ANSI ASC X9 X9.129-2016 Legal Orders Exchange.pdf

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1、 American National Standard for Financial Services ANSI X9.1292016 Legal Orders Exchange Accredited Standards Committee X9, Incorporated Financial Industry Standards Date Approved: September 9, 2016 American National Standards Institute American National Standards, Technical Reports, and Guides deve

2、loped through the Accredited Standards Committee X9, Inc., are copyrighted. Copying these documents for personal or commercial use outside X9 membership agreements is prohibited without express written permission of the Accredited Standards Committee X9, Inc. For additional information please contac

3、t ASC X9, Inc., 275 West Street, Suite 107, Annapolis, Maryland, 21401 USA. ANSI X9.1292016 ii ASC X9, Inc. 2016 All rights reserved This page intentionally left blank ANSI X9.1292016 ASC X9, Inc. 2016 All rights reserved iii Contents Page Legal Orders Exchange i Foreword . vii Introduction viii Leg

4、al Orders Exchange . 15 1 Scope 15 2 Purpose and Application 15 3 Terms and Definitions . 15 4 File Structure . 19 4.1 Record Types . 19 4.2 File Structure Requirements 19 File Structure Hierarchy Diagrams: 20 Examples of file structure sequence of request and response records: . 20 4.2.1 File Heade

5、r Record (Type 01) . 20 4.2.2 Requester Supplemental Information Record (Type 10) . 21 4.2.3 Request Content Record (Type 20) . 21 4.2.2 Request Debtor Record (Type 25) . 21 4.2.3 Request Account Record (Type 26) 21 4.2.4 Maintenance Request Record (Type 40) . 21 4.2.5 Response Supplemental Informat

6、ion Record (Type 11) . 21 4.2.6 Response Content Record (Type 30) 21 4.2.7 Follow Up Response Content Record (Type 31) 21 4.2.8 Response Debtor Record (Type 35) 21 4.2.9 Response Account Record (Type 36) . 21 4.2.10 Amended Response Content Record (Type 51) . 22 4.2.11 User Defined Record (Type 60-7

7、9) . 22 4.2.12 File Control Record (Type 99) 22 5 Data and Field Specifications 22 5.1 Generic Data Types . 22 5.1.1 Alphabetic (A) 22 5.1.2 Alphanumeric (AN) 22 5.1.3 Alphanumeric/special (ANS) 22 5.1.4 Blank (B) . 22 5.1.5 Numeric (N) 22 5.1.6 Numericblank (NB) 22 5.1.7 Numeric/special (NS) 23 5.1

8、.8 Special Characters (S) 23 Table 1 - Special Characters . 23 5.2 Fill data . 23 5.3 Data justification . 23 5.3.1 Right justification 23 5.3.2 Left justification . 23 5.4 General Field Format 23 6 Table Headings and Field Properties 24 ANSI X9.1292016 iv ASC X9, Inc. 2016 All rights reserved 6.1 F

9、ield Name 24 6.2 Field Description 24 6.3 Usage 24 6.4 Conditional Description 24 6.5 Position . 24 6.6 Size 24 6.7 Type 25 6.8 Format . 25 6.9 Defined values . 25 7 File Header Record (Type 01) . 26 7.1 Record Length . 26 7.2 Record Type . 26 7.3 File Type Indicator . 26 7.4 Legal Order Type 27 7.5

10、 File Name 27 7.6 File Creation Date . 27 7.7 File Creation Time 27 7.8 Standard Level . 27 8 Requester Supplemental Information Header Record (Type 10) 28 8.1 Record Length . 28 8.2 Record Type . 28 8.3 Requester Name 29 8.4 Requester Federal Employer Identification Number (FEIN) 29 8.5 Requester E

11、mail Address . 29 8.6 Requester Identifier . 29 8.7 Requester Payment Address Line One . 29 8.8 Requester Payment Address Line Two 30 8.9 Requester Payment Address City 30 8.10 Requester Payment Address State. 30 8.11 Requester Payment Address Zip Code . 30 8.12 Financial Institution Name 30 8.13 Fi

12、nancial Institution Federal Employer Identification Number (FEIN) 30 8.14 Statutory Authority 30 8.15 User Field . 31 9 Request Content Record (Type 20) 32 9.1 Record Length . 32 9.2 Record Type . 32 9.3 Request Action Type . 33 9.4 Requester Contact Name 33 9.5 Requester Contact Number for Customer

13、 33 9.6 Unique Case Identifier . 33 9.7 Request Reference Number . 33 9.8 Court Case Number 34 9.9 Legal Order Issue Date . 34 9.10 Number of Debtors 34 9.11 Levy/Order Amount . 34 9.12 Hold Amount Code 34 9.13 Hold Type . 35 9.14 Payment Due Date . 35 9.15 Minimal Threshold Amount 35 9.16 User Fiel

14、d . 35 10 Request Debtor Record (Type 25) 36 10.1 Record Length . 36 ANSI X9.1292016 ASC X9, Inc. 2016 All rights reserved v 10.2 Record Type . 36 10.3 TIN Type . 37 10.4 Tax Identification Number/Federal Employer Identification Number (TIN/FEIN) . 37 10.5 First Name 37 10.6 Middle Name 37 10.7 Last

15、 Name 37 10.8 Name Suffix 38 10.9 Business Name 38 10.10 Doing Business As / Also Known As 38 10.11 Address Line 1 . 38 10.12 Address Line 2 . 38 10.13 Address City 39 10.14 Address State 39 10.15 Address Zip Code 39 10.16 User Field . 39 11 Request Account Record (Type 26) 40 11.1 Record Length . 4

16、0 11.2 Record Type . 40 11.3 Account Action 40 11.4 Target Account Number . 41 11.5 Other Asset Type . 41 11.6 User Field . 41 12 Maintenance Request Record (Type 40) . 42 12.1 Record Length . 42 12.2 Record Type . 42 12.3 Maintenance Request Action Type 42 12.4 Unique Case Identifier 43 12.5 Origin

17、al Request Date . 43 12.6 Modified Levy/Order Amount . 43 12.7 Modified Payment Due Date . 44 12.8 User Field . 44 13 Response Supplemental information Header Record (Type 11) 45 13.1 Record Length . 45 13.2 Record Type . 45 13.3 Requester Name 45 13.4 Requester Federal Employer Identification Numbe

18、r (FEIN) 46 13.5 Requester Identifier . 46 13.6 Financial Institution Name 46 13.7 Financial Institution Federal Employer Identification Number (FEIN) 46 13.8 Original Request File Name 46 13.9 User Field . 47 14 Response Content Record (Type 30) 48 14.1 Record Length . 48 14.2 Record Type . 48 14.3

19、 Request Action Type . 48 14.4 Unique Case Identifier 49 14.5 Request Reference Number . 49 14.6 Court Case Number . 49 14.7 Legal Order Issue Date . 49 14.8 Request File Received Date . 50 14.9 Request File Received Time . 50 14.10 Request File Creation Date . 50 14.11 Request File Creation Time 50

20、 ANSI X9.1292016 vi ASC X9, Inc. 2016 All rights reserved 14.12 Remit Date 51 14.13 Total Amount Withheld . 51 14.14 Response Code 51 14.15 User Field . 52 15 Follow Up Response Content Record (Type 31) 53 16 Response Debtor Record (Type 35). 54 16.1 Record Length . 54 16.2 Record Type . 54 16.3 Fir

21、st Name 54 16.4 Middle Name . 55 16.5 Last Name . 55 16.6 Name Suffix 55 16.7 Business Name 55 16.8 User Field . 55 17 Response Account Record (Type 36) 56 17.1 Record Length . 56 17.2 Record Type . 56 17.3 Target Account Withheld 56 17.4 Account Ownership Type Account 57 17.5 Other Asset Types Acco

22、unt . 57 17.6 Response Code 57 17.7 User Field . 58 18 Amended Response Content Record (Type 51) . 59 18.1 Record Length . 59 18.2 Record Type . 59 18.3 Unique Case Identifier . 59 18.4 Original Request Date . 60 18.5 Modification Code 60 18.6 Modified Amount . 60 18.7 Comments 60 18.8 User Field .

23、61 19 User Defined Record (Type 60 through 79) 62 20 File Control Record (Type 99) 63 20.1 Record Length . 63 20.2 Record Type . 63 20.3 Total Detail Record Count . 63 20.4 Total Case Count 64 20.5 Total Amount 64 Annex A (Informative) Security Considerations . 65 Annex B (Informative) Process Flows

24、 . 67 Annex C (Informative) Use Case Examples 69 ANSI X9.1292016 ASC X9, Inc. 2016 All rights reserved vii Foreword Approval of an American National Standard requires verification by ANSI (American National Standards Institute) that the requirements for due process, consensus, and other criteria for

25、 approval have been met by the standards developer. Consensus is established when, in the judgment of the ANSI Board of Standards Review, substantial agreement has been reached by directly and materially affected interests. Substantial agreement means much more than a simple majority, but not necess

26、arily unanimity. Consensus requires that all views and objections be considered, and that a concerted effort be made toward their resolution. The use of American National Standards is completely voluntary; their existence does not in any respect preclude anyone, whether he has approved the standards

27、 or not from manufacturing, marketing, purchasing, or using products, processes, or procedures not conforming to the standards. The American National Standards Institute does not develop standards and will in no circumstances give an interpretation of any American National Standard. Moreover, no per

28、son shall have the right or authority to issue an interpretation of an American National Standard in the name of the American National Standards Institute. Requests for interpretation should be addressed to the secretariat or sponsor whose name appears on the title page of this standard. NOTICE: INS

29、TRUCTIONS FOR SUBMITTING A PROPOSED CHANGE TO THIS ASC X9 STANDARD UNDER CONTINOUS MAINTENANCE This standard is maintained under continuous maintenance procedures by the Accredited Standards Committee X9, Inc. which has established a documented program/process for regular publication of addenda or r

30、evisions, including procedures for timely, documented, consensus action on requests for change to any part of the standard. Consideration will be given to proposed changes within 45 days of submittal. Proposed changes must be submitted to “adminx9.org” using the published change form. CAUTION NOTICE

31、: This American National Standard may be revised or withdrawn at any time. The procedures of the American National Standards Institute require that action be taken to reaffirm, revise, or withdraw this standard no later than five years from the date of approval. Published by Accredited Standards Com

32、mittee X9, Incorporated Financial Industry Standards 275 West Street, Suite 107 Annapolis, MD 21401 USA X9 Online http:/www.x9.org Copyright 2016 ASC X9, Inc. All rights reserved. No part of this publication may be reproduced in any form, in an electronic retrieval system or otherwise, without prior

33、 written permission of the publisher. Published in the United States of America. ANSI X9.1292016 viii ASC X9, Inc. 2016 All rights reserved Introduction Legal orders are received through a variety of channels and in a variety of formats from federal, state and local government and legal entities. Th

34、e introduction of a set of standards for electronic presentment and remittance of legal orders will result in efficiency gains through improved quality and speed, as well as an overall reduction in processing costs. The purpose of this standard is to provide the financial industry with a format to p

35、erform the electronic exchange of legal orders which they are responsible for fulfilling levies and asset based orders. The format supports requests and responses to the requests. In todays environment, legal orders are generated in a large number of formats by a variety of different government agen

36、cies. These documents are then sent to the bank for processing. When the bank receives the requests (mail, fax, spreadsheet) the process for fulfilling them is highly manual, which is time consuming and can be prone to errors, and there are limited areas where automation is applied. In most cases, t

37、he basic types of information, required for processing, are the same across the different request types. This standard will create a set of standardized electronic file formats for the different request types, which will realize benefits for both the requester and the receiver through automation of

38、the process. The informative annexes attached to this standard provide information, which may prove useful to those planning on implementing the standard. This standard does not address certain operational implementation specifics. This may include, but is not limited to a choice of: data and image

39、compression, encryption, and transmission specifications. The standard was developed for the Accredited Standards Committee for Financial Services, X9, by the X9AB Payments Subcommittee under the leadership of the X9AB22 Legal Orders Working Group. Suggestions for the improvement or revision of this

40、 Standard are welcome. They should be sent to the X9 Committee Secretariat, Accredited Standards Committee X9, Inc., Financial Industry Standards, 275 West Street, Suite 107 Annapolis, MD 21401 USA. This Standard was processed and approved for submittal to ANSI by the Accredited Standards Committee

41、on Financial Services, X9. Committee approval of the Standard does not necessarily imply that all the committee members voted for its approval. ANSI X9.1292016 ASC X9, Inc. 2016 All rights reserved ix At the time this standard was approved, the X9 committee had the following members: Roy C. DeCicco,

42、 X9 Chairman Claudia Swendseid, X9 Vice Chairman Cynthia L. Fuller, X9 Executive Director Janet Busch, Managing Director Organization Represented Representative ACI Worldwide Doug Grote American Bankers Association . Diane Poole American Express Company David Moore Bank of America . Daniel Welch Ban

43、k of New York Mellon . Bryan Kirkpatrick BlackBerry Limited . Daniel Brown Bloomberg LP . Corby Dear Capital One . Marie LaQuerre Citigroup, Inc. . Karla McKenna CLS Bank . Ram Komarraju Conexxus, Inc. Michael Davis Conexxus, Inc. Gray Taylor CUSIP Service Bureau . James Taylor DeLap LLP Darlene Kar

44、gel Deluxe Corporation Angela Hendershott Diebold, Inc. Bruce Chapa Discover Financial Services . Michelle Zhang Federal Reserve Bank Mary Hughes Federal Reserve Bank Claudia Swendseid First Data Corporation Rick Van Luvender FIS Stephen Gibson-Saxty Fiserv Dan Otten FIX Protocol Ltd - FPL Jim North

45、ey Futurex . Ryan Smith Gilbarco Bruce Welch Harland Clarke John McCleary Hewlett Packard . Susan Langford IBM Corporation . Todd Arnold Independent Community Bankers of America Cary Whaley Ingenico Rob Martin ISITC Genevy Dimitrion J.P. Morgan Chase . Roy DeCicco KPMG LLP Mark Lundin MagTek, Inc. .

46、 Roger Applewhite MagTek, Inc. . Mimi Hart MasterCard Europe Sprl . Mark Kamers Merchant Advisory Group . Liz Garner NACHA The Electronic Payments Association Priscilla Holland National Security Agency . Paul Timmel Office of Financial Research, U.S. Treasury Department Con Crowley PCI Security Stan

47、dards Council . Troy Leach RouteOne . Chris Irving RouteOne . Jenna Wolfe State Street Corporation . David Blaszkowsky State Street Corporation . Sharon Cournoyer ANSI X9.1292016 x ASC X9, Inc. 2016 All rights reserved SWIFT/Pan Americas .Frank Vandriessche Symcor Inc. .Debbi Fitzpatrick TECSEC Inco

48、rporated Ed Scheidt The Clearing House Sharon Jablon U.S. Bank John King USDA Food and Nutrition Service Kathy Ottobre Vantiv LLC Patty Walters VeriFone, Inc. .Dave Faoro VISA Kim Wagner Wells Fargo Bank .Mark Tiggas At the time this standard was approved, the X9AB Payments subcommittee had the foll

49、owing members: Daniel Welch, Chairman Jackie Pagn,Vice Chairman John McCleary, Vice Chairman Alan Thiemann, Vice Chairman Organization Represented Representative All My Papers Ray Higgins All My Papers Larry Krummel American Bankers Association .Tom Judd American Bankers Association .Steve Kenneally American Bankers Association .Diane Poole American Express Company David Armes American Express Company Eric Eldridge American Express Company Farid Hatefi American Express Company Vicky Sammons American Express Company John Timar AQ2 Technolo