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Functional Acknowledgment
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X12 997 Functional Acknowledgment

X12 Release 4010

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.

Delimiters
  • ~ Segment
  • * Element
  • > Component
EDI samples
  • None included
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Overview
ISA
-
Interchange Control Header
Max use 1
Required
GS
-
Functional Group Header
Max use 1
Required
heading
ST
010
Transaction Set Header
Max use 1
Required
AK1
020
Functional Group Response Header
Max use 1
Required
AK2 Loop
AK9
070
Functional Group Response Trailer
Max use 1
Required
SE
080
Transaction Set Trailer
Max use 1
Required
GE
-
Functional Group Trailer
Max use 1
Required
IEA
-
Interchange Control Trailer
Max use 1
Required
ISA

Interchange Control Header

RequiredMax use 1

To start and identify an interchange of zero or more functional groups and interchange-related control segments

Example
ISA-01
I01
Authorization Information Qualifier
Required

Code to identify the type of information in the Authorization Information

00
No Authorization Information Present (No Meaningful Information in I02)
ISA-02
I02
Authorization Information
Required
String (AN)
Min 10Max 10

Information used for additional identification or authorization of the interchange sender or the data in the interchange; the type of information is set by the Authorization Information Qualifier (I01)

ISA-03
I03
Security Information Qualifier
Required

Code to identify the type of information in the Security Information

00
No Security Information Present (No Meaningful Information in I04)
ISA-04
I04
Security Information
Required
String (AN)
Min 10Max 10

This is used for identifying the security information about the interchange sender or the data in the interchange; the type of information is set by the Security Information Qualifier (I03)

ISA-05
I05
Interchange ID Qualifier
Required
Identifier (ID)
Min 2Max 2

Qualifier to designate the system/method of code structure used to designate the sender or receiver ID element being qualified

Codes
ISA-06
I06
Interchange Sender ID
Required
String (AN)
Min 15Max 15

Identification code published by the sender for other parties to use as the receiver ID to route data to them; the sender always codes this value in the sender ID element

ISA-07
I05
Interchange ID Qualifier
Required
Identifier (ID)
Min 2Max 2

Qualifier to designate the system/method of code structure used to designate the sender or receiver ID element being qualified

Codes
ISA-08
I07
Interchange Receiver ID
Required
String (AN)
Min 15Max 15

Identification code published by the receiver of the data; When sending, it is used by the sender as their sending ID, thus other parties sending to them will use this as a receiving ID to route data to them

ISA-09
I08
Interchange Date
Required
YYMMDD format

Date of the interchange

ISA-10
I09
Interchange Time
Required
HHMM format

Time of the interchange

ISA-11
I10
Interchange Control Standards Identifier
Required

Code to identify the agency responsible for the control standard used by the message that is enclosed by the interchange header and trailer

U
U.S. EDI Community of ASC X12, TDCC, and UCS
ISA-12
I11
Interchange Control Version Number
Required

This version number covers the interchange control segments

00401
Draft Standards for Trial Use Approved for Publication by ASC X12 Procedures Review Board through October 1997
ISA-13
I12
Interchange Control Number
Required
Numeric (N0)
Min 9Max 9

A control number assigned by the interchange sender

ISA-14
I13
Acknowledgment Requested
Required
Identifier (ID)
Min 1Max 1

Code sent by the sender to request an interchange acknowledgment (TA1)

0
No Acknowledgment Requested
1
Interchange Acknowledgment Requested
ISA-15
I14
Usage Indicator
Required
Identifier (ID)
Min 1Max 1

Code to indicate whether data enclosed by this interchange envelope is test, production or information

I
Information
P
Production Data
T
Test Data
ISA-16
I15
Component Element Separator
Required
String (AN)
Min 1Max 1

Type is not applicable; the component element separator is a delimiter and not a data element; this field provides the delimiter used to separate component data elements within a composite data structure; this value must be different than the data element separator and the segment terminator

>
Component Element Separator

Functional Group Header

RequiredMax use 1

To indicate the beginning of a functional group and to provide control information

Example
GS-01
479
Functional Identifier Code
Required

Code identifying a group of application related transaction sets

FA
Functional Acknowledgment (997)
GS-02
142
Application Sender's Code
Required
String (AN)
Min 2Max 15

Code identifying party sending transmission; codes agreed to by trading partners

GS-03
124
Application Receiver's Code
Required
String (AN)
Min 2Max 15

Code identifying party receiving transmission. Codes agreed to by trading partners

GS-04
373
Date
Required
CCYYMMDD format

Date expressed as CCYYMMDD

GS-05
337
Time
Required
HHMM, HHMMSS, HHMMSSD, or HHMMSSDD format

Time expressed in 24-hour clock time as follows: HHMM, or HHMMSS, or HHMMSSD, or HHMMSSDD, where H = hours (00-23), M = minutes (00-59), S = integer seconds (00-59) and DD = decimal seconds; decimal seconds are expressed as follows: D = tenths (0-9) and DD = hundredths (00-99)

GS-06
28
Group Control Number
Required
Numeric (N0)
Min 1Max 9

Assigned number originated and maintained by the sender

GS-07
455
Responsible Agency Code
Required
Identifier (ID)
Min 1Max 2

Code used in conjunction with Data Element 480 to identify the issuer of the standard

T
Transportation Data Coordinating Committee (TDCC)
X
Accredited Standards Committee X12
GS-08
480
Version / Release / Industry Identifier Code
Required

Code indicating the version, release, subrelease, and industry identifier of the EDI standard being used, including the GS and GE segments; if code in DE455 in GS segment is X, then in DE 480 positions 1-3 are the version number; positions 4-6 are the release and subrelease, level of the version; and positions 7-12 are the industry or trade association identifiers (optionally assigned by user); if code in DE455 in GS segment is T, then other formats are allowed

004010
Draft Standards Approved for Publication by ASC X12 Procedures Review Board through October 1997

Heading

ST
010
Heading > ST

Transaction Set Header

RequiredMax use 1

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

  • 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.
Example
ST-01
143
Transaction Set Identifier Code
Required

Code uniquely identifying a Transaction Set

  • 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).
997
Functional Acknowledgment
ST-02
329
Transaction Set Control Number
Required
Numeric (N)
Min 4Max 9

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

AK1
020
Heading > AK1

Functional Group Response Header

RequiredMax use 1

To start acknowledgment of a functional group

  • 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
AK1-01
479
Functional Identifier Code
Required
Identifier (ID)
Min 2Max 2

Code identifying a group of application related transaction sets

  • AK101 is the functional ID found in the GS segment (GS01) in the functional group being acknowledged.
AK1-02
28
Group Control Number
Required
Numeric (N0)
Min 1Max 9

Assigned number originated and maintained by the sender

  • AK102 is the functional group control number found in the GS segment in the functional group being acknowledged.
AK2 Loop
OptionalMax 999999
AK2
030
Heading > AK2 Loop > AK2

Transaction Set Response Header

RequiredMax use 1

To start acknowledgment of a single transaction set

  • 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
AK2-01
143
Transaction Set Identifier Code
Required
Identifier (ID)
Min 3Max 3

Code uniquely identifying a Transaction Set

  • AK201 is the transaction set ID found in the ST segment (ST01) in the transaction set being acknowledged.
AK2-02
329
Transaction Set Control Number
Required
Numeric (N)
Min 4Max 9

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

  • AK202 is the transaction set control number found in the ST segment in the transaction set being acknowledged.
AK3 Loop
OptionalMax 999999
AK3
040
Heading > AK2 Loop > AK3 Loop > AK3

Data Segment Note

RequiredMax use 1

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

  • 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
AK3-01
721
Segment ID Code
Required
Identifier (ID)
Min 2Max 3

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

AK3-02
719
Segment Position in Transaction Set
Required
Numeric (N0)
Min 1Max 6

The numerical count position of this data segment from the start of the transaction set: the transaction set header is count position 1

AK3-03
447
Loop Identifier Code
Optional
String (AN)
Min 1Max 6

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

Usage notes

997's submitted to CommerceHub may contain the AK3_03 element, however 997's generated by CommerceHub will not contain it.

AK3-04
720
Segment Syntax Error Code
Optional

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

1
Unrecognized segment ID
2
Unexpected segment
3
Mandatory segment missing
4
Loop Occurs Over Maximum Times
5
Segment Exceeds Maximum Use
6
Segment Not in Defined Transaction Set
7
Segment Not in Proper Sequence
8
Segment Has Data Element Errors
AK4
050
Heading > AK2 Loop > AK3 Loop > AK4

Data Element Note

OptionalMax use 99

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

Example
AK4-01
C030
Position in Segment
Required
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
C030-01
722
Element Position in Segment
Required
Numeric (N0)
Min 1Max 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

C030-02
1528
Component Data Element Position in Composite
Optional
Numeric (N0)
Min 1Max 2

To identify the component data element position within the composite that is in error

AK4-02
725
Data Element Reference Number
Optional
Numeric (N0)
Min 1Max 4

Reference number used to locate the data element in the Data Element Dictionary

Usage notes

997's submitted to CommerceHub may contain the AK4_02 element, however 997's generated by CommerceHub will not contain it.

AK4-03
723
Data Element Syntax Error Code
Required

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

1
Mandatory data element missing
2
Conditional required data element missing.
3
Too many data elements.
4
Data element too short.
5
Data element too long.
6
Invalid character in data element.
7
Invalid code value.
8
Invalid Date
9
Invalid Time
10
Exclusion Condition Violated
AK4-04
724
Copy of Bad Data Element
Optional
String (AN)
Min 1Max 99

This is a copy of the data element in error

  • In no case shall a value be used for AK404 that would generate a syntax error, e.g., an invalid character.
AK3 Loop end
AK5
060
Heading > AK2 Loop > AK5

Transaction Set Response Trailer

RequiredMax use 1

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

Example
AK5-01
717
Transaction Set Acknowledgment Code
Required

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

Usage notes

997's submitted to CommerceHub can contain any of the AK5_01 codes, however 997's generated by CommerceHub will only contain 'A' or 'R'.

A
Accepted
E
Accepted But Errors Were Noted
M
Rejected, Message Authentication Code (MAC) Failed
R
Rejected
W
Rejected, Assurance Failed Validity Tests
X
Rejected, Content After Decryption Could Not Be Analyzed
AK5-02
718
Transaction Set Syntax Error Code
Optional

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

1
Transaction Set Not Supported
2
Transaction Set Trailer Missing
3
Transaction Set Control Number in Header and Trailer Do Not Match
4
Number of Included Segments Does Not Match Actual Count
5
One or More Segments in Error
6
Missing or Invalid Transaction Set Identifier
7
Missing or Invalid Transaction Set Control Number
8
Authentication Key Name Unknown
9
Encryption Key Name Unknown
10
Requested Service (Authentication or Encrypted) Not Available
11
Unknown Security Recipient
12
Incorrect Message Length (Encryption Only)
13
Message Authentication Code Failed
15
Unknown Security Originator
16
Syntax Error in Decrypted Text
17
Security Not Supported
19
S1E Security End Segment Missing for S1S Security Start Segment
20
S1S Security Start Segment Missing for S1E Security End Segment
21
S2E Security End Segment Missing for S2S Security Start Segment
22
S2S Security Start Segment Missing for S2E Security End Segment
23
Transaction Set Control Number Not Unique within the Functional Group
24
S3E Security End Segment Missing for S3S Security Start Segment
25
S3S Security Start Segment Missing for S3E Security End Segment
26
S4E Security End Segment Missing for S4S Security Start Segment
27
S4S Security Start Segment Missing for S4E Security End Segment
AK5-03
718
Transaction Set Syntax Error Code
Optional
Identifier (ID)
Min 1Max 3

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

Usage notes

997's submitted to CommerceHub may contain the AK5_03 element, however 997's generated by CommerceHhub will not contain it.

AK5-04
718
Transaction Set Syntax Error Code
Optional
Identifier (ID)
Min 1Max 3

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

Usage notes

997's submitted to CommerceHub may contain the AK5_04 element, however 997's generated by CommerceHhub will not contain it.

AK5-05
718
Transaction Set Syntax Error Code
Optional
Identifier (ID)
Min 1Max 3

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

Usage notes

997's submitted to CommerceHub may contain the AK5_05 element, however 997's generated by CommerceHhub will not contain it.

AK5-06
718
Transaction Set Syntax Error Code
Optional
Identifier (ID)
Min 1Max 3

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

Usage notes

997's submitted to CommerceHub may contain the AK5_06 element, however 997's generated by CommerceHhub will not contain it.

AK2 Loop end
AK9
070
Heading > AK9

Functional Group Response Trailer

RequiredMax use 1

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

Example
AK9-01
715
Functional Group Acknowledge Code
Required

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

  • If AK901 contains the value "A" or "E", then the transmitted functional group is accepted.
A
Accepted
E
Accepted, But Errors Were Noted.
M
Rejected, Message Authentication Code (MAC) Failed
P
Partially Accepted, At Least One Transaction Set Was Rejected
R
Rejected
W
Rejected, Assurance Failed Validity Tests
X
Rejected, Content After Decryption Could Not Be Analyzed
AK9-02
97
Number of Transaction Sets Included
Required
Numeric (N0)
Min 1Max 6

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

AK9-03
123
Number of Received Transaction Sets
Required
Numeric (N0)
Min 1Max 6

Number of Transaction Sets received

AK9-04
2
Number of Accepted Transaction Sets
Required
Numeric (N0)
Min 1Max 6

Number of accepted Transaction Sets in a Functional Group

AK9-05
716
Functional Group Syntax Error Code
Optional
Identifier (ID)
Min 1Max 3

Code indicating error found based on the syntax editing of the functional group header and/or trailer

Usage notes

997's submitted to CommerceHub can contain any of the AK9_05 error codes, however 997's generated by CommerceHub will only contain '2', '4' or '5'.

AK9-06
716
Functional Group Syntax Error Code
Optional
Identifier (ID)
Min 1Max 3

Code indicating error found based on the syntax editing of the functional group header and/or trailer

Usage notes

997's submitted to CommerceHub may contain the AK9_06 element, however 997's generated by CommerceHub will not contain it.

AK9-07
716
Functional Group Syntax Error Code
Optional
Identifier (ID)
Min 1Max 3

Code indicating error found based on the syntax editing of the functional group header and/or trailer

Usage notes

997's submitted to CommerceHub may contain the AK9_07 element, however 997's generated by CommerceHub will not contain it.

AK9-08
716
Functional Group Syntax Error Code
Optional
Identifier (ID)
Min 1Max 3

Code indicating error found based on the syntax editing of the functional group header and/or trailer

Usage notes

997's submitted to CommerceHub may contain the AK9_08 element, however 997's generated by CommerceHub will not contain it.

AK9-09
716
Functional Group Syntax Error Code
Optional
Identifier (ID)
Min 1Max 3

Code indicating error found based on the syntax editing of the functional group header and/or trailer

Usage notes

997's submitted to CommerceHub may contain the AK9_09 element, however 997's generated by CommerceHub will not contain it.

SE
080
Heading > SE

Transaction Set Trailer

RequiredMax use 1

To indicate the end of the transaction set and provide the count of the transmitted segments (including the beginning (ST) and ending (SE) segments)

Example
SE-01
96
Number of Included Segments
Required
Numeric (N0)
Min 1Max 10

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

SE-02
329
Transaction Set Control Number
Required
Numeric (N)
Min 4Max 9

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

Heading end

Functional Group Trailer

RequiredMax use 1

To indicate the end of a functional group and to provide control information

Example
GE-01
97
Number of Transaction Sets Included
Required
Numeric (N0)
Min 1Max 6

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

GE-02
28
Group Control Number
Required
Numeric (N0)
Min 1Max 9

Assigned number originated and maintained by the sender

Interchange Control Trailer

RequiredMax use 1

To define the end of an interchange of zero or more functional groups and interchange-related control segments

Example
IEA-01
I16
Number of Included Functional Groups
Required
Numeric (N0)
Min 1Max 5

A count of the number of functional groups included in an interchange

IEA-02
I12
Interchange Control Number
Required
Numeric (N0)
Min 9Max 9

A control number assigned by the interchange sender

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