ARCOS Handbook - Section 7.0

All ARCOS reports are initially subjected to two major procedures, the control record edit and the transaction record edit. These procedures check the reliability of the incoming data and determine whether and to what extent further processing will occur.

7.2 CONTROL RECORD EDIT

This initial procedure checks the control record submitted with each of the ARCOS reports. ARCOS reports that pass the validity tests performed on the control record continue on to the transaction record edit. An ARCOS report that fails the control record edit may be returned to the ARCOS registrant or central reporter for correction and resubmission. Returned reports are accompanied by a letter of explanation. Depending upon the nature and volume of the errors detected during the control record edit, the Data Systems Unit (ARCOS) may correct and resubmit a report after obtaining permission from the ARCOS registrant or central reporter.

7.3 TRANSACTION RECORD EDIT

The transaction record edit procedure examines all data fields in each incoming transaction record and rejects those records that do not meet pre-established criteria. This procedure produces the Daily Transaction Processing Error Report which is an error status report. The Daily Transaction Processing Error Report will either list all the transaction records with errors or contain a statement indicating that the current ARCOS report did not have any errors.

Receipt of the Daily Transaction Processing Error Report with no errors means that all the submitted transaction records were added to the ARCOS Master Transaction File. Exhibit 7.1: Accepted Report, illustrates the status report produced when no errors are detected.

When errors are detected, the Daily Transaction Processing Error Report lists each transaction record in error, the error code, a description of the error, and a correction number. These erroneous transaction records must be corrected and resubmitted with the next ARCOS report. Exhibit 7.2: Rejected Report, illustrates the report produced when transaction records fail the data reliability tests. Exhibits 7.1 and 7.2 are actual reports with the identifying data obliterated.

7.4 TRANSACTION ERROR CODES

E01	Reporting Registrant Number Doesn’t Match the One on the Control Record Error Code E01 is issued when the Reporting Registrant’s DEA registration number on the transaction record does not match the Reporting Registrant’s DEA number on the control record.
E06	Delete Indicator Field Must Be Blank Or Must Be The Letters "A," "D," or "I" The Action Indicator (formerly Delete Indicator) field must be blank or contain either an "A," "D," or "I." If it contains any other value, Error Code E06 is issued.
E07	Delete Indicator Field Must Be Blank If A Correction Number Is Present Error Code E07 is issued when the Correction Number (formerly Lot Number) field is *not* blank and the Action Indicator (formerly Delete Indicator) field contains an "A," "D," or "I."
E12	Transaction Date Contains An Invalid Month And/Or An Invalid Day Error Code E12 is issued when: The Month is less than "01" or greater than "12" The Day is less than "01" or greater than the maximum number of days in the month The Year is not numeric
E13	Transaction Date Must Be The Last Day Of The Report Month Or Quarter Error Code E13 refers to Transaction Code "7" *only. The Transaction Date field must* be either the end of the month or the end of the quarter depending on the reporting frequency of the reporting registrant. Otherwise, Error Code E13 is issued.
E14	Transaction Code Requires A Year-End Date In The Transaction Date Field Error Code E14 refers to inventory transaction codes "3," "8," and "4" *only*. This error code is issued when the transaction date is not the last day of the year. The transaction date format is: automated reporting: "1231XX" where "XX" is the year (last two-digits) in which the inventory was taken. manual reporting: "X1231" where "X" is the year (last digit) in which the inventory was taken.
E15	Transaction Date Is Later Than The Run Date Of The ARCOS 2 Edit Program The "run date" is the computer processing date. Error Code E15 is issued when the Transaction Date is the same or later than (i.e., in the future) the computer processing date. Transactions cannot be reported before they have occurred.
E16	Transaction Date Is Not Within The Reporting Registrants Report Period Error Code E16 is issued when the Transaction Date is before or after the current reporting period *and* the transaction is *not* a correction, *not* a deletion, *not* an adjustment, *and not* a late transaction. The current reporting period is identified by the ending date and the reporting frequency ("M" or "Q") entered on the control record.
E17	Transaction Date Isn’t Within The 2 Year Date Range Of The ARCOS System The active ARCOS data base holds 24 months of data beginning with January 1, 1997. Transaction Records that have been in the active data base are archived after 24 months. Error Code E17 is issued when the transaction date is *not* within this range.
E21	Correction Number Entered Is Invalid. It Must Be Numeric Error Code E21 is issued when the Error Correction Number field contains an invalid correction number or non-numeric data.
E22	Correction Number Is Not In The Error File Error Code E22 is issued when the Error Correction Number on a Correction Transaction does *not* match a number in the Error file.
E25	The ARCOS Edit Still Found Errors On The Corrected Transaction Error Code E25 is issued when a transaction flagged as a correction remains incorrect or contains a new error.
E28	Data Entered In The Quantity Field Is Invalid. It Must Be Numeric Error Code E28 is issued when the Quantity field contains alphabetic or special characters. The Quantity field *must only* contain numeric data. This field is eight (8) digits in length for automated media and six (6) digits in length for manual media, including leading zeros. A zero quantity is invalid for all transaction codes, except for Transaction Code 5. The Quantity field is not checked for Transaction Codes F, 7, and 8.
E31	The Unit Value Entered Cannot Be Used With The Entered NDC Number NDC identifies a finished dosage unit product: Error Code E31 is issued when the Unit field is *not* blank, "D," or "K." NDC identifies a raw bulk product ( package code): Error Code E31 is issued when the Unit field is not** a "1,""2," "3," "4," "5," or "6."
E32	Unit Value Must Be Blank, "D," "K," "1," "2," "3," "4," "5," or "6." Error Code E32 is issued when the Unit field is *not* blank, "D," "K," "1," "2," "3," "4," "5", or "6."
E35	Strength Must Be Blank For Bulk Finished Or 0001 To 1000 For Bulk Raw When the NDC identifies a *finished bulk non-raw* product: The Strength field *must* be blank. Otherwise, Error Code E35 is issued. When the NDC identifies a *raw bulk* product: The Strength field *must* contain a value from "0001" to "1000". Otherwise, Error Code E35 is issued.
E36	Strength Is Invalid. Strength Must Be Blank Or Numeric Error Code E36 is issued when the Strength field contains alphabetic or special characters. This field must be blank or contain a numeric value.
E40	Transaction Code Is Invalid. See The ARCOS Handbook For Valid Codes The transaction code must be one of the following: "S," "P," "R," "Y," "T," "W," "M," "G," "Z," "N," "U," "V," "Q," "K," "J," "L," "X," "F," "1," "3," "4,, "5," "7,"or "8." Otherwise, Error Code E40 is issued.
E41	Transaction Code Is Reserved For Drug Manufacturers Only Error Code E41 is issued when the reporting registrant is *not* a manufacturer, but reports a transaction using one of the following manufacturing transaction codes: "W," "M," "N," "U," "Q," "K," "J," "L," or "4."
E42	Transaction Code Requires Associate Registrant Number To Be Blank Error Code E42 is issued when one of the following transaction codes is used: "T," "W," "M, "L," "N," "U," "Q," "J," "K," "F," "1," "3," "4," "5," "7," or "8" and the Associate Registration Number field (Field 7) is *not* blank.
E43	Associate Registrant Number Requires Transaction Code "Y," or "G," or "Z" Error Code E43 is issued when the Associate Registrant Number field (Field 7) contains a DEA registration number for a DEA designated office or business and the transaction code is not Transaction Code Y, Transaction Code G, or Transaction Code Z.
E44	Transaction Code Conflicts With The NDC Number’s CSA Schedule Contact the Data Systems Unit (ARCOS) when Error Code 44 is issued. This error code applies to manufacturers *only*. Certain drug schedules must be reported for certain manufacturing transaction codes.
E45	Transaction Code Requires An Associate Registrant Number Entry Error Code E45 is issued when the transaction code is "S," "P," "R," "Y," "G," "Z," "V," or "X" *and* the Associate Registrant Number field (Field 7) does *not* contain a valid DEA registration number or one of the following entries, left justified: "RECALL," "OFFICER," "CIVILDEF," "UNKNOWN," "VESSELS," "NATIVE," or "MILITARY."
E46	Associate Registrant Number Is Invalid For Transaction Code "Y/G/Z" Error Code E46 is issued when: the firm holding the DEA registration number entered in the Associate Registrant Number field (Field 7) is *not* authorized to handle a *Transaction Code Y* activity (destruction of controlled substances) or the firm holding the DEA registration number entered in the Associate Registrant Number field (Field 7) is *not* authorized to handle a *Transaction Code G or Z* activity (controlled substances supplied or received by government).
E47	Associate Registrant Number Can’t Equal Reporting Registrant Number Error Code E47 is issued when the Associate Registrant Number (Field 7) is the same as the Reporting Registrant Number (Field 1). These two fields *must not* contain the same data.
E48	Associate Registrant Number Is Not A Valid DEA Registrant Number Error Code E48 is issued when the DEA registration number entered in the Associate Registrant Number field (Field 7) is *not* found on DEA’s master list of valid registration numbers.
E49	Associate Registrant Number Is Invalid For The Transaction Code Error Code E49 is issued when the Associate Registrant Number field (Field 7) contains the entry "CIVILDEF," "RECALL," "OFFICER," "UNKNOWN, "VESSELS," "NATIVES," OR "MILITARY" and the corresponding transaction code entered in the Transaction Code field (Field 2) is incorrect. The correct pairing for the Associate Registrant Number field (Field 7) and the Transaction Code field is:

7.5 CORRECTING TRANSACTION RECORDS

Error processing for both ARCOS registrants and DEA has been simplified and streamlined. For registrants submitting ARCOS reports on magnetic media (automated), corrections, deletions, adjustments, and late transactions can be submitted along with the next monthly or quarterly report. There is no longer any need for errata media. Transactions for corrections, deletions, adjustments, and late items are placed after the last transaction in the current report. See Section 4, Control Record, for examples.

ARCOS registrants reporting on manual media (DEA Form 333), also submit corrections, deletions, adjustments, or late transactions along with the next monthly or quarterly report. As with reporting on magnetic media, reporters using the DEA Form 333 must keep the control record and its associated transactions together. Corrections, deletions, adjustments, and late transactions are coded on the DEA Form 333 after the last transaction of the current report. See Section 4, Control Record, for examples.

7.5.1 Error Categories

The following four types of transactions are used to correct errors and omissions in previously submitted ARCOS:

7.6 CORRECTION TRANSACTION

A Correction Transaction corrects a transaction that has been rejected by the data validation procedures. Rejected transaction records are listed in the Daily Transaction Processing Error Report and have been added to the ARCOS transaction error file.

7.6.1 Error Report

The Daily Transaction Processing Error Report will be mailed to each reporter after the transactions have been through the data validation procedures. The error report includes the following information:

The Correction Number can be found on the error report, listed under the errors for each transaction and labeled "Correction No." Exhibit 7.3: Sample Error Transactions are transactions as they appear on the error report. However, for these examples, the errors and the correction number are in bold-faced type and marked underneath with the "^" symbol.

7.6.2 Correction Process

A Correction Transaction must be submitted for each erroneous transaction to be corrected. To correct a rejected record, submit a correction transaction with the next quarterly or monthly report. Correction Transactions may be placed after the transactions for the current reporting period. See Exhibit 4.2: Record Placement for ARCOS Report and Exhibit 4.3: ARCOS Registrant’s Report.

7.6.3 Correction Record

The correction transaction record has two formats, one for automated reporting and one for manual reporting. They are the same formats as the ARCOS transaction record formats with one exception - - the addition of the correction number. The correction transaction record must contain:

7.6.4 Correction Number

A correction number is assigned to each erroneous transaction during the data validation process. This number is a unique, 8-digit, sequential number. There is only one correction number per erroneous transaction, even when a transaction has multiple errors.

7.6.4.1 Correction Number Format

The format for the correction number is: NNNNNNNN. Examples of this unique, sequential number are: 00000422, 00000423, and 00000424.

7.6.4.2 Correction Number Position

The correction number occupies the space formerly identified as the "Lot Number" field on the transaction record, Field 10 (automated media) and Field 9 (Manual Media, DEA Form 333). The field positions are:

7.6.5 Correction Transaction Examples

7.6.5.1 Automated Media

The following transaction would appear on the error report sent from DEA (ARCOS). For this example, the errors and correction number are in bold-faced type and marked underneath with the "^" symbol.

These errors must be corrected by including the following correction transaction in the next monthly or quarterly ARCOS report. For this example, the corrections and correction number are in bold-faced type and marked underneath with the "^" symbol.

7.6.5.2 Manual Media

These errors must be corrected by including the following correction transaction in the next monthly or quarterly ARCOS report. For this example, the errors and correction number are in bold-faced type and marked underneath with the "^" symbol.

7.7 DELETION TRANSACTION

7.7.1 Delete Process

The Deletion Transaction removes a transaction record from the Master Transaction File. A deletion record is submitted when the existing transaction record will not be replaced. To remove an existing record from the Master Transaction File submit a deletion record with the next monthly or quarterly report. Deletion records may be placed after the transaction records for the current reporting period. See Exhibit 4.2: Record Placement for ARCOS Report and Exhibit 4.3: ARCOS Registrant’s.

7.7.2 Deletion Record

The deletion record is a duplicate of the original transaction record plus the delete indicator. The deletion record must contain:

7.7.3 Deletion Examples

An ARCOS registrant wants to remove the following transaction record from the data base. Examples of both automated and manual reporting are provided. The action indicator "D" (delete), appears in bold-faced type and marked underneath with the "^" symbol.

7.8 ADJUSTMENT TRANSACTION

DEA (ARCOS) recognizes two types of transaction record flaws in ARCOS data: mistakes and errors. Errors are data flaws caught by the ARCOS programs during the data validation process. Transaction records containing errors are added to the Error Transaction File. These records must be corrected and resubmitted.

Mistakes are data flaws not caught by the ARCOS programs but discovered by the submitting ARCOS registrant. Transaction records containing mistakes are added to the Master Transaction File, since these records have met all the processing criteria. For example, the submitting ARCOS registrant enters "20" in the quantity field. This entry passes the data validity tests and the transaction record is added to the data base. However, the reporting registrant had originally intended to enter "200", but had mistakenly entered "20 ". That mistake would not be caught by the data validity tests. This transaction record with the incorrect, but valid data would be added to the Master Transaction File. This mistake must be rectified by using the adjustment transaction. An adjustment transaction revises a transaction record that has been added to the Master Transaction File.

7.8.1 Adjustment Process

The Adjustment Transaction corrects an existing ARCOS Master Transaction File record by replacing it. When an ARCOS registrant discovers a mistake in a previously submitted transaction, the registrant must wait until the Daily Transaction Processing Error Report is received from DEA (ARCOS) before taking any action. Whether or not the transaction is listed in the error report determines whether an Adjustment Transaction or a Correction Transaction must be submitted.

A transaction containing mistakes that can only be identified by the ARCOS registrant is not listed in the Error Report. In this case an Adjustment Transaction must be submitted to correct the mistake. A transaction containing both errors and mistakes is rejected and listed in the error report. However, only the errors are specifically identified and listed in the error report. Mistakes are not caught by the ARCOS programs, and therefore, are not specifically listed in the error report. A Correction Transaction must be used to correct this transaction record. See Section 7.6, Correction Transaction. Both the Adjustment Transaction or Correction Transaction must be submitted with the next monthly or quarterly ARCOS report after the error or mistake has been discovered. These transactions may be placed after the transactions for the current reporting period. See Exhibit 4.2: Record Placement for ARCOS Report and Exhibit 4.3: ARCOS Registrant’s Report.

7.8.2 Adjustment Records

An Adjustment Transaction consists of two records, the deletion record and the adjustment record

7.8.2.1 Deletion Record

The deletion record is the first record of the two records. It is a duplicate of the original transaction record plus the action indicator. The deletion record must contain:

7.8.2.2 Adjustment Record

The second record of the two records, the adjustment record, is the revised transaction record. The adjustment record must contain:

7.8.3 Adjustment Transaction Examples

7.8.3.1 Automated Media: Incorrect Quantity

In the original transaction the quantity field was mistakenly coded as "00000002." However, since this quantity met the editing criteria, the transaction was accepted and added to the Master Transaction File. This transaction record does not appear on the error report, but the original entry was incorrect and must be changed to the correct amount, "00000020"(i.e., from "2" to "20").

The following transaction, originally reported to DEA (ARCOS), does not appear on the Daily Transaction Processing Error Report. This indicates that the Adjustment Transaction, rather than the Correction Transaction, must be submitted to correct the mistake. For this example, the incorrect quantity field appears in bold-faced type and underneath with the "^" symbol.

The following adjustment pair was submitted to correct the quantity field. For this example, the quantity field and the action indicator (formerly delete indicator) field appear in bold-faced type and marked underneath with the "^" symbol.

7.8.3.2 Automated Media: Wrong Transaction Code

This next adjustment example changes an incorrect transaction code. A "sales" transaction record was mistakenly submitted. Originally, the transaction record should have been submitted as a "purchase" transaction.

The following transaction, originally reported to ARCOS, does not appear in the Daily Transaction Processing Error Report. This indicates that the Adjustment Transaction, rather than the Correction Transaction, must be submitted to correct the mistake. For this example, the incorrect transaction code field is in bold-faced type and marked underneath with the "^" symbol.

The following adjustment pair was submitted to correct the mistake in the transaction code field. For this example, the transaction code field and the action indicator (formerly Delete Indicator) field are in bold-faced type and marked underneath with the "^" symbol.

7.8.3.3 Manual Media: Incorrect Quantity

In the original transaction the quantity field was mistakenly coded as "000005." Nevertheless, this quantity met the editing criteria, the transaction record was accepted, and added to the data base. This transaction does not appear on the error report, but since the original entry was incorrect, it must be changed to the correct amount "000050" (i.e., from "5" to "50").

The following transaction, originally reported to ARCOS, does not appear on the Daily Transaction Processing Error Report. This indicates that the Adjustment Transaction, rather than the Correction Transaction, must be submitted to correct the mistake. For this example, the incorrect quantity field is in bold-faced type and marked underneath with the "^" symbol.

The following adjustment pair was submitted to correct the quantity field. For this example, the action indicator (formerly Delete Indicator) field and the quantity field are in bold-faced type and marked underneath with the "^" symbol.

ARCOS Registrant Handbook

Section 7.0 - Edit Listings

7.1 EDITING PROCESS