Uruguay: Document Receipt

1. OPERATION

Document receipt flow for Uruguay

1. The provider issues the document in two ways:
   1. Manual upload of the XML via Gosocket Upload (In the section Send Method - Manual XML Upload the conditions to consider when sending are explained).
   2. The provider sends the XML file via the exchange mailbox (In the section Send Method - Exchange Mailbox the conditions to consider for sending are explained).

Note: When the document receipt channels are used, both the exchange mailbox and the manual upload of the XML via the Upload option, both processes execute the schema, signature validations and validation with the ET (Tax Authority).

2. The Gosocket portal handles the download and processing of this document. When it is a tax document, it enters a validation flow.

3. First, a schema validation is performed on the document to ensure that it complies with the format established by the Tax Authority.

Depending on the validation performed, one of the following results can be obtained:

a. Failed: The document does not comply with the fiscal format, so it will be registered in Gosocket with rejected status and the red exclamation symbol is shown in the icons , additionally, the reason for rejection is indicated in the document's notes.

b. Successful: The document complies with the fiscal format; in that case, it continues with the next validation.

4. The electronic signature of the document is validated, to ensure it has not been altered. Depending on the validation performed, one of the following results can be obtained:
   1. Failed: This means the document has been altered, so it will be registered in Gosocket with rejected status and the red exclamation symbol is shown in the icons additionally, the reason for rejection is indicated in the notes.
   2. Successful: If the digital signature validation is successful, it continues with the next validation.

Scenario for the signature:

Documents that arrive enveloped (that is, more than two documents in the same package) where the original document is included together with its respective signature. However, the "Certificate" node is declared only once for all documents contained in the envelope.

Subsequently, the Gosocket platform performs an internal process: when the system separates the enveloped documents and generates a new XML for each one, it automatically adds the "Certificate" node to each individual file.

In this way, the signature validation can be performed on all tax documents.

5. Afterwards, the Tax Authority is queried to check whether the document exists. From this validation, one of the following results can be obtained:

a.   Document not found (Failed)

• Indicates that the received document is not registered with the ET.
• In Gosocket it will remain with status Not Available in ET.
• On the received documents query screen (Inbox), the following icon will be displayed .

If the document is not yet registered with the ET or the query service is unavailable, the following Automatic Retries are performed:

• The system performs 30 automatic attempts every 10 minutes.
• If after the 30 attempts the document still cannot be found, it will remain permanently in Not Available in ET status, showing the following icon in the Inbox.
• If during these retries the document is found, its status is updated and the process continues.

Note: For each retry of the query with the ET, a record is generated in the Notes section.

b.  Document Rejected by the Tax Authority

If the document exists in the ET, but there is a reason for rejection at the Tax Authority, its status changes to Rejected and it is assigned the icon .

c. Document has an internal exception by Gosocket ❗

When performing the validation query with the Tax Authority for the document and Gosocket fails to connect to the ET service or there are communication errors with the service, the document changes its status to ERROR and it is assigned the icon ❗.

d.   Document found in the ET

If the document exists in the Tax Authority, the receipt flow continues.

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Document found in the ET but without status and returns error 106

When querying Gosocket compliance and it returns error code 106 “No valid status was obtained from the DGI”, the document will remain in the Inbox as follows:

• In Gosocket the document will remain in ALERT status.
• On the received documents query screen (Inbox), the following icon will be displayed .

Within the received documents query in Inbox, it is displayed as we see below:

Within the document preview, in the Notes  section, the message “"No valid  status was obtained  from the DGI"“ that the ET returns when there is no communication with it will be displayed:

6. If the result of the previous validations is satisfactory, the document is registered in Gosocket with Accepted status and the symbol is shown in the icons .

7. Once the document has been received and validated, the mercantile or commercial acknowledgments deemed necessary can be issued according to your criteria. (this is explained in more detail in the section “Commercial Acknowledgments”)

a. Options Button (Manually Reprocess Document)

Additionally, a button was implemented in Inbox that allows manually reprocessing tax documents that have “ERROR” status ❗, “Not Available in ET” and No communication with the ET .

This button allows reprocessing of the different validations of the receipt process, and we will find it at the following path as applicable:

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

Accompanied by a selector that, as its name indicates, will allow you to independently select an Electronic Document or a set of them.

Within this menu, you will find the Reprocess document option, which will allow the user to start reprocessing documents that remained in Not Available in ET or ERROR ❗ or No communication with the ET .

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 record will be displayed for each retry obtained from the tax authority, and its record will remain in the document preview under the notes section as we see below:

When the document changes status at the tax authority, the status icon in the received documents grid reflects this change:

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2. SEND METHOD

As already indicated, the solution processes the documents, where once the document is received, the validation process begins.

There are two ways to carry out the document receipt process in Uruguay:

a. Manual upload of the XML via Gosocket Upload

b. Exchange mailbox

a. Manual Upload of the XML via Gosocket Upload

Gosocket has a tool within the Inbox platform, through which the provider can upload the document's XML file.

The access path is as follows: Main Menu > Upload > Manual Upload.

In this option, the user can manually select the XML file from the file browser or, if preferred, drag it directly into the Manual Upload interface.

As already indicated, the solution processes the documents, where, once the document is received, the validation process begins.

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

1. How many XML files in total were received, how many were processed successfully, and how many have errors.

2. When clicking the “Details” button, a popup will be displayed with the “Error Details” identifying the possible errors that the XML file manually uploaded through this option may contain, and if, on the contrary, the document has no errors, a detail will be shown indicating that it was uploaded to the Gosocket platform successfully:

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

i. Considerations for the manual upload of the XML

• In a single upload, up to n XML files can be uploaded.
• The same schema, signature, Tax Authority availability, and certificate validations that are performed via the exchange mailbox will be carried out.
• The tax documents stipulated by the Tax Authority must be sent in XML format.

The tax documents that can be received are:

• e-Ticket.
• Credit Note e-Ticket.
• Debit Note e-Ticket.
• e-Factura.
• Credit Note for e-Factura.
• Debit Note for e-Factura.
• e-Factura Export.
• Credit Note e-Factura Export.
• Debit Note e-Factura Export.
• e-Remito Export.
• e-Remito.
• e-Resguardo.

b. Exchange Mailbox

The mailboxes to be used are:

• Sandbox: uy_sbx@inbound.gosocket.com
• Production**:** uy@recepcionprd.gosocket.net

i. 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.

• The tax documents stipulated by the Tax Authority must be sent in XML format.

The tax documents that can be received are:

• e-Ticket.
• Credit Note e-Ticket.
• Debit Note e-Ticket.
• e-Factura.
• Credit Note for e-Factura.
• Debit Note for e-Factura.
• e-Factura Export.
• Credit Note e-Factura Export.
• Debit Note e-Factura Export.
• e-Remito Export.
• e-Remito.
• e-Resguardo.

1. They can be sent individually or as several XMLs in the same email.
2. Several compressed XML files can be sent (.zip, .rar)
3. XML or compressed files must be attached to the main email.
4. Attached documents can be sent, such as the invoice PDF.

The solution has the ability to process the graphic representation PDF in case it is included, and attached documents that arrive at the mailbox, where once received they are stored and associated with their respective document, allowing download within Inbox.

The process must work as follows:

• If an XML document and an additional PDF file with the same name arrive at the mailbox, for example: Factura12345.xml, Factura12345.pdf, it is understood that the .pdf file is the graphic representation of the DTE, so it is synchronized that way in Gosocket and is available for querying.
• If an XML document arrives at the mailbox with more than one attached file of any extension, they are associated as attached documents.

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

• 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 as long as the PDF file has the same name as each corresponding XML; the rest of the attached files will not be processed, since there is no way to know which document to associate them with.
• Attachments can also be associated after sending the XML; for example, if the XML is sent without attachments, another email with attached documents (PDF, Excel, Word, etc.) can be sent afterwards, and these will be associated with the previously sent document, as long as the second email also includes the XML.

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3. COMMERCIAL ACKNOWLEDGMENTS

In addition to allowing the receipt and validation of fiscal documents, Gosocket also has the option to issue acknowledgments for these documents.

Currently in Uruguay there are 2 events related to received documents:

1. Acceptance Event.
   2. Rejection Event.

Through the use of these events, the receiver reports the receipt, acceptance, or rejection of each document.

The event acknowledgment aims to validate the tax document as an Electronic Sales Invoice, credit note, or debit note with the Tax Authority, and, as a result, we will have a status change within our received documents tray in the Gosocket Inbox.

These events can be generated from two different points in Inbox, which we will explore below.

a. Options Button (Received Documents)

Accompanied by a selector that, as its name indicates, will allow you to independently select an Electronic Document or a set of them.

1. Section for marking one or several documents to generate the different available actions.
2. Options menu where the functionality to generate the commercial acknowledgment will be found.

Within this menu you will find the following Commercial Acknowledgment options:

i. Acceptance event

This is the event that produces an acknowledgment of receipt showing that there is acceptance of the document. That is, the document's information is valid for the receiver.

This option only applies to documents accepted by the ET.

When selecting the Acceptance Event from the Options button, a pop-up window is generated to relate the acknowledgment description and notification email; after the validate button, the event acknowledgments are generated for the  document.

This event will be shown within the document preview in the upper right part.

And the notes section, and the event's XML sent to the Tax Authority will be shown in the attachments section as shown below:

Likewise, the Acceptance Event will be shown in the document's status icons.

ii. Rejection event

This is the event that helps the receiver show that they do not agree with the information shown within the document.

This option only applies to documents accepted by the ET.

When selecting the Rejection Event from the Options button, a pop-up window is generated to relate the acknowledgment description and notification email; after the validate button, the event acknowledgment is generated for the  document.

This event will be shown within the document preview in the upper right part.

And it will be shown within the document preview in the notes section, and the event's XML sent to the Tax Authority will be shown.

Likewise, the Rejection Event will be shown in the document's status icons.

b. Applying commercial acknowledgments from the document preview

These events can also be generated from the Inbox document preview, which we will explore below.

This action can be performed from the document preview via the Commercial Acknowledgment.

c. Icons according to the commercial acknowledgment

1. Acknowledgment of receipt of the document: This status reports on the issuance of the acknowledgment for a document:

a.    Gray, will be shown when the document does not yet have an acknowledgment of receipt.

b.    Green, indicates that an acceptance acknowledgment was issued and it was issued successfully.

c.     Red, indicates that a rejection acknowledgment was issued and it was issued successfully.

2. Commercial Approval: Acceptance or Rejection: This icon can appear in the following ways:
   1. For acceptance, an icon with a hand pointing up will be shown in green.

b. If rejected, an icon with a hand pointing down will be shown in red.

c. If this event is not present, the hand will be in gray.

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For more details about executing commercial acknowledgments via the API available in this section, please refer to the Inbox and API Manual.

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4. QUERYING RECEIVED DOCUMENTS FROM GOSOCKET

Once the documents have been processed by the receipt service, they can be queried from the Gosocket portal under Inbox/Received. **

This section shows the following screen:

1. Filters section to optimize the search results. **
2. Display order control, with which you can modify the way search results will be presented. **
3. List of options related to export, commercial responses, and internal movements of Electronic Documents. **
4. Display section with the detail of the search results and icons representing the most relevant status changes. **

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* For more information about these points, please refer to the Inbox documentation.**

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

1. Tax authority validation.
2. Distribution validation.
3. Smart Supply status validation.
4. Receiver message validation.

In the status column (1), the result of the applied validations will be shown, as explained in the Operation section.

Icon	Status	Validation
	VALIDATED	Document approved by the ET
	REJECTED*	Document rejected by the ET
	Not Available in ET	Document does not exist in the ET
❗	ERROR*	Document Rejected or internal exception by Gosocket
	ALERT*	The GS compliance did not obtain communication with the ET.

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

Note: for the case in which the document remains in “ERROR” or “ALERT” status, the user can reprocess it via the actions, in order to perform the schema, signature, or ET validations again. This process is explained in detail in the section “Options Button (Manually Reprocess Document)”.

Note: When querying Gosocket compliance and it returns error code 106 “No valid status was obtained from the DGI”, the document will remain in Inbox as follows:

• In Gosocket the document will remain in ALERT status.
• On the received documents query screen (Inbox), the following icon will be displayed .

Within the received documents query in Inbox, it is displayed as we see below:

Within the document preview, in the Notes  section, the message that the ET returns when there is no communication with it will be displayed:

Finally, if additional documents were sent in the email, these will be reflected in the “Attachments” section within the document preview.

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For more information about the options available in this section, please refer to the Inbox manual.