KASPER Controlled Substance Reporting Guide

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 1 of 47

KASPER Controlled Substance

Reporting Guide

Cabinet for Health and Family Services

Office of Inspector General

Version 1.5.4

December 10, 2021

This project was supported by federal Harold Rogers Grant No. 2015-PM-BX-0001 awarded by the Bureau of Justice Assistance.

The Bureau of Justice Assistance is a component of the Department of Justice’s Office of Justice Programs, which also includes

the Bureau of Justice Statistics, the National Institute of Justice, the Office of Juvenile Justice and Delinquency Prevention, the

Office for Victims of Crime, and the SMART Office. Points of view or opinions in this document are those of the author and do not

necessarily represent the official position or policies of the U.S. Department of Justice.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 2 of 47

This page intentionally left blank

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 3 of 47

Document Purpose

One of the largest threats to patient safety in the Commonwealth of Kentucky is the misuse,

abuse and diversion of controlled pharmaceutical substances. The Kentucky All Schedule

Prescription Electronic Reporting System (KASPER) is Kentucky’s Prescription Drug Monitoring

Program. KASPER is housed in the Office of Inspector General in the Cabinet for Health and

Family Services (CHFS). KASPER is intended as a tool to help health care providers identify

patients at risk of a substance use disorder, and to assist authorized law enforcement and

regulatory agencies with drug investigations. Kentucky statutes and regulations require the

reporting to KASPER of Schedule II through V controlled substance medications administered or

dispensed in Kentucky.

This guide provides information on the following:

• Kentucky statutes and regulations requiring reporting to KASPER

• Establishing a KASPER uploader account

• Data reporting guidelines and transmission methods for KASPER

• Preparing and transmitting data

• Using the web-based prescription data entry form

• Upload reports

• Error thresholds and tolerances

• Error correction requirements

• KASPER contact information

This guide should be used by all practitioners and dispensers who are required to report

administered or dispensed controlled substance data to KASPER.

Kentucky Revised Statute 218A.202

(https://apps.legislature.ky.gov/law/statutes/statute.aspx?id=46716) and Kentucky

Administrative Regulation 902 KAR 55:110

(https://apps.legislature.ky.gov/law/kar/902/055/110.pdf) establish the legal requirements for

reporting Schedule II through V controlled substances to CHFS.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 4 of 47

This page intentionally left blank

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 5 of 47

Table of Contents

1 REGISTRATION AND REPORTING REQUIREMENTS ......................................................................... 7

1.1 REGISTRATION REQUIREMENTS ............................................................................................................................... 7

1.2 UPLOADER ACCOUNT SECURITY .............................................................................................................................. 7

1.3 REPORTING REQUIREMENTS ................................................................................................................................... 7

1.4 DATA REPORTING EXCEPTIONS ................................................................................................................................ 7

1.5 REPORTING NON-COMPLIANCE ............................................................................................................................... 8

1.6 DATA REPORTING WAIVERS ................................................................................................................................... 8

2 ACCOUNT REGISTRATION AND MANAGEMENT ................................................................................. 9

2.1 CREATING AN UPLOADER ACCOUNT ......................................................................................................................... 9

2.1.1 Creating a Kentucky Online Gateway Account ....................................................................................... 9

2.1.2 Prescription Upload Program Registration ........................................................................................... 12

2.2 LOGIN PROCEDURE ............................................................................................................................................. 16

2.2.1 Logging Into an Existing Account .......................................................................................................... 16

2.2.2 Status Toolbar ...................................................................................................................................... 17

2.2.3 Navigation Menu .................................................................................................................................. 17

2.2.4 Forgotten Username or Password........................................................................................................ 18

2.3 EDITING YOUR ACCOUNT PROFILE ......................................................................................................................... 19

3 DATA REPORTING ..................................................................................................................................... 23

3.1 DATA FILE UPLOAD ............................................................................................................................................. 23

3.1.1 Data File Format ................................................................................................................................... 23

Using OpenPGP Encryption ............................................................................................................................. 23

Using ZIP File Compression .............................................................................................................................. 23

3.1.2 File Upload Via FTPS (using SSL) ........................................................................................................... 23

3.1.3 File Upload Via SFTP (using SSH) .......................................................................................................... 24

3.1.4 File Upload Via Secure Website ............................................................................................................ 24

3.2 PRESCRIPTION DATA ENTRY FORM......................................................................................................................... 25

3.2.1 Form Layout ......................................................................................................................................... 25

3.2.2 Step One: Login .................................................................................................................................... 26

3.2.3 Step Two: Enter Dispenser Information ............................................................................................... 27

3.2.4 Step Three: Enter Patient Information ................................................................................................. 27

3.2.5 Step Four: Enter Prescription Information ........................................................................................... 28

3.2.6 Step Five: Enter Controlled Substance Information ............................................................................. 29

NDC Number Formatting ................................................................................................................................. 29

Non-compounded Prescriptions ...................................................................................................................... 29

Compounded Prescriptions .............................................................................................................................. 30

Add Prescription To Batch List ......................................................................................................................... 30

Validation Error Messages .............................................................................................................................. 31

Other Error Messages ...................................................................................................................................... 31

3.2.7 Step Six: Review the Batch List and Upload the Data ........................................................................... 34

3.3 REQUIRED DATA ELEMENTS.................................................................................................................................. 35

3.3.1 Data Element Table .............................................................................................................................. 35

4 UPLOAD REPORTS..................................................................................................................................... 39

4.1 ERROR THRESHOLDS AND TOLERANCES ................................................................................................................... 39

4.2 ERROR CORRECTION ........................................................................................................................................... 39

4.3 UPLOAD NOTIFICATIONS ...................................................................................................................................... 40

4.4 VIEWING UPLOAD REPORTS ................................................................................................................................. 40

4.4.1 Sample Upload Report ......................................................................................................................... 42

4.5 REPORT EDITS (ERROR CODES) ............................................................................................................................. 42

4.5.1 Error Terminology ................................................................................................................................ 44

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 6 of 47

5 KASPER PRESCRIPTION UPLOAD SUPPORT CONTACTS ............................................................. 45

5.1 KASPER PRESCRIPTION UPLOAD TECHNICAL SUPPORT.............................................................................................. 45

5.2 KASPER PROGRAM SUPPORT .............................................................................................................................. 45

6 GLOSSARY .................................................................................................................................................... 47

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 7 of 47

1 Registration and Reporting Requirements

1.1 Registration Requirements

• All dispensers licensed by the Kentucky Board of Pharmacy that possess a DEA license

must register as KASPER data reporters.

• Practitioners who administer or dispense controlled substances must register as KASPER

data reporters.

• Practitioners who never administer or dispense controlled substances are not required

to register as KASPER data reporters.

• Veterinarians are not required to register or report controlled substance dispensing to

KASPER.

1.2 Uploader Account Security

• Each individual who will upload data, either through file upload or the prescription data

entry form, must obtain his or her own uploader account, and agree not to share login

credentials with others.

1.3 Reporting Requirements

• Reporting is required for any practitioner or pharmacy that administers or dispenses a

Schedule II – V controlled substance to a human patient.

• Dispensers and practitioners are required to report dispensed or administered

controlled substance data no later than the close of business on the business day

immediately following the dispensing or administration.

• Kentucky does not require zero reports. Reporting is only required when a controlled

substance has been administered or dispensed as defined in KRS 218A.202 and 902 KAR

55:110.

1.4 Data Reporting Exceptions

The following are the only exceptions to the data reporting requirement:

• A drug administered directly to a patient in a hospital, a resident of a healthcare facility

licensed under KRS Chapter 216B, a resident of a child-caring facility as defined by KRS

199.011, or an individual in a jail, correctional facility, or juvenile detention facility.

• A Schedule III through Schedule V controlled substance dispensed by a facility licensed

by the cabinet provided that the quantity dispensed is limited to an amount adequate to

treat the patient for a maximum of forty-eight (48) hours and is not dispensed by the

emergency department of a hospital.

• A drug administered or dispensed to a research subject enrolled in a research protocol

approved by an institutional review board that has an active federalwide assurance

number from the United States Department of Health and Human Services, Office for

Human Research Protections where the research involves single, double, or triple blind

drug administration or is additionally covered by a certificate of confidentiality from the

National Institutes of Health.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 8 of 47

1.5 Reporting Non-Compliance

• Under KRS 218A.202, intentional failure by a dispenser to transmit data to the KASPER

program as required shall be a Class B misdemeanor for the first offense, and a Class A

misdemeanor for each subsequent offense.

1.6 Data Reporting Waivers

• Dispensers with a DEA license who certify that they do not dispense any controlled

substances in Kentucky must register as a KASPER data reporter. However, once

registered CHFS can provide a reporting waiver email. Dispensers can request a

reporting waiver by contacting KASPER staff at [email protected].

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 9 of 47

2 Account Registration and Management

2.1 Creating an Uploader Account

2.1.1 Creating a Kentucky Online Gateway Account

1. In your browser, go to https://ekasperupload.chfs.ky.gov/GetStarted.aspx to access the

KASPER Data Reporting website for account registration.

2. Click on Get Started, which will take you to the Kentucky Online Gateway page.

3. When you get here:

a. If you already have a Kentucky Online Gateway account, enter your Username

and Password on the left and click Log In, then skip to Step 9.

b. If you do not already have a Kentucky Online Gateway account, click the Create

An Account button to begin creating your Kentucky Online Gateway account.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 10 of 47

4. Complete all required fields (marked with a *) and any optional fields you wish to

complete, then click Submit.

5. Log in to the email account which you provided, and look for an email from Kentucky

Online Gateway. The subject should include the words “Account verification”. In the

email there should be a link to click on to verify your Kentucky Online Gateway account.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 11 of 47

6. A new tab or window should open in your browser, asking you to provide the answers to

the security questions you specified earlier when setting up the account. Enter the

answers and click Verify Account.

7. Click on Continue to Logon to proceed.

8. Back on the Gateway Log In screen, on the left, enter the username and password that

were established earlier when setting up the account, and click Log In.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 12 of 47

9. On the New Account Registration screen, enter the DEA number of any dispenser or

dispensing practitioner (if you report for many, just choose one) for whom you will be

reporting data, as well as the ZIP Code associated with that dispenser, and then click

Next.

Note: The ZIP code entered must match the ZIP code listed for that DEA number in the Drug

Enforcement Administration database, or the system will provide an error message indicating an

Invalid DEA/ZIP Code.

10. Click on the Submit Request button. You will then be taken to the KASPER Prescription

Upload Program to complete the registration process.

2.1.2 Prescription Upload Program Registration

Once your Kentucky Online Gateway account registration is complete, you must also register

with the KASPER Prescription Upload Program. This is a one-time-only registration.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 13 of 47

1. Take the following steps under Primary Reporting Contact Information:

a. Complete all required fields (marked with a *) in the Primary Contact Information

area of the form. This contact is the person who will receive upload report

notification emails, and will be the primary contact for the KASPER Team. Some

fields which you already entered for the Kentucky Online Gateway account may

already be filled in here.

b. For the Default Upload Method, select either Data Entry, File Upload or Secure FTP

to set your primary reporting method. Each time you log in, the system will

automatically take you to the appropriate web page for the default reporting

method you select to save you time. You can always access other upload methods

via the navigation menu.

c. The optional Additional Emails area allows you to provide up to 5 additional email

addresses of people who will also receive upload report notifications.

2. Optionally, you may provide a Secondary Contact. This individual will only be contacted

by the KASPER Team in the event that the primary contact is unavailable, and will

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 14 of 47

receive no notification emails (unless their email address is also included in the

Additional Emails section above).

3. If you plan to submit data files via secure FTP, then you should activate your FTP

account by clicking on Activate FTP Account, which will change the contents of that

section of the form. If you do not plan to submit via FTP, you can safely ignore this

section and skip to Step 5.

4. To complete FTP account activation, create a password and enter it in both fields. Your

password does not expire once set, and must meet these requirements:

a. Is at least 12 characters long

b. Contains at least one upper case letter, one lower case letter, one number and

one special character (*, &, !, ^, #, $ or %)

c. Does not contain any dictionary words

d. Is different from your previous 24 passwords

5. When all required actions are completed, click Finish.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 15 of 47

6. You are now registered and ready to upload prescription data to KASPER. If you

activated your FTP Account, your FTP account name will also be provided here, and can

also always be found later under your Account Profile. Click Continue to go to your

default upload method.

7. You will now receive a welcome email from [email protected] along with an

attachment of KASPER Controlled Substance Reporting Guide.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 16 of 47

2.2 Login Procedure

2.2.1 Logging Into an Existing Account

Once you have completed registration, you can log in to upload data by following these steps.

1. In your browser, go to https://ekasperupload.chfs.ky.gov/Default.aspx to access the

KASPER Data Reporting website. You should immediately be redirected to the Kentucky

Online Gateway login page.

Important: Do not go to the Get Started page you used for registration.

2. On the left side, enter the Gateway account name and the password you created during

registration, and click Log In.

3. Once authenticated, you will be taken back to the KASPER Data Reporting webpage and

should arrive at either the File Upload screen or the Prescription Data Entry Form

screen, depending on the preference you set during registration. If you chose Secure FTP

as your default upload method, you will be taken to your account profile page, since FTP

is a separate protocol not done through the web page. Be sure to note your FTP account

name which will be displayed at the bottom of that page.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 17 of 47

2.2.2 Status Toolbar

• Once logged in, you will see a toolbar in the upper right of the web page. You can use

the toolbar to verify which account you are logged into, as well as log out of the system,

view the FAQ, contact the KASPER Team, or get the latest version of the reporting guide

(this document).

• If you see an alert icon at the right end of the toolbar, you can click it to bring up any

messages from the KASPER Team which may be advising you of upcoming scheduled

downtime or other system messages.

2.2.3 Navigation Menu

Once logged in, you will see the navigation menu on the left side of the screen. Use this to

easily and quickly access any part of the KASPER Data Reporting website needed.

1. Account Profile will allow you to edit your account settings,

such as contact information.

2. File Upload is where you can upload a data file for processing.

3. Rx Entry/Corrections is a way to report prescription data by

entering the data through a web page.

4. Uploaded Reports will allow you to search for your uploaded

data files regardless of how you submitted them, and access

the upload (error) reports associated with each file.

5. Reporting Guide provides information on how to establish an

uploader account, reporting guidelines, data transmission

methods, uploaded reports, etc.

6. FAQ provides a list of Kentucky Controlled Substance

Reporting Program frequently asked questions

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 18 of 47

2.2.4 Forgotten Username or Password

If you forget your Kentucky Online Gateway username or password, take these steps:

1. In your browser, go to https://ekasperupload.chfs.ky.gov/Default.aspx to access the

KASPER Data Reporting website. You should immediately be redirected to the Kentucky

Online Gateway login page.

2. Click on Forgot Username? Or Forgot Password? to get help with these issues.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 19 of 47

2.3 Editing Your Account Profile

1. At any time while logged in to the Data Reporting Website, click on Account Profile on

the left navigation menu.

2. Under Primary Reporting Contact Information, review the information and make any

changes necessary.

a. You can manage the Additional Emails section by entering a new address in the

text box and clicking Add Email Address to add that email address to the list.

b. You can remove any address in the list by clicking the Remove link for that

address.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 20 of 47

3. Under Secondary Reporting Contact Information, review and update any of this

optional information.

4. If you intend to encrypt uploaded data files, you will need the PGP Public Key found in

this section.

a. Click Download Public PGP Key File to download the key file, to import into your

PGP Keyring.

b. Click on Regenerate Key only if your key security has been compromised and you

need a new one. Note that once the key is changed, all future uploads must be

encrypted with the new key, or else KASPER will be unable to decrypt your files.

Furthermore, any file already uploaded with the old key but not yet successfully

processed by KASPER will have to be uploaded again after being encrypted with

the new key.

c. For more information, see Using OpenPGP Encryption elsewhere in this

document. If you do not encrypt your files or aren’t sure what this is, you can

safely ignore this section.

5. If you have not activated your FTP account and need to do so now, click on Activate FTP

Account, which will change the contents of that section of the form.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 21 of 47

6. To complete FTP account activation, create a password and enter it in both fields. Your

password must meet the requirements displayed on the screen.

7. If your FTP account is already active:

a. You will see your FTP account name here. You must use this account name and

your current password to connect to the FTP server to upload files.

b. If you need to change your password, enter a new one in both fields, adhering to

the password complexity rules displayed on the screen, then click Save below.

c. Click on Deactivate FTP Account if you no longer will use FTP to upload files.

Note that if you do this, you will no longer be able to log in to the FTP server.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 22 of 47

This page intentionally left blank

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 23 of 47

3 Data Reporting

Data can be reported by several different methods.

• A data file can be created and uploaded using either SFTP in your FTP client program, or

through the KASPER Data Reporting website.

• Low volume reporting and record revisions can be entered using the Prescription Data

Entry Form on the KASPER Data Reporting website.

3.1 Data File Upload

3.1.1 Data File Format

Data files to be uploaded must observe these requirements, which have not changed from the

previous implementation:

• The filename is expected to be the date of upload in YYYYMMDD format, with no

spaces, and a .dat extension if unencrypted; if encrypted with your PGP Public Key, the

file should have a .pgp or .gpg extension, depending on your encryption software.

• Multiple file uploads per day require a suffix such as “_1”, “_2”, etc. to distinguish the

different files uploaded on that day.

• The data in the file must adhere strictly to the ASAP 4.2B data standard. Refer to Section

3.3 Required Data Elements, as well as the ASAP 4.2B Standard documentation, for full

details on data structure and content.

Using OpenPGP Encryption

You may encrypt the file using OpenPGP if you choose, which will help secure the file once it

resides on the FTP Server.

1. To find your PGP Public Key, log in to the KASPER Data Reporting website and find it

under your Account Profile.

2. Download the key file, then import the PGP public key into your PGP key ring.

3. Encrypt the file using the PGP software of your choice. The file should have a .pgp

or .gpg file extension.

Using ZIP File Compression

• A single .dat file may be archived in a .zip archive and given the same name as the .dat

file, to reduce file size and transfer time.

• Do not put more than one data file inside a given .zip file. If you have multiple .dat files

to upload, archive them individually into separate .zip files.

• PGP encryption also compresses your .dat file, so there is no reason to archive your .pgp

or .gpg file into a .zip file; just upload the encrypted .pgp or .gpg file.

3.1.2 File Upload Via FTPS (using SSL)

You can submit a data file via our secure FTP server. Note that unsecure FTP connections are

not supported.

1. Prepare the file as described above.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 24 of 47

2. Make sure you have activated your FTP account. If you did not do so during account

registration, you can do so at any time on your Account Profile page.

3. In your FTP client, go to ftp.ky.gov.

a. If you need to use a full connection URL, use ftps://ftp.ky.gov since our server

uses SSL.

b. If your FTP client requires a port, use the default FTPS port 21.

Note: Do not go to https://ftp.ky.gov/ in a web browser, as Prescription Upload Program user

accounts are not authorized to use that interface, and you will be unable to log in there. You must

use an FTP client and the secure FTP protocol.

4. Enter your FTP account login information to authenticate to the secure FTP server. Your

FTP account name can be found on your Account Profile page.

5. Upload the data file.

Important: Our FTP server may also use ports 3000-3003 for data transfer, so open those in

your firewall if necessary.

6. Log off when file upload is complete.

3.1.3 File Upload Via SFTP (using SSH)

Authenticating using SSH is not enabled on FTP accounts by default. If you require an SSH

connection and have an SSH Public Key to provide to KASPER, then please contact the

KASPER Help Desk and tell them you need to have SSH enabled and they will put you in

touch with the right person.

3.1.4 File Upload Via Secure Website

Files may be uploaded for processing through our secure web portal.

1. Log in to the KASPER Data Reporting website as directed under Logging Into an Existing

Account.

2. Select File Upload from the navigation menu under Data Reporting. You should already

start there if you configured your Default Upload Method to File Upload.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 25 of 47

3. Click the Browse button and locate the data file (either a .dat, .pgp, .gpg or .zip file) to

be uploaded on your local file system.

4. Click Upload to upload the file to the KASPER server.

5. You will see the above message when the upload is complete, and will receive an email

message from KASPER when the upload report is available.

3.2 Prescription Data Entry Form

The Prescription Data Entry Form allows you to enter individual prescription records one at a

time to build a small batch of records, and then submit it to KASPER. It is not intended for

moderate to high volume reporting, due to its manual nature.

3.2.1 Form Layout

The form itself is large and has several sections. The image below shows all sections, and

indicates which ones are covered by each step below to assist you in learning how to use it.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 26 of 47

3.2.2 Step One: Login

Account.

• Select Rx Data Entry Form under Data Reporting from the navigation menu. You should

already start there if you configured your Default Upload Method to Data Entry.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 27 of 47

3.2.3 Step Two: Enter Dispenser Information

• In the Dispenser Information section, enter the DEA number of the dispensing entity or

practitioner and then click elsewhere or hit the Tab key. The system will look up the rest

of the information and fill it in for you. Multiple address lines in the DEA record will be

combined into the address value shown here.

• This is a required field; the DEA must be known to the system in order to proceed.

• You can click Clear Dispenser Info at any time to clear the section.

Note: The name and address information comes directly from the DEA. If any of this information

is incorrect, it must be addressed and corrected with the DEA, and not with the KASPER team.

3.2.4 Step Three: Enter Patient Information

• In the Patient Information section, complete all fields for the patient who received the

prescription.

Note: The Middle (or M.I.) field may be left blank if the middle name or initial is unknown, or the

patient has no middle name.

• For the ID field, enter the patient’s Social Security Number (SSN).

o If the patient does not have a SSN, change the ID Type dropdown to Driver’s License

Number and enter a valid driver’s license number for the ID instead.

o If the patient does not have a SSN or driver’s license, enter 000000000 (nine zeroes)

for the SSN.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 28 of 47

Note: Kentucky regulation 902 KAR 55:110 Section 5 requires that a patient disclose their SSN to

the dispenser for purposes of reporting to KASPER. Only if the patient does not have a SSN may a

driver’s license or zeros be reported.

• You can click Clear Patient Info at any time to clear the section.

3.2.5 Step Four: Enter Prescription Information

• Use the Record Type to indicate whether the prescription is a new record, a revision to

an existing record, or an existing record which you wish to void.

• Date Filled and Date Written must be later than the patient’s date of birth.

• Enter the Prescriber DEA number and then click elsewhere or hit the Tab key. The

system will attempt to look up the name of the prescriber and display it besides the

DEA. This helps you to be sure you’ve entered the DEA number correctly.

Note: The prescriber name comes directly from the DEA. If it is incorrect, it must be addressed and

corrected with the DEA, and not with the KASPER team.

IMPORTANT: Do not submit a DEA number beginning with ‘X’, also known as a data waiver DEA

number. These numbers will be rejected by the system. You must provide a standard DEA number

for the prescriber.

• Use the Partial Fill Indicator to indicate whether the prescription is a partial fill or not,

00 indicates not a partial fill and 01-99 when it is a partial fill.

• Transmission form of Rx origin code indicates how the pharmacy received the

prescription, make a selection from the list of options defined in the dropdown.

• Complete the rest of the required information about the prescription.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 29 of 47

3.2.6 Step Five: Enter Controlled Substance Information

For each prescription, choose either the Controlled Substance or the Compounded

Controlled Substance tab, depending on whether or not the prescription is compounded.

The Instructions tab has a summary of the instructions found here for easy reference.

NDC Number Formatting

Records must be submitted using the correct 11-digit National Drug Code (NDC) number.

The actual 11 digit NDC number includes three segments in a 5-4-2 format: 99999-9999-99.

Some drugs may show a 10-digit Health Related Item (HRI) code or Universal Product Code.

Converting a 10-digit code to the correct 11-digit NDC format may require including a

leading zero in one of the segments. The following table provides examples for converting a

10 digit NDC code to the 11-digit code based on the placement of the leading zero in the

proper segment.

Note: The hyphens are shown below only to illustrate the segment format examples. Do not use

hyphens when entering the NDC Number in the Data Entry Form.

10 Digit Format

on Product

10 Digit Format

Example

Correct 11 Digit

NDC Format

Correct 11 Digit Format Showing

Insertion of Leading Zero

NDC Format on Product

4-4-2

9999-9999-99

5-4-2

09999-9999-99

5-3-2

99999-999-99

5-4-2

99999-0999-99

5-4-1

99999-9999-9

5-4-2

99999-9999-09

HRI Format on Product

4-6

9999-999999

5-4-2

09999-9999-99

5-5

99999-99999

5-4-2

99999-0999-99

UPC Format on Product

5-5

99999-99999

5-4-2

99999-0999-99

An even more thorough NDC Information Sheet is available here.

Non-compounded Prescriptions

For typical prescriptions which are not compounded, use this tab to report the controlled

substance ingredient in the prescription.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 30 of 47

• Enter the NDC number and click elsewhere, or hit the Tab key. The system will attempt

to look up the name of the drug and add it to the right of the NDC number. This helps you to

be sure you’ve entered the NDC number correctly.

Note: If you feel there is a problem with the displayed drug name, please contact KASPER

Program Support.

• Provide the Metric Quantity, then select the applicable Drug Dosage Units.

Compounded Prescriptions

Use this tab for compounded prescriptions only. Also, you only need to report here those

ingredients in the compound which are controlled substances.

• Add all reportable ingredients to the list by following the steps below. Ingredients

which are not controlled (i.e. not required to be reported) should not be added.

• Enter the NDC Number and Metric Quantity, then select the applicable Dosage Units.

• Click Add Ingredient to add that ingredient to the table. The Drug Name is looked up

automatically based on the NDC you provide.

Note: If you feel there is a problem with the displayed drug name, please contact KASPER

Program Support.

• You can click Remove to remove that ingredient from the table.

Add Prescription To Batch List

• When each prescription’s information is complete, click Add Prescription To Batch List

to add it to the list.

• Use the Clear Dispenser Info and Clear Patient Info buttons in the first two sections as

needed when you switch to different dispensers and patients.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 31 of 47

• Repeat the process to construct a full list of all prescriptions to be reported.

Validation Error Messages

Whenever you click Add Prescription To Batch List, the system will validate all of the values you

have entered. If you make any errors filling out the form, those errors will usually be listed in a

red box at the top of the page (some appear embedded in the form in yellow boxes; see the

next section). An example:

Other Error Messages

Depending on the data you enter and records which already exist in the system, there may be

conflicts which alert you to errors in the data you entered, or require you to clarify your

intentions. Below are some of the error messages which you may encounter when trying to

Add Prescription To Batch List, and how to act on them.

• If you enter an NDC number for a controlled substance which KASPER does not

recognize, you will see this message.

• Double check the number you entered and make certain it is a valid NDC number. If you

made a mistake, select the first option and click OK to return to the form and edit the

NDC value. If you are certain it is valid, select the second option and click OK, and the

NDC value will be accepted as entered.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 32 of 47

• If you enter Prescriber DEA number which KASPER does not recognize, you will see this

message.

Note: This applies only to prescriber DEA numbers; dispenser DEA numbers must be known to

KASPER.

• Double check the number you entered and make certain it is the correct DEA number. If

you made a mistake, select the first option and click OK to return to the form and edit

the DEA value. If you are certain it is valid, select the second option and click OK, and

the DEA value will be accepted as entered.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 33 of 47

• If you select New Record but enter information all of which matches an existing record,

you will see this message.

• If the conflict was caused due to entering erroneous information, select the first option

and click OK to return to the form and make corrections.

• If you intended to revise the existing record but simply forgot to select Revise Record for

the Action Type, then select the second option and click OK, and that change will be

made automatically and the record added to the Batch List as a Revise Record action.

• If you intended to void the existing record but simply forgot to select Void Record for the

Action Type, then select the third option and click OK, and that change will be made

automatically and the record added to the Batch List as a Void Record action.

• If you select Void Record but the information fail to match an existing record, you will

see this message.

• If the issue was caused due to entering erroneous information, select the first option

and click OK to return to the form and make corrections.

• If you intended to submit a new record but mistakenly selected Void Record for the

Action Type, then select the second option and click OK, and that change will be made

automatically and the record added to the Batch List as a New Record action.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 34 of 47

3.2.7 Step Six: Review the Batch List and Upload the Data

• Each time you click Add Prescription To Batch List, if there are no errors on the form, a

new prescription record is added to the Batch List table at the bottom of the form. The

details of that prescription depend on whether the Controlled Substance or

Compounded Controlled Substance tab is selected when you click Add Prescription To

Batch List.

• If you click Edit on any prescription in the table:

o The form values (in all sections, including Dispenser Information and Patient

Information) are populated with that row’s data, and the Add Prescription To Batch

List button is replaced with Save and Cancel buttons.

o Make any needed changes to the prescription, then click Save to save the changes.

o Click on Cancel if you change your mind and do not need to make any changes.

• You can click Remove on any prescription in the Batch List to remove it from the list.

Note: The removal process cannot be undone!

• When all the prescription records you need to report are in the Batch List, click on

Upload All Prescriptions In Batch List to upload the data to KASPER for processing. The

system will inform you of the success or failure of the upload.

IMPORTANT! The records in the batch list are not sent to KASPER until you click on Upload All

Prescriptions In Batch List!

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 35 of 47

3.3 Required Data Elements

All submitted data must adhere to the ASAP 4.2B Standard, and also include any additional Kentucky-required values listed in the

table below, which lists the complete set of required values.

Complete information on the ASAP 4.2B Standard for prescription monitoring programs is available directly from the American Society

for Automation in Pharmacy, at http://www.asapnet.org/pmp-implementation-guides.html, in the Implementation Guide ASAP

Standard for Prescription Monitoring Programs.

3.3.1 Data Element Table

ASAP 4.2B

Element ID

Name

Usage

Specifications

TH01

Version/Release Number

Required

Always populate with “4.2”

TH02

Transaction Control Number

Required

Unique transaction identifier

TH05

Creation Date

Required

Formatting = CCYYMMDD

TH06

Creation Time

Required

Formatting = HHMMSS, HHMM

TH07

File Type

Required

▪ P = Production

▪ T = Test

TH09

Segment Terminator Character

Required

Any allowed terminator character (see the ASAP 4.2B specification),

although most commonly, the tilde ~ is used. Indicates to the system

that this segment has ended. This character must also be used to

terminate every subsequent segment.

IS01

Unique Info Source ID

Required

Always populate with “KY”

IS02

Info Receiver Entity Name

Required

Always populate with “PMP Program”

PHA01

Pharmacy NPI

Situational

Used if supplied, but not required.

PHA02

NCPDP Provider ID

Situational

Used if supplied, but not required.

PHA03

Pharmacy DEA#

Required

Required as the Pharmacy ID.

PAT01

ID Qualifier of Patient Identifier

Situational

Used if supplied but not required. Identifies the jurisdiction of ID used in

PAT03

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 36 of 47

ASAP 4.2B

Element ID

Name

Usage

Specifications

PAT02

Patient ID Qualifier

Required

Qualifies ID type used in PAT03. The only allowable values for Kentucky

are 06 or 07.

▪ 06 = Driver’s License

▪ 07 = Social Security

PAT03

Patient ID

Required

ID as specified in PAT02. SSN is required if present and must be

reported as nine numeric digits. If an adult patient has not been

assigned an SSN, driver’s license number may be used. If patient does

not have SSN or DL, an SSN of all zeros must be used.

PAT07

Patient Last Name

Required

Cannot be blank.

PAT08

Patient First Name

Required

Cannot be blank.

PAT09

Patient Middle Name

Situational

Used if supplied, but not required.

PAT10

Prefix

Situational

Used if supplied, but not required.

PAT11

Suffix

Situational

Used if supplied, but not required.

PAT12

Patient Address 1

Required

Cannot be blank.

Note: This should not be a P.O. Box – must be physical address.

PAT13

Patient Address 2

Situational

Used if supplied, but not required.

PAT14

City

Required

Cannot be blank.

PAT15

State

Required

Cannot be blank. Two character postal code.

PAT16

ZIP Code

Required

Cannot be blank. 5 or 9 digit patient ZIP

PAT17

Phone

Situational

Used if supplied, but not required.

PAT18

DOB

Required

CCYYMMDD format. Cannot be future and must not be before 1900.

PAT19

Gender

Required

▪ M = Male

▪ F = Female

▪ U = Unknown

PAT22

Country of Non-U.S. Resident

Situational

Used to identify a patient’s country of origin, in case where address is

foreign and PAT12-PAT16 are therefore blank.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 37 of 47

ASAP 4.2B

Element ID

Name

Usage

Specifications

DSP01

Reporting Status

Required

Specifies whether the record is new, revised, or void.

▪ 00 = New Record

▪ 01 = Revised Record

▪ 02 = Void

DSP02

Prescription Number

Required

RX Number

DSP03

Date Written

Required

CCYYMMDD, must be later than Patient DOB (PAT18)

DSP04

Refills Authorized

Required

# of refills authorized

DSP05

Date Filled

Required

CCYYMMDD, must be later than Patient DOB (PAT18)

DSP06

Refill Number

Required

0 = first fill || 01-99 = refills

DSP07

Product ID Qualifier

Required

▪ Use 01 to indicate State required NDC

▪ Use 06 to indicate compound that will be identified with CDI fields

DSP08

Product ID

Required

NDC with leading zeros and no dashes

DSP09

Quantity Dispensed

Required

Metric units dispensed, in metric decimal format

DSP10

Days Supply

Required

Estimation

DSP12

Transmission Form of Rx Origin

Code

Required

Code indicating how the pharmacy received the prescription

DSP13

Partial Fill Indicator

Required

This field is used to identify when the quantity in DSP09 is less than the

metric quantity per dispensing authorized by the prescriber. This

dispensing activity is often referred to as a split fill.

▪ 00 Not a Partial Fill

▪ 01 First Partial Fill

Note: For additional fills per prescription, increment by 1. So the second

partial fill would be reported as 02, up to a maximum of 99.

DSP16

Classification Code for Payment

Type

Required

Identifies type of payment rendered

DSP20

Electronic Prescription

Reference Number

Situational

Used if supplied, but not required

DSP21

Electronic Prescription Order

Number

Situational

Used if supplied, but not required

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 38 of 47

ASAP 4.2B

Element ID

Name

Usage

Specifications

PRE02

Prescriber DEA Number

Required

Identifying number assigned to the prescriber by the DEA. The

prescriber DEA number must begin with the letter A, B, F or M. DEA data

waiver numbers starting with the letter X will be rejected. The

prescriber’s actual DEA number must be reported.

CDI01

Compound Drug Ingredient

Sequence Number

Required

if Compound

First ingredient must begin with “1” and be incremented by 1 thereafter

CDI02

Product ID Qualifier

Required

if Compound

Use 01 to indicate State Required NDC

CDI03

Product ID

Required

if Compound

Product NDC

CDI04

Component Ingredient Quantity

Required

if Compound

Metric decimal quantity dispensed

TP01

Detail Segment Count

Required

Number of detail segments included for the pharmacy (includes PHA

and TP)

TT01

Transaction Control Number

Required

Unique transaction number used in TH02

TT02

Segment Count

Required

Total segments in file in including header and trailer

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 39 of 47

4 Upload Reports

After a successful upload, the data file will be parsed by the KASPER system. If it meets success

criteria, the data will be loaded into the KASPER system; if not, the data will be rejected and not

loaded into the KASPER system.

4.1 Error Thresholds and Tolerances

Submitted data files will be accepted or rejected based on these criteria:

• There are two types of errors:

o Minor – Incorrect data in non-vital field; record can be loaded

o Fatal – Record cannot be loaded

• An individual record will be rejected if it contains a fatal error.

• As of July 2018, entire files will no longer be rejected for meeting an error

threshold. All records will be loaded or rejected on an individual basis.

Important: Data Reporters are required to correct fatal errors and resubmit the records within 7

days of the initial record submission.

4.2 Error Correction

When correcting prescription records with errors, here are some guidelines.

• Correcting records with fatal errors should be the highest priority, because those

specific records were not loaded into KASPER.

• Records with minor errors are loaded into KASPER, and should be reviewed and

corrected as needed.

• When making a correction, it is important to know whether to do so via a record

revision, or by voiding the old record and submitting a new one. If one of the following

four fields must be changed, then you must void the original and submit a new record:

o Pharmacy/Dispenser DEA Number

o Rx Number

o Date Filled

o NDC Number

Otherwise, you can simply submit a revision of the existing record.

• If you use a vendor pharmacy software system, you probably must do revisions and

voids using their software. Contact them if you are unsure of how to do so. If you

report your own data to KASPER, you can correct records using the Prescription Data

Entry Form detailed in Section 3.2. For error correction, you need to set the Action

Type dropdown under Prescription Information to Revise or Void as needed.

• In the event that you find records that require a void or revision whose dates (written

and/or filled) are older than two years plus the current year, you must contact us to

temporarily enable an override to allow those records through the record validation

process.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 40 of 47

• If you repeatedly receive Edit Code 21 or 21b (NDC Not Found), and you have carefully

verified that the NDC is correct and valid, please contact us to report it, and in most

cases we will be able to get the NDC added to our reference table within a few weeks.

4.3 Upload Notifications

Notification emails are sent to the primary contact’s email address, as well as any additional

email addresses listed in your account profile, but not to the secondary contact’s email address.

After KASPER has analyzed and validated the data in your file, a notification email will be sent

which provides the following information:

• The total number of records in the data

• The number of fatal and minor errors detected

• Whether or not you are responsible for correcting any issues, and the deadline

for doing so

A .csv file containing all details of the upload report will be attached to all emails to allow you to

easily review and address the errors. A .csv file can be imported into almost any spreadsheet

program. Additionally, the full report can be viewed and downloaded in PDF format from the

Upload Reports page (see next section).

4.4 Viewing Upload Reports

To view the report in an upload report notification email, click on the link and then sign in to

the KASPER Data Reporting site if prompted. Afterwards, the report should open for you to

view or save in PDF format.

You can also search for upload reports on the site using the following steps.

1. Log in to the KASPER Data Reporting website as directed under Logging Into an Existing

Account.

2. Select Upload Reports from the navigation menu.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 41 of 47

3. The system will automatically display a table of all of your upload reports from the last

30 days.

• Click on any Report ID link to open that report in PDF format.

• Click on any File Name to open a .csv file containing the data which was parsed from

your uploaded file. A .csv file can be opened by any spreadsheet program.

• If more reports are found than will fit on one page, you will see paging tools at the

bottom right which allow you to access the full set of reports. You can also click on

Download As CSV to open a .csv file which contains your search results in a file that

you can open with any spreadsheet program.

• To look up a particular report by ID, enter the Report ID in the box at the top and

then click Search.

• To search for reports from other time periods, set the From Date and To Date to the

start and end dates of the time period you want, and then click on Search to display

reports from the given date range.

Note: The maximum date range is 90 days.

• You can also enter a specific filename or select a particular file status from the

dropdown menu to further refine your search.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 42 of 47

4.4.1 Sample Upload Report

4.5 Report Edits (Error Codes)

The following error codes are used in upload reports to report errors:

Edit

Message

Severity

File Format Error

Fatal

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 43 of 47

Edit

Message

Severity

Dispenser DEA Invalid

Fatal

Dispenser ID not found

Fatal

Patient ID Invalid

Fatal

08a

Patient ID Irrational

Fatal

DOB Invalid

Fatal

09b

DOB Irrational

Fatal

Gender Invalid

Minor

14z

Void not found

Minor

Date Filled Invalid

Fatal

15b

Date Filled Irrational

Fatal

Metric Quantity Invalid

Fatal

18b

Metric Quantity Irrational

Fatal

18c

Metric Quantity Irrational (compound ingredient)

Fatal

Days Supply Invalid

Fatal

19b

Days Supply Irrational

Fatal

Days Supply Extreme

Minor

NDC not found

Minor

21b

NDC not found (compound ingredient)

Minor

Product ID Qualifier Invalid

Fatal

Prescriber ID not found

Minor

25b

Prescriber ID Invalid

Fatal

Date Written Invalid

Fatal

28b

Date Written Irrational

Fatal

Number Refills Authorized Invalid

Minor

29b

Refill Number is invalid

Minor

Classification Code For Payment Type Invalid

Fatal

Transmission Form of Rx Origin Code Invalid

Fatal

32b

Transmission Form of Rx Origin Code Irrational

Fatal

Partial Fill Indicator Invalid

Fatal

33b

Partial Fill Indicator Irrational

Fatal

Electronic Prescription Reference Number Invalid

Fatal

Electronic Prescription Order Number Invalid

Fatal

Customer Last Name Blank

Fatal

Customer First Name Blank

Fatal

Customer Address Blank

Minor

Customer ZIP Code Blank

Fatal

Customer ZIP Code and State Conflict

Fatal

Customer City Blank

Minor

Customer State Code Blank

Fatal

Customer State Code Invalid

Minor

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 44 of 47

Edit

Message

Severity

200

Prescription Number Blank

Fatal

201

Record Reporting Status Invalid

Fatal

354

Patient ID Qualifier requires value 06 or 07

Fatal

Record Already Exists

Minor

4.5.1 Error Terminology

• In general, the word “Invalid” describes values which are not allowed for a given

data field. For example, the field requires a numeric value, but an alphabetic value

was provided instead. Generally, most invalid errors are Fatal.

• The word “Irrational” generally indicates that the value provided is out of a defined

range. Some of these ranges are defined by the ASAP 4.2B Standard, and others are

set by KASPER.

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 45 of 47

5 KASPER Prescription Upload Support Contacts

5.1 KASPER Prescription Upload Technical Support

Contact the KASPER Help Desk:

Email address: [email protected]

5.2 KASPER Program Support

Contact the Drug Enforcement and Professional Practices Branch:

Email address: [email protected]

Phone: 502-564-7985

Address: Drug Enforcement Branch

275 East Main Street, 5E-D

Frankfort, KY 40621

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 46 of 47

This page intentionally left blank

Cabinet for Health and Family Services Office of Inspector General

KASPER Controlled Substance Reporting Guide Version 1.5.4 Page 47 of 47

6 Glossary

ASAP

American Society for Automation in Pharmacy

Batch

A group of multiple records sent to KASPER via FTP, secure file upload or

using the PDEF

DEA Number

The identification number assigned to a prescriber or dispenser by the Drug

Enforcement Agency

Dispenser

Pharmacy, dispensing pharmacist, or dispensing health care practitioner

which dispenses controlled substances

KASPER

The Kentucky All Schedule Prescription Electronic Reporting program; the

name of Kentucky’s Prescription Drug monitoring Program

FTP

File Transfer Protocol; commonly-used protocol for exchanging files over any

network

NDC

National Drug Code; describes specific drugs by drug manufacturer and

package size

PDMP

Prescription Drug Monitoring Program

PMP

Prescription Monitoring Program

Prescriber

A practitioner who is authorized by state and federal agencies to prescribe

controlled substances

Prescription Data

Entry Form (PDEF)

Online form for submitting small quantities of data for those without the

means of reporting using data files over SFTP or SSL Upload

SFTP

Secure File Transfer Protocol (also referred to as “SSH File Transfer

Protocol”); provides file transfer and manipulation functionality over any

reliable data stream

SSL

Secure Sockets Layer; cryptographic protocol that provides secure

communications for data transfers

Uploader

Someone who uploads data containing controlled substance dispensing

information, either the dispenser or a third party on behalf of the dispenser