ARCOS Registrant Handbook

SECTION 4.0 - Control Record

4.1 RECORD TYPES

Two types of records comprise an ARCOS report: (1) the control record and (2) the transaction record. These two types of records have different formats. Section 4 discusses the control record while Sections 5 and 6 discuss the transaction record.

4.2 CONTROL RECORD

The control record must be the very first record in each ARCOS report. This record provides the computer system with identifying information about the report being submitted. Both automated and manual reporting use the same control record format. The control record, illustrated in Exhibit 4.1: Control Record Layout, contains the following information:

• The reporting registrant number.

• An asterisk * to identify this record as a control record.

• The reporting period covered by this report.

• The registrant’s reporting frequency.

• The central reporter's registrant number, if applicable.

4.3 CONTROL RECORD FORMAT

Special Rules:

1. reporting period (MMDDYY)
   
   Must be in month, day, and year format (MMDDYY). 
   "Day" must be the last calendar day of the period.
   
   

   Monthly:	Code "013197" for a January 1997 reporting period
   Quarterly:	Code "033197" for a 1997 first quarter reporting period

   
   
2. reporting frequency (M or Q)
   
   Code "M" for monthly reporting
   Code "Q" for quarterly reporting
   
   
3. central reporter’s registrant number
   
   Leave this position blank when there is no central reporter or a central reporter is not itself a registered manufacturer or distributor.
   
   
4. Positions 27-80 must be blank.
   
   The control record is not a transaction record. There is no transaction identifier field in the control record.

Exhibit 4.1: Control Record Layout

4.4 ARCOS REPORT

4.4.1 Report’s Contents

An ARCOS report consists of a single control record and all transaction records associated with the same reporting registrant number. Each ARCOS transaction belongs to one of the following five (5) categories: current transactions, corrections, deletions, adjustments, or late transactions. Any ARCOS report may contain all of these transaction types or any combination of them. These transactions must be grouped together under one corresponding control record. The reporting registrant number, which appears in both types of records (control and transaction records), is the link between them.

4.4.2 Placement of Records

All reporters, regardless of whether they are reporting on automated or manual media, must include the control record in each report. The control record must be the first record in the report. The transaction records for the reporting period follow the control record. Error corrections, deletions, adjustments, and late transaction records must follow the last current transaction record for the reporting period. This arrangement of records within an ARCOS report must be used by all reporting registrants (single reporters, registered and non-registered central reporters). Exhibit 4.2: Record Placement for the ARCOS Report, illustrates the general arrangement of the control and transaction records within a report. 

Exhibit 4.2: Record Placement for the ARCOS Report

Example:

An ARCOS registrant’s report for the third quarter of 1997 contains transactions for the current reporting period (July, August, and September 1997) as well as corrections, deletions, adjustments, and late transaction records for the prior quarters (January through March 1997 and April through June 1997). Exhibit 4.3: ARCOS Registrant’s Report, demonstrates the arrangement of these records. 

Exhibit 4.3: ARCOS Registrant’s Report

4.4.2.1 Record Placement: Automated Single Reporter

The control record must be placed before the first transaction record of the current reporting period. See Exhibit 4.2: Record Placement for the ARCOS Report. See Section 4.5.1.1.1 Monthly Reporting or 4.5.1.1.2 Quarterly Reporting for automated single reporter input stream examples.

4.4.2.2 Record Placement: Automated Central Reporter

A control record must be placed at the beginning of each report, ahead of each report's first transaction record whether all the reports are submitted on one tape, cartridge, or diskette or each report is submitted on a separate tape, cartridge, or diskette. For example, if a central submission contains reports for five ARCOS subsidiary registrants, there will be a total of five control records, one at the beginning of each ARCOS registrant's report. For the automated registered central reporter input stream coding examples see Sections 4.5.1.2.1 Monthly Reporting or 4.5.1.2.2

Quarterly Reporting. For the automated non-registered central reporter input stream coding examples see Sections 4.5.1.3.1 Monthly Reporting or 4.5.1.3.2 Quarterly Reporting.

4.4.2.3 Manual Single Reporter

The first line of the first page of DEA Form 333 mustbe used for the control record. Exhibit 4.4: DEA Form 333 Control Record Placement, illustrates the placement of the control record.

The preprinted headings on DEA Form 333 identify only the fields in the transaction record. Ignore these headings when coding the control record on the first line of the form. Use the layout given in Exhibit 4.1: Control Record Layout. See Section 4.5.2.1.1 Monthly Reporting or 4.5.2.1.2 Quarterly Reporting for single reporter input stream coding examples.

4.4.2.4 Manual Central Reporter

When central reporters prepare multiple reports, each ARCOS registrant's report must begin with a control record. The Data Systems Unit (ARCOS) recommends that each report begin on a separate DEA Form 333 with the first line of the first page of each report being used for the control record. However, multiple reports can follow each other on the same DEA Form 333 coding sheet, as long as the report for each firm begins with a control record. The preprinted headings on DEA Form 333 identify only the fields in the transaction record. Ignore these headings when coding the control record on the first line of the form. Use the layout given in Exhibit 4.1: Control Record Layout.

4.4.2.5 Central Reporter: Record Placement of Prior Transactions

Central reporters with corrections, additions, deletions or insertions for previous reporting periods must place these transactions after the current records for each reporting registrant, but before the control record for the next registrant. Each control record marks the beginning of an ARCOS report for a reporting registrant. A submission from a central reporter can contain several ARCOS reports with data from several different reporting registrants for a reporting period. 

Exhibit 4.4: DEA Form 333 Control Record Placement

Exhibit 4.5: ARCOS-2 Control Record for Central Reporters and Subsidiaries, illustrates the placement of the control record and the relationship between the central reporter and its subsidiaries. If a submission contains reports for five registrants, there will be a total of five control records. One control record will be placed at the beginning of each registrant's report (set of coding sheets). See Sections 4.5.2.1.1 Monthly Reporting or 4.5.2.1.2 Quarterly Reporting for registered central reporter input stream coding examples. See Sections 4.5.2.3.1 Monthly Reporting or 4.5.2.3.2 Quarterly Reporting for non-registered central reporter input stream coding examples. Exhibit 4.5 depicts a central reporter with two subsidiaries. 

Exhibit 4.5: Control Record Placement for Central Reporters and Subsidiaries

4.5 ARCOS INPUT STREAM EXAMPLES

These examples are for instructional purposes only and illustrate the coding of the control record and its location in ARCOS report. Examples containing control records and associated transaction records are provided for both automated (magnetic media) and manual (DEA Form 333) reporting.

Note: In the examples that follow, only the reporting registrant’s number and the transaction identifier field (a unique, sequential number identifying each transaction) have been used in the transaction record illustrations.

4.5.1 Magnetic Media Examples

The reporting of ARCOS transactions on magnetic media is illustrated in Sections 4.5.1.1 through 4.5.1.3. These transactions are reported on either magnetic tape, magnetic cartridge, or magnetic diskette.

4.5.1.1 Automated Single Reporter

One registrant, reporting monthly, reports 681 controlled substance transactions for the reporting period ending January 31,1997 while another registrant reporting on a quarterly basis reports 989 transactions for the quarter ending June 30, 1997. The control record for a single reporter reporting monthly or a single reporter reporting quarterly is coded as follows:

4.5.1.1.1 Monthly Reporting

The magnetic media input stream containing both the control record and transaction records is arranged as follows:

4.5.1.1.2 Quarterly Reporting

The magnetic media input stream containing both the control record and transaction records is arranged as follows:

4.5.1.2 Automated Registered Central Reporter

A monthly registered central reporter submits five (5) ARCOS reports for the reporting period ending January 31, 1997. The first report is for the central reporter itself. The remaining four reports are for other registrants within the registered central reporter's corporate structure.

When a central reporter is reporting for itself, the control record positions for the central reporter’s registrant number (positions 18-26) remain blank. For subsidiaries, the central reporter’s registrant number is entered in positions 18-26.

4.5.1.2.1 Monthly Reporting

The magnetic media input stream containing both the control record and transaction records for the central reporter is arranged as follows:

Control Record (1st Subsidiary, Monthly Reporting):

The magnetic media input stream containing both the control record and transaction records for the first subsidiary is arranged as follows:

Control Record (2nd Subsidiary, Monthly Reporting):

The magnetic media input stream containing both the control record and transaction records for the second subsidiary is arranged as follows:

Control Record (3rd Subsidiary, Monthly Reporting):

The magnetic media input stream containing both the control record and transaction records for the third subsidiary is arranged as follows:

Control Record (4th Subsidiary, Monthly Reporting): 

The magnetic media input stream containing both the control record and transaction records for the fourth subsidiary is arranged as follows:

4.5.1.2.2 Quarterly Reporting

A quarterly registered central reporter submits five (5) ARCOS reports for the reporting period ending March 31, 1997. The first report is for the central reporter itself. The remaining four reports are for other registrants within the registered central reporter's corporate structure.

When a central reporter is reporting for itself, the control record positions for the central reporter’s registrant number (positions 18-26) remain blank. For subsidiaries, the central reporter’s registrant number is entered in positions 18-26.

Control Record (Central Reporter, Quarterly Reporting):

The magnetic media input stream containing both the control record and transaction records for the central reporter is arranged as follows:

Control Record (1st Subsidiary, Quarterly Reporting):

The magnetic media input stream containing both the control record and transaction records for the first subsidiary is arranged as follows:

Control Record (2nd Subsidiary, Quarterly Reporting):

 The magnetic media input stream containing both the control record and transaction records for the second subsidiary is arranged as follows:

Control Record (3rd Subsidiary, Quarterly Reporting):

The magnetic media input stream containing both the control record and transaction records for the third subsidiary is arranged as follows:

Control Record (4th Subsidiary, Quarterly Reporting):

The magnetic media input stream containing both the control record and transaction records for the fourth subsidiary is arranged as follows:

4.5.1.3 Automated Non-registered Central Reporter

4.5.1.3.1 Monthly Reporting 

A non-registered, monthly central reporter submits reports for the reporting period ending January 31, 1997, for five ARCOS registrants within its corporate structure. The following example illustrates this type of submission. 

Control Record (1st Subsidiary, Monthly Reporting):

The magnetic media input stream containing both the control record and transaction records for the first subsidiary is arranged as follows:

Control Record (2nd Subsidiary, Monthly Reporting):

The magnetic media input stream containing both the control record and transaction records for the second subsidiary is arranged as follows:

Control Record (3rd Subsidiary, Monthly Reporting):

The magnetic media input stream containing both the control record and transaction records for the third subsidiary is arranged as follows:

Control Record (4th Subsidiary, Monthly Reporting):

The magnetic media input stream containing both the control record and transaction records for the fourth subsidiary is arranged as follows:

Control Record (5th Subsidiary, Monthly Reporting):

The magnetic media input stream containing both the control record and transaction records for the fifth subsidiary is arranged as follows:

4.5.1.3.2 Quarterly Reporting

A non-registered central reporter submits reports for the quarterly reporting period ending March 31, 1997, for five ARCOS registrants within its corporate structure.

Control Record (1st Subsidiary, Quarterly Reporting):

The magnetic media input stream containing both the control record and transaction records for the first subsidiary is arranged as follows:

Control Record (2nd Subsidiary, Quarterly Reporting):

The magnetic media input stream containing both the control record and transaction records for the second subsidiary is arranged as follows:

Control Record (3rd Subsidiary, Quarterly Reporting):

The magnetic media input stream containing both the control record and transaction records for the third subsidiary is arranged as follows:

Control Record (4th Subsidiary, Quarterly Reporting):

The magnetic media input stream containing both the control record and transaction records for the fourth subsidiary is arranged as follows:

Control Record (5th Subsidiary, Quarterly Reporting):

The magnetic media input stream containing both the control record and transaction records for the fifth subsidiary is arranged as follows:

4.5.2 Manual Media Examples

The reporting of ARCOS transactions on manual media is illustrated in Sections 4.5.2.1 through 4.5.2.4. These transactions are reported on DEA Form 333 coding sheets.

4.5.2.1 Manual Single Reporter

The control record for monthly and quarterly reporting is coded as follows:

4.5.2.1.1 Monthly Reporting

A registrant reporting monthly reports 251 controlled substance transactions for the reporting period ending January 31, 1997.

Control Record

The coded DEA Form 333 containing both the control record and transaction records is arranged as follows:

4.5.2.1.2 Quarterly Reporting

A registrant reporting quarterly reports 551 controlled substance transactions for the reporting period ending September 30, 1997.

Control Record

The coded DEA Form 333 containing both the control record and transaction records is arranged as follows:

4.5.2.2 Manual Registered Central Reporter

As was previously stated (Section 4.4.2.4, Manual Central Reporter), each registrant's report must begin with a central record.

4.5.2.2.1 Monthly Reporting

A monthly registered central reporter submits three (3) ARCOS reports for the reporting period ending January 31, 1997. The first report is for the central reporter itself. The remaining two reports are for other registrants within the registered central reporter's corporate structure.

Control Record (Central Reporter, Monthly Reporting):

The coded DEA Form 333 containing both the control record and transaction records is arranged as follows:

Control Record (1st Subsidiary, Monthly Reporting):

The coded DEA Form 333 containing both the control record and transaction records for the first subsidiary is arranged as follows:

Control Record (2nd Subsidiary, Monthly Reporting):

The coded DEA Form 333 containing both the control record and transaction records for the second subsidiary is arranged as follows:

4.5.2.2.2 Quarterly Reporting

A quarterly registered central reporter submits three (3) ARCOS reports for the reporting period ending December 31, 1997. The first report is for the central reporter itself. The remaining two reports are for other registrants within the registered central reporter's corporate structure.

Control Record (Central Reporter, Quarterly Reporting):

The coded DEA Form 333 containing both the control record and transaction records for the central reporter is arranged as follows:

Control Record (1st Subsidiary, Quarterly Reporting):

The coded DEA Form 333 containing both the control record and transaction records for the first subsidiary is arranged as follows:

Control Record (2nd Subsidiary, Quarterly Reporting):

The coded DEA Form 333 containing both the control record and transaction records for the second subsidiary is arranged as follows:

4.5.2.3 Manual Non-registered Central Reporter

As was previously stated (Section 4.4.2.4 Manual Central Reporters), each registrant's report begins with a control record. For a non-registered central reporter, the central reporter’s registrant number (positions 18-26) remains blank.

4.5.2.3.1 Monthly Reporting

A monthly, non-registered central reporter submits reports for the reporting period ending January 31, 1997, for three ARCOS registrants within its corporate structure.

Control Record (1st Subsidiary, Monthly Reporting):

The coded DEA Form 333 containing both the control record and transaction records for the first subsidiary is arranged as follows:

Control Record (2nd Subsidiary, Monthly Reporting):

The coded DEA Form 333 containing both the control record and transaction records for the second subsidiary is arranged as follows:

Control Record (3rd Subsidiary, Monthly Reporting):

The coded DEA Form 333 containing both the control record and transaction records for the third subsidiary is arranged as follows:

4.5.2.3.2 Quarterly Reporting

A quarterly, non-registered central reporter submits three (3) ARCOS reports for subsidiaries within its corporate structure for the quarterly reporting period ending September 30, 1997.

Control Record (1st Subsidiary, Quarterly Reporting):

The coded DEA 333 containing both the control record and transaction records for the first subsidiary is arranged as follows:

Control Record (2nd Subsidiary, Quarterly Reporting):

The coded DEA Form 333 containing both the control record and transaction records for the second subsidiary is arranged as follows:

Control Record (3rd Subsidiary, Quarterly Reporting):

The coded DEA Form 333 containing both the control record and transaction records for the third subsidiary is arranged as follows:

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