EDI 997 Functional Acknowledgment Reject Log Worksheet
A 997 Functional Acknowledgment tells you whether a trading partner could parse what you sent. When it comes back rejected, someone has to read the AK3 and AK4 segments, find the cause and resend. This worksheet gives the EDI desk one place to log each reject so patterns become visible.
| Date received | Trading partner | Transaction set | Group control no. | AK5 status | AK3 segment / AK4 element | Error code | Root cause | Owner | Docs affected | Minutes to resolve | Resent | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
A 997 only confirms syntax and envelope acceptance, not business acceptance. Keep a separate record of application-level rejections (for example an 855 that declines a line).
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How to use the log
Add one row per rejected or partially accepted acknowledgment. Pick the AK5 status, then record the AK3 segment position and the AK4 element position the partner cited, along with the element error code. Choose the root cause category honestly, because that column is what you will filter on at the monthly review. Record the number of documents in the rejected group and the minutes spent. Mark the resend status so open items are easy to find. Export to Excel to share with the partner or your integration vendor.
- AK5 A means accepted, E accepted with errors, R rejected
- AK3 names the segment in error, AK4 names the element
- Always note the group control number so you can trace it in your VAN or AS2 log
Reading the AK4 error codes
The AK4 element syntax error codes in the X12 standard are short numeric values. A code 1 means a mandatory element is missing, 2 a conditional element is missing, 3 too many elements, 4 and 5 too short or too long, 6 an invalid character, 7 an invalid code value, 8 an invalid date and 9 an invalid time. Code 7 is the most common in practice, usually a qualifier or unit of measure the partner does not accept. Code 1 often points to an ERP field that is empty for one customer or part.
Finding patterns
After a month, sort by root cause and by partner. Many map defects against one partner usually mean a spec change you were not told about. Many master data gaps point at the item or ship-to setup in your ERP, for example a missing GTIN or an unpopulated buyer part number on SAP customer-material info records or Infor customer item records. Envelope and control number issues usually trace to the translator or VAN configuration, not the map.
Common mistakes
Do not treat an accepted 997 as proof the partner processed the order. Do not resend before the root cause is fixed, since repeated rejects can trigger partner penalties or disable your connection. Do not overwrite the original control numbers when resending unless the partner guide requires a new interchange. Keep the evidence of the original transmission for disputes.
Frequently Asked Questions
What does a rejected 997 mean?
An AK5 status of R means the receiver could not accept the functional group because of syntax or envelope errors. The business content was not processed. You need to correct the data or map and resend, following the partner's guide on whether to use new control numbers.
Is an accepted 997 the same as the order being accepted?
No. A 997 with AK5 A only says the file was readable and correctly structured. Business acceptance of an order comes through an 855 purchase order acknowledgment or the partner's own order status messages.
How long should I keep 997 records?
Keep them at least as long as your contract and audit requirements demand, often several years for trade documents. Many companies match their retention to financial records. Check your customer agreements and local tax rules.
Do I need a 999 instead of a 997?
The 999 Implementation Acknowledgment is the newer acknowledgment used with later X12 versions and is required by some partners and healthcare rules. Many supply chain partners still use the 997. Follow each partner's specification.
If rejects keep coming from the same master data gaps, Netray can help build a read-only check that flags missing partner fields in your ERP before a document is sent.
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