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NIST Special Publication 881-36

Nisr

QC

100

.U57

NO. 881 -36

1998

Federal Implementation Guideline

for Electronic Data Interchange

ASC X12 003060 Transaction Set 997

Functional Acknowledgment

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 881-36

Federal Implementation Guideline

for Electronic Data Interchange

ASC X12 003060 Transaction Set 997

Functional Acknowledgment

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

Robert E. Hebner, Acting 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 881-36

Natl. Inst. Stand. Technol. Spec. Publ. 881-36, 12 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 establishes 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 implementation convention to acknowledge 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

3L00P ID-AJO 999999

030 AK2 Transaction Set Response Header 0 1 n3

LOOP ID - AK3 999999

040 AK3 Data Segment Note 0 1 cl

050 AK4 Data Element Note o 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 functional 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 syntactical analysis of the functional

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

transaction sets and functional groups. They 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).

003060F997_0 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).

Ref.

Pes.

Must Use STOl

Must Use ST02

Data

Element

143

329

Data Element Summary

Name Attributes

Transaction Set Identifier Code M ID 3/3

Code uniquely identifying a Transaction Set

997 X12.20 Functional Acknowledgement

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. The number may be system generated. This same number

will be cited in SE02.

003060F997 Q 2 15 July 1997
997 - Functional Acknowledgement

Segment: AKl Functional Group Response Header

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Syntax Notes:

Semantic Notes:

Comments:

Notes:

020

Mandatory

1To start acknowledgement of a functional group

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

being acknowledged.

2 AKl 02 is the functional group control number found in the GS segment in the

functional group being acknowledged.

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

the transaction set(s) being acknowledged was received.

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

transaction set.

Must Use

Ref.

Pes.

AKIOI

Must Use AKl02

Data

Element

479

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 the XI2 code list, thefunctional group

IDfound in GSOl ofthefunctional group being acknowledged

Refer to 003060 Data Element Dictionary for acceptable code values.

Group Control Number M NO 1/9

Assigned number originated and maintained by the sender

JJse to identify the number cited in GS06 ofthefunctional group being

acknowledged.

003060F997 0 3 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

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.

1. 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 be providedfor each transaction set being rejectedfor

containing a syntactical error.

Data Element Summary

Ref.

Pes.

Must Use AK201

Must Use AK202

Data

Element

143

329

Name Attributes

Transaction Set Identifier Code M ID 3/3

Code uniquely identifying a Transaction Set

Refer to 003060 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

fiinctional group assigned by the originator for a transaction set Use to identify the number cited in SE02/ST02 ofthe transaction set being

acknowledged.

003060F997 0 4 15 July 1997
997 - Functional Acknowledgement

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Syntax Notes:

Semantic Notes:

Comments:

Notes:

AK3 Data Segment Note

040

AK3

Optional

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

This 1/AK3/040 loop shall be used only to identify! one or more segments containing

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

loop shall not be used when transaction set andfunctional group receipt and

acceptance is being acknowledged.

Ref.

Pes.

Must Use AK301

Must Use AK302

AK303

AK304

Data

Element

721

719

447

720

Data Element Summary

Name Attributes

Segment ID Code M ID 2/3

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

Vse to identify the segment containing syntactical errors, as it appears in the

ASCX12 Data Segment Dictionary, e.g.ypTMyNJyREF, 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 Vse to identify the segment's sequentialposition within the data stream of

the transaction set as transmitted. This number is not the segment's position

numberportrayed in the transaction set structure. For example, ifthe

segments used in an 810 requestfor progress payment were asfollows: ST,

BIG, REF, Nl, Nl, PER, ITD, DTM, ITl, ITl, SEN, SLN, SEN, TDS, CTT,

SE, and there was a syntax error in the second use ofthe Nl segment, the

number cited would be 5. Ifthe syntax error was in the third use ofthe SLN

segment, the number cited would be 13. 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

1. Use only when a segment is being rejected, to identify the basisfor

rejection. Do not use when the error is in a data element within the segment

and editing is being done at least to that level. Refer to 003060 Data Element Dictionary for acceptable code values.

003060F997 0 5 15 July 1997
997 - Functional Acknowledgement

Segment: AK4 Data Element Note

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Syntax Notes:

Semantic Notes:

Comments:

Notes:

Ref.

Pes.

Must Use AK401

Must Use C03001

C03002

Must Use AK402

Must Use AK403

AK404

050

AK3

Optional

99

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

Use to identify^ an error with a data element. When used, there must be a use ofthe

AK3 segment citing the segment in wltich the data element with the error appears. Use

multiple occurrences ofthis segment to identify all data element errors within the

segment specified in the preceding AK3 segment.

Data

Element

C030

722

1528

725

723

724

Data Element Summary

Name Attributes

Position in Segment M

Code indicating the relative position of a simple data element, or the relative

position of a composite data structure combined with the relative position of

the component data element within the composite data structure, in error; the

count starts with 1 for the simple data element or composite data structure immediately following the segment ID

Element Position in Segment M NO 1/2

This is used to indicate the relative position of a simple data element, or the

relative position of a composite data structure with the relative position of the

component within the composite data structure, in error; in the data segment

the count starts with 1 for the simple data element or composite data structure immediately following the segment ID

Use to indicate the position ofthe data element, within the segment,

containing the error, e.g., 3, 12, etc. Component Data Element Position in Composite O NO 1/2

To identify the component data element position within the composite that is in error Data Element Reference Number O NO 1/4

Reference number used to locate the data element in 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 NlOl is 98,

the data element numberfor N103 is 66. Data Element Syntax Error Code M ID 1/3

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

Refer to 003060 Data Element Dictionary for acceptable code values.

Copy of Bad Data Element O AN 1/99

This is a copy of the data element in error

003060F997 0 6 15 July 1997
997 - Functional Acknowledgement

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Syntax Notes:

Semantic Notes:

Comments:

Notes:

AK5

Ref.

Pes.

Must Use AK501

AK502

AK503

AK504

AK505

AK506

Transaction Set Response Trailer

060

AK2

Mandatory

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

Use to indicate whether the transaction set indicated in the corresponding AK2

segment was accepted or rejected. Ifthe transaction set is being rejected, use this

segment to identify up to five (5) syntax errors at the transaction level

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 Refer to 003060 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

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

rejection. Ifmultiple codes apply, tJiey may be carried in AK503 through

AK506, as necessary. No individual code may be used more than once in a

single use ofthis segment.

2. Use code 5 when the 1/AK3/040 loop is not used and syntactical errors occurred below the transaction set level

Refer to 003060 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 003060 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 003060 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 003060 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 003060 Data Element Dictionary for acceptable code values.

003060F997 0 7 15 July 1997
997 - Functional Acknowledgement

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Syntax Notes:

Semantic Notes:

Comments:

AK9 Functional Group Response Trailer

Notes:

Ref.

Pes.

Must Use AK901

Must Use AK902

Must Use AK903

Must Use AK904

AK905

AK906

AK907

AK908

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 functional group

1 If AK901 contains the value "A" or "E", then the transmitted functional group is accepted. If AK901 contains the value "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 be provided,

3. Ifthe functional group is being rejected, use to identify up to five (5) syntax errors

at thefunctional group level

Data

Element

715

97

123

716

716

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

Refer to 003060 Data Element Dictionary for acceptable code values.

Number of Transaction Sets Included M NO 1/6

Total number of transaction sets included in the fimctional 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 being rejected to identify the basis

for rejection.

i2. Codes may also be carried in AK906 through AK909, but no individual

code may be used more than once in a single iteration ofthis segment.

Refer to 003060 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 003060 Data Element Dictionary for acceptable code values.

Functional Group Syntax Error Code O ID 1/3

Code indicating error foimd based on the syntax editing of the fianctional group

header and/or trailer Refer to 003060 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

003060F997 0 8 15 July 1997
997 - Functional Acknowledgement

header and/or trailer Refer to 003060 Data Element Dictionary for acceptable code values.

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 003060 Data Element Dictionary for acceptable code values.

003060F997 0 9 15 July 1997
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.

Data Element Summary

Ref. Data

Pes. Element Name Attributes

Must Use SEOl 96 Number of Included Segments M NO 1/10

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

segments

Must Use SE02 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 the same number cited in ST02.

003060F997 0 10 15 July 1997
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