text
Free form text
No
≤ 5 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
COVERED_RECIPIENT_PHYSICIAN_NAME_SU No notes
FFIX
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
RECIPIENT_BUSINESS_STREET_ADDRESS_LI No notes
NE_1
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
RECIPIENT_BUSINESS_STREET_ADDRESS_LI No notes
NE_2
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
RECIPIENT_CITY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
RECIPIENT_STATE
No notes
No, only values given in Format Column E are
allowed.
Yes
RECIPIENT_ZIP_CODE
No notes
No, only numeric values are allowed.
Yes
RECIPIENT_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
IF DE# 6 Covered Recipient Type = "2" (Covered Recipient
Teaching Hospital), "3" (Non-covered Recipient Entity), or "4"
(Non-covered Recipient Individual), this field must be blank.
If applicable, report the value for this data element as listed in the National Plan &
Provider Enumeration System (NPPES).
18
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
Yes IF
DE# 6 Covered Recipient Type =
"1" (Covered Recipient Physician), OR
"2" (Covered Recipient Teaching Hospital), OR
"3" (Non-covered Recipient Entity)
If the Covered Recipient Type (DE#6) has a
value of "2" (Teaching Hospital), NPPES
Address Line 1 from the CMS-provided
Teaching Hospital list should be used for
this data element
IF DE# 6 is any other value, this field must be blank.
19
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
≤ 55 Char
If the Covered Recipient Type (DE#6) has a
value of "2" (Teaching Hospital), NPPES
Address Line 2 from the CMS-provided
Teaching Hospital List should be used for
20
16
Recipient City
The primary business address city of the physician or teaching hospital or noncovered recipient entity receiving the payment or other transfer of value.
Text
Free form text
Validated against data type, format, and
field size (columns D, E, G)
Yes IF
≤ 40 Char
DE# 6 Covered Recipient Type =
"1" (Covered Recipient Physician), OR "2" (Covered Recipient
Teaching Hospital), OR "3" (Non-covered Recipient Entity)
Validated against data type, format, and
field size (columns D, E, G)
If the Covered Recipient Type (DE#6) has a
value of "2" (Teaching Hospital), NPPES
Address City from the CMS-provided
Teaching Hospital list should be used for
this data element
IF DE# 6 is any other value, this field must be blank.
21
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
2 character U.S. state or
territory alpha
abbreviation
Yes IF
2 Char
Validated against data type, format, and
field size (columns D, E, G)
Recipient Country DE# 19 = "US" or "United States"
Limited to list of state abbreviations and
territories per US Postal Service
IF DE# 19 is any other value, this field must be blank.
If the Covered Recipient Type (DE#6) has a
value of "2" (Teaching Hospital), NPPES
Address State from the CMS-provided
Teaching Hospital list should be used for
22
18
Recipient Zip Code
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
9 digit numeric zip code
Yes IF
≤ 9 Char
Validated against data type, format, and
field size (columns D, E, G)
Recipient Country DE# 19 = "US" or "United States"
Either exactly 5 or exactly 9 numeric digits
IF DE# 19 is any other value, this field must be blank.
If the Covered Recipient Type (DE#6) has a
value of "2" (Teaching Hospital), NPPES
Address Zip code from the CMS-provided
Teaching Hospital list should be used for
this data element
23
19
Recipient Country
The business address country of the physician or teaching hospital or non-covered
recipient entity receiving the payment or other transfer of value.
Text
Free form text
Yes IF
DE# 6 Covered Recipient Type=
"1" (Covered Recipient Physician), OR "2" (Covered Recipient
Teaching Hospital), OR "3" (Non-covered Recipient Entity)
24
2 Char
* For US only, you
can enter US or
United States
Validated against data type, format, and
field size (columns D, E, G)
Must be exactly 2 char abbreviation of
country
* For US only, you can enter US or United
States
IF DE# 6 is any other value, this field must be blank.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
9
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
No
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
RECIPIENT_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes IF
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
RECIPIENT_POSTAL_CODE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
No
RECIPIENT_EMAIL_ADDRESS
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
No
COVERED_RECIPIENT_PHYSICIAN_NPI
No notes
No, only numeric values are allowed.
20
Recipient Province
The business address province 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 outside the United States and if applicable.
Text
Free form text
21
Recipient Postal Code
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
25
Recipient Country DE# 19 is outside the United States AND DE#
6 = "1", OR "2", OR "3"
Proper length and format validated for each
country
For all other conditions, this field must be blank.
26
22
Recipient Email Address
The primary email address for physician or teaching hospital or non-covered recipient Text
entity to be used for communication purposes.
Email Address
23
Covered Recipient Physician NPI
Individual NPI for Physician (not the NPI of any group the physician belongs to).
Required, if physician has an NPI.
Numeric digits only
No
≤ 100 Char
Yes IF
10 Char
27
Numeric
Validated against data type, format, and
field size (columns D, E, G)
Proper email format enforced
Validated against data type, format, and
field size (columns D, E, G)
the Covered Recipient Physician has an NPI
Validated against CMS-approved data
sources
IF DE# 6 Covered Recipient Type = "2" (Covered Recipient
Teaching Hospital), "3" (Non-covered Recipient Entity), or "4"
(Non-covered Recipient Individual), this field must be blank.
28
24
Covered Recipient Physician Primary
Type
Primary type of medicine practiced by the covered recipient physician.
Enumeration
29
25
Covered Recipient Physician
Specialty
Taxonomy code for the physician's specialty, chosen from the standardized "provider Text
taxonomy" code list.
"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
Yes IF
1 Char
Limited to numeric characters 1 through 6
Yes
COVERED_RECIPIENT_PHYSICIAN_PRIMARY_ No notes
TYPE
No, only values given in Format Column E are
allowed.
10 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
COVERED_RECIPIENT_PHYSICIAN_SPECIALT Refer to the Open Payments Physician
Y
Taxonomy Code list on the CMS Open
Payments website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
≤ 28 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
COVERED_RECIPIENT_PHYSICIAN_LICENSE_ No notes
STATE_AND_LICENSE_NUMBER_1
COVERED_RECIPIENT_PHYSICIAN_LICENSE_
STATE_AND_LICENSE_NUMBER_2
COVERED_RECIPIENT_PHYSICIAN_LICENSE_
STATE_AND_LICENSE_NUMBER_3
COVERED_RECIPIENT_PHYSICIAN_LICENSE_
STATE_AND_LICENSE_NUMBER_4
COVERED_RECIPIENT_PHYSICIAN_LICENSE_
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
DE# 6
Covered Recipient Type = "1" (Covered Recipient Physician)
IF DE# 6 is any other value, this field must be blank.
Yes IF
DE# 6
Covered Recipient Type = "1" (Covered Recipient Physician)
IF DE# 6 is any other value, this field must be blank.
30
26
Covered Recipient Physician License
State and License Number
Paired state and official state license number of the covered recipient physician. May
include up to 5 "Physician License State and License Number" pairs, if the physician
is licensed in multiple states.
Text
Maximum of 5 unique pairs
of the state and license
number:
AA9999999999999999999999
999
Yes IF
DE# 6
Covered Recipient Type = "1" (Covered Recipient Physician)
Proper length and format validated for each
state
IF DE# 6 is any other value, this field must be blank.
The pairing includes the 2 letter state
abbreviation, followed by a hyphen,
followed by the state license number
31
32
33
Associated Drug, Device, Biological, or Medical Supply Information
DE #
Data Element Name
Definition / Description
Data Type
Format
27
Related Product Indicator
An indicator for whether the payment or other transfer of value is related to one or
Boolean
more product(s) (drugs, devices, biologicals, or medical supplies). If the payment
was not made in relation to a product, select "No". If the payment was related to one
or more product, select "Yes".
"Y" = Yes;
"N" = No
28
Covered or Non covered Product
Indicator
For each product listed in relation to the payment or other transfer of value, indicate
if the product is a covered or non covered product per the covered product definition
in the Open Payments final rule. Do not report this element if the payment is not
related to any products.
"1" for covered "2" for
non covered
Required?
Field Size
Validation Rules
Publicly Displayed
Yes
1 Char
Validates that only character "Y" or "N" is
provided
Yes
RELATED_PRODUCT_INDICATOR
CSV Field Name
If reporting multiple products, the
No, only values given in Format Column E are
information in DE# 28-32 must be
allowed.
reported for one product before moving
on to the next product in the record
(i.e., report all information for one
product, then all information for the
next product, etc.)
Additional Notes
Allowed Special Characters
Yes IF
1 Char
Allowed values limited to "1" or "2"
Yes
COVERED_OR_NONCOVERED_INDICATOR_1
COVERED_OR_NONCOVERED_INDICATOR_2
COVERED_OR_NONCOVERED_INDICATOR_3
COVERED_OR_NONCOVERED_INDICATOR_4
COVERED_OR_NONCOVERED_INDICATOR_5
No notes
No, only values given in Format Column E are
allowed.
1 Char
Allowed values limited to "1", "2", "3", or
"4"
Yes
INDICATE_DRUG_OR_BIOLOGICAL_OR_DEVI No notes
CE_OR_MEDICAL_SUPPLY_1
INDICATE_DRUG_OR_BIOLOGICAL_OR_DEVI
CE_OR_MEDICAL_SUPPLY_2
INDICATE_DRUG_OR_BIOLOGICAL_OR_DEVI
CE_OR_MEDICAL_SUPPLY_3
INDICATE_DRUG_OR_BIOLOGICAL_OR_DEVI
CE_OR_MEDICAL_SUPPLY_4
INDICATE_DRUG_OR_BIOLOGICAL_OR_DEVI
CE_OR_MEDICAL_SUPPLY_5
No, only values given in Format Column E are
allowed.
34
Enumeration
Related Product Indicator (DE #27) is "Yes"
IF DE# 27 = "N", this field must be blank.
35
29
Indicate Drug, Device, Biological, or
Medical Supply
For each product listed in relation to the payment or other transfer of value, indicate
if the product is a drug, device, biological or medical supply. Do not report this
element if the payment is not related to any products.
Enumeration
"1"
"2"
"3"
"4"
for
for
for
for
drug
device
biological
medical supply
Yes IF
‐
Related Product Indicator (DE #27) is "Yes" and Covered or
Non covered Product Indicator (DE #28) is "Covered"
OR
‐
Related Product Indicator (DE #27) is "Yes", Covered or
Non covered Product Indicator (DE #28) is "Non-covered", and
an Associated Drug or Biological NDC (DE#32) has been
provided. In this case, this field must be "1" or "3."
36
IF DE# 27 = "N", this field must be blank.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
10
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Yes IF
< 100 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRODUCT_CATEGORY_OR_THERAPEUTIC_AR No notes
EA_1
PRODUCT_CATEGORY_OR_THERAPEUTIC_AR
EA_2
PRODUCT_CATEGORY_OR_THERAPEUTIC_AR
EA_3
PRODUCT_CATEGORY_OR_THERAPEUTIC_AR
EA_4
PRODUCT_CATEGORY_OR_THERAPEUTIC_AR
EA_5
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
NAME_OF_DRUG_OR_BIOLOGICAL_OR_DEVI No notes
CE_OR_MEDICAL_SUPPLY_1
NAME_OF_DRUG_OR_BIOLOGICAL_OR_DEVI
CE_OR_MEDICAL_SUPPLY_2
NAME_OF_DRUG_OR_BIOLOGICAL_OR_DEVI
CE_OR_MEDICAL_SUPPLY_3
NAME_OF_DRUG_OR_BIOLOGICAL_OR_DEVI
CE_OR_MEDICAL_SUPPLY_4
NAME_OF_DRUG_OR_BIOLOGICAL_OR_DEVI
CE_OR_MEDICAL_SUPPLY_5
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
ASSOCIATED_DRUG_OR_BIOLOGICAL_NDC_ No notes
1
ASSOCIATED_DRUG_OR_BIOLOGICAL_NDC_
2
ASSOCIATED_DRUG_OR_BIOLOGICAL_NDC_
3
ASSOCIATED_DRUG_OR_BIOLOGICAL_NDC_
4
ASSOCIATED_DRUG_OR_BIOLOGICAL_NDC_
5
Minus sign/hyphen (-)
30
Product Category or Therapeutic
Area
Provide the product category or therapeutic area for the covered drug, device,
biological, or medical supply listed in relation to the payment or other transfer of
value. Do not report this element if the payment or other transfer of value is not
related to any products.
Text
Free form text
‐
Related Product Indicator (DE #27) is "Yes" and Covered or
Non covered Product Indicator (DE #28) is "Covered"
The values in this field may not consist of
only zeroes
IF DE# 27 = "N", this field must be blank.
37
31
Marketed Name of Drug, Device,
Biological, or Medical Supply
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) associated with the payment or other transfer of value.
Text
Free form text
Yes IF
< 100 Char
‐
Related Product Indicator (DE #27) is "Yes" and Covered or
Non covered Product Indicator (DE #28) is "Covered" and
Indicate Drug, Device, Biological, or Medical Supply (DE#29) is
"1" or "3"
If the drug or biological associated with this payment or other transfer of value does
not have a marketed name, report the drug or biological name as it is registered on
www.clinicaltrials.gov.
Validated against data type, format, and
field size (columns D, E, G)
The values in this field may not consist of
only zeroes
OR
If the device or medical supply associated with this payment does not have a
marketed name, this field may be left blank. Do not report this element if the
payment is not related to any products.
‐
Related Product Indicator (DE #27) is "Yes", Covered or
Non covered Product Indicator (DE #28) is "Non-covered",
Indicate Drug, Device, Biological, or Medical Supply (DE#29) is
"1" or "3" and an Associated Drug or Biological NDC (DE#32)
has been provided
38
32
Associated Drug or Biological NDC
For each covered drug or covered biological listed in relation to the payment or other Text
transfer of value, provide the associated National Drug Code (NDC) (if applicable).
Up to 5 NDCs can be provided.
NDCs are required for all drugs and biologicals that have NDCs. If the reported drug
or biological does not have an NDC this field may be left blank.
Report this element for drugs and biologicals only. Do not report this element if the
payment or other transfer of value is not related to any products.
10-digit numeric code with
three segments divided by
dashes, grouped in one of
three ways:
9999-9999-99
99999-999-99
99999-9999-9
Yes IF
‐
Related Product Indicator (DE #27) is "Yes" and Covered or
Non covered Product Indicator (DE #28) is "Covered" and when
the reported drug or biological has an NDC
12 Char (including
dashes)
Validated against format and field size
(columns E and G)
If a drug or biological named in the record
(DE#31) has an NDC, the NDC must be
reported with the same record. The order
of NDCs provided must match the order of
named drugs or biologicals in DE#31. If no
NDC exists for a named drug or biological
in DE#31, leave the corresponding NDC
field blank for that drug or biological.
IF DE# 27 = "N" or if DE# 29 = "2" or "4", this field must be
blank.
The numeric values in this field may not
consist of only zeroes
39
40
41
Transfer of Value (Research Payment) Information
DE #
33
Data Element Name
Applicable Manufacturer or
Applicable GPO Making Payment
Name
Definition / Description
Data Type
Textual proper name of either the Applicable Manufacturer or Applicable GPO making Text
the payment or transfer of value being reported in this record.
Format
Free form text
Required?
Field Size
Validation Rules
Publicly Displayed
Yes
≤ 100 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
APPLICABLE_MANUFACTURER_OR_APPLICAB Published as "Making Payment
LE_GPO_MAKING_PAYMENT_NAME
Applicable Manufacturer or Applicable
GPO Name"
CSV Field Name
Additional Notes
Allowed Special Characters
Yes
APPLICABLE_MANUFACTURER_OR_APPLICAB Published as Published as
System generated value only.
LE_GPO_MAKING_PAYMENT_REGISTRATION "Applicable_Manufacturer_or_Applicable
_ID
_GPO_Making_Payment_ID"
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
If DE# 3 (Consolidated Report Indicator) =
“N”, the value provided for this data
element must be the same as the value
provided for DE# 1 (Applicable
Manufacturer or Applicable GPO Name).
42
34
Applicable Manufacturer or
Applicable GPO
Making Payment Registration ID
Open Payments system-generated identifier for this Applicable Manufacturer or
Applicable GPO issued during the registration process.
Numeric
System generated
Yes
System generated
:
≤ 38 digits
Validated against data type, format, and
field size (columns D, E, G)
If DE# 3 (Consolidated Report Indicator) =
“N”, the value provided for this data
element must be the same as the value
provided for DE# 2 (Applicable
Manufacturer or Applicable GPO
Registration ID).
43
34A
Home System Payment ID
The identifier associated with the payment transaction in the Applicable Manufacturer Text
or Applicable GPO home system.
Text
Resubmitted Payment Record ID
This data element will be blank for initial file submissions.
System generated
Total Amount of Research Payment
(U.S. Dollars)
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/transfer of value record ID (indicating which record is to be corrected). The
original payment/transfer of value record ID is provided by the Open Payments
system
Amount of payment to recipient, in US dollars. Convert to US dollar currency, if
Fixed Point
necessary.
44
35
45
36
Numeric
No
≤ 50 Char
Validated against data type, format, and
field size (columns D, E, G)
No
HOME_SYSTEM_PAYMENT_ID
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes IF
System generated
:
≤ 38 digits
Validated against data type, format, and
field size (columns D, E, G)
No
RESUBMITTED_PAYMENT_RECORD_ID
No notes
System generated value only.
Validated against data type, format, and
field size (columns D, E, G)
Yes
TOTAL_AMOUNT_OF_RESEARCH_PAYMENT_
U_S_DOLLARS
No notes
No, only values given in Format Column E are
allowed.
DE# 4 Resubmission File Indicator = "Y", "R" or "D"
Currency (US dollars)
9999999999.99
Yes
12 Char
The value in this field cannot be 0.00. The
value entered must be greater than zero
dollars
46
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
11
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Yes
8 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
DATE_OF_PAYMENT
No notes
No, only values given in Format Column E are
allowed.
36A
Date of Payment
If reporting a singular payment, report the actual date the payment was issued.
Date
YYYYMMDD
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.
Is within correct reporting year
47
37
Form of Payment or Transfer of
Value
The method of payment used to pay the covered recipient or to make the transfer of
value.
Enumeration
"1" = Ca ‐sh 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
1 Char
Limited to numeric characters 1 through 6
Yes
FORM_OF_PAYMENT_OR_TRANSFER_OF_VAL No notes
UE
No, only values given in Format Column E are
allowed.
38
Expenditure Category
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.
Enumeration
Format: 9-999
"1" = Professional Salary
Support;
"2" = Medical Research
Writing or Publication;
"3" = Patient Care;
"4" = Non-patient Care;
"5" = Overhead;
"6" = Other
No
≤ 5 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
EXPENDITURE_CATEGORY
No, only values given in Format Column E are
allowed.
48
49
50
51
52
No notes
Category number represented as a single
number (per the format column) followed
by the 2- or 3-digit percentage of the value
of that category for this payment (e.g., 190 or 1-100)
Research Related Information
DE #
Data Element Name
39
Pre-clinical Research Indicator
40
Delay in Publication of Research
Payment Indicator
Definition / Description
Data Type
Indicator showing if payment or transfer of value is related to research, which is pre- Boolean
clinical.
Indicator showing if an Applicable Manufacturer/Applicable GPO is requesting a delay Enumeration
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
product (drug, device, biological, or medical supply) or (2) clinical investigation
regarding a new product (drug, device, biological, or medical supply).
Format
Required?
Field Size
Validation Rules
Publicly Displayed
"Y" = Yes;
"N" = No
"1" = R&D on New Product
"2" = Clinical Investigation
on New Product
"3" = No Delay Requested
Yes
1 Char
Yes
PRE_CLINICAL_RESEARCH_INDICATOR
Yes
1 Char
Validates that only character "Y" or "N" is
provided
Validated against data type, format, and
field size (columns D, E, G)
CSV Field Name
Yes
DELAY_IN_PUBLICATION_OF_RESEARCH_PA Delay in publication must be reYMENT_INDICATOR
requested annually and can only be
requested for a total of four years. This
can be done by resubmitting the record
and requesting a delay in publication
again.
Applicable Manufacturers/Applicable GPOs not requesting a delay in publication of a
payment or other transfer of value should select (3), not requesting a delay in
publication, to indicate that no delay is requested.
53
Name of Study
The textual name of the study for which the Covered Recipient is receiving this
payment or transfer of value.
Allowed Special Characters
No, only values given in Format Column E are
allowed.
No, only values given in Format Column E are
allowed.
To determine if a record that has been
delayed in publication requires renewal
to remain delayed, go to the Review
Records page and select the payment
category to view. Use the filter tools on
the next page to search for records with
a "Delay in Publication" status of
"Renew."
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.
41
Additional Notes
No notes
Text
Free form text
Yes IF
≤ 500 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
NAME_OF_STUDY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
DE# 39
Pre-clinical Research Indicator = "N"
54
42
Context of Research
Textual description of research context or research objectives.
Text
Free form text
No
≤ 500 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
CONTEXT_OF_RESEARCH
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
43
ClinicalTrials.Gov Identifier
Identifier assigned if research study is registered on ClinicalTrials.gov.
Text
11 character
alphanumeric, first 3
characters alpha
No
11 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
CLINICALTRIALS_GOV_IDENTIFIER
No notes
No, only values given in Format Column E are
allowed.
44
Research Information Link
Optional link to information relevant to the research study for which this payment or
transfer of value is being reported.
Text
Web URL
No
≤ 2083 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
RESEARCH_INFORMATION_LINK
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
45
Principal Investigator Covered
Recipient Physician Indicator
Indicator showing if the payment or other transfer of value is associated with a
research study that employed at least one Principal Investigator who is a covered
recipient physician in addition to the covered recipient who received the payment.
Boolean
"Y" = Yes;
"N" = No
Yes
1 Char
Validates that only character "Y" or "N" is
provided
No
PRINCIPAL_INVESTIGATOR_COVERED_RECIP No notes
IENT_PHYSICIAN_INDICATOR
No, only values given in Format Column E are
allowed.
Yes
PRINCIPAL1_INVESTIGATOR_FIRST_NAME
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
55
56
57
If there is a covered recipient principal
investigator, set this field to "Y" and enter
identifying information for at least one
covered recipient Principal Investigator in
the fields below. Up to five (5) Principal
Investigator covered recipient physicians
can be entered. The principal
investigator(s) entered must be unique
individuals. The individual identified as the
covered recipient physician cannot be
entered as a principal investigator. If the
Covered Recipient Type (DE#6) is set to
"3" or "4," the Principal Investigator
Covered Recipient Physician Indicator must
be set to "Y."
If there is not a covered recipient principal
investigator, set this field to “N” and do not
enter any information in the Principal
Investigator fields below
If the covered recipient physician receiving
the payment is also the only Principal
Investigator, set this field to “N.” You do
not need to duplicate that physician’s
information.
58
46
59
Principal Investigator First Name
Textual first name of the Principal Investigator(s) of the research study, if the
Principal Investigator is a Covered Recipient Physician.
Text
Free form text
Yes
IF
DE# 45, "Principal Investigator Physician Covered Recipient
Indicator" = "Y"
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
No notes
12
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
47
Principal Investigator Middle Name
Textual middle initial or middle name of the Principal Investigator of the research
study, if the Principal Investigator is a Covered Recipient Physician.
Text
Free form text
No
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_MIDDLE_NAME No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
48
Principal Investigator Last Name
Textual 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
DE# 45, "Principal Investigator Physician Covered Recipient
Indicator" = "Y"
≤ 35 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_LAST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
49
Principal Investigator Name Suffix
Name suffix of the Principal Investigator of the research study, chosen from a
Text
constrained list of values (e.g., Jr., Sr., III), if the Principal Investigator is a Covered
Recipient Physician.
Free form text
No
≤ 5 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_NAME_SUFFIX
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
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
DE# 45, "Principal Investigator Physician Covered Recipient
Indicator" = "Y"
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_BUSINESS_STR No notes
EET_ADDRESS_LINE_1
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
51
Principal Investigator Business
Street Address Line 2
The second line of the primary business street address of the Principal investigator of Text
the research study.
Two line address format;
Second line contains suite
number, apartment
number, post office box
number, or other
qualifying information
No
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_BUSINESS_STR No notes
EET_ADDRESS_LINE_2
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
52
Principal Investigator City
The primary business address city of the Principal Investigator of the research study. Text
Free form text
Yes IF
DE# 45, "Principal Investigator Physician Covered Recipient
Indicator" = "Y"
≤ 40 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_CITY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
53
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.
2 character U.S. state or
territory alpha
abbreviation
Yes IF
DE# 45, "Principal Investigator Physician Covered Recipient
Indicator" = "Y"
AND
Principal Investigator Country, DE# 55 is the United States
2 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_STATE
No notes
No, only values given in Format Column E are
allowed.
60
61
62
63
64
65
Enumeration
66
Limited to list of state abbreviations and
territories per US Postal Service
54
Principal Investigator Zip Code
The 5- or 9-digit zip code of the primary business address location of the Principal
investigator of the research study, if the primary practice address is in the United
States.
Numeric
9 digit numeric zip code
Yes IF
DE# 45, "Principal Investigator Physician Covered Recipient
Indicator" = "Y"
AND
Principal Investigator Country, DE# 55 is the United States
≤ 9 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_ZIP_CODE
No notes
No, only numeric values are allowed.
55
Principal Investigator Country
The primary business address country name of the Principal investigator of the
research study.
Text
Free form text
Yes IF
DE# 45, "Principal Investigator Physician Covered Recipient
Indicator" = "Y"
PRINCIPAL1_INVESTIGATOR_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Principal Investigator Province
The primary business address province name of the Principal investigator of the
research study, if the primary practice address is outside the United States.
Text
Free form text
No
Must be exactly 2 char abbreviation of
country
* For US only, you can enter US or United
States
Validated against data type, format, and
field size (columns D, E, G)
Yes
56
2 Char
* For US only, you
can enter US or
United States
≤ 20 Char
Yes
PRINCIPAL1_INVESTIGATOR_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
57
Principal Investigator Postal Code
The international postal code of the primary business location of the Principal
investigator of the research study if the primary practice address is outside the
United States.
Text
Alphanumeric
Yes IF
Principal Investigator Country DE# 55 is outside the United
States
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_POSTAL_CODE No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
58
Principal Investigator Physician
Primary Type
Primary type of medicine practiced by the Principal Investigator.
Enumeration
"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
DE# 45, "Principal Investigator Physician Covered Recipient
Indicator" = "Y"
1 Char
Allowed values limited to "1", "2", "3", "4",
"5", or "6"
Yes
PRINCIPAL1_INVESTIGATOR_PHYSICIAN_PRI No notes
MARY_TYPE
No, only values given in Format Column E are
allowed.
59
Principal Investigator NPI
Individual NPI for Principal Investigator if Principal Investigator is a Physician (not the Numeric
NPI of any group the physician belongs to). Required, if applicable.
Yes IF
10 Char
Validated against data type, format, and
field size (columns D, E, G)
No
PRINCIPAL1_INVESTIGATOR_NPI
No notes
No, only numeric values are allowed.
PRINCIPAL1_INVESTIGATOR_SPECIALTY
Refer to the Open Payments Physician
Taxonomy Code list on the CMS Open
Payments website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
67
68
69
70
71
Numeric digits only
the Physician has an NPI
Validated against CMS-approved data
sources
72
60
Principal Investigator Specialty
Taxonomy code for Principal Investigator's specialty, chosen from "provider
taxonomy" code list.
61
Principal Investigator License State
and License Number
Paired state and state license number of the Principal Investigator, who is a physician Text
covered recipient. May include up to 5 "Physician License State and License Number"
pairs.
D
Text
Text from Standardized
Selection
Yes
IF
DE# 45, "Principal Investigator Physician Covered Recipient
Indicator" = "Y"
10 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
Maximum of 5 unique pairs
of the state and license
number:
AA9999999999999999999999
999
Yes
IF
DE# 45, "Principal Investigator Physician Covered Recipient
Indicator" = "Y"
≤ 28 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
73
Proper length and format validated for each
state
The pairing includes the 2 letter state
abbreviation, followed by a hyphen,
followed by the state license number
74
75
76
PRINCIPAL1_INVESTIGATOR_LICENSE_STAT No notes
E_AND_LICENSE_NUMBER_1
PRINCIPAL1_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_2
PRINCIPAL1_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_3
PRINCIPAL1_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_4
PRINCIPAL1_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_5
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Multiple Principal Investigators: For DE# 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 in DE# 46-61.
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
13
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
62
Principal Investigator First Name
Textual first name of the Principal Investigator(s) of the research study; required, if
the Principal Investigator is a Covered Recipient Physician.
Text
Free form text
No, unless indicating multiple Principal Investigators
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_FIRST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
63
Principal Investigator Middle Name
Textual middle initial or middle 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
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_MIDDLE_NAME No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
64
Principal Investigator Last Name
Textual 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
≤ 35 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_LAST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
65
Principal Investigator Name Suffix
Name suffix of the Principal Investigator of the research study chosen from a
Text
constrained list of values (e.g., Jr., Sr., III), if the Principal Investigator is a Covered
Recipient Physician.
Free form text
No, unless indicating multiple Principal Investigators
≤ 5 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_NAME_SUFFIX
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
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.
No, unless indicating multiple Principal Investigators
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_BUSINESS_STR No notes
EET_ADDRESS_LINE_1
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
67
Principal Investigator Business
Street Address Line 2
The second line of the primary business street address of the Principal investigator of Text
the research study.
Two line address format;
First line contains building
number, street name,
street identifier
Two line address format;
Second line contains suite
number, apartment
number, post office box
number, or other
qualifying information
No, unless indicating multiple Principal Investigators
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_BUSINESS_STR No notes
EET_ADDRESS_LINE_2
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
68
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
≤ 40 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_CITY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
69
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
2 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_STATE
No notes
No, only values given in Format Column E are
allowed.
70
Principal Investigator Zip Code
The 5- or 9-digit zip code of the primary business address location of the Principal
investigator of the research study, if the primary practice address is in the United
States.
Numeric
9 digit numeric zip code
No, unless indicating multiple Principal Investigators
≤ 9 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_ZIP_CODE
No notes
No, only numeric values are allowed.
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
2 Char
* For US only, you
can enter US or
United States
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
PRINCIPAL2_INVESTIGATOR_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
77
78
79
80
Text
81
82
83
84
85
86
Must be exactly 2 char abbreviation of
country
* For US only, you can enter US or United
States
Validated against data type, format, and
field size (columns D, E, G)
72
Principal Investigator Province
The primary business address province name of the Principal investigator of the
research study, if the primary practice address is outside the United States.
Text
Free form text
No
≤ 20 Char
73
Principal Investigator Postal Code
The international postal code of the primary business location of the Principal
investigator of the research study if the primary practice address is outside the
United States.
Text
Alphanumeric
No, unless indicating multiple Principal Investigators and
Principal Investigator Country DE# 71 is outside the United
States
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_POSTAL_CODE No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
74
Principal Investigator Physician
Primary Type
Primary type of medicine practiced by the Principal Investigator.
Enumeration
"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
1 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_PHYSICIAN_PRI No notes
MARY_TYPE
No, only values given in Format Column E are
allowed.
75
Principal Investigator NPI
Individual NPI for Principal Investigator if the Principal Investigator is a Physician (not Numeric
NPI of any group physician belonging to). Required, if the physician has an NPI.
Numeric digits only
No, unless indicating multiple Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
No
PRINCIPAL2_INVESTIGATOR_NPI
No notes
No, only numeric values are allowed.
76
Principal Investigator Specialty
Taxonomy code for Principal Investigator's specialty, chosen from "provider
taxonomy" code list.
Text from Standardized
Selection
No, unless indicating multiple Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_SPECIALTY
Refer to the Open Payments Physician
Taxonomy Code list on the CMS Open
Payments website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
77
Principal Investigator License State
and License Number
Paired state and state license number of the Principal Investigator, who is a physician Text
covered recipient. May include up to 5 "Physician License State and License Number"
pairs.
Maximum of 5 unique pairs
of the state and license
number:
AA9999999999999999999999
999
No, unless indicating multiple Principal Investigators
≤ 28 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
87
88
89
90
Text
91
The pairing includes the 2 letter state
abbreviation, followed by a hyphen,
followed by the state license number
92
78
Principal Investigator First Name
Textual first name of the Principal Investigator(s) of the research study, if the
Principal Investigator is a Covered Recipient Physician.
Text
Free form text
No, unless indicating multiple Principal Investigators
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
79
Principal Investigator Middle Name
Textual middle initial or middle 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
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
80
Principal Investigator Last Name
Textual 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
≤ 35 Char
Validated against data type, format, and
field size (columns D, E, G)
81
Principal Investigator Name Suffix
Name suffix of the Principal Investigator of the research study chosen from a
Text
constrained list of values (e.g., Jr., Sr., III), if the Principal Investigator is a Covered
Recipient Physician.
Free form text
No, unless indicating multiple Principal Investigators
≤ 5 Char
82
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.
Two line address format;
First line contains building
number, street name,
street identifier
No, unless indicating multiple Principal Investigators
≤ 55 Char
93
94
95
96
97
Text
PRINCIPAL2_INVESTIGATOR_LICENSE_STAT No notes
E_AND_LICENSE_NUMBER_1
PRINCIPAL2_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_2
PRINCIPAL2_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_3
PRINCIPAL2_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_4
PRINCIPAL2_INVESTIGATOR_LICENSE_STAT
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
PRINCIPAL3_INVESTIGATOR_MIDDLE_NAME No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
PRINCIPAL3_INVESTIGATOR_LAST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_NAME_SUFFIX
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_BUSINESS_STR No notes
EET_ADDRESS_LINE_1
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
PRINCIPAL3_INVESTIGATOR_FIRST_NAME
14
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
83
Principal Investigator Business
Street Address Line 2
The second line of the primary business street address of the Principal investigator of Text
the research study.
Two line address format;
Second line contains suite
number, apartment
number, post office box
number, or other
qualifying information
No, unless indicating multiple Principal Investigators
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_BUSINESS_STR No notes
EET_ADDRESS_LINE_2
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
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
≤ 40 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_CITY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
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
2 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_STATE
No notes
No, only values given in Format Column E are
allowed.
86
Principal Investigator Zip Code
The 5- or 9-digit zip code of the primary business address location of the Principal
investigator of the research study, if the primary practice address is in the United
States.
Numeric
9 digit numeric zip code
No, unless indicating multiple Principal Investigators
≤ 9 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_ZIP_CODE
No notes
No, only numeric values are allowed.
87
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
2 Char
* For US only, you
can enter US or
United States
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
PRINCIPAL3_INVESTIGATOR_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
98
99
100
101
102
Must be exactly 2 char abbreviation of
country
* For US only, you can enter US or United
States
Validated against data type, format, and
field size (columns D, E, G)
88
Principal Investigator Province
The primary business address province name of the Principal investigator of the
research study, if the primary practice address is outside the United States.
Text
Free form text
No
≤ 20 Char
89
Principal Investigator Postal Code
The international postal code of the primary business location of the Principal
investigator of the research study if the primary practice address is outside the
United States.
Text
Alphanumeric
No, unless indicating multiple Principal Investigators and
Principal Investigator Country DE# 87 is outside the United
States
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_POSTAL_CODE No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
90
Principal Investigator Physician
Primary Type
Primary type of medicine practiced by the Principal Investigator.
Enumeration
"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
1 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_PHYSICIAN_PRI No notes
MARY_TYPE
No, only values given in Format Column E are
allowed.
91
Principal Investigator NPI
Individual NPI for Principal Investigator if the Principal Investigator is a Physician (not Numeric
NPI of any group physician belonging to). Required, if the physician has an NPI.
Numeric digits only
No, unless indicating multiple Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
No
PRINCIPAL3_INVESTIGATOR_NPI
No notes
No, only numeric values are allowed.
92
Principal Investigator Specialty
Taxonomy code for Principal Investigator's specialty, chosen from "provider
taxonomy" code list.
Text from Standardized
Selection
No, unless indicating multiple Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_SPECIALTY
Refer to the Open Payments Physician
Taxonomy Code list on the CMS Open
Payments website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
93
Principal Investigator License State
and License Number
Paired state and state license number of the Principal Investigator, who is a physician Text
covered recipient. May include up to 5 "Physician License State and License Number"
pairs.
Maximum of 5 unique pairs
of the state and license
number:
AA9999999999999999999999
999
No, unless indicating multiple Principal Investigators
≤ 28 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
103
104
105
106
Text
107
The pairing includes the 2 letter state
abbreviation, followed by a hyphen,
followed by the state license number
108
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
94
Principal Investigator First Name
Textual first name of the Principal Investigator(s) of the research study, if the
Principal Investigator is a Covered Recipient Physician.
Text
Free form text
No, unless indicating multiple Principal Investigators
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_FIRST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
95
Principal Investigator Middle Name
Textual middle initial or middle 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
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_MIDDLE_NAME No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
96
Principal Investigator Last Name
Textual 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
≤ 35 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_LAST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
97
Principal Investigator Name Suffix
Name suffix of the Principal Investigator of the research study chosen from a
Text
constrained list of values (e.g., Jr., Sr., III), if the Principal Investigator is a Covered
Recipient Physician.
Free form text
No, unless indicating multiple Principal Investigators
≤ 5 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_NAME_SUFFIX
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
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.
No, unless indicating multiple Principal Investigators
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_BUSINESS_STR No notes
EET_ADDRESS_LINE_1
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
99
Principal Investigator Business
Street Address Line 2
The second line of the primary business street address of the Principal investigator of Text
the research study.
Two line address format;
First line contains building
number, street name,
street identifier
Two line address format;
Second line contains suite
number, apartment
number, post office box
number, or other
qualifying information
No, unless indicating multiple Principal Investigators
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_BUSINESS_STR No notes
EET_ADDRESS_LINE_2
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
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
≤ 40 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_CITY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
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
2 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_STATE
No notes
No, only values given in Format Column E are
allowed.
102
Principal Investigator Zip Code
The 5- or 9-digit zip code of the primary business address location of the Principal
investigator of the research study, if the primary practice address is in the United
States.
Numeric
9 digit numeric zip code
No, unless indicating multiple Principal Investigators
≤ 9 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_ZIP_CODE
No notes
No, only numeric values are allowed.
109
110
111
112
Text
113
114
115
116
117
PRINCIPAL3_INVESTIGATOR_LICENSE_STAT No notes
E_AND_LICENSE_NUMBER_1
PRINCIPAL3_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_2
PRINCIPAL3_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_3
PRINCIPAL3_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_4
PRINCIPAL3_INVESTIGATOR_LICENSE_STAT
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
15
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
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
2 Char
* For US only, you
can enter US or
United States
Must be exactly 2 char abbreviation of
country
* For US only, you can enter US or United
States
Yes
PRINCIPAL4_INVESTIGATOR_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
104
Principal Investigator Province
The primary business address province name of the Principal investigator of the
research study, if the primary practice address is outside the United States.
Text
Free form text
No
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
105
Principal Investigator Postal Code
The international postal code of the primary business location of the Principal
investigator of the research study if the primary practice address is outside the
United States.
Text
Alphanumeric
No, unless indicating multiple Principal Investigators and
Principal Investigator Country DE# 103 is outside the United
States
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_POSTAL_CODE No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
106
Principal Investigator Physician
Primary Type
Primary type of medicine practiced by the Principal Investigator.
Enumeration
"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
1 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_PHYSICIAN_PRI No notes
MARY_TYPE
No, only values given in Format Column E are
allowed.
107
Principal Investigator NPI
Individual NPI for Principal Investigator if the Principal Investigator is a Physician (not Numeric
NPI of any group physician belonging to). Required, if the physician has an NPI.
Numeric digits only
No, unless indicating multiple Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
No
PRINCIPAL4_INVESTIGATOR_NPI
No notes
No, only numeric values are allowed.
108
Principal Investigator Specialty
Taxonomy code for Principal Investigator's specialty, chosen from "provider
taxonomy" code list.
Text from Standardized
Selection
No, unless indicating multiple Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_SPECIALTY
Refer to the Open Payments Physician
Taxonomy Code list on the CMS Open
Payments website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
109
Principal Investigator License State
and License Number
Paired state and state license number of the Principal Investigator, who is a physician Text
covered recipient. May include up to 5 "Physician License State and License Number"
pairs.
Maximum of 5 unique pairs
of the state and license
number:
AA9999999999999999999999
999
No, unless indicating multiple Principal Investigators
≤ 28 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
118
119
120
121
122
Text
123
The pairing includes the 2 letter state
abbreviation, followed by a hyphen,
followed by the state license number
124
PRINCIPAL4_INVESTIGATOR_LICENSE_STAT No notes
E_AND_LICENSE_NUMBER_1
PRINCIPAL4_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_2
PRINCIPAL4_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_3
PRINCIPAL4_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_4
PRINCIPAL4_INVESTIGATOR_LICENSE_STAT
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
110
Principal Investigator First Name
Textual first name of the Principal Investigator(s) of the research study, if the
Principal Investigator is a Covered Recipient Physician.
Text
Free form text
No, unless indicating multiple Principal Investigators
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_FIRST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
111
Principal Investigator Middle Name
Textual middle initial or middle 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
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_MIDDLE_NAME No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
112
Principal Investigator Last Name
Textual 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
≤ 35 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_LAST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
113
Principal Investigator Name Suffix
No, unless indicating multiple Principal Investigators
≤ 5 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_NAME_SUFFIX
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Principal Investigator Business
Street Address Line 1
Name suffix of the Principal Investigator of the research study chosen from a
Text
constrained list of values (e.g.,, Jr., Sr., III), if the Principal Investigator is a Covered
Recipient Physician
The first line of the primary business street address of the Principal Investigator of
Text
the research study, if the Principal Investigator is a Covered Recipient Physician.
Free form text
114
Two line address format;
First line contains building
number, street name,
street identifier
No, unless indicating multiple Principal Investigators
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_BUSINESS_STR No notes
EET_ADDRESS_LINE_1
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
115
Principal Investigator Business
Street Address Line 2
The second line of the primary business street address of the Principal investigator of Text
the research study.
Two line address format;
Second line contains suite
number, apartment
number, post office box
number, or other
qualifying information
No, unless indicating multiple Principal Investigators
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_BUSINESS_STR No notes
EET_ADDRESS_LINE_2
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
116
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
≤ 40 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_CITY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
117
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
2 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_STATE
No notes
No, only values given in Format Column E are
allowed.
118
Principal Investigator Zip Code
The 5- or 9-digit zip code of the primary business address location of the Principal
investigator of the research study, if the primary practice address is in the United
States.
Numeric
9 digit numeric zip code
No, unless indicating multiple Principal Investigators
≤ 9 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_ZIP_CODE
No notes
No, only numeric values are allowed.
119
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
PRINCIPAL5_INVESTIGATOR_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Principal Investigator Province
The primary business address province name of the Principal investigator of the
research study, if the primary practice address is outside the United States.
Text
Free form text
No
Must be exactly 2 char abbreviation of
country
* For US only, you can enter US or United
States
Validated against data type, format, and
field size (columns D, E, G)
Yes
120
2 Char
* For US only, you
can enter US or
United States
≤ 20 Char
Yes
PRINCIPAL5_INVESTIGATOR_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
121
Principal Investigator Postal Code
The international postal code of the primary business location of the Principal
investigator of the research study if the primary practice address is outside the
United States.
Text
Alphanumeric
No, unless indicating multiple Principal Investigators and
Principal Investigator Country DE# 119 is outside the United
States
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_POSTAL_CODE No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
125
126
127
128
129
130
131
132
133
134
135
136
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
16
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
"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);
No, unless indicating multiple Principal Investigators
1 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_PHYSICIAN_PRI No notes
MARY_TYPE
No, only values given in Format Column E are
allowed.
122
Principal Investigator Physician
Primary Type
Primary type of medicine practiced by the Principal Investigator.
123
Principal Investigator NPI
Individual NPI for Principal Investigator if the Principal Investigator is a Physician (not Numeric
NPI of any group physician belonging to). Required, if the physician has an NPI.
Numeric digits only
No, unless indicating multiple Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
No
PRINCIPAL5_INVESTIGATOR_NPI
No notes
No, only numeric values are allowed.
124
Principal Investigator Specialty
Taxonomy code for Principal Investigator's specialty, chosen from "provider
taxonomy" code list.
Text from Standardized
Selection
No, unless indicating multiple Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_SPECIALTY
Refer to the Open Payments Physician
Taxonomy Code list on the CMS Open
Payments website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
125
Principal Investigator License State
and License Number
Paired state and state license number of the Principal Investigator, who is a physician Alphanumeric
covered recipient. May include up to 5 "Physician License State and License Number"
pairs.
Maximum of 5 unique pairs
of the state and license
number:
AA9999999999999999999999
999
No, unless indicating multiple Principal Investigators
≤ 28 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
Enumeration
137
138
Text
139
The pairing includes the 2 letter state
abbreviation, followed by a hyphen,
followed by the state license number
140
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
PRINCIPAL5_INVESTIGATOR_LICENSE_STAT No notes
E_AND_LICENSE_NUMBER_1
PRINCIPAL5_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_2
PRINCIPAL5_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_3
PRINCIPAL5_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_4
PRINCIPAL5_INVESTIGATOR_LICENSE_STAT
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
17
Physician Ownership
A
2
DE #
1
B
Data Element
Name
Applicable Manufacturer or
Applicable GPO Name
C
Definition / Description
Textual proper name of either the Submitting Applicable Manufacturer or Submitting
Applicable Group Purchasing Organization (GPO).
D
Data
Type
Text
E
F
Format
Required?
Free form text
G
Yes
≤ 100 Char
If this submission file contains records of payment(s) and/or other transfer(s) of value
made by only one Applicable Manufacturer/Applicable GPO, enter that Applicable
Manufacturer’s/Applicable GPO’s name in this data field for all records in the submission
file.
3
4
5
6
9
10
2
K
Additional
Notes
L
Allowed Special
Characters
Yes
APPLICABLE_MANUFACTURER_OR_APP Published as "Submitting All special characters listed in
LICABLE_GPO_NAME
Applicable Manufacturer
the "Allowed Special
or Applicable GPO Name" Characters" tab of this
spreadsheet.
No
APPLICABLE_MANUFACTURER_OR_APP No notes
LICABLE_GPO_ID
Match the name on file
for associated
Registration ID
Applicable Manufacturer or Open Payments system-generated identifier used to identify the Applicable Manufacturer or
Applicable GPO Registration GPO (populated only with CMS-provided identifier).
ID
If this submission file contains records of payment(s) and/or other transfers of value made
by only one Applicable Manufacturer/Applicable GPO, enter that Applicable
Manufacturer’s/Applicable GPO’s Registration ID in this data field for all records in the
submission file.
Numeric
System generated
Yes
System
generated :
≤ 38 digits
Validated against data
type, format, and field
size (columns D, E, G)
System generated value only.
Match the Registration ID
on file
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 other transfer(s) of
value that are all new records, amended or corrected versions of previously submitted
records, or previously submitted records that you now wish to delete.
Boolean
"Y" = Yes;
"N" = No
Yes
1 Char
Limited to characters "Y"
or "N"
No
CONSOLIDATED_REPORT_INDICATOR
For more information on No, only values given in
Consolidated Reporting,
Format Column E are allowed.
consult the Quick
Reference Guide on
Consolidated Reporting,
located on the CMS Open
Enumeration
"N" = New Submission
"Y" = Resubmission
"D" = Delete
Yes
1 Char
Validates that only
character "N","Y", or "D"
is provided
No
RESUBMISSION_FILE_INDICATOR
No notes
This field is no longer
collected by Open
Payments and is
replaced by Home
System Payment ID
data element 24A.
This field is no longer collected by
Open Payments and is replaced by
Home System Payment ID data
element 24A.
This field is no longer
N/A
collected by Open
Payments and is replaced
by Home System
Payment ID data element
24A.
No, only values given in
Format Column E are allowed.
If "D" is provided, only
DE# 2, 3, 4, 24, and 25
are required for the
record. All other fields are
optional.
5
Original File Submission ID
This field is no longer collected by Open Payments and is replaced by Home System
Payment ID data element 24A.
This field is no
longer collected
by Open
Payments and
is replaced by
Home System
Payment ID
data element
24A.
This field is no longer
collected by Open
Payments and is
replaced by Home
System Payment ID
data element 24A.
This field is no longer collected by Open
Payments and is replaced by Home System
Payment ID data element 24A.
This field is no
This field is no longer
longer collected
collected by Open
by Open
Payments and is replaced
Payments and is
by Home System
replaced by
Payment ID data element
Home System
24A.
Payment ID
data element
24A.
Submission Record Information (all sections from here to end of the table contain data elements that are reported once per physician ownership/investment record)
Physician Demographic Information
DE #
Data Element
Name
Ownership/Investment
Physician's First Name
Definition / Description
Textual first name of the physician with the ownership or investment interest being
reported.
Data
Type
Text
Format
Free form text
Required?
Field Size Validation Rules
Yes
≤ 20 Char
If applicable, report the value for this data element as listed in the National Plan & Provider
Enumeration System (NPPES).
12
J
CSV Field Name
If this submission file contains records of payment(s) and/or other transfer(s) of value from
multiple Applicable Manufacturers/Applicable GPOs, enter the Record ID to be entered of
the Applicable Manufacturer/Applicable GPO submitting the consolidated report. The
Record ID of the Applicable Manufacturer/Applicable GPO that made the payment for each
record is entered in the “Applicable Manufacturer or Applicable GPO Making Payment
Registration ID” (DE#24) field of that record.
6
11
Validated against data
type, format, and field
size (columns D, E, G)
I
Publicly
Displayed
If this submission file contains records of payment(s) and/or other transfer(s) of value from
multiple Applicable Manufacturers/Applicable GPOs, enter the name of the Applicable
Manufacturer/Applicable GPO submitting the consolidated report in this field. The name of
the Applicable Manufacturer/Applicable GPO that made the payment for each record is
entered in the “Applicable Manufacturer or Applicable GPO Making Payment Name” (DE#23)
field of that record.
7
8
H
Field Size Validation Rules
Validated against data
type, format, and field
size (columns D, E, G)
Publicly
Displayed
CSV Field Name
Additional
Notes
Allowed Special
Characters
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_FIRST_NAME
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_MIDDLE_NAME
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
Validated against CMSapproved data sources
Applicable GPOs cannot
submit general or
research payment
records for physicians
without submitting an
ownership/investment
interest record about that
7
Ownership/Investment
Physician's Middle Name
Textual middle initial or middle name of the physician with the ownership or investment
interest being reported.
Text
Free form text
No
If applicable, report the value for this data element as listed in the National Plan & Provider
Enumeration System (NPPES)
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
≤ 20 Char
Validated against data
type, format, and field
size (columns D, E, G)
18
Physician Ownership
A
2
DE #
8
13
14
15
16
17
B
Data Element
Name
Ownership/Investment
Physician's Last Name
C
Definition / Description
Textual last name of the physician with the ownership or investment interest being
reported.
D
Data
Type
E
F
Format
Required?
G
Text
Free form text
Yes
≤ 35 Char
Text
Free form text
No
≤ 5 Char
If applicable, report the value for this data element as listed in the National Plan & Provider
Enumeration System (NPPES).
9
19
20
21
Validated against CMSapproved data sources
Validated against data
type, format, and field
size (columns D, E, G)
J
CSV Field Name
K
Additional
Notes
L
Allowed Special
Characters
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_LAST_NAME
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_NAME_SUFFIX
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
Name suffix of the physician with the ownership or investment interest being reported.
10
Ownership/Investment
Physician's 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
≤ 55 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_BUSINESS_STREET_ADDRESS_LIN
E_1
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
11
Ownership/Investment
Physician's 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
No
≤ 55 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_BUSINESS_STREET_ADDRESS_LIN
E_2
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
12
Ownership/Investment
Physician's City
The primary practice city of the physician with the ownership or investment interest being
reported.
Text
Free form text
Yes
≤ 40 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_CITY
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
13
Ownership/Investment
Physician's State
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.
Enumeration
2 character U.S. state
or territory alpha
abbreviation
Yes IF
2 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_STATE
No, only values given in
Format Column E are allowed.
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_ZIP_CODE
No, only numeric values are
allowed.
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
S_COUNTRY
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
If applicable, report the value for this data element as listed in the National Plan & Provider
Enumeration System (NPPES).
DE# 15 Ownership/Investment Physician's
Country = "US" or "United States"
Limited to list of state
abbreviations and
territories
14
Ownership/Investment
Physician's Zip Code
The 5- or 9-digit zip code for the primary practice location of the physician with the
ownership or investment interest being reported, if the primary practice address is in the
United States.
Numeric
9 digit numeric zip code
Yes IF
≤ 9 Char
DE# 15 Ownership/Investment Physician's
Country = "US" or "United States"
15
Ownership/Investment
Physician' s Country
The primary practice/business address country name of the physician with the ownership or
investment interest being reported.
Text
Free form text
16
Ownership/Investment
Physician's 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
17
Ownership/Investment
Physician's Postal Code
The international postal code for the primary practice/business location of the physician
with the ownership or investment interest being reported, if the primary practice/business
address is outside the United States.
Text
Alphanumeric
Yes
18
Ownership/Investment
Physician's Email Address
The primary email address of the physician with the ownership or investment interest being
reported.
2 Char
* For US only,
you can enter
US or United
States
Email Address
Validated against data
type, format, and field
size (columns D, E, G)
Must be exactly 2 char
abbreviation of country
* For US only, you can
No
≤ 20 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
PROVINCE
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
Yes IF
≤ 20 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_POSTAL_CODE
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
No
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_EMAIL_ADDRESS
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
DE# 15 Ownership/Investment Physician's
Country is outside the United States
Text
Validated against data
type, format, and field
size (columns D, E, G)
Either exactly 5 or exactly
9 numeric digits
IF DE# 15 is any other value, this field must
be blank.
Proper length and format
validated for each country
IF DE# 15 = "US" or "United States", this field
must be blank.
22
Validated against data
type, format, and field
size (columns D, E, G)
I
Publicly
Displayed
Ownership/Investment
Physician's Name Suffix
IF DE# 15 is any other value, this field must
be blank.
18
H
Field Size Validation Rules
No
≤ 100 Char
Validated against data
type, format, and field
size (columns D, E, G)
Proper email format
enforced
23
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
19
Physician Ownership
A
2
24
25
26
DE #
B
Data Element
Name
C
Definition / Description
D
Data
Type
E
F
Format
Required?
19
Ownership/Investment
Physician's Primary Type
Primary type of medicine practiced by the physician with the ownership or investment
interest being reported.
Enumeration
"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)
20
Ownership/Investment
Physician's NPI
Individual NPI for the Physician (not the NPI of any group the physician belongs to)
D
Text
Numeric digits only
21
Ownership/Investment
Physician's Specialty
Taxonomy code for the physician's specialty, chosen from the standardized "provider
taxonomy" code list.
Text
22
Ownership/Investment
Physician's License State
and License Number
Paired state and official state license number of the physician with the ownership or
investment interest being reported. May include up to 5 "Physician License State and
License Number" pairs, if a physician is licensed in multiple states.
Text
G
H
Field Size Validation Rules
Yes
1 Char
Yes if Physician has an NPI
10 Char
Text from Standardized
Selection
Yes
10 Char
Maximum of 5 unique
pairs of the state and
license number:
AA9999999999999999999
999999
Yes
≤ 28 Char
Allowed values limited to
"1", "2", "3", "4", "5", or
"6"
Validated against data
type, format, and field
size (columns D, E, G)
Validated against CMSapproved data sources
Validated against data
type, format, and field
size (columns D, E, G)
Validated against data
type, format, and field
size (columns D, E, G)
I
Publicly
Displayed
29
DE #
23
Data Element
Name
Applicable Manufacturer or
Applicable GPO Reporting
Ownership Name
Definition / Description
Textual proper name of either the Applicable Manufacturer or Applicable GPO reporting the
ownership or investment interest being reported in this record.
Data
Type
Text
Format
No, only values given in
Format Column E are allowed.
No
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_OR_TEACHING_HOSPITAL_NPI
No, only numeric values are
allowed.
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN Refer to the Open
_S_SPECIALTY
Payments Physician
Taxonomy Code list on
the CMS Open Payments
website for a list of
accepted taxonomy
None
No
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_LICENSE_STATE_AND_LICENSE_N
UMBER_1
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_LICENSE_STATE_AND_LICENSE_N
UMBER_2
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_LICENSE_STATE_AND_LICENSE_N
UMBER_3
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_LICENSE_STATE_AND_LICENSE_N
UMBER_4
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_LICENSE_STATE_AND_LICENSE_N
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
Proper length and format
validated for each state
Free form text
Required?
Field Size Validation Rules
Yes
≤ 100 Char
Validated against data
type, format, and field
size (columns D, E, G)
Publicly
Displayed
CSV Field Name
Additional
Notes
APPLICABLE_MANUFACTURER_OR_APP No notes
LICABLE_GPO_REPORTING_OWNERSH
IP_NAME
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
Yes
APPLICABLE_MANUFACTURER_OR_APP Published as
System generated value only.
LICABLE_GPOREPORTING_OWNERSHI "Applicable_Manufacturer
P_REGISTRATION_ID
_or_Applicable_GPO_Mak
ing_Payment_ID"
No
HOME_SYSTEM_PAYMENT_ID
If DE# 3 (Consolidated
Report Indicator) = “N”,
the value provided for
this data element must
24
Applicable Manufacturer or
Applicable GPO Reporting
Ownership Registration ID
Open Payments system-generated identifier for this Applicable Manufacturer or Applicable
GPO issued during the registration process.
Numeric
System generated
Yes
System
generated :
≤ 38 digits
Validated against data
type, format, and field
size (columns D, E, G)
Matches Registration
ID(s) on file
31
Allowed Special
Characters
Yes
Matches Applicable
/Applicable GPO names
specified at registration
for associated
Registration IDs
30
L
Allowed Special
Characters
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_PRIMARY_TYPE
27
Ownership/Investment Information
K
Additional
Notes
Yes
The pairing includes the 2
letter state abbreviation,
followed by a hyphen,
followed by the state
license number
28
J
CSV Field Name
24A
Home System Payment ID
The identifier associated with the payment transaction in the Applicable Manufacturer or
Applicable GPO home system
Text
Text
No
32
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
≤ 50 Char
If DE# 3 (Consolidated
Report Indicator) = “N”,
the value provided for
this data element must
be the same as the value
provided for DE #2
(Applicable Manufacturer
or Applicable GPO
Registration ID).
Validated against data
type, format, and field
size (columns D, E, G)
No notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet
20
A
2
DE #
25
33
34
B
Data Element
Name
Resubmitted Ownership
Record ID
C
Definition / Description
This data element will be blank for initial file submissions.
D
Data
Type
Numeric
E
Format
System generated
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.
Physician Ownership
F
Required?
Yes IF
DE# 4 Resubmission File Indicator = "Y" or
"D"
26
Interest Held by Physician
or an Immediate Family
Member
Indicator showing if the ownership or investment interest is held by the physician
themselves or by an immediate family member.
Enumeration
27
Dollar Amount Invested
For Ownership interests:
Fixed point
The total dollar value, in US dollars, of the ownership interest gained by the physician (or
the physician’s immediate family members) in the Applicable Manufacturer or Applicable
GPO during the reporting year only. Value reported should be for the entire calendar year.
"1" = Physician
Covered Recipient;
"2" = Immediate family
member
Currency (US dollars)
9999999999.99
G
System
generated :
≤ 38 digits
Value of Interest
Convert values to US dollar currency if necessary.
The current cumulative value, in US dollars, of ownership or investment interest held by the
physician (or the physician’s immediate family members) in the Applicable Manufacturer or
Applicable GPO as of the most recent feasible valuation date preceding the reporting date.
Please note that this amount represents the cumulative current value of all ownership or
investment interests held by the physician (or the physician’s immediate family members in
the Applicable Manufacturer or Applicable GPO.
29
Terms of Interest
Description of any applicable terms of the ownership or investment interest.
K
Additional
Notes
L
Allowed Special
Characters
No
RESUBMITTED_PAYMENT_RECORD_ID
No notes
System generated value only.
1 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
INTEREST_HELD_BY_PHYSICIAN_OR_
AN_IMMEDIATE_FAMILY_MEMBER
No notes
No, only values given in
Format Column E are allowed.
Yes
12 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
DOLLAR_AMOUNT_INVESTED
No notes
No, only values given in
Format Column E are allowed.
Yes
VALUE_OF_INTEREST
No notes
No, only values given in
Format Column E are allowed.
Yes
TERMS_OF_INTEREST
No notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet
The dollar amount
invested cannot be 0.00 if
the Value of Interest
(DE#28) is also 0.00.
Fixed point
Currency (US dollars)
9999999999.99
Yes
12 Char
Validated against data
type, format, and field
size (columns D, E, G)
The value of interest
cannot be 0.00 if the
Dollar Amount Invested
(DE#27) is also 0.00.
Convert values to US dollar currency if necessary.
36
J
CSV Field Name
Yes
The total dollar amount, in US dollars, the physician (or the physician’s immediate family
members) has invested in the Applicable Manufacturer or Applicable GPO during the
reporting year only. Value reported should be for the entire calendar year.
28
Validated against data
type, format, and field
size (columns D, E, G)
I
Publicly
Displayed
If reported, matches
Initial Payment Record ID
for given Original File
Submission ID
For Investment interests:
35
H
Field Size Validation Rules
Text
Free form text
Yes
37
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
500 Char
Validated against data
type, format, and field
size (columns D, E, G)
20
ALLOWED SPECIAL CHARACTERS
Special Character
+
&
'
*
@
\
^
:
,
$
Space
=
!
/
`
>
–
(
{
[
<
%
.
#
?
"
)
}
]
;
|
_
~
Name
Plus sign
Ampersand
Apostrophe
Asterisk
At sign
Backslash
Caret
Colon
Comma
Dollar sign
Space character
Equal
Exclamation mark
Forward slash
Grave accent
Greater than
Minus sign/hyphen
Left parenthesis
Left curly brackets
Left square brackets
Less than
Percent
Period
Pound
Question mark
Quotation marks
Right parenthesis
Right curly brackets
Right square brackets
Semi-colon
Pipe
Underscore
Tilde
Version
1.0
Date Published
Dec 2013/Jan 2014
1.1
April/May 2014
1.2
May/June 2014
1.3
June 2014
1.4
October 2014
1.5
February 2015
1.6
March 2015
1.7
November 2015
1.8
January 2016
1.9
April 2016
2.0
August 2016
Description
Initial Release
Updated and corrected
throughout
Updated and corrected
throughout
Updated and corrected
throughout
Physician Ownership: Updated
"Terms of Interest" data
element, "Publicly Displayed"
field from 'No' to 'Yes'
Updated per Program Year
2014 changes.
Updated descriptions for DE
43: Principal Investigator
Covered Recipient Physician
Indicator and DE 6: Covered
Recipient Type in the
Research payment
spreadsheet
Updated per Program Year
2015 changes.
Updated per Program Year
2016 changes.
Corrected a typo in the "CSV
Field Name" column for DE 27
and DE 29 in the General
Payments tab and DE 28 and
DE 30 in the Research
Payments tab.
Updated per Program Year
2016 changes.
Version Updates
Initial Release
April/May 2014 version
May/June 2014 version
June 2014 version
October 2014 version
January 2015 version
March 2015 version
November 2015 version
OMB Control No: 0938-1237
Expiration Date: XX/2020
Screen Shots Submission Flow – 2016 And Forward
The screen shots below illustrate the submission workflow for users entering General Payments, Research Payments, and Physician Ownership
Payments on the “Open Payments” Web Portal:
Section 1: Bulk Entry
Select Submissions from the landing page (Yellow Arrow)
Choose “Bulk File Upload”
Select the “Payment Category”, “Reporting Entity”, “Program Year”, “Resubmission File Indicator”, and then hit the “Browse” button and choose
the file on your computer that you wish to upload. Then the “Submit File to Open Payments” button to finish the upload.
Section 2: Manual Entry
General Payments
Select “Manual Data Entry” where the yellow arrow is below.
Choose the “Payment Category”, “Entity”, and “Program Year”, then hit continue.
Select the “Covered Recipient Type”
Enter the “Related Product Indicator”
If there is a related product, enter the mandatory fields below:
Enter your data in the mandatory fields below, and then hit “Continue”
Complete the fields below, hit “Continue to Review”. This will take you to a screen that will show you everything you have entered for this
record, and then hit submit.
Research Payments
Select the payment type from the below screen complete the other items.
Select the “Covered Recipient Type”
Enter the “Related Product Indicator”
If there is a related product, enter the mandatory fields below:
Enter your data in the mandatory fields below, and then hit “Continue to Review”. The next screen will allow you to view your input before you
submit the final record.
Ownership Payments
Select “Manual Data Entry” where the yellow arrow is below.
Choose the “Payment Category”, “Entity”, and “Program Year”, then hit continue.
Enter your data into the appropriate fields below, and hit “Continue to Review”. This will take you to a review screen where you can then
submit this for our records.
General Payments (Non-Research)
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element
Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
CSV Field Name
Additional Notes
Allowed Special Characters
Yes
≤ 100 Char
Validated against data type, format, and field size (columns D, E, G)
Publicly
Displayed
1
Applicable Manufacturer or Textual proper name of either the Submitting Applicable Manufacturer or Submitting
Applicable GPO Name
Applicable Group Purchasing Organization (GPO).
Text
Free form text
Yes
APPLICABLE_MANUFACTURER_OR_APPLI
CABLE_GPO_NAME
Published as "Submitting
Applicable Manufacturer or
Applicable GPO Name"
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
No
APPLICABLE_MANUFACTURER_OR_APPLI
CABLE_GPO_ID
No notes
System generated value only.
No, only values given in Format Column E
are allowed.
N/A
Match the name on file for associated Registration ID
If this submission file contains records of payment(s) and/or other transfer(s) of value made
by only one Applicable Manufacturer/Applicable GPO, enter that Applicable
Manufacturer’s/Applicable GPO’s name in this data field for all records in the submission file.
If this submission file contains records of payment(s) and/or other transfer(s) of value from
multiple Applicable Manufacturers/Applicable GPOs, enter the name of the Applicable
Manufacturer/Applicable GPO submitting the consolidated report in this field. The name of the
Applicable Manufacturer/Applicable GPO that made the payment for each record is entered in
the “Applicable Manufacturer or Applicable GPO Making Payment Name” (DE#30) field of that
record.
3
2
Applicable Manufacturer or Open Payments system-generated identifier used to identify the Applicable Manufacturer or
Applicable GPO
GPO (populated only with CMS-provided identifier).
Registration ID
If this submission file contains records of payment(s) and/or other transfers of value made
by only one Applicable Manufacturer/Applicable GPO, enter that Applicable
Manufacturer’s/Applicable GPO’s Registration ID in this data field for all records in the
submission file.
Numeric
System generated
Yes
System generated :
≤ 38 digits
Validated against data type, format, and field size (columns D, E, G)
Validates that only character "Y" or "N" is provided
No
CONSOLIDATED_REPORT_INDICATOR
Validates that only character "N","Y","R", or "D" is provided
No
RESUBMISSION_FILE_INDICATOR
For more information on
Consolidated Reporting, consult
the Quick Reference Guide on
Consolidated Reporting, located
on the CMS Open Payments
website
No notes
This field is no longer collected by Open
Payments and has been replaced by
Home System Payment ID, data element
31A.
This field is no longer collected
by Open Payments and has
been replaced by Home System
Payment ID, data element 31A.
Match the Registration ID on file
If this submission file contains records of payment(s) and/or other transfer(s) of value from
multiple Applicable Manufacturers/Applicable GPOs, enter the Record ID to be entered of the
Applicable Manufacturer/Applicable GPO submitting the consolidated report. The Record ID
of the Applicable Manufacturer/Applicable GPO that made the payment for each record is
entered in the “Applicable Manufacturer or Applicable GPO Making Payment Registration ID”
(DE#31) field of that record.
4
5
6
7
8
9
10
3
Consolidated Report
Indicator
Indicator showing if this submission file constitutes a Consolidated Report.
Boolean
"Y" = Yes;
"N" = No
Yes
1 Char
4
Resubmission File
Indicator
Indicator showing if this submission file contains payment(s) and/or other transfer(s) of
value that are all new records, amended or corrected versions of previously submitted
records, previously submitted records for which a delay in publication has been requested
that you now wish to update, or previously submitted records that you now wish to delete.
Enumeration
"N" = New Submission
"Y" = Resubmission
"R" = Renew Delay in
Publication
"D" = Delete
Yes
1 Char
5
Original File Submission
ID
This field is no longer
collected by Open
Payments and has
been replaced by
Home System
Payment ID, data
element 31A
This field is no longer
collected by Open
Payments and has been
replaced by Home
System Payment ID, data
element 31A.
DE #
Data Element
Name
6
Covered Recipient Type
7
Teaching Hospital Name
Definition / Description
Indicator showing if the recipient of the payment or other transfer of value is a physician
covered recipient or a teaching hospital.
Data Type
Format
Enumeration
"1" = Physician
"2" = Teaching Hospital
Text
Text from Standardized
Selection
No, only values given in Format Column E
are allowed.
If "D" is provided, only DE# 2, 3, 4, 31, 32, and 34 are required for the
record. All other fields are optional.
This field is no longer
collected by Open
Payments and has been
replaced by Home System
Payment ID, data element
31A.
This field is no longer
collected by Open
Payments and has been
replaced by Home
System Payment ID,
data element 31A.
This field is no longer collected by Open Payments and has been replaced by
Home System Payment ID, data element 31A.
Submission Record Information (all sections from here to the end of this table contain data elements that are reported once per payment/transfer of value)
Recipient Demographic Information
Required?
Field Size
Validation Rules
Yes
1 Char
Validated against data type, format, and field size (columns D, E, G)
Yes IF
≤ 100 Char
This field is no longer
collected by Open
Payments and has
been replaced by
Home System
Payment ID, data
element 31A
Publicly
Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Yes
COVERED_RECIPIENT_TYPE
No notes
No, only values given in Format Column E
are allowed.
Yes
TEACHING_HOSPITAL_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
No
TEACHING_HOSPITAL_TAX_ID_NUMBER
_TIN
No notes
No, only numeric values are allowed.
A standardized list of covered Teaching Hospital names and information is provided on the
CMS Open Payments website.
11
The "doing business as" name of the Teaching Hospital receiving the payment or other
transfer of value. This can be found under the "Hospital Name" field on the CMS-provided
Teaching Hospital List.
DE# 6
Covered Recipient Type =
"2" (Teaching Hospital)
8
Teaching Hospital Tax ID
Number (TIN)
Tax Identification Number (TIN) of the Teaching Hospital receiving the payment or other
transfer of value.
Numeric
999999999
Yes IF
DE# 6
Covered Recipient Type =
"2" (Teaching Hospital)
IF DE# 6 Covered
Recipient Type = "1"
(Physician), this field must
be blank.
Validated against data type, format, and field size (columns D, E, G)
A standardized list of covered Teaching Hospital names and information is
provided on the CMS Open Payments website. Hospital name submitted is
matched against this list. Use the "Hospital Name" value in the list for the
correct name. (Records for program year 2013 only must use the "PECOS
Legal Name" instead)
IF DE# 6 Covered
Recipient Type = "1"
(Physician), this field must
be blank.
12
13
This field is no longer collected by Open Payments and has been replaced by Home System
Payment ID, data element 31A.
If "R" is provided, only DE# 2, 3, 4, 31, 32, 34, and 47 are required for the
record. All other fields are optional.
Value must match the hospital name associated with the TIN (DE #8) as per
the Teaching Hospital List
9 Char
Validated against data type, format, and field size (columns D, E, G)
A standardized list of covered Teaching Hospital names and information is
provided on the CMS Open Payments website.
Value must match the TIN associated with the teaching hospital name (DE
#7) as per the Teaching Hospital List
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
1
General Payments (Non-Research)
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element
Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
CSV Field Name
Additional Notes
Allowed Special Characters
Yes IF
≤ 20 Char
Validated against data type, format, and field size (columns D, E, G)
Publicly
Displayed
9
Physician First Name
Textual first name of the physician (covered recipient) receiving the payment or other
transfer of value.
Text
Free form text
DE# 6
Covered Recipient Type =
"1" (Physician)
If applicable, report the value for this data element as listed in the National Plan & Provider
Enumeration System (NPPES).
Yes
PHYSICIAN_FIRST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
PHYSICIAN_MIDDLE_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
PHYSICIAN_LAST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
PHYSICIAN_NAME_SUFFIX
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
RECIPIENT_PRIMARY_BUSINESS_STREE
T_ADDRESS_LINE_1
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
RECIPIENT_PRIMARY_BUSINESS_STREE
T_ADDRESS_LINE_2
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
RECIPIENT_CITY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
RECIPIENT_STATE
No notes
No, only values given in Format Column E
are allowed.
Yes
RECIPIENT_ZIP_CODE
No notes
No, only numeric values are allowed.
Yes
RECIPIENT_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
RECIPIENT_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Validated against CMS-approved data sources
IF DE# 6 Covered
Recipient Type = "2"
(Teaching Hospital), this
field must be blank.
14
15
10
Physician Middle Name
Textual middle initial or middle name of the physician (covered recipient) receiving the
payment or other transfer of value.
Text
Free form text
No
Free form text
IF DE# 6 Covered
Recipient Type = "2"
(Teaching Hospital), this
field must be blank
Yes IF
If applicable, report the value for this data element as listed in the National Plan & Provider
Enumeration System (NPPES).
11
Physician Last Name
Textual last name of the physician (covered recipient) receiving the payment or other
transfer of value.
Text
≤ 35 Char
Validated against data type, format, and field size (columns D, E, G)
Validated against CMS-approved data sources
IF DE# 6 Covered
Recipient Type = "2"
(Teaching Hospital), this
field must be blank.
16
12
Physician Name Suffix
Name suffix of the physician (covered recipient) receiving the payment or other transfer of
value chosen from a constrained list of values (Examples: Jr., Sr., III).
Text
Free form text
If applicable, report the value for this data element as listed in the National Plan & Provider
Enumeration System (NPPES).
13
18
14
Recipient Primary
Business Street Address
Line 1
The first line of the primary practice/business street address of the physician or teaching
hospital (covered recipient) receiving the payment or other transfer of value.
Text
Recipient Primary
Business Street Address
Line 2
The second line of the primary practice/business street address of the physician or teaching
hospital (covered recipient) receiving the payment or other transfer of value.
Text
Recipient City
The primary practice/business city of the physician or teaching hospital (covered recipient)
receiving the payment or other transfer of value.
Text
The primary practice/business state or territory abbreviation of the physician or teaching
hospital (covered recipient) receiving the payment or other transfer of value, if the primary
practice/business address is in the United States.
Enumeration
19
15
20
16
Recipient State
Two line address format;
First line contains
building number, street
name, street identifier
No
IF DE# 6 Covered
Recipient Type = "2"
(Teaching Hospital), this
field must be blank
Yes
≤ 5 Char
21
17
Recipient Zip Code
22
18
Recipient Country
23
19
Recipient Province
The 5- or 9-digit zip code for the primary practice/business location of the physician or
teaching hospital (covered recipient) receiving the payment or other transfer of value, if the
primary practice/business address is in the United States.
Validated against data type, format, and field size (columns D, E, G)
IF DE# 6 Covered Recipient Type = "2" (Teaching Hospital), this field must
be blank.
≤ 55 Char
Validated against data type, format, and field size (columns D, E, G)
If the Covered Recipient Type (DE#6) has a value of "2" (Teaching
Hospital), NPPES Address Line 1 from the CMS-provided Teaching Hospital
list should be used for this data element
Two line address format;
Second line contains
suite number, apartment
number, post office box
number or other
qualifying information
No
Free form text
Yes
≤ 55 Char
Validated against data type, format, and field size (columns D, E, G)
If the Covered Recipient Type (DE#6) has a value of "2" (Teaching
Hospital), NPPES Address Line 2 from the CMS-provided Teaching Hospital
list should be used for this data element
≤ 40 Char
Validated against data type, format, and field size (columns D, E, G)
If the Covered Recipient Type (DE#6) has a value of "2" (Teaching
Hospital), NPPES Address City from the CMS-provided Teaching Hospital list
should be used for this data element
2 character U.S. state or
territory alpha
abbreviation
Yes IF
2 Char
Recipient Country, DE# 18
= "US" or "United States"
Numeric
The primary practice/business address country name of the physician or teaching hospital
(covered recipient) receiving the payment or other transfer of value.
Text
The primary practice/business province name of the physician or teaching hospital (covered
recipient) receiving the payment or other transfer of value, if the primary practice/business
address is outside the United States, and if applicable.
Text
5- or 9-digit numeric zip
code
Free form text
Free form text
Yes IF
If the Covered Recipient Type (DE#6) has a value of "2" (Teaching
Hospital), NPPES Address State from the CMS-provided Teaching Hospital
list should be used for this data element
≤ 9 Char
Recipient Country, DE# 18
= "US" or "United States"
IF DE# 18 is any other
value, this field must be
blank.
Yes
No
Validated against data type, format, and field size (columns D, E, G)
Limited to list of state abbreviations and territories per US Postal Service
IF DE# 18 is any other
value, this field must be
blank.
24
Validated against data type, format, and field size (columns D, E, G)
IF DE# 6 Covered Recipient Type = "2" (Teaching Hospital), this field must
be blank.
DE# 6
Covered Recipient Type =
"1" (Physician)
If applicable, report the value for this data element as listed in the National Plan & Provider
Enumeration System (NPPES).
17
≤ 20 Char
Validated against data type, format, and field size (columns D, E, G)
If the Covered Recipient Type (DE#6) has a value of "2" (Teaching
Hospital), NPPES Address Zip Code from the CMS-provided Teaching
Hospital list should be used for this data element
2 Char
* For US only, you can
enter either US or United
States
Validated against data type, format, and field size (columns D, E, G)
≤ 20 Char
Validated against data type, format, and field size (columns D, E, G)
Must be exactly 2 char abbreviation of country
* For US only, you can enter US or United States
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
2
General Payments (Non-Research)
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element
Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
CSV Field Name
Additional Notes
Allowed Special Characters
Yes IF
≤ 20 Char
Validated against data type, format, and field size (columns D, E, G)
Publicly
Displayed
20
25
Recipient Postal Code
21
22
28
29
30
31
32
Text
Alphanumeric
Recipient Country, DE#
18, is outside the United
States
Yes
RECIPIENT_POSTAL_CODE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Proper length and format validated for each country
IF DE# 18 = "US" or
"United States", this field
must be blank.
Recipient Email Address
26
27
The international postal code for the primary practice/business location of the physician or
teaching hospital (covered recipient) receiving the payment or other transfer of value, if the
primary practice/business address is outside the United States.
23
Physician Primary Type
Physician NPI
The primary email address for this payment recipient to be used for communication
purposes.
Text
Primary type of medicine practiced by the physician covered recipient.
Enumeration
Individual NPI for the Physician (not the NPI of a group the physician belongs to).
Numeric
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)
Numeric digits only
No
Yes IF
≤ 100 Char
Validated against data type, format, and field size (columns D, E, G)
No
RECIPIENT_EMAIL_ADDRESS
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
1 Char
Proper email format enforced
Allowed values limited to "1", "2", "3", "4", "5", or "6"
Yes
PHYSICIAN_PRIMARY_TYPE
No notes
No, only values given in Format Column E
are allowed.
10 Char
Validated against data type, format, and field size (columns D, E, G)
No
PHYSICIAN_OR_TEACHING_HOSPITAL_N
PI
No notes
No, only numeric values are allowed.
Validated against data type, format, and field size (columns D, E, G)
Yes
PHYSICIAN_SPECIALTY
Refer to the Open Payments
Physician Taxonomy Code list
on the CMS Open Payments
website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Validated against data type, format, and field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
PHYSICIAN_LICENSE_STATE_AND_LICEN
SE_NUMBER_1
PHYSICIAN_LICENSE_STATE_AND_LICEN
SE_NUMBER_2
PHYSICIAN_LICENSE_STATE_AND_LICEN
SE_NUMBER_3
PHYSICIAN_LICENSE_STATE_AND_LICEN
SE_NUMBER_4
PHYSICIAN_LICENSE_STATE_AND_LICEN
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
DE# 6
Covered Recipient Type =
"1" (Physician)
IF DE# 6 Covered
Recipient Type = "2"
(Teaching Hospital), this
field must be blank.
Yes IF Physician has an
NPI
Validated against CMS-approved data sources
IF DE# 6 Covered
Recipient Type = "2"
(Teaching Hospital), this
field must be left blank.
24
Physician Specialty
Taxonomy code for the physician's specialty, chosen from the standardized "provider
taxonomy" code list.
Text
Text from Standardized
Selection
Yes IF
10 Char
DE# 6
Covered Recipient Type =
"1" (Physician)
IF DE# 6 Covered
Recipient Type = "2"
(Teaching Hospital), this
25
Physician License State
and License Number
Paired state and official state license number of the covered recipient physician. May include
up to 5 "Physician License State and License Number" pairs, if a physician is licensed in
multiple states.
Text
Maximum of 5 unique
pairs of the state and
license number: AA99999999999999999999
99999
Yes IF
≤ 28 Char
DE# 6
Covered Recipient Type =
"1" (Physician)
The pairing includes the 2-letter state abbreviation, followed by a hyphen,
followed by the state license number
IF DE# 6 Covered
Recipient Type = "2"
(Teaching Hospital), this
Associated Drug, Device, Biological, or Medical Supply Information
DE #
26
Data Element
Name
Product Indicator
Definition / Description
Indicator allows the Applicable Manufacturer or Applicable GPO to select whether the
payment or other transfer of value is associated with ONLY covered drugs, devices,
biologicals or medical supplies ("Covered"); ONLY non-covered drugs, devices, biologicals or
medical supplies ("Non-covered"); NEITHER covered nor non-covered drugs, devices,
biologicals or medical supplies ("None"); or BOTH covered and/or non-covered drugs,
devices, biologicals or medical supplies ("Covered" or "Combination").
Data Type
Enumeration
"1"
"2"
"3"
"4"
=
=
=
=
Format
Required?
Field Size
Validation Rules
"Covered"
"Non-covered"
"None"
"Combination"
Yes
1 Char
Allowed values limited to "1", "2", "3", or "4"
Publicly
Displayed
Yes
CSV Field Name
PRODUCT_INDICATOR
Additional Notes
No notes
Allowed Special Characters
No, only values given in Format Column E
are allowed.
If the payment or other transfer of value is associated with both covered drugs, devices,
biologicals or medical supplies AND non-covered drugs, devices, biologicals or medical
supplies, the Applicable Manufacturer must choose either "Covered" or "Combination",
where:
(1) “Covered” represents covered ≥ 1 AND non-covered product ≥ 0 AND that
"Combination" is not selected
OR
(2) “Combination” to represent covered ≥ 1 AND non-covered product ≥ 1 AND that
"Covered" is not selected.
33
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
3
General Payments (Non-Research)
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element
Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
CSV Field Name
Additional Notes
Allowed Special Characters
Yes IF
≤ 100 Char
Validated against data type, format, and field size (columns D, E, G)
Publicly
Displayed
27
Name of Associated
The marketed name of the drug or biological associated with this payment or transfer of
Covered Drug or Biological value. May report the marketed name of up to 5 covered products (drugs, devices,
biologicals, or medical supplies) provided in either DE#27 or DE#29.
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 ClinicalTrials.gov.
Element 27 and element
28 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
DE# 26 "Product
Indicator" is "1" (Covered)
OR is "4" (Combination)
AND
there is not at least 1
covered device or medical
supply provided in DE# 29
(Name of Associated
Covered Device or Medical
Supply)
OR
DE#28 "NDC of Associated
Covered Drug or
Biological" contains a value
Yes
NAME_OF_ASSOCIATED_COVERED_DRU
G_OR_BIOLOGICAL_1
NAME_OF_ASSOCIATED_COVERED_DRU
G_OR_BIOLOGICAL_2
NAME_OF_ASSOCIATED_COVERED_DRU
G_OR_BIOLOGICAL_3
NAME_OF_ASSOCIATED_COVERED_DRU
G_OR_BIOLOGICAL_4
NAME_OF_ASSOCIATED_COVERED_DRU
G_OR_BIOLOGICAL_5
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
NDC_OF_ASSOCIATED_COVERED_DRUG
_OR_BIOLOGICAL_1
NDC_OF_ASSOCIATED_COVERED_DRUG
_OR_BIOLOGICAL_2
NDC_OF_ASSOCIATED_COVERED_DRUG
_OR_BIOLOGICAL_3
NDC_OF_ASSOCIATED_COVERED_DRUG
_OR_BIOLOGICAL_4
NDC_OF_ASSOCIATED_COVERED_DRUG
_OR_BIOLOGICAL_5
No notes
Minus sign/hyphen (-)
Yes
NAME_OF_ASSOCIATED_COVERED_DEVI
CE_OR_MEDICAL_SUPPLY_1
NAME_OF_ASSOCIATED_COVERED_DEVI
CE_OR_MEDICAL_SUPPLY_2
NAME_OF_ASSOCIATED_COVERED_DEVI
CE_OR_MEDICAL_SUPPLY_3
NAME_OF_ASSOCIATED_COVERED_DEVI
CE_OR_MEDICAL_SUPPLY_4
NAME_OF_ASSOCIATED_COVERED_DEVI
CE_OR_MEDICAL_SUPPLY_5
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Validated against CMS-approved data sources
IF DE# 26 Product
Indicator = "3" (None),
this field must be blank.
34
28
NDC of Associated
The National Drug Code (NDC), if any, of the drug(s) or biological(s) associated with the
Covered Drug or Biological payment or other transfer of value (if applicable; up to 5 NDCs). If no NDC exists for any of
the named covered drug(s) or biological(s) in DE#27, leave blank.
Text
Element 27 and element
28 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
12 Char (including
dashes)
Validated against format and field size (columns E and G)
If a drug or biological named in the record (DE#27) has an NDC, the NDC
must be reported with the same record. The order of NDCs provided must
match the order of named drugs or biologicals in DE#27. If no NDC exists
for a named drug or biological in DE#27, leave the corresponding NDC field
blank for that drug or biological.
IF DE# 26 Product Indicator = "3" (None), this field must be blank.
The numeric values in this field may not consist of only zeroes
NDC's must be entered in
one of the following
formats:
9999-9999-99
99999-999-99
99999-9999-9
35
29
Name of Associated
Covered Device or Medical
Supply
The marketed name of the device or medical supply associated with this payment or transfer
of value. May report the marketed name of up to 5 covered products (drugs, devices,
biologicals, or medical supplies) provided in either DE#27 or DE#29.
Text
Applicable Manufacturer or GPO may provide either (1) the marketed name under which the
device or medical supply is or was marketed OR (2) the Therapeutic Area or Product
Category.
Element 29 can repeat a
maximum of 5 times for
covered devices or
medical supplies
Yes IF
< 100 Char
DE# 26 "Product
Indicator" is "1" (Covered)
OR is "4" (Combination)
AND
there is not at least 1
covered drug or biological
provided in DE# 27 (Name
of Associated Covered
Drug or Biological)
Validated against data type, format, and field size (columns D, E, G)
Validated against CMS-approved data sources
IF DE# 26 Product
Indicator = "3" (None),
this field must be blank.
36
37
38
Transfer of Value (Payment) Information
DE #
30
Data Element
Name
Definition / Description
Applicable Manufacturer or Textual proper name of either the Applicable Manufacturer or Applicable GPO making the
Applicable GPO Making
payment or other transfer of value being reported in this record.
Payment Name
Data Type
Text
Format
Free form text
Required?
Field Size
Validation Rules
Yes
≤ 100 Char
Validated against data type, format, and field size (columns D, E, G)
Publicly
Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Yes
APPLICABLE_MANUFACTURER_OR_APPLI
CABLE_GPO_MAKING_PAYMENT_NAME
Published as "Making Payment
Applicable Manufacturer or
Applicable GPO Name"
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
APPLICABLE_MANUFACTURER_OR_APPLI
CABLE_GPO_MAKING_PAYMENT_REGIST
RATION_ID
Published as
"Applicable_Manufacturer_or_A
pplicable_GPO_Making_Paymen
t_ID"
System generated value only.
No
HOME_SYSTEM_PAYMENT_ID
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Matches Applicable AM/Applicable GPO names specified at registration for
associated Registration IDs
If DE# 3 (Consolidated Report Indicator) = “N”, the value provided for this
data element must be the same as the value provided for DE# 1 (Applicable
Manufacturer or Applicable GPO Name).
39
31
40
41
31A
Applicable Manufacturer or Open Payments system-generated identifier for this Applicable Manufacturer or Applicable
Applicable GPO Making
GPO issued during the registration process.
Payment Registration ID
Numeric
Home System Payment ID The identifier associated with the payment transaction in the applicable manufacturer or
applicable GPO home system
Text
System generated
Yes
System generated :
≤ 38 digits
Validated against data type, format, and field size (columns D, E, G)
Matches Registration ID(s) on file
Text
No
≤ 50 Char
If DE# 3 (Consolidated Report Indicator) = “N”, the value provided for this
data element must be the same as the value provided for DE# 2 (Applicable
Manufacturer or Applicable GPO Registration ID)
Validated against data type, format, and field size (columns D, E, G)
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
4
General Payments (Non-Research)
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element
Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
CSV Field Name
Additional Notes
Allowed Special Characters
Yes IF
System generated :
≤ 38 digits
Publicly
Displayed
32
Resubmitted Payment
Record ID
This data element will be blank for initial file submissions.
Total Amount of Payment
Amount of payment to recipient, in US dollars. Convert to US dollar currency, if necessary.
Numeric
DE# 4 Resubmission File
Indicator = "Y", "R", or
"D"
42
33
System generated
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/transfer of value
record ID (indicating which record is to be corrected). The original payment/transfer of value
record ID is provided by the CMS Open Payments System.
Fixed point
The “Total Amount of Payment” should be tied to a singular transaction or purchased service
(items listed in “Nature of Payment” DE#37).
Currency (US dollars)
9999999999.99
Yes
≤ 13 Char (including
decimal point)
Validated against data type, format, and field size (columns D, E, G)
No
RESUBMITTED_PAYMENT_RECORD_ID
No notes
System generated value only.
Yes
TOTAL_AMOUNT_OF_PAYMENT
No notes
No, only values given in Format Column E
are allowed.
Yes
DATE_OF_PAYMENT
No notes
No, only values given in Format Column E
are allowed.
If reported, matches Initial Payment Record ID for given Original File
Submission ID
Validated against data type, format, and field size (columns D, E, G)
Must have 2 digits after decimal
The value in this field cannot be 0.00. The value entered must be greater
than zero dollars
43
34
Date of Payment
If reporting a singular payment, report the actual date the payment was issued.
Date
YYYYMMDD
Yes
8 Char
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.
44
35
Number of Payments
Included in Total Amount
The number of discrete payments being reported in the "Total Amount of Payment" data
element (#33).
Validated against data type, format, and field size (columns D, E, G)
Is within correct reporting year
Numeric
Integer
Yes
3 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
NUMBER_OF_PAYMENTS_INCLUDED_IN_
TOTAL_AMOUNT
No notes
No, only values given in Format Column E
are allowed.
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.
Enumeration
"1" = Cash or cash
equivalent;
"2" = In-kind items and
services;
"3" = Stock, stock
option, or any other
ownership interest;
"4" = Dividend, profit or
other return on
investment
Yes
1 Char
Allowed values limited to "1", "2", "3", or "4"
Yes
FORM_OF_PAYMENT_OR_TRANSFER_OF
_VALUE
No notes
No, only values given in Format Column E
are allowed.
"1" = Consulting Fee;
"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 nonaccredited and
noncertified continuing
education program;
"13" = Compensation for
serving as faculty or as a
Free form text
Yes
≤ 2 Char
Limited to numeric characters 1 through 15
Yes
NATURE_OF_PAYMENT_OR_TRANSFER_O
F_VALUE
No notes
No, only values given in Format Column E
are allowed.
Yes IF
≤ 20 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
CITY_OF_TRAVEL
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Report 1 in this data element if this is a singular payment to the covered recipient.
45
36
Form of Payment or
Transfer of Value
37
Nature of Payment or
Transfer of Value
The nature of payment used to pay the covered recipient or to make the transfer of value.
Enumeration
38
City of Travel
For "Travel and Lodging" payments, destination city where covered recipient traveled.
Text
46
47
DE# 37 Nature of Payment
= "7" Travel and Lodging
48
If DE# 37 Nature of
Payment is any other
value, this field must be
left blank.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
5
General Payments (Non-Research)
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element
Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
CSV Field Name
Additional Notes
Allowed Special Characters
Yes IF
DE# 37 Nature of Payment
= "7" Travel and Lodging
AND
DE# 40 Country of Travel
= "US" or "United States"
2 Char
Limited to list of state abbreviations and territories per US Postal Service
Publicly
Displayed
13 Char
* For US only, you can
enter US or United
States
Must be exactly 2 char abbreviation of country
* For US only, you can enter US or United States
Required?
Field Size
Validation Rules
Yes IF
1 Char
Validates that only character "Y" or "N" is provided
Yes
1 Char
Yes IF
≤ 50 Char
39
State of Travel
For "Travel and Lodging" payments, destination state where covered recipient traveled.
Enumeration
2 character U.S. state or
territory alpha
abbreviation
Yes
STATE_OF_TRAVEL
No notes
No, only values given in Format Column E
are allowed.
Yes
COUNTRY_OF_TRAVEL
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
For all other conditions,
this field must be blank.
49
40
Country of Travel
For "Travel and Lodging" payments, destination country where covered recipient traveled.
Text
Free form text
Yes IF
DE# 37 Nature of Payment
= "7" Travel and Lodging
50
51
52
If DE# 37 Nature of
Payment is any other
value, this field must be
left blank.
General Record Information
DE #
41
Data Element
Name
Physician Ownership
Indicator
Definition / Description
If Recipient type = "Physician", does the physician hold ownership or investment interest in
the applicable manufacturer?
Data Type
Boolean
Format
"Y" = Yes;
"N" = No
This indicator is limited to physician's ownership, not physician's family members' ownership.
53
42
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 (physician or teaching hospital).
Enumeration
43
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.
Text
44
45
58
Additional Notes
Allowed Special Characters
PHYSICIAN_OWNERSHIP_INDICATOR
No notes
No, only values given in Format Column E
are allowed.
Limited to numeric characters "1," "2," or "3"
Yes
THIRD_PARTY_PAYMENT_RECIPIENT_IN
DICATOR
No notes
No, only values given in Format Column E
are allowed.
Validated against data type, format, and field size (columns D, E, G)
Yes
NAME_OF_THIRD_PARTY_ENTITY_RECEI
VING_PAYMENT_OR_TRANSFER_OF_VAL
UE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
1 Char
Validates that only character "Y" or "N" is provided
Yes
CHARITY_INDICATOR
No notes
No, only values given in Format Column E
are allowed.
1 Char
If reported Third Party Payment Recipient Indicator = 1 (Entity)
Validates that only character "Y" or "N" is provided
Yes
THIRD_PARTY_EQUALS_COVERED_RECI
PIENT_INDICATOR
No notes
No, only values given in Format Column E
are allowed.
≤ 500 Char
Validated against data type, format, and field size (columns D, E, G)
Yes
CONTEXTUAL_INFORMATION
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
DELAY_IN_PUBLICATION_OF_RESEARCH
_PAYMENT_INDICATOR
Delay in publication must be re- No, only values given in Format Column E
requested annually and can
are allowed.
only be requested for a total of
four years. This can be done by
resubmitting the record and
requesting a delay in publication
again.
DE# 6 Covered Recipient
Type = "1" (Physician)
"1" = "Entity"
"2" = "Individual"
"3" = "No Third Party
Payment"
Free form text
DE# 42, Third Party
Payment Recipient
Indicator = "1" (Entity)
IF DE# 42 is any other
value, this field must be
blank.
56
57
CSV Field Name
Yes
IF DE# 6 Covered
Recipient Type = "2"
(Teaching Hospital), this
field must be blank.
54
55
Publicly
Displayed
Charity Indicator
Third Party Equals
Covered Recipient
Indicator
Indicates the third party entity that received the payment or other transfer of value is a
charity.
Boolean
Indicator showing that the "Third Party" who received the payment or other transfer of value
is a Covered Recipient.
Boolean
"Y" = Yes;
"N" = No
"Y" = Yes;
"N" = No
No
Yes IF
DE# 42, Third Party
Payment Recipient
Indicator = "1" (Entity) or
"2" (Individual)
IF DE# 42 is any other
value, this field must be
blank.
46
Contextual Information
Any free text which the reporting entity deems helpful or appropriate regarding this payment
or other transfer of value.
Text
Free form text
47
Delay in Publication of
Research Payment
Indicator
Indicator showing if an Applicable Manufacturer/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 product (drug, device,
biological, or medical supply) or (2) clinical investigation regarding a new product (drug,
device, biological, or medical supply).
Enumeration
"1" = R&D on New
Product
"2" = Clinical
Investigation on New
Product
"3" = No Delay
Requested
If the Delay in Publication of Research Payment Indicator equals “1” or “2”, indicate the
name of the related research study in DE#46, "Contextual information."
Yes IF
DE#47, Delay in
Publication of Research
Payment Indicator = “1”
or “2”
Yes
1 Char
Limited to numeric characters "1," "2," or "3"
Validated against CMS-approved data sources
To determine if a record that
has been delayed in publication
requires renewal to remain
delayed, go to the Review
Records page and select the
payment category to view. Use
the filter tools on the next page
to search for records with a
"Delay in Publication" status of
"Renew"
Applicable Manufacturers/GPOs not requesting a delay in publication of a payment or other
transfer of value should select (3), 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.
59
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
6
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
1
Applicable Manufacturer or Applicable
GPO Name
Yes
≤ 100 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
APPLICABLE_MANUFACTURER_OR_APPLICAB
LE_GPO_NAME
Published as "Submitting Applicable
Manufacturer or Applicable GPO Name"
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
No
APPLICABLE_MANUFACTURER_OR_APPLICAB
LE_GPO_ID
No notes
System generated value only.
No, only values given in Format Column E are
allowed.
N/A
Textual proper name of either the Submitting Applicable Manufacturer or Submitting
Applicable Group Purchasing Organization (GPO).
Text
Free form text
If this submission file contains records of payment(s) and/or other transfer(s) of value
made by only one Applicable Manufacturer/Applicable GPO, enter that Applicable
Manufacturer’s/Applicable GPO’s name in this data field for all records in the
submission file.
Match the name on file for associated
Registration ID
If this submission file contains records of payment(s) and/or other transfer(s) of value
from multiple Applicable Manufacturers/Applicable GPOs, enter the name of the
Applicable Manufacturer/Applicable GPO submitting the consolidated report in this
field. The name of the Applicable Manufacturer/Applicable GPO that made the payment
for each record is entered in the “Applicable Manufacturer or Applicable GPO Making
Payment Name” (DE#31) field of that record.
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).
Numeric
System generated
Yes
System generated
:
≤ 38 digits
If this submission file contains records of payment(s) and/or other transfers of value
made by only one Applicable Manufacturer/Applicable GPO, enter that Applicable
Manufacturer’s/Applicable GPO’s Registration ID in this data field for all records in the
submission file.
Validated against data type, format, and
field size (columns D, E, G)
Match the Registration ID on file
If this submission file contains records of payment(s) and/or other transfer(s) of value
from multiple Applicable Manufacturers/Applicable GPOs, enter the Record ID to be
entered of the Applicable Manufacturer/Applicable GPO submitting the consolidated
report. The Record ID of the Applicable Manufacturer/Applicable GPO that made the
payment for each record is entered in the “Applicable Manufacturer or Applicable GPO
Making Payment Registration ID” (DE#32) field of that record.
4
3
Consolidated Report Indicator
Indicator showing if this submission file constitutes a Consolidated Report.
Boolean
"Y" = Yes;
"N" = No
Yes
1 Char
Validates that only character "Y" or "N" is
provided
No
CONSOLIDATED_REPORT_INDICATOR
4
Resubmission File Indicator
Indicator showing if this submission file contains payment(s) and/or other transfer(s)
of value that are all new records, amended or corrected versions of previously
submitted records, previously submitted records for which a delay in publication has
been requested that you now wish to update, or previously submitted records that you
now wish to delete.
Enumeration
"N" = New Submission
"Y" = Resubmission
"R" = Renew Delay in
Publication
"D" = Delete
Yes
1 Char
Validates that only character "N","Y","R", or
"D" is provided
No
RESUBMISSION_FILE_INDICATOR
For more information on Consolidated
Reporting, consult the Quick Reference
Guide on Consolidated Reporting,
located on the CMS Open Payments
website
No notes
This field is no longer collected by Open
Payments and is replaced by Home System
Payment ID, data element 32A.
This field is no longer collected by Open
Payments and is replaced by Home
System Payment ID, data element 32A.
5
No, only values given in Format Column E are
allowed.
If "R" is provided, only DE# 2, 3, 4, 32, 33,
34A, and 38 are required for the record. All
other fields are optional.
If "D" is provided, only DE# 2, 3, 4, 32, 33,
and 34A are required for the record. All
other fields are optional.
All records in a file must have the same
6
5
7
8
9
10
Original File Submission ID
This field is no longer collected by Open Payments and is replaced by Home System
Payment ID, data element 32A.
This field is no
longer collected by
Open Payments and
is replaced by Home
System Payment ID,
data element 32A.
This field is no longer
collected by Open Payments
and is replaced by Home
System Payment ID, data
element 32A.
Submission Record Information (all sections from here to end of template contain data elements that are reported once
Recipient Demographic Information
DE #
6
Data Element Name
Covered Recipient Type
Definition / Description
Indicator showing if the recipient of the payment or other transfer of value is a
covered physician, a covered teaching hospital, a non-covered entity, or a noncovered individual.
Data Type
11
7
Non-covered Recipient Entity Name
The name of the Non-covered Recipient Entity receiving the payment or other transfer
of value.
Format
Enumeration
"1" = Covered Recipient
Physician
or
"2" = Covered Recipient
Teaching Hospital
or
"3" = Non-covered
Recipient Entity
or
"4" = Non-covered
Recipient Individual
Text
Free form text
A standardized list of covered teaching hospital names and information is provided on
the CMS Open Payments website.
12
This field is no longer
collected by Open
Payments and is
replaced by Home
System Payment ID,
data element 32A.
This field is no
longer collected by
Open Payments
and is replaced by
Home System
Payment ID, data
element 32A.
This field is no longer collected by Open
Payments and is replaced by Home System
Payment ID, data element 32A.
This field is no longer collected
by Open Payments and is
replaced by Home System
Payment ID, data element 32A.
per payment/transfer of value)
Required?
Field Size
Validation Rules
Publicly Displayed
Yes
1 Char
Validates that only 1, 2, 3, or 4 is provided
Yes
COVERED_RECIPIENT_TYPE
No notes
No, only values given in Format Column E are
allowed.
Yes IF
≤ 100 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
NON_COVERED_RECIPIENT_ENTITY_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet
DE# 6 Covered Recipient
Type =
"3" (Non-covered Recipient
Entity)
CSV Field Name
Additional Notes
Allowed Special Characters
IF DE# 6 is any other value,
this field must be blank.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
7
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Yes IF
≤ 100 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
COVERED_RECIPIENT_TEACHING_HOSPITAL
_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
No
COVERED_RECIPIENT_TEACHING_HOSPITAL
_TAX_ID_NUMBER
No notes
No, only numeric values are allowed.
Yes
COVERED_RECIPIENT_PHYSICIAN_FIRST_NA
ME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
COVERED_RECIPIENT_PHYSICIAN_MIDDLE_
NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
COVERED_RECIPIENT_PHYSICIAN_LAST_NA
ME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
COVERED_RECIPIENT_PHYSICIAN_NAME_SU
FFIX
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
RECIPIENT_BUSINESS_STREET_ADDRESS_LI
NE_1
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
8
Covered Recipient Teaching Hospital
Name
The "doing business as" name of Teaching Hospital receiving the payment or other
transfer of value.
Text
Text of Standardized
Selection from approved
list of Teaching Hospitals
DE# 6
Covered Recipient Type = "2"
(Covered Recipient Teaching
Hospital)
A standardized list of covered Teaching
Hospital names and information is provided
on the CMS Open Payments website.
Hospital name submitted is matched against
this list. Use the "Hospital Name" value in
the list for the correct name. (Records for
program year 2013 only must use the
"PECOS Legal Name" instead)
IF DE# 6 is any other value,
this field must be blank.
13
9
14
Covered Recipient Teaching Hospital
Tax ID Number (TIN)
Tax Identification Number (TIN) of Teaching Hospital receiving the payment or other
transfer of value.
Numeric
999999999
Yes IF
9 Char
DE# 6
Covered Recipient Type = "2"
(Covered Recipient Teaching
Hospital)
A standardized list of covered Teaching
Hospital names and information is provided
on the CMS Open Payments website.
IF DE# 6 is any other value,
this field must be blank.
10
Covered Recipient Physician First
Name
Textual first name of the physician (covered recipient) receiving the payment or other
transfer of value.
Text
Free form text
Yes IF
≤ 20 Char
DE# 6
Covered Recipient Type =
"1" (Covered Recipient
Physician)
If applicable, report the value for this data element as listed in the National Plan &
Provider Enumeration System (NPPES).
Value must match the hospital name
associated with the TIN (DE #8) as per the
Teaching Hospital List
Validated against data type, format, and
field size (columns D, E, G)
Value must match the TIN associated with
the teaching hospital name (DE #8) as per
the Teaching Hospital List
Validated against CMS-approved data
sources
IF DE# 6 is any other value,
this field must be blank.
15
11
Covered Recipient Physician Middle
Name
Textual middle initial or middle name of the physician (covered recipient) receiving the
payment or other transfer of value.
Text
Free form text
If applicable, report the value for this data element as listed in the National Plan &
Provider Enumeration System (NPPES).
16
12
Covered Recipient Physician Last
Name
Textual last name of the physician (covered recipient) receiving the payment or other
transfer of value.
No
≤ 20 Char
IF DE# 6 Covered Recipient
Type = "2" (Covered
Recipient Teaching Hospital),
"3" (Non-covered Recipient
Entity), or "4" (Non-covered
Recipient Individual), this
field must be blank.
Text
Free form text
Yes IF
IF DE# 6 Covered Recipient Type = "2"
(Teaching Hospital), "3" (Non-covered
Recipient Entity), or "4" (Non-covered
Recipient Individual), this field must be
blank.
≤ 35 Char
DE# 6
Covered Recipient Type =
"1" (Covered Recipient
Physician)
If applicable, report the value for this data element as listed in the National Plan &
Provider Enumeration System (NPPES).
Validated against data type, format, and
field size (columns D, E, G)
Validated against data type, format, and
field size (columns D, E, G)
Validated against CMS-approved data
sources
IF DE# 6 is any other value,
this field must be blank.
17
13
Covered Recipient Physician Name
Suffix
Name suffix of the physician (covered recipient) receiving the payment or other
transfer of value chosen from a constrained list of values (Examples: Jr., Sr., III).
Text
Free form text
If applicable, report the value for this data element as listed in the National Plan &
Provider Enumeration System (NPPES).
18
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.
No
≤ 5 Char
IF DE# 6 Covered Recipient
Type = "2" (Covered
Recipient Teaching Hospital),
"3" (Non-covered Recipient
Entity), or "4" (Non-covered
Recipient Individual), this
field must be blank.
Text
Two line address format;
First line contains
building number, street
name, street identifier
Yes IF
DE# 6 Covered Recipient
Type =
"1" (Covered Recipient
Physician), OR
"2" (Covered Recipient
Teaching Hospital), OR
"3" (Non-covered Recipient
Entity)
Validated against data type, format, and
field size (columns D, E, G)
IF DE# 6 Covered Recipient Type = "2"
(Teaching Hospital), "3" (Non-covered
Recipient Entity), or "4" (Non-covered
Recipient Individual), this field must be
blank.
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
If the Covered Recipient Type (DE#6) has a
value of "2" (Teaching Hospital), NPPES
Address Line 1 from the CMS-provided
Teaching Hospital list should be used for
this data element
IF DE# 6 is any other value,
this field must be blank.
19
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
8
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Two line address format;
Second line contains
suite number, apartment
number, post office box
number, or other
qualifying information
No
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
RECIPIENT_BUSINESS_STREET_ADDRESS_LI
NE_2
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
RECIPIENT_CITY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
RECIPIENT_STATE
No notes
No, only values given in Format Column E are
allowed.
Yes
RECIPIENT_ZIP_CODE
No notes
No, only numeric values are allowed.
Yes
RECIPIENT_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
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
The primary business address city of the physician or teaching hospital or non-covered
recipient entity receiving the payment or other transfer of value.
Text
If the Covered Recipient Type (DE#6) has a
value of "2" (Teaching Hospital), NPPES
Address Line 2 from the CMS-provided
Teaching Hospital List should be used for
this data element
IF DE# 6 Covered Recipient Type = "4"
(Non-covered Recipient Individual), this
20
16
Recipient City
Free form text
Yes IF
≤ 40 Char
DE# 6 Covered Recipient
Type =
Validated against data type, format, and
field size (columns D, E, G)
If the Covered Recipient Type (DE#6) has a
value of "2" (Teaching Hospital), NPPES
Address City from the CMS-provided
Teaching Hospital list should be used for
this data element
"1" (Covered Recipient
Physician), OR "2" (Covered
Recipient Teaching Hospital),
OR "3" (Non-covered
Recipient Entity)
IF DE# 6 is any other value,
this field must be blank.
21
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
2 character U.S. state or
territory alpha
abbreviation
Yes IF
2 Char
Recipient Country DE# 19 =
"US" or "United States"
Limited to list of state abbreviations and
territories per US Postal Service
IF DE# 19 is any other value,
this field must be blank.
22
18
Recipient Zip Code
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
9 digit numeric zip code
Yes IF
If the Covered Recipient Type (DE#6) has a
value of "2" (Teaching Hospital), NPPES
Address State from the CMS-provided
Teaching Hospital list should be used for
≤ 9 Char
Recipient Country DE# 19 =
"US" or "United States"
19
Recipient Country
The business address country of the physician or teaching hospital or non-covered
recipient entity receiving the payment or other transfer of value.
Text
Free form text
Yes IF
DE# 6 Covered Recipient
Type =
Validated against data type, format, and
field size (columns D, E, G)
Either exactly 5 or exactly 9 numeric digits
IF DE# 19 is any other value,
this field must be blank.
23
Validated against data type, format, and
field size (columns D, E, G)
If the Covered Recipient Type (DE#6) has a
value of "2" (Teaching Hospital), NPPES
Address Zip code from the CMS-provided
Teaching Hospital list should be used for
this data element
2 Char
* For US only, you
can enter US or
United States
"1" (Covered Recipient
Physician), OR "2" (Covered
Recipient Teaching Hospital),
OR "3" (Non-covered
Recipient Entity)
Validated against data type, format, and
field size (columns D, E, G)
Must be exactly 2 char abbreviation of
country
* For US only, you can enter US or United
States
IF DE# 6 is any other value,
this field must be blank.
24
20
Recipient Province
The business address province 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 outside the United States and if applicable.
Text
Free form text
21
Recipient Postal Code
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
25
26
No
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
RECIPIENT_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes IF
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
RECIPIENT_POSTAL_CODE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
No
RECIPIENT_EMAIL_ADDRESS
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
No
COVERED_RECIPIENT_PHYSICIAN_NPI
No notes
No, only numeric values are allowed.
Recipient Country DE# 19 is
outside the United States
AND DE# 6 = "1", OR "2",
OR "3"
Proper length and format validated for each
country
For all other conditions, this
22
Recipient Email Address
The primary email address for physician or teaching hospital or non-covered recipient
entity to be used for communication purposes.
Text
Email Address
23
Covered Recipient Physician NPI
Individual NPI for Physician (not the NPI of any group the physician belongs to).
Required, if physician has an NPI.
Numeric
Numeric digits only
No
≤ 100 Char
Yes IF
10 Char
27
the Covered Recipient
Physician has an NPI
28
IF DE# 6 Covered Recipient
Type = "2" (Covered
Teaching Hospital), "3" (Noncovered Recipient Entity), or
"4" (Non-covered Recipient
Individual), this field must be
blank.
Validated against data type, format, and
field size (columns D, E, G)
Proper email format enforced
Validated against data type, format, and
field size (columns D, E, G)
Validated against CMS-approved data
sources
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
9
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
"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
1 Char
Limited to numeric characters 1 through 6
Yes
COVERED_RECIPIENT_PHYSICIAN_PRIMARY
_TYPE
No notes
No, only values given in Format Column E are
allowed.
10 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
COVERED_RECIPIENT_PHYSICIAN_SPECIALT
Y
Refer to the Open Payments Physician
Taxonomy Code list on the CMS Open
Payments website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
≤ 28 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
COVERED_RECIPIENT_PHYSICIAN_LICENSE_
STATE_AND_LICENSE_NUMBER_1
COVERED_RECIPIENT_PHYSICIAN_LICENSE_
STATE_AND_LICENSE_NUMBER_2
COVERED_RECIPIENT_PHYSICIAN_LICENSE_
STATE_AND_LICENSE_NUMBER_3
COVERED_RECIPIENT_PHYSICIAN_LICENSE_
STATE_AND_LICENSE_NUMBER_4
COVERED_RECIPIENT_PHYSICIAN_LICENSE_
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
24
29
25
Covered Recipient Physician Primary
Type
Primary type of medicine practiced by the covered recipient physician.
Covered Recipient Physician Specialty Taxonomy code for the physician's specialty, chosen from the standardized "provider
taxonomy" code list.
Enumeration
Text
Text from Standardized
Selection
DE# 6
Recipient Type = "1"
(Covered Recipient Physician)
IF DE# 6 is any other value,
this field must be blank.
Yes IF
DE# 6
Recipient Type = "1"
(Covered Recipient Physician)
IF DE# 6 is any other value,
this field must be blank.
30
26
Covered Recipient Physician License
State and License Number
Paired state and official state license number of the covered recipient physician. May
include up to 5 "Physician License State and License Number" pairs, if the physician is
licensed in multiple states.
Text
Maximum of 5 unique
pairs of the state and
license number:
AA9999999999999999999
999999
Yes IF
DE# 6
Recipient Type = "1"
(Covered Recipient Physician)
Proper length and format validated for each
state
IF DE# 6 is any other value,
this field must be blank.
The pairing includes the 2 letter state
abbreviation, followed by a hyphen,
followed by the state license number
31
32
33
Associated Drug, Device, Biological, or Medical Supply Information
DE #
27
Data Element Name
Product Indicator
Definition / Description
Indicator allows the Applicable Manufacturer or Applicable GPO to select whether the
payment or other transfer of value is associated with ONLY covered drugs, devices,
biologicals or medical supplies ("Covered"); ONLY non-covered drugs, devices,
biologicals or medical supplies ("Non-covered"); NEITHER covered or non-covered
drugs, devices, biologicals or medical supplies ("None"); or BOTH covered and/or noncovered drugs, devices, biologicals or medical supplies ("Covered" or "Combination").
Data Type
=
=
=
=
Format
Required?
Field Size
Validation Rules
Publicly Displayed
"Covered"
"Non-covered"
"None"
"Combination"
Yes
1 Char
Allowed values limited to "1", "2", "3", or
"4"
Yes
PRODUCT_INDICATOR
No notes
No, only values given in Format Column E are
allowed.
Yes IF
"Product Indicator" DE# 27 is
"1" = "Covered" OR is "4" =
"Combination" AND there is
not at least 1 covered device
or medical supply provided in
DE# 30 "Name of Associated
Covered Device or Medical
Supply"
OR
DE#29 "NDC of Associated
Covered Drug or Biological"
contains a value
≤ 100 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
NAME_OF_ASSOCIATED_COVERED_DRUG_O
R_BIOLOGICAL_1
NAME_OF_ASSOCIATED_COVERED_DRUG_O
R_BIOLOGICAL_2
NAME_OF_ASSOCIATED_COVERED_DRUG_O
R_BIOLOGICAL_3
NAME_OF_ASSOCIATED_COVERED_DRUG_O
R_BIOLOGICAL_4
NAME_OF_ASSOCIATED_COVERED_DRUG_O
R_BIOLOGICAL_5
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Enumeration
"1"
"2"
"3"
"4"
Text
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
CSV Field Name
Additional Notes
Allowed Special Characters
If the payment or other transfer of value is associated with both covered drugs,
devices, biologicals or medical supplies AND non-covered drugs, devices, biologicals or
medical supplies, the Applicable Manufacturer must choose either "Covered" or
"Combination", where:
(1) “Covered” represents covered ≥ 1 AND non-covered product ≥ 0 AND that
"Combination" is not selected
OR
(2) “Combination” to represent covered ≥ 1 AND non-covered product ≥ 1 AND that
"Covered" is not selected.
34
28
Name of Associated Drug or
Biological
If the payment or other transfer of value is associated with at least one (1) covered
drug or biological that has a marketed name, report the marketed name (or names up
to 5) of only the covered drugs or biologicals.
If the payment or other transfer of value is associated with at least one (1) covered
drug or biological that does not have a marketed name, report the name as it is
registered on ClinicalTrials.gov.
Validated against CMS-approved data
sources
If DE# 27 Product Indicator
is "3" (None), this field must
be blank.
35
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
10
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
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
12 Char (including
dashes)
Validated against format and field size
(columns E and G)
Yes
NDC_OF_ASSOCIATED_COVERED_DRUG_OR
_BIOLOGICAL_1
NDC_OF_ASSOCIATED_COVERED_DRUG_OR
_BIOLOGICAL_2
NDC_OF_ASSOCIATED_COVERED_DRUG_OR
_BIOLOGICAL_3
NDC_OF_ASSOCIATED_COVERED_DRUG_OR
_BIOLOGICAL_4
NDC_OF_ASSOCIATED_COVERED_DRUG_OR
_BIOLOGICAL_5
No notes
Minus sign/hyphen (-)
Yes
NAME_OF_ASSOCIATED_COVERED_DEVICE_
OR_MEDICAL_SUPPLY_1
NAME_OF_ASSOCIATED_COVERED_DEVICE_
OR_MEDICAL_SUPPLY_2
NAME_OF_ASSOCIATED_COVERED_DEVICE_
OR_MEDICAL_SUPPLY_3
NAME_OF_ASSOCIATED_COVERED_DEVICE_
OR_MEDICAL_SUPPLY_4
NAME_OF_ASSOCIATED_COVERED_DEVICE_
OR_MEDICAL_SUPPLY_5
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
29
NDC of Associated Covered Drug or
Biological
The National Drug Code (NDC), if any, of the drug or biological associated with the
payment or other transfer of value (if applicable; up to 5 NDCs). If there is no NDC
for any named covered drug or biological in DE#28, leave the element blank.
Text
If a drug or biological named in the record
(DE#28) has an NDC, the NDC must be
reported with the same record. The order of
NDCs provided must match the order of
named drugs or biologicals in DE#28. If no
NDC exists for a named drug or biological in
DE#28, leave the corresponding NDC field
blank for that drug or biological.
If DE# 27 Product Indicator is "3" (None),
this field must be blank.
NDC's must be entered
in one of the following
formats:
9999-9999-99
99999-999-99
99999-9999-9
The numeric values in this field may not
consist of only zeroes
36
30
Name of Associated Covered Device
or Medical Supply
If the payment or other transfer of value is associated with at least one (1) covered
device or medical supply that has a marketed name, report the marketed name (or
names, up to 5) of only the covered device or medical supply.
Text
Applicable Manufacturers or Applicable GPOs may provide either (1) the marketed
name under which the device or medical supply is or was marketed OR (2) the
Therapeutic Area or Product Category.
Element 30 can repeat a
maximum of 5 times for
covered devices or
medical supplies
Yes IF
≤ 100 Char
"Product Indicator" DE# 27 is
"1" = "Covered" OR is "4" =
"Combination" AND there is
not at least 1 covered drug or
biological provided in DE# 28
"Name of Associated Covered
Drug or Biological"
Validated against data type, format, and
field size (columns D, E, G)
Validated against CMS-approved data
sources
If DE# 27 Product Indicator
is "3" (None), this field must
be blank.
37
38
39
Transfer of Value (Research Payment) Information
DE #
Data Element Name
31
Applicable Manufacturer or Applicable
GPO Making Payment Name
Definition / Description
Textual proper name of either the Applicable Manufacturer or Applicable GPO making
the payment or transfer of value being reported in this record.
Data Type
Text
Format
Free form text
Required?
Field Size
Validation Rules
Publicly Displayed
Yes
≤ 100 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
APPLICABLE_MANUFACTURER_OR_APPLICAB
LE_GPO_MAKING_PAYMENT_NAME
CSV Field Name
Published as "Making Payment
Applicable Manufacturer or Applicable
GPO Name"
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
APPLICABLE_MANUFACTURER_OR_APPLICAB
LE_GPO_MAKING_PAYMENT_REGISTRATION
_ID
Published as Published as
"Applicable_Manufacturer_or_Applicable
_GPO_Making_Payment_ID"
System generated value only.
Validated against data type, format, and
field size (columns D, E, G)
No
HOME_SYSTEM_PAYMENT_ID
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Validated against data type, format, and
field size (columns D, E, G)
No
RESUBMITTED_PAYMENT_RECORD_ID
No notes
System generated value only.
If DE# 3 (Consolidated Report Indicator) =
“N”, the value provided for this data
element must be the same as the value
provided for DE# 1 (Applicable
Manufacturer or Applicable GPO Name).
40
32
41
32A
Applicable Manufacturer or Applicable
GPO
Making Payment Registration ID
Open Payments system-generated identifier for this Applicable Manufacturer or
Applicable GPO issued during the registration process.
Home System Payment ID
The identifier associated with the payment transaction in the Applicable Manufacturer
or Applicable GPO home system.
Text
Text
Resubmitted Payment Record ID
This data element will be blank for initial file submissions.
Numeric
System generated
42
33
43
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/transfer of value record ID (indicating which record is to be corrected). The
original payment/transfer of value record ID is provided by the Open Payments
system
Numeric
System generated
Yes
No
Yes IF
DE# 4 Resubmission File
Indicator = "Y", "R" or "D"
System generated
:
≤ 38 digits
≤ 50 Char
System generated
:
≤ 38 digits
Validated against data type, format, and
field size (columns D, E, G)
If DE# 3 (Consolidated Report Indicator) =
“N”, the value provided for this data
element must be the same as the value
provided for DE# 2 (Applicable
Manufacturer or Applicable GPO Registration
ID).
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
Additional Notes
Allowed Special Characters
11
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Yes
12 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
TOTAL_AMOUNT_OF_RESEARCH_PAYMENT_
U_S_DOLLARS
No notes
No, only values given in Format Column E are
allowed.
Yes
DATE_OF_PAYMENT
No notes
No, only values given in Format Column E are
allowed.
34
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)
9999999999.99
The value in this field cannot be 0.00. The
value entered must be greater than zero
dollars
44
34A
Date of Payment
If reporting a singular payment, report the actual date the payment was issued.
Date
YYYYMMDD
Yes
8 Char
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.
45
48
49
50
Is within correct reporting year
35
Form of Payment or Transfer of
Value
The method of payment used to pay the covered recipient or to make the transfer of
value.
Enumeration
"1" = Cash or cash
equivalent;
"2" = In-kind items and
services;
"3" = Stock, stock
option, or any other
ownership interest;
"4" = Dividend, profit or
other return on
investment
Yes
1 Char
Limited to numeric characters 1 through 4
Yes
FORM_OF_PAYMENT_OR_TRANSFER_OF_VAL
UE
No notes
No, only values given in Format Column E are
allowed.
36
Expenditure Category
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.
Enumeration
Format: X-XXX
"1" = Professional Salary
Support;
"2" = Medical Research
Writing or Publication;
"3" = Patient Care;
"4" = Non-patient Care;
"5" = Overhead;
"6" = Other
No
≤ 5 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
EXPENDITURE_CATEGORY
No notes
No, only values given in Format Column E are
allowed.
Format
Required?
Field Size
Validation Rules
Publicly Displayed
Yes
1 Char
Yes
PRE_CLINICAL_RESEARCH_INDICATOR
No notes
Yes
1 Char
Validates that only character "Y" or "N" is
provided
Validated against data type, format, and
field size (columns D, E, G)
Yes
DELAY_IN_PUBLICATION_OF_RESEARCH_PA
YMENT_INDICATOR
Delay in publication must be rerequested annually and can only be
requested for a total of four years. This
can be done by resubmitting the record
and requesting a delay in publication
again.
46
47
Validated against data type, format, and
field size (columns D, E, G)
Category number represented as a single
number (per the format column) followed
by the 2- or 3-digit percentage of the value
of that category for this payment (e.g., 190 or 1-100)
Research Related Information
DE #
Data Element Name
37
Pre-clinical Research Indicator
38
Delay in Publication of Research
Payment Indicator
Definition / Description
Indicator showing if payment or transfer of value is related to research, which is preclinical.
Indicator showing if an Applicable Manufacturer/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 product
(drug, device, biological, or medical supply) or (2) clinical investigation regarding a
new product (drug, device, biological, or medical supply).
Data Type
Boolean
Enumeration
Applicable Manufacturers/Applicable GPOs not requesting a delay in publication of a
payment or other transfer of value should select (3), not requesting a delay in
publication, to indicate that no delay is requested.
"Y" = Yes;
"N" = No
"1" = R&D on New
Product
"2" = Clinical
Investigation on New
Product
"3" = No Delay
Requested
CSV Field Name
39
Name of Study
The textual name of the study for which the Covered Recipient is receiving this
payment or transfer of value.
Text
Free form text
53
≤ 500 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
NAME_OF_STUDY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
40
Context of Research
Textual description of research context or research objectives.
Text
Free form text
No
≤ 500 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
CONTEXT_OF_RESEARCH
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
41
ClinicalTrials.Gov Identifier
Identifier assigned if research study is registered on ClinicalTrials.gov.
Text
11 character
alphanumeric, first 3
characters alpha
No
11 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
CLINICALTRIALS_GOV_IDENTIFIER
No notes
No, only values given in Format Column E are
allowed.
42
Research Information Link
Optional link to information relevant to the research study for which this payment or
transfer of value is being reported.
Text
Web URL
No
≤ 2083 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
RESEARCH_INFORMATION_LINK
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
54
55
Yes IF
DE# 37
Pre-clinical Research
Indicator = "N"
52
Allowed Special Characters
No, only values given in Format Column E are
allowed.
No, only values given in Format Column E are
allowed.
To determine if a record that has been
delayed in publication requires renewal
to remain delayed, go to the Review
Records page and select the payment
category to view. Use the filter tools on
the next page to search for records with
a "Delay in Publication" status of
"Renew."
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.
51
Additional Notes
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
12
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
Yes
1 Char
Validates that only character "Y" or "N" is
provided
No
PRINCIPAL_INVESTIGATOR_COVERED_RECI
PIENT_PHYSICIAN_INDICATOR
No notes
No, only values given in Format Column E are
allowed.
43
Principal Investigator Covered
Recipient Physician Indicator
Indicator showing if the payment or other transfer of value is associated with a
research study that employed at least one Principal Investigator who is a covered
recipient physician in addition to the covered recipient who received the payment.
Boolean
"Y" = Yes;
"N" = No
If there is a covered recipient principal
investigator, set this field to "Y" and enter
identifying information for at least one
covered recipient Principal Investigator in
the fields below. Up to five (5) Principal
Investigator covered recipient physicians
can be entered. The principal
investigator(s) entered must be unique
individuals. The individual identified as the
covered recipient physician cannot be
entered as a principal investigator. If the
Covered Recipient Type (DE#6) is set to "3"
or "4," the Principal Investigator Covered
Recipient Physician Indicator must be set to
"Y."
If there is not a covered recipient principal
investigator, set this field to “N” and do not
enter any information in the Principal
Investigator fields below
If the covered recipient physician receiving
the payment is also the only Principal
Investigator, set this field to “N.” You do not
56
44
Principal Investigator First Name
Textual first name of the Principal Investigator(s) of the research study, if the Principal
Investigator is a Covered Recipient Physician.
Text
Free form text
45
Principal Investigator Middle Name
Textual middle initial or middle name of the Principal Investigator of the research
study, if the Principal Investigator is a Covered Recipient Physician.
Text
Free form text
46
Principal Investigator Last Name
Textual last name of the Principal investigator of the research study, if the Principal
Investigator is a Covered Recipient Physician.
Text
47
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.
48
Principal Investigator Business Street
Address Line 1
49
Principal Investigator Business Street
Address Line 2
50
Principal Investigator City
51
Principal Investigator State
57
58
59
60
61
Yes
IF
DE# 43, "Principal
Investigator Physician
Covered Recipient Indicator"
= "Y"
No
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_FIRST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_MIDDLE_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Free form text
Yes
IF
DE# 43, "Principal
Investigator Physician
Covered Recipient Indicator"
= "Y"
≤ 35 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_LAST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Text
Free form text
No
≤ 5 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_NAME_SUFFIX
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
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
DE# 43, "Principal
Investigator Physician
Covered Recipient Indicator"
= "Y"
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_BUSINESS_STR
EET_ADDRESS_LINE_1
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
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
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_BUSINESS_STR
EET_ADDRESS_LINE_2
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Text
Free form text
Yes IF
DE# 43, "Principal
Investigator Physician
Covered Recipient Indicator"
= "Y"
≤ 40 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_CITY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
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
DE# 43, "Principal
Investigator Physician
Covered Recipient Indicator"
= "Y"
AND
Recipient Country, DE# 53 is
the United States
2 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_STATE
No notes
No, only values given in Format Column E are
allowed.
62
63
64
Limited to list of state abbreviations and
territories per US Postal Service
52
Principal Investigator Zip Code
The 5- or 9-digit zip code of the primary business address location of the Principal
investigator of the research study, if the primary practice address is in the United
States.
Numeric
9 digit numeric zip code
Yes IF
DE# 43, "Principal
Investigator Physician
Covered Recipient Indicator"
= "Y"
AND
Recipient Country, DE# 53 is
the United States
≤ 9 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_ZIP_CODE
No notes
No, only numeric values are allowed.
53
Principal Investigator Country
The primary business address country name of the Principal investigator of the
research study.
Text
Free form text
Yes IF
DE# 43, "Principal
Investigator Physician
Covered Recipient Indicator"
= "Y"
2 Char
* For US only, you
can enter US or
United States
Must be exactly 2 char abbreviation of
country
* For US only, you can enter US or United
States
Yes
PRINCIPAL1_INVESTIGATOR_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
65
66
The primary business address city of the Principal investigator of the research study.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
13
Research Payment
2
67
68
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
54
Principal Investigator Province
The primary business address province name of the Principal investigator of the
research study, if the primary practice address is outside the United States.
Text
Free form text
No
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
55
Principal Investigator Postal Code
The international postal code of the primary business location of the Principal
investigator of the research study if the primary practice address is outside the United
States.
Text
Alphanumeric
Yes IF
Principal Investigator Country
DE# 53 is outside the United
States
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL1_INVESTIGATOR_POSTAL_CODE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
56
Principal Investigator Physician
Primary Type
Primary type of medicine practiced by the Principal Investigator.
Enumeration
"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
DE# 43, "Principal
Investigator Physician
Covered Recipient Indicator"
= "Y"
1 Char
Allowed values limited to "1", "2", "3", "4",
"5", or "6"
Yes
PRINCIPAL1_INVESTIGATOR_PHYSICIAN_PR
IMARY_TYPE
No notes
No, only values given in Format Column E are
allowed.
57
Principal Investigator NPI
Individual NPI for Principal Investigator if Principal Investigator is a Physician (not the
NPI of any group the physician belongs to). Required, if applicable.
Numeric
Numeric digits only
Yes IF
10 Char
Validated against data type, format, and
field size (columns D, E, G)
No
PRINCIPAL1_INVESTIGATOR_NPI
No notes
No, only numeric values are allowed.
PRINCIPAL1_INVESTIGATOR_SPECIALTY
Refer to the Open Payments Physician
Taxonomy Code list on the CMS Open
Payments website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
PRINCIPAL1_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_1
PRINCIPAL1_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_2
PRINCIPAL1_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_3
PRINCIPAL1_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_4
PRINCIPAL1_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_5
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
69
70
71
72
73
74
the Physician has an NPI
Validated against CMS-approved data
sources
58
Principal Investigator Specialty
Taxonomy code for Principal Investigator's specialty, chosen from "provider
taxonomy" code list.
Text
Text from Standardized
Selection
Yes
IF
DE# 43, "Principal
Investigator Physician
Covered Recipient Indicator"
= "Y"
10 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
59
Principal Investigator License State
and License Number
Paired state and state license number of the Principal Investigator, who is a physician
covered recipient. May include up to 5 "Physician License State and License Number"
pairs.
D
Text
Maximum of 5 unique
pairs of the state and
license number:
AA9999999999999999999
999999
Yes
IF
DE# 43, "Principal
Investigator Physician
Covered Recipient Indicator"
= "Y"
≤ 28 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
Proper length and format validated for each
state
The pairing includes the 2 letter state
abbreviation, followed by a hyphen,
followed by the state license number
Multiple Principal Investigators: For DE# 60-123, 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 in DE# 44-59.
DE #
Required?
Field Size
Validation Rules
Publicly Displayed
60
Principal Investigator First Name
Data Element Name
Textual first name of the Principal Investigator(s) of the research study; required, if
the Principal Investigator is a Covered Recipient Physician.
Text
Free form text
No, unless indicating multiple
Principal Investigators
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_FIRST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
61
Principal Investigator Middle Name
Textual middle initial or middle 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
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_MIDDLE_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
62
Principal Investigator Last Name
Textual 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
≤ 35 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_LAST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
63
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
≤ 5 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_NAME_SUFFIX
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
64
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
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_BUSINESS_STR
EET_ADDRESS_LINE_1
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
65
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, unless indicating multiple
Principal Investigators
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_BUSINESS_STR
EET_ADDRESS_LINE_2
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
66
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
≤ 40 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_CITY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
75
Definition / Description
Data Type
Format
CSV Field Name
Additional Notes
Allowed Special Characters
76
77
78
79
80
81
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
14
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
67
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
2 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_STATE
No notes
No, only values given in Format Column E are
allowed.
68
Principal Investigator Zip Code
The 5- or 9-digit zip code of the primary business address location of the Principal
investigator of the research study, if the primary practice address is in the United
States.
Numeric
9 digit numeric zip code
No, unless indicating multiple
Principal Investigators
≤ 9 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_ZIP_CODE
No notes
No, only numeric values are allowed.
69
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
2 Char
* For US only, you
can enter US or
United States
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
PRINCIPAL2_INVESTIGATOR_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
82
83
84
Must be exactly 2 char abbreviation of
country
* For US only, you can enter US or United
States
Validated against data type, format, and
field size (columns D, E, G)
70
Principal Investigator Province
The primary business address province name of the Principal investigator of the
research study, if the primary practice address is outside the United States.
Text
Free form text
No
≤ 20 Char
71
Principal Investigator Postal Code
The international postal code of the primary business location of the Principal
investigator of the research study if the primary practice address is outside the United
States.
Text
Alphanumeric
No, unless indicating multiple
Principal Investigators and
Principal Investigator Country
DE# 69 is outside the United
States
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_POSTAL_CODE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
72
Principal Investigator Physician
Primary Type
Primary type of medicine practiced by the Principal Investigator.
Enumeration
"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
1 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_PHYSICIAN_PR
IMARY_TYPE
No notes
No, only values given in Format Column E are
allowed.
73
Principal Investigator NPI
Individual NPI for Principal Investigator if the Principal Investigator is a Physician (not
NPI of any group physician belonging to). Required, if the physician has an NPI.
Numeric
Numeric digits only
No, unless indicating multiple
Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
No
PRINCIPAL2_INVESTIGATOR_NPI
No notes
No, only numeric values are allowed.
74
Principal Investigator Specialty
Taxonomy code for Principal Investigator's specialty, chosen from "provider
taxonomy" code list.
Text
Text from Standardized
Selection
No, unless indicating multiple
Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL2_INVESTIGATOR_SPECIALTY
Refer to the Open Payments Physician
Taxonomy Code list on the CMS Open
Payments website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
75
Principal Investigator License State
and License Number
Paired state and state license number of the Principal Investigator, who is a physician
covered recipient. May include up to 5 "Physician License State and License Number"
pairs.
Text
Maximum of 5 unique
pairs of the state and
license number:
AA9999999999999999999
999999
No, unless indicating multiple
Principal Investigators
≤ 28 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
PRINCIPAL2_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_1
PRINCIPAL2_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_2
PRINCIPAL2_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_3
PRINCIPAL2_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_4
PRINCIPAL2_INVESTIGATOR_LICENSE_STAT
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
85
86
87
88
89
90
The pairing includes the 2 letter state
abbreviation, followed by a hyphen,
followed by the state license number
76
Principal Investigator First Name
Textual first name of the Principal Investigator(s) of the research study, if the Principal
Investigator is a Covered Recipient Physician.
Text
Free form text
No, unless indicating multiple
Principal Investigators
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_FIRST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
77
Principal Investigator Middle Name
Textual middle initial or middle 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
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_MIDDLE_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
78
Principal Investigator Last Name
Textual 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
≤ 35 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_LAST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
79
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
≤ 5 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_NAME_SUFFIX
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
80
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
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_BUSINESS_STR
EET_ADDRESS_LINE_1
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
81
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, unless indicating multiple
Principal Investigators
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_BUSINESS_STR
EET_ADDRESS_LINE_2
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
82
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
≤ 40 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_CITY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
91
92
93
94
95
96
97
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
15
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
83
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
2 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_STATE
No notes
No, only values given in Format Column E are
allowed.
84
Principal Investigator Zip Code
The 5- or 9-digit zip code of the primary business address location of the Principal
investigator of the research study, if the primary practice address is in the United
States.
Numeric
9 digit numeric zip code
No, unless indicating multiple
Principal Investigators
≤ 9 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_ZIP_CODE
No notes
No, only numeric values are allowed.
85
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
2 Char
* For US only, you
can enter US or
United States
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
PRINCIPAL3_INVESTIGATOR_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
98
99
100
86
Principal Investigator Province
The primary business address province name of the Principal investigator of the
research study, if the primary practice address is outside the United States.
Text
Free form text
No
≤ 20 Char
87
Principal Investigator Postal Code
The international postal code of the primary business location of the Principal
investigator of the research study if the primary practice address is outside the United
States.
Text
Alphanumeric
No, unless indicating multiple
Principal Investigators and
Principal Investigator Country
DE# 85 is outside the United
States
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_POSTAL_CODE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
88
Principal Investigator Physician
Primary Type
Primary type of medicine practiced by the Principal Investigator.
Enumeration
"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
1 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_PHYSICIAN_PR
IMARY_TYPE
No notes
No, only values given in Format Column E are
allowed.
89
Principal Investigator NPI
Individual NPI for Principal Investigator if the Principal Investigator is a Physician (not
NPI of any group physician belonging to). Required, if the physician has an NPI.
Numeric
Numeric digits only
No, unless indicating multiple
Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
No
PRINCIPAL3_INVESTIGATOR_NPI
No notes
No, only numeric values are allowed.
90
Principal Investigator Specialty
Taxonomy code for Principal Investigator's specialty, chosen from "provider
taxonomy" code list.
Text
Text from Standardized
Selection
No, unless indicating multiple
Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL3_INVESTIGATOR_SPECIALTY
Refer to the Open Payments Physician
Taxonomy Code list on the CMS Open
Payments website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
91
Principal Investigator License State
and License Number
Paired state and state license number of the Principal Investigator, who is a physician
covered recipient. May include up to 5 "Physician License State and License Number"
pairs.
Text
Maximum of 5 unique
pairs of the state and
license number:
AA9999999999999999999
999999
No, unless indicating multiple
Principal Investigators
≤ 28 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
PRINCIPAL3_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_1
PRINCIPAL3_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_2
PRINCIPAL3_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_3
PRINCIPAL3_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_4
PRINCIPAL3_INVESTIGATOR_LICENSE_STAT
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
101
102
103
104
105
106
107
Must be exactly 2 char abbreviation of
country
* For US only, you can enter US or United
States
Validated against data type, format, and
field size (columns D, E, G)
The pairing includes the 2 letter state
abbreviation, followed by a hyphen,
followed by the state license number
92
Principal Investigator First Name
Textual first name of the Principal Investigator(s) of the research study, if the Principal
Investigator is a Covered Recipient Physician.
Text
Free form text
No, unless indicating multiple
Principal Investigators
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_FIRST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
93
Principal Investigator Middle Name
Textual middle initial or middle 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
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_MIDDLE_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
94
Principal Investigator Last Name
Textual 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
≤ 35 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_LAST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
95
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
≤ 5 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_NAME_SUFFIX
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
96
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
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_BUSINESS_STR
EET_ADDRESS_LINE_1
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
97
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, unless indicating multiple
Principal Investigators
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_BUSINESS_STR
EET_ADDRESS_LINE_2
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
98
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
≤ 40 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_CITY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
108
109
110
111
112
113
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
16
Research Payment
2
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
99
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
2 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_STATE
No notes
No, only values given in Format Column E are
allowed.
100
Principal Investigator Zip Code
The 5- or 9-digit zip code of the primary business address location of the Principal
investigator of the research study, if the primary practice address is in the United
States.
Numeric
9 digit numeric zip code
No, unless indicating multiple
Principal Investigators
≤ 9 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_ZIP_CODE
No notes
No, only numeric values are allowed.
101
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
2 Char
* For US only, you
can enter US or
United States
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
PRINCIPAL4_INVESTIGATOR_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
114
115
116
Must be exactly 2 char abbreviation of
country
* For US only, you can enter US or United
States
Validated against data type, format, and
field size (columns D, E, G)
102
Principal Investigator Province
The primary business address province name of the Principal investigator of the
research study, if the primary practice address is outside the United States.
Text
Free form text
No
≤ 20 Char
103
Principal Investigator Postal Code
The international postal code of the primary business location of the Principal
investigator of the research study if the primary practice address is outside the United
States.
Text
Alphanumeric
No, unless indicating multiple
Principal Investigators and
Principal Investigator Country
DE# 101 is outside the
United States
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_POSTAL_CODE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
104
Principal Investigator Physician
Primary Type
Primary type of medicine practiced by the Principal Investigator.
Enumeration
"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
1 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_PHYSICIAN_PR
IMARY_TYPE
No notes
No, only values given in Format Column E are
allowed.
105
Principal Investigator NPI
Individual NPI for Principal Investigator if the Principal Investigator is a Physician (not
NPI of any group physician belonging to). Required, if the physician has an NPI.
Numeric
Numeric digits only
No, unless indicating multiple
Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
No
PRINCIPAL4_INVESTIGATOR_NPI
No notes
No, only numeric values are allowed.
106
Principal Investigator Specialty
Taxonomy code for Principal Investigator's specialty, chosen from "provider
taxonomy" code list.
Text
Text from Standardized
Selection
No, unless indicating multiple
Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL4_INVESTIGATOR_SPECIALTY
Refer to the Open Payments Physician
Taxonomy Code list on the CMS Open
Payments website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
107
Principal Investigator License State
and License Number
Paired state and state license number of the Principal Investigator, who is a physician
covered recipient. May include up to 5 "Physician License State and License Number"
pairs.
Text
Maximum of 5 unique
pairs of the state and
license number:
AA9999999999999999999
999999
No, unless indicating multiple
Principal Investigators
≤ 28 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
PRINCIPAL4_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_1
PRINCIPAL4_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_2
PRINCIPAL4_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_3
PRINCIPAL4_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_4
PRINCIPAL4_INVESTIGATOR_LICENSE_STAT
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
117
118
119
120
121
122
The pairing includes the 2 letter state
abbreviation, followed by a hyphen,
followed by the state license number
108
Principal Investigator First Name
Textual first name of the Principal Investigator(s) of the research study, if the Principal
Investigator is a Covered Recipient Physician.
Text
Free form text
No, unless indicating multiple
Principal Investigators
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_FIRST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
109
Principal Investigator Middle Name
Textual middle initial or middle 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
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_MIDDLE_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
110
Principal Investigator Last Name
Textual 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
≤ 35 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_LAST_NAME
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
111
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
≤ 5 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_NAME_SUFFIX
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
112
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
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_BUSINESS_STR
EET_ADDRESS_LINE_1
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
113
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, unless indicating multiple
Principal Investigators
≤ 55 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_BUSINESS_STR
EET_ADDRESS_LINE_2
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
114
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
≤ 40 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_CITY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
115
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
2 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_STATE
No notes
No, only values given in Format Column E are
allowed.
123
124
125
126
127
128
129
130
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
17
Research Payment
2
131
132
A
B
C
D
E
F
G
H
I
J
K
L
DE #
Data Element Name
Definition / Description
Data Type
Format
Required?
Field Size
Validation Rules
Publicly Displayed
CSV Field Name
Additional Notes
Allowed Special Characters
116
Principal Investigator Zip Code
The 5- or 9-digit zip code of the primary business address location of the Principal
investigator of the research study, if the primary practice address is in the United
States.
Numeric
9 digit numeric zip code
No, unless indicating multiple
Principal Investigators
≤ 9 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_ZIP_CODE
No notes
No, only numeric values are allowed.
117
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
2 Char
* For US only, you
can enter US or
United States
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_COUNTRY
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
Yes
PRINCIPAL5_INVESTIGATOR_PROVINCE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
118
Principal Investigator Province
The primary business address province name of the Principal investigator of the
research study, if the primary practice address is outside the United States.
Text
Free form text
No
≤ 20 Char
119
Principal Investigator Postal Code
The international postal code of the primary business location of the Principal
investigator of the research study if the primary practice address is outside the United
States.
Text
Alphanumeric
No, unless indicating multiple
Principal Investigators and
Principal Investigator Country
DE# 117 is outside the
United States
≤ 20 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_POSTAL_CODE
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
120
Principal Investigator Physician
Primary Type
Primary type of medicine practiced by the Principal Investigator.
Enumeration
"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
1 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_PHYSICIAN_PR
IMARY_TYPE
No notes
No, only values given in Format Column E are
allowed.
121
Principal Investigator NPI
Individual NPI for Principal Investigator if the Principal Investigator is a Physician (not
NPI of any group physician belonging to). Required, if the physician has an NPI.
Numeric
Numeric digits only
No, unless indicating multiple
Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
No
PRINCIPAL5_INVESTIGATOR_NPI
No notes
No, only numeric values are allowed.
122
Principal Investigator Specialty
Taxonomy code for Principal Investigator's specialty, chosen from "provider
taxonomy" code list.
Text
Text from Standardized
Selection
No, unless indicating multiple
Principal Investigators
10 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes
PRINCIPAL5_INVESTIGATOR_SPECIALTY
Refer to the Open Payments Physician
Taxonomy Code list on the CMS Open
Payments website for a list of accepted
taxonomy codes.
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
123
Principal Investigator License State
and License Number
Paired state and state license number of the Principal Investigator, who is a physician
covered recipient. May include up to 5 "Physician License State and License Number"
pairs.
Alphanumeric
Maximum of 5 unique
pairs of the state and
license number:
AA9999999999999999999
999999
No, unless indicating multiple
Principal Investigators
≤ 28 Char
Validated against data type, format, and
field size (columns D, E, G)
Yes, for the State
AND
No, for the License #
PRINCIPAL5_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_1
PRINCIPAL5_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_2
PRINCIPAL5_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_3
PRINCIPAL5_INVESTIGATOR_LICENSE_STAT
E_AND_LICENSE_NUMBER_4
PRINCIPAL5_INVESTIGATOR_LICENSE_STAT
No notes
All special characters listed in the "Allowed
Special Characters" tab of this spreadsheet.
133
134
135
Must be exactly 2 char abbreviation of
country
* For US only, you can enter US or United
States
Validated against data type, format, and
field size (columns D, E, G)
136
137
The pairing includes the 2 letter state
abbreviation, followed by a hyphen,
followed by the state license number
138
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
18
Physician Ownership
2
A
B
DE #
Data Element
Name
1
Applicable Manufacturer or
Applicable GPO Name
C
Definition / Description
Textual proper name of either the Submitting Applicable Manufacturer or Submitting
Applicable Group Purchasing Organization (GPO).
D
E
Data Type
Text
Format
Free form text
F
G
H
Required? Field Size Validation Rules
Yes
≤ 100 Char
If this submission file contains records of payment(s) and/or other transfer(s) of value made
by only one Applicable Manufacturer/Applicable GPO, enter that Applicable
Manufacturer’s/Applicable GPO’s name in this data field for all records in the submission file.
Validated against data
type, format, and field
size (columns D, E, G)
I
Publicly
Displayed
J
CSV Field Name
K
L
Additional Notes
Allowed Special
Characters
Yes
APPLICABLE_MANUFACTURER_OR_APP
LICABLE_GPO_NAME
Published as "Submitting
Applicable Manufacturer
or Applicable GPO Name"
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
No
APPLICABLE_MANUFACTURER_OR_APP
LICABLE_GPO_ID
No notes
System generated value only.
For more information on
Consolidated Reporting,
consult the Quick
Reference Guide on
Consolidated Reporting,
located on the CMS Open
Payments website
No notes
No, only values given in
Format Column E are allowed.
This field is no longer
collected by Open
Payments and is replaced
by Home System
Payment ID data element
24A.
N/A
Match the name on file
for associated
Registration ID
If this submission file contains records of payment(s) and/or other transfer(s) of value from
multiple Applicable Manufacturers/Applicable GPOs, enter the name of the Applicable
Manufacturer/Applicable GPO submitting the consolidated report in this field. The name of
the Applicable Manufacturer/Applicable GPO that made the payment for each record is
entered in the “Applicable Manufacturer or Applicable GPO Making Payment Name” (DE#23)
field of that record.
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).
Numeric
System generated
Yes
If this submission file contains records of payment(s) and/or other transfers of value made
by only one Applicable Manufacturer/Applicable GPO, enter that Applicable
Manufacturer’s/Applicable GPO’s Registration ID in this data field for all records in the
submission file.
System
generated :
≤ 38 digits
Validated against data
type, format, and field
size (columns D, E, G)
Match the Registration ID
on file
If this submission file contains records of payment(s) and/or other transfer(s) of value from
multiple Applicable Manufacturers/Applicable GPOs, enter the Record ID to be entered of
the Applicable Manufacturer/Applicable GPO submitting the consolidated report. The Record
ID of the Applicable Manufacturer/Applicable GPO that made the payment for each record is
entered in the “Applicable Manufacturer or Applicable GPO Making Payment Registration ID”
(DE#24) field of that record.
4
3
Consolidated Report
Indicator
Indicator showing if this submission file constitutes a Consolidated Report.
Boolean
"Y" = Yes;
"N" = No
Yes
1 Char
Limited to characters "Y"
or "N"
No
CONSOLIDATED_REPORT_INDICATOR
4
Resubmission File Indicator
Indicator showing if this submission file contains payment(s) and/or other transfer(s) of
value that are all new records, amended or corrected versions of previously submitted
records, or previously submitted records that you now wish to delete.
Enumeration
"N" = New Submission
"Y" = Resubmission
"D" = Delete
Yes
1 Char
Validates that only
character "N","Y", or "D"
is provided
No
RESUBMISSION_FILE_INDICATOR
5
No, only values given in
Format Column E are allowed.
If "D" is provided, only
DE# 2, 3, 4, 24, and 25
are required for the
record. All other fields are
optional.
All records in a file must
have the same value in
6
5
Original File Submission ID
This field is no longer collected by Open Payments and is replaced by Home System
Payment ID data element 24A.
7
8
9
10
This field is no
longer collected
by Open
Payments and
is replaced by
Home System
Payment ID
data element
24A.
This field is no longer
collected by Open
Payments and is
replaced by Home
System Payment ID
data element 24A.
This field is no
longer collected
by Open
Payments and is
replaced by
Home System
Payment ID data
element 24A.
This field is no
longer collected
by Open
Payments and is
replaced by
Home System
Payment ID
data element
24A.
This field is no longer
collected by Open
Payments and is replaced
by Home System
Payment ID data element
24A.
This field is no longer
collected by Open
Payments and is
replaced by Home
System Payment ID
data element 24A.
This field is no longer collected by
Open Payments and is replaced by
Home System Payment ID data
element 24A.
Submission Record Information (all sections from here to end of the table contain data elements that are reported once per physician ownership/investment record)
Physician Demographic Information
DE #
Data Element
Name
Definition / Description
Data Type
Format
Required? Field Size Validation Rules
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
Publicly
Displayed
CSV Field Name
Additional Notes
Allowed Special
Characters
19
Physician Ownership
2
A
B
DE #
Data Element
Name
6
Ownership/Investment
Physician's First Name
C
Definition / Description
Textual first name of the physician with the ownership or investment interest being
reported.
D
E
Data Type
Text
Format
Free form text
F
G
Required? Field Size Validation Rules
Yes
≤ 20 Char
If applicable, report the value for this data element as listed in the National Plan & Provider
Enumeration System (NPPES).
11
H
Validated against data
type, format, and field
size (columns D, E, G)
I
Publicly
Displayed
J
CSV Field Name
K
L
Additional Notes
Allowed Special
Characters
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_FIRST_NAME
No notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
Validated against CMSapproved data sources
Applicable GPOs cannot
submit general or
research payment records
for physicians without
submitting an
ownership/investment
interest record about that
7
Ownership/Investment
Physician's Middle Name
Textual middle initial or middle name of the physician with the ownership or investment
interest being reported.
8
Ownership/Investment
Physician's Last Name
If applicable, report the value for this data element as listed in the National Plan & Provider
Enumeration System (NPPES)
Textual last name of the physician with the ownership or investment interest being
reported.
12
Text
Free form text
No
≤ 20 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_MIDDLE_NAME
No notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
Text
Free form text
Yes
≤ 35 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_LAST_NAME
No notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
Text
Free form text
No
≤ 5 Char
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_NAME_SUFFIX
No notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
If applicable, report the value for this data element as listed in the National Plan & Provider
Enumeration System (NPPES).
13
9
Ownership/Investment
Physician's Name Suffix
Name suffix of the physician with the ownership or investment interest being reported.
If applicable, report the value for this data element as listed in the National Plan & Provider
Enumeration System (NPPES).
Validated against CMSapproved data sources
Validated against data
type, format, and field
size (columns D, E, G)
14
15
16
10
Ownership/Investment
Physician's 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
≤ 55 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_BUSINESS_STREET_ADDRESS_LIN
E_1
No notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
11
Ownership/Investment
Physician's 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
≤ 55 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_BUSINESS_STREET_ADDRESS_LIN
E_2
No notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
12
Ownership/Investment
Physician's City
The primary practice city of the physician with the ownership or investment interest being
reported.
Text
Free form text
Yes
≤ 40 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_CITY
No notes
13
Ownership/Investment
Physician's State
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.
Enumeration
2 character U.S. state
or territory alpha
abbreviation
Yes IF
2 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_STATE
No notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet
No, only values given in
Format Column E are allowed.
17
18
DE# 15
Ownership/Inves
tment
Physician's
Country = "US"
or "United
States"
Limited to list of state
abbreviations and
territories
IF DE# 15 is any
other value, this
field must be
blank.
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
29
Physician Ownership
2
A
B
DE #
Data Element
Name
14
19
20
Ownership/Investment
Physician's Zip Code
C
Definition / Description
The 5- or 9-digit zip code for the primary practice location of the physician with the
ownership or investment interest being reported, if the primary practice address is in the
United States.
D
E
Data Type
Numeric
Format
9 digit numeric zip code
F
G
H
Required? Field Size Validation Rules
Yes IF
≤ 9 Char
DE# 15
Ownership/Inves
tment
Physician's
Country = "US"
or "United
States"
Validated against data
type, format, and field
size (columns D, E, G)
I
Publicly
Displayed
J
CSV Field Name
K
L
Additional Notes
Allowed Special
Characters
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_ZIP_CODE
No notes
No, only numeric values are
allowed.
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
S_COUNTRY
No notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
Either exactly 5 or exactly
9 numeric digits
IF DE# 15 is any
other value, this
field must be
15
Ownership/Investment
Physician' s Country
The primary practice/business address country name of the physician with the ownership or
investment interest being reported.
Text
Free form text
16
Ownership/Investment
Physician's 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
17
Ownership/Investment
Physician's Postal Code
The international postal code for the primary practice/business location of the physician with
the ownership or investment interest being reported, if the primary practice/business
address is outside the United States.
Text
Alphanumeric
21
Yes
2 Char
* For US only,
you can enter
US or United
States
Validated against data
type, format, and field
size (columns D, E, G)
Must be exactly 2 char
abbreviation of country
* For US only, you can
enter US or United States
No
≤ 20 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
PROVINCE
No notes
Yes IF
≤ 20 Char
Validated against data
type, format, and field
size (columns D, E, G)
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_POSTAL_CODE
No notes
No
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_EMAIL_ADDRESS
No notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_PRIMARY_TYPE
No notes
No, only values given in
Format Column E are allowed.
No
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_OR_TEACHING_HOSPITAL_NPI
No notes
No, only numeric values are
allowed.
Yes
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_SPECIALTY
Refer to the Open
Payments Physician
Taxonomy Code list on
the CMS Open Payments
website for a list of
accepted taxonomy
codes
None
DE# 15
Ownership/Inves
tment
Physician's
Country is
outside the
United States
Proper length and format
validated for each country
IF DE# 15 =
"US" or "United
States", this
field must be
22
18
Ownership/Investment
Physician's Email Address
The primary email address of the physician with the ownership or investment interest being
reported.
Text
Email Address
No
≤ 100 Char
19
Ownership/Investment
Physician's Primary Type
Primary type of medicine practiced by the physician with the ownership or investment
interest being reported.
Enumeration
"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
1 Char
20
Ownership/Investment
Physician's NPI
Individual NPI for the Physician (not the NPI of any group the physician belongs to)
D
Text
Numeric digits only
Yes if Physician
has an NPI
10 Char
21
Ownership/Investment
Physician's Specialty
Taxonomy code for the physician's specialty, chosen from the standardized "provider
taxonomy" code list.
Text
Text from Standardized
Selection
Yes
10 Char
23
Validated against data
type, format, and field
size (columns D, E, G)
Proper email format
enforced
Allowed values limited to
"1", "2", "3", "4", "5", or
"6"
24
25
Validated against data
type, format, and field
size (columns D, E, G)
Validated against CMSapproved data sources
Validated against data
type, format, and field
size (columns D, E, G)
26
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
21
Physician Ownership
2
A
B
DE #
Data Element
Name
22
Ownership/Investment
Physician's License State
and License Number
C
Definition / Description
Paired state and official state license number of the physician with the ownership or
investment interest being reported. May include up to 5 "Physician License State and
License Number" pairs, if a physician is licensed in multiple states.
D
E
Data Type
Text
Format
Maximum of 5 unique
pairs of the state and
license number:
AA9999999999999999999
999999
F
G
H
Required? Field Size Validation Rules
Yes
≤ 28 Char
Validated against data
type, format, and field
size (columns D, E, G)
I
Publicly
Displayed
No
Proper length and format
validated for each state
The pairing includes the 2
letter state abbreviation,
followed by a hyphen,
followed by the state
license number
27
28
29
Ownership/Investment Information
DE #
23
Data Element
Name
Applicable Manufacturer or
Applicable GPO Reporting
Ownership Name
Definition / Description
Textual proper name of either the Applicable Manufacturer or Applicable GPO reporting the
ownership or investment interest being reported in this record.
Data Type
Text
Format
Free form text
Required? Field Size Validation Rules
Yes
≤ 100 Char
Validated against data
type, format, and field
size (columns D, E, G)
Publicly
Displayed
J
CSV Field Name
K
L
Additional Notes
Allowed Special
Characters
OWNERSHIP_INVESTMENT_PHYSICIAN No notes
_S_LICENSE_STATE_AND_LICENSE_NU
MBER_1
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_LICENSE_STATE_AND_LICENSE_NU
MBER_2
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_LICENSE_STATE_AND_LICENSE_NU
MBER_3
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_LICENSE_STATE_AND_LICENSE_NU
MBER_4
OWNERSHIP_INVESTMENT_PHYSICIAN
_S_LICENSE_STATE_AND_LICENSE_NU
CSV Field Name
Additional Notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
Allowed Special
Characters
Yes
APPLICABLE_MANUFACTURER_OR_APP No notes
LICABLE_GPO_REPORTING_OWNERSHI
P_NAME
Yes
System generated value only.
APPLICABLE_MANUFACTURER_OR_APP
Published as
LICABLE_GPOREPORTING_OWNERSHIP "Applicable_Manufacturer
_REGISTRATION_ID
_or_Applicable_GPO_Maki
ng_Payment_ID"
Matches Applicable
/Applicable GPO names
specified at registration
for associated
Registration IDs
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet.
If DE# 3 (Consolidated
Report Indicator) = “N”,
the value provided for
this data element must
be the same as the value
provided for DE# 1
(Applicable Manufacturer
or Applicable GPO Name).
30
24
Applicable Manufacturer or
Applicable GPO Reporting
Ownership Registration ID
Open Payments system-generated identifier for this Applicable Manufacturer or Applicable
GPO issued during the registration process.
Numeric
System generated
Yes
System
generated :
≤ 38 digits
Validated against data
type, format, and field
size (columns D, E, G)
Matches Registration
ID(s) on file
If DE# 3 (Consolidated
Report Indicator) = “N”,
the value provided for
this data element must
be the same as the value
provided for DE# 2
(Applicable Manufacturer
or Applicable GPO
Registration ID).
31
24A
Home System Payment ID
The identifier associated with the payment transaction in the Applicable Manufacturer or
Applicable GPO home system
Text
Text
Resubmitted Ownership
Record ID
This data element will be blank for initial file submissions.
Numeric
System generated
No
≤ 50 Char
Validated against data
type, format, and field
size (columns D, E, G)
No
HOME_SYSTEM_PAYMENT_ID
No notes
Yes IF
System
generated :
≤ 38 digits
Validated against data
type, format, and field
size (columns D, E, G)
No
RESUBMITTED_PAYMENT_RECORD_ID
No notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet
System generated value only.
Yes
INTEREST_HELD_BY_PHYSICIAN_OR_A No notes
N_IMMEDIATE_FAMILY_MEMBER
No, only values given in
Format Column E are allowed.
32
25
DE# 4
Resubmission
File Indicator =
"Y" or "D"
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.
If reported, matches
Initial Payment Record ID
for given Original File
Submission ID
33
26
34
Interest Held by Physician
or an Immediate Family
Member
Indicator showing if the ownership or investment interest is held by the physician
themselves or by an immediate family member.
Enumeration
"1" = Physician
Covered Recipient;
"2" = Immediate family
member
Yes
1 Char
Validated against data
type, format, and field
size (columns D, E, G)
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
22
Physician Ownership
2
A
B
DE #
Data Element
Name
27
Dollar Amount Invested
C
Definition / Description
For Ownership interests:
D
E
Data Type
Fixed point
Format
Currency (US dollars)
9999999999.99
F
G
H
Required? Field Size Validation Rules
Yes
12 Char
The total dollar value, in US dollars, of the ownership interest gained by the physician (or
the physician’s immediate family members) in the Applicable Manufacturer or Applicable
GPO during the reporting year only. Value reported should be for the entire calendar year.
Validated against data
type, format, and field
size (columns D, E, G)
I
Publicly
Displayed
J
CSV Field Name
K
L
Additional Notes
Allowed Special
Characters
Yes
DOLLAR_AMOUNT_INVESTED
No notes
No, only values given in
Format Column E are allowed.
Yes
VALUE_OF_INTEREST
No notes
No, only values given in
Format Column E are allowed.
Yes
TERMS_OF_INTEREST
No notes
All special characters listed in
the "Allowed Special
Characters" tab of this
spreadsheet
The dollar amount
invested cannot be 0.00 if
the Value of Interest
(DE#28) is also 0.00.
For Investment interests:
The total dollar amount, in US dollars, the physician (or the physician’s immediate family
members) has invested in the Applicable Manufacturer or Applicable GPO during the
reporting year only. Value reported should be for the entire calendar year.
35
28
Value of Interest
Convert values to US dollar currency if necessary.
The current cumulative value, in US dollars, of ownership or investment interest held by the
physician (or the physician’s immediate family members) in the Applicable Manufacturer or
Applicable GPO as of the most recent feasible valuation date preceding the reporting date.
Please note that this amount represents the cumulative current value of all ownership or
investment interests held by the physician (or the physician’s immediate family members in
the Applicable Manufacturer or Applicable GPO.
Fixed point
Currency (US dollars)
9999999999.99
Yes
12 Char
Validated against data
type, format, and field
size (columns D, E, G)
The value of interest
cannot be 0.00 if the
Dollar Amount Invested
(DE#27) is also 0.00.
Convert values to US dollar currency if necessary.
36
29
37
Terms of Interest
Description of any applicable terms of the ownership or investment interest.
Text
Free form text
Yes
500 Char
Validated against data
type, format, and field
size (columns D, E, G)
INFORMATION NOT RELEASABLE TO THE PUBLIC UNLESS AUTHORIZED BY LAW
23
ALLOWED SPECIAL CHARACTERS
Special Character
+
&
'
*
@
\
^
:
,
$
Space
=
!
/
`
>
–
(
{
[
<
%
.
#
?
"
)
}
]
;
|
_
~
Name
Plus sign
Ampersand
Apostrophe
Asterisk
At sign
Backslash
Caret
Colon
Comma
Dollar sign
Space character
Equal
Exclamation mark
Forward slash
Grave accent
Greater than
Minus sign/hyphen
Left parenthesis
Left curly brackets
Left square brackets
Less than
Percent
Period
Pound
Question mark
Quotation marks
Right parenthesis
Right curly brackets
Right square brackets
Semi-colon
Pipe
Underscore
Tilde
Version
1.0
Date Published
Dec 2013/Jan 2014
1.1
April/May 2014
1.2
May/June 2014
1.3
June 2014
1.4
October 2014
1.5
February 2015
1.6
March 2015
1.7
November 2015
1.8
August 2016
Description
Initial Release
Updated and corrected
throughout
Updated and corrected
throughout
Updated and corrected
throughout
Physician Ownership: Updated
"Terms of Interest" data
element, "Publicly Displayed"
field from 'No' to 'Yes'
Updated per Program Year
2014 changes.
Updated descriptions for DE
43: Principal Investigator
Covered Recipient Physician
Indicator and DE 6: Covered
Recipient Type in the
Research payment
spreadsheet
Updated per Program Year
2015 changes.
Updated per Program Year
2016 changes.
OMB Control No: 0938-1237
Expiration Date: XX/2020
Version Updates
Initial Release
April/May 2014 version
May/June 2014 version
June 2014 version
October 2014 version
January 2015 version
March 2015 version
November 2015 version
OMB Control No: 0938-1237
Expiration Date: XX/2020
| File Type | application/pdf |
| File Title | No: 0938-1237 |
| Author | Evan Boyarsky |
| File Modified | 2017-02-27 |
| File Created | 2017-02-27 |