Operating Rules to Support Eligibility Transactions (Phase I)

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Type Standard / Implementation Specification Standards Process Maturity Implementation Maturity Adoption Level Federally required Cost Test Tool Availability
Operating Rules
Rating 4
Limitations, Dependencies, and Preconditions for Consideration
Applicable Security Patterns for Consideration
  • Operating rules were adopted as a requirement of the Patient Protection and Affordable Care Act of 2010, under section 1104, Administrative Simplification.
  • Operating rules are intended to support and enhance the use of the standard transactions.  They include additional requirements to help implement the transaction in a more uniform way across health plans, and ensure a more complete set of information in the response. For example, rather than just “yes or no” for eligibility information, the operating rule requires health plans to return patient eligibility and financial responsibility for a list of service types such as emergency care, inpatient hospitalization, and dental and vision services.
  • Operating rules include other business rules to support the eligibility transaction as it moves between the provider and the health plan, such as the format of the health plan’s companion guide (see CORE Rule 152), as well as response time for real time and batch transactions (see CORE Rules 155 and 156).
  • Operating rules are developed through workgroups which are consensus driven, based on the members who participate.  Greater participation from more diverse members will result in more robust content and utility to enable to the rules to support the transactions and serve the users effectively. This is where the convergence of administrative and clinical systems will take place with respect to patient benefit information in the electronic health record.
  • Phase I eligibility operating rules include:
    • (1) Phase I CORE 150: Batch Acknowledgement (not adopted) version 1.1.0, March 2011. (Incorporated by reference in § 162.920)
    • (2) Phase I CORE 151 Real Time Acknowledgement (not adopted) version 1.1.0, March 2011. (Incorporated by reference in § 162.920)
      • Although Phase I CORE 150 & 151 operating rules are not part of the federal mandate for adoption of Phase I CAQH CORE Operating Rules, they are required for voluntary CORE Certification
    • (3) Phase I CORE 152: Eligibility and Benefit Real Time Companion Guide Rule, version 1.1.0, March 2011, and CORE v5010 Master Companion Guide Template. (Incorporated by reference in § 162.920).
    • (4) Phase I CORE 153: Eligibility and Benefits Connectivity Rule, version 1.1.0, March 2011. (Incorporated by reference in § 162.920).
    • (5) Phase I CORE 154: Eligibility and Benefits 270/271 Data Content Rule, version 1.1.0, March 2011. (Incorporated by reference in § 162.920).
    • (6) Phase I CORE 155: Eligibility and Benefits Batch Response Time Rule, version 1.1.0, March 2011. (Incorporated by reference in § 162.920).
    • (7) Phase I CORE 156: Eligibility and Benefits Real Time Response Rule, version 1.1.0, March 2011. (Incorporated by reference in § 162.920).
    • (8) Phase I CORE 157: Eligibility and Benefits System Availability Rule, version 1.1.0, March 2011. (Incorporated by reference in § 162.920).
  • Testing, or certification with the operating rules is voluntary and available through a vendor contracted to the authoring entity. The checklist is available on the website.
  • CAQH CORE maintains a host of free implementation tools to support operating rule adoption on its website. Additionally, CAQH CORE offers regular educational webinars which are archived on its website to drive greater industry awareness of the value of operating rules in collaboration with leading healthcare organizations


NCPDP - Comments

This should be under the main category of V-E: Operating Rules to Support Administrative Transactions.

Type-Implementation Specification

Standard Implementation/Specification- NCPDP Operating Rules for the X12 270/271 Transactions in Electronic Prescribing v1.0

Standards Process Maturity – Final

Implementation Maturity- Production

Adoption Level – 5

Federally Required – No

Cost – $

Test Tool Availability -

CAQH CORE Comments on 2018 Interoperability Standards Advisory

  • “Operating Rules” should be included as one of the structures under “Type,” which presently only includes “Standard” or “Implementation Specification.” Although there are other utilities referenced in the ISA (e.g. Integrating the Healthcare Enterprise (IHE)’s Integration Profiles) that also technically do not meet the definition of either a standard or implementation specification, operating rules are distinct in this regard. The Centers for Medicare and Medicaid Services (CMS) notes, in its definition of operating rules, that they are “the necessary business rules and guidelines for the electronic exchange of information that are not defined by a standard or its implementation specifications” (emphasis added).
  • Operating Rules to Support Eligibility Transactions (Phase I): “Adoption Level” for these operating rules is currently listed as 3 out of 5. CAQH CORE updated its market share data in 2018 and determined that 65 percent of the commercial and publicly insured population in the United States are covered by Phase I CORE-certified health plans. Given the Phase I CAQH CORE Operating Rules are federally mandated and CORE Certification is voluntary, it is reasonable to conclude that more health plans have implemented the rules than have pursued CORE Certification. Therefore, CAQH CORE suggests increasing the industry adoption level of the Phase I CAQH CORE Operating Rules to 4 out of 5.

(Above content is an except of the full CAQH CORE Comment Letter).