§ 60.9 Reporting licensure and certification actions taken by states. ( a ) *What actions must be reported.* Each state is required to adopt a system of reporting to the NPDB actions, as listed below, which are taken against a health care practitioner, health care entity, provider, or supplier (all as defined in § 60.3 of this part). The actions taken must be as a result of formal proceedings (as defined in § 60.3). The actions which must be reported are: ( 1 ) Any adverse action taken by the licensing or certification authority of the state as a result of a formal proceeding, including revocation or suspension of a license, or certification agreement or contract for participation in a government health care program (and the length of any such suspension), reprimand, censure, or probation;
( 2 ) Any dismissal or closure of the formal proceeding by reason of the health care practitioner, health care entity, provider, or supplier surrendering the license or certification agreement or contract for participation in a government health care program, or leaving the state or jurisdiction;
( 3 ) Any other loss of license or loss of the certification agreement or contract for participation in a government health care program, or the right to apply for, or renew, a license or certification agreement or contract of the health care practitioner, health care entity, provider or supplier, whether by operation of law, voluntary surrender, nonrenewal (excluding non-renewals due to nonpayment of fees, retirement, or change to inactive status), or otherwise;
( 4 ) Any negative action or finding by such authority, organization, or entity regarding the health care practitioner, health care entity, provider, or supplier.
( b ) *What information must be reported.* Each state must report the following information (not otherwise reported under § 60.8 of this part): ( 1 ) If the subject is an individual, personal identifiers, including: ( i ) Name,
( ii ) Social Security Number or ITIN, if known, and if obtained in accordance with section 7 of the Privacy Act of 1974 (5 U.S.C. 552a note),
( iii ) Home address or address of record,
( iv ) Sex, and
( v ) Date of birth.
( 2 ) If the subject is an individual, employment or professional identifiers, including: ( i ) Organization name and type,
( ii ) Occupation and specialty, if applicable,
( iii ) National Provider Identifier (NPI),
( iv ) Name of each professional school attended and year of graduation, and
( v ) With respect to the professional license (including professional certification and registration) on which the reported action was taken, the license number, the field of licensure, and the name of the state or territory in which the license is held.
( 3 ) If the subject is an organization, identifiers, including: ( i ) Name,
( ii ) Business address,
( iii ) Federal Employer Identification Number (FEIN), or Social Security Number when used by the subject as a Taxpayer Identification Number (TIN),
( iv ) The NPI,
( v ) Type of organization, and
( vi ) With respect to the license (including certification and registration) on which the reported action was taken, the license and the name of the state or territory in which the license is held.
( 4 ) For all subjects: ( i ) A narrative description of the acts or omissions and injuries upon which the reported action was based,
( ii ) Classification of the acts or omissions in accordance with a reporting code adopted by the Secretary,
( iii ) Classification of the action taken in accordance with a reporting code adopted by the Secretary, and the amount of any monetary penalty resulting from the reported action,
( iv ) The date the action was taken, its effective date and duration,
( v ) Name of the agency taking the action,
( vi ) Name and address of the reporting entity, and
( vii ) The name, title and telephone number of the responsible official submitting the report on behalf of the reporting entity.
( c ) *What information may be reported, if known.* Reporting entities described in paragraph (a) of this section may voluntarily report, if known, the following information: ( 1 ) If the subject is an individual, personal identifiers, including: ( i ) Other name(s) used,
( ii ) Other address,
( iii ) FEIN, when used by the individual as a TIN, and
( iv ) If deceased, date of death.
( 2 ) If the subject is an individual, employment or professional identifiers, including: ( i ) Other state professional license number(s), field(s) of licensure, and the name(s) of the state or territory in which the license is held,
( ii ) Other numbers assigned by Federal or state agencies, including, but not limited to DEA registration number(s), Unique Physician Identification Number(s) (UPIN), and Medicaid and Medicare provider number(s),
( iii ) Name(s) and address(es) of any health care entity with which the subject is affiliated or associated, and
( iv ) Nature of the subject's relationship to each associated or affiliated health care entity.
( 3 ) If the subject is an organization, identifiers, including: ( i ) Other name(s) used,
( ii ) Other address(es) used,
( iii ) Other FEIN(s) or Social Security Number(s) used,
( iv ) Other NPI(s) used,
( v ) Other state license number(s) and the name(s) of the state or territory in which the license is held,
( vi ) Other numbers assigned by Federal or state agencies, including, but not limited to DEA registration number(s), Clinical Laboratory Improvement Act (CLIA) number(s), Food and Drug Administration (FDA) number(s), and Medicaid and Medicare provider number(s),
( vii ) Names and titles of principal officers and owners,
( viii ) Name(s) and address(es) of any health care entity with which the subject is affiliated or associated, and
( ix ) Nature of the subject's relationship to each associated or affiliated health care entity.
( 4 ) For all subjects: ( i ) Whether the subject will be automatically reinstated.
( ii ) The date of appeal, if any.
( d ) *Access to documents.* Each state must provide the Secretary (or an entity designated by the Secretary) with access to the documents underlying the actions described in paragraphs (a)(1) through (4) of this section, as may be necessary for the Secretary to determine the facts and circumstances concerning the actions and determinations for the purpose of carrying out section 1921.
( e ) Sanctions for failure to report. The Secretary will provide for a publication of a public report that identifies failures to report information on adverse actions as required to be reported under this section.