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Back  RFI # 56: Sending 997 and 999 Acknowledgments

Formal vs. Informal Help Informal Formal

Submitter

Todd Cochrane

Description

The WEDI Acknowledgements Subworkgroup is requesting ASC X12 to provide a formal interpretation regarding whether a 997 and 999 can respond to the same functional group when implementing the acknowledgments for a healthcare implementation. From the 5010 Standard - the transaction set notes for both the 997 and 999 contain the following note: 1/0100 Only one acknowledgement, either a single Transaction Set 997 or a single Transaction Set 999, should be generated for a functional group unless mutually agreed upon. In the acknowledgments TR3 005010X230 the following is stated in section 1.1 Implementation Purpose and Scope: When implementing this TR3 in conjunction with the 999 transaction set, this 997 implementation guide can NOT be used for responding to any implementation guideline (TR3). In the acknowledgements TR3 005010X231 (999) there is no guidance in section 1.1 on whether both the 997 and 999 are able to be used to acknowledge the same functional group. However, the transaction set note states the same as the standard listed above. It is requested X12 clarifies the position concerning whether or not both the 997 and 999 may be sent when acknowledging the same 5010 functional group for a healthcare implementation. In addition, can a 997 be legitimately used to acknowledge a TR3?

Response

Per your request for clarification: It is requested X12 clarifies the position concerning whether or not both the 997 and 999 may be sent when acknowledging the same 5010 functional group for a healthcare implementation. Version 5010 of the underlying standard permits the 997 and 999 to both be sent if mutually agreed upon by the trading partners, however, the TR3 documents (005010X230 997/005010X231 -999) written specifically to address acknowledgments for healthcare, preclude the use of the 997 for healthcare implementation, specifically when a 999 is also being generated. This is located in section 1.3.2 of the 005010X230 TR3. Regarding your second question: In addition, can a 997 be legitimately used to acknowledge a TR3? While a 997 technically can be used for acknowledging any transaction with a functional group, it was not intended to acknowledge a TR3 or implementation guide, the 999 was created specifically to meet the needs of acknowledging an implementation of the standard. Specific to healthcare, the 005010X230 TR3 (997) precludes the use of the 997 when implementing acknowledgements for a Healthcare Implementation. See section 1.3.2 of the 005010X230 TR3.

Recommendation

The official response to a formal RFI is a letter from the current ASC X12 chair. This website often displays a summary of the RFI. Click here to view a PDF of the letter for this RFI.

Version 5010 of the standard both the 999 and 997 contain the transaction note 1/0100 which states " Only one acknowledgement, either a single Transaction Set 997 or a single Transaction Set 999, should be generated for a functional group unless mutually agreed upon". This transaction note has been modified since Version 005010 of the standard to state the following: "Only one acknowledgement, either a single Transaction Set 997 or a single Transaction Set 999 should be generated for a functional group". While the 005010 transaction note may be confusing, for healthcare implementation, the TR3 documents (999/997) document the industry recommendations for healthcare acknowledgments. The X12 Technical Report Type 2 - the Acknowledgment Reference Model, contains further information concerning the appropriate use of acknowledgements. The ARM contains examples specific to Healthcare EDI implementation which give further guidance During the Errata process for TR3 005010X231, now TR3 005010X231A1, the following statements were added the document, further clarifying the position of the 997 and 999 for healthcare implementation. When acknowledging a healthcare implementation guide (TR3) based transaction, only a single transaction set 999 can be used. When acknowledging a healthcare implementation guide (TR3) based transaction, the transaction set 997 must not be used.
Submission 1/1/2010
Status Date 1/1/2010
Status F - Final
Primary References
Document 5010