NAT'L INST. OF STAND & TECH R.I.C.

mil I AlllDS HU57EL

NIST

PUBLICATIONS

QC

100

U57

NO. 881 -34

998

Nisr

NIST Special Publication 881-34

Federal Implementation Guideline

for Electronic Data Interchange

ASC X12 003040 Transaction Set 997

Functional Acknowledgment (Revision 1)

Implementation Convention

U.S. DEPARTMENT OF COMMERCE

Technology Administration

National Institute of

Standards and Technology
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'At Boulder, CO 80303. ^Some elements at Boulder, CO.
NIST Special Publication 881-34

Federal Implementation Guideline

for Electronic Data Interchange

ASC X12 003040 Transaction Set 997

Functional Acknowledgment (Revision 1)

Implementation Convention

Electronic Commerce Acquisition Program Management Office

Standard Management Committee - Secretariat

National Institute of Standards and Technology

Gaithersburg, MD 20899-0001

Editor: Dr. Jean-Philippe Favreau

January 1998

*

U.S. DEPARTMENT OF COMMERCE

William M. Daley, Secretary

Technology Administration

Gary R. Bachula, Acting Under Secretary for Technology

National Institute of Standards and Technology

Raymond G. Kammer, Director
Reports on Information Technology

The National Institute of Standards and Technology (NIST)'s Information Technology Laboratory (ITL)

develops standards and guidelines, provides technical assistance, and conducts research for computers

and resources. As part of the overall federal effort to establish a single face to industry for conducting

electronic commerce, ITL has been designated as the organization responsible for coordinating the

development of Federal Implementation Conventions (ICs) for Electronic Data Interchange (EDI). ICs are defined by functional-area experts who create and select options from standard EDI Transaction Sets to

yield the implementations to be used for practical EDI. These ICs are made available to federal agencies

and industry by electronic means and this Special Publication Series.

National Institute of Standards and Technology Special Publication 881-34

Natl. Inst. Stand. Technol. Spec. Publ. 881-34, 13 pages (Jan. 1998)

CODEN: NSPUE2

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1998

For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402
997 Functional Acknowledgement

Functional Group ID=

Introduction:

This Draft Standard for Trial Use contains the format and estabhshes the data contents of the Functional

Acknowledgement Transaction Set (997) for use within the context of an Electronic Data Interchange (EDI)

environment. The transaction set can be used to define the control structures for a set of acknowledgements to indicate the results of the syntactical analysis of the electronically encoded documents. The encoded documents are

the transaction sets, which are grouped in functional groups, used in defining transactions for business data

interchange. This standard does not cover the semantic meaning of the information encoded in the transaction sets.

Notes:

Use this transaction set to acknowledge the receipt, and acceptance or rejection ofafunctional group and the

transaction set(s) contained within it based upon EDI translation software syntax edits.

Pos. Seg. Req. Loop Notes and

No. ID Name Pes. Max.Use Repeat Comments

Must Use 010 ST Transaction Set Header M 1 nl

Must Use 020 AKl Functional Group Response Header M 1 n2

:loopid-ak2 999999

030 AK2 Transaction Set Response Header 0 1 n3

IX)OP ro - AK3 999999

040 AK3 Data Segment Note 0 1 cl

050 AK4 Data Element Note 0 99

Must Use 060 AK5 Transaction Set Response Trailer M 1

Must Use 070 AK9 Functional Group Response Trailer M 1

Must Use 080 SE Transaction Set Trailer M 1

Transaction Set Notes

1. These acknowledgements shall not be acknowledged, thereby preventing an endless cycle of

acknowledgements of acknowledgements.

The Functional Group Header Segment (GS) is used to start the envelope for the Functional

Acknowledgement Transaction Sets. In preparing the functional group of acknowledgements, the application

sender's code and the application receiver's code, taken from the functional group being acknowledged, are exchanged; therefore, one acknowledgement functional group responds to only those functional groups from

one application receiver's code to one application sender's code.

There is only one Functional Acknowledgement Transaction Set per acknowledged functional group.

2. AKl is used to respond to the fiinctional group header and to start the acknowledgement for a functional

group. There shall be one AKl segment for the functional group that is being acknowledged.

3. AK2 is used to start the acknowledgement of a transaction set within the received functional group. The AK2

segments shall appear in the same order as the transaction sets in the functional group that has been received

and is being acknowledged.

Transaction Set Comments

1. The data segments of this standard are used to report the results of the syntatical analysis of the functional

groups of transaction sets; they report the extent to which the syntax complies with the standards for

003040F997 1 15 July 1997
997 Functional Acknowledgement

transaction sets and functional groups. Hiey do not report on the semantic meaning of the transaction sets (for example, on the ability of the receiver to comply with the request of the sender).

003040F997 1 2

15 July 1997
997 Functional Acknowledgement

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Syntax Notes:

Semantic Notes:

Comments:

ST Transaction Set Header

010

Mandatory

1To indicate the start of a transaction set and to assign a control number

1 The transaction set identifier (STOl) used by the translation routines of the

interchange partners to select the appropriate transaction set definition (e.g., 810

selects the Invoice Transaction Set).

Data Element Summary

Ref. Data

Pes. Element Name Attributes

Must Use STOl 143 Transaction Set Identifier Code M ID 3/3

Code uniquely identifying a Transaction Set

997 XI 2.20 Functional Acknowledgement

Must Use ST02 329 Transaction Set Control Number M AN 4/9

Identifying control number that must be unique within the transaction set functional group assigned by the originator for a transaction set Use to transmit a unique number assigned by the originator ofthe

transaction set. This number may be system generated.

003040F997 1 3 15 July 1997
997 Functional Acknowledgement

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Syntax Notes:

Semantic Notes:

Comments:

Notes:

AKl Functional Group Response Header

020

Mandatory

1To start acknowledgement of a fianctional group

1 AKl 01 is the functional ID found in the GS segment (GSOl) in the fiinctional group

being acknowledged.

2 AKl 02 is the data interchange control number found in the GS segment in the

fimctional group being acknowledged.

1. Use to identify the unique identification number ofthefunctional group in which

the transaction set(s) being aclinowledged was received.

2. Only onefunctional group may be referenced in a single 997 acknowledgement

transaction set

Must Use

Ref.

Pes.

AKIOI

Data

Element

479

Must Use AK102 28

Data Element Summary

Name Attributes

Functional Identifier Code M ID 2/2

Code identifying a group of application related transaction sets

Cite, using the appropriate codefrom theXll code list, thefunctional group

IDfound in GSOl ofthefunctional group being acknowledged.

Refer to 003040 Data Element Dictionary for acceptable code values.

Group Control Number M NO 1/9

Assigned number originated and maintained by the sender

Use to identify the number cited in GS06 ofthefunctional group being

acknowledged.

003040F997 1 4 15 July 1997
997 Functional Acknowledgement

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Syntax Notes:

Semantic Notes:

Comments:

Notes:

AK2 Transaction Set Response Header

Optional

030

AK2

Optional

1To start acknowledgement of a single transaction set

1 AK201 is the transaction set ID found in the ST segment (STOl) in the transaction

set being acknowledged.

2 AK202 is the transaction set control number found in the ST segment in the

transaction set being acknowledged.

/. Use to identify the unique identification number ofthe transaction set being

acknowledged.

2. AK2 and AK5 shall be providedfor each Transaction Set that is accepted.

3. Also, AK2 and AK5 shall beprovidedfor each Transaction Set being rejectedfor

containing a syntactical error.

Must Use

Ref.

Pes.

AK201

Must Use AK202

Data

Element

143

329

Data Element Summary

Name Attributes

Transaction Set Identifier Code M ID 3/3

Code uniquely identifying a Transaction Set

Cite, using the appropriate codefrom the XI2 code list, the transaction set IDfound in the ST segment.

Refer to 003040 Data Element Dictionary for acceptable code values.

Transaction Set Control Number M AN 4/9

Identifying control number that must be unique within the transaction set

fianctional group assigned by the originator for a transaction set Use to identify the number cited in the ST02 ofthe transaction set being

acknowledged.

003040F997 1 5 15 July 1997
997 Functional Acknowledgement

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Syntax Notes:

Semantic Notes:

Comments:

Notes:

Must Use

Ref.

Pes.

AK301

Must Use AK302

Not Used AK303

Must Use AK304

AK3 Data Segment Note

040

AK3 Optional

Optional

1To report errors in a data segment and identify the location of the data segment

1. Use the 1/AK3/040 loop only when Trading Partner Agreements or translation

software do notpermit the level ofreceipt and rejection reporting to be limited to the

group or transaction set level.

2. This 1/AK3/040 loop Is used only to Identify one or more segments containing

syntactical errors resulting In rejection ofthe transaction set orfunctional group. This

loop is not used when transaction set andfunctional group receipt and acceptance Is being acknowledged.

3. Use to Identify one or more segments containing syntax errors.

Data Element Summary

Data

Element

721

Name

719

447

720

Attributes

Segment ID Code M ID 2/3

Code defining the segment ID of the data segment in error (See Appendix A - Number 77)

Use to Identify the segment containing syntactical errors, as It appears in the

ASCX12 Data Segment Dictionary, e.g., DTM, Nl, REF etc. Segment Position in Transaction Set M NO 1/6

The numerical count position of this data segment from the start of the

transaction set: the transaction set header is count position 1 Use to Identify the segment sequential position within the data stream ofthe

transaction set as transmitted. This Is not the segment portrayed in the

transaction set structure. Loop Identifier Code O AN 1/4

The loop ID number given on the transaction set diagram is the value for this data element in segments LS and LE

Segment Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of a segment

/. Use only when a segment Is being rejected to Identify the basis for

transaction set rejection.

2. Do not use when the error Is In a data element within the segment.

Refer to 003040 Data Element Dictionary for acceptable code values.

Not Used AK305 720 Segment Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of a segment

Not Used AK306 720 Segment Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of a segment

Not Used AK307 720 Segment Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of a segment

Not Used AK308 720 Segment Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of a segment

003040F997 1 6 15 July 1997
997 Functional Acknowledgement

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Syntax Notes:

Semantic Notes:

Comments:

Notes:

Must Use

Ref.

Pes.

AK401

AK402

Must Use AK403

AK404

AK4 Data Element Note

050

AK3 Optional

Optional

99

To report errors in a data element and identify the location of the data element

1. Use to identify an erroneous data element. The segment which contains the erroneous data element must be identified in the preceding AK3 segment.

2. Use multiple occurrences ofthis segment to identify one or more data element

^rors within the segment specified in the preceding AK3 segment.

Data

Element

722

725

723

724

Data Element Summary

Name Attributes

Element Position in Segment M NO 1/2

This is used to indicate the relative position of the data element in error in this

data segment. The count starts with 1 for the data element immediately

following the segment ID. This value is 0 for an error in the segment ID.

Use to indicate the relative position ofthe data element containing the

syntactical error within the segment, for example, in the Nl segment: 1

indicates an error in element NlOl, 2 indicates and error in element N102,

etc. (Note: An error in the segment ID is identified in the AK3 segment and

need not be identified at this level. Data Element Reference Number O NO 1/4

Reference number used to locate the Data Element Dictionary.

Use to identify the data element number as it appears in the ASCX12 data

Element Dictionary. For example, the data element numberfor the AK402

data element is 725.

Data Element Syntax Error Code M ID 1/3

Code indicating the error found after syntax edits of a data element

Use any code.

Refer to 003040 Data Element Dictionary for acceptable code values.

Copy ofBad Data Element O AN 1/99

This is a copy of the data element in error

003040F997 1 7 15 July 1997
997 Functional Acknowledgement

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Syntax Notes:

Semantic Notes:

Comments:

Notes:

AK5 Transaction Set Response Trailer

060

AK2 Optional

Mandatory

1To acknowledge acceptance or rejection and report errors in a transaction set

segment was accepted or rejected.

2. Ifthe transaction set is rejected, use this segment to identify up to five (5) syntax

errors at the transaction set level.

Must Use

Ref.

Pes.

AK501

AK502

AK503

AK504

AK505

AK506

Data

Element

717

718

718

718

718

718

Data Element Summary

Name Attributes

Transaction Set Acknowledgement Code M ID 1/1

Code indicating accept or reject condition based on the syntax editing of the

transaction set A Accepted

E Accepted But Errors Were Noted

R Rejected

X Rejected, Content After Decryption Could Not Be

Analyzed

Transaction Set Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of a transaction set

1. Use only when a transaction set is being rejected to identify the basis for

rejection.

2. Use any code. Codes may also be used in AK503-06 but no individual

code may be used more than once.

3. When the 1/AK3/040 loop is not used and syntactical errors occurred

below the transaction set level, use code 5. Refer to 003040 Data Element Dictionary for acceptable code values.

Transaction Set Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of a transaction set

Refer to 003040 Data Element Dictionary for acceptable code values.

Transaction Set Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of a transaction set

Refer to 003040 Data Element Dictionary for acceptable code values.

Transaction Set Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of a transaction set

Refer to 003040 Data Element Dictionary for acceptable code values.

Transaction Set Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of a transaction set

Refer to 003040 Data Element Dictionary for acceptable code values.

003040F997 1 8 15 July 1997
997 Functional Acknowledgement

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Syntax Notes:

Semantic Notes:

Comments:

Notes:

AK9 Functional Group Response Trailer

070

Mandatory

1To acknowledge acceptance or rejection of a functional group and report the number of

included transaction sets from the original trailer, the accepted sets, and the received sets in this ftmctional group

1 If AK901 is 'A' or 'E', then the transmitted functional group is accepted. If AK901 is

'R', then the transmitted group is rejected.

1. Use only to indicate whether thefunctional group was accepted or rejected based on

syntax errors in thefunctional group header or trailer.

2. Ifafunctional group is rejected, all transaction sets within that group must be

rejected using the AK9. In this case, individual AK2sfor the rejected transaction sets need not beprovided.

3. Ifthefunctional group is rejected, use to identify up to five (5) syntax errors at the

functional group level

Must Use

Ref.

Pes.

AK901

Must Use AK902

Must Use

Must Use

AK903

AK904

AK905

AK906

Data

Element

715

97

123

716

716

Data Element Summary

Name Attributes

Functional Group Acknowledge Code M ID 1/1

Code indicating accept or reject condition based on the syntax editing of the

functional group

A Accepted

E Accepted, But Errors Were Noted.

P Partially Accepted, At Least One Transaction Set Was

Rejected

R Rejected

Number of Transaction Sets Included M NO 1/6

Total number of transaction sets included in the fianctional group or interchange (transmission) group terminated by the trailer containing this data

element

Number of Received Transaction Sets M NO 1/6

Number of Transaction Sets received

Number of Accepted Transaction Sets M NO 1/6

Number of accepted Transaction Sets in a Functional Group

Functional Group Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of the functional group

header and/or trailer

1. Use only when afunctional group is^eing'refecM^W'Weni^WWi

for rejection.

2. Codes may also be used in AK906-09, but no individual code may be used

more than once in a single iteration ofthis segment

Refer to 003040 Data Element Dictionary for acceptable code values.

Functional Group Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of the ftmctional group

header and/or trailer Refer to 003040 Data Element Dictionary for acceptable code values.

003040F997 1 9 15 July 1997
997 Functional Acknowledgement

AK907 716

AK908 716

AK909 716

Functional Group Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of the functional group

header and/or trailer Refer to 003040 Data Element Dictionary for acceptable code values.

Functional Group Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of the functional group

header and/or trailer Refer to 003040 Data Element Dictionary for acceptable code values.

Functional Group Syntax Error Code O ID 1/3

Code indicating error found based on the syntax editing of the functional group

header and/or trailer Refer to 003040 Data Element Dictionary for acceptable code values.

003040F997 1 10 15 July 1997

I
997 Functional Acknowledgement

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Syntax Notes:

Semantic Notes:

Comments:

SE Transaction Set Trailer

080

Mandatory

1To indicate the end of the transaction set and provide the count of the transmitted

segments (including the beginning (ST) and ending (SE) segments).

1 SE is the last segment of each transaction set.

Must Use

Must Use

Ref.

Pes.

SEOl

SE02

Data

Element

96

329

Data Element Summary

Name Attributes

Number of Included Segments M NO 1/10

Total number of segments included in a transaction set including ST and SE

segments

Transaction Set Control Number M AN 4/9

Identifying control number that must be unique within the transaction set functional group assigned by the originator for a transaction set Use the same number cited in ST02.

003040F997 1 11 15 July 1997

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