Ecuador: Document Reception (MS)

1. XML RECEPTION PROCESS

This process allows for the reception of different types of documents from customers and suppliers through the channels offered by Gosocket. Once received, both the issuer and the recipient can view the documents in the Inbox Received tray, along with their corresponding graphic representation and attachments.

Likewise, our system performs a series of automatic validations to ensure that the structure and integrity of the information strictly comply with the tax authorities' requirements.

The following image describes, step by step, the document reception flow within the Inbox platform:

Ecuador reception process

1. Methods for sending the XML document in Gosocket:

The supplier has the option of sending the XML document to the Gosocket platform in three ways:

a. The supplier performs a manual upload of the XML file using Gosocket's Upload option. The requirements and conditions for this process are detailed in the section Manual Upload.

b. The supplier sends the XML document through Gosocket's exchange mailbox . The requirements and conditions for this process are detailed in the section Exchange Mailbox.

c. The supplier uploads the XML document through Gosocket's Reception API. The requirements and conditions for this process are detailed in the section Reception APIs.

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Note: When using any of the following document reception channels:

• Exchange mailbox
• Manual XML upload (Upload option)
• Reception API

The system will automatically run the schema, signature, and corresponding Tax Authority (TA) validation.

2. Document reception and validation in Gosocket

The Gosocket portal downloads and processes the XML. When it is a tax document, it enters a reception validation process.

3. Document schema validation

First, a schema validation is performed on the XML document to ensure it complies with the format established by the tax authority. Depending on the result of this validation, the process can lead to one of the following scenarios:

d. Failed: The document does not comply with the tax format; the document's reception flow will be stopped due to the schema error, it will be registered in Gosocket with the status Schema Error, and the interface will display the icon and the reason for rejection will be detailed in the document's notes, as follows:

Schema error icon in inbox

Document detail, Notes section - Schema Error

Detail of XML processing for the schema error

e. Successful: If the XML schema validation is correct, the document will continue with the reception flow.

Document detail, Notes section - Successful schema validation

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Special configuration: The XML has a schema error, but if the configuration is enabled, this option allows the reception flow to continue:

This feature can be enabled independently for each company. Its purpose is that, if a schema error is detected in the XML when the document is received in Gosocket, the specific error detail will be automatically recorded in the document's "Notes" section.

Despite this finding, the document will continue with its normal flow toward the following reception validations, such as signature and tax authority verification.

The document will remain in Inbox as follows:

• In Gosocket, the document will remain in the status Validated ET with schema error and the orange icon will be displayed, as follows:

For more details on how to configure this feature, see the following section: XML Configuration Presents Schema Errors and Reception Flow Continues

4. Electronic signature validation of the document

Second, an electronic signature validation of the document is performed to ensure that the information has not been altered. This validation can produce one of the following results:

f. Failed: This means the document has been altered; the document's reception flow will be stopped due to the signature error, so it will be registered in Gosocket with the status Signature Error, the interface will display an icon and the preview notes will indicate the reason for rejection, as follows:

Signature error icon in Inbox

Document detail, Notes section - Signature Error

Detail of XML processing for the schema error

g. Successful: If the electronic signature validation of the XML is correct, the document will continue with the reception flow.

Document detail, Notes section - Successful signature validation

5.Document validation with the Tax Authority

Third, a query validation with the Tax Authority is performed. This validation can produce several results:

h. Document has an internal exception by Gosocket ❗

When the validation query is performed with the Tax Authority for the document and Gosocket cannot connect to the TA service, or there are communication errors with the service, the document's status changes to ERROR and it is assigned the icon ❗.

Error icon in inbox: No communication with the TA.

Document detail, Notes section - Document validation with the TA with communication error.

i. At this point in the process, when the document does exist in the tax authority, two responses can result:

• If the document exists, but it has a Rejected status (see item j for more detail)
• If the document exists, but it has an Accepted status (see item k for more detail)

j. Document Rejected by the Tax Authority

If the document exists in the TA, but there is a reason for rejection by the Tax Authority, its status will be Rejected and it will be assigned the icon .

Rejected icon in inbox: Document validation with the TA rejected

Document detail, Notes section - Document validation with the TA rejected

k. Document Accepted by the Tax Authority

If the result of the previous validations (Schema and Signature) is satisfactory and the query with the tax authority is successful, the document will be registered in Gosocket with the status Accepted. In the interface, this status is identified with a green checkmark icon.

Accepted icon in inbox: Successful document validation with the TA

Document detail, Notes section - Successful document validation with the TA

L. Automatic retries when the document has the status Not Available in the TA .

At this stage of the process, when the document does not exist in the Tax Authority, this indicates that the received document is not registered in the TA. In this scenario, the following actions are taken on the document:

• In Gosocket, the document will remain in the status Not Available in ET and will be assigned the corresponding icon .

• An automatic retry process will be triggered, which consists of performing multiple queries to the Tax Authority to check whether the document changes to a status other than Not Available in ET. If a different status is obtained during any of these retries, the document will automatically update both its status and its corresponding icon.

• If, after completing all the retries, the document is still not available in the Tax Authority, it will keep the status Not Available in ET and retain the corresponding icon .

• The current retry parameter is 30 attempts in 1 hour (the query is retried every 2 minutes).

When the document is received and the query retries with the TA are performed, the following message is shown in the Notes section:

and within the document detail, the “TAX-CHECK” code will indicate that the validation with the TA has started:

Once the automatic retries are exhausted (approximately one hour later), the final status of the document with the TA will be displayed, as follows:

and the document detail will show the message:

“Integrated Query with the TA: Does not exist. 30 attempts were made. Manual reprocessing was performed.”

and the other line will show another message: “The maximum number of retries for the status query with the TA was reached”, as follows:

and after these retries, two responses can result:

m. If after the 30 attempts the document is still not found, it will remain permanently in the status Not Available in ET, showing the following icon in the Inbox.

Rejected icon in inbox: Document validation with the TA r

n. If during these retries the document is found in the TA, its status is updated, the process continues, and two responses can result:

• If the document exists, but it has a Rejected status (see item j for more detail)
• If the document exists, but it has an Accepted status (see item k for more detail)

6. Icons in the inbox for the reception validation results

Finally, both the issuer and the recipient can check the results of the XML document validations in Inbox, as follows:

No.	Status	Icon in the inbox interface
o	Document has a schema error
p	Document has a signature error
q	Communication error with the Tax Authority
r	Document was Accepted by the Tax Authority
s	Document was Rejected by the Tax Authority
t	Document not available or does not exist in the Tax Authority

2. MANUAL DOCUMENT REPROCESSING

Additionally, a button was implemented in Inbox that allows manually reprocessing tax documents that have the status “ERROR” ❗, “Not Available in ET” , “Signature Error” and “Schema Error” .

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Note: This option only allows reprocessing documents that were sent through the exchange mailbox, the reception API, or manual upload (upload).

This reprocessing option can be found in the following path, as applicable:

• Inbox/Received/Options/Actions/Reprocess document without schema validation.
• Inbox/Received/Options/Actions/Reprocess document without signature validation.
• Inbox/Received/Options/Actions/Reprocess document.

Accompanied by a selector that, as its name indicates, will allow independently selecting one Electronic Document or a set of them.

Next, a pop-up window will be displayed in which the user must confirm that they want to revalidate the previously selected documents.

Once the reprocessing has been generated, a banner will be displayed at the top of the page indicating that the document(s) were sent for reprocessing:

and finally, for any of the three reprocessing actions generated through this option, the notes section will indicate:

• It records the email of the user who performed the document reprocessing.
• It generates a note “Document processed without schema validation” or “Document processed without signature validation”
• The document continues the reception validation flow.

This button allows reprocessing of the different validations in the reception process:

2.1. Reprocess document without schema validation:

This allows the document to go through the reception validations without taking the schema validation into account; however, when the document is selected and this reprocessing without schema validation is applied, the system:

• Records the email of the user who performed the document reprocessing.
• Generates a note “Document processed without schema validation”.
• The document continues the reception validation flow.

2.2. Reprocess document without signature validation:

This allows the document to go through the reception validations without taking the signature validation into account; however, when the document is selected and this reprocessing without signature validation is applied, the system:

• Records the email of the user who performed the document reprocessing.
• Generates a note “Document processed without signature validation”.
• The document continues the reception validation flow.

2.3. Reprocess document:

This allows the document to be reprocessed from scratch and runs the reception validations again without skipping any of them; however, when the document is selected and this reprocessing is applied, the system:

• Records the email of the user who performed the document reprocessing.
• Performs the reception validations without skipping any of them.

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3. METHODS FOR SENDING AN XML

Currently, there are three methods for document reception into the system:

• Manual upload: Import of the XML file using the Upload option in Gosocket.
• Exchange mailbox:Reception (MS)Automated inbound flow through the exchange mailbox.
• Reception API's: Connection via API for integrated processing.

3.1. Manual XML upload through Gosocket's Upload

Gosocket provides a tool within the Inbox platform that allows the supplier to directly upload the XML file of their documents.

• Access path: Main menu > Upload > Manual Upload.

From this section, the user can select the XML file from their device's file browser or, if preferred, drag and drop it directly into the interface.

Once the document is received, the solution automatically starts the processing and validation flow.

Once the XML file is received through the manual upload option, the following will be identified:

a. The total number of XML files received, how many were processed successfully, and how many have errors.

b. Clicking the “Details” button will display a popup with the “Error Details” identifying the possible errors that the XML file manually uploaded through this option may contain; if the document has no errors instead, a detail will be shown confirming that it was successfully uploaded to the Gosocket platform:

c. Finally, the document will be displayed in the Inbox received tray, with all validations completed.

3.1.1. Considerations for manual XML upload

• Up to 100 XML files can be uploaded in a single batch.
• Schema, signature, and Tax Authority validations will be performed.
• Tax documents stipulated by the Tax Authority must be sent in XML format.

The tax documents that can be received are:

• Electronic Sales Invoice.
• Electronic export sales invoice.
• Credit Note.
• Debit Note.
• Electronic payroll.
• Support document.

3.2. Exchange mailbox

This is the process by which the supplier sends its XML files through an email mailbox. Each country has specific addresses assigned according to the working environment.

The mailboxes to be used, according to the environment, are:

• Sandbox (Testing): ec_ms_sbx@inbound.gosocket.com
• Production: ec@recepcionprd.gosocket.net

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Note: If a customized exchange mailbox is needed for a client, it must be escalated to the commercial team, since this request generates an additional cost.

3.2.1. Considerations for the exchange mailbox

It is important to keep the following points in mind when sending documents, as this will prevent them from being rejected by the application.

a. The tax documents that can be sent through the exchange mailbox are:

• Electronic Sales Invoice.
• Electronic export sales invoice.
• Credit Note.
• Debit Note.
• Electronic payroll.
• Support document.

b. Tax documents stipulated by the Tax Authority must be sent in XML format.

c. They can be sent individually or as multiple XML files in the same email.

d. Multiple XML files can be sent compressed in a file, and only the .zip extension is allowed.

e. XML or compressed (.zip) files must be attached to the email sent to the mailbox provided by Gosocket.

f. Attachments can be sent, such as the invoice PDF or other required documents.

g. The maximum weight allowed in an email that includes XML and PDF files is 20MB.

h. The solution can process the graphic representation PDF, if it comes included, along with any attachments that arrive at the mailbox; once received, they are stored and associated with their respective document, allowing them to be downloaded within Inbox.

The process works as follows:

• If an XML document arrives at the exchange mailbox along with a PDF file that has the same name, for example: Invoice12345.xml and Invoice12345.pdf, the .pdf file is understood to be the DTE's graphic representation, so it is synchronized as such in Gosocket and will be available for viewing.
• If an XML document arrives at the mailbox with more than one attachment of any extension, they are associated as attachments.

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Note: If there are PDF files with a name different from the XML's, they will be considered attachments.

• For sending attachments, it is recommended to send each DTE with its attachments separately, since if more than one XML document arrives, only the graphic representation will be stored, provided that the PDF file has the same name as its corresponding XML; the rest of the attachments will not be processed, since there is no way to know which document to associate them with.
• Attachments can also be associated after the XML is sent; for example, if the XML is sent without attachments, another email with attachments (PDF, Excel, Word, etc.) can be sent afterward, and these will be associated with the previously sent document, as long as the second email also includes the XML.

3.3. Reception APIs

For the document reception process, Gosocket offers two APIs that allow sending XML to the Gosocket platform:

3.3.1. UploadZipDocument:

This API allows sending a request that includes one or more XML and PDF files to Gosocket, packaged together in a compressed file (.zip). Once received, the system processes the document, generates the corresponding record, and securely stores it on the platform.

a. Tracking Management

To perform detailed end to end tracking of PDF processing, from when the PDF enters the platform through the exchange mailbox, until the supplier sends the XML and the PDF to Gosocket, this entire process is assigned two unique identifiers called "externalId" and "batchId".

b. Upload and storage

The API manages the reception of the .zip file, which must contain the PDF and its corresponding XML in Gosocket's native format for correct integration into the ecosystem.

This API allows the reception, processing, and storage of electronic documents on the Gosocket platform.

c. Post-storage processing actions

Once the document has been successfully stored in Inbox, the following actions can be performed:

• Reception validations (Automatic): Technical verification of standards compliance, including:

o   Schema Validation.

o   Integrity of the document's Electronic Signature.

o   Validations with the corresponding Tax Authority: Indicates whether the document was accepted, rejected, or has validation errors from the regulatory entity following the fiscal validation.

• Receiver message (Automatic): Application of receiver message events according to the tax authority's current regulations.
• Smart Supply validations (On-demand configuration): Application of logical rules and approval flows configured in the Smart Supply module.
• File Distribution (On-demand configuration): Once the document has been processed on the Gosocket platform, and based on the previously configured distribution rules, the system executes the automated transfer of the files to the configured technical destinations. This feature allows integration with various environments, such as:

o   Windows servers.

o   File transfer protocols (SFTP / FTP).

o   Automated sending by email.

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You can review the configuration details of the Reception API at the following link: API Reception.zip - Generic

3.3.2. SendDocumentToUpload:

This API allows sending a request that includes a single XML to Gosocket. Once received, the system processes the document, generates the corresponding record, and securely stores it on the platform.

a. Upload and storage

The API manages the reception of the file in XML format for its integration into the Gosocket ecosystem:

• Ingestion: Uploads the document directly into Gosocket's Inbox module through the endpoint: POST - SendDocumentToUpload
• Persistence: Ensures the storage of the XML file on the platform's servers for subsequent management.

b. Tracking Management

Successful execution of the API generates a unique identifier called trackId. This value is returned in the response and is essential for:

• Performing detailed tracking of the processing status.
• Checking the upload result through the endpoint: GET- GetDocumentUploadStatus

c. Post-storage processing actions

Once the document has been successfully stored in Inbox, the following actions can be performed:

• Reception validations (Automatic): Technical verification of standards compliance, including:

o   Schema Validation.

o   Integrity of the document's Electronic Signature.

o   Validations with the corresponding Tax Authority: Indicates whether the document was accepted, rejected, or has validation errors from the regulatory entity following the fiscal validation.

• Receiver message (Automatic): Application of receiver message events according to the tax authority's current regulations.
• Smart Supply validations (On-demand configuration): Application of logical rules and approval flows configured in the Smart Supply module.
• File Distribution (On-demand configuration): Once the document has been processed on the Gosocket platform, and based on the previously configured distribution rules, the system executes the automated transfer of the files to the configured technical destinations. This feature allows integration with various environments, such as:

o   Windows servers.

o   File transfer protocols (SFTP / FTP).

o   Automated sending by email.

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You can review the configuration details of the Reception API at the following link: Reception API

3. QUERYING RECEIVED DOCUMENTS FROM GOSOCKET

Once the documents have been processed by the reception service, they can be viewed from the Gosocket portal in the Inbox/Received section. **

This section displays the following screen:

**1.**Filters section to optimize the search results. **

**2.**Display order control, which allows you to modify how the search results are presented. **

**3.**List of options related to export, commercial responses, and internal movements of Electronic Documents. **

**4.**Display section with the search result details and icons representing the most relevant status changes. **

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* For more information about these points, see the Inbox documentation.**

Once the document search is performed in the main grid, the list of received documents that met the established search criteria will be displayed; in this grid, in addition to relevant document information, the document status can also be observed.

**1.**Tax Authority validation.

**2.**Distribution validation.

**3.**Smart Supply status validation.

The status column (1) will show the result of the applied validations, as explained in the Reception process section.

Icon	Status	Validation
	VALIDATED	Document approved by the TA
	REJECTED*	Document rejected by the TA
	Not Available in ET	Document does not exist in the TA
❗	ERROR*	Document Rejected or internal exception by Gosocket
	Signature Error	Document with signature error
	Schema Error	Document with schema error
	Schema error but flow continues *	The XML has a schema error, but if the configuration is enabled, this option allows the reception flow to continue.

Note: Clicking the document will open the document preview, where you can review the notes related to the reason for rejection.

* Note: if the document remains in the “ERROR” status, the user can reprocess it through the actions, in order to run the schema, signature, or TA validations again. This process is explained in detail in the “Reprocessing” section.

* Note: Special configuration: The XML has a schema error, but if the configuration is enabled, this option allows the reception flow to continue:

This feature can be enabled independently for each company. Its purpose is that, if a schema error is detected in the XML when the document is received in Gosocket, the specific error detail will be automatically recorded in the document's "Notes" section.

Despite this finding, the document will continue with its normal flow toward the following reception validations, such as signature and tax authority verification.

The document will remain in Inbox as follows:

In Gosocket, the document will remain in the status Validated ET with schema error and the orange icon will be displayed, as follows:

For more details on how to configure this feature, see the following section: XML Configuration Presents Schema Errors and Reception Flow Continues

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