MOBIS Alabama, LLC IMPLEMENTATION GUIDELINES FOR ASC X12 EDI CONVENTIONS FUNCTIONAL ACKNOWLEDGEMENT TRANSACTON SET (997) VERSION/RELEASE 004010 Guideline Version 1.0 Issue Date 01/21/2005 MOBIS Alabama, USA 1395 Mitchell Young Road Montgomery, Alabama, 36108
997 Functional Acknowledgement Introduction: Functional Group ID=FA 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. 01/21/2005 997 (4010) 2
Pos. No. Table 1: Heading Seg. ID Name Req. Max. Use 010 ST Transaction Set Header M 1 020 AK1 Functional Group Response Header M 1 Loop Repeat Notes and Comments Pos. No. Table 2: Detail Seg. ID Name Req. Max. Use Loop Repeat LOOP ID AK2 999999 030 AK2 Transaction Set Response Header O 1 Notes and Comments LOOP ID AK2/AK3 999999 040 AK3 Data Segment Note O 1 050 AK4 Data Element Note O 99 060 AK5 Transaction Set Response Trailer M 1 Table 3: Summary Pos. No. Seg. ID Name Req. Max. Use 070 AK9 Functional Group Response Trailer M 1 080 SE Transaction Set Trailer M 1 Loop Repeat Notes and Comments 01/21/2005 997 (4010) 3
Segment: ISA Interchange Control Header Position: Loop: Level: N/A Usage: Mandatory 1 per interchange Purpose: To start and identify an interchange of one or more functional groups and interchange-related control segments Semantic Notes: 1. The actual values of the data element separator and the data segment terminator for this interchange are set by the interchange control header. For a particular interchange, the value at the fourth character position is the data element separator, and the value of the last character position is the value of the data segment terminator. The extent of this particular usage of the data element separator and the data segment separator terminator is from this header to and including the next interchange trailer. The interchange control number value in ISA13 in this header must match the value in the same data element n the corresponding interchange control trailer in IEA02. Comments: The first occurrence of the data element separator (byte 4) defines the actual value of the data element separator and is graphically displayed as an asterisk +. The first occurrence of the segment terminator, 1 byte after the data element ISA16, defines the actual value of the data segment terminator and is graphically displayed as N/L. Example: ISA*00* *00* *ZZ*MOBIS-USA *ZZ*Supplier *040218*1438*U*00401*000000031*0*P*>~ ISA01 I01 Authorization Information Qualifier M ID 2/2 00 No Authorization Information Present ISA02 I02 Authorization Information M AN 10/10 10 empty spaces must be entered here as the ISA segment is space sensitive. ISA03 I03 Security Information Qualifier M ID 2/2 00 No Password ISA04 I04 Security Information M ID 10/10 10 empty spaces must be entered here as the ISA segment is space sensitive. ISA05 I05 Interchange ID Qualifier M ID 2/2 ZZ Mutually Defined ISA06 I06 Interchange Sender ID M ID 15/15 Left justify, space fill MOBIS-USA ISA07 I05 Interchange ID Qualifier M ID 2/2 ZZ Mutually Defined ISA08 I07 Interchange Receiver ID M ID 15/15 Left justify, space fill Supplier ISA09 I08 Interchange Date M DT 6/6 Date of creation ISA10 I09 Interchange Time M TM 4/4 Time of creation 01/21/2005 997 (4010) 4
ISA11 I10 Interchange Control Standards Identifier M ID 1/1 U United States ISA12 I11 Interchange Control Version Number M ID 5/5 00401 ISA13 I12 Interchange Control Number M N0 9/9 A number that cannot be repeated within a 1 year period at a time ISA14 I13 Acknowledgment Requested M ID 1/1 Use 0 for no Ack. Req., use 1 for Ack. Req. 0 No Acknowledgement requested ISA15 I14 Test Indicator M ID 1/1 Use T for test data or P for production data ISA16 I15 Component Element Separator M ID 1/1 01/21/2005 997 (4010) 5
Segment: GS Functional Group Header Position: Loop: Level: N/A Usage: Mandatory 1 per functional group Purpose: To indicate the beginning of a functional group and to provide control information Semantic Notes: See the ASC X12 segment directory for rules and notes Comments: Strict compliance and agreement on content by trading partners is required. Example: GS*FA*MOBIS-USA*Supplier*20040218*1438*31*X*004010~ GS01 479 Functional Identifier Code M ID 2/2 FA Functional Acknowledgement GS02 142 Application Sender s Code M ID 2/15 MOBIS-USA GS03 124 Application Receiver s Code M ID 2/15 Supplier GS04 373 Date M DT 8/8 Date Created GS05 337 Time M TM 4/8 Time created GS06 25 Group Control Number M N0 1/9 Start with 1 and increment by 1 for each subsequent GS segment GS07 455 Responsible Agency Code M ID 1/2 Code used in conjunction with Data Element GS08 to identify the issuer of the standard X ASC X12 format GS08 480 Version/Release/Industry ID Code M ID 6/12 This code indicates the version, release and subrelease of the EDI standard being used, including the GS and GE segments. Positions 1-3 are the version number; positions 4-6 are the release and subrelease, level of the version 004010 Draft Standard 01/21/2005 997 (4010) 6
Segment: ST Transaction Set Header Position: 010 Loop: Level: Heading Usage: Mandatory Purpose: To indicate the start of a transaction set and to assign a control number Semantic Notes: The Transaction Set Control Number (ST02) in this header must match the Transaction Set Control Number (SE02) in the Transaction Set Trailer (SE) Comments: 1. 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. 2. 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. 3. There is only one Functional Acknowledgment Transaction Set per acknowledged functional group. Example: ST*997*0001~ ST01 143 Transaction Set Identifier Code M ID 3/3 Code uniquely identifying a Transaction Set 997 Functional Acknowledgement ST02 329 Transaction Set Control Number M AN 4/9 Identifying control number that must be unique within the transaction set. 01/21/2005 997 (4010) 7
Segment: AK1 Functional Group Response Header Position: 020 Loop: Level: Heading Usage: Mandatory Purpose: To start acknowledgment of a functional group Semantic Notes: 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. Comments: 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. Example: AK1*SH*212~ AK101 479 Functional Identifier Code M ID 2/2 Any valid X12 code AK102 28 Group Control Number M N0 1/9 Assigned number originated and maintained by the sender 01/21/2005 997 (4010) 8
Segment: AK2 Transaction Set Response Header Position: 030 Loop: AK2 Level: Detail Usage: Optional Purpose: To start acknowledgment of a single transaction set 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: 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. Example: AK2*856*D003~ AK201 143 Transaction Set Identifier Code M ID 3/3 Code uniquely identifying a Transaction Set Any valid X12 code value 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 01/21/2005 997 (4010) 9
Segment: AK3 Data Segment Note Position: 040 Loop: AK2/AK3 Level: Detail Usage: Optional Purpose: To report errors in a data segment and identify the location of the data segment Semantic Notes: Comments: 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). Example: AK3*12*13*5~ AK301 721 Segment ID code M ID 2/3 Code defining the segment ID of the data segment in error AK302 719 Segment Position in Transaction Set M N0 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 AK303 447 Loop Identifier Code O AN 1/6 The loop ID number given on the transaction set diagram is the value for this data element in segments LS and LE 01/21/2005 997 (4010) 10
Segment: AK4 Data Segment Note Position: 050 Loop: AK2/AK3 Level: Detail Usage: Optional Max Use: 99 Purpose: To report errors in a data element or composite data structure and identify the location of the data element Semantic Notes: In no case shall a value be used for AK404 that would generate a syntax error, e.g., an invalid character. Comments: Example: AK4*2*131*5*ERROR FIELD~ AK401 722 Element Position in Segment M ID 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 AK402 725 Data Element Reference Number O N0 1/4 Reference number used to locate the data element in the Data Element Dictionary AK403 723 Data Element Syntax Error Code M ID 1/3 Code indicating the error found after syntax edits of a data element AK404 724 Copy of Bad Data Element O AN 1/99 This is a copy of data element in error 01/21/2005 997 (4010) 11
Segment: AK5 Transaction Set Response Trailer Position: 060 Loop: Level: Trailer Usage: Mandatory Purpose: To acknowledge acceptance or rejection and report errors in a transaction set Semantic Notes: Comments: This segment is used to end the acknowledgement of a transaction set within the received functional group. The AK5 segment is mandatory in the AK2 - AK5 loop; however, the loop is optional. There is one AK5 segment per AK2 segment. Example: AK5*R*1~ AK501 717 Transaction Set Acknowledgement Code M ID 1/1 Code indicating accept or reject condition based on the syntax editing of the transaction set AK502 718 Transaction Set Syntax Error Code O ID 1/3 Code indicating error found based on the syntax editing of a transaction set 01/21/2005 997 (4010) 12
Segment: AK9 Functional Group Response Trailer Position: 070 Loop: Level: Summary Usage: Mandatory 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. Semantic Notes: If AK901 contains the value "A" or "E", then the transmitted functional group is accepted. Comments: This segment is used to complete the response for the functional group acknowledgement. The AK9 segment is mandatory. In addition to completing the response, it provides a summary of the counts of the transaction sets. Example: AK9*A*2*2*2~ AK901 715 Functional Group Acknowledge Code M ID 1/1 Code indicating accept or reject condition based on the syntax editing of the functional group AK902 97 Number of transaction Set Included M N0 1/6 Total number of transaction sets included in the functional group or interchange (transmission) group terminated by the trailer containing this data element AK903 123 Number of Received Transaction Sets M N0 1/6 Number of Transaction Sets received AK904 2 Number of Accepted Transaction Sets M N0 1/6 Number of accepted Transaction Sets in a Functional Group 01/21/2005 997 (4010) 13
Segment: SE Transaction Set Trailer Position: 080 Loop: Level: Summary Usage: Mandatory 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). Semantic Notes: Comments: 1. SE is the last segment of each transaction set 2. The Transaction Set Control Number value in this trailer must match the same element value in the Transaction Set Header (ST02) Example: SE*11*0001~ SE01 96 Number of Included Segments M N0 1/10 Total number of segments included in a transaction set including ST and SE segments 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 01/21/2005 997 (4010) 14
Segment: GE Functional Group Trailer Position: Loop: Level: N/A Usage: Mandatory 1 per functional group Purpose: To indicate the end of a functional group and to provide control information Semantic Notes: 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: Example: GE*1*31~ GE01 97 Number of Transaction Sets Included M N0 1/6 Total number of ST segments in group GE02 28 Group Control Number M N0 1/9 Must be identical to the same data element in the associated group header (GS06) 01/21/2005 997 (4010) 15
Segment: IEA Interchange Control Trailer Position: Loop: Level: N/A Usage: Mandatory 1 per Interchange Purpose: To define the end of an interchange of zero or more functional groups and interchange-related control segments Semantic Notes: The interchange control number IEA02 in this trailer must match the value in ISA13 Comments: Example: IEA*1*000000031~ IEA01 I16 Number of Included Functional Groups M N0 1/5 Number of GS segments included between ISA and this IEA IEA02 I12 Interchange Control Number M N0 9/9 Must match ISA13 01/21/2005 997 (4010) 16
Example 1 EDI Structure 997 for an accepted Document: EDI FORMAT ST*997*1000~ AK1*SH*2~ INTERPRETATION X12 Transaction Set = 997 (FA) Transaction Set Control Number = 1000 Functional Identifier Code = SH Group Control Number = 2 AK2*856*0002~ Transaction Set Identifier Code = 856 Transaction Set Control Number = 0002 AK5*A~ AK9*A*1*1*1~ Transaction Set Acknowledgement Code = A (Accepted) Functional Group Acknowledge Code = A (Accepted) Number of transaction Set Included = 1 Number of Received Transaction Sets = 1 Number of Accepted Transaction Sets = 1 SE*6*1000~ Total Number of Segments = 6 Transaction Set Control Number = 1000 01/21/2005 997 (4010) 17
Example 2 EDI Structure 997 for a rejected Document: EDI FORMAT ST*997*1001 AK1*SH*5 INTERPRETATION X12 Transaction Set = 997 (FA) Transaction Set Control Number = 1001 Functional Identifier Code = SH Group Control Number = 5 AK2*856*0003 Transaction Set Identifier Code = 856 Transaction Set Control Number = 0003 AK3*DTM*5*1 Segment ID code = DTM Segment Position in Transaction Set = 5 Loop Identifier Code = 1 AK4*4*623*5*017 Element Position in Segment = 1 Data Element Reference Number = 623 Data Element Syntax Error Code = 5 (Data Element Too Long) Copy of Bad Data Element = 017 AK5*R AK9*R*1*1*0 Transaction Set Acknowledgement Code = R (Rejected) Functional Group Acknowledge Code = R (Rejected) Number of transaction Set Included = 1 Number of Received Transaction Sets = 1 Number of Accepted Transaction Sets = 0 SE*8*1001 Total Number of Segments = 8 Transaction Set Control Number = 1001 01/21/2005 997 (4010) 18