AES Compliance Report Details

Understand the importance of information provided in the monthly AES compliance report.

Contents:

• Overview
• Compliance Alert Messages
• Fatal Error Messages
• Warning Message
• Verify Messages
• Informational Messages
• Parameter Change Request Process

Overview

The Foreign Trade Regulations (FTR), 15CFR, Part 30.5(e), authorizes the Automated Export System (AES) Branch to identify inconsistencies in AES data and to make recommendations that will result in the appropriate corrective actions by the filer. The AES Compliance Report is an important component in this process.

Beginning in April 2012, the AES Compliance Rate was adjusted to include outstanding fatal errors. The AES Compliance Report displays the details of shipments with unresolved fatal errors including the Shipment Reference Numbers, AES Response Codes and AES Response Narratives. The report also provides a listing of the most frequent unresolved fatal error(s) and their associated reason(s) and resolution(s).

For detailed information on your AES response messages and how to resolve any identified errors, please follow this link to Appendix A of the AES Trade Interface Requirements (AESTIR):

http://www.cbp.gov/xp/cgov/trade/automated/aes/tech_docs/aestir/june04_intro/appendices/

Two weeks following the AES Compliance Report, filers with remaining fatal errors will receive an AES Fatal Error Report as they have in the past. Only one AES Fatal Error Report will be sent to filers each month, rather than two per month as in the past.

The AES Compliance Report displays the following for each company:

• AES Compliance Rate for each of the last three statistical months
• Number of shipments for each of the last three statistical months
• Number of shipments with Response Messages for the latest statistical month (Unresolved Fatal Errors, Compliance Alerts, Informational messages, Warning messages, and Verify messages)
• Details for shipments with unresolved cumulative fatal errors
• Most frequent unresolved fatal error(s) for the latest statistical month
• Details for shipments with Compliance Alerts for the latest statistical month

When a filer’s AES Compliance Rate falls below 95 percent, the AES Branch will work with the filer to improve the quality of AES filings and to raise the AES Compliance Rate.

NOTE: The AES Compliance Rate does not factor in the number of Warning, Verify, and Informational messages.

Compliance Alert Messages

A Compliance Alert is sent by the AES when a reporting compliance violation has or has likely occurred. A common example is “Shipment Reported Late”. The filer is required to review filing practices and take steps to conform with export reporting compliance.

Fatal Error Messages

A Fatal Error message is sent by the AES when invalid or missing data has been reported, the EEI has been rejected, or when the information is not on file in the AES. The filer is required to immediately correct the data and retransmit the EEI.

15 CFR Part 30 – Foreign Trade Regulations Section 30.9 states that these errors must be corrected and Electronic Export Information (EEI) resubmitted prior to export for shipments filed predeparture and as soon as possible for shipments filed postdeparture but not later than ten calendar days after departure.

Warning Message

A Warning message is sent by the AES when the filer flags the Ultimate Consignee as “Sold en Route”. AES allows four calendar days for the filer to retrieve the shipment, report the actual consignee, and resubmit the EEI. If the EEI is left uncorrected, AES will generate warning reminders to the filer until the correction is made.

Verify Messages

A Verify message is sent by the AES when shipment data conflicts with a U.S. Census Bureau parameter regarding a commodity or another unlikely condition is found. The EEI may or may not be correct. The filer is required to transmit a correction if a correction is warranted.

Informational Messages

An Informational message is sent by the AES to provide non-critical notification to the filer. No action is required by the filer.

Examples of Informational messages include “DDTC License Now Exhausted”, “Original License To Be Lodged With CBP”, and “Quantity 2 Not Required By Schedule B/HTS”.

Parameter Change Request Process

Filers who frequently receive AES Verify messages may submit a Parameter Change Request to ftd.aes.parameterchange@census.gov. In order to submit your request, your company must use the Parameter Change Request Form.

The Parameter Change Request requires the following information:

• at least five Internal Transaction Numbers (ITNs) of shipments
• filed within the same month
• with the same Schedule B/HTS Number
• that generated the same verify message

The Foreign Trade Division’s Commodity Analysis Branch will investigate your request, make a ruling, and respond directly to the submitting party. If you have any questions, please send an e-mail to ftd.aes.parameterchange@census.gov.