Open payments user guide [august-2014]

User Guide
August 2014
Disclaimer: The Centers for Medicare & Medicaid Services (CMS) is providing this guidance document
as informational material on Open Payments. Although every reasonable effort has been made to
assure the accuracy of the information, it is the responsibility of the user to ensure adherence to the
requirements of the Open Payments implementing regulations, the Medicare, Medicaid, Children’s
Health Insurance Programs; Transparency Reports and Reporting of Physician Ownership or
Investment Interests Final Rule codified at 42 CFR Parts 402 and 403 [CMS-5060-F]. This Guide is not
intended as a supplement or replacement of the Final Rule.

Open Payments User Guide
Table of Contents
PART I: INTRODUCTION ................................................................................................................................1
Purpose of the Open Payments User Guide .................................................................................................2
Chapter 1: Introduction to Open Payments (the Sunshine Act)...................................................................3
Section 1.1: Program Overview ................................................................................................................3
1.1a: What is the Affordable Care Act Section 6002?...........................................................................3
1.1b: What is the Purpose of Open Payments (the Sunshine Act)? .....................................................3
1.1c: Who Participates in Open Payments (the Sunshine Act)? ...........................................................4
1.1d: Key Deadlines for Open Payments Program Year 2013...............................................................4
Section 1.2: Determining if an Entity is an Applicable Manufacturer or Applicable GPO ........................5
Section 1.3: Who Are Entities Reporting On.............................................................................................7
Section 1.4: Open Payments System Overview........................................................................................8
1.4a: Open Payments Browser Requirements....................................................................................10
1.4b: Functionalities within the Open Payments System...................................................................10
1.4c: Setting Email Filters to Accept Open Payments Emails..............................................................10
1.4d: Accessibility Guidance ...............................................................................................................10
Section 1.5: Additional Information and Resources ...............................................................................11
1.5a: Open Payments Website............................................................................................................11
1.5b: Open Payments Help Desk.........................................................................................................11
1.5c: Open Payments Listserv.............................................................................................................11
1.5d: Open Payments Mobile Application..........................................................................................13
1.5e: Open Payments Webinars .........................................................................................................13
PART II: REPORTING AND DATA COLLECTION.............................................................................................14
Chapter 2: Introduction to Reporting and Data Collection.........................................................................15
Section 2.1: General Payments Reporting and Data Collection..............................................................15
Section 2.2: Research Payments Reporting and Data Collection............................................................16
Section 2.3: Physician Ownership/Investment Interest Reporting and Data Collection........................17
PART III: APPLICABLE MANUFACTURERS AND APPLICABLE GROUP PURCHASING ORGANIZATIONS........18
Chapter 3: Applicable Manufacturer and Applicable GPO Registration.....................................................19
Section 3.1: Two-Phased Registration Process.......................................................................................19
3.1a: Registration Phase 1 – EIDM Registration .................................................................................20
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3.1b: Registration Phase 2 – Open Payments System ........................................................................20
Section 3.2: Enterprise Identity Management (EIDM) Registration and Open Payments Access..........21
3.2a: EIDM New User Registration......................................................................................................22
3.2b: Requesting Access to Open Payments with EIDM Credentials..................................................27
Section 3.3 Registering Applicable Manufacturers and Applicable GPOs ..............................................35
3.3a: Registering a Reporting Entity (First-Time System Users) .........................................................38
3.3b: Registering an Entity (Returning System Users) ........................................................................50
3.3c: Registering an Entity with Phase 1 Submitted Data (First Time System Users).........................62
Section 3.4: Open Payments Users and User Roles................................................................................72
3.4a: Applicable Manufacturer and Applicable GPO User Roles ........................................................72
3.4b: Nominations...............................................................................................................................73
3.4b (1): Nominating Individuals.........................................................................................................74
3.4b (2): Accepting a Nomination (First Time System Users) .............................................................80
3.4b (3): Accepting a Nomination (Returning System Users) .............................................................87
3.4b (4): How to Reject a Nomination ................................................................................................92
3.4b (5): Self-Nomination Overview ...................................................................................................93
3.4b (6): Self-Nomination with a Registered Entity (First Time System Users) ..................................93
3.4b (7): Additional Self-Nomination with a Registered Entity (Returning System Users)...............101
3.4b (8): Approving Nominations (Officers Only) .............................................................................107
Section 3.5: Vetting...............................................................................................................................113
3.5a: Entity Vetting ...........................................................................................................................113
3.5b: Vetting Timeframe...................................................................................................................113
Chapter 4: Data Submission and Attestation............................................................................................114
Section 4.1: Data Submission Phase 1 ..................................................................................................115
Section 4.2: Data Submission Phase 2 ..................................................................................................117
Section 4.3: Instructions, Sample Files, and Data Mapping..................................................................118
4.3a: Creating CSV and XML Files......................................................................................................118
4.3b: CSV Files...................................................................................................................................119
4.3c: XML Files...................................................................................................................................119
Section 4.4: Bulk File Upload ................................................................................................................120
4.4a: Bulk File Upload Instructions ...................................................................................................121
Section 4.5: Manual Entry Using the Graphic User Interface ...............................................................125
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4.5a: Manual Entry of General Payments.........................................................................................125
4.5b: Manual Entry of Research Payments.......................................................................................137
4.5c: Manual Entry of Ownership/Investment Interest Payments...................................................148
Section 4.6: Final Submission of Data...................................................................................................153
4.6a: Final Submission of Data..........................................................................................................154
Section 4.7: Consolidated Reporting ....................................................................................................158
Section 4.8: Data Matching...................................................................................................................160
Section 4.9: Third Party Data Submitters..............................................................................................160
Section 4.10: Data Submission Errors...................................................................................................160
Section 4.11: Attestation and Assumptions..........................................................................................164
4.11a: Attesting to Data in the Open Payments System...................................................................167
Chapter 5: Review and Dispute for Applicable Manufacturers and Applicable GPOs..............................176
Section 5.1: Acknowledging Disputes and Resolving Disputes with No Change ..................................179
Section 5.1a: Acknowledging a Dispute............................................................................................180
Section 5.1b: Resolved, No Change Disputes ...................................................................................187
Section 5.2: Correction and Resolution of Submitted Payment Data ..................................................193
Section 5.2a: Edit Information and Resubmit Record.......................................................................193
Section 5.2b: Resubmission and Re-attestation ...............................................................................195
Chapter 6: Audits ......................................................................................................................................197
Chapter 7: Non-Compliance and Penalties...............................................................................................198
PART IV: PHYSICIANS AND TEACHING HOSPITALS....................................................................................199
Chapter 8: Physician and Teaching Hospital Registration ........................................................................200
Section 8.1: Two-Phased Registration Process.....................................................................................200
8.1a: Registration Phase 1 – EIDM Registration ...............................................................................200
8.1b: Registration Phase 2 – Open Payments System ......................................................................201
Section 8.2: Enterprise Identity Management (EIDM) Registration and Open Payments Access........201
Section 8.3: Registering in the Open Payments System.......................................................................202
8.3a: Registering a Physician (First Time User).................................................................................208
8.3b: Registering as a Physician for a User with Another Role (Returning User) .............................215
8.3c: Physician Vetting......................................................................................................................222
8.3d: Registering a Teaching Hospital (First Time User) ...................................................................223
8.3e: Registering a Teaching Hospital (Returning User) ...................................................................233
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8.3f: Using the Switch User Functionality.........................................................................................242
Section 8.4: Open Payments Users and User Roles..............................................................................245
8.4a: Physician and Teaching Hospital User Roles............................................................................245
8.4b: Updating a Physician Profile as an Authorized Representative...............................................247
8.4c: Updating Personal Profile.........................................................................................................251
Section 8.5: Nominations......................................................................................................................254
8.5a: Nominating Authorized Representative for a Physician (Returning Users).............................256
8.5b: Nominating Additional Roles for a Teaching Hospital (Returning Users)................................262
8.5c: Accepting a Nomination (Physician Authorized Representative, First Time User)..................265
8.5d: Accepting a Nomination (Existing Role as Physician or Physician Authorized Representative)
..........................................................................................................................................................272
8.5e: Accepting a Nomination (Teaching Hospital – First Time User) ..............................................279
8.5f: Accepting a Nomination (Teaching Hospital – Already Registered User).................................286
8.5g: Self-Nomination: Requesting a Role (Teaching Hospital, First Time User)..............................292
8.5h: Self-Nomination: Requesting a Role (Teaching Hospital, Existing User) .................................300
8.5i: How to Reject a Nomination.....................................................................................................307
8.5j: Approving a Nomination (Authorized Official Only).................................................................308
Chapter 9: Review and Dispute for Physicians and Teaching Hospitals ...................................................313
Section 9.1: Reviewing and Affirming Submitted Data.........................................................................317
Section 9.1a: Teaching Hospital - Reviewing and Affirming Submitted Data...................................317
Section 9.1b: Physician – Reviewing and Affirming Submitted Data................................................324
Section 9.2: Initiating and Withdrawing Disputes ................................................................................331
Section 9.2a: Teaching Hospital – Initiating a Dispute......................................................................331
Section 9.2b: Teaching Hospital – Withdrawing a Dispute...............................................................335
Section 9.2c: Physician - Initiating a Dispute ....................................................................................340
Section 9.2d: Physician - Withdrawing a Dispute .............................................................................343
PART V: PUBLIC DATA PUBLISHING...........................................................................................................348
Appendix A: Glossary of Terms for Open Payments................................................................................. A-1
Appendix B: Submission Error Codes.........................................................................................................B-1
Appendix C: Medicare Provider/Supplier to Healthcare Provider Taxonomy...........................................C-1
Appendix D: Open Payments System Notification Emails ........................................................................ D-1
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PART I: INTRODUCTION
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INTRODUCTION
Purpose of the Open Payments User Guide
This Open Payments User Guide includes definitions, descriptions, screenshots, tools, and tips designed
to help applicable manufacturers, applicable group purchasing organizations (GPOs), physicians, and
teaching hospitals better understand how to comply with Open Payments (the Sunshine Act), including
how to operationalize the collecting and reporting of data.
As the Open Payments system develops, the User Guide will be updated accordingly. The User Guide
consists of the following chapters:
• Introduction to Open Payments
• Introduction to Reporting and Data Collection
• Applicable Manufacturer and Applicable Group Purchasing Organization (GPO) Registration
• Data Submission and Attestation
• Audits
• Non-Compliance and Penalties
• Physician and Teaching Hospital Registration
• Review and Dispute
• Public Data Publishing
• Additional Information and Resources
Revision History
Version Date Published Description Version Updates
1.0 August 2013 Initial Release Chapters 1, 2, 3, & 4
2.0 June 2014 Update Chapters 1, 2, 3, 4, & 7
3.0 July 2014 Update Chapters 5, 8, & 9
3.1 August 2014 Update Minor corrections and updates
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Chapter 1: Introduction to Open Payments (the Sunshine Act)
This introduction chapter provides general information about the program, an overview of the Open
Payments system, and an explanation of how to determine if an organization is required by Open
Payments to report certain payments or other transfers of value to physicians and teaching hospitals, or
certain physician ownership or investment interests.
Section 1.1: Program Overview
1.1a: What is the Affordable Care Act Section 6002?
Section 6002 of the Affordable Care Act [P.L. 110-148] amends Title XI of the Social Security Act to add
Section 1128G, which mandates the creation of a program for (1) reporting payments and other
transfers of value made to covered recipients and physician owners or investors, by manufacturers of
drugs, devices, biologicals, or medical supplies for which payment is available under Medicare,
Medicaid, or the Children's Health Insurance Program (CHIP); and (2) reporting ownership or investment
interests held by physicians or their immediate family members in applicable manufacturers and
applicable GPOs, as well as reporting payments or transfers of value made by these applicable
manufacturers and applicable GPOs to these physicians.
This program establishes a system for annually reporting this data to the Centers for Medicare &
Medicaid Services (CMS).
1.1b: What is the Purpose of Open Payments (the Sunshine Act)?
Open Payments is a national disclosure program that promotes transparency by publishing data on the
financial relationships between the healthcare industry (applicable manufacturers and applicable GPOs;
together referred to as reporting entities) and healthcare providers (physicians and teaching hospitals)
on a publicly accessible website. This publically available website is designed to increase access to, and
knowledge about, these relationships and provide the public with information to enable them to make
informed decisions. The public can search, download, and evaluate the reported data.
Disclosure of the financial relationships between industry and healthcare providers is not intended to
signify an inappropriate relationship, and Open Payments does nothing to prohibit such transactions.
Collaborations among the medical product industry, physicians, and teaching hospitals contribute to the
design and delivery of life-saving drugs, devices, biologicals, and medical supplies. However, these
relationships may also influence research, education, and clinical decision-making in ways that
compromise clinical integrity and patient care and may potentially lead to increased healthcare costs.
While disclosure alone is not sufficient to differentiate between the beneficial financial relationships and
those that may create conflicts of interests, transparency will shed light on the nature and extent of the
relationships that exist and discourage development of inappropriate relationships.
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1.1c: Who Participates in Open Payments (the Sunshine Act)?
Open Payments requires participation from certain manufacturers of drugs, devices, biologicals, or
medical supplies covered under Title XVIII of the Social Security Act (Medicare), or a State plan under
Title XIX (Medicaid) of XXI of the Social Security Act (CHIP) and certain GPOs.
Applicable manufacturers of covered products, and entities under common ownership with applicable
manufacturers who also provide assistance and support, are required to annually report to CMS:
• Payments or other transfers of value made to physicians and teaching hospitals.
• Certain ownership or investment interests held by physician owners or investors, or their
immediate family members.
Applicable GPOs are required to annually report to CMS:
• Payments or other transfers of value made to physicians.
• Certain ownership or investment interests held by physician owners or investors and their
immediate family members.
While not required to report in the program, Open Payments encourages physicians and teaching
hospitals to participate by tracking their financial relationships with applicable manufacturers and
applicable GPOs and reviewing data reported about them in the Open Payments system to ensure the
accuracy of the information.
Open Payments also encourages the general public and healthcare consumers to access, review, and use
the data to make informed healthcare decisions.
1.1d: Key Deadlines for Open Payments Program Year 2013
For the Open Payments 2013 program year, applicable manufacturers and applicable GPOs were
required to begin collecting data documenting their financial relationships with certain physicians and
teaching hospitals beginning on August 1, 2013, and ending on December 31, 2013.
Open Payments registration and data submission for applicable manufacturers and applicable GPOs
was conducted in a two-phased approach for this first reporting year:
• Phase 1 (February 18 through March 31, 2014) included industry registration in CMS's
Enterprise Portal (https://portal.cms.gov/), the gateway to CMS’s Enterprise Identity
Management system (EIDM), and submission of corporate profile information and aggregate
information about 2013 payment or other transfer of value and ownership/investment interest
data.
• Phase 2 (early June through June 30, 2014) includes industry registration in the Open Payments
system, submission of detailed information about 2013 payment or other transfer of value and
ownership/investment interest data, and legal attestation to the accuracy of the data.
Open Payments registration for physicians and teaching hospitals, as well as review and dispute for all
users, is also being conducted in a two-phased approach for this first reporting year:
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• Phase 1 (begins in early June 2014) includes physician and teaching hospital registration in
CMS's Enterprise Portal (https://portal.cms.gov/), the gateway to EIDM.
• Phase 2 (begins mid-July and extends for 45 days) includes physician and teaching hospital
registration in the Open Payments system as well as review, dispute, and correction
functionality for all users.
CMS will release the 2013 data publicly by September 30, 2014.
Section 1.2: Determining if an Entity is an Applicable Manufacturer or
Applicable GPO
Open Payments requires certain entities that make payments or other transfers of value to physicians or
teaching hospitals to report relevant data regarding the payment or other transfer of value to CMS.
To determine if a particular entity is required to report, follow these steps:
• Step 1: Determine if the entity operates in the United States (including any territory,
possession, or commonwealth of the United States). See the reference guide in Figure 1.1.
• Step 2: Determine if the entity engages in activities of a Type 1 or Type 2 applicable
manufacturer. See the reference guide in Figure 1.1.
• Step 3: Determine if the entity’s products are covered drugs, devices, biologicals, or
medical supplies or covered products. See the reference guide in Figure 1.1.
• Step 4: If the entity possesses the characteristics illustrated in Figure 1.1, the entity is
determined to be an applicable manufacturer in Open Payments.
o If the entity does not meet these characteristics, the entity is not determined to be an
applicable manufacturer. Note that the entity still may be an applicable GPO in Open
Payments.
o Proceed to Step 5 to determine if the entity is an applicable GPO.
• Step 5: Determine if the entity operates in the United States (includes any territory,
possession, or commonwealth of the United States). See the reference guide in Figure 1.2.
• Step 6: Determine if the entity engages in activities of an applicable GPO. See the reference
guide in Figure 1.2.
• Step 7: Determine if the entity’s products are covered drugs, devices, biologicals, or
medical supplies or covered products. See the reference guide in Figure 1.2.
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• Step 8: If the entity possesses the characteristics illustrated in Figure 1.2, the entity is
determined to be an applicable GPO in Open Payments.
o If the entity does not possess the characteristics as illustrated in Figure 1.2, the entity is
not determined to be an applicable GPO in Open Payments.
Figure 1.1 provides a reference guide for determining if a drug, device, biological, or medical supply
manufacturer is an applicable manufacturer in accordance with Open Payments. Figure 1.1 also outlines
the characteristics for two types of applicable manufacturers.
Figure 1.1: Determining if an Entity Is an Applicable Manufacturer
Characteristic Type 1 Manufacturer IF Type 2 Manufacturer IF
Operate in US?
• Entity’s physical location is within
the United States and/or it
conducts activities within the
United States. This includes any
territory, possession, or
commonwealth of the United
States.
• Same as Type 1 Manufacturer
Activities
• Engages in the production,
preparation, propagation,
compounding, or conversion of a
covered drug, device, biological,
or medical supply.
• This includes distributors or
wholesalers that hold title to a
covered drug, device, biological,
or medical supply.
• Exists under common ownership
with a Type 1 applicable
manufacturer AND
• Provides assistance or support to
such an entity with respect to the
production, preparation,
propagation, compounding,
conversion, marketing, promotion,
sale, or distribution of a covered
drug, device, biological, or medical
supply.
Covered Products
• Reimbursed by Medicare,
Medicaid, or Children’s Health
Insurance Program AND
• If the product is a drug or
biological, and it requires a
prescription (or doctor’s
authorization) to administer OR
• If the product is a device or
medical supply, and it requires
premarket approval or premarket
notification by the FDA.
• Same as Type 1 Manufacturer
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Figure 1.2 provides a reference guide for determining if a drug, device, biological, or medical supply
purchasing entity is an applicable GPO in accordance with Open Payments. Figure 1.2 also outlines the
characteristics of applicable GPOs.
Figure 1.2: Determining if an Entity Is an Applicable GPO
Characteristic Group Purchasing Organization IF
Operate in US? • Entity’s physical location is within the United States and/or it conducts
activities within the United States. This includes any territory, possession, or
commonwealth of the United States.
Activities • Purchases, arranges for, or negotiates the purchase of a covered drug,
device, biological, or medical supply for a group of individuals or entities,
but not solely for use by the entity itself.
Covered products • Reimbursed by Medicare, Medicaid, or Children’s Health Insurance Program
AND
• If the product is a drug or biological, it requires a prescription (or doctor’s
authorization) to administer OR
• If the product is a device or medical supply, it requires pre-market approval
or pre-market notification by the FDA.
Section 1.3: Who Are Entities Reporting On
Applicable manufacturers and applicable GPOs are required to report payments or other transfers of
value to covered recipients and physician owners/investors. Covered recipients in Open Payments
include physicians (except for physicians who are bona fide employees of the reporting entity) and
teaching hospitals. For the purposes of Open Payments, physicians are defined as doctors of medicine or
osteopathy practicing medicine or surgery, doctors of dental medicine or dental surgery practicing
dentistry, doctors of podiatric medicine, doctors of optometry, or chiropractors, all legally authorized to
practice by their state.
A teaching hospital is any institution that received a payment for Medicare direct graduate medical
education (GME), inpatient prospective payment system (IPPS) indirect medical education (IME), or
psychiatric hospital IME programs under 1886(d) (5) (B), 1886(h), or 1886(s) of the Social Security Act
during the last calendar year for which such information is available.
Additionally, applicable manufacturers and applicable GPOs are required to report ownership or
investment interests in the entity held by a physician (referred to as a physician owner or investor) or
the physician’s immediate family members, and report payments or transfers of value to these
physicians holding ownership or investment interests. A physician’s immediate family member is the
physician’s (1) spouse; (2) natural or adoptive parent, child, or sibling; (3) step-parent, step-child, step-
brother, or step-sister; (4) father-, mother-, daughter-, son-, brother-, or sister-in-law; (5) grandparent or
grandchild; or the (6) spouse of a grandparent or grandchild.
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Section 1.4: Open Payments System Overview
The Open Payments system is the tool developed to support Open Payments. Users will interact with
the system to perform a number of functions based on their role.
The Open Payments system will be available for applicable manufacturer and applicable GPO
registration starting in June 2014. Registration for physicians and teaching hospitals will be available in
July 2014. Figure 1.3 provides a high-level timeline for the system release dates and the actions
associated with each release for reporting year 2013.
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Figure 1.3: High-Level Timeline for Open Payments
9

1.4a: Open Payments Browser Requirements
The Open Payments system is a web-based application and should be run only on Internet Explorer,
version 8 or higher.
1.4b: Functionalities within the Open Payments System
Users will perform functions within the Open Payments system based on what is required of them by
the program and their specific user roles. Most of the functions required by Open Payments will require
interaction with the Open Payments system.
Key functions of the Open Payments system users include the following:
• For applicable manufacturers/applicable GPOs: Register in the system, submit data into the
system, verify the data, and attest to the accuracy of the data.
• For physicians/teaching hospitals: Register in the system, review the data supplied by applicable
manufacturers and/or applicable GPOs, and dispute, if necessary, data upon review.
This Guide will cover functions of the system in detail in each chapter.
When working in the Open Payments system, it is important to remember to never use the navigation
buttons on your browser toolbar. Only use the navigation buttons (Back buttons) within the Open
Payments system itself.
1.4c: Setting Email Filters to Accept Open Payments Emails
The Open Payments system will transmit emails to communicate to users. Take precautions to ensure
that these emails are not directed into your junk mail or spam folders. Open Payments notification
emails will come from the address OpenPaymentsNotification@cms.hhs.gov.
1.4d: Accessibility Guidance
This section provides some basic guidance for keyboard and JAWS screen reader users. While not all
screen reader users use JAWS and not all JAWS users have the same version, this guidance should be
applicable to other screen readers and most versions of JAWS.
1.4d(1): "Skip to Main Content" Link
The "Skip to main content" link provides a shortcut to the main content of the page. Using the link
allows a keyboard user to reach the core information on the page without having to tab through the
global portal banner.
Screen reader users can use the link to jump their screen reader to the start of the portal content and
skip the global banner area on each page. Activating the "Skip to main content" link brings the user to
the beginning of the Open Payments content area on the page.
1.4d(2): Useful JAWS Keystrokes
The keystrokes given in Figure 1.4 all find the next occurrence of a particular element on a page. Using
the Shift key at the same time will find the previous occurrence. These shortcuts allow a screen reader
user to quickly jump their screen reader between the form fields on each page or explore the overall
10

structure of the page by jumping between the different headings on the page that denote the start of
different content areas on the page.
Figure 1.4: Useful JAWS Keystrokes
Key What it finds Why this is useful
F Form field
The F key allows users to move from form field to form field. The
majority of pages in the Open Payments website is made of
forms. The F key allows JAWS users to determine what fields are
on the Open Payments form pages quickly.
H Heading
The H key allows users to move from heading to heading.
Headings define the structure of many pages. Moving between
sections of an Open Payments page allows for a quick guide to
page structure and a way to access sections easily.
Section 1.5: Additional Information and Resources
CMS will support Open Payments system users through a number of different methods. These include
webinars, Frequently Asked Questions (FAQs), step-by-step instructions and instructional videos,
technical support, and the Open Payments Help Desk (available by emailing
openpayments@cms.hhs.gov or calling 1-855-326-8366, Monday through Friday, from 7:30 a.m. to 6:30
p.m. (CT), excluding Federal holidays).
1.5a: Open Payments Website
The Open Payments website (http://go.cms.gov/openpayments) is your primary resource for
information about Open Payments. The website contains numerous resources aimed at preparing and
informing users about Open Payments regulations as well as the system. These resources are meant to
provide guidance and instruction so users can successfully navigate through the system and understand
the components of Open Payments that apply to them. Check this website often for updated tools,
resources, and important announcements pertaining to Open Payments.
1.5b: Open Payments Help Desk
CMS has established the Open Payments Help Desk to serve as a single point of contact for all Open
Payments-related inquiries. The Help Desk provides answers to questions ranging from basic business
and program questions to technical questions. The Help Desk can also offer guidance on Open
Payments, actions users must take in the system, and technical support. You can submit inquiries to
openpayments@cms.hhs.gov or call 1-855-326-8366, Monday through Friday, from 7:30 a.m. to 6:30
p.m. (CT), excluding Federal holidays.
1.5c: Open Payments Listserv
By registering for the Open Payments listserv, you will be signed up to receive periodic email
notifications regarding program, system, and resource updates. This is a good way to keep informed on
any updates, changes, or important messages from CMS. To sign up for the Open Payments listserv,
please visit the Open Payments website (http://go.cms.gov/openpayments) and enter your email
address at the bottom of the home page. You may see one of two displays to enter your email address,
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depending on what website page you are on in the CMS site; on the Open Payments home page, you’ll
see this:
On other CMS websites, you’ll see this:
Entering your email address will take you to a screen where you can select which listserv you want to
subscribe to. At the top of the screen, your email address will be pre-populated after “Quick Subscribe
for.”
12

Under the section “Regulations and Guidance,” select “Open Payments” and then the “Select” button at
the bottom of the screen to join the mailing list.
1.5d: Open Payments Mobile Application
CMS has created two mobile applications to help applicable manufacturers, applicable GPOs, and
physicians keep track of payment and other transfer of value information. Application users can use
these apps as a way to track payments and other transfers of value in real time on a mobile device as
they occur throughout the year.
There is a separate app for industry and physicians:
• For applicable manufacturers and applicable GPOs: Open Payments Mobile for Industry
• For physicians: Open Payments Mobile for Physicians
These mobile apps do not interface with CMS systems or contractors in any way, and only serve as a
mechanism to store data. CMS does not validate the accuracy of data stored in the app and is not
responsible for protecting data stored in the app. These mobile apps are free and can be downloaded at
the Google Play app store or iOS Apple app store by searching for “Open Payments." Additional
information on the apps, including an FAQ for Open Payments Mobile, can be found on the Open
Payments website (http://go.cms.gov/openpayments).
1.5e: Open Payments Webinars
CMS has conducted, and will continue to hold, a series of webinars to help industry, physicians, and
teaching hospitals prepare for Open Payments. These webinars cover topics such as registration, data
collection and submission, and the review and dispute process. Upcoming webinar dates and content
will be posted on the Open Payments website and announced via the listserv prior to the scheduled
webinar. At the conclusion of the webinar, the slides, transcript, and a recording of the session are made
available for individuals who wish to view the session.
Visit the Events page (http://www.cms.gov/Regulations-and-Guidance/Legislation/National-Physician-
Payment-Transparency-Program/Events.html) of the Open Payments website for more information.
13

PART II: REPORTING AND DATA
COLLECTION
14

Reporting and Data Collection
For Industry
Chapter 2: Introduction to Reporting and Data Collection
This chapter provides information about data collection for entities required to report certain payments
and other transfers of value in Open Payments.
Section 2.1: General Payments Reporting and Data Collection
This section on general payments reporting and data collection provides information about data
collection for entities required to report certain general payments and other transfers of value in the
Open Payments system. Five categories of information related to general payments made by applicable
manufacturers and applicable GPOs to recipient physicians and teaching hospitals should be captured
during data collection; these categories are shown in the bulleted list below.
Data is reported to the Open Payments system through bulk file uploads, using either extensible markup
language (XML) or character-separated value (CSV) file formats, as well as through manual data entry
through a graphic user interface. See Chapter 4 for details.
On the Data Submission and Attestation page of the Open Payments website, you can find the XML and
CSV sample files that show how the data elements listed below will be reported to the Open Payments
system.
• Submission File Information contains metadata elements collected to properly identify and
attribute submitted files.
• Recipient Demographic Information identifies the recipient of the general payment or other
transfer of value.
• Associated Drug, Device, Biological, or Medical Supply Information identifies the drug, device,
biological, or medical supply that is related to the payment or other transfer of value.
• Payment or Other Transfer of Value Information specifies information regarding the general
payment or other transfer of value.
• General Record Information captures other general information about the payment or other
transfer of value.
15

A complete listing of metadata elements used for general payments data input into the Open
Payments system can be found in the Submission Data Mapping Document, which is available on the
Data Submission and Attestation page (https://www.cms.gov/Regulations-and-
Guidance/Legislation/National-Physician-Payment-Transparency-Program/Data-Submission-and-
Attestation.html) of the Open Payments website. This extensive listing includes specific, detailed
descriptions of the information that must be collected by reporting entities to document general
payments.
Section 2.2: Research Payments Reporting and Data Collection
This section on research payments reporting and data collection provides information about data
collection for entities required to report certain research-related payments and other transfers of value
in the Open Payments system. Five categories of information related to research payments made by
applicable manufacturers and applicable GPOs to recipient physicians and teaching hospitals should be
captured during data collection; these categories are shown in the bulleted list below.
system.
• Recipient Demographic Information identifies the recipient of the research payments or other
transfers of value.
• Associated Drug, Device, Biological or Medical Supply Information identifies the drug, device,
biological or medical supply that is related to the payment or other transfer of value.
• Payment or Other Transfer of Value Information specifies information regarding the research
payment or other transfer of value.
• Research-related Information captures specific information about payments or other transfers
of value for research activities.
A complete listing of metadata elements used for research payments data input into the Open
Payments system can be found in the Submission Data Mapping Document, which is available on the
Data Submission and Attestation page (https://www.cms.gov/Regulations-and-
descriptions of the information that must be collected by reporting entities to document research
payments.
16

Section 2.3: Physician Ownership/Investment Interest Reporting and
Data Collection
This section on physician ownership/investment interest reporting and data collection provides
information about data collection for reporting entities required to report physician ownership or
investment interest in the Open Payments system.
Three categories of information related to ownership/investment interests held by physicians in
applicable manufacturers and applicable GPOs should be captured during data collection; these
categories are shown in the bulleted list below.
system.
• Physician Demographic Information identifies the recipient of the ownership or investment
interest.
• Ownership or Investment Information captures information about the ownership or
investment.
A complete listing of metadata elements used for ownership/investment interest data input into the
Open Payments system can be found in the Submission Data Mapping Document, which is available on
the Data Submission and Attestation page (https://www.cms.gov/Regulations-and-
descriptions of the information that must be collected by reporting entities to document physician
ownership/investment interest.
17

PART III: APPLICABLE
MANUFACTURERS AND
APPLICABLE GROUP PURCHASING
ORGANIZATIONS
18

Open Payments Registration
For Industry
Chapter 3: Applicable Manufacturer and Applicable GPO
Registration
This chapter provides information on registering in CMS’s Enterprise Identity Management system
(EIDM) via the CMS Enterprise Portal (https:/portal.cms.gov/), and registering in the Open Payments
system. Registration in both systems is required for access to the Open Payments system. All applicable
manufacturers and applicable GPOs that have made payments or other transfers of value to covered
recipients and physician owners or investors during program years must complete registration for both
systems (EIDM and Open Payments) prior to reporting payments or other transfers of value made to
physicians and teaching hospitals. Note that registration is required for entities submitting data in a
single report as well as entities submitting data as part of a consolidated report.
This chapter is divided into the following sections:
• Overview of Registration, which provides information on Phase 1 and 2 of the registration
process. Phase 1 includes user registration in EIDM via the CMS Enterprise Portal
(https://portal.cms.gov/), and Phase 2 includes registration in the Open Payments system.
• Open Payments Users and User Roles, which contains information on who is authorized to
register in the Open Payments system and the user roles that must be filled by the Open
Payments system users.
• Registration and Access to the Open Payments System, which contains instructions for
registering, logging into the system, and managing the applicable manufacturer or applicable
GPO registration and user roles.
• Nominations, which contains information on the process for nominating users to roles.
• Vetting, which contains information on the reporting entity vetting process and timeframes.
Section 3.1: Two-Phased Registration Process
Applicable manufacturers and applicable GPOs must register in the Open Payments system to submit,
attest, correct, and view data.
Prior to registration in the Open Payments system, users must successfully register in EIDM to obtain
login credentials. Once the user has registered in EIDM, they will be able to register in the Open
Payments system.
19

3.1a: Registration Phase 1 – EIDM Registration
Open Payments registration and data submission for the 2013 program year will be completed in a two-
phased approach. Figure 3.1, below, illustrates the two-phased approach used only for this first program
year.
Phase 1, which ran from February 18 - March 31, 2014, required authorized officials to obtain EIDM
credentials, request access to the Open Payments system via the CMS Enterprise Portal
(https:/portal.cms.gov/), and submit corporate profile and aggregated information about their 2013
payment or other transfer of value and ownership/investment interest data. Instructions for registering
in EIDM and obtaining access to the Open Payments system can be found in Section 3.2. Information on
the data elements required for Phase 1 data submission can be found in Section 4.1.
Figure 3.1: Phased Applicable Manufacturer and Applicable GPO Registration and Data Submission
Process
3.1b: Registration Phase 2 – Open Payments System
Phase 2 of Open Payments registration and data submission begins when the Open Payments system
becomes available in early June, 2014. Once the Open Payments system goes live, the authorized official
will register the reporting entity in the Open Payments system following the steps in Section 3.3. In
Phase 2, some entity registration information will be pre-populated in the Open Payments system using
information that was submitted during Phase 1.
Note: In order to access Phase 1 pre-populated data for the reporting entity, the authorized official
who registered in Phase 1 must be the first person to access the Open Payments system for the
reporting entity, using the same EIDM ID established in Phase 1.
20

The authorized official will need to review the information in the reporting entity’s profile and confirm
its accuracy. Entities that did not submit information in Phase 1 will not have any information pre-
populated for them in the Open Payments system and will need to complete all of the required fields.
Section 3.2: Enterprise Identity Management (EIDM) Registration and
Open Payments Access
Enterprise Identity Management (EIDM) is an identity management and services system that a) serves as
an identity proofing tool to verify a person’s identity, and b) provides users with access to various CMS
applications. Registering in EIDM provides users with login credentials required for access to the Open
Payments system. Users will be able to set up their own login credentials in the form of a user ID and
password during the EIDM registration process. EIDM credentials allow login to the CMS Enterprise
Portal and the ability to request access to various CMS applications, including the Open Payments
system.
To begin the registration process, EIDM can be accessed via the CMS Enterprise Portal
(https:/portal.cms.gov/). A complete EIDM Operations Document
(https://portal.cms.gov/wps/wcm/connect/6288dd9d-a7a3-4e69-87d4-
3bea07cb1ade/EIDM_Authenticated_User_Operations_Document_2013.01.02_CR.pdf?MOD=AJPERES)
and a list of EIDM FAQs (https://portal.cms.gov/wps/portal/unauthportal/faq) are available on the CMS
website. Users who already have EIDM credentials can move ahead to Section 3.2b for instructions on
how to request access to the Open Payments application.
EIDM will lock your user account if no activity is reported in the account for 60 or more days. When you
login after 60 days, the system will display the “Unlock my Account” view. To unlock your account, enter
your user ID and correctly answer all challenge questions. Then enter your new password in the input
fields of “New Password” and “Confirm New Password” to unlock your account. If you are still unable to
reactivate, contact the Open Payments Help Desk at openpayments@cms.hhs.gov or call 1-855-326-
8366.
EIDM will automatically deactivate any user that has not logged in for 180 days or more. Once the user’s
account has been deactivated, the user will not be able to access CMS applications, including the Open
Payments system. You can contact the Open Payments Help Desk at openpayments@cms.hhs.gov or call
1-855-326-8366 to reinstate your account after 180 days of inactivity.
Please note that system users who have addresses outside of the United States must contact the Open
Payments Help Desk to register in EIDM.
21

3.2a: EIDM New User Registration
Step 1: Go to the CMS Enterprise Portal (https://portal.cms.gov) and select “New User Registration.”
“New User Registration” is on the right side of the screen, inside the “Login to CMS Secure Portal” box.
Step 2: Accept the Terms and Conditions of the CMS Enterprise Portal page and then select the “Next”
button to continue.
22

Step 3: Enter your personal user information. Be sure to enter all information in all required fields. Filling
in all fields will speed the processing of your registration. Note: Pressing the “Cancel” button will cause
you to lose all data entered. Select the “Next” button when all information has been entered.
Data fields to be completed are the following:
• Name (First, Middle, Last, Suffix)
• Home Address, City, State, Zip
• Primary Phone Number
• Email Address
• Social Security Number (Optional)
• Date of Birth
Take care to enter your legal name, current home address, primary phone number, and email address
correctly. EIDM collects personal information only to verify your identity with Experian, an external
identity verification provider. If this information is not validated successfully and identity proofing fails,
contact the Open Payments Help Desk at openpayments@cms.hhs.gov or 1-855-326-8366.
Individuals with addresses outside of the United States may not be able to register successfully. Users
with addresses outside of the United States should contact the Open Payments Help Desk for assistance
with EIDM registration. Any additional EIDM issues should be directed to the Open Payments Help Desk
at openpayments@cms.hhs.gov.
23

Step 4: Select an EIDM user name and password in accordance with the guidance provided below. You
will also be asked to select three challenge questions and provide answers in the open text fields next to
the question fields. Select “Next” when finished.
Note: Pressing the “Cancel” button will cause you to lose all data entered.
• The CMS Portal User ID must:
o Be a minimum of 8 and a maximum of 74 alphanumeric characters.
 Allowed special characters are dashes (-), underscores (_), apostrophes ('), at
sign (@), and periods (.).
• The CMS Portal password must:
o Be changed at least every 60 days;
o Be a minimum of 8 and a maximum of 20 characters;
o Be changed no more than once per day;
o Contain at least one uppercase letter, one lowercase letter, and one number;
o Not contain your User ID; and
o Differ from your previous 6 passwords.
25

Once EIDM registration is completed, you will receive an email confirmation that contains your
confirmed EIDM User ID. Select the OK button to take you to the CMS Portal Landing page.
Step 5: Request access to the Open Payments application. Proceed to Section 3.2b for instructions on
how to request access to the application.
26

3.2b: Requesting Access to Open Payments with EIDM Credentials
Once you have EIDM credentials, you can request access to the Open Payments system through the CMS
Enterprise Portal (https:/portal.cms.gov/) and EIDM.
Step 1: Select “Login to CMS Secure Portal.”
Step 2: Accept the Terms and Conditions of the CMS Enterprise Portal page.
27

Step 3: Once you have accepted the terms, you will be prompted to log in using your existing username
and password.
Step 4: Select on “Request Access Now.”
28

Step 5: On the My Access page, select “Request New Application Access.”
Step 6: Select Open Payments from the drop-down menu. You will be asked to select an EIDM user role.
Select “Open Payments – Open Payments Application” from the “Application Description” drop-down
menu. Select ”Applicable Manufacturer, GPO, Physician, or Teaching Hospital” from the “Role” drop-
down menu. Select the “Submit” button when complete.
Note: Pressing the “Cancel” button will cause you to lose your selected choices.
29

Step 7: Once you have requested access to the Open Payments application, you will then be asked to
review the identity verification information. Select the “Next” button once you have reviewed the
information.
30

Step 8: Accept the terms and conditions by selecting the checkbox, and select the “Next” button.
31

Step 9: Enter your information.
32

Step 10: Verify your identity by answering the identity proofing questions. The identity proofing
questions are created by Experian based upon the information you input during EIDM registration and
Experian’s databases. Experian also performs a soft credit inquiry to verify your identity. Soft credit
inquiries are visible only to the user and only appear on credit reports produced by Experian. They are
not visible to lenders. If you order a credit report from Experian, you will see an entry of inquiry by the
Centers for Medicare & Medicaid Services with CMS’s address and the date of request. Identity proofing
does not affect your credit score. If you have questions about Experian’s verification process, please
refer to Experian Consumer Assistance (http://www.experian.com/help/).
Select the “Next” button when you have completed this screen.
33

Step 11: Once your identity has been verified, you will be brought to the Complete Set Up page. Select
“Next” to continue.
Step 12: Once you have requested access to the Open Payments application and successfully completed
the Remote Identity Proofing process, you will receive an acknowledgement on the screen. Select “OK”
to continue.
34

After you have been granted access to the Open Payments system, you will be able to view the
application via the CMS Enterprise Portal (https://portal.cms.gov/). Access to the Open Payments
application will be instantaneous, though after you register, you will need to log out of the Enterprise
Portal and then log back in before the link to the Open Payments system will appear in the top menu
bar.
Section 3.3 Registering Applicable Manufacturers and Applicable
GPOs
Once your entity has decided who should fill the required user roles, you can begin Open Payments
registration. During the registration, you will enter the required information for your reporting entity
profile, user personal profile, and nominees for each user role. Reporting entity registration has five
steps, as shown in Figure 3.2. Details on these steps are included later in this section.
Figure 3.2: Entity Registration
The authorized official is an officer with the entity who enters all required information to create the
entity’s profile. The authorized official should be highly placed within the entity, a Chief Executive
Officer, Chief Financial Officer, Chief Compliance Officer, or other Officer of the applicable manufacturer
or applicable group purchasing organization or equivalent position (specific titles may vary depending on
the management structure of the entity).
During registration, the authorized official must select the user role of officer for him- or herself to
complete the registration process. The entire registration process takes approximately 30 minutes and
must be completed in a single session. Users cannot save entries or complete the profile at a later time.
Users will be able to edit, manage, or update a profile once it is created. Note that the system does not
currently have an auto-save feature, and will time out after 30 minutes of inactivity.
Figure 3.3 and Figure 3.4 detail which fields are required and which fields are optional when creating an
entity and user profile. It is important to have this information on-hand prior to beginning the
registration process.
35

Figure 3.3: Entity Profile Fields
Fields Required Optional
Reporting Entity Business Type X
Reporting Entity Legal Name X
Doing Business As (DBA) Name X
Reporting Entity Business Address X
Reporting Entity Business Phone Number X
Reporting Entity Type of Ownership X
Taxpayer Identifier Number (TIN)/ Employer Identification Number (EIN) X
Dun & Bradstreet (D&B) Data Universal Numbering System (DUNS) X
Food and Drug Administrator (FDA) Establishment Identifier (FEI) X
Uniform Resource Locator (URL) of Parent Company X
Consolidated Report Indicator (Y/N) (default N) X
Primary Point of Contact Name X
Primary Point of Contact Business Phone Number X
Primary Point of Contact Title at the Entity X
Primary Point of Contact Email Address X
Backup Point of Contact Name X
Backup Point of Contact Business Phone Number X
Backup Point of Contact Title at the Entity X
Backup Point of Contact Email Address X
Regarding the “Uniform Resource Locator (URL) of Parent Company,“ if the reporting entity does not
have a URL, enter the value http://www.cms.gov.
36

Figure 3.4: User Profile Fields
First Name X
Middle Name X
Last Name X
Name Suffix X
Job Title X
Business Address X
Business Phone Number X
Email Address X
After submitting both the entity and user profiles, Open Payments will vet the entity to ensure it is a
valid entity. See Section 3.5 for information on vetting. Users cannot perform any functions in the Open
Payments system until the entity has been successfully vetted and registered.
Important Notes:
Registration for both the entity and authorized official must be completed in one session.
The Open Payments system logs out all users after 30 minutes of inactivity.
Never use the navigation buttons on your browser toolbar. Only use the navigation buttons (Back
buttons) within the Open Payments system itself.
37

3.3a: Registering a Reporting Entity (First-Time System Users)
Step 1: Log in to the CMS Enterprise Portal (https://portal.cms.gov/) using your EIDM user ID and
password to access the Open Payments system. The on-screen text contains important information
regarding the registration process. Read the on-screen text and select “Create My Profile” when you are
ready to begin the registration process.
Step 2: The on-screen text contains important information regarding creating the entity and individual
profile. Read the on-screen text and select “Start Profile” at the bottom of the screen when you are
ready to continue.
38

Step 3: Select the profile type “Applicable Manufacturer or Applicable GPO” and select “Continue.”
Step 4: Once your entity type is selected, provide the entity’s Taxpayer Identification Number (TIN/EIN).
This will be the entity’s Employer Identification Number (EIN), a nine-digit number used by the entity for
tax reporting. The format for the TIN/EIN is XX-XXXXXXX. Enter the entity’s TIN/EIN in the space
provided and select “Lookup TIN/EIN.”
39

Step 5: The system will perform a search and make sure no other entity with that TIN/EIN has already
been registered.
If the TIN/EIN returns a match, your entity has already been registered. You may choose to proceed by
nominating yourself for a role with that entity by selecting the entity name, or you may select “Cancel”
to exit entity registration. See Section 3.4b(5) for instructions on how to complete the self-nomination
process.
If no match is found for that TIN/EIN, you can proceed with registering that entity. Select the “Register
your Entity on Open Payments” hyperlink to continue with entity registration.
Step 6: Enter the entity information. All required fields will be marked with an asterisk. Users will not be
able to proceed with registration until all of the required fields have been entered. Make sure that when
entering information into free-form text boxes, you restrict your use of special characters (i.e., non-
alphanumeric characters) to those permitted by the system. For example, when entering the entity
phone number and Taxpayer Identification Number (TIN/EIN), you must include the hyphen (“-“) in the
proper place within the field to pass field validation.
URL is also a required field. If the entity you are registering does not have a website, enter the generic
URL of http://www.cms.gov into the field.
When you are done, select “Continue.” Pressing the “Cancel” button will cause you to lose all data
entered.
Additional Information on the fields for entity registration:
• The Consolidated Report Indicator indicates whether or not the applicable manufacturer or
applicable GPO intends to submit a consolidated report. Consolidated reporting allows the
reporting entity to submit bulk data files across multiple registered entities. Applicable
manufacturers or applicable GPOs should select yes if another applicable manufacturer or
40

applicable GPO under common ownership with the registering entity is submitting a report on
its behalf. The option selected in the consolidated report indicator is a system indicator only and
does not commit the user to submitting a consolidated report. See Section 4.7 for more on
consolidated reporting.
• The Entity Business Type indicates the type of applicable manufacturer or applicable GPO
registering in the Open Payments system. Entities may select whether the type is any of the
following:
o Applicable manufacturer
If applicable manufacturer is selected, an entity must select one of the following
business types:
− applicable manufacturer-drugs/biologicals
− applicable manufacturer-devices/medical supplies
− applicable manufacturer-drugs/biologicals and devices/medical supplies
− applicable manufacturer-physician-owned distributor
− applicable manufacturer-hospital-owned distributor
− applicable manufacturer-distributor/supplier (non-hospital, non-physician-
owned)
o Applicable GPO
If GPO is selected, an entity must select one of the following business types:
− GPO-drugs/biologicals
− GPO-devices/medical supplies
− GPO- drugs/biologicals and devices/medical supplies
− GPO-physician-owned
− GPO-hospital-owned
− GPO-hospital and physician-owned
− GPO-non-hospital, non-physician-owned
− GPO-government-owned
41

Step 7: Enter the required information and select your user roles. For a description of user roles, see
Section 3.4. When registering a new entity, you must select the role of officer for yourself. The system
will not allow you to proceed if this role is not selected. You may also select the role of submitter and/or
attester for yourself. When you are done, select “Continue.”
Note: Pressing the “Back” button will cause you to lose all data entered.
43

Step 8: You may nominate additional individuals to fulfill the officer, submitter, and attester roles at this
step. If you do not wish to nominate additional individuals, select “Continue,” but please note that at
least one individual must be identified for each of the three roles in the Open Payments system during
initial entity registration. If the registering authorized official will not be fulfilling all three user roles,
that person must nominate at least one other individual to fill each of the remaining roles. The system
will not allow you to proceed without at least one individual associated with each user role.
44

Step 9: To add a nominee, select “+ Add Nominee.” The screen will expand to show additional fields that
will need to be completed. Fill in the information for the individual being nominated. Once you are
done, select the “Add Nominee” button at the bottom of the page. An entity can have up to ten users
associated with it, up to five of which may hold the role of officer.
45

The screen will display a summary of all of the individuals being nominated for user roles for this entity.
Once all nominations have been completed, select “Continue.”
46

Step 10: Review any pre-populated information for accuracy or enter your personal information as
appropriate. All required fields will be marked with an asterisk. Users will not be able to proceed with
registration until all of the required fields have been completed. Once your personal information has
been entered, select “Continue.”
47

Step 11: Review the information entered for your entity and personal profile. Select “Back” to go back
and edit any information. Once you have reviewed the information and determined it to be correct,
select “Continue.”
48

The following message will appear on-screen to confirm your entity and personal profile have been
successfully created. An email notification with the entity registration ID is sent to the identified
officer(s) and Point of Contact (POC).
After both the entity profile and officer profile are created, the Open Payments system vets the entity
based on the information provided in the entity profile. A complete overview of the vetting process can
be found in Section 3.5.
The officer will be notified via email whether the registration was successful or unsuccessful. If
registration is successful, users can access the Open Payments system and begin performing their tasks.
If the registration is unsuccessful for the entity, Open Payments will send an email notification to the
officer(s) and point of contact stating the entity could not be successfully verified and registered.
Contact the Open Payments Help Desk at openpayments@cms.hhs.gov or 1-855-326-8366 for
assistance.
49

3.3b: Registering an Entity (Returning System Users)
If you already have access to the Open Payments system and wish to register a new entity with the
system, follow these steps:
Step 1: Access the Open Payments system via the CMS Enterprise Portal (https://portal.cms.gov/). Select
the “Manage Entities” tab from the menu bar on the Open Payments home page.
Step 2: Select “Register New Entity.”
50

Step 4: Once your entity type is selected, you will be asked to provide the entity Taxpayer Identification
Number (TIN/EIN). Enter the entity TIN/EIN in the space provided and select “Lookup TIN/EIN.”
52

Step 5: The system will perform a search and make sure no other reporting entity with that TIN/EIN has
already been registered. If the TIN/EIN returns a match, your entity has already been registered. You
may choose to proceed by nominating yourself for a role with that reporting entity by selecting the
entity name, or you may select “Cancel” to exit entity registration. See Section 3.4b(5) for instructions
on how to complete the self-nomination process.
If no match is found for that TIN/EIN, you can proceed with registering that entity. Select “Register your
Entity on Open Payments” to continue with entity registration.
Step 6: Enter the entity information. All required fields will be marked with an asterisk. Users will not be
able to proceed with registration unless all of the required fields have been completed. Make sure that
when entering information into free-form text boxes, you restrict your use of special characters (i.e.,
non-alphanumeric characters) to those permitted by the system. For example, when entering the entity
phone number and Taxpayer Identification Number (TIN/EIN), you must include the hyphen (“-“) in the
proper place within the field to pass field validation.
URL is also a required field. If the entity you are registering does not have a website, enter the URL of
http://www.cms.gov into the field.
When you are done, select “Continue.” Pressing the “Back” button will cause you to lose all data
entered.
Additional Information on the fields for entity registration:
• The Consolidated Report Indicator indicates whether or not the applicable manufacturer or
applicable GPO intends to submit a consolidated report. Consolidated reporting allows the
reporting entity to submit bulk data files across multiple registered entities. Applicable
manufacturers or applicable GPOs should select yes if another applicable manufacturer or
53

applicable GPO under common ownership with the registering entity is submitting a report on
its behalf. The option selected in the consolidated report indicator is a system indicator only and
does not commit the user to submitting a consolidated report. See Section 4.7 for more on
consolidated reporting.
• The Entity Business Type indicates the type of applicable manufacturer or applicable GPO
registering in Open Payments. Entities may select whether the type is any of the following:
o Applicable manufacturer
If applicable manufacturer is selected, an entity must select one of the following
business types:
− applicable manufacturer-drugs/biologicals
− applicable manufacturer-devices/medical supplies
− applicable manufacturer-drugs/biologicals and devices/medical supplies
− applicable manufacturer-physician-owned distributor
− applicable manufacturer-hospital-owned distributor
− applicable manufacturer-distributor/supplier (non-hospital, non-physician-
owned)
o Applicable GPO
If GPO is selected, an entity must select one of the following business types:
− GPO-drugs/biologicals
− GPO-devices/medical supplies
− GPO- drugs/biologicals and devices/medical supplies
− GPO-physician-owned
− GPO-hospital-owned
− GPO-hospital and physician-owned
− GPO-non-hospital, non-physician-owned
− GPO-government-owned
54

Step 7: Enter the required information and select your user roles. For a description of user roles, see
Section 3.4. When registering a new entity, you must select the role of officer for yourself. The system
will not allow you to proceed if this role is not selected. You may also select the role of submitter and/or
attester for yourself. When you are done, select “Continue.”
56

entity registration. If the registering officer will not be fulfilling all three user roles, that person must
nominate at least one other individual to fill each of the remaining roles. The system will not allow you
to proceed without at least one individual associated with each user role.
57

Step 9: To add a nominee, select “+ Add Nominee.” The screen will expand to show additional fields that
will need to be completed. Fill in the information for the individual being nominated. Once you are
done, select the “Add Nominee” button at the bottom of the page. An entity can have up to ten users
associated with it, up to five of which may hold the role of officer.
58

The screen will display a summary of all of the individuals being nominated for user roles for this entity.
Once all nominations have been completed, select “Continue.”
59

60

The following message will appear to confirm your entity and personal profile have been successfully
created.
officer(s) and point of contact stating the entity could not be successfully verified and registered.
Contact the Open Payments Help Desk at openpayments@cms.hhs.gov or 1-855-326-8366 for
assistance.
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3.3c: Registering an Entity with Phase 1 Submitted Data (First Time System
Users)
Step 1: Access the Open Payments system via the CMS Enterprise Portal (https://portal.cms.gov/) using
the EIDM username that was used in the submission of data for Phase 1. The on-screen text contains
important information regarding the registration process. Read the on-screen text and select “Create
My Profile” when you are ready to begin the registration process.
ready to continue.
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Step 4: Once your entity type is selected, select “I have a submitted Entity Profile via Phase 1 Data
Submission” instead of providing the entity Taxpayer Identification Number (TIN/EIN).
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Step 5: From those displayed on the screen, select the reporting entity that submitted data during Phase
1 data submission, and then select “Continue.” Remember, Phase 1 data will only appear if the EIDM
username used to access the system was the username associated with the Phase 1 data submission
email.
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Step 6: In some cases, data submitted during Phase 1 may be identified as containing data entry errors.
As a result, the fields with errors will not contain pre-populated data on the Register Entity page. You
will need to enter corrected data in the required fields prior to selecting “Continue.” If no errors were
found, review the information contained on the Register Entity page and select “Continue.”
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Step 7: Confirm the information displayed, enter your business telephone number, and select your role.
For a description of user roles, see Section 3.4. Once complete, select “Continue.”
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entity registration. If the registering officer will not be fulfilling all three user roles, that person must
nominate at least one other individual to fill each of the remaining roles. The system will not allow you
to proceed without at least one individual associated with each user role.
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Step 9: Review any prepopulated information for accuracy or enter your personal information as
appropriate. All required fields will be marked with an asterisk. Users will not be able to proceed with
registration unless all of the required fields have been completed. Once your personal information has
been entered, select “Continue.”
69

70

The following message will appear upon successful completion of the registration process.
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officer(s) and point of contact stating the entity could not be successfully verified or registered. Contact
the Open Payments Help Desk at openpayments@cms.hhs.gov or 1-855-326-8366 for assistance.
Section 3.4: Open Payments Users and User Roles
Users in the Open Payments system affiliated with applicable manufacturers and applicable GPOs must
hold at least one of three user roles: officer, submitter, or attester. Each reporting entity must have at
least one officer identified. The officer should be highly placed within the entity, a Chief Executive
Officer, Chief Financial Officer, Chief Compliance Officer, or other Officer of the applicable manufacturer
or applicable group purchasing organization, or equivalent position (specific titles may vary depending
on the management structure of the entity). These roles are discussed in detail below.
3.4a: Applicable Manufacturer and Applicable GPO User Roles
Entities must have individuals assigned to specific roles within the Open Payments system to perform
specific functions. Each role has a specific function in the system. There can be a total of 10 users per
entity, with no more than five of those users holding an officer role. Each user can hold multiple user
roles. It is important that prior to registration your entity determines who is the appropriate individual
to fill each of these roles and perform the required tasks.
There are three user roles for applicable manufacturers and applicable GPOs:
1. Officer: A person who will manage the applicable manufacturer or applicable GPO in the Open
Payments system, and manage all user roles associated with the entity.
2. Submitter: A person who will submit data on payments, other transfers of value, and/or
ownership and investment interests for the applicable manufacturer or applicable GPO. The
submitter will also receive all notifications of disputed data.
3. Attester: A person who will attest to the accuracy of the data that has been submitted for the
applicable manufacturer or applicable GPO.
The roles, responsibilities, and access levels for the roles are shown in Figure 3.5, below.
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Figure 3.5: Open Payments User Role
User Roles Functions Requirements
Officer
• Manage the reporting entity’s profile in
the Open Payments system
• Nominate (approve) other individuals for
submitter, attester, and officer roles
• Must be an officer as
designated by the applicable
manufacturer or applicable
GPO
• If nominated, must either
accept or reject the nomination
Submitter
• Submit data in the Open Payments system
on behalf of the applicable manufacturer
or applicable GPO
• May edit payments or other transfers of
value and ownership/investment interests
submitted to the Open Payments system
• Receives emails regarding data disputed
by physicians and teaching hospitals
• Not required to be an officer of
the applicable manufacturer or
applicable GPO
Attester
• Attest to accuracy of the data in the Open
Payments system on behalf of the
applicable manufacturer or applicable GPO
• Must be an officer of the
applicable manufacturer or
applicable GPO as required in
the Open Payments final rule at
42 CFR 403.908(e)
3.4b: Nominations
The nomination process allows the user to assign specific roles to individuals within the entity. Roles are
associated with being able to perform certain tasks in the Open Payments system. Once an entity is
successfully registered in the Open Payments system, users can begin nominating additional users to fill
user roles. The officer must confirm all nominations before users can begin performing actions in the
system. There are two ways that users can nominate individuals for a user role:
• An individual may nominate someone else for a role; or
• An individual may nominate him- or herself for a role (“self-nomination”).
Entities may have third parties submit payments or other transfers of value on their behalf. In this case,
the officer would nominate the third party to fulfill the submitter role. See Section 4.9 for more
information on third party roles.
Additional guidelines on nominations:
• For the officer and attester roles, the individual must be an officer in the entity.
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• The submitter is not required to be an officer within the entity. The submitter does not have to
be an employee of the entity. See Section 4.9 for details on third-party submitters.
An attester must meet the requirements outlined at 42 CFR 403.908(e), which require an attestation to
be completed “. . . by the Chief Executive Officer, Chief Financial Officer, Chief Compliance Officer, or
other Officer of the applicable manufacturer or applicable group purchasing organization that the
information reported is timely, accurate, and complete to the best of his or her knowledge and belief.”
3.4b (1): Nominating Individuals
Any user may nominate other individuals to user roles within the Open Payments system. The system
will generate an email notification to the nominee once their nomination has been approved by an
officer. Once an individual receives the nomination notification, that individual must access the Open
Payments system via the CMS Enterprise Portal (https://portal.cms.gov/) and either accept or reject the
nomination.
If the nomination is accepted, the individual will be able to complete a user profile, gain access to the
system, and perform the duties of their role. If they reject the nomination, the individual will not be able
to perform the actions on that entity’s behalf and the officer will receive an email notification of the
rejection. Note that nominees will need to have EIDM credentials in order to access the Open Payments
system and accept or reject their nominations.
During initial entity registration, the authorized official must nominate at least one user for each of the
three roles (officer, submitter, and/or attester). One individual can hold multiple roles and entities may
nominate up to 10 users total with no more than five individuals for the officer role. To nominate an
individual for a role, the following information must be input into the Open Payments system about that
individual:
• First name;
• Last name;
• Job title;
• Business address;
• Business phone; and
• Email address.
Nominations can be done when registering a new entity, or after the entity profile has already been
created. To nominate individuals during new entity registration, follow the process detailed below:
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Step 1: Access the Open Payments system via the CMS Enterprise Portal (https://portal.cms.gov/) and
select the “Manage Entities” tab from the menu bar on the Open Payments home page.
Step 2: Select the reporting entity for which you will nominate an individual by clicking the entity’s
name.
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Step 3: You will be taken to the “Entity Details” tab, which displays the profile details for the entity
selected. Select the “Manage Roles” tab to continue with the nomination process.
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Step 4: Select “Nominate New Role.”
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Step 5: Enter the required nominee information. Make sure that when entering information into free-
form text boxes, the only special characters (i.e., non-alphanumeric characters) you use are those that
are permitted by the system. Once you are done, select “Send Nomination.”
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The on-screen message below will appear once you have completed the nomination.
The individual that has been nominated will receive an email notification that they have been
nominated for a role in the Open Payments system. The email notifying the nominee of the nomination
will contain a registration ID and a nomination ID. The individual will then access the system using those
IDs and either accept or reject the nomination. Instructions for confirming nominations can be found in
the next section.
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3.4b (2): Accepting a Nomination (First Time System Users)
Users notified of their nomination for a role must access the Open Payments system via the CMS
Enterprise Portal (https://portal.cms.gov/) and either accept or reject their nomination. The user will
use the registration ID and nomination ID received in the nomination email to complete their profile in
the Open Payments system and will receive access to the functions for that specific role.
Figure 3.6: Accepting Nominations
select “Create My Profile”.
Step 2: Select “Start Profile” at the bottom of the screen after reading the instructions on the Create
Profile page.
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Step 3: Select the “I have a Nomination ID and Registration ID” link on the Select Profile Type page.
Step 4: Enter the registration ID and nomination ID that you received in the nomination notification
email and then select “Show Nomination.”
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Step 5: Review the nomination information displayed. If the information is correct, select “Continue.” If
the information is incorrect, select “Cancel” and contact the reporting entity’s authorized official.
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Step 6: Review and confirm the entity information displayed and then select “Continue.”
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Step 7: Select “I accept” for roles you accept and “I do not accept” for roles you do not accept. If you
reject all roles for which you have been nominated, press “Continue” after selecting “I do not accept”
for all roles. The system will ask you if you’re sure you want to reject these roles. If you confirm your
choice to reject the roles, you will exit the system and the nominator will receive an email that you
rejected the nominations. The nominator will then be allowed to nominate other people for the roles.
If you accept one or all roles and select continue, you will continue the nomination confirmation
process.
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Step 8: Enter your personal information and select “Continue.”
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Step 9: Now you’ll be asked to review the information you’ve entered. To correct any errors, select
“Back” on the bottom of the page to return to previous pages and make your corrections. If the
information is correct, select “Continue.”
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The following message will appear on-screen to confirm your nomination has been successfully
accepted.
3.4b (3): Accepting a Nomination (Returning System Users)
select the “My Profile” tab from the menu bar on the Open Payments home page.
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Step 2: On the “My Roles and Nominations” tab, select “Accept a Role.”
Step 3: Enter the registration ID and nomination ID provided in the email notification and select “Show
Nomination.” The entity and role information will be displayed on the screen. If this information is
correct, select “Continue.” If it is not correct, select “Cancel” and contact your reporting entity’s
authorized official.
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Step 4: Review the entity information on the screen and select “Continue” to proceed with the
nomination confirmation process. If any of the entity details are incorrect, contact the entity’s
authorized official.
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Step 5: Select “I accept” for roles you accept and “I do not accept” for roles you do not accept. If you
reject all roles for which you have been nominated, press “Continue” after selecting “I do not accept”
for all roles. The system will ask you if you’re sure you want to reject these roles. If you confirm your
choice to reject all roles, you will exit the system and the nominator will receive an email that you
If you accept one or all roles and select “Continue”, you will continue the nomination confirmation
process.
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Step 6: Review the entity information and personal profile. Select “Back” to go back and edit any
personal information. If the entity information is not correct, select “Cancel” and contact your reporting
entity’s authorized official. If the information is correct, select “Continue.”
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The following message will appear on-screen to confirm your acceptance of one or more user roles.
3.4b (4): How to Reject a Nomination
To reject a nomination, access the Open Payments system via the CMS Enterprise Portal
(https://portal.cms.gov/) using the registration ID and nomination ID provided in the notification email
and follow the steps below to reject the nomination.
1. Follow steps 1 through 4 outlined in Section 3.4b (2) for accepting a nomination.
2. During step 5, select “No I do not accept” and select “Continue.”
Once you reject a nomination, you will be exited from the system and will be unable to perform any
functions in Open Payments. The officer for that entity will receive an email notifying him or her of the
rejection. The officer may nominate another individual for that role.
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3.4b (5): Self-Nomination Overview
Self-nominations occur when a user nominates him or herself for a user role within the Open Payments
system. The officer must approve this nomination before the nominee can perform any functions within
the system. Users choosing to self-nominate in the system must also obtain EIDM credentials in order to
access Open Payments. Figure 3.7, below, depicts the self-nomination process.
Figure 3.7 Self-Nomination Process
To self-nominate for a role in the Open Payments system, users must access the Open Payments system
via the CMS Enterprise Portal (https://portal.cms.gov/), and use the reporting entity’s TIN/EIN in order
to find the entity in the Open Payments system. Once the user has submitted their nomination request,
the officer for that reporting entity will receive an email notification asking to approve the nomination.
If the officer approves the nomination, the nominee will receive an email notification and be granted
access to the system. Sections 3.4b (6) and 3.4b (7) below provide the steps required to complete the
self-nomination process.
3.4b (6): Self-Nomination with a Registered Entity (First Time System Users)
Step 1: Access the Open Payments system via the CMS Enterprise Portal (https://portal.cms.gov/). The
on-screen text contains important information regarding the registration process. Read the on-screen
text and select “Create My Profile” to begin the registration process.
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ready to continue.
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Step 4: Enter the entity TIN/EIN that you want to associate yourself with. The TIN must be nine digits,
with a dash after the second digit. Select “Lookup TIN/EIN.”
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Step 5: Select the correct entity from the list displayed and select “Continue.” Note that if no entity is
found, the entity has not yet been registered in the Open Payments system. You may register the entity
in Open Payments (if you are a Chief Executive Officer, Chief Financial Officer, Chief Compliance Officer,
or other Officer of the applicable manufacturer or applicable group purchasing organization (GPO)), or
contact a Chief Executive Officer or similar officer within your organization to request that he or she
register the entity in the Open Payments system.
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Step 6: Review and confirm the entity information displayed on screen. If any of the entity information is
incorrect, contact an authorized official in the officer role. Select “Continue” to proceed.
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Step 7: Enter your personal information and select the roles for which you want to nominate yourself.
Make sure that when entering information into free-form text boxes, the only special characters (i.e.,
non-alphanumeric characters) you use are those permitted by the system. Select “Continue” to proceed.
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Step 8: On the “Enter Personal Information” screen, enter your personal information and business
contact information. Required fields are marked with an asterisk. When entering a telephone number,
be sure to place hyphens between the area code and prefix and the prefix and the last four digits. Once
you have entered in all of the information, select “Continue.”
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Step 9: Review the information entered in your profile. Select “Back” to go back and edit any incorrect
information. When the information is correct, select “Continue.”
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The following on-screen message will appear to confirm your profile creation was successful.
3.4b (7): Additional Self-Nomination with a Registered Entity (Returning System
Users)
select the “My Profile” tab from the menu bar.
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Step 2: Select the “My Roles and Nominations” tab.
Step 3: Select “Request a Role.”
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Step 4: Enter the entity TIN/EIN and select “Lookup TIN/EIN.” The TIN must be nine digits, with a dash
after the second digit (XX-XXXXXXX). Select the entity with which you want to associate yourself. Note
that if no entity is found, the entity has not yet been registered in the Open Payments system. You will
either need to register this entity as the authorized official, or contact an officer within your
organization to register the entity in the Open Payments system.
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Step 5: Review and confirm the entity information displayed on screen. If any of the entity information is
incorrect, contact the authorized official in the role of officer to update the entity profile information.
Select “Continue” to proceed.
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Step 6: Enter your personal information and select the roles you want to nominate yourself for. Make
sure that when entering information into free-form text boxes, the only special characters (i.e., non-
alphanumeric characters) you use are those permitted by the system. Select “Continue” to proceed.
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Step 7: Review the information entered in your profile. Select “Back” to go back and edit any incorrect
information. When the information is correct, select “Continue.”
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You will receive the following on-screen notification.
3.4b (8): Approving Nominations (Officers Only)
select the “Manage Entities” tab from the menu bar on the Open Payments home page.
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Step 2: You will see a list of all of the reporting entities you are associated with. Select the entity for
which you will be confirming the nominations.
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Step 3: You will be taken to the “Entity Details” tab, which displays the profile details for the entity
selected. Select the “Manage Roles” tab to continue with the nomination approval process.
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Step 4: View the nominations waiting for approval. To approve the nominations with no changes, select
“Approve” next to the name and role. The status will change directly on screen from “Requested” to
“Approved.” If you need to modify the nomination, select “Modify.”
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You may modify the nomination prior to approval. This can be done by overriding the information
submitted directly on the screen. You may modify the roles the user has requested by checking or
unchecking each user role box accordingly. Once you have modified the nomination, select “Submit.”
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The following on-screen confirmation message will appear. The nomination status has now changed to
“Nomination Approved.”
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Section 3.5: Vetting
Vetting is the process of verifying an applicable manufacturer’s or applicable GPO’s corporate identity.
This is done to ensure that the applicable manufacturer or applicable GPO is a valid reporting entity. All
applicable manufacturers and applicable GPOs registering in the Open Payments system will be vetted.
Vetting occurs once the authorized official has completed his or her profile and submitted his or her
registration in the Open Payments system. Note that entity registration is not considered complete
until the vetting process has been successfully completed.
3.5a: Entity Vetting
Vetting of an applicable manufacturer or applicable GPO is an automated process. The automated
vetting process will typically require little action from the user in order to complete it. Once the
authorized official submits the entity and user profile, the vetting process begins. The process will
attempt to vet the entity using the information provided in the entity profile.
If the vetting fails, the authorized official will be notified via email and have the opportunity to correct
the information and resubmit the entity for vetting. The authorized official will have three attempts to
successfully complete the automated vetting process for the entity. If the vetting fails three times, the
authorized official will need to contact the Open Payments Help Desk to receive a “Conditionally
Approved” status in order to gain access to the Open Payments system. “Conditionally Approved” status
is given on a discretionary basis by the Open Payments Help Desk. This status will allow the authorized
official and additional users to perform tasks within the system to remain compliant with the program,
though it will be noted that the entity could not be successfully vetted.
If the authorized official believes all of the information provided in the entity profile is correct and the
entity should have been successfully vetted, the authorized official can contact the Open Payments Help
Desk at any time during the vetting process for assistance at openpayments@cms.hhs.gov or 1-855-326-
8366.
Note: If the Open Payments Help Desk does not assign the entity the “Conditionally Approved” status,
the entity vetting status will remain as “Failed Vetting” in the Open Payments system and users
associated with the reporting entity will not be able to perform any action in the system.
3.5b: Vetting Timeframe
The automatic vetting process normally takes a short time. Nevertheless, the process could take longer,
depending on the information provided by the user and the number of entities undergoing vetting at
the same time. CMS encourages authorized officials to register and begin the vetting process as early as
possible to allow sufficient time for vetting to be completed.
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Data Submission and
Attestation
Chapter 4: Data Submission and Attestation
This chapter on data submission and attestation provides detailed information on how applicable
manufacturers and applicable GPOs are able to submit payments or other transfers of value, and
ownership or investment interest information, to the Open Payments system. The Open Payments
system provides two data entry and submission options: (1) bulk data entry via XML or CSV files, or ZIP
file that contains XML or CSV file uploads for both individual and consolidated reports, and (2) manual
data entry via a Graphic User Interface (GUI).
• Data Submission Phases 1 and 2, contains information on the two phases of data submission for
the Open Payments system in program year 2013.
• Instructions, Sample Files, and Data Mapping, contains information on the types and locations
of data submission resources.
• Bulk File Upload contains information and instructions for the preparation and upload of XML or
CSV files (or ZIP files containing XML or CSV files) for submission through the Open Payments
system.
• Manual Data Entry Using the Graphic User Interface contains information about submitting
information to the Open Payments system through a graphical user interface.
• Final Submission of Payments contains information about the final data submission process
after all records are uploaded and ready for submission.
• Third Party Data Submitters contains information about the use of third parties by entities to
submit data to the Open Payments system.
• Consolidated Reporting contains information about entities under common ownership having
their data collectively submitted by one entity in the group in consolidated reports.
• Data Submission Errors contains information about how to understand error reporting and how
to correct errors in submitted records.
• Attestation and Assumptions contains information about the attestation to the accuracy of data
submitted to Open Payments.
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Figure 4.1 provides an overview of the data and submission attestation process for the 2013 program
year.
Figure 4.1: The Four Steps of Data Submission and Attestation
Note: Applicable manufacturers and applicable GPOs must maintain all books, contracts, records,
documents, and other evidence sufficient to enable the audit, evaluation, and inspection of the
entity’s compliance for five years from the date of publication.
Data reporting is complete only after electronic attestation is received for the program year.
Section 4.1: Data Submission Phase 1
Data submission for program year 2013 was split into two phases. During Phase 1, which ended on
March 31, 2014, authorized officials completed EIDM registration and requested access to the Open
Payments system, and also sent an email to CMS with a CSV file that contained corporate profile
information and aggregate 2013 data. Data elements requested in the CSV file are listed in Figure 4.2.
The authorized official must have obtained their EIDM credentials prior to submitting any email
information. See Section 3.2 for instructions on how to obtain EIDM credentials.
After the authorized official received his or her EIDM credentials, the official was able to delegate
another individual within their entity to complete Phase 1 of data submission. Regardless of who sent
the Phase 1 email, the email submission must have contained the EIDM user name of the authorized
official who will register the entity in the Open Payments system when it becomes available. The
EIDM credentials must be for an entity’s Chief Executive Officer, Chief Financial Officer, Chief
Compliance Officer, or other Officer who can legally represent the organization. The authorized official’s
EIDM user name will be used to match the email submission to the appropriate entity in the system
once the system is available.
Authorized officials representing multiple entities within the Open Payments system were required to
send a separate data submission email for each entity. Each of these emails contained its own unique
CSV file that contained only a single entity’s corporate information and aggregate data. Emails and/or
CSV files that referenced multiple entities were rejected.
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Figure 4.2: Required Content for Email Submission/CSV File
Entity Information Payment Information
• Authorized official’s EIDM user
name
• Registering entity legal name
• Doing business as (DBA) name
• Registering entity business type
• Website address/uniform resource
locator (URL) of parent company
• Registering entity business address
• Registering entity business
telephone number
• Consolidated report indicator (Y/N)
1. Aggregate information representing the first look at
the applicable manufacturer’s or applicable GPO’s
2013 payment report:
a. Category 1: Research Payments Aggregate
Data:
i. Total aggregate amount (in dollars) of
payments or other transfers of value
applicable GPO has provided to
Covered Recipients of physician
owners/investors during the reporting
period.
ii. Total number of payments or other
transfers of value made.
iii. Total number of covered recipients
(unique/non-duplicate) or physician
owners/investors that were recipients
of the payments or other transfers of
value during the reporting period.
b. Category 2: Non Research Payments Aggregate
Data:
i. Total aggregate amount (in dollars) of
payments or other transfers of value
applicable GPO has provided to
Covered Recipients of physician
owners/investors during the reporting
period.
ii. Total number of payments or other
transfers of value made.
iii. Total number of covered recipients
(unique/non-duplicate) or physician
owners/investors that were recipients
of the payments or other transfers of
value during the reporting period.
c. Ownership or Investment Interests Aggregate
Data:
Total number of physician owners/investors
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Phase 1 emails were sent to CMS with the CSV file attached. Once the authorized official or other
designee submitted the email, he or she received an email confirmation. No additional action needed to
be taken until the Open Payments system became available in June 2014.
A Phase 1 Data Submission Instructions document can be found on the Open Payments website’s Data
Submission and Attestation (http://www.cms.gov/Regulations-and-Guidance/Legislation/National-
Physician-Payment-Transparency-Program/Data-Submission-and-Attestation.html) page.
Section 4.2: Data Submission Phase 2
Phase 2 of the data submission process requires reporting entities to submit detailed information
regarding payments or transfers of value made during the 2013 program year, and attest to the accuracy
of the data. Reporting entities will submit data either through bulk file upload or manual data entry.
Both submission options are covered later in this chapter. Note that only individuals holding the role of
submitter may submit the data in the Open Payments system and only individuals holding the role of
attester may attest to the data.
Beginning in early June, 2014, applicable manufacturers and applicable GPOs may start Phase 2 data
submission, which will be completed in two steps.
Step 1: Early June through June 30, 2014. Authorized officials of applicable manufacturers and
applicable GPOs are required to:
• Complete Open Payments system registration for themselves and their reporting entity;
• Confirm the accuracy of the reporting entity profile data submitted for Phase 1; and
• Delegate roles and responsibilities by nominating system users to fill specific user roles.
During this period, system users in the role of submitter should:
• Perform test file uploads and submit data files to validate the file structure and contents of the
file. For more detail on this process, review the Phase 2 Instructions document
(https://www.cms.gov/Regulations-and-Guidance/Legislation/National-Physician-Payment-
Transparency-Program/Downloads/Phase-2-Instructions-Document-%5bMay-2014%5d.pdf).
• Use the error report produced by the Open Payments system to fix any data errors in submitted
files.
Once the data files have been successfully uploaded and validated at this step, move on to Step 2.
Step 2: June 9 through June 30, 2014. The Open Payments system will also allow:
• Submitters to perform final data submission; and
• Attesters to attest to the accuracy of their submitted detailed 2013 payment or other transfer of
value data, or ownership/investment interest data.
All Phase 2 activities (Steps 1 and 2) must be completed by June 30, 2014. Review the Phase 2
Instructions document for a detailed guide to Phase 2 timing and activities. This document is available
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on the Program Registration and Data Submission and Attestation pages of the Open Payments website
(http://go.cms.gov/openpayments).
For program year 2013, CMS will not enforce penalties for reporting non-compliance until after the close
of Phase 2 registration and data submission.
This phased approach to Open Payments registration and data submission is for the 2013 program year
only (data collected between August 1, 2013 and December 31, 2013).
Section 4.3: Instructions, Sample Files, and Data Mapping
Chapter 2 of this Guide presents detailed descriptions of the information that must be collected for
reporting by reporting entities.
This section provides details on how to submit that collected data through bulk upload. The XSD file
(XML Schema Definition), and XML and CSV sample files, plus a bulk data submission instruction
document are available on the Open Payments Data Submission and Attestation page
(https://www.cms.gov/Regulations-and-Guidance/Legislation/National-Physician-Payment-
Transparency-Program/Data-Submission-and-Attestation.html). The schema and sample files define the
exact format and layout of the files accepted in the Open Payments system. The instructions document
explains how to use the XSD (XML Schema Definition) document and sample files, as well as a mapping
of each data field in the sample files to the data elements. Please refer to the Submission Data Mapping
Document to see the mapping of each data element (previously included in the Submission File
Specifications) to the appropriate XML and CSV field names. These documents provide users with all of
the information needed for the purposes of Open Payments and data formatting and submission.
Using the Submission Data Mapping Document, the correct data element in the XML and CSV sample file
can be populated with the entity’s data. To map the data elements in the mapping document to the
XML/CSV sample files, follow these steps:
1. Download the Submission Data Mapping Document from the Open Payments website. The data
element name identified in column B can be used to map to the field name used in the XML and
CSV sample files.
2. If an XML file is being submitted, map the data element name listed in the Data Element Name
column to XSD Element Name column.
3. If a CSV file is being submitted, map the data element name listed in the Data Element Name
column to CSV Element Name column.
4.3a: Creating CSV and XML Files
CSV and XML file formats are the only two file formats accepted by the Open Payments system for bulk
file upload (or ZIP files that contain XML or CSV files). The selected file type must be prepared and
formatted properly for successful submission. Check with your entity’s IT department if you are unsure
which file format to use. For more detailed information, you can refer to the Phase 2 CSV and XML
Tutorial: Preparing Files for Data Submission webinar
(https://event.webcasts.com/starthere.jsp?ei=1033506) on the Open Payments website.
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Bulk data files may not exceed 250MB in size. If the data in your file exceeds that limit, you can split the
data into more than one data file. Note that the Open Payments system also accepts CSV or XML data
files that have been compressed into a ZIP file if the file is under 250MB after compression.
There are no system limitations to the number of data lines or rows that can be included in a file. The
Submission Data Mapping Document can be used to reference the data elements, data element
descriptions, and expected size/format/name.
4.3b: CSV Files
There are many applications that can be used to prepare CSV files. Two applications covered in the
Phase 2 CSV and XML Tutorial: Preparing Your Files for Data Submission, are Excel and Open Office.
When creating CSV files using Excel on a Windows-based computer, you must first update the
computer’s regional settings to display “pipe“ as the field delimiter instead of “comma.” You can find
the regional settings in your computer’s Control Panel under Region and Language -> Additional Settings
-> List Separator. Once this is complete, you can then create the pipe by holding down the shift key and
pressing backslash (i.e., “”). Please note that this “regional setting” change is not necessary when using
Open Office.
When using Excel on a Windows-based computer, load an applicable CSV sample file downloaded from
the Open Payments website. Next, enter required data within the columns, “auto-fit” the columns to
make all data visible to ensure the data is entered correctly, and save the file. Be sure to save the file in
the file format of “CSV” (Excel default is either “.XLS” or “.XLSX”).
When using Open Office on either a Macintosh or Windows-based computer, first open the sample file
downloaded from the Open Payments website. When the Text Import window opens, one of the
options you will see is “Separators.” Ensure that the button for “Other” is checked and press the “shift”
and “” keys to create the pipe as the separator in the “Other” field. Once this is done, enter required
data within the columns, Ensure all data has been entered correctly and save the file. You must save the
file as a CSV file.
Whether you are using Excel or Open Office, it is important to perform the following final checks before
submitting your file:
• Open the CSV file in a text editor (Notepad for Windows, Text Editor for Macintosh) and confirm
that the rows are delimited with pipes; and
• Ensure that rows of data are not contained within quotation marks to avoid the data being
rejected by the system.
4.3c: XML Files
When creating XML files, use the Open Payments XSD document with a programming application such
as integrated development environments. Acceptable programming applications are available on the
internet, but if you are not familiar with creating XML files, you should contact your reporting entity’s IT
department for assistance.
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The Submission Data Mapping Document can be used to reference the data elements, data element
descriptions, and expected size/format/name of each XSD element. Refer to both the Submission Data
Mapping Document and XSD (XML Schema Definition) document for all XML formatting questions. You
must save the file with the suffix “.XML”, and the file name cannot exceed 50 characters.
Section 4.4: Bulk File Upload
The Open Payments system allows applicable manufacturers and applicable GPOs to submit payment or
other transfers of value, and ownership or investment interest information via bulk file uploads. Files
can be submitted as an individual entity submitting a single report or as a consolidated report on behalf
of multiple entities (see Section 4.7 for information on Consolidated Reporting). There are two types of
file formats that can be used for bulk data upload into the Open Payments system: XML or CSV (or ZIP
file containing one of these file types). The files listed below can be downloaded from the Open
Payments Data Submission and Attestation page (https://www.cms.gov/Regulations-and-
Attestation.html).
1. XML
Payments.xsd is the XSD (XML Schema Definition) document available for download for XML file
validation. Use the XSD document for all three reporting categories. The reporting entity should
download the XML Schema Definition document plus the sample XML file(s) for the type of
payments being submitted.
• General Sample File XML – To be used for general payment submissions
• Research Sample File XML – To be used for research payment submissions
• Owner/Investor Sample File XML – To be used for ownership/investment information
submissions.
2. CSV
There are three CSV sample files available for download for submitting Open Payments data.
These sample files correspond to the three reporting categories.
• General Sample File CSV – To be used for general payment submissions
• Research Sample File CSV – To be used for research payment submissions
• Owner/Investor Sample File CSV – To be used for ownership/investment information
submissions.
Please refer to the Bulk Data Upload Instructions on the Open Payments website for directions on how
to prepare and upload each file type.
Note: Applicable manufacturers and applicable GPOs can submit test submissions to test the format
validity of the files being uploaded. This function is provided solely for the purposes of ensuring
submission files follow the correct submission format. Test data is not retained in the system and is not
included in the data submission. Submission of a test file will be covered in the appropriate steps below.
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4.4a: Bulk File Upload Instructions
select the “Payments” tab.
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Step 2: You will be brought to the Payments Overview page. Select the “Bulk File Upload (CSV or XML)”
option to begin the bulk upload process. Complete the Upload Files page. Select the payment category
for the type of file being submitted: General, research, or ownership/investment interest. Then select
the entity for which you will be uploading the files and the program year of the data. Browse and select
the file that is to be uploaded.
You may only submit one file at a time. If you have multiple files to upload, repeat the bulk upload
process for each file.
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Step 3: After you have entered this information, you may select from two buttons: “Submit as Test File”
or “Submit File to Open Payments.”
Files submitted as test files are not uploaded for reporting purposes or kept on the system. The system
instead checks the file for the following:
• The file is in a valid CSV, XML, or zip file format;
• The file is smaller than 250 MB;
• The file header is present; and
• The file template and payment category, which you selected at upload, match.
The Open Payments system will display test results on the screen. To upload the file for reporting, select
the “Submit File to Open Payments” button. The file will first undergo the same checks as a test
submission. The file will then undergo file validation, where the system will check that the information
contained in the file adheres to the size and character restrictions given in the Submission Data Mapping
Document, available on the Data Submission and Attestation page of the Open Payments website
(http://www.cms.gov/Regulations-and-Guidance/Legislation/National-Physician-Payment-Transparency-
Program/Data-Submission-and-Attestation.html).
You will receive an email that will provide you with the overall results of the validation, as well as
general instructions on how to correct records that failed validation. Records that fail validation must be
corrected before the final submission process. See Section 4.10 for details on record correction and
resubmission.
Take note that the data has only been uploaded to the system; it has not yet been submitted as final
into the Open Payments system. Performing bulk file upload only uploads the file and checks each
record to ensure that it adheres to a valid data format. Final data submission can only take place once all
records are error free and in “Ready for Submission” status. See Section 4.6 for details on final
submission.
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Section 4.5: Manual Entry Using the Graphic User Interface
The Open Payments system provides the ability to enter information regarding individual payments or
other transfers of value through an online interface. The Submission Data Mapping Document, available
on the Data Submission and Attestation page of the Open Payments website,
(http://www.cms.gov/Regulations-and-Guidance/Legislation/National-Physician-Payment-Transparency-
Program/Data-Submission-and-Attestation.html) provides guidance and descriptions on each of the
fields that will be entered during the manual data entry process. It is suggested that submitters have this
document available during manual entry to refer to for questions related to the data fields and
descriptions.
4.5a: Manual Entry of General Payments
To enter general payments data manually, follow these steps:
select the “Payments” tab from the home page.
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Step 2: Select “Manual Data Entry” from the Payments Overview page. On the Enter Records Manually
page, use the drop-down menus to select the Payment Category, Entity Name, Program Year, and enter
in the Home System Payment ID (if applicable). The Home System Payment ID refers to the identifier
associated with the payment transaction in the applicable manufacturer or applicable GPO home
system. Select “Continue” to proceed.
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Step 3: Select the covered recipient type: physician or teaching hospital.
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Step 4: The next few screens will differ depending on the covered recipient type selected. For teaching
hospitals, enter information as requested on the screen below. Required fields are marked with
asterisks. For a list of all teaching hospitals, refer to the Teaching Hospital page on the Open Payments
website (https://www.cms.gov/Regulations-and-Guidance/Legislation/National-Physician-Payment-
Transparency-Program/Teaching-Hospitals.html). The name entered in the “Teaching Hospital Name”
field should match the name listed in the teaching hospital list.
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For physicians, enter information as requested on the screen below. Required fields are marked with
asterisks. Please note that physician license numbers entered into the Open Payments system cannot
contain special characters (i.e., non-alphanumeric characters) and any special characters in the license
number should be ignored. For a list of the available physician taxonomy codes, refer to the Medicare
Provider/Supplier to the Healthcare Provider Taxonomy list in Appendix C. Specialty codes that are not
on the taxonomy code list may not be entered.
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Step 5: Enter product information. Select the product indicator for covered, non-covered, none, or
combination. “Covered” is to be used when reporting only payments or other transfers of value related
to covered drugs, biologicals, devices, or medical supplies. “Non-covered” is to be used when reporting
payments or other transfers of value related to only non-covered drugs, biologicals, devices, or medical
supplies. “None” is to be used when the reported payment was not made in relation to a drug,
biological, device, or medical supply. “Combination” is to be used when reporting payments or other
transfers of value related to a combination of both covered and non-covered drugs, biologicals, devices,
or medical supplies.
Then enter National Drug Codes (NDCs) for up to five covered drugs or biologicals to be included in this
record. NDCs are unique identifiers with ten alphanumeric characters and made up of three segments.
These segments can be separated by dashes, though they do not have to be. As a result, the NDC must
be in one of the following formats to be accepted by the Open Payments system:
• 12B45678A0
• 12B4-5678-A0
• 12B45-678-A0
• 12B45-678A-0
NDCs entered that do not match one of these four formats will not be accepted. NDCs can be found on
the U.S. Food and Drug Administration’s website at
http://www.accessdata.fda.gov/scripts/cder/ndc/default.cfm.
Enter the names of the drugs or biologicals associated with those NDCs in the table on the bottom left of
the screen. If you are submitting information for covered devices or medical supplies, provide their
names in the fields on the bottom right of the screen.
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Step 6: Enter payment information in the required fields: total amount of payment, date of payment
(which for program year 2013 must fall between August 1 and December 31, 2013), the number of
payments included in the total amount, the form of payment or other transfer of value, and the nature
of payment or other transfer of value. Note that only positive dollar values are allowed when reporting
payment amounts. Negative dollar values are not permitted. Select “Continue.”
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Step 7a: Enter general record information for teaching hospitals. The “Contextual Information” box is a
free-form text field where you can enter any information you deem helpful or appropriate regarding the
payment or other transfer of value. The text field has a limit of 500 characters. If the “Delay in
Publication of Research Payment” field is set to request a delay in publication, the Contextual
Information box must include the name of the relevant research study.
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Step 7b: Enter general record information for physicians. The “Contextual Information” box is a
free-form text field where you can enter any information you deem helpful or appropriate
regarding the payment or other transfer of value. The text field has a limit of 500 characters. If the
“Delay in Publication of Research Payment” field is set to request a delay in publication, the
Contextual Information box must include the name of the relevant research study.
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Step 8: Review the payment information entered in the previous screens. Select “Back” to go back and
edit information. Select “Save Record” to continue.
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A confirmation message will be displayed on-screen to confirm that the record of the payment or other
transfer of value has been saved and is being processed.
See Section 4.6, “Final Submission of Data,” for the next steps.
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4.5b: Manual Entry of Research Payments
To enter research payment data manually, follow these steps:
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Step 3: Select the recipient type: covered recipient physician, covered recipient teaching hospital, non-
covered recipient entity, or non-covered recipient individual.
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Step 4a: For covered recipient teaching hospitals, enter information as requested on the screen below.
Required fields are marked with asterisks. For a list of all teaching hospitals, refer to the Teaching
Hospital page on the Open Payments website (https://www.cms.gov/Regulations-and-
Guidance/Legislation/National-Physician-Payment-Transparency-Program/Teaching-Hospitals.html). The
name entered in the “Teaching Hospital Name” field should match the name listed in the teaching
hospital list.
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Step 4b: For covered recipient physicians, enter information as requested on the screen below. Required
fields are marked with asterisks. Please note that physician license numbers entered into the Open
Payments system cannot contain special characters (i.e., non-alphanumeric characters) and any special
characters in the license number should be ignored. For a list of the available physician taxonomy codes,
refer to the Medicare Provider/Supplier to the Healthcare Provider Taxonomy list in Appendix C.
Specialty codes that are not on the taxonomy code list may not be entered.
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Step 4c: For non-covered recipient entities, enter information as requested on the screen below.
Required fields are marked with asterisks.
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Step 4d: For non-covered recipient individuals, make the appropriate selection from the drop-down on
the Recipient Demographic Information page and select “Continue.”
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Step 5: Enter product information. Select the product indicator for covered, non-covered, none, or
combination. “Covered” is to be used when reporting only payments or other transfers of value related
to covered drugs, biologicals, devices, or medical supplies. “Non-covered” is to be used when reporting
payments or other transfers of value related to only non-covered drugs, biologicals, devices, or medical
supplies. “None” is to be used when the reported payment was not made in relation to a drug,
biological, device, or medical supply. “Combination” is to be used when reporting payments or other
transfers of value related to a combination of both covered and non-covered drugs, biologicals, devices,
or medical supplies.
Then enter National Drug Codes (NDCs) for up to five covered drugs or biologicals to be included in this
record. NDCs are unique identifiers with ten alphanumeric characters and made up of three segments.
These segments can be separated by dashes, though they do not have to be. As a result, the NDC must
be in one of the following formats to be accepted by the Open Payments system:
• 12B45678A0
• 12B4-5678-A0
• 12B45-678-A0
• 12B45-678A-0
NDCs entered that do not match one of these four formats will not be accepted. NDCs can be found on
the U.S. Food and Drug Administration’s website at
http://www.accessdata.fda.gov/scripts/cder/ndc/default.cfm.
Enter the names of the drugs or biologicals associated with those NDCs in the table on the bottom left of
the screen. If you are submitting information for covered devices or medical supplies, provide their
names in the fields on the bottom right of the screen.
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Step 6: Enter payment information in the required fields: total amount of payment, date of payment
(which for program year 2013 must fall between August 1 and December 31, 2013), the number of
payments included in the total amount, the form of payment or other transfer of value, and the nature
of payment or other transfer of value. Note that only positive dollar values are allowed when reporting
payment amounts. Negative dollar values are not permitted.
If you wish to request a delay in public reporting of that payment, you can request a delay in the “Delay
in Publication of Research Payment Indicator” drop-down menu near the bottom of the screen.
The “Contextual Information” box is a free-form text field where you can enter any information you
deem helpful or appropriate regarding the payment or other transfer of value. The text field has a limit
of 500 characters. If the “Delay in Publication of Research Payment” field is set to request a delay in
publication, the Contextual Information box must include the name of the relevant research study.
Select “Continue.”
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Step 7: Review the payment information entered in the previous screens. Select “Back” to go back and
edit information. Select “Save Record” to continue.
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A confirmation message will be displayed on-screen to confirm that the record of the payment or other
transfer of value has been saved and is being processed.
4.5c: Manual Entry of Ownership/Investment Interest Payments
To enter data ownership/investment interest payments manually, follow these steps:
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Step 3: Enter the Physician Demographic Information seen on the screen below. Required fields are
marked with asterisks. For a list of the available physician taxonomy codes, refer to the Medicare
Provider/Supplier to the Healthcare Provider Taxonomy list in Appendix C. Specialty codes that are not
on the taxonomy code list may not be entered.
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Step 4: Enter the ownership or investment information. Required fields are marked with asterisks. The
“Terms of Interest” field must contain a description of any applicable terms of the ownership or
investment interest. When reporting the terms of an ownership or investment interest, applicable
manufacturers and applicable GPOs should report the type of ownership or investment interest,
including but not limited to stock, stock options, partnership shares, loans, bonds, or other financial
instruments that are secured with an entity’s property or revenue, or a portion of that property or
revenue. The field is a free-form text field, with a 500-character maximum.
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Step 5: Review the ownership or investment information entered in the previous screens. Select “Back”
to go back and edit information. Select “Save Record” to continue.
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A confirmation message will be displayed on-screen to confirm the payment has been saved and is being
processed.
Section 4.6: Final Submission of Data
Final submission of data occurs after data has been uploaded and each record is error free. For program
year 2013, final submission takes place between June 9 and 30, 2014. During this period, submitters will
perform final data submission, which consists of ensuring that the data passes a series of checks to
match the reported data to appropriate physicians or teaching hospitals.
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4.6a: Final Submission of Data
To perform final submission of data, follow these steps.
Step 1: On the Payments Overview page, select the “Payments” tab. Select the entity from the drop-
down list for which the payments were just uploaded and select “Show Summary.” Once the summary
displays, select “Review Records.”
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Step 2: On the Review Records page, you’ll see a summary of all records that have been submitted for
that entity. The three payment types will be in separate boxes. In each box is a series of statuses and the
number of records currently in that status for the entity. Again, please note that these numbers are for
all records submitted for the entity to date. The statuses are the following:
• Ready for submission: These records are ready to be submitted for attestation.
• System processing: These records are being processed by the system for field validation checks.
• Ready for attestation: These records have passed field validation and data matching, and are
ready for attestation.
• Failed validation: These records did not pass field validation checks.
• Unmatched: These records did not pass data matching checks. See Section 4.8 for information
on data matching.
• Returned to submitter: These records were returned by the attester as containing errors and
requiring correction.
• Attested: These records have been attested to as accurate by the attester.
• Matching in progress: These records are undergoing data matching. See Section 4.8 for
information on data matching.
• Total payments: This is the total number of records in the Open Payments system for that entity
and payment type.
Correct the records as necessary to get them to “Ready for Submission” status. See Section 4.10 for
information on correcting record errors.
Once all records are in “Ready for Submission” status, select “Final Submission” to proceed. Note that
for program year 2013, the final submission can only be performed between June 9 and 30, 2014.
Note: After selecting “Final Submission,” all submitted records go through the data matching process,
which matches each record to a valid physician or teaching hospital. See Section 4.8 for details on data
matching. After data matching is successfully completed through corrections or overriding of unmatched
status (see Section 4.8), attestation can begin. See Section 4.11 for instructions on how to complete the
attestation process.
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Step 2a: Selecting the “View All” next to a payment category will bring up this screen, which provides
details on specific records.
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Step 3: Select “Final Submission.” The screen that appears will allow you to review summary details of
your submission. If those details are correct, select “Submit as Final Submission.”
Section 4.7: Consolidated Reporting
Consolidated reporting allows one entity in a related group to submit and attest to data on behalf of all
its entities in that group. It is up to the discretion of each entity to decide if they would like to submit
and attest to a consolidated report, or if each entity in the related group should submit and attest to
their own data. This functionality allows the reporting entity to submit and attest to bulk data files
across multiple registered entities. Consolidated reports are permitted when multiple applicable
manufacturers or applicable GPOs held under common ownership combine their respective submissions
into a single “consolidated report” for each type of transaction (general, research, or ownership or
investment interest), and attest to the accuracy of the consolidated report.
Nevertheless, each individual entity contributing to that report is required to register in the Open
Payments system separately. Also, the entities in the consolidated report will not have their payment or
transfers of value information reported together; their information will be listed separately.
Each payment record made by a consolidated reporting entity is listed under each individual entity
within the Open Payments system and is not represented under the entity making the submission on
behalf of the consolidated group. And, attestation should be completed by the same individual for all
entities included in the consolidated report, which is why the attester for the reporting entity must hold
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the attester role for all other entities included in the consolidated report, as described below. Note that
the attester does not need to hold an officer position (e.g., Chief Executive Officer, Chief Financial
Officer, other “officer” position) within all of the entities included in the consolidated report, only within
the reporting entity.
The following pre-conditions must be met in order to successfully upload a consolidated report:
• All entities must be registered in the Open Payments system and be successfully vetted OR in
“Conditionally Approved” status;
• The entity names and registration IDs in the file must match exactly those provided during Open
Payments registration;
• The submitter of the reporting entity must hold the submitter role in all other entities included
in the consolidated report;
• The attester of the reporting entity must hold the attester role in all other entities included in
the consolidated report (Note that the attester does not need to hold an officer position, such
as Chief Executive Officer or Chief Financial Officer, within all of the entities included in the
consolidated report, only within the reporting entity);
• The consolidated Indicator field in file must be set to Y.
If the above conditions are not met, then the system will display those records under the reporting
entity along with a failed status.
Consolidated reporting in Open Payments categorizes entities into two types: the reporting entity
submitting and attesting to the consolidated report, and the entity(ies) included in the consolidated
report. They are defined as follows:
• Reporting Entity: This is the entity that reports the payments or other transfers of value, or
ownership/investment interest in the Open Payments system for all related entities for the
program year, and attests to the accuracy of the data on the behalf of the other entity(ies) in
the consolidated report.
• Entity(ies) in Consolidated Report: This is an entity in the consolidated report that made
payments or other transfers of value, or had physician owners/investors during the program
year.
Consolidated reporting must be performed by bulk file upload.
Example: Entity A made a consolidated report submission for itself, Entity B, and Entity C. Entities A, B,
and C are all registered within the Open Payments system. The submitter must have the role of
submitter for all three entities, A, B, and C. Similarly, the attester must have the role of attester for all
three entities, A, B, and C. Once the submission is accepted in the Open Payments system, the payment
records for Entity B and Entity C would be listed under those individual entities, and will not be listed
under Entity A. Because the attester for Entity A holds the role of attester for Entities B and C, he/she
can attest to the accuracy of the data submitted for those entities.
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Section 4.8: Data Matching
After the submitter has made the final data submission, the data goes through a matching process to
ensure the payments or other transfers of value reported are consistently attributed to the correct
physicians and teaching hospitals. After the matching process is complete, the Open Payments system
sends an email to submitters alerting them to the success or failure of their submission.
If the system is unable to match some or all of the reported transactions, the records result in
"Unmatched" record status. Also, upon the attester’s review of the reported transactions, the attester
may choose to return some or all of the records back to the submitter for correction. An email
notification is sent to the authorized user in the submitter role in both scenarios.
The submitter(s) can then override the record statuses of “Unmatched,” and “Returned To Submitter.”
Overriding the status of records signifies that the submitted record(s) were reviewed and determined to
be accurate to the best of the submitter's knowledge. Once the data in the record statuses of
“Unmatched” and “Returned To Submitter” are manually overridden, the submitter can proceed with
the submission.
Data matching may take from minutes to days, depending upon the size of the files and the number of
submissions being processed simultaneously. Attestation of data may be done only after data matching
has been successfully completed for each record. Submitters have the opportunity to make corrections
to the data or proceed with the submission as entered if some of the records were not matched.
Section 4.9: Third Party Data Submitters
Applicable manufacturers and applicable GPOs may choose to have their data prepared and submitted
by a third party organization. Third party organizations may format, prepare, and submit data on behalf
of a reporting entity. The role of submitter is the only role third party companies can fulfill within Open
Payments.
For a third party to submit payments on behalf of an entity, the entity must identify a specific individual
within the third party organization to fulfill the submitter role. A specific individual within the third
party must be identified as the submitter, not simply the third party entity itself.
Third party submitters may be associated with multiple reporting entities. In such a case, each reporting
entity must have an individual within the third party assigned to the submitter role. Third party
submitters will follow the same process outlined earlier in Chapter 4 of this guide for validating and
submitting data.
Section 4.10: Data Submission Errors
During the data submission process, records may be uploaded unsuccessfully. Users will have an
opportunity to review the unsuccessful records, correct any issues, and resubmit them through the
system. For manual entries, users will be notified on screen in real-time if there are any data entry
errors. For bulk uploads, users will receive an email notifying them of errors.
To avoid data submission errors, confirm all data entered for each line item prior to submitting the
record(s). If any portion of the submitted file has failed validation, the user can log back into the Open
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Payments system to view the error report which contains a list of error codes for each record. All
records that have generated an error will appear in this report.
Users must access the Open Payments system via the CMS Enterprise Portal (https://portal.cms.gov/) to
access the error file generated from their file submission. Submitters will be able to view the error file,
correct the individual records accordingly, and resubmit.
To find the error records for your submission, access the Open Payments system and select the
Payments tab on the toolbar. This will bring up a “Show Entity” menu. Select the entity whose records
you wish to review, then select “Show Summary.”
A summary of submissions will appear. Select “View Records” from the summary to go to the Review
Records page. This screenshot shows an example of what you will see when you access the Review
Records page in the system after your data has been uploaded. The File IDs are on the left, the Record
Status values are on the right.
You will be able to search for records that were not uploaded successfully by filtering for records in a
“Failed Validation” status.
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To access the error report for a given record, click on the record’s File ID, which will take you to the File
Properties page.
On the File Properties page, you will see a hyperlink at the bottom of the page that will allow you to
download the error report associated with this file. All errors within that file will be included in the error
report.
When downloading the error report file, you will be asked to select a format for viewing the error
report. The screenshot below shows a sample error report opened as a CSV file. You may also open error
reports using Notepad or another application.
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The codes listed in the “Error Message ID” column are error codes. A complete list of error codes and
their meanings is available on the CMS Open Payments website as the Open Payments Error Code File
document (http://www.cms.gov/Regulations-and-Guidance/Legislation/National-Physician-Payment-
Transparency-Program/Data-Submission-and-Attestation.html#Error Code File). Cross-reference the
code in the “Error Message ID” field with the Open Payments Error Code File document to determine
what the error is, as well as how to address the error.
Records with no errors do not need to be resubmitted. You must correct and resubmit the record(s) that
failed validation. To resubmit the record(s), you may go through one of the following methods:
• If using the manual entry data submission option, open the record using the edit button, make
your updates, then select submit.
• If using the bulk data submission option, fix the incorrect data in the bulk data file and then
indicate in each resubmitted record that it is a resubmission. To do so, set the Resubmission
Indicator in the record to "Y" and enter the original Record ID in the "Resubmitted Payment
Record ID" field. The “Resubmitted Payment Record ID” field must be filled in with the original
Record ID for the system to accept the record as a resubmission.
• If the changes are extensive, you may also delete your entire original data file submission and
replace it with a new submission. The attester will need to re-attest to the accuracy of all re-
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submitted data. Records that are deleted will no longer appear in the views of either the
reporting entity or the covered recipient.
• If a resubmitted record changes the covered recipient, the original covered recipient will no
longer see the record in his or her profile. Only the new covered recipient will see it.
Resubmissions cannot extend past the stated submission deadline (for program year 2013, that is June
30, 2014). Resubmissions past the stated submission deadline will be considered late submissions and
will not be included in the publication of data in September 2014.
Note that if records are resubmitted, all records submitted for that reporting year will require re-
attestation.
Section 4.11: Attestation and Assumptions
Data attestation is how entities affirm and certify that the information being submitted on behalf of the
entity is accurate and correct. Only individuals with the designated role of attester may attest to the
accuracy of the data in the Open Payments system. After the data is submitted and the data matching
process is completed, the attester will be able to attest to the accuracy, completeness, and timeliness of
the data. This applies to all re-submissions as well.
An attester can only attest to records that have been successfully submitted and validated for that
program year. Additionally, the attester may decline to attest and request that some or all of the data
submitted be returned to the submitter for corrections and review. The attester can select one or more
records to return to submitter and then select the “Return to Submitter” button. The submitter must
perform the corrective actions requested by the attester or indicate that no action is required, then re-
submit the payment record(s) for attestation. If an attestation is made after the deadline for that
respective program year, the system will flag the report as late.
The attester will also have the option of submitting an assumptions statement during the attestation
process. Assumptions explain the reasonable assumptions made, and methodologies used, when
reporting payments or other transfers of value, or ownership or investment interests. Assumptions will
be made via a free-form text field during the attestation process. Users can choose to write free-form
text, or cut and paste text from another document. Assumptions cannot be longer than 4,000 characters
(including spaces). Note that the only special characters allowed by the system in free-form text boxes
are listed in Appendix A. This information can be edited later.
Note that if you do not add any assumptions during the initial attestation, you will not be able to add
them after attestation has been completed for that program year. If your assumptions statement has
not been finalized at the time of attestation, you may add in placeholder text such as “Assumptions
statement to be added” to allow you to update this field at a later time.
Users who knowingly submit to the Open Payments system any misrepresentation or any false,
incomplete, or misleading information may be guilty of a criminal act punishable under law and may be
subject to civil penalties in accordance with the Open Payments system disclaimer and Title 18 U.S.C
Section 1030.
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Below you will find the attestation statements presented in the Open Payments system. Applicable
manufacturers and applicable GPOs will be required to confirm the attestation statements prepopulated
by the Open Payments system by selecting the checkboxes next to each of the applicable statements.
The user must, at a minimum, select the first two checkboxes to proceed with the attestation process.
1. I am attesting that I am a Chief Executive Officer, Chief Financial Officer, Chief Compliance
Officer, or other Officer of the applicable manufacturer or applicable group purchasing
organization with the authority to attest to the information submitted to the Open Payments
system.
2. I am attesting that the information reported is timely, accurate, and complete to the best of my
knowledge and belief.
3. I am attesting that my entity is only reporting payments or other transfers of value associated
with covered drugs, devices, biologicals, or medical supplies based on one or more of the
reasons listed below.
If yes to statement 3 above, indicate the reason by selecting at least one of the following
reporting limitation statements:
a. My entity’s gross revenue from covered drugs, devices, biologicals or medical supplies
constituted less than 10 percent of gross revenue during the fiscal year preceding the
reporting year.
b. My entity is under common ownership, as defined by 42 CFR 403.902, with an
applicable manufacturer and provides assistance or support to an applicable
manufacturer with respect to the production, preparation, propagation, compounding,
conversion, marketing, promotion, sale or distribution of a covered drug, device,
biological, or medical supply. Therefore, my entity is only required to report payments
or other transfers of value associated with covered drugs, devices, biologicals or medical
supplies which my entity provided assistance and support to an applicable
manufacturer.
c. My entity has a separate operating division that does not manufacture any covered
drugs, devices, biological, or medical supplies. Therefore, my entity is only required to
report payments or other transfer of value to covered recipients related to the activities
of these separating operating divisions if those payments or other transfers of value are
related to a covered drug, device, biological, or medical supply.
d. The only covered drug, device, biological or medical supply manufactured by my entity
is pursuant to a written agreement to manufacture a covered drug, device, biological, or
medical supply for another entity. My entity does not hold the FDA approval, licensure,
or clearance for the covered drug, device, biological, or medical supply, and is not
involved in the sale, marketing, or distribution of the covered drug, device, biological or
medical supply. Therefore, my entity is only required to report payments or other
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transfers of value that are related to one or more covered drugs, devices, biologicals, or
medical supplies.
e. My entity only manufactures covered drugs, devices, biologicals, or medical supplies.
4. I am attesting that my entity is requesting a delay in publication for one or more payments or
other transfers of value.
If yes to statement 4 above, indicate one or more of the reasons listed below.
a. The payment or other transfer of value is related to research or development of a new drug,
device, biological, or medical supply.
b. The payment or other transfer of value is related to research or development of a new
application of an existing drug, device, biological, or medical supply.
c. The payment or other transfer of value is related to clinical investigations regarding a new
drug, device, biological, or medical supply.
5. I am attesting that my entity is submitting a consolidated report because it is under common
ownership, as defined by 42 CFR 403.902, with a separate entity or entities that are also
applicable manufacturers.
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4.11a: Attesting to Data in the Open Payments System
The following instructions show the step-by-step screens for the attestation process. Remember that all
records must be in “Ready for Attestation” status to take these steps.
the “Payments” tab on the Open Payments system home page.
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Step 2: Select the entity from the “Show Entity” drop-down list and then select “Show Summary.” Once
the summary appears, select “Review Records.”
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Step 3: Select “Begin Attestation of All Records.”
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Step 4: Review the payment information on screen. Select “Go to View Records” to view the detailed
records being attested. Select “Next” when you are ready to continue with the attestation process.
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Step 5: Next, the option to add assumptions associated with these records is presented. Select “No” if
no assumptions will be added. Select “Yes” if assumptions will be added. If you select “Yes,” a free-form
text field will appear. Type or paste your assumptions into this text field, which has a 4,000-character
limit. Special characters that can be used in the text field are limited to those listed in Appendix A. This
text field can be edited later. If assumptions are not added at this point, they cannot be added later.
When you are done, select “Next.” Both options are displayed below.
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Step 6: Read and agree to the attestations on the next screen. You must agree to Attestation Statements
1 and 2 in order to complete the attestation process. Attestation statements 3 - 5 should be reviewed
and selected only if they apply to your entity and the payments being attested to. The text of these
statements is given earlier in this section. Once the appropriate attestations have been chosen, select
“Continue.”
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Step 7: Review the information entered on the previous pages. If the information is correct, select
“Attest” to complete attestation.
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You will be brought back to the Review Records page. The record(s) attested to will appear in the
“Attested” column. The Open Payments system will send an email to the attester notifying them of the
success of the attestation, which concludes the data submission process.
Note: In the event of data submitted as a consolidated report, each individual entity within the
consolidated report must attest to the accuracy of its own data.
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Review and Dispute
For Industry
Chapter 5: Review and Dispute for Applicable Manufacturers
and Applicable GPOs
This chapter provides information on the Review and Dispute process for applicable manufacturers and
applicable GPOs. When an applicable manufacturer or applicable GPO has submitted records regarding
payments, other transfers of value, or physician ownership or investment interests to Open Payments,
the associated physician or teaching hospital will have an opportunity to review the data that was
submitted about them. If a physician or teaching hospital finds discrepancies with the submitted data,
they can initiate a dispute.
• Overview of Review and Dispute, which provides information on the review and dispute
process within the Open Payments system.
• Acknowledging Disputes and Resolving Disputes with No Change, which provides information
on how applicable manufacturers and applicable GPOs can acknowledge and resolve disputes
initiated by physicians and teaching hospitals. The “resolved, no change” action should only be
taken when dispute resolution does not require a change to the data by the reporting entity.
• Correction and Resolution of Disputed Data, which provides information on the correction and
resolution of disputed data process for applicable manufacturers and applicable GPOs.
The review and dispute period will start at least 60 days before the information is to be published for
that program year. Physicians and teaching hospitals will work directly with reporting entities to resolve
disputes outside of the Open Payments system.
If a dispute is not resolved before the end of the 60-day period, the latest, attested-to data submitted by
the applicable manufacturer or applicable GPO will be published in the next data publication and
identified as being under dispute.
Reviews and disputes can occur outside of this 60-day period; the review and dispute process is open
year-round. If the applicable manufacturer or applicable GPO cannot resolve the dispute with the
physician or teaching hospital within those 60 days, all parties should continue to seek a resolution.
The process is outlined in Figure 5.1, below
.
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Figure 5.1: Review, Dispute, and Correction Process
During What Happens During
Review?
What Happens During
Dispute?
What Happens During
Corrections?
Day 1-45
• Applicable
manufacturers,
applicable GPOs,
physicians and
teaching hospitals
review their data
before it is made
public.
• Physicians and
teaching hospitals can
dispute information
reported about them
or their institutions.
• Disputes initiated
during this 45-day
period that are not
resolved by the end of
the period will be
reflected in the public
data as under dispute.
• CMS will not mediate
any dispute.
• Applicable manufacturers
and applicable GPOs
should work with the
disputing physician or
teaching hospital to
correct disputed data.
or applicable GPOs must
submit a revised report to
make the corrections and
re-attest to the updated
data.
> 45 Days
• Applicable
manufacturers and
applicable GPOs seek
to resolve disputes
received from
physicians or
teaching hospitals.
• Physicians and
teaching hospitals
may continue to
review the data.
• Physicians and
teaching hospitals may
continue to initiate
disputes during this
period, but resolutions
may not be reflected
in publicly displayed
data.
and applicable GPOs
should work with
physicians and teaching
hospitals to make
corrections.
• Corrections made to
disputes may not be
included in the next
publication of data.
and applicable GPOs must
send CMS a revised
report to make the
appropriate corrections
and re-attest to the
updated data.
There is a 45-day period for physicians and teaching hospitals to review, dispute, and work with the
reporting entity to resolve the disputed records. Immediately following that initial 45 days is an
additional 15-day correction period for reporting entities to work with physicians and teaching hospitals
on dispute resolution.
Disputes initiated within the initial 45-day review and dispute period, and resolved by the end of the
additional 15-day correction period, will be published and identified as non-disputed in the initial public
posting of data. Disputes initiated or resolved after the 60-day period will not be published in the initial
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publication of data. Those disputes and any related data changes will be published in the next
publication of data, which may be a refresh publication of the program year data or the publication of
the next program year’s data. In the publication, the data will be associated with the program year of
the data, not the date of its publication.
To change data, applicable manufacturers and applicable GPOs must submit to CMS a revised report
that contains the appropriate corrections, and the revised report must be re-attested to by the
applicable manufacturer or applicable GPO to be fully submitted. Note that the Final Rule does not
require CMS to display the data as disputed if the dispute is not resolved during this period.
Figure 5.2 below explains how the dispute initiation and resolution timing affects the public display
status of the data:
Figure 5.2: Dispute Initiation, Resolution, and Public Display of Program Year 2013 Data
Timing of Dispute Initiation
Dispute Resolution Status
Within 45-Day Initial
Period or 15-Day
Correction Period
Public Display Status
Within 45-day review,
dispute & correction period
Resolved
Data, with any revisions from
resolution, will be published as non-
disputed in September 2014
Not resolved
Data published as disputed in
September 2014
After 45-day review,
and
prior to the review, dispute
& correction period before
the next data refresh or
publication
Resolved
Data published as non-disputed in both
September 2014 and the subsequent
data publication related to the 2013
program year data
Any revisions to data due to resolution
will appear in subsequent data
publications
and
prior to the review, dispute
& correction period before
the next data refresh or
publication
Not resolved
Data published as non-disputed in
September 2014 and as disputed in the
subsequent data publication related to
2013 program year
Records in the Review and Dispute process will have one of the following statuses:
• Initiated: indicates that a physician or teaching hospital has initiated a dispute against a record
submitted by an applicable manufacturer or applicable GPO.
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• Acknowledged: indicates that an applicable manufacturer or applicable GPO has received and
acknowledged a dispute initiated against them by a physician or teaching hospital.
Acknowledging a dispute will trigger a notification to the initiating physician or teaching hospital
letting them know their dispute has been received.
• Resolved, No Change: indicates that either the applicable manufacturer or applicable GPO does
not agree with a dispute initiated by a physician or teaching hospital or the applicable
manufacturer or applicable GPO has discussed the dispute with the initiating physician or
teaching hospital and it was determined that no change in the data was necessary. The
physician or teaching hospital who initiated the dispute can initiate a new dispute if they
disagree with the “resolved, no change” status.
• Withdrawn: indicates that a physician or teaching hospital has withdrawn a dispute they
initiated against a record submitted by an applicable manufacturer or applicable GPO.
• Resolved: indicates that disputed data was corrected and then resubmitted and re-attested to
by the applicable manufacturer or applicable GPO.
Emails transmitted to applicable manufacturers, applicable GPOs, physicians, and teaching hospitals
from the Open Payments system for review and dispute will not contain contact information. For
example, an email notifying a reporting entity of a dispute from a physician will contain only the
information needed to locate the record in the Open Payments system. You can view a sample
notification email for each review and dispute action in Appendix D. Contact information can be
obtained only by opening the record within the Open Payments system itself.
Section 5.1: Acknowledging Disputes and Resolving Disputes with No
Change
Applicable manufacturers and applicable GPOs will be given the opportunity to acknowledge and resolve
disputes initiated by physicians and teaching hospitals. When a dispute is acknowledged or set to a
“Resolved, No Change” status, the covered recipient will receive an email notification. Records must be
acknowledged before they can be set to the “Resolved, No Change” status.
The five steps of the process are given in Figure 5.3 below.
Figure 5.3: Acknowledging Disputes and Resolving Disputes with No Change Process
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Section 5.1a: Acknowledging a Dispute
select “Review and Dispute.”
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Step 2: Select the reporting entity and appropriate program year for which you wish to view disputes.
When finished, select “Show Disputes.”
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Step 3: On the Review and Dispute page, you will see a list of all disputes initiated by physicians and
teaching hospitals. If you wish, you may filter the records by entering the Dispute ID, the Record ID,
Home System Payment ID, File ID, Date of Publication, Physician First Name, Physician Last Name,
Teaching Hospital Name, or Review and Dispute Status. You do not need to filter the results in order to
proceed. Please note that this information is only available on the Open Payments system, and cannot
be downloaded.
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Step 4: To view details about a disputed record, scroll to the right of the table using the bottom scroll
bar and select “View” under the “Action” column.
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Step 5: Select the disputed record(s) you wish to acknowledge. Once you have selected the appropriate
record(s), select “Acknowledge Dispute.” You may only acknowledge disputes with a review and dispute
status of “Initiated.” Acknowledging disputes is optional, but records cannot be set to “Resolved, No
Change” unless they have been acknowledged.
Review and dispute statuses can be seen by scrolling to the right.
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Step 6: Review the disputed record information as displayed on the Acknowledge Dispute page. When
finished, select “Acknowledge.”
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The following confirmation message will be displayed on the screen. An email notification will be sent to
the covered recipient informing them that their dispute has been acknowledged.
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Section 5.1b: Resolved, No Change Disputes
Only records that have been acknowledged can be set to “Resolved, No Change.”
select the “Review and Dispute” tab on the menu bar.
Step 2: Select the physician or teaching hospital and the appropriate program year that you wish to
review disputes. When finished, select “Show Disputes.”
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Step 3: On the Review and Dispute page, you will see a list of all disputes regarding the payments or
other transfers of value you reported initiated by the identified physicians and teaching hospitals. If you
wish, you may filter the records by entering the Dispute ID, the Record ID, Home System Payment ID,
File ID, Date of Publication, Physician First Name, Physician Last Name, Teaching Hospital Name, or
Review and Dispute Status. You do not need to filter the results in order to proceed. To view details
about a disputed record, scroll to the right of the table using the bottom scroll bar and select “View.”
Please note that this information is only available on the Open Payments system, and cannot be
downloaded.
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Step 4: Review the information on the Record page. When finished, select “Back.”
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Step 5: Select the dispute record(s) you wish to resolve with no changes. Once you have selected the
appropriate record(s), select “Resolved, No Change.” You may only resolve disputes with no changes
that has a review and dispute status of “Acknowledged.”
Step 6: Review the disputed record information as displayed on the Resolved No Change page. You must
enter the reason the dispute has been resolved with no changes needed to the data in the text box in
order to proceed. The text box can contain up to 4,000 characters, including spaces. Special characters
allowed in the box are limited to apostrophes or single quotes (‘), periods (.), ampersands (&), hyphens
(-), and commas (,).
Note: As mentioned, you must provide a reason why the records are being resolved without change in
the “Reason for dispute resolution with no change to the data” text box. If you have different reasons
for each of the records being resolved, you may resolve one or more record(s) at a time with a
common dispute factor, and enter the relevant reason for the resolution. The contents of the “Reason
for dispute resolution with no change to the data” box will be sent in an email to the physician or
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teaching hospital. If multiple disputes are resolved without changes at the same time across different
covered recipients, the same “Reason for dispute resolution with no change to the data” text will be
sent to all of the covered recipients included in the dispute. When finished, select “Resolved No
Change.”
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The following confirmation message will be displayed on the screen. An email notification will be sent to
the covered recipient physician or teaching hospital informing them that their dispute has been resolved
with no changes made to the data. The covered recipient may initiate a new dispute for the same record
if the dispute has not been resolved to their satisfaction.
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Section 5.2: Correction and Resolution of Submitted Payment Data
Once an applicable manufacturer or applicable GPO has received a dispute initiated by a physician or
teaching hospital, the applicable manufacturer or applicable GPO may work with the physician or
teaching hospital to correct the disputed data. The applicable manufacturer or applicable GPO will
submit the corrected record; they must then attest to the newly submitted data. When submitting
corrected data via bulk file upload, you will need to include the Record ID for the record(s) in the
resubmission. If you are correcting data via the graphic user interface, you will need to locate the
record(s) in the Open Payments system and change them using the edit function. See Section 5.2a below
for more information.
After resubmission and re-attestation is complete, the covered recipient will receive an email
notification instructing them on next steps. The five steps of the correction and resolution process are
given in Figure 5.4 below.
Figure 5.4: Correction and Resolution Process
Section 5.2a: Edit Information and Resubmit Record
select the “Review and Dispute” tab on the menu bar.
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Step 2: Select the entity name and the appropriate program year from the drop-down menus. When
finished, select “Show Disputes.” This will show you a list of all disputes for the selected entity.
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Step 3: On the Review and Dispute page, scroll down until you see the table that contains all disputed
records. Filter the “Review and Dispute Status” to “Acknowledged” and/or “Initiated,” and select
“Search.” You can only update and/or correct record(s) with a review and dispute status of “Initiated” or
“Acknowledged.” Please note that this information is only available on the Open Payments system, and
cannot be downloaded.
Step 4: To manually edit a record, scroll to the right and select “Edit” under the “Action” column and
edit the appropriate fields. For detailed instructions on how to manually edit a record, and to correct
records via bulk file resubmission, see Section 4.10. The dispute history of a record that has been
updated will show versions of the record prior to the resubmission as having a status of “inactive.”
Section 5.2b: Resubmission and Re-attestation
Reporting entities can resolve disputes in one of two ways, either by resolving the dispute with no
changes (described in Section 5.1b) or by correcting the record. Entities submitting corrected data must
resubmit and re-attest to the corrected data for the updates to be included in the public posting. Once
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re-attestation is complete, the records will be automatically placed in a review and dispute status of
“Resolved.” No further action is needed from the reporting entity.
To resubmit the record(s), you may go through one of the following methods:
• When using the manual entry data submission option, open the record using the edit button,
make your updates, then select “Submit,” or
• When using the bulk data submission option, fix the incorrect data in the bulk data file. Then
indicate that it is a resubmission. To do so, set the Resubmission Indicator in the record to "Y"
and enter the original Record ID in the "Resubmitted Payment Record ID" field for each record in
the file. The “Resubmitted Payment Record ID” field must be filled in with the original Record ID
for the system to accept the record as a resubmission.
It is strongly recommended that you do not delete your entire original data file submission and replace it
with a new submission. If a file is deleted and replaced after the reporting deadline, the Open Payments
system will treat the file as newly arriving late records rather than corrections. The new records will not
be included in the current publication cycle and will be identified in review and dispute as for a future
publication.
The attester will need to re-attest to the accuracy of all re-submitted data. An attester can only attest to
records that have been successfully submitted and validated. Additionally, the attester may decline to
attest and request that some or all of the data submitted be returned to the submitter for corrections
and review. The attester can select one or more records to return to the submitter and then select the
“Return to Submitter” button. The submitter must perform the corrective actions requested by the
attester or indicate that no action is required, then re-submit the payment record(s) for attestation.
For detailed instructions on submitting data, see Section 4.6. For more detailed instructions on
attestation of data, see Section 4.11.
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Audits
Chapter 6: Audits
Coming Soon
197

Non-Compliance
and Penalties
Chapter 7: Non-Compliance and Penalties
Coming Soon
198

PART IV: PHYSICIANS AND
TEACHING HOSPITALS
199

Open Payments Registration
For Physicians and Teaching
Hospitals
Chapter 8: Physician and Teaching Hospital Registration
This chapter provides information for physician and teaching hospital registration in CMS’s Enterprise
Identity Management system (EIDM) and the Open Payments system. Both registrations are required to
obtain access to the Open Payments system. All physicians and teaching hospitals who wish to view data
reported about them must complete both registrations prior to accessing the system.
• Overview of Registration, which provides information on Phase 1 and 2 of the Registration
process. Phase 1 includes user registration in EIDM, and Phase 2 includes user registration in the
Open Payments system.
• Open Payments Users and User Roles, which contains information on who is authorized to
register in the Open Payments system and the user roles that must be filled by the Open
Payments system users.
• Registration and Access to the Open Payments System, which contains instructions for
registering, logging into the system, and managing physician and teaching hospital registration
and user roles.
Section 8.1: Two-Phased Registration Process
Physicians and teaching hospitals must register in the Open Payments system in order to view, review
and/or dispute data submitted about them.
Note: Physicians and teaching hospitals are not required to register but are encouraged to do so in
order to view information reported about them prior to CMS’s publication of the data.
Prior to registration in the Open Payments system, users must register in EIDM to obtain login
credentials. Users will not be able to access the Open Payments system without first completing
successful EIDM registration. Once the user has registered in EIDM, he or she will be able to register in
the Open Payments system.
8.1a: Registration Phase 1 – EIDM Registration
Open Payments registration for the 2013 program year will be completed in a two-phased approach.
Figure 8.1 below, illustrates the two-phased approach to physician and teaching hospital registration
used only for this first program year. During Phase 1, physicians and authorized officials of teaching
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hospitals may obtain EIDM credentials and request access to the Open Payments system via the CMS
Enterprise Portal (https://portal.cms.gov/).
Note: Physicians with addresses outside of the United States who wish to register with EIDM must
begin by contacting the Open Payments Help Desk at openpayments@cms.hhs.gov or call 1-855-326-
8366. When emailing, the subject line of the message should read “Foreign Address Credential Request
– Attestation Letter.”
Instructions for registering in EIDM and obtaining access to the Open Payments system can be found in
Section 8.2.
Figure 8.1: Phased Registration Process for Physicians and Teaching Hospitals
8.1b: Registration Phase 2 – Open Payments System
Phase 2 of Open Payments physician and teaching hospital registration begins when the Open Payments
system becomes available to physicians and teaching hospitals in July 2014. During this phase,
physicians and teaching hospitals that have already registered in EIDM and requested access to the
Open Payments system may register in the Open Payments system, and may then review and dispute
information reported about them.
Section 8.2: Enterprise Identity Management (EIDM) Registration and
Open Payments Access
Enterprise Identity Management (EIDM) is an identity management and services system that a) serves as
an identity proofing tool to verify a person’s identity, and b) provides users with access to various CMS
applications. Registering in EIDM provides users with login credentials required for access to the Open
Payments system. Users will be able to set up their own log in credentials in the form of a user ID and
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password during the EIDM registration process. EIDM credentials allow login to the CMS Enterprise
Portal and the ability to request access to various CMS applications, including the Open Payments
system.
EIDM can be accessed and the registration process begun on the CMS Enterprise Portal
(https://portal.cms.gov/). A complete EIDM Operations Document and a list of EIDM FAQs are available
on the CMS website (http://go.cms.gov). Users who already have EIDM credentials can move ahead to
request access to the Open Payments application.
EIDM will lock your user account if you do not log in to your account for 60 or more days. When you log
in after 60 days, the system will display the “Unlock my Account” view. To unlock your account, enter
your user ID and correctly answer all challenge questions. Then enter your new password in the input
fields of “New Password” and “Confirm New Password” to unlock your account. If you are still unable to
reactivate your account, contact the Open Payments Help Desk at openpayments@cms.hhs.gov or call
1-855-326-8366.
EIDM will automatically deactivate any user that has not logged in for 180 days or more. Once the user’s
account has been disabled, the user will not be able to access the CMS application(s). You can contact
the Open Payments Help Desk at openpayments@cms.hhs.gov or call 1-855-326-8366 to reactivate your
account after 180 days of inactivity.
Please note that system users who have addresses outside of the United States must contact the Open
Payments Help Desk at openpayments@cms.hhs.gov to register in EIDM.
For assistance registering in CMS’s Enterprise Portal, you can view the instructional presentation on
steps to complete EIDM registration on the CMS Open Payments website
(http://go.cms.gov/openpayments) on the Program Registration page. Here you will find complete step-
by-step instructions on how to register with EIDM and request access to the Open Payments system.
Section 8.3: Registering in the Open Payments System
Once the physician or teaching hospital has decided who should fill the required user roles, that
individual can begin Open Payments registration. The authorized representative user role is not required
for physicians or teaching hospitals. This role also can be filled after registration. During the registration,
the selected individual will enter the required information for their physician or teaching hospital
profile, user personal profile, and nominees for each user role. Details on these steps are included later
in this section.
A physician must register him- or herself, and the authorized official must register a teaching hospital in
the Open Payments system. The authorized official may nominate other users and modify existing user
roles, approve or deny nominations made by others, approve or deny requests for user roles made by
others, including self-nominations, as well as review and dispute records. The physician may perform
these same actions, as well as modify his or her physician profile.
In order to complete registration for teaching hospitals, you must hold the authorized official role to
complete registration. If you incorrectly register a teaching hospital, you will need to contact the Open
Payments Help Desk at openpayments@cms.hhs.gov or call 1-855-326-8366. The incorrectly registered
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teaching hospital will go into deactivated status until the authorized official goes back into the system
and registers the correct teaching hospital.
For physicians, an authorized representative can be designated to take certain actions on behalf of the
physician. The person selected as an authorized representative can be another physician, an office
manager, or a practice manager. The registering physician can assign access levels for their authorized
representative within the Open Payments system. A physician cannot be his or her own authorized
representative. The physician can only have one physician authorized representative. See Section 9.4 for
more detailed information on physician authorized representative access levels.
Physicians must undergo a vetting process to be fully registered in the Open Payments system. See
Section 8.3c for more on physician vetting.
For teaching hospitals, authorized officials are responsible for approving all nominations and modifying
user roles. The teaching hospital authorized representatives will be granted certain permissions to
access/review data, initiate a dispute on behalf of the teaching hospital, and make/approve nominations
by an authorized official. Teaching hospitals can have up to 10 active authorized users. There can be a
maximum of five authorized official(s) per teaching hospital.
Teaching hospitals must be selected from a prepopulated list in the Open Payments system. This list is
maintained by CMS. As such, teaching hospitals will not go through any vetting and will be approved
immediately in the Open Payments system. The teaching hospital will be given a status of “vetted.”
However, no additional vetting will occur.
The entire registration process takes approximately 30 minutes and must be completed in a single
session; users cannot save entries or complete the profile at a later time. Users will be able to edit,
manage, or update a profile once it is created. Note: The system times out after 30 minutes of
inactivity, and it does not have an auto-save feature. If the system times out, your updates will not be
saved.
Physician registration has five steps, as shown in Figure 8.2 below. Details on these steps are included
later in this document.
Figure 8.2: Physician Registration Process
Figures 8.3 and 8.4 detail the fields which are required and which fields are optional when creating
physician and user profiles. It is important to have this information on-hand prior to beginning the
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Figure 8.3: Required and Optional Fields for Physician Profiles
Practice Name x
Practice Business Address x
Physician Primary Type x
Physician National Provider Identifier (NPI)** x
Drug Enforcement Administration (DEA) Number** x
Primary Specialty Code x
License State (at least 1) x
License Number (at least 1) x
**The National Provider Identifier (NPI) and Drug Enforcement Administration (DEA) Number must be
entered if you have them. If you do not have these identifiers, you can still proceed with registration.
When registering in Open Payments, physicians must enter all of the state license numbers they hold, as
well as their NPI number (if they have one). This is because records submitted to Open Payments are
associated with physician license numbers and NPI. If a physician does not provide all of this identifying
information, he or she will not be able to see all records identifying him or her. For example, a physician
who has an NPI and holds licenses in both Michigan and Ohio, yet provides only the Michigan license
number and no NPI in her profile, would not be able to see any records in Open Payments that identify
her by her Ohio license number or NPI.
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Figure 8.4: Required and Optional Fields for Individual User Profiles
First Name x
Middle Name x
Last Name x
Name Suffix x
Job Title (for Physician) x
Job Title (for Authorized Representative) x
Business Address x
Business Phone Number x
Business Email Address x
Teaching hospital registration has five steps, as shown in Figure 8.5 below. Details on these steps are
included later in this document.
Figure 8.5: Teaching Hospital Registration Process
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Figures 8.6 and 8.7 detail which fields are required and which fields are optional when creating teaching
hospital and user profiles. It is important to have this information on-hand prior to beginning the
Figure 8.6: Required and Optional Fields for Teaching Hospital Profiles
State Where Teaching Hospital is Located x
Teaching Hospital Name x
Teaching Hospital Address x
Taxpayer Identification Number (TIN)/Employer
Identification Number (EIN)
x
Teaching Hospital National Provider Identifier (NPI) x
Teaching Hospital Business Phone Number x
Figure 8.7: Required and Optional Fields for Individual User Profiles
First Name x
Middle Name x
Last Name x
Name Suffix x
Job Title x
Business Address x
Business Phone Number x
Business Email Address x
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Important Notes:
Registration must be completed in one session.
The Open Payments system logs out all users after 30 minutes of inactivity.
Never use the navigation buttons on your browser toolbar. Only use the navigation buttons (Back
buttons) within the Open Payments system itself.
If you do not know your ten-digit NPI number, you can find it on the NPI Registry, located at
https://npiregistry.cms.hhs.gov/NPPESRegistry/NPIRegistryHome.do.
If you cannot find your DEA number, contact the DEA Office of Diversion Control. Their website is
https://www.deadiversion.usdoj.gov.
You can view a sample notification email for registration activities in Appendix D.
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8.3a: Registering a Physician (First Time User)
If you are registering a physician and are a first-time user in the Open Payments system, follow the steps
below.
Note: If you are a physician who works in a teaching hospital and wish to see data related to you in
your capacity as a physician, select the “Physician” option when registering. If you are a physician who
works in a teaching hospital and wish to represent that teaching hospital as an authorized official or
authorized representative, follow the instructions in 8.3d for registering a teaching hospital.
Note that physicians who select the “Teaching Hospital” option when registering will only be able to
view payments made to the teaching hospital they are associated with. If you wish to also see data
related to you as a physician, register a second time and select the “Physician” option. Users may be
registered for both options.
text and select “Create My Profile” when you are ready to begin the registration process.
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Step 2: The on-screen text contains important information regarding creating the physician and
individual profile. Read the on-screen text and select “Start Profile” at the bottom of the screen when
you are ready to continue.
Step 3: Select the profile type “Physician” and select “Continue.”
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Step 4: Enter the physician’s personal information. All required fields will be marked with an asterisk.
Users will not be able to proceed with registration until all of the required fields have been entered. A
frequent reason for the system not recognizing information is the incorrect use of special characters
(i.e., non-alphanumeric characters). Make sure that when entering information into free-form text
fields, you restrict your use of special characters to those permitted by the system. Telephone numbers
must include dashes (-) and email addresses must include the at symbol (@) and period (.) Special
characters allowed in name fields are given in Appendix A.
When you are done, select “Continue.”
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Step 5: Enter the physician details. All required fields will be marked with an asterisk. Users will not be
able to proceed with registration until all of the required fields have been entered.
Refer to the taxonomy code list in Appendix C for a complete listing of the available taxonomy codes.
To add your licensing information, select “Add License” and enter the state in which the license is held,
and the license number. You are required to enter at least one license. The license number field accepts
only letters and numbers. Any other characters, such as periods or hyphens, should not be entered.
When you are done, select “Add.” If the physician has licenses in more than one state, enter in the first
state and license number and then select “Add License.” Repeat until all of the physician’s state licenses
have been added. You can enter up to fifty-two licenses. When you are finished, select “Continue.”
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Step 6: Physicians may choose to nominate the individual to serve as their authorized representative
within the Open Payments system. By default, “Designate an Authorized Representative” will be
selected. To designate an authorized representative, enter the required information. You will also be
asked to select the access level for the authorized representative. A summary of the access levels are
listed on the screen. Refer to Section 9.4 for more information on each access level. When you are
finished, select “Continue.”
If you choose not to designate an authorized representative at this time, select “Not Now” and then
select “Continue.” You do not need to designate an authorized representative during initial registration
and may do so at a later time. For instructions on how to nominate an authorized representative after
registration is complete, see Section 9.4d (1).
Note: A physician cannot be his or her own authorized representative. Please enter another
individual’s name, email address, phone number, and/or business address for the physician’s
authorized representative.
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Step 7: Review the information entered. Select “Back” to go back and edit any information. Once you
have reviewed the information and determined it to be correct, select “Submit.”
The following message will appear on-screen to confirm your profile has been successfully created. If
you have chosen to delegate someone to be an authorized representative, an email notification with a
nomination ID will be sent to that individual.
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8.3b: Registering as a Physician for a User with Another Role (Returning User)
If you are registering a physician and you already have an account in the Open Payments system, follow
the steps below.
the “My Profile” tab from the menu bar on the Open Payments home page.
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Step 2: Select “My Profile Details.” Review your profile information displayed on the page. To make any
corrections, select “Update Profile.” Any corrections made here will update your information for any
profile you have in the Open Payments system. To proceed as registering as a physician, select “Register
as a Physician.” Note: Changes made here will not automatically update your profile information in
your other CMS accounts.
Step 3: Select the profile type, when finished select “Continue.”
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Step 4: Enter the physician’s personal information. All required fields will be marked with an asterisk.
Users will not be able to proceed with registration until all of the required fields have been entered. A
frequent contributor to the system not recognizing information is the incorrect use of special characters
(i.e., non-alphanumeric characters). Make sure that when entering information into free-form text
fields, you restrict your use of special characters to those permitted by the system. Telephone numbers
must include dashes (-) and email addresses must include the at symbol (@) and period (.). Special
characters allowed in name fields are given in Appendix A.
When you are done, select “Continue.”
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Step 5: Enter the physician details. All required fields will be marked with an asterisk. Users will not be
able to proceed with registration until all of the required fields have been entered.
Refer to the taxonomy code list in Appendix C for a complete listing of the available taxonomy codes.
In the state licensing section, the license number field accepts only letters and numbers. Any other
characters, such as periods or hyphens, should not be entered. If the physician has licenses in more than
one state, enter in the first state and license number and then select “Add License.” Repeat until all of
the physician’s state licenses have been added. You can enter up to fifty-two licenses.
Once you've added all of the required physician details, select “Continue.”
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Step 6: Next, you may nominate the individual you would like to be your authorized representative
within the Open Payments system. By default, “Designate an Authorized Representative” will be
selected. Enter the required information. You will also be asked to select the access level for the
authorized representative. When you are finished, select “Continue.” See Section 9.4a for more detailed
information on physician authorized representative access levels.
If you choose not to designate an authorized representative at this time, select “Not Now” and then
select “Continue.” You can complete this step at a later time by updating your physician profile within
the “My Profile” tab.
Note: A physician cannot be his or her own authorized representative. Please enter another
individual’s name, email address, phone number, and/or business address for the physician’s
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Step 7: Review the information entered. Select “Back” to go back and edit any information. Once you
have reviewed the information and determined it to be correct, select “Submit.”
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you chose to delegate someone to be an authorized representative, an email notification will be sent to
that individual.
8.3c: Physician Vetting
Vetting is the process of verifying a physician’s identity. This is done to ensure that the physician is a
valid covered recipient and to aid in the matching of submitted payments to the corresponding
physicians. All physicians registering in the Open Payments system will be vetted. Vetting occurs once
the authorized official has completed his or her profile and submitted his or her registration in the Open
Payments system. Physician registration is not considered complete until the vetting process has been
successfully completed.
The vetting process will typically require little action from the user in order to complete it. Once the
physician submits the physician and user profile, the vetting process begins. The process will attempt to
vet the physician using the information provided in the physician profile, so it is important for the
physician to provide as much information as possible to aid in the vetting process. Particularly important
are the NPI, DEA number, and the state license information. The Open Payments system will match
physician information against multiple data sources.
If the vetting fails, the physician will have the opportunity to correct the information in his or her profile
and resubmit the profile for vetting. The physician may update his or her profile as many times as
necessary to successfully complete vetting.
Physicians must ensure to enter valid license information. If incorrect license information is entered, the
physician would not be able to review records submitted for that state license. Physicians can perform
actions only on record(s) associated with the state license that was entered and verified to be accurate.
If the physician does not successfully pass vetting despite all of the information provided in the physician
profile is correct to the best of his or her knowledge, or the physician requires assistance with
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successfully vetting their profile, the physician can contact the Open Payments Help Desk
(openpayments@cms.hhs.gov) or call 1-855-326-8366.
The automatic vetting process normally takes a short time. Nevertheless, the process could take longer,
depending on the information provided by the user and the number of physicians undergoing vetting at
the same time. CMS encourages physicians to register and begin the vetting process as early as possible
to allow sufficient time for vetting to be completed.
Please note that if a physician profile is modified, the profile will undergo vetting again.
8.3d: Registering a Teaching Hospital (First Time User)
If you are a first-time user registering a teaching hospital in the Open Payments system, follow the steps
below. You should select “Teaching Hospital” only if you will be an authorized official or authorized
representative for the teaching hospital.
Note: A physician who is employed by a teaching hospital should not register him- or herself with the
option “Teaching Hospital” unless he or she will be assuming a role to represent the teaching hospital
regarding the data reported by applicable manufacturers and applicable GPOs. Physicians who select the
“Teaching Hospital” option when registering will only be able to view payments made to the teaching
hospital they affiliate with. If you wish to also see data related to you as a physician, register a second
time and select the “Physician” option. Users may be registered for both options.
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Step 2: The on-screen text contains important information regarding creating the individual profile. Read
the on-screen text and select “Start Profile” at the bottom of the screen when you are ready to
continue.
Step 3: Select the profile type, when finished select “Continue.”
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Step 4: Search for the teaching hospital by selecting the appropriate state, teaching hospital legal name,
teaching hospital business address, and Taxpayer Identification Number (TIN) from the drop-downs and
select “Search.”
Teaching hospitals are pre-populated into the Open Payments system based on the 2014 Open
Payments Cycle: Teaching Hospital List. Teaching hospitals not on this list will not have payments or
transfers of value reported about them.
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Step 5: Review the information displayed on the screen. Select “Continue” if the information displayed is
the teaching hospital you wish to register. If this is not the correct teaching hospital, select “Back” to
return to the previous page and re-enter the information.
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Step 6: Review the information displayed on the screen. Enter the teaching hospital ten-digit National
Provider Identifier (NPI) and the business phone number. When complete, select “Continue.”
Step 7: Review the information generated by the system related to your role. You must select the role of
“Authorized Official” to proceed with registration. First name, last name, email address, and business
phone will be pre-populated with information from your EIDM profile. Edit these fields as necessary. All
required fields will be marked with an asterisk. Users will not be able to proceed with registration until
all of the required fields have been entered. When complete, select “Continue.”
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Step 8: You may choose to nominate additional users to fill the authorized official or authorized
representative roles. To do so, select “Add Nominee” to nominate an additional individual(s).
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Step 8a: Enter the required information and select either “Authorized Official” or “Authorized
Representative.” When complete, select “Add Nominee.”
Repeat the process until you have entered all of the individuals you wish to nominate. A teaching
hospital may have up to 10 active roles, five of which can be authorized officials. Each nominated
individual will receive an email notifying them of their nomination. The nominee must confirm or reject
the role within 10 business days. For more information on the different user roles, see Section 9.4.
Nominations do not have to be made during initial registration. You can nominate individuals later by
updating your teaching hospital profile within the “My Profile” tab. If you choose not to add nominees
at this time, select “Continue.”
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If you entered any nominees, you will see the nominee information displayed on the screen. Confirm the
information and when complete select “Continue.”
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Step 9: Enter your personal information. When finished, select “Continue.”
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Step 10: Review your profile information on the Review and Submit Profile page. Select “Back” to go
back and edit any information. Once you have reviewed the information and determined it to be
correct, select “Continue.”
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you chose to nominate additional roles, an email notification is sent to the individuals nominated that
will instruct them on their next steps.
8.3e: Registering a Teaching Hospital (Returning User)
If you are a returning user registering an additional teaching hospital in the Open Payments system,
follow the steps below.
the “Manage Teaching Hospitals” tab and then select “Register New Teaching Hospital.”
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Step 2: Search for the teaching hospital by selecting the appropriate state, teaching hospital legal name,
teaching hospital business address, and Taxpayer Identification Number (TIN) from the drop-downs and
select “Search.”
Teaching hospitals are pre-populated into the Open Payments system based on the 2014 Open
Payments Cycle: Teaching Hospital list. Teaching hospitals not on this list will not have payments or
transfers of value reported about them.
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Step 3: Review the information displayed on the screen, select “Continue” if the information displayed is
the teaching hospital you wish to register. If this is not the correct teaching hospital, select “Back” to
return to the previous page and re-enter the information.
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Step 4: Review the information displayed on the screen. Enter the teaching hospital’s ten-digit National
Provider Identifier (NPI) and the business phone number. When complete, select “Continue.”
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Step 5: Review the information generated by the system related to your role. You must select the role of
“Authorized Official” to proceed with registration. First name, last name, email address, and business
phone should be pre-populated with information from your EIDM profile. Edit these fields as necessary.
All required fields will be marked with an asterisk. Users will not be able to proceed with registration
until all of the required fields have been entered. When complete, select “Continue.”
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Step 6: You may choose to nominate additional users to fill the authorized official or authorized
representative roles. To do so, select “Add Nominee” to nominate an additional individual(s).
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Step 6a: Enter the required information and select either “Authorized Official” or “Authorized
Representative.” When complete, select “Add Nominee.” A teaching hospital may have up to 10 active
roles, five of which can be authorized officials. Each nominated individual will receive an email notifying
them of their nomination. The nominee must confirm or reject the role within 10 business days.
Nominations do not have to occur during initial registration. You can nominate additional roles at a later
time by updating your teaching hospital profile within the “My Profile” tab. If you choose not to add
nominees at this time, select “Continue.”
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You will then see the additional nominee information displayed on the screen. Confirm the information
and when complete select “Continue.”
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Step 7: Review your profile information on the Review and Submit Profile page. Select “Back” to go back
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you chose to nominate additional roles, an email notification will be sent to the individuals nominated
that will instruct them on their next steps.
8.3f: Using the Switch User Functionality
The Open Payments system allows individuals to hold multiple user roles based on their affiliations with
multiple entities. Users can switch between the applicable manufacturer/applicable GPO, physician and
teaching hospital user types through a “Switch User Type” functionality. Once a user has successfully
registered within the Open Payments system under any user type (reporting entity, physician, or
teaching hospital), the “Switch User Type” functionality will become available.
This functionality can be used when an individual holds multiple user roles across multiple user types,
allowing them to access the profiles they hold under different user types. The screens will be similar for
each user type, though the actions available will change depending on which user type you are
operating under at that time.
All users have access to the “Switch User Type” functionality, as users who have only a single user type
can use the functionality to request roles for and/or register as another user type.
Follow these steps to switch between user types or request a role as another user type in the Open
Payments system:
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Step 1: At the top of the page, select “Switch User Type.”
Step 2: Select the user type to which you would like to switch, or which user type you would like to
request a role for. When finished, select “Switch.” If you decide you do not want to change user types,
or you selected “Switch User Type” by accident, select “Cancel and Go Back.”
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Step 3: If you are not currently assigned a role for the selected user type, you will be prompted to create
a profile.
Step 3a: If you are currently assigned a role for the selected user type, you will be able to view your
profile information for that user type.
The profile type will be displayed at the top of the screen.
You may switch between user types at any time. To perform system actions such as registration and
nominations, data submission, and review and dispute for the user type that is displayed, refer to the
corresponding section of this User Guide.
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Section 8.4: Open Payments Users and User Roles
There are two user roles available for individuals associated with physicians or teaching hospitals:
authorized officials or authorized representatives.
8.4a: Physician and Teaching Hospital User Roles
A physician may nominate one authorized representative within the Open Payments system during
initial registration. This person can be another physician, an office manager, a practice manager, or
another person the physician would like to designate to interface with the Open Payments system on his
or her behalf.
The physician will designate the level of access for the authorized representative and more than one
level can be granted. The different levels of access that can be granted to the authorized representative
are:
1. Read: Default access level. Able to see physician profile and records information.
2. Modify Profile: Able to edit or enter the physician’s My Profile information (NPI, license,
specialties, etc.).
3. Dispute Records: Able to dispute reported payments, other transfers of value, or physician
ownership and investment interests.
Figure 8.8: Physician User Roles and User Role Functions
User Role Function
Physician • Registers him- or herself in the system
• Nominates an authorized representative
• Has full access to review and dispute records
Authorized
Representative
• Allowed activities depend upon access levels granted by physician:
— Read-only: (default) Able to see a physician’s profile and records
information
— Modify Profile: Able to edit or enter a physician’s “My Profile”
information (NPI, license, specialties, etc.)
— Dispute Records: Able to dispute records related to the physician
submitted by reporting entities
• Access levels are separate; having “dispute records” access does not
automatically include “modify profile” access, or vice versa
• Must be nominated by the physician
Teaching hospitals can have up to 10 active users, and they may hold the roles of authorized official or
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The authorized representative can be a physician, an office manager, a practice manager, or any person
the teaching hospital would like to designate. There can be a maximum of five authorized official(s) per
teaching hospital.
The user roles applicable for teaching hospitals are given in Figure 8.9 below.
Figure 8.9: Teaching Hospital User Roles and User Role Functions
User Role Function
Authorized
Official
• Registers the teaching hospital in the Open Payments system
• Modifies the teaching hospital’s profile in the Open Payments system
• Nominates other users and modifies existing user roles
• Approves/denies nominations made by others, and approves/denies
requests for user roles made by others, including self-nominations
• Reviews and disputes records associated with the teaching hospital
Authorized
Representative
• Reviews and disputes records associated with the teaching hospital
• Nominates other individuals for user roles with teaching hospital
• Nominations must be confirmed by an authorized official
To nominate an individual for any role, the following information must be input into the Open Payments
system about that individual:
• First name;
• Last name;
• Business phone;
• Business address; and
• Email address.
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8.4b: Updating a Physician Profile as an Authorized Representative
For a physician’s authorized representative who holds the level of access of “Modify Profile” to edit their
physician’s profile, follow these steps.
Step 1: Log in to the Open Payments system and select the “Manage Physicians” tab.
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Step 2: Select the physician for which you wish to make updates on the Manage Physicians page.
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Step 3: Select the “Physician’s Profile Details” tab to view the profile information for the selected
physician. You will be able to view the physician’s personal information, physician information, and the
physician’s authorized representative information. Select “Update Profile” to begin making updates.
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Step 4: Update the necessary information. When your updates are complete, select “Save Updates.”
Note that any updates made to the physicians profile will cause the physician to be re-vetted. Once the
updated information has been re-vetted, both the physician and authorized official will be able to
perform the necessary actions in the Open Payments system. See section 8.3c for information on
physician vetting.
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8.4c: Updating Personal Profile
As a user of the Open Payments system, you have the ability to update your personal profile
information. You will be able to update your name, business email address, business telephone number,
job title, and business address. Steps for updating your profile are explained below.
Step 1: Log in to the Open Payments system and select the “My Profile” tab.
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Step 2: Select the “My Profile Details” tab. You will be able to view your existing profile information.
Select “Update Profile” to begin making edits and/or updates.
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Step 3: Update fields as necessary. When changes are complete, select “Save Updates.”
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Step 4: The updated information will now appear on the My Profile Details page.
Section 8.5: Nominations
The nomination process allows the users to assign specific roles to individuals to act on behalf of a
physician or teaching hospital. For teaching hospitals, the authorized official must approve all self-
nominations before users can begin performing actions in the system. Individuals may not self-nominate
to serve on behalf of physicians. The physician must directly nominate the individual to serve as the
Nominations can be done during registration or at a later time. The system will generate an email
notification to the nominee informing them that they are nominated for a role in the Open Payments
system. The email notifying teaching hospital authorized officials and authorized representatives will
contain a registration ID and a nomination ID. The email notifying physician authorized representatives
will contain only a nomination ID. Users notified of their nomination for a role must use the registration
ID and/or nomination ID received in the nomination email to complete their profile in the Open
Payments system to receive access to the functions for that specific role.
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The nominee must confirm or reject the role within 10 business days. They can do so by registering in
EIDM to obtain credentials and request access to the Open Payments system. Nominees can then log in
to the Open Payments system to confirm or reject the role. Instructions on registering in the EIDM
system and requesting access to the Open Payments system are in the instructional presentation on
steps to complete EIDM registration. The Open Payments system will render the nomination inactive if
the nomination has not been accepted or rejected within 10 business days. This information is included
in the email notification.
If the nomination is accepted, the individual will be able to complete a user profile, gain access to the
system, and perform the duties of their role. If they reject the nomination, the individual will not be able
to perform the actions on that entity’s behalf and the officer will receive an email notification of the
nomination rejection.
Note: Nominees will need to have EIDM credentials in order to access the Open Payments system and
accept or reject their nominations.
If there is no action taken by the nominee, a final reminder notification will be sent on the 9th
business
day, reminding the nominee that they have yet to accept or reject the nomination. If the nomination is
still not accepted or rejected by the end of the 10th
business day, a deactivated nomination notification
will be sent to the nominee. Figure 8.10 shows the five steps in the nomination acceptance process.
Note: The system times out after 30 minutes of inactivity, and it does not have an auto-save feature. If
the system times out, your updates will not be saved.
Figure 8.10: Accepting Nominations Process
Specific step-by-step instructions for various scenarios follow.
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8.5a: Nominating Authorized Representative for a Physician (Returning Users)
If you are a physician that did not delegate an authorized representative during initial registration,
follow the steps below to nominate an individual for that role.
select the “My Profile” tab.
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Step 2: Select the “My Profile Details” tab on the My Profile page. Here you will be able to view your
profile information. Select “Update Profile.”
Step 3: You can modify your existing profile information, add or edit state license information, add or
edit physician specialty codes, add an authorized representative if you did not do so during initial
registration, or update the level of access for an existing authorized representative. If at this time you
still do not wish to delegate an authorized representative, select “Not now” and select “Save Updates.”
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Step 3a: If you wish to delegate an authorized representative, select “Yes, designate an authorized
representative.” The fields required to nominate an authorized representative will appear on the screen.
Please enter information for all required fields. Required fields will appear with an asterisk.
The default level of access is “Read.” If you would like the authorized representative to have more
access while representing you in the Open Payments system, select “Modify Profile” or “Dispute
Records.” Access levels are discussed in Section 9.4. When complete, select “Save Updates.”
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Step 4: The individual that has been nominated will receive an email notification that they have been
will contain a nomination ID. Users notified of their nomination for a role must use the nomination ID
received in the nomination email to complete their profile in the Open Payments system and will receive
access to the functions for that specific role. The nominee will have 10 business days to accept or reject
the nomination.
261

8.5b: Nominating Additional Roles for a Teaching Hospital (Returning Users)
If you are an authorized official for a teaching hospital that did not delegate additional user roles during
initial registration, follow the steps below. The authorized representative can be a physician, an office
manager, a practice manager, or any person the teaching hospital would like to designate.
select the “Manage Teaching Hospitals” tab.
Step 2: Select the teaching hospital for which you wish to nominate a new role.
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Step 3: Select the “Manage Roles” tab and then select “Nominate New Role.”
Step 4: Enter the required fields and select the desired role for the nomination, such as authorized
official. All required fields are marked with an asterisk. When finished, select “Send Nomination.”
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After you send the nomination, you will be brought back to the “Manage Roles” tab and you will see
that the new nomination and the status of the nomination are now listed on the page.
The individual that has been nominated will receive an email notification that they have been
will contain a registration ID and a nomination ID. Users notified of their nomination for a role must use
the registration ID and nomination ID received in the nomination email to complete their profile in the
Open Payments system and to receive access to the functions for that specific role. The nominee will
have 10 business days to accept or reject the nomination.
Instructions for confirming nominations can be found in the next section.
264

8.5c: Accepting a Nomination (Physician Authorized Representative, First Time
User)
If you have been nominated for a physician authorized representative role, you will receive an email like
the one shown below.
Take note of the information in the email, including registration ID and nomination ID, then follow the
steps below to accept the nomination.
265

Step 3: Although you are affiliating with a physician, do not select “Physician” on the “Select Profile
Type” screen. Instead, select the “I Have a Nomination ID and Registration ID” link on the bottom of the
screen.
266

Step 4: Select the user type “Physician” from the drop-down list and enter the nomination ID that you
received in the nomination notification email and then select “Show Nomination.”
the information is incorrect, select “Cancel” and contact the nominator directly.
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Step 6: Review and confirm the physician information displayed. Select “Continue” to proceed.
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Step 7: Review the nomination information on screen. Select “Yes, I accept” if you wish to accept the
role and “I do not accept” if you do not wish to accept the role. If you accept the role and select
“Continue,” you will continue the nomination confirmation process.
If you reject the role for which you have been nominated, press “Continue” after selecting “No, I do not
accept” for the role. The system will ask you if you are sure you want to reject this role. If you confirm
your choice to reject the role, you will exit the system and the nominator will receive an email that you
rejected the nomination. The nominator will then be allowed to nominate another individual for the
role.
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270

Step 9: Now you will be asked to review the information you have entered. To correct any errors, select
information is correct, select “Submit.”
accepted.
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8.5d: Accepting a Nomination (Existing Role as Physician or Physician
Authorized Representative)
If you have been nominated for a physician authorized representative role, and you already have a role
in the Open Payments system, you will receive an email like the one shown below.
select the “My Profile” tab from the menu bar on the Open Payments home page.
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Step 2: On the “My Roles and Nominations” tab, select “Accept/Reject Nominations.”
Step 3: Select the user type “Physician” from the drop-down list and enter the nomination ID that you
received in the nomination notification email and then select “Show Nomination.”
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the information is incorrect, select “Cancel” and contact the nominator directly.
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Step 5: Confirm the physician information displayed on the screen. You will not be able to edit the
information. Ensure that this is the physician that you wish to accept the nomination for. If it is not the
correct physician, either select “Back” to return to the previous screen to correct the information you
have entered, or select “Cancel” to end the acceptance process.
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Step 6: Review and confirm the physician information displayed. Select “Yes, I accept” if you wish to
accept the role and “No, I do not accept” if you do not wish to accept the role. If you accept the role and
select “Continue,” you will continue the nomination confirmation process.
If you reject the role for which you have been nominated, select “Continue” after selecting “No, I do not
accept” for the role. The system will ask you if you are sure you want to reject this role. If you confirm
your choice to reject the role, you will exit the system and the nominator will receive an email that you
rejected the nomination. The nominator will then be allowed to nominate another individual for the
role.
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information is correct, select “Submit.”
accepted.
278

8.5e: Accepting a Nomination (Teaching Hospital – First Time User)
If you have been nominated for a teaching hospital user role, you will receive an email like the one
shown below.
279

Step 3: On the “Select Profile Type” screen, though you are affiliating with a teaching hospital, do not
select “Teaching Hospital.” Instead, select the link on the bottom of the screen, “I Have a Nomination ID
and Registration ID.”
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Step 4: Select the user type “Teaching Hospital” from the drop-down menu. Enter the registration ID and
nomination ID that you received in the nomination notification email and then select “Show
Nomination.”
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the information is incorrect, select “Cancel” and contact the Open Payments Help Desk
(openpayments@cms.hhs.gov).
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Step 6: Select “Yes, I accept” for roles you accept and “No, I do not accept” for roles you do not accept. If
you reject all roles for which you have been nominated, press “Continue” after selecting “No, I do not
accept” for all roles. The system will ask you if you are sure you want to reject these roles. If you confirm
your choice to reject the roles, you will exit the system and the nominator will receive an email that you
If you accept one or all roles and select “Continue,” you will continue the nomination confirmation
process.
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Step 7: Review your personal information. If the information displayed is correct, select “Continue.” If
the information displayed is incorrect, update the necessary fields. When finished, select “Continue.”
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285

accepted.
8.5f: Accepting a Nomination (Teaching Hospital – Already Registered User)
If you have been nominated for a teaching hospital user role, and you already have a role in the Open
Payments system, you will receive an email like the one shown below.
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Step 2: Select “My Roles and Nominations.”
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Step 3: Select “Accept/Reject Nominations.”
Step 4: Select your user type from the drop-down and enter the registration ID and nomination ID in the
appropriate fields. When complete, select “Show Nomination.”
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the information is incorrect, select “Cancel” and contact the teaching hospital directly.
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Step 6: Select “Yes, I accept” for roles you accept and “No, I do not accept” for roles you do not accept. If
you reject all roles for which you have been nominated, press “Continue” after selecting “No, I do not
accept” for all roles. The system will ask you if you are sure you want to reject these roles. If you confirm
your choice to reject the roles, you will exit the system and the nominator will receive an email that you
If you accept one or all roles and select continue, you will continue the nomination confirmation
process.
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accepted.
8.5g: Self-Nomination: Requesting a Role (Teaching Hospital, First Time User)
If you are a first time user and would like to self-nominate for a teaching hospital role as an authorized
official or authorized representative, follow the steps below.
292

Step 3: Select the profile type “Teaching Hospital.” When finished, select “Continue.”
293

Step 4: Search the database for the correct teaching hospital. Select the appropriate state, teaching
hospital legal name, teaching hospital business address, and Taxpayer Identification Number (TIN) from
the drop-downs.
294

Step 5: The system will search for the identified teaching hospital. Review the information displayed on
the screen, select “Continue” if the information displayed is correct. If the information is not correct,
select “Back” to return to the previous page and edit the search information you entered.
295

Step 6: Review the information displayed on the screen. If the information is correct, select “Continue.”
If the information is not correct, select “Back” to select a different teaching hospital.
296

Step 7: Select the role you wish to nominate yourself for in the teaching hospital: either authorized
official or authorized representative. Then enter in the role-related information below. Required fields
are marked with an asterisk. Once you’ve entered in all of the information, select “Continue.”
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Step 8: Review your information displayed on the screen. Enter your job title and business address.
When finished, select “Continue.”
298

Step 9: Review your profile information on the Review and Submit Profile page. Select “Back” to go back
299

The following message will appear on-screen to confirm your profile has been successfully created. You
will receive an email when your nomination is approved. Also, the authorized officials for the teaching
hospital will receive emails notifying them of your request for a user role.
8.5h: Self-Nomination: Requesting a Role (Teaching Hospital, Existing User)
If you would like to self-nominate for a teaching hospital role as an authorized official or authorized
representative, and already have a role in the Open Payments system, follow the steps below.
Step 2: Select “My Roles and Nominations.”
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Step 3: Select “Request a Role.”
Step 4: Select the teaching hospital state, legal name, business address, and Taxpayer Identification
Number (TIN) from the drop-downs. When finished, select “Search.”
301

Step 5: Review the teaching hospital information displayed on the screen. Select “Continue.”
303

Step 6: Review the teaching hospital information. When finished, select “Continue.”
304

Step 7: Choose the role you wish to request. Enter information into all required fields. When complete,
305

Step 8: Review your profile information for the requested role. When finished, submit your profile by
selecting “Continue.”
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The following message will appear on-screen to confirm your profile has been successfully created. You
will receive an email when your nomination is approved. Also, the authorized officials for the teaching
hospital will receive emails notifying them of your request for a user role.
8.5i: How to Reject a Nomination
To reject a nomination, access the Open Payments system via the CMS Enterprise Portal
(https://portal.cms.gov/) using the registration ID and nomination ID provided in the notification email
and follow the steps below to reject the nomination.
1. Follow steps 1 through 6 outlined in Section 8.5c for accepting a nomination.
2. During step 7, select “No, I do not accept” and select “Continue.”
Once you reject a nomination, you will be exited from the system and will be unable to perform any
functions in Open Payments. The physician or authorized official(s) of the teaching hospital will receive
an email notifying him or her of the rejection. The physician or authorized official(s) of the teaching
hospital may nominate another individual for that role.
307

8.5j: Approving a Nomination (Authorized Official Only)
If you are an authorized official for a teaching hospital, and would like to approve a nomination, follow
the steps below.
“Manage Teaching Hospitals.”
308

Step 2: On the Manage Teaching Hospitals page, select the teaching hospital for which you want to
confirm a nomination.
Step 3: Select the “Manage Roles” tab.
309

Step 4: Select “Approve” for the nomination you wish to approve. Once you have selected the
“Approve” button next to a nominee’s name, the nomination has been approved. The nominee will
receive an email notification informing them of the acceptance of their nomination.
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Step 4a: When you select the “Modify” button next to a nominee’s name, you can change that
individual’s role. You can also remove a nomination, rejecting a user’s self-nomination. When
modifications are complete, select “Save Role.”
311

Step 5: You will now see an updated list of nominations on the “Manage Roles” tab.
312

Review and Dispute
For Physicians and Teaching
Hospitals
Chapter 9: Review and Dispute for Physicians and Teaching
Hospitals
This chapter provides information on the process for physicians and teaching hospitals in the Open
Payments system to view records submitted regarding payments and other transfers of value, as well as
ownership and investment interests, submitted about them from applicable manufacturers and
applicable GPOs.
• Overview of Review and Dispute, which provides information on the review and dispute
process within the Open Payments system.
• Reviewing and Affirming Payments and Other Transfers of Value, which provides information
on how physicians and teaching hospitals can review and affirm data submitted about them by
applicable manufacturers and applicable GPOs.
• Initiating and Withdrawing Disputes, which provides information on how physicians and
teaching hospitals can initiate or withdraw a dispute of submitted data.
All physicians and teaching hospitals who choose to view data reported about them must register in
both EIDM and Open Payments prior to accessing the system. See Chapter 8 for registration
information.
Once an applicable manufacturer or applicable GPO has reported a payment or other transfer of value
about a physician or teaching hospital, or physician ownership or investment interest, the physician or
teaching hospital will be able to review the payment or transfer of value information and affirm or
dispute the submitted data prior to it being made public. This process is referred to as “Review and
Dispute.” Any user who has permission to dispute records may initiate a dispute on any record they
have access to.
The review and dispute period will start at least 60 days before the information is to be published for
that program year. Physicians and teaching hospitals will work directly with reporting entities to resolve
disputes outside of the Open Payments system.
If a dispute is not resolved before the end of the 60-day period, the latest, attested-to data submitted by
the applicable manufacturer or applicable GPO will be published in the next data publication and
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identified as being under dispute. Reviews and disputes can occur outside of this 60-day period; the
review and dispute process is open year-round. If the applicable manufacturer or applicable GPO cannot
resolve the dispute with the physician or teaching hospital within those 60 days, all parties should
continue to seek a resolution. The process is outlined in Figure 9.1 below.
Figure 9.1: Review, Dispute, and Correction Process
During
What Happens During
Review?
What Happens During
Dispute?
What Happens During
Corrections?
Day 1-45
• Applicable
manufacturers,
applicable GPOs,
hospitals review their
data before it is made
public.
• Physicians and teaching
hospitals can dispute
information reported
about them or their
institutions.
• Disputes initiated during
this 45-day period that
are not resolved by the
end of the period will be
reflected in the public
data as the record will
be shown as under
dispute.
• CMS will not mediate
any dispute.
and applicable GPOs
should work with the
disputing physician or
teaching hospital to
correct disputed data.
or applicable GPOs must
submit a revised report to
make the corrections and
re-attest to the updated
data.
> 45 Days
• Applicable
manufacturers and
applicable GPOs seek to
resolve disputes
received from physicians
and teaching hospitals.
hospitals may continue
to review the data.
hospitals may continue
to initiate disputes
during this period but
resolutions may not be
reflected in publicly
displayed data.
and applicable GPOs
should work with
hospitals to make
corrections.
• Corrections made to
disputes may not be
included in the next
publication of data.
and applicable GPOs must
send CMS a revised report
to make the appropriate
corrections and re-attest
to the updated data.
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There is an initial 45-day period for physicians and teaching hospitals to review and dispute data
submitted about them by reporting entities, and work with reporting entities to resolve the disputes.
Immediately following that initial 45 days is an additional 15-day correction period for reporting entities
to continue to work with physicians and teaching hospitals on dispute resolution.
Disputes initiated or resolved after the 60-day period will not be published in the initial publication of
data. Those disputes and any related data changes will be published in the next publication of data,
either in a refresh publication of the program year data or the publication of the next program year’s
data. In the publication, the data will be associated with the program year of the data, not the date of its
publication. Disputes initiated within the initial 45-day review and dispute period, and resolved by the
end of the additional 15-day correction period, will be published and identified as non-disputed in the
initial public posting of data. Disputes initiated during the 15-day dispute correction period will not be in
the initial public posting of data. Figure 9.2 below explains how the dispute initiation and resolution
timing affects the public display status of the data:
Figure 9.2: Dispute Initiation, Resolution, and Public Display of Program Year 2013 Data
Timing of Dispute
Initiation
Dispute Resolution Status
Within 45-Day Initial
Period or 15-Day
Correction Period
Public Display Status
dispute & correction
period
Resolved
Data, with any revisions from
resolution, will be published as non-
disputed in September 2014.
period
Not resolved
Data published as disputed in
September 2014.
period and
prior to the review,
period before the next
data refresh or
publication
Resolved
Data published as non-disputed in both
September 2014 and the subsequent
data publication related to the 2013
program year data.
Any revisions to data due to resolution
will appear in subsequent data
publications
period and
prior to the review,
period before the next
data refresh or
publication
Not resolved
Data published as non-disputed in
September 2014 and as disputed in the
subsequent data publication related to
2013 program year.
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Records that have been disputed will have one of the following dispute statuses:
• Initiated: indicates that a physician or teaching hospital has initiated a dispute against a record
submitted by an applicable manufacturer or applicable GPO.
• Acknowledged: indicates that an applicable manufacturer or applicable GPO has received and
acknowledged a dispute initiated against them by a physician or teaching hospital.
Acknowledging a dispute will trigger a notification to the initiating physician or teaching hospital
letting them know their dispute has been received.
• Resolved, No Change: indicates that either the applicable manufacturer or applicable GPO does
not agree with a dispute initiated by a physician or teaching hospital or the applicable
manufacturer or applicable GPO has discussed the dispute with the initiating physician or
teaching hospital and it was determined that no change in the data was necessary. The
physician or teaching hospital who initiated the dispute can initiate a new dispute if they
disagree with “resolved, no change” status.
• Withdrawn: indicates that a physician or teaching hospital has withdrawn a dispute they
initiated against a record submitted by an applicable manufacturer or applicable GPO.
• Resolved: indicates that disputed data was updated and then resubmitted and re-attested to by
the applicable manufacturer or applicable GPO.
Emails transmitted to applicable manufacturers, applicable GPOs, physicians, and teaching hospitals
from the Open Payments system for review and dispute will not contain contact information. For
example, an email notifying a reporting entity of a dispute from a physician will contain only the
information needed to locate the record in the Open Payments system. You can view a sample
notification email for each review and dispute action in Appendix D. Contact information can be
obtained only by opening the record within the Open Payments system itself.
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Section 9.1: Reviewing and Affirming Submitted Data
Physicians and teaching hospitals that have registered with the Open Payments system may review all
payment, other transfer of value, and physician ownership or investment interest data submitted by an
applicable manufacturer or applicable GPO about them. When the data has been reviewed and the
physician or teaching hospital does not find discrepancies in the data submitted, they may choose to
affirm that the record(s) are in good standing. Records that have not been affirmed will still be included
in the next data publication. Note that if you determine that a record you previously affirmed is in error,
you can initiate a dispute on that record. The process for reviewing and affirming disputes is illustrated
in Figure 9.3 below. Step-by-step walkthroughs of various scenarios follow.
Figure 9.3: Review and Affirmation Process
Section 9.1a: Teaching Hospital - Reviewing and Affirming Submitted Data
select the “Review and Dispute” tab.
317

Step 2: Select the teaching hospital and the appropriate program year you wish to review for data
submitted by applicable manufacturers and applicable GPOs. Select “Show Records.”
If your teaching hospital has no records associated with it, you will receive an message at the top of the
screen saying “There are no payments or other transfers of value reported for this teaching hospital.” If
you do have records associated with your teaching hospital, proceed to Step 3.
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Step 3: On the Records page, you will see a list of all submitted records for the selected teaching
hospital. If you wish, you may filter the records by selecting the “Entity Making Payment” from the
specified drop-down. You may also filter further by including the record ID, date of publication, and/or
dispute ID. You do not need to filter the results in order to proceed. Scroll to the right and select “View”
under the column title “View Record” to view the record details. Please note that this information is
only available on the Open Payments system, and cannot be downloaded.
319

Step 4: Review the information of the submitted record. When finished, select “Back.”
320

Step 5: Select the record(s) you wish to affirm. You may only affirm records with a review and dispute
status of “Resolved, No Change,” “Withdrawn,” or “Resolved.” When the record(s) has been selected,
select “Affirm Record.”
321

Step 6: Review the information on the Affirm Records page. When finished, select “Affirm Records.”
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The following message will be displayed on the screen, confirming the successful affirmation of the
submitted record(s). Also, the record’s “Affirmed Yes/No” indicator, visible in the View Records table,
will be set to Y.
323

Section 9.1b: Physician – Reviewing and Affirming Submitted Data
324

Step 2: Select the physician and the appropriate program year for the physician you wish to review for
data submitted by applicable manufacturers and applicable GPOs. Select “Show Records.”
If your physician has no records associated with it, you will receive an message at the top of the screen
saying “There are no payments or other transfers of value reported for this physician.” If you do have
records associated with your physician, proceed to Step 3.
325

Step 3: On the Records page, you will see a list of all submitted records for the selected physician. You
may filter the records by selecting “Entity Making Payment” from the appropriate drop-down menu. You
may further filter information by including the Record ID, Date of Publication and/or Dispute ID. You do
not need to filter the results in order to proceed. Scroll to the right and select “View” under the column
title “View Record” to view the record details. Please note that this information is only available on the
Open Payments system, and cannot be downloaded.
326

Step 4: Review the information of the submitted record. When finished, select “Back” to return to the
Records page.
327

Step 5: Select the record(s) you wish to affirm. You may only affirm records with a review and dispute
status of “Resolved, No Change,” “Withdrawn,” or “Resolved,” or record with no review and dispute
status given. When the record(s) has been selected, select “Affirm Record.”
328

Step 6: Review the information on the Affirm Records page. If the information is correct, select “Affirm
Records.” We will discuss disputing records later in the User Guide.
329

The following message will be displayed on the screen, confirming the success affirmation of the
submitted record. Also, the record’s “Affirmed Yes/No” indicator, visible in the view records table, will
be set to Y.
330

Section 9.2: Initiating and Withdrawing Disputes
Data submitted regarding payments or other transfers of value to physicians or teaching hospitals by
applicable manufacturers and applicable GPOs can be disputed by that physician or teaching hospital.
When a physician or teaching hospital initiates or withdraws a dispute, the reporting entity (applicable
manufacturer or applicable GPO) will receive an email notification regarding the dispute status with
information about their next required actions. The process for initiating and withdrawing disputes is
illustrated in Figure 9.4 below. Step-by-step walkthroughs of various dispute scenarios follow.
Figure 9.4: Initiating and Withdrawing Disputes Process
Section 9.2a: Teaching Hospital – Initiating a Dispute
331

332

Step 3: On the Records page, you will see a list of all submitted records for the selected teaching
hospital. If you wish, you may filter the records by selecting the “Entity Making Payment” from the
specified drop-down. You may also filter further by including the Record ID, Date of Publication, and/or
Dispute ID. You do not need to filter the results in order to proceed. You can also scroll to the right to
view more information about the record. Scroll to the right and select “View” under the column title
“View Record” to view the record details. Please note that this information is only available on the Open
Payments system, and cannot be downloaded.
Select the record(s) you wish to dispute. When the record(s) has been selected, select “Dispute Record.”
333

Step 4: Review the information on the Dispute Records page. You must enter a reason for dispute within
the text box before continuing. The text box can contain up to 4,000 characters, including spaces.
Special characters allowed in the box are limited to apostrophes or single quotes (‘), periods (.),
ampersands (&), hyphens (-), and commas (,).
Note: As mentioned, you must provide a reason why the records are being disputed in the “Reason for
Dispute” text box. If you have different reasons for each of the records being disputed, you may
dispute one or more record(s) at a time with a common dispute factor, and enter the relevant reason
for dispute. The contents of the “Reason for Dispute” box will be sent in an email to the reporting
entity that reported the payment or other transfer of value. If multiple disputes are initiated at the
same time across different reporting entities, the same “Reason for Dispute” text will be sent to all of
the reporting entities included in the dispute. When finished, select “Send Dispute.”
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The following “Dispute Confirmed” message will be displayed on the screen. An email notification will be
sent to the reporting entity.
Section 9.2b: Teaching Hospital – Withdrawing a Dispute
335

336

Step 3: On the Records page, you will see a list of all submitted records for the chosen teaching hospital.
If you wish, you may filter the records by selecting the “Entity Making Payment” from the specified
drop-down. You may also filter further by including the Record ID, Date of Publication and/or Dispute ID.
You do not need to filter the results in order to proceed. You can also scroll to the right to view more
information about the record. Scroll to the right and select “View” under the column title “View Record”
to view the record details. Please note that this information is only available on the Open Payments
system, and cannot be downloaded.
Select the disputed record(s) you wish to withdraw. You may only withdraw disputes on records with a
review and dispute status of “Initiated” or “Acknowledged.” When the record(s) has been selected,
select “Withdraw Dispute.”
337

Step 4: Review the information on the Withdraw Disputes page. When finished, select “Withdraw
Disputes.”
338

The following message will be displayed on the screen. An email notification will be sent to the reporting
entity.
339

Section 9.2c: Physician - Initiating a Dispute
Step 2: Select the physician and the appropriate program year you wish to review for data submitted by
applicable manufacturers and applicable GPOs. Select “Show Records.”
340

Step 3: On the Records page, you will see a list of all submitted records for the chosen physician. If you
wish, you may filter the records by selecting the “Entity Making Payment” from the specified drop-
down. You may also filter further by including the Record ID, Date of Publication and/or Dispute ID. You
do not need to filter the results in order to proceed. You can also scroll to the right to view more
information about the record. Scroll to the right and select “View” under the column title “View Record”
to view the record details. Please note that this information is only available on the Open Payments
system, and cannot be downloaded.
Select the record(s) you wish to dispute. When the record(s) has been selected, select “Dispute Record.”
341

Step 4: Review the information on the Dispute Records page. You must enter a reason for dispute within
the text box before continuing. The text box can contain up to 4,000 characters, including spaces.
Special characters allowed in the box are limited to apostrophes or single quotes (‘), periods (.),
ampersands (&), hyphens (-), and commas (,).
Note: As mentioned, you must provide a reason why the records are being disputed in the “Reason for
Dispute” text box. If you have different reasons for each of the records being disputed, you may
dispute one or more record(s) at a time with a common dispute factor, and enter the relevant reason
for dispute. The contents of the “Reason for Dispute” box will be sent in an email to the reporting
entity that reported the payment, other transfer of value, or physician ownership or investment
interest. If multiple disputes are initiated at the same time across different reporting entities, the
same “Reason for Dispute” text will be sent to all of the reporting entities included in the dispute.
When finished, select “Send Dispute.”
342

The following “Dispute Confirmed” message will be displayed on the screen. An email notification will be
sent to the reporting entity.
Section 9.2d: Physician - Withdrawing a Dispute
343

344

Step 3: On the Records page, you will see a list of all submitted records for the chosen physician. If you
wish, you may filter the records by selecting the “Entity Making Payment” from the specified drop-
down. You may also filter further by including the Record ID, Date of Publication and/or Dispute ID. You
do not need to filter the results in order to proceed. Scroll to the right and select “View” under the
column title “View Record” to view the record details. Please note that this information is only available
on the Open Payments system, and cannot be downloaded.
Select the disputed record(s) you wish to withdraw. You may only withdraw disputes on records with a
review and dispute status of “Initiated” or “Acknowledged.” When the record(s) has been selected,
select “Withdraw Dispute.”
345

Step 4: Review the information on the Withdraw Disputes page. When finished, select “Withdraw
Disputes.”
346

The following message will be displayed on the screen. An email notification will be sent to the reporting
entity.
347

PART V: PUBLIC DATA PUBLISHING
Coming Fall 2014
348

Appendix
Appendix A: Glossary of Terms for Open Payments
Applicable Manufacturer:
Applicable manufacturers are entities that operate in the United States and (1) are engaged in
the production, preparation, propagation, compounding, or conversion of a covered drug,
device, biological, or medical supply, but not if such covered drug, device, biological, or medical
supply is solely for use by or within the entity itself or by the entity's own patients (this
definition does not include distributors or wholesalers (including, but not limited to,
repackagers, relabelers, and kit assemblers) that do not hold title to any covered drug, device,
biological or medical supply); or (2) are entities under common ownership with an entity
described in part (1) of this definition, which provide assistance or support to such entities with
respect to the production, preparation, propagation, compounding, conversion, marketing,
promotion, sale, or distribution of a covered drug, device, biological or medical supply. (See 42
CFR 403.902)
Applicable Group Purchasing Organization (GPO):
Applicable group purchasing organizations (GPOs) are entities that operate in the United States
and purchase, arrange for or negotiate the purchase of covered drugs, devices, biologicals, or
medical supplies for a group of individuals or entities, but not solely for use by the entity itself.
(See 42 CFR 403.902)
Assistance or Support:
Assistance and support means to provide a service or services needed to produce, prepare,
propagate, compound, convert, market, promote, sell, or distribute a covered drug, device,
biological, or medical supply. (See 42 CFR 403.902)
Biologicals:
For the purpose of Open Payments, biologicals are defined as in Section 1927(k)(2)(B) of the
Social Security Act, which includes a cross-reference to licensure under Section 351 of the Public
Health Service Act (“PHS Act”).
Common Ownership:
Common ownership is when the same individual, individuals, entity, or entities directly or
indirectly own five percent or more of two entities. This includes, but is not limited to, parent
corporations, direct and indirect subsidiaries, and brother or sister corporations. (See 42 CFR
403.902)
A-1

Consolidated Report:
A consolidated report is a report filed by an applicable manufacturer, which includes payments
or other transfers of value to covered recipients, physician owners or investment interests for
the applicable manufacturer filing and applicable manufacturers under common ownership.
(See 42 CFR 403.908(d))
Covered Recipients:
Covered recipients are any physicians (see physicians for an extensive explanation of how Open
Payments defines this group) who are not employees of the applicable manufacturer that is
reporting the payment; or teaching hospitals that receive payment for Medicare direct graduate
medical education (GME), inpatient prospective payment system (IPPS) indirect medical
education (IME), or psychiatric hospital IME programs during the last calendar year for which
such information is available. (See 42 CFR 403.902)
General Payments:
Payments or other transfers of value not made in connection with a research agreement or
research protocol as required in Open Payments.
Open Payments:
Open Payments is a national transparency program which requires:
Applicable manufacturers of covered drugs, devices, biologicals, or medical supplies to send
information about payments or other transfers of value to physicians and teaching hospitals to
CMS every year.
Applicable manufacturers and applicable group purchasing organizations (GPOs) to send
information about ownership and investment interests held by physicians or their immediate
family members to CMS every year.
Applicable GPOs to send information about payments or other transfers of value made to
physicians owners and investment interests to CMS every year.
Physicians:
For the purposes of Open Payments, physicians are defined as doctors of medicine or
osteopathy practicing medicine or surgery, doctors of dental medicine or dental surgery
practicing dentistry, doctors of podiatric medicine, doctors of optometry, or chiropractors, all
legally authorized to practice by their state.
Physician Owners or Investors:
Physicians who have an ownership or investment interest in an applicable manufacturer or
applicable group purchasing organization. Applicable manufacturers and applicable group
purchasing organizations are required to report ownership or investment interests held by a
physician or a physician’s immediate family member in an applicable manufacturer or applicable
group purchasing organization.
A-2

Research Payments:
Payments or other transfers of value made in connection with a research agreement or research
protocol as required in Open Payments.
Special Characters:
Characters that are neither letters nor numbers. Special characters include punctuation, spaces,
and other symbols. Open Payments data elements may contain only the special characters
noted as allowed in the Submission Data Mapping Document and explained in the Error Code
File Document, both of which are found on the Data Submission and Attestation page of the
Open Payments website (http://www.cms.gov/Regulations-and-Guidance/Legislation/National-
Physician-Payment-Transparency-Program/Data-Submission-and-Attestation.html).
Special characters are restricted in Open Payments system, with exception of the following:
Allowed in Name Fields Allowed in Comment Fields
• (White space)
• ' (apostrophe or single quote)
• . (period)
• & (ampersand)
• - (hyphen)
• , (comma)
• ' (apostrophe or single
quote)
• . (period)
• & (ampersand)
• - (hyphen)
• , (comma)
Teaching Hospital:
Teaching hospitals are hospitals that receive payment for Medicare direct graduate medical
education (GME), IPPS indirect medical education (IME), or psychiatric hospital IME programs
during the last calendar year for which such information is available. (See 42 CFR 403.902). The
full list of affected teaching hospitals can be found on the Teaching Hospitals page of the CMS
Open Payments website (https://www.cms.gov/Regulations-and-Guidance/Legislation/National-
Physician-Payment-Transparency-Program/Teaching-Hospitals.html).
A-3

Appendix B: Submission Error Codes
Error codes generated by the Open Payments system for records with validation errors can be found in
the Error Code File document, which is located at http://www.cms.gov/Regulations-and-
Guidance/Legislation/National-Physician-Payment-Transparency-Program/Downloads/Error-Code-File-
Document-[June-2014].xlsx.
B-1

Appendix C: Medicare Provider/Supplier to Healthcare
Provider Taxonomy
Provider taxonomy codes can be found at: http://www.cms.gov/Medicare/Provider-Enrollment-and-
Certification/MedicareProviderSupEnroll/Downloads/TaxonomyCrosswalk.pdf
C-1

Appendix D: Open Payments System Notification Emails
Chapter 5
Dispute Acknowledged Notification Email
Dispute Resolved Notification Email
Dispute Resolved No Change Notification Email
D-1

Chapter 8
Physician Nominee Notification Email
Teaching Hospital Nominee Notification Email
D-2

Nomination Accepted Notification Email
Chapter 9
Dispute Initiated Notification Email
Dispute Withdrawn Notification Email
D-3

Open payments user guide [august-2014]

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Open payments user guide [august-2014]