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Data Submission Guide for DispensersAlabama Prescription Drug Monitoring ProgramSept 2021Version 2.39901 Linn Station Road Louisville, KY 40223 apprisshealth.com

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersTable of ContentsTable of Contents1Document Overview .12Data Collection and Tracking .23456782.1Data Collection Requirements . 22.2Reporting Requirements . 2Accessing Clearinghouse .43.1Creating Your Account . 43.2Logging In to PMP Clearinghouse . 9Data Submission . 104.1Timeline and Requirements . 104.2Upload Specifications. 10Data Delivery Methods . 115.1Secure FTP . 115.2Web Portal Upload . 115.3Manual Entry (UCF) . 135.4Zero Reports. 165.4.1Submit a Single-Click Zero Report . 165.4.2Create a New Zero Report. 19Data Compliance . 226.1File Listings . 226.2UCF Listings . 236.3Error Correction Page. 256.3.1View Records with Errors . 256.3.2Error Correction via PMP Clearinghouse . 256.3.3Error Correction via File Submission . 26Email Reports . 277.1File Failed Report . 277.2File Status Report . 277.3Zero Report Confirmation . 30Managing Your Upload Account . 318.1Adding Users to Your Upload Account. 318.1.1Changing Another User’s Password . 32Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.i

Alabama Prescription Drug Monitoring ProgramData Submission Guide for Dispensers9Table of Contents8.2Adding States to Your Upload Account . 348.3Adding SFTP Access to an Upload Account . 358.4Editing Your Upload Account . 37Managing Your User Profile . 399.1Editing Your Profile . 399.2Changing Your Password. 409.3Resetting Your Password . 4110Assistance and Support . 4310.1Technical Assistance . 4310.2Administrative Assistance . 4311Document Information . 4411.1Disclaimer. 4411.2Change Log . 44Appendix A: ASAP 4.2B Specifications . 46Appendix B: ASAP Zero Report Specifications . 58Appendix C: SFTP Configuration. 61Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.ii

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersDocument Overview1 Document OverviewThis document serves as a training guide and support manual for dispensers of Schedule IIthrough Schedule V controlled substances in Alabama who use Appriss Health’s PMPClearinghouse repository to report their dispensations. It includes such topics as: Reporting requirements for dispensers in the State of Alabama Data file submission guidelines and methods Creating a PMP Clearinghouse account Creating a data file Uploading or reporting data Understanding and correcting errorsThis guide is intended for use by all dispensers in the State of Alabama required to report thedispensing of controlled substances.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.1

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersData Collection and Tracking2 Data Collection and Tracking2.1 Data Collection RequirementsThis guide provides information regarding the Alabama Prescription Drug MonitoringProgram (PDMP). The purpose of this program is to collect data on ALL Schedule II, III,IV, and V controlled substances dispensed in the State of Alabama or for patientsresiding in Alabama. This is made possible by the 2004 Alabama Legislature Act No.2004-443, which states:Act 2004-443, SB35, authorizes the Alabama Department of Public Health toestablish, create, and maintain a controlled substances prescription databaseprogram and a controlled substances prescription database advisory committee.The act requires the reporting of controlled substance prescription data to thedepartment by pharmacies, physicians, and other practitioners who areauthorized to prescribe controlled substances and enumerates the dataelements to be reported. The act lists persons and entities permitted access tothe database, provides for the confidentiality of all information maintained inthe database, and prescribes penalties for the unauthorized disclosure ofinformation contained in the database. The act assesses a surcharge of 10 peryear on the controlled substance registration certificate of each licensedmedical, dental, podiatric, optometric, and veterinary medicine practitioner tobe used by the Department of Public Health for the development,implementation, operation, and maintenance of the database. The act providesthat the database will be operational within 12 months after the State HealthOfficer certifies that sufficient funds are available to implement and operate thedatabase, and also provides that persons or entities required to reportinformation to the database are not liable for any claim of damages as a resultof such report.The data collected is used in the prevention of diversion, abuse, and misuse ofcontrolled substances through the provision of education, early intervention, andenforcement of existing laws that govern the use of controlled substances.All dispensers of controlled substances must meet the reporting requirements set forthby state law in a secure methodology and format. Information about controlledsubstance dispensing activities must be reported on regular intervals to the AlabamaPDMP through the authorized data collection vendor, Appriss, Inc. (Appriss).2.2 Reporting RequirementsAs of December 12, 2017, the Alabama PDMP requires pharmacies and dispensers toreport controlled substance dispensations to the Alabama PDMP via PMPClearinghouse. Dispensations must be reported on a DAILY basis.The laws and regulations for reporting to the Alabama PDMP are continuouslysubjected to amendments, and it is the responsibility of dispensers to be aware ofsuch updates as they are enacted and promulgated.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.2

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersData Collection and TrackingAll dispensers of Schedule II–V controlled substance prescriptions are required to collectand report their dispensing information. Such reporting without individual authorizationby the patient is allowed under HIPAA, 45CFR § 164.512, paragraphs (a) and (d). TheAlabama Department of Public Health is the state oversight agency, and acts as an agentof Alabama PDMP in the collection of this information.Entities and practitioners that dispense Class II–V controlled substances must reportdata to the controlled substance database on a daily basis.Entities and practitioners required to report daily include, but are not limited to, thefollowing: Licensed pharmacies Mail-order pharmacies or pharmacy benefit programs filling prescriptions for ordispensing controlled substances to residents of Alabama Licensed physicians, dentists, podiatrists, and optometrists who dispense controlledsubstancesThe daily reporting requirement does not apply on days that the entity’s orpractitioner’s business is closed.Certain elements are required by law to be reported. For details on these elements andothers of ASAP 4.2B, please refer to Appendix A: ASAP 4.2B Specifications.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.3

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersAccessing Clearinghouse3 Accessing ClearinghouseThis chapter describes how to create your PMP Clearinghouse account and how to log in to thePMP Clearinghouse web portal.3.1 Creating Your AccountPrior to submitting data, you must create an account. If you are currently registeredwith the Appriss PMP Clearinghouse system, you do not need to register for a newaccount—you will be able to add Alabama to your existing account for datasubmissions. If you have an existing PMP Clearinghouse account, please refer to AddingStates to Your Upload Account to add states to your account.Notes: Data from multiple pharmacies can be uploaded in the same file. For example, chainpharmacies may send in one file containing controlled substance dispensinginformation for all their pharmacies licensed in the State of Alabama. Therefore,chains with multiple stores need only to set up one account to upload a file. PMP Clearinghouse allows users to submit data through the web portal via manualentry (UCF) or upload of ASAP files. For users who prefer an encrypted transfermethod, SFTP access is also available. You may set up your SFTP account during theaccount creation process. If you need to make changes to an existing PMP Clearinghouse upload account,please refer to Managing Your Upload Account.Perform the following steps to create an account:1. Open an internet browser window and navigate to the PMP Clearinghouse AccountRegistration page located at yright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.4

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersAccessing Clearinghouse2. Complete your Profile Details.a. Enter your current, valid email address in the Email Address field.Note: The email address you provide here will act as your username whenlogging into the PMP Clearinghouse system.b. Enter a password for your account in the Password field, then re-enter it in thePassword Confirmation field. The password requirements are provided below.Passwords must contain: At least eight (8) characters One (1) uppercase letter One (1) lowercase letter One (1) number One (1) special character, such as !, @, #, , etc.3. Complete your Personal and Employer information, noting the following: Required fields are marked with a red asterisk (*). You may be able to auto-populate your Personal and/or Employer informationby entering your (or your employer’s) DEA, NPI, and/or NCPDP number, thenclicking the search icon (). If the number you entered is found, yourinformation will automatically be populated.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.5

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersAccessing Clearinghouse4. If secure file transfer protocol (SFTP) is required, complete the Data Submissionsection of the page.Notes: If SFTP access is not required, you do not need to complete the Data Submissionsection and you may continue to step 5. You may add SFTP access to an existing account. Please refer to Adding SFTPAccess to an Upload Account for complete instructions.a. Click to select the Enable SFTP Access checkbox.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.6

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersAccessing ClearinghouseThe SFTP access fields are displayed.b. Your SFTP Username is automatically generated using the first five characters ofyour employer’s name your employer’s phone number @prodpmpsftp. Forexample, if you entered “Test” as your employer’s name and “555-555-5555” asyour employer’s phone number, your SFTP username would [email protected] Enter a password for your SFTP account in the SFTP Password field, then reenter it in the SFTP Password Confirmation field. The password requirementsare provided below.Passwords must contain: At least eight (8) characters One (1) uppercase letter One (1) lowercase letter One (1) number One (1) special character, such as !, @, #, , etc.This password will be input into the pharmacy software so that submissions canbe automated.Notes: This password can be the same as the one previously entered under Profile. Unlike the Profile password (i.e., your user account password), the SFTPpassword does not expire. The URL to connect via SFTP is sftp://sftp.pmpclearinghouse.net. Additional details on SFTP configuration can be found in Appendix C: SFTPConfiguration.5. In the Submission Destinations section of the page, select the state(s) for which youwill be submitting data.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.7

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersAccessing Clearinghouse6. Click Submit.The request is submitted to the PMP administrator for each of the states youselected for data submission, and the Registration Information Overview page isdisplayed.7. Click Continue.The PMP Clearinghouse Login page is displayed; however, you will not be able to login until your account has been approved. Once the state PMP administrator hasapproved your request, you will receive a welcome email instructing you to confirmyour account. Follow the instructions in the email to confirm your account and beginsubmitting data to PMP AWARxE.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.8

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersAccessing Clearinghouse3.2 Logging In to PMP Clearinghouse1. Open an internet browser window and navigate to the PMP Clearinghouse Loginpage located at https://pmpclearinghouse.net/users/sign in.2. Enter the email address you used to create your account in the Email Address field.3. Enter your password in the Password field.Note: If you have forgotten your password, have completed your registration but didnot receive the account confirmation email, or your account has been locked and youdid not receive the email with instructions for unlocking your account, please refer tothe links in the Help section of the page. For detailed instructions on resetting yourpassword, refer to Resetting Your Password.4. Click Login.The PMP Clearinghouse home page is displayed.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.9

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersData Submission4 Data SubmissionThis chapter provides information and instructions for submitting data to the PMPClearinghouse repository.4.1 Timeline and Requirements Pharmacies and software vendors can establish submission accounts upon receipt ofthis guide. See Creating Your Account for more information. Communication withthe pharmacy dispensing software vendor is suggested and may be required toestablish the connection. You can begin submitting data to PMP Clearinghouse as soon as your account hasbeen created. As of December 12, 2017, dispensers are required to transmit their data using PMPClearinghouse. Data should be reported in accordance with the guidelines outlinedunder Reporting Requirements. If a pharmacy does not dispense any controlled substances for the precedingreporting period, it must file a zero report for that reporting period, or it will beconsidered noncompliant. See Zero Reports for additional details. If you are already registered with PMP Clearinghouse to report from another state,you do not need to create a new account. Please refer to Adding States to YourUpload Account to add states to your account.4.2 Upload SpecificationsFiles should be in the ASAP 4.2B format, which was released in September 2011, asdefined in Appendix A: ASAP 4.2B Specifications. Files for upload should be named in aunique fashion, with a prefix constructed from the date (YYYYMMDD) and a suffix of“.dat”. An example file name would be “20110415.dat”. All of your upload files will bekept separate from the files of others.Reports for multiple pharmacies can be in the same upload file in any order.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.10

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersData Delivery Methods5 Data Delivery MethodsThis chapter provides information about data delivery methods you can use to upload yourcontrolled substance reporting data file(s) to PMP Clearinghouse.For quick reference, you may click the desired hyperlink in the following table to view the stepby-step instructions for your chosen data delivery method:Delivery MethodPageSecure FTP11Web Portal Upload11Manual Entry (UCF)13Zero Reports165.1 Secure FTPIf you are submitting data to PMP Clearinghouse using SFTP, you must configureindividual sub-folders for the state PMP systems to which you are submitting data.These sub-folders must be created in the homedir/directory folder, which is where youare directed once authenticated, and should be named using the state abbreviation(e.g., AL, AK, GA, KS, etc.). Data files not submitted to a state sub-folder will be requiredto have a manual state PMP assignment made on the File Listings page. Please refer toState Subfolders for additional details on this process.1. If you do not have a PMP Clearinghouse account, perform the steps in Creating YourAccount.Or2. If you have a PMP Clearinghouse account but have not enabled SFTP access,perform the steps in Adding SFTP Access to an Upload Account.3. Prepare the data file(s) for submission, using the ASAP specifications described inAppendix A: ASAP 4.2B Specifications.4. SFTP the file to sftp://sftp.pmpclearinghouse.net.5. When prompted, enter the username and password you created when setting upthe SFTP account.6. Place the file in the appropriate state-abbreviated directory.7. You can view the results of the transfer/upload on the Submissions page in PMPClearinghouse.Note: If you place the data file in the root directory and not a state sub-folder, a“Determine PMP” error is displayed on the File Status page, and you will be prompted toselect a destination PMP (state) to which the data should be sent.5.2 Web Portal Upload1. If you do not have an account, perform the steps in Creating Your Account.2. Prepare the data file(s) for submission, using the ASAP specifications described inAppendix A: ASAP 4.2B Specifications.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.11

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersData Delivery Methods3. Log in to PMP Clearinghouse.4. From the home page, click the File Upload tab.The File Upload page is displayed.5. Select the state PMP to which you are submitting the file from the drop-down list inthe Select PMP field.6. Click the Browse button, located next to the File Upload field, and select the file youcreated in step 2.7. Click Upload.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.12

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersData Delivery MethodsA message is displayed prompting you to confirm the submission.8. Click Upload to continue with the file submission.Your file is uploaded, and you can view the results of the upload on the FileSubmissions page.Note: When uploading a file, the file name must be unique. If the file name is notunique, a message is displayed indicating that the file name has already been taken.5.3 Manual Entry (UCF)You can manually enter your prescription information into the PMP Clearinghousesystem using the Universal Claim Form (UCF) within the PMP Clearinghouse web portal.This form allows you to enter patient, prescriber, dispenser, and prescriptioninformation.Please refer to Reporting Requirements for the complete list of reporting requirements.1. If you do not have an account, perform the steps in Creating Your Account.2. Log in to PMP Clearinghouse.3. Click UCF Submissions.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.13

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersData Delivery MethodsThe UCF Listings page is displayed.4. Click the New Claim Form tab, located at the top of the page.The Create Universal Claim Form page is displayed.5. Select the state PMP to which you are submitting data from the drop-down list inthe Select a PMP field.6. Complete the required fields.Notes: An asterisk (*) indicates a required field. If you are entering a compound, click the Compound checkbox in the DrugInformation section of the page, complete the required fields for the first drugingredient, then click Add New to add additional drug ingredients.7. Once you have completed all required fields, click Save.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.14

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersData Delivery MethodsThe Submit Now button is displayed at the top of the page.8. Click Submit Now to continue with the data submission process.A message is displayed prompting you to confirm the data submission.9. Click OK.Your data will be validated upon submission. If there are any errors on the UCFform, they are displayed at the top of the page.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.15

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersData Delivery MethodsNote: If there are no errors, you are returned to the Submitted Claim Forms pageand your report is listed there.10. Correct the indicated errors, then repeat steps 7–9.11. Once your data has been successfully submitted, your report is listed on the UCFListings page.5.4 Zero ReportsIf you have no dispensations to report for the preceding reporting period, you mustreport this information to the Alabama PDMP.You may submit your zero report through the PMP Clearinghouse web portal byfollowing the steps below or via SFTP using the ASAP Standard for Zero Reports. Foradditional details on submitting via SFTP, please refer to Appendix B: ASAP Zero ReportSpecifications.You may submit zero reports through the PMP Clearinghouse web portal using one ofthe following methods: Submit a single-click zero report Create a new zero report5.4.1 Submit a Single-Click Zero ReportSingle-click zero reporting allows you to create a profile for the pharmacy thatincludes its identifiers (e.g., DEA, NPI, NCPDP), so you do not have to enter iteach time you submit a zero report.To create a pharmacy profile and begin submitting single-click zero reports:1. If you do not have an account, perform the steps in Creating Your Account.2. Log in to PMP Clearinghouse.3. Click Zero Reports.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.16

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersData Delivery MethodsThe Zero Report Listings page is displayed.4. Click the Create Zero Report tab.The Create Zero Report page is displayed. Note that Submit a Single ClickZero Report is selected by default. Any pharmacies you have already configured for single-click zeroreporting are displayed at the bottom of the page. Continue to step 10to submit a zero report for those pharmacies. If you have not configured your pharmacy for single-click zero reporting,continue to step 5.5. Click Add New Pharmacy.Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.17

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersData Delivery MethodsThe New Pharmacy page is displayed.6. Select the PMP for which you are submitting a zero report from the dropdown list in the PMP field.7. Enter the pharmacy’s name in the Pharmacy field.8. Populate the NCPDP, DEA Number, and/or NPI fields as required by thePMP you selected in step 6. If any of these fields are required, a red asterisk(*) will be displayed next to that field once you have selected a PMP.9. Click Save.The pharmacy is saved and will be listed under the drop-down for theselected PMP, which is located at the bottom of the page.10. Click the plus sign (“ ”) next to the PMP for which you wish to submit a zeroreport.The list of pharmacies you have configured for single-click zero reporting forthat PMP is displayed. Note that this page allows you to submit a zero reportfor the current date (Today) or the previous day (Yesterday).Copyright 2017-2020 Appriss, Inc. All rights reserved.Do not copy or distribute without the express written permission of Appriss.18

Alabama Prescription Drug Monitoring ProgramData Submission Guide for DispensersData Delivery Methods11. Click Today to submit a zero report for the current date;Or12. Click Yesterday to submit a zero report for the previous date.Once t

PMP Clearinghouse web portal. 3.1 Creating Your Account Prior to submitting data, you must create an account. If you are currently registered with the Appriss PMP Clearinghouse system, you do not need to register for a new account—you will be able to add Alabama to your existing account for data submissions.