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Economic Indicator Database


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

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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):

https://www.cbp.gov/document/guidance/aestir-appendix-commodity-filing-response-messages



*In the weeks outside of the AES Compliance Report, filers with remaining
unresolved fatal errors will receive an AES Fatal Error Report.

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
 * 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.


TYPES OF RESPONSE 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 five calendar days after departure.

Warning Message

A Warning message is sent by the AES when additional data is required on a
filing but the filing is accepted. 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”.

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Parameter Change Request Process

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Filers who frequently receive AES Verify messages may submit a Parameter Change
Request to EID.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 Economic Indicators Division’s Micro 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 EID.parameterchange@census.gov.

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