Document Version FUNCTIONAL ACKNOWLEDGEMENT (ANSI X12 VERSION 4040) 10/10/2008. X12V General Parts, Inc./CARQUEST

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1 Document Version FUNCTIONAL ACKNOWLEDGEMENT (ANSI X12 VERSION 4040) 10/10/2008 X12V General Parts, Inc./CARQUEST

2 Table of Contents CONTACT(S)... 3 CHANGE HISTORY... 3 CONVENTIONS USED IN THIS GUIDELINE... 4 FUNCTIONAL ACKNOWLEDGMENT... 6 INTERCHANGE CONTROL HEADER...7 FUNCTIONAL GROUP HEADER...8 TRANSACTION SET HEADER...9 FUNCTIONAL GROUP RESPONSE HEADER...10 LOOP AK TRANSACTION SET RESPONSE HEADER...12 LOOP AK DATA SEGMENT NOTE...14 DATA ELEMENT NOTE...15 TRANSACTION SET RESPONSE TRAILER...16 FUNCTIONAL GROUP RESPONSE TRAILER...17 TRANSACTION SET TRAILER...18 FUNCTIONAL GROUP TRAILER...19 INTERCHANGE CONTROL TRAILER...20 X12V General Parts, Inc./CARQUEST

3 Contact(s) EDI Department Atlantic Ave Raleigh, NC Change History Date Version Change Description 10/10/ Initial release of the 997 Functional Acknowledgment X12V General Parts, Inc./CARQUEST

4 Conventions used in this guideline N1 Name Pos: 220 Max: 1 Detail Optional Loop: N1 Elements: 6 User Option (Usage): Used To identify a party by type of organization, name, and code 1.8 Syntax: 1. P0304 If either N103, N104 is present, then all are required 2. R0203 At least one of N102, N103 is required 6 User Note 1: It is recommended that both the Ship From (SF) and Ship To (ST) trading partners be sent. 1.9 Semantics: 1.10 Comments: 1. This segment, used alone, provides the most efficient method of providing organizational identification. To obtain this efficiency the ID Code (N104) must provide a key to the table maintained by the transaction processing party. 2. N105 and N106 further define the type of entity in N N Entity Identifier Code M ID 2/3 Used ST Ship To 7 SF Ship From N Name O AN 1/60 Used N Identification Code Qualifier O ID ½ Used N Identification Code O AN 2/80 Used N Entity Relationship Code O ID 2/2 Ignored All valid standard codes are used. N Entity Identifier Code All valid standard codes are used. O ID 2/3 Ignored The above diagram and corresponding descriptions offer a comprehensive explanation of the numerous conventions used throughout this document. 1. Every segment has the segment Identifier and Name noted. Additionally, each segment has the ASC X12 attributes noted: 1.1. Segment position within the ASC X12 transaction set Uniquely identifies the loop this segment is part of within the transaction set The Level identifies whether the segment may be found at the header or detail level. The detail area includes the actual body of the business transaction. The header is the area at the beginning of the transaction set that includes information pertaining to the entire transaction The requirement or status in the ASC X12 standard. The value in parenthesis is the requirement or status per the customer/user. This may differ from the X12 usage requirement. Those values are: Dependent (D) This segment is conditional on the existence or absence of another element Ignored (I)- If present, this segment will be ignored. Inclusion of it will not cause a failure Must Use (M) This segment is required for this transaction by the customer Optional (O) This segment is optional Recommended I While this segment is not required, it is highly recommended The maximum number of times this segment may appear at this place in this transaction or message The number of data elements contained within this segment. X12V General Parts, Inc./CARQUEST

5 1.7. The segment s purpose within this transaction set The syntax notes detail the ASC X12 dependencies between elements in the same segment or subelements in the same composite The semantic notes provide additional information regarding the intended use of the indicated element or composite when used in this particular segment Comments are additional information not detailed within syntax or semantic notes. 2. Every data element on each segment is listed in the Data Element Summary section of the segment documentation. 3. Every data element has the ASC X12 data element ID noted. 4. Every data element has the ASC X12 data element name noted. 5. Every data element has the ASC X12 data element attributes noted: 5.1. Data element requirement designation Mandatory (M) This element is required to appear in the segment Optional (O) The appearance of this data element is at the option of the sending party or is based on the mutual agreement of the interchange parties Relational (X) Relational conditions may exist between two or more data elements within a segment based on the presence or absence of one of those data elements. The relational condition is displayed under the heading Syntax Notes Data element type Numeric Integer (N or Nn) The numeric type of data element is symbolized by N. Leading zeros should be suppressed unless necessary to satisfy a minimum length requirement. The length of the data element is the number of digits used. A decimal point is implied. The n indicates decimal positions String (AN) The contents of string type data elements are a sequence of any letters, digits, spaces, and/or special characters and contain at least one non-space character. The significant characters must be left justified. Leading spaces, if used, are assumed to be significant characters. Trailing spaces should be suppressed Date (DT) Format for the date type is CCYYMMDD. CC is the two digit Century (00-99). YY is the last two digits of the year (00-99), MM is the numeric value of the month (01-12), and DD is the numeric value of the day (01-31). Should this transaction predate , the date format is YYMMDD Time I Format for this type is expressed in 24-hour clock format, HHMMSSd..d. HH is the numeric expression of the hour (00-23), MM is the numeric expression of the minute (00-59), SS is the numeric expression of the second (00-59), and d..d is the numeric expression of decimal seconds Identifier(ID) --- An identifier element always contains a unique value from a single predefined list. This list of values is maintained by ASC X12 or some other body recognized by ASC X Decimal Number I--- A decimal element will contain an explicit decimal point and is used for values having a varying number of decimal positions Binary(B) ---- A binary element has no specified maximum length. It is any sequence of octets. They will range from binary value Data element length (minimum/maximum) User attributes on the customer specific requirements for this data element. This requirement may differ from the X12 requirement listed under Base Attributes Dependent (D) This data element is dependent on either business or syntax rules. Refer to the notes for more specific instructions on its intended use Ignored (I) If present, this element will be ignored. Inclusion of it will not cause a failure Mandatory (M) This element is required to appear in the segment Optional (O) The appearance of this data element is at the option of the sending party or is based on the mutual agreement of the interchange parties Recommended I Inclusion of this data element is not required, however highly recommended Used (U) The data element is neither mandatory nor recommended but it isn t ignored. 6. Implementation comments relating to segments and data elements are noted with a shaded background. 7. A listing of valid codes list for this data element. Inclusion of codes not listed will cause a failure unless otherwise noted. X12V General Parts, Inc./CARQUEST

6 997 Functional Acknowledgment Functional Group=FA Purpose: This X12 Transaction Set 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. User Note: The 997 must be transmitted within 24 hours and contain one of the below qualifiers and IDs. Test 12: Production 01: Not Defined: Page Pos Id Segment Name Req Max Use Repeat Notes Usage 7 ISA Interchange Control Header M 1 Must Use 8 GS Functional Group Header M 1 Must Use Heading: Page Pos Id Segment Name Req Max Use Repeat Notes Usage ST Transaction Set Header M 1 N1/0100 Must Use AK1 Functional Group Response Header M 1 N1/0200 Must Use 11 LOOP ID - AK N1/0300L AK2 Transaction Set Response Header M 1 N1/0300 Used 13 LOOP ID - AK C1/0400L AK3 Data Segment Note O 1 C1/0400 Used AK4 Data Element Note O 99 Used AK5 Transaction Set Response M 1 Must Use Trailer AK9 Functional Group Response M 1 Must Use Trailer SE Transaction Set Trailer M 1 Must Use Not Defined: Page Pos Id Segment Name Req Max Use Repeat Notes Usage 19 GE Functional Group Trailer M 1 Must Use 20 IEA Interchange Control Trailer M 1 Must Use Notes: 1/0100 These acknowledgments shall not be acknowledged, thereby preventing an endless cycle of acknowledgments of acknowledgments. Nor shall a Functional Acknowledgment be sent to report errors in a previous Functional Acknowledgment. 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. 1/0200 AK1 is used to respond to the functional group header and to start the acknowledgment for a functional group. There shall be one AK1 segment for the functional group that is being acknowledged. 1/0300L AK2 is used to start the acknowledgment 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. 1/0300 AK2 is used to start the acknowledgment 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. X12V General Parts, Inc./CARQUEST

7 ISA Interchange Control Header Pos: Max: 1 Not Defined - Mandatory Loop: N/A Elements: 16 User Option (Usage): Must Use Purpose: To start and identify an interchange of zero or more functional groups and interchange-related control segments ISA01 I01 Authorization Information Qualifier M ID 2/2 Must Use ISA02 I02 Authorization Information M AN 10/10 Must Use ISA03 I03 Security Information Qualifier M ID 2/2 Must Use ISA04 I04 Security Information M AN 10/10 Must Use ISA05 I05 Interchange ID Qualifier M ID 2/2 Must Use ISA06 I06 Interchange Sender ID M AN 15/15 Must Use ISA07 I05 Interchange ID Qualifier M ID 2/2 Must Use ISA08 I07 Interchange Receiver ID M AN 15/15 Must Use ISA09 I08 Interchange Date M DT 6/6 Must Use ISA10 I09 Interchange Time M TM 4/4 Must Use ISA11 I65 Repetition Separator M 1/1 Must Use Please use a semicolon ; ISA12 I11 Interchange Control Version Number M ID 5/5 Must Use Use "P" for Production and "T" for Test. Code Name Standards Approved for Publication by ASC X12 Procedures Review Board through October 2000 ISA13 I12 Interchange Control Number M N0 9/9 Must Use ISA14 I13 Acknowledgment Requested M ID 1/1 Must Use ISA15 I14 Usage Indicator M ID 1/1 Must Use Code Name P Production Data T Test Data ISA16 I15 Component Element Separator M 1/1 Must Use X12V General Parts, Inc./CARQUEST

8 GS Functional Group Header Pos: Max: 1 Not Defined - Mandatory Loop: N/A Elements: 8 User Option (Usage): Must Use Purpose: To indicate the beginning of a functional group and to provide control information Semantics: 1. GS04 is the group date. 2. GS05 is the group time. 3. The data interchange control number GS06 in this header must be identical to the same data element in the associated functional group trailer, GE02. Comments: 1. A functional group of related transaction sets, within the scope of X12 standards, consists of a collection of similar transaction sets enclosed by a functional group header and a functional group trailer. GS Functional Identifier Code M ID 2/2 Must Use Code Name FA Functional Acknowledgment (997) GS Application Sender's Code M AN 2/15 Must Use GS Application Receiver's Code M AN 2/15 Must Use GS Date M DT 8/8 Must Use GS Time M TM 4/8 Must Use GS06 28 Group Control Number M N0 1/9 Must Use GS Responsible Agency Code M ID 1/2 Must Use GS Version / Release / Industry Identifier Code M AN 1/12 Must Use Code Name Standards Approved for Publication by ASC X12 Procedures Review Board through October 2000 X12V General Parts, Inc./CARQUEST

9 ST Transaction Set Header Pos: 0100 Max: 1 Heading - Mandatory Loop: N/A Elements: 3 User Option (Usage): Must Use Purpose: To indicate the start of a transaction set and to assign a control number Semantics: 1. The transaction set identifier (ST01) is used by the translation routines of the interchange partners to select the appropriate transaction set definition (e.g., 810 selects the Invoice Transaction Set). 2. The implementation convention reference (ST03) is used by the translation routines of the interchange partners to select the appropriate implementation convention to match the transaction set definition. ST Transaction Set Identifier Code M ID 3/3 Must Use Code Name 997 Functional Acknowledgment ST Transaction Set Control Number M AN 4/9 Must Use ST Implementation Convention Reference O AN 1/35 Used X12V General Parts, Inc./CARQUEST

10 AK1 Functional Group Response Header Pos: 0200 Max: 1 Heading - Mandatory Loop: N/A Elements: 2 User Option (Usage): Must Use Purpose: To start acknowledgment of a functional group Semantics: 1. AK101 is the functional ID found in the GS segment (GS01) in the functional group being acknowledged. 2. AK102 is the functional group control number found in the GS segment in the functional group being acknowledged. AK Functional Identifier Code M ID 2/2 Must Use AK Group Control Number M N0 1/9 Must Use X12V General Parts, Inc./CARQUEST

11 Loop AK2 Pos: 0300 Repeat: Mandatory Loop: AK2 Elements: N/A User Option (Usage): Used Purpose: To start acknowledgment of a single transaction set Loop Summary: Pos Id Segment Name Req Max Use Repeat Usage 0300 AK2 Transaction Set Response Header M 1 Used 0400 Loop AK3 O Used 0600 AK5 Transaction Set Response Trailer M 1 Must Use X12V General Parts, Inc./CARQUEST

12 AK2 Transaction Set Response Header Pos: 0300 Max: 1 Heading - Mandatory Loop: AK2 Elements: 2 Loop Path: AK2 User Option (Usage): Used Purpose: To start acknowledgment of a single transaction set Semantics: 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. AK Transaction Set Identifier Code M ID 3/3 Must Use AK Transaction Set Control Number M AN 4/9 Must Use X12V General Parts, Inc./CARQUEST

13 Loop AK3 Pos: 0400 Repeat: Optional Loop: AK3 Elements: N/A Loop Path: AK2 User Option (Usage): Used Purpose: To report errors in a data segment and identify the location of the data segment Loop Summary: Pos Id Segment Name Req Max Use Repeat Usage 0400 AK3 Data Segment Note O 1 Used 0500 AK4 Data Element Note O 99 Used X12V General Parts, Inc./CARQUEST

14 AK3 Data Segment Note Pos: 0400 Max: 1 Heading - Optional Loop: AK3 Elements: 4 Loop Path: AK2-AK3 User Option (Usage): Used Purpose: To report errors in a data segment and identify the location of the data segment AK Segment ID Code M ID 2/3 Must Use AK Segment Position in Transaction Set M N0 1/6 Must Use AK Loop Identifier Code O AN 1/6 Used AK Segment Syntax Error Code O ID 1/3 Used X12V General Parts, Inc./CARQUEST

15 AK4 Data Element Note Pos: 0500 Max: 99 Heading - Optional Loop: AK3 Elements: 4 Loop Path: AK2-AK3 User Option (Usage): Used Purpose: To report errors in a data element or composite data structure and identify the location of the data element Semantics: 1. In no case shall a value be used for AK404 that would generate a syntax error, e.g., an invalid character. AK401 C030 Position in Segment M Comp Must Use 722 Element Position in Segment M N0 1/2 Must Use 1528 Component Data Element Position in Composite O N0 1/2 Used 1686 Repeating Data Element Position O N0 1/4 Used AK Data Element Reference Number O N0 1/4 Used AK Data Element Syntax Error Code M ID 1/3 Must Use AK Copy of Bad Data Element O AN 1/99 Used X12V General Parts, Inc./CARQUEST

16 AK5 Transaction Set Response Trailer Pos: 0600 Max: 1 Heading - Mandatory Loop: AK2 Elements: 6 Loop Path: AK2 User Option (Usage): Must Use Purpose: To acknowledge acceptance or rejection and report errors in a transaction set AK Transaction Set Acknowledgment Code M ID 1/1 Must Use AK Transaction Set Syntax Error Code O ID 1/3 Used AK Transaction Set Syntax Error Code O ID 1/3 Used AK Transaction Set Syntax Error Code O ID 1/3 Used AK Transaction Set Syntax Error Code O ID 1/3 Used AK Transaction Set Syntax Error Code O ID 1/3 Used X12V General Parts, Inc./CARQUEST

17 AK9 Functional Group Response Trailer Pos: 0700 Max: 1 Heading - Mandatory Loop: N/A Elements: 9 User Option (Usage): Must Use Purpose: To 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 Comments: 1. If AK901 contains the value "A" or "E", then the transmitted functional group is accepted. AK Functional Group Acknowledge Code M ID 1/1 Must Use AK Number of Transaction Sets Included M N0 1/6 Must Use AK Number of Received Transaction Sets M N0 1/6 Must Use AK904 2 Number of Accepted Transaction Sets M N0 1/6 Must Use AK Functional Group Syntax Error Code O ID 1/3 Used AK Functional Group Syntax Error Code O ID 1/3 Used AK Functional Group Syntax Error Code O ID 1/3 Used AK Functional Group Syntax Error Code O ID 1/3 Used AK Functional Group Syntax Error Code O ID 1/3 Used X12V General Parts, Inc./CARQUEST

18 SE Transaction Set Trailer Pos: 0800 Max: 1 Heading - Mandatory Loop: N/A Elements: 2 User Option (Usage): Must Use Purpose: To indicate the end of the transaction set and provide the count of the transmitted segments (including the beginning (ST) and ending (SE) segments) Comments: 1. SE is the last segment of each transaction set. SE01 96 Number of Included Segments M N0 1/10 Must Use SE Transaction Set Control Number M AN 4/9 Must Use X12V General Parts, Inc./CARQUEST

19 GE Functional Group Trailer Pos: Max: 1 Not Defined - Mandatory Loop: N/A Elements: 2 User Option (Usage): Must Use Purpose: To indicate the end of a functional group and to provide control information Semantics: 1. The data interchange control number GE02 in this trailer must be identical to the same data element in the associated functional group header, GS06. Comments: 1. The use of identical data interchange control numbers in the associated functional group header and trailer is designed to maximize functional group integrity. The control number is the same as that used in the corresponding header. GE01 97 Number of Transaction Sets Included M N0 1/6 Must Use GE02 28 Group Control Number M N0 1/9 Must Use X12V General Parts, Inc./CARQUEST

20 IEA Interchange Control Trailer Pos: Max: 1 Not Defined - Mandatory Loop: N/A Elements: 2 User Option (Usage): Must Use Purpose: To define the end of an interchange of zero or more functional groups and interchange-related control segments IEA01 I16 Number of Included Functional Groups M N0 1/5 Must Use IEA02 I12 Interchange Control Number M N0 9/9 Must Use X12V General Parts, Inc./CARQUEST