CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 1 of 23 Modified on 11/24/2014 9:29:00 AM Last saved by John Zdanowski Caterpillar EDI Documentation Appendix B – X12 Example Transactions Document Owner: EDI/B2B Integration Architect Integration Competency Center Global Information Services Caterpillar, Inc.
This document is posted to help you gain knowledge. Please leave a comment to let me know what you think about it! Share it to your friends and learn new things together.
Transcript
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 1 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
Caterpillar EDI Documentation Appendix B – X12 Example Transactions
Document Owner: EDI/B2B Integration Architect
Integration Competency Center
Global Information Services
Caterpillar, Inc.
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 2 of 23
CHANGE CONTROL ................................................................................................................................................ 3
GENERAL RULES FOR EUROPEAN VAT 810 INVOICE .................................................................................. 5
MANDATORY ELEMENTS FOR VAT EUROPEAN DIRECTIVE: .................................................................................. 5
MIXED RATE INVOICES ARE NOT ALLOWED:........................................................................................................... 5
CALCULATION AND ROUNDING RULES FOR VAT REPORTING: .............................................................................. 5
CALCULATION AND ROUNDING EXAMPLE: ............................................................................................................. 6
DO NOT SEND TXI*VA FOR ZERO RATE VAT: ............................................. ERROR! BOOKMARK NOT DEFINED.
VAT ID NUMBER REQUIREMENTS: ........................................................................................................................ 6
ASN AND INVOICE MATCHING REQUIREMENTS: ................................................................................................... 6
EXAMPLE 810 TRANSACTIONS ............................................................................................................................ 7
810 EXAMPLE 14 - 1 PO, 1 ITEM (VAT), RECALCULATED IN LOCAL CURRENCY ............................................ 21
810 EXAMPLE 15 – 5 POS, 4 ITEMS, US FACILITY AND SUPPLIER .................................................................... 22
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 3 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
Introduction
This document provides additional information to Caterpillar Trading Partners and supports
Caterpillar published EDI Guidelines.
Change Control
Version
ID
Date of
Update Updated By Description of Version and Change
20120809 08/09/2012 John Zdanowski • Initial Conversion
20130409 04/09/2013 John Zdanowski • Updated 810 Invoice examples per European VAT
Directive, replacing specific REF qualifiers for country
specific legal and commercial information numbers.
• Added list of European VAT Mandatory requirements
• Added list of General VAT reporting rules.
• Added a non-European, non-VAT example.
20131024 10/24/2013 John Zdanowski • Removed 'AH' qualifier from REF01, as well as all 'AH'
verbiage from all examples, as VAT Tax Manager
determined that "Convention/Agreement Number" is not
needed for VAT compliance and can be handled via
another non-EDI mechanism. (VAT Tax Mgr).
20141124 11/24/2014 John Zdanowski • Corrected example 1, 2, 4, 11, 12, 13 and 14 to properly
reflect the VAT Tax Rate and the Additional Charge
Amount on the corresponding ITA segments.
• Clarified wording on item 7 of the “Mandatory elements
for VAT European directive” section.
• Updated examples to show how to report “Tex Exempt”
on the summary level ITA segment, when VAT does not
apply.
• Corrected ITA04 in VAT examples.
ccyymmdd •
.
.
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 4 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 5 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
General Rules for European VAT 810 Invoice
Mandatory elements for VAT European directive:
The following items are required based on VAT European Directive for EDI 810 Invoices:
1) Date of issue
2) Unique sequential invoice number
3) Full name and address of the supplier and VAT ID
4) Full name and address of the buyer and VAT ID
5) Quantity and nature of goods or services
6) Date of supply
7) Total Amount subject to VAT.
8) Rebates or discounts
9) VAT rate
10) VAT amount payable in local currency
11) Exemption or reverse charge provision
12) When a VAT Representative is involved:
a. VAT Representative VAT ID
b. VAT representative full name and address.
Mixed rate invoices are not allowed:
• Please use only 1 VAT rate per invoice. If you are supplying goods or services which are subject to
different rates of VAT, create separate invoices for each VAT rate
• You can send several invoices in the same ISA envelope, but only if all the invoices have been issued by
same VAT ID entity, and are addressed by a single VAT ID of the customer.
Calculation and Rounding rules for VAT reporting:
• Unit price can only have maximum of 5 decimal positions
• For each line item, the Quantity x Unit of Measure x Unit Price should not be rounded.
• The total result for all the lines should be rounded to 2 decimal positions.
• The VAT calculation total all lines x VAT rate should be rounded to 2 decimal positions.
• Total Invoice Amount should be multiplied by 100, as the decimal is implied at last 2 digits.
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 6 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
Calculation and Rounding example:
Quantity Unit of
measure Price (max 5 decimal)
for each line : Qty x Unit of measure X unit price
(not rounded )
10 per piece 20.12345 201.2345
1 packaging 10 10
5 per piece 10.03 50.15
261.3845 total of the lines not rounded
ITA10 = 261.38 total of the lines rounded 2 decimal
ITA09 = ,21 VAT rate
54.8898 VAT Calculation
ITA07 = 5489
Total VAT - rounded 2 decimal x 100
TDS01 = 31627 total amount VAT included
VAT ID Number Requirements:
The supplier name, address and VAT ID, as well as the Caterpillar Facility name, address and
VAT ID needs to be accurately recorded in your invoice. Please pass this information in the
appropriate N1 loop ( SE, BY, IC, AG ). Caterpillar will perform detailed validation of this
information and any inaccuracies or omissions will delay payment.
ASN and Invoice Matching Requirements:
The supplier invoice will be validated against actual receipts and information sent on the EDI
856 Advance Ship Notice. Supplier must logically link the Invoice to the ASN. To create a
logical relation between the Invoice and ASN, please use the same ‘reference’ and ‘format’
information. For example, the Packing List (REF*PK*PL12345) can be tied to the
SUPPLIERS SHIPPING REFERENCE NUMBER on the invoice.
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 7 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
Example 810 Transactions
This section shows various detailed sample EDI 810 Invoice Transactions. These transactions
illustrate various 810 Invoice situations and circumstances a supplier may encounter when
invoicing Caterpillar. Some of the situations illustrated include invoicing from an European
Union Supplier, invoices where VAT is being charged on the invoice, whether additional
charges apply, etc. Other examples illustrate how to invoice if fiscal representative data is
required for the supplier or customer and how to report any additional legal or commercial data
that may be required by an EU Taxing Authority. Please read and follow these examples
carefully. Please work with your internal Tax Department to fully understand what is required
by your Taxing Authority.
810 EXAMPLE 1 - 2 POs, 2 Items (1 VAT rate), 1 Additional Charge (VAT): This example illustrates how to invoice for GOODS provided to a CAT SARL facility. Caterpillar’s
Customer Fiscal Representative info is passed (N1*IC loop), and the Supplier Fiscal Representative
information is also passed (N1*AG loop). Since delivery of goods is involved, the ‘Ship From’
(N1*SF) and ‘Ship to’ (N1*ST) is sent. ---------------------------------------------------------------------- ISA*00* *00* *ZZ*X0000X0 *09*00507047925
*130401*1200*U*00200*123456789*0*P*\@
GS*IN*X0000X0*25*130401*1200*000000001*X*003030@
ST*810*0001@
BIG*130401*1234567*****CA@
NTE*INV*FREE FORM NOTES EX# 1@
CUR*BY*EUR@
REF*PK*PL12345@
N1*SF*SUPPLIER ABCD*92*X0000X0@
N3*515 PARK LAKE@
N4*CHIVALA*MI*31450*US@
N1*ST*CATERPILLAR BELGIUM SA*92*25@
N3*1 AVENUE DES ETATS-UNIS*BP1@
N4*GOSSELIES**B-6041*BE@
N1*BY*CATERPILLAR SARL*92*25@
N3*ROUTE DE FRONTENEX 76@
N4*GENEVA**CH-1211*CH@
REF*VX*BE0466550796@
N1*IC*CATERPILLAR GROUP SERVICES SA@
N3*1 AVENUE DES ETATS-UNIS*BP1@
N4*GOSSELIES**B-6041*BE@
REF*VX*BE0428189078@
N1*SE*SUPPLIER ABCD*92*X0000X0@
N3*444 CORN PARK*SUITE 200@
N4*CHICAGO*IL*1000*US@
REF*VX*BE0123456789@
N1*AG*SUPPLIER FISCAL REP@
N3*5 AVENUE XYZ@
N4*GRIMBERGEN**B-9412*BE@
REF*VX*BE0888888888@
ITD*08*ZZ*5**30@
DTM*011*040401@
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 8 of 23
REF*TL*EXONERATION ART 39-2,1 CTVA*P.A./S 01/08/2002D.D.239.831/551.8430.1@
N1*SF*SUPPLIER ABCD*92*X0000X0@
N3*RUE DU LOUP@
N4*GOSSELIES**B-6041*BE@
N1*ST*CATERPILLAR BELGIUM SA*92*25@
N3*1 AVENUE DES ETATS-UNIS*BP1@
N4*GOSSELIES**B-6041*BE@
N1*BY*CATERPILLAR BELGIUM SA*92*RB@
N3*1 AV. DES ETATS-UNIS*BP1@
N4*GOSSELIES**B-6041*BE@
REF*VX*BE0401633250@
N1*SE*SUPPLIER ABCD*92*X0000X0@
N3*AVENUE DES PONTS*BP2@
N4*BRUXELLES**B-1000*BE@
REF*VX*BE0456789123@
ITD*08*ZZ*0**60@
DTM*011*040401@
IT1*1*10*PC*20**BP*190-0499*PO*AAB 12345@
IT3*10*PC@
PID*F****WIDGET@
REF*BM*BOL12345@
ITA*C*AX*PC*06***1000***1*PD**PACKAGING@
TDS*21000@
CAD*T****Z@
ITA*C*AX*TX*06***000**0**M4**VAT EXEMPT*750@
CTT*1@
SE*32*0001@
GE*1*000000001@
IEA*1*123456789@
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 10 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
810 EXAMPLE 3 - 1 PO, 1 Service Items (no VAT) This example illustrates how to send an Invoice for a Service provided to a Cat facility. Since no goods
are involved, the Ship To (N1*ST Loop) and Ship From information (N1*SF Loop) are not sent, nor the
means of transportation (CAD Segment). The Price is passed with 4 decimal places and the total
amount of the invoice is rounded to 2 decimal places. Note this invoice has 1 Purchase Order Number
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 11 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
810 EXAMPLE 4 - 1 PO, 1 Service item (1 VAT) Recalculate VAT in Local Currency. In this example, a supplier is invoicing for a Service provided to Caterpillar, so ‘Ship To’ (N1*ST loop)
and ‘Ship From’ (N1*SF) are not required, nor is the ‘Means of Transport’ (CAD segment). Even
though the supplier is invoicing in US Dollars (CUR*SE*USD), since the service is a country where the
local currency is the Euro (EUR), the supplier must send the TOTAL VAT Amount in Euro’s (Note the
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 12 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
810 EXAMPLE 5 - 1 PO, 1 Service Item – (VAT not applicable) Supplier not in EU. In this example, a Service is provided to a Cat facility by a supplier OUTSIDE of the European Community.
Since the supplier country is not a member of the European Union, EU VAT rules do not apply. Since no goods
were purchased, the ‘Ship To’ info (N1*ST Loop), ‘Ship From’ info (N1*SF Loop), and the Means of Transport
(CAD Segment) are not sent on the 810. However, since the Cat Facility is in a European Union Country, the
VAT ID of the Cat facility is sent (REF*VX in the N1*BY loop).
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 13 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
810 EXAMPLE 6 - 1 PO, 1 Service Item (no VAT) linked to Parts Movement. The following example shows an 810 for a Service provided to Caterpillar CSARL facility 25. Since no Fiscal
Representative was involved, the IC loop is not needed. However, the Switzerland VAT number
CHE116294411TVA must be reported in the 810. This example includes an N1*ST (Shop To) loop and an
N1*SF (Ship From) loop, as well as the REF*PK and REF*BM segments because the Service is linked to a Parts
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 14 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
810 EXAMPLE 7 - 1 PO, 1 Service Item (VAT not applicable) no Fiscal Rep This is another example of Service provided to CSARL Cat facility 25, but without a fiscal representative (no IC
loop needed). Also, the Switzerland VAT number must also be passed. This example does not include the
N1*ST loop (Ship To) nor the N1*SF loop (Ship From), nor the REF*PK nor the REF*BM segments, since this
service is not linked to parts movement. ---------------------------------------------------------------------- ISA*00* *00* *ZZ*X0000X0 *09*00507047925
*040401*1200*U*00200*123456789*0*P*\@
GS*IN*X0000X0*25*040401*1200*000000001*X*003030@
ST*810*0001@
BIG*040401*1234567*****CA@
NTE*INV*FREE FORM NOTES EX# 7@
CUR*BY*EUR@
REF*TL*VAT NOT DUE FOR SERVICES@
N1*BY*CATERPILLAR SARL*92*25@
N3*ROUTE DE FRONTENEX 76@
N4*GENEVA**CH-1211*CH@
REF*VX*CHE116294411TVA @
N1*SE*SUPPLIER ABCD*92*X0000X0@
N3*AVENUE DES PONTS*BP2@
N4*BRUXELLES**B-1000*BE@
REF*VX*BE0456789123@
ITD*08*ZZ*5**30@
DTM*035*040401@
IT1*1*1*PC*250**PO*AABS54321@
PID*F****CLEAN-UP@
TDS*25000@
ITA*C*AX*TX*06***000**0**M4**VAT EXEMPT*750@
CTT*1@
SE*20*0001@
GE*1*000000001@
IEA*1*123456789@
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 15 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
810 EXAMPLE 8 – 1 PO, 1 item (VAT not applicable) Credit Memo This is an example of an 810 Credit note/memo. The Unit Price and Total Amount needs to be recorded without a
“negative’ sign. The original invoice number linked with this Credit note/memo needs to be sent in the REF*IV.
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 16 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
810 EXAMPLE 9 - 1 PO, 1 Item (VAT not applicable) Fiscal Rep This example illustrates an 810 transaction for goods provided to a Caterpillar facility, and since a Fiscal
Representative is used, the N1*IC loop must be used.
REF*TL*EXONERATION ART 39-2,1 CTVA*P.A./S 01/08/2002D.D.239.831/551.8430.1@
N1*SF*OTHER SUPPLIER XYZ*92*Z0000Z0@
N3*AVENUE DES LAURIERS@
N4*CHARLEROI**B-6000*BE@
N1*ST*CATERPILLAR S.A.R.L.*92*YQ@
N3*CO CATERPILLAR GROUP SERVICES@
N4*GOSSELIES**B-6041*BE@
N1*BY*CATERPILLAR SARL*92*YQ@
N3*ROUTE DE FRONTENEX 76@
N4*GENEVA**CH-1211*CH@
REF*VX*BE0466550796@
N1*IC*CATERPILLAR GROUP SERVICES SA@
N3*AVENUE DES ETATS-UNIS BP1@
N4*GOSSELIES**B-6041*BE@
REF*VX*BE0428189078@
N1*SE*SUPPLIER ABCD*92*X0000X0@
N3*AVENUE DES PONTS*BP2@
N4*BRUXELLES**B-1000*BE@
REF*VX*BE0456789123@
ITD*08*ZZ*5**30@
DTM*011*040401@
IT1*1*10*PC*20**BP*190-0499*PO*BABW12345@
IT3*10*PC@
PID*F****WIDGET@
REF*BM*BOM12345@
ITA*C*AX*PC*06***1000***1*PD**PACKAGING@
TDS*21000@
CAD*T****Z@
ITA*C*AX*TX*06***000**0**M4**VAT EXEMPT*750@
CTT*1@
SE*36*0001@
GE*1*000000001@
IEA*1*123456789@
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 17 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
810 EXAMPLE 10 - 1 PO, 1 item (VAT not applicable) no Paper Invoice This is an example of an EDI 810 Invoice for goods provided to a Caterpillar facility for a European Invoice.
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 18 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
810 EXAMPLE 11 - 1 PO, 1 item (VAT applicable) no Paper Invoice This 810 example illustrates an Invoice for GOODS provided to a Caterpillar facility by a European Supplier and
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 19 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
810 EXAMPLE 12 - 1 PO, 1 Item (VAT) 1 Additional Charge (VAT) Commercial Info. In this example, a French Supplier provides Goods to a Caterpillar European facility. Since the supplier is in
France, additional French Legal and Commercial information needs to be sent. All FRENCH suppliers are
required record their Legal and Commercial information (via multiple REF*ZZ) when invoicing Cat European
entities (not just Cat French facilities). The REF*ZZ can be used also for other countries, to record their specific
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 20 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
810 EXAMPLE 13 - 1 PO, 1 Item (VAT Exemption) This example illustrates how to report a VAT exemption number on an EDI 810 Invoice, for good proviced to a
Caterpillar facility, and a supplier has not been approved to send legal invoice via EDI by VAT Taxing Authority.
A third party is sending the invoice on behalf of the supplier. The ‘Sender ID’ needs to be the ‘Supplier Code’ of
the third party. The third party invoicing ‘Supplier Code’ needs to be sent on the N1*SE loop, as well as the
name, address and VAT ID. Since this is a French Supplier, Legal and Commercial numbers need to be sent.
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 21 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
810 EXAMPLE 14 - 1 PO, 1 item (VAT), recalculated in Local Currency In this example, the EDI 810 transaction is for Goods ordered by a Caterpillar facility in the UK, from a European
Supplier, but the goods are to be shipped to (physical location/destination) a Caterpillar subsidiary in France. The
VAT must be recalculated in the Local Currency of the ‘Ship To’ country. In this example, the Invoiced
Currency Code is in GBP, (CUR*SE*GBP), but the VAT is recalculated in EUR, the local currency
CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf
File Name: CAT EDI Appendix B - X12 Example Transactions - 20141124.rtf 22 of 23
Modified on 11/24/2014 9:29:00 AM
Last saved by John Zdanowski
810 EXAMPLE 15 – 5 POs, 4 items, US Facility and Supplier This is an example of a typical US Based Supplier sending an 810 Invoice to a US Caterpillar facility. The invoice
is for 5 different Purchase Orders, with 4 different Items. Since both supplier and facility are US based, no VAT