X12 997 Functional Acknowledgment

X12 Release 7010

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.

Delimiters

• ~ Segment
• * Element
• > Component
• ^ Repetition

ISA Interchange Control Header

Required · Max use 1

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

ISA-01 · I01 · Authorization Information Qualifier · Required · Identifier (ID)

Code identifying 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 10 Max 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 · Identifier (ID)

Code identifying 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 10 Max 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 2 Max 2

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

Codes

• 01: Duns (Dun & Bradstreet)
• 02: SCAC (Standard Carrier Alpha Code)
• 03: FMC (Federal Maritime Commission)
• 04: IATA (International Air Transport Association)
• 07: Global Location Number (GLN)
• 08: UCC EDI Communications ID (Comm ID)
• 09: X.121 (CCITT)
• 10: Department of Defense (DoD) Activity Address Code
• 11: DEA (Drug Enforcement Administration)
• 12: Phone (Telephone Companies)
• 13: UCS Code (The UCS Code is a Code Used for UCS Transmissions; it includes the Area Code and Telephone Number of a Modem; it Does Not Include Punctuation, Blanks or Access Code)
• 14: Duns Plus Suffix
• 15: Petroleum Accountants Society of Canada Company Code
• 16: Duns Number With 4-Character Suffix
• 17: American Bankers Association (ABA) Transit Routing Number (Including Check Digit, 9 Digit)
• 18: Association of American Railroads (AAR) Standard Distribution Code
• 19: EDI Council of Australia (EDICA) Communications ID Number (COMM ID)
• 20: Health Industry Number (HIN)
• 21: Integrated Postsecondary Education Data System, or (IPEDS)
• 22: Federal Interagency Commission on Education, or FICE
• 23: National Center for Education Statistics Common Core of Data 12-Digit Number for Pre-K-Grade 12 Institutes, or NCES
• 24: The College Board's Admission Testing Program 4-Digit Code of Postsecondary Institutes, or ATP
• 25: ACT, Inc. 4-Digit Code of Postsecondary Institutions.
• 26: Statistics of Canada List of Postsecondary Institutions
• 27: Carrier Identification Number as assigned by Centers for Medicare & Medicaid Services (CMS)
• 28: Fiscal Intermediary Identification Number as assigned by Centers for Medicare & Medicaid Services (CMS)
• 29: Medicare Provider and Supplier Identification Number as assigned by Centers for Medicare & Medicaid Services (CMS)
• 30: U.S. Federal Tax Identification Number
• 31: Jurisdiction Identification Number Plus 4 as assigned by the International Association of Industrial Accident Boards and Commissions (IAIABC)
• 32: U.S. Federal Employer Identification Number (FEIN)
• 33: National Association of Insurance Commissioners Company Code (NAIC)
• 34: Medicaid Provider and Supplier Identification Number as assigned by individual State Medicaid Agencies in conjunction with Centers for Medicare & Medicaid Services (CMS)
• 35: Statistics Canada Canadian College Student Information System Institution Codes
• 36: Statistics Canada University Student Information System Institution Codes
• 37: Society of Property Information Compilers and Analysts
• 38: The College Board and ACT, Inc. 6-Digit Code List of Secondary Institutions
• AM: Association Mexicana del Codigo de Producto (AMECOP) Communication ID
• NR: National Retail Merchants Association (NRMA) - Assigned
• SA: User Identification Number as assigned by the Safety and Fitness Electronic Records (SAFER) System
• SN: Standard Address Number
• ZZ: Mutually Defined

ISA-06 · I06 · Interchange Sender ID · Required · String (AN) · Min 15 Max 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 2 Max 2

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

Codes

• 01: Duns (Dun & Bradstreet)
• 02: SCAC (Standard Carrier Alpha Code)
• 03: FMC (Federal Maritime Commission)
• 04: IATA (International Air Transport Association)
• 07: Global Location Number (GLN)
• 08: UCC EDI Communications ID (Comm ID)
• 09: X.121 (CCITT)
• 10: Department of Defense (DoD) Activity Address Code
• 11: DEA (Drug Enforcement Administration)
• 12: Phone (Telephone Companies)
• 13: UCS Code (The UCS Code is a Code Used for UCS Transmissions; it includes the Area Code and Telephone Number of a Modem; it Does Not Include Punctuation, Blanks or Access Code)
• 14: Duns Plus Suffix
• 15: Petroleum Accountants Society of Canada Company Code
• 16: Duns Number With 4-Character Suffix
• 17: American Bankers Association (ABA) Transit Routing Number (Including Check Digit, 9 Digit)
• 18: Association of American Railroads (AAR) Standard Distribution Code
• 19: EDI Council of Australia (EDICA) Communications ID Number (COMM ID)
• 20: Health Industry Number (HIN)
• 21: Integrated Postsecondary Education Data System, or (IPEDS)
• 22: Federal Interagency Commission on Education, or FICE
• 23: National Center for Education Statistics Common Core of Data 12-Digit Number for Pre-K-Grade 12 Institutes, or NCES
• 24: The College Board's Admission Testing Program 4-Digit Code of Postsecondary Institutes, or ATP
• 25: ACT, Inc. 4-Digit Code of Postsecondary Institutions.
• 26: Statistics of Canada List of Postsecondary Institutions
• 27: Carrier Identification Number as assigned by Centers for Medicare & Medicaid Services (CMS)
• 28: Fiscal Intermediary Identification Number as assigned by Centers for Medicare & Medicaid Services (CMS)
• 29: Medicare Provider and Supplier Identification Number as assigned by Centers for Medicare & Medicaid Services (CMS)
• 30: U.S. Federal Tax Identification Number
• 31: Jurisdiction Identification Number Plus 4 as assigned by the International Association of Industrial Accident Boards and Commissions (IAIABC)
• 32: U.S. Federal Employer Identification Number (FEIN)
• 33: National Association of Insurance Commissioners Company Code (NAIC)
• 34: Medicaid Provider and Supplier Identification Number as assigned by individual State Medicaid Agencies in conjunction with Centers for Medicare & Medicaid Services (CMS)
• 35: Statistics Canada Canadian College Student Information System Institution Codes
• 36: Statistics Canada University Student Information System Institution Codes
• 37: Society of Property Information Compilers and Analysts
• 38: The College Board and ACT, Inc. 6-Digit Code List of Secondary Institutions
• AM: Association Mexicana del Codigo de Producto (AMECOP) Communication ID
• NR: National Retail Merchants Association (NRMA) - Assigned
• SA: User Identification Number as assigned by the Safety and Fitness Electronic Records (SAFER) System
• SN: Standard Address Number
• ZZ: Mutually Defined

ISA-08 · I07 · Interchange Receiver ID · Required · String (AN) · Min 15 Max 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 · Date (DT) · YYMMDD format

Date of the interchange

ISA-10 · I09 · Interchange Time · Required · Time (TM) · HHMM format

Time of the interchange

ISA-11 · I65 · Repetition Separator · Required · String (AN) · Min 1 Max 1

Type is not applicable; the repetition separator is a delimiter and not a data element; this field provides the delimiter used to separate repeated occurrences of a simple data element or a composite data structure; this value must be different than the data element separator, component element separator, and the segment terminator

• ^: Repetition Separator

ISA-12 · I11 · Interchange Control Version Number Code · Required · Identifier (ID)

Code specifying the version number of the interchange control segments

• 00701: Standards Approved for Publication by ASC X12 Procedures Review Board through October 2013

ISA-13 · I12 · Interchange Control Number · Required · Numeric (N0) · Min 9 Max 9

A control number assigned by the interchange sender

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

Code indicating sender's request for an interchange acknowledgment

• 0: No Interchange Acknowledgment Requested
• 1: Interchange Acknowledgment Requested (TA1)
• 2: Interchange Acknowledgment Requested only when Interchange is "Rejected Because Of Errors"
• 3: Interchange Acknowledgment Requested only when Interchange is "Rejected Because Of Errors" or "Accepted but Errors are Noted"

ISA-15 · I14 · Interchange Usage Indicator Code · Required · Identifier (ID) · Min 1 Max 1

Code indicating 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 1 Max 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

GS Functional Group Header

Required · Max use 1

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

GS-01 · 479 · Functional Identifier Code · Required · Identifier (ID)

Code identifying a group of application related transaction sets

• FA: Functional or Implementation Acknowledgment Transaction Sets (997, 999)

GS-02 · 142 · Application Sender's Code · Required · String (AN) · Min 2 Max 15

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

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

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

GS-04 · 373 · Date · Required · Date (DT) · CCYYMMDD format

Date expressed as CCYYMMDD where CC represents the first two digits of the calendar year

GS-05 · 337 · Time · Required · Time (TM) · 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 1 Max 9

Assigned number originated and maintained by the sender

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

Code identifying the issuer of the standard; this code is used in conjunction with Data Element 480

• T: Transportation Data Coordinating Committee (TDCC)
• X: Accredited Standards Committee X12

GS-08 · 480 · Version / Release / Industry Identifier Code · Required · String (AN)

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

• 007010: Standards Approved for Publication by ASC X12 Procedures Review Board through October 2013

Heading

0100 Heading > ST

ST Transaction Set Header

Required · Max 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.
• There is only one Functional Acknowledgment Transaction Set per acknowledged functional group.
• Only one acknowledgement can be sent for each functional group. The acknowledgment can be either a single Transaction Set 997 or a single Transaction Set 999 as mutually agreed upon by the trading partners. Different Functional Groups may have different acknowledgements, e.g. some Functional Groups, within the same interchange, may be acknowledged with the 997 and others with the 999.

ST-01 · 143 · Transaction Set Identifier Code · Required · Identifier (ID)

Code identifying a Transaction Set

• 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).

• 997: Functional Acknowledgment

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

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

0200 Heading > AK1

AK1 Functional Group Response Header

Required · Max use 1

To start acknowledgment of a functional group

• 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.
• The Functional Acknowledgement is generated at the point of translation, intended for the originator (not any intermediate parties).
• 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.

AK1-01 · 479 · Functional Identifier Code · Required · Identifier (ID) · Min 2 Max 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 1 Max 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.

AK1-03 · 480 · Version / Release / Industry Identifier Code · Optional · String (AN) · Min 1 Max 12

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

• AK103 is the version release industry identifier code in the GS segment (GS08) in the functional group being acknowledged.

AK2 Loop Optional Max >1

0300 Heading > AK2 Loop > AK2

AK2 Transaction Set Response Header

Required · Max use 1

To start acknowledgment of a single transaction set

• 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.

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

Code 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 4 Max 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.

AK2-03 · 1705 · Implementation Convention Reference · Optional · String (AN) · Min 1 Max 35

Reference assigned to identify Implementation Convention

• AK203 is the implementation convention reference, if any, found in the ST segment (ST03) in the transaction set being acknowledged.

AK3 Loop Optional Max >1

0400 Heading > AK2 Loop > AK3 Loop > AK3

AK3 Data Segment Note

Required · Max 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 or proper subsets of 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).

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

Code specifying 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 1 Max 10

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 1 Max 6

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

AK3-04 · 720 · Segment Syntax Error Code · Optional · Identifier (ID) · Min 1 Max 3

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

0500 Heading > AK2 Loop > AK3 Loop > AK4

AK4 Data Element Note

Optional · Max use 99

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

AK4-01 · C030 · Position in Segment · Required Max use 1 · Code indicating the relative position of the simple data element or composite data structure in error within a segment, count beginning with 1 for the position immediately following the segment ID; additionally indicating the relative position of a repeating structure in error, count beginning with 1 for the position immediately following the preceding element separator; additionally indicating the relative position of a component of a composite data structure in error, count beginning with 1 for the position following the preceding element or repetition separator

C030-01 · 722 · Element Position in Segment · Required · Numeric (N0) · Min 1 Max 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 1 Max 2

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

C030-03 · 1686 · Repeating Data Element Position · Optional · Numeric (N0) · Min 1 Max 4

To identify the specific repetition of a data element that is in error

AK4-02 · 725 · Data Element Reference Code · Optional · String (AN) · Min 1 Max 4

Code identifying the location of the data element in the Data Element Dictionary

AK4-03 · 723 · Data Element Syntax Error Code · Required · Identifier (ID) · Min 1 Max 3

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

AK4-04 · 724 · Copy of Bad Data Element · Optional · String (AN) · Min 1 Max 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.

0600 Heading > AK2 Loop > AK5

AK5 Transaction Set Response Trailer

Required · Max use 1

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

AK5-01 · 717 · Transaction Set Acknowledgment Code · Required · Identifier (ID) · Min 1 Max 1

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

AK5-02 · 718 · Transaction Set Syntax Error Code · Optional · Identifier (ID) · Min 1 Max 3

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

AK5-03 · 718 · Transaction Set Syntax Error Code · Optional · Identifier (ID) · Min 1 Max 3

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

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

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

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

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

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

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

0700 Heading > AK9

AK9 Functional Group Response Trailer

Required · Max 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

AK9-01 · 715 · Functional Group Acknowledge Code · Required · Identifier (ID) · Min 1 Max 1

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.

AK9-02 · 97 · Number of Transaction Sets Included · Required · Numeric (N0) · Min 1 Max 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 1 Max 6

Number of Transaction Sets received

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

Number of accepted Transaction Sets in a Functional Group

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

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

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

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

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

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

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

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

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

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

0800 Heading > SE

SE Transaction Set Trailer

Required · Max 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)

SE-01 · 96 · Number of Included Segments · Required · Numeric (N0) · Min 1 Max 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 4 Max 9

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

GE Functional Group Trailer

Required · Max use 1

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

GE-01 · 97 · Number of Transaction Sets Included · Required · Numeric (N0) · Min 1 Max 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 1 Max 9

Assigned number originated and maintained by the sender

IEA Interchange Control Trailer

Required · Max use 1

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

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

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

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

A control number assigned by the interchange sender

EDI Samples

Sample

ISA*00*          *00*          *ZZ*SENDER         *ZZ*RECEIVER       *231102*0350*^*00701*000000001*0*T*>
GS*FA*SENDERGS*RECEIVERGS*20231102*035046*000000001*X*007010
ST*997*0001
AK1*SR*34567
AK2*404*345670001
AK5*A
AK9*A*1*1*1
SE*6*0001
GE*1*000000001
IEA*1*000000001