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NO.881-13

1997

NIST Special Publication 881-13

Federal Implementation Guideline

for Electronic Data Interchange

ASC X12 003040 Transaction Set 997

Functional Acknowledgment

Implementation Convention

U.S. DEPARTMENT OF COMMERCE

Technology Administration

National Institute of

Standards and Technology

NIST Special Publication 881-13

Federal Implementation Guideline

for Electronic Data Interchange

ASC X12 003040 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

March 1997

U.S. DEPARTMENT OF COMMERCE

William M. Daley, Secretary

Technology Administration

Mary L. Good, Under Secretary for Technology

National Institute of Standards and Technology

Arati Prabhakar, 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 881-13

Natl. Inst. Stand. Technol. Spec. Publ. 881-13, 16 pages (March 1997)

CODEN: NSPUE2

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1997

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

Functional Group ID=FA

Introduction:

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

Acknowledgment 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 acknowledgments 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:

1. Use this transaction set to acknowledge the receipt, and acceptance of rejection of a functional group and the

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

2. No acknowledgment of a Functional Acknowledgment transaction set, in the case of receipt and acceptance

notification, shall be provided.

3. Trading Partners should limit the scope of the data provided in the case of transaction set receipt and rejection

notification to the transaction set level, i.e., the 1/AK3/040 loop should not be used. However, if separate

arrangements with trading partners of flexibility within the translation software do not permit this level of

response, the procedures identified herein, as applicable to the 1/AK3/040 loop should be followed.

Pos. Seg. No. ID

010 ST

020 AK1

030 AK2

040 AK3

050 AK4

060 AK5

070 AK9

080 SE

Transaction Set Notes

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

acknowledgments of acknowledgments.

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

Acknowledgment Transaction Sets. In preparing the functional group of acknowledgments, the application

sender's code and the application receiver's code, taken from the functional group being acknowledged, are exchanged; therefore, one acknowledgment 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 Acknowledgment Transaction Set per acknowledged functional group.

Name

Transaction Set Header

Req.

Des. MMax.Use

1

Loop Notes and

Repeat Comments

nl

Functional Group Response Header

f^J*K>*AK2 :ifl§ll

M i n2

Transaction Set Response Header

LOO.M&-AK3

o

x

i IIH Data Segment Note o l cl

Data Element Note o 99

Transaction Set Response Trailer M 1

Functional Group Response Trailer M 1

Transaction Set Trailer M 1

RELEASE - 003040FED01A August 31, 1994
997 - Functional Acknowledgment

2. AK1 is used to respond to the functional group header and to start the acknowledgement for a functional

group. There shall be one AK1 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

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).

RELEASE - 003040FED01A 2 August 31, 1994
997 - Functional Acknowledgment

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Notes:

Syntax Notes:

Semantic Notes:

Comments:

ST

010

Transaction Set Header

Mandatory

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

1 The transaction set identifier (ST01) 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.

Pes.

» ST01

» ST02

Data

Element

143

329

Name Attributes

Transaction Set Identifier Code M ID 3/3

Code uniquely identifying a Transaction Set. 997 X12.20 Functional Acknowledgment

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.

RELEASE - 003040FED01A 3 August 31, 1994
997 - Functional Acknowledgment

Segment: AK1 Functional Group Response Header

Position: 020

Loop:

Level:

Usage: Mandatory

Max Use: 1 Purpose: To start acknowledgment of a functional group.

Notes: 1. Use to identify the unique identification number of the functional group in which the

transaction set(s) being acknowledged was received.

2. Only one functional group may be referenced in a single 997 acknowledgment

transaction set.

Syntax Notes:

Semantic Notes: 1 AK101 is the functional ID found in the GS segment (GS01) in the functional

group being acknowledged.

2 AK102 is the data interchange control number found in the GS segment in the

functional group being acknowledged.

Comments:

Data Element Summary

Ref. Data

Pes. Element Name Attributes

» AK101 479 Functional Identifier Code M ID 2/2

Code identifying a group of application related Transaction Sets. CA Purchase Order Change Acknowledgement/Request -

Seller Initiated (865)

FA Functional Acknowledgement (997)

Use only when rejecting a Functional

Acknowledgment, 997 transaction set, containing

syntactical errors.

IN Invoice Information (8 10, 8 1 9)

MS Material Safety Data Sheet (848)

PC Purchase Order Change Request - Buyer Initiated (860)

PO Purchase Order (850)

PR Purchase Order Acknowledgement (855)

RA Payment Order/Remittance Advice (820)

RQ Request for Quotation (840) and Contract Award (836)

RR Response to Request For Quotation (843)

RS Order Status Information (869, 870)

SC Price/Sales Catalog (832)

SH Ship Notice/Manifest (856)

SP Specifications/Technical Information (841)

TD Trading Partner Profile (838)

» AK102 28 Group Control Number M NO 1/9

Assigned number originated and maintained by the sender.

Use to identify the number cited in GS06 ofthe functional group being

acknowledged.

RELEASE - 003040FED01A 4 August 31, 1994
997 - Functional Acknowledgment

Segment: AK2 Transaction Set Response Header

Position: 030

Loop: AK2

Level:

Usage: Optional

Max Use: 1 Purpose: To start acknowledgment of a single transaction set. Notes: Use to identify the unique identification number of the transaction set being

acknowledged.

Syntax Notes:

Semantic Notes: 1 AK201 is the transaction set ID found in the ST segment (ST01) 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.

Comments:

Data Element Summary

Ref. Data

Pes. Element Name Attributes

» AK201 143 Transaction Set Identifier Code M ID 3/3

Code uniquely identifying a Transaction Set. 810 X12.2 Invoice

820 XI2. 4 Payment Order/Remittance Advice

832 X12.13 Price/Sales Catalog

836 X12.54 Contract Award

838 X12. 17 Trading Partner Profile

840 X12.7 Request for Quotation

841 XI2. 51 Specifications/Technical Information

843 XI2. 8 Response to Request for Quotation

848 X12.36 Material Safety Data Sheet

850 X12.1 Purchase Order

855 XI 2. 9 Purchase Order Acknowledgment

856 X12.10 Ship Notice/Manifest

860 XI2. 15 Purchase Order Change Request - Buyer

Initiated

865 XI 2. 16 Purchase Order Change

Acknowledgment/Request - Seller Initiated

869 X12.ll Order Status Inquiry

870 X12.23 Order Status Report

997 XI2. 20 Functional Acknowledgment

Use only when rejecting a Functional

Acknowledgment, 997, transaction set, containing

syntactical errors. » AK202 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 identify the number cited in the ST02 ofthe transaction set being

RELEASE - 003040FED01A 5 August 31, 1994
997 - Functional Acknowledgment

acknowledged.

RELEASE - 003040FED01A
997 - Functional Acknowledgment

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Notes:

AK3 Data Segment Note

040

AK3

Optional

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

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

software do not permit the level of receipt 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 of the transaction set or functional group. This

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

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

Syntax Notes:

Semantic Notes:

Comments:

»

Ref.

Pes.

AK301

Data

Element

721

» AK302 719

AK303

» AK304

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.

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

ASCXI2 Data Segment Dictionary, e.g., REF.

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

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

transaction set rejection.

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

X AK305 720

X AK306 720

3. Use any code.

Refer to 003040 Data Element Dictionary for acceptable code values.

Segment Syntax Error Code O ID

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

Segment Syntax Error Code O ID

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

1/3

1/3

RELEASE - 003040FED01A 7 August 31, 1994
I

997 - Functional Acknowledgment

AK307 720 Segment Syntax Error Code O ID 1/3

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

AK308 720 Segment Syntax Error Code O ID 1/3

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

RELEASE - 003040FED01A 8 August 31, 1994
997 - Functional Acknowledgment

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Notes:

Syntax Notes:

Semantic Notes:

Comments:

AK4 Data Element Note

050

AK3

Optional

99

To report errors in a data element and to 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 of this segment to identify one or more data element errors within the segment specified in the preceding AK3 segment.

»

Ref.

Pes.

AK401

Data

Element

722

AK402 725

» AK403 723

AK404 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 N101, 2 indicates and error in element N102, etc. (Note: An error in the segment ID is identified in the AKi 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 of Bad Data Element O AN 1/99

This is a copy of the data element in error.

RELEASE - 003040FED01A 9 August 31, 1994
997 - Functional Acknowledgment

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Notes:

AK5 Transaction Set Response Trailer

060

AK2

Mandatory

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

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

segment was accepted or rejected.

2. If the transaction set is rejected, use to identify up to five (5) syntax errors at the

transaction set level.

Syntax Notes:

Semantic Notes:

Comments:

Data Element Summary

Ref.

Pes.

» AK501

AK502

AK503

AK504

AK505

AK506

Data

Element

717

718

718

718

718

718

Name Attributes

Transaction Set Acknowledgment 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 basisfor

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

RELEASE - 003040FED01A 10 August 31, 1994
997 - Functional Acknowledgment

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

Refer to 003040 Data Element Dictionary for acceptable code values.

RELEASE - 003040FED01A 11 August 31, 1994
997 - Functional Acknowledgment

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Notes:

AK9

070

Functional Group Response Trailer

Syntax Notes:

Semantic Notes:

Comments:

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. Use only to indicate whether the functional group was accepted or rejected based on

syntax errors in the functional group header or trailer.

2. If the functional group is rejected, use to identify up to five (5) syntax errors at the

functional group level.

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

is *R', then the transmitted group is rejected.

Data Element Summary

»

Ref.

Pes.

AK901

Data

Element

715

Name Attributes

M ID 1/1

»

»

»

AK902

AK903

AK904

AK905

97

123

716

AK906 716

Functional Group Acknowledge Code

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 functional 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 basisfor

rejection.

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

may be used more than once.

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.

RELEASE - 003040FED01A 12 August 31, 1994
997 - Functional Acknowledgment

Refer to 003040 Data Element Dictionary for acceptable code values.

AK907 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.

AK908 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.

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.

RELEASE - 003040FED01A 13 August 31, 1994
997 - Functional Acknowledgment

Segment:

Position:

Loop:

Level:

Usage:

Max Use:

Purpose:

Notes:

Syntax Notes:

Semantic Notes:

Comments:

Ref.

Pes.

» SE01

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).

SE is the last segment of each transaction set.

Data Element Summary

» SE02

Data

Element

96

329

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.

RELEASE - 003040FED01A 14 August 31, 1994
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