AES Compliance Report Details

Contents:

• Overview
• Warning Condition
• Compliance Alert Conditions
• Statistical Verification Conditions
• Informational Conditions
• Commodity Parameter Change Request

---

Overview

The AES Branch is required, by regulation 15CFR, Part 30.62 (a) (3), to identify inconsistencies in AES data and make recommendations that will result in the appropriate corrective actions by the participant. The AES Compliance Report is used for that purpose.

The AES Compliance Report displays the following for each company:

• The number of shipments for the last three statistical months;
• The number of compliance alerts for the last three statistical months;
• Warning, Compliance Alert, and Statistical Verification detail for the last three statistical months--see descriptions below;
• The percent of change in the number of shipments from the current to the previous statistical month;
• The compliance rate for the current statistical month (calculated by dividing the Number of Compliance Alerts by the Number of Shipments, subtracted from 100%).
• Details based on whether the shipments were filed late through Option 2 (Error Response 700) or Option 4 (Error Response 701).

When a participant’s compliance rate is found to be unacceptable, the AES Branch will work closely with the participant to help to improve the compliance rate and the quality of AES filings. Note: If your report contains late filed shipments, the compliance rate WILL NOT be re-calculated after corrections are made to the Date of Export.

Verify and Informational Conditions are provided on the Compliance Report for your information. When Commodity verify conditions have been verified to be true and the same verify condition is issued repeatedly for the same classification number, a parameter adjustment is possible. Please see Commodity Parameter Change Request below. Note: Verify and Informational Conditions are not included in the AES compliance rate.

For more detailed information on how to resolve AES error messages, please link to Appendix A of the Automated Export System Trade Interface Requirements.

http://www.customs.gov/xp/cgov/export/aes/tech_docs/aestir/june04_intro/appendices/

If you have questions, please do not hesitate to call 1-800-549-0595 select Menu Option 1 or e-mail [email protected].

Warning Condition

Response Code 341 - Ultimate Consignee Must be Reported Within 4 Days

Compliance Alert Conditions

Response Code 076 - USPPI Changed Post Departure
Response Code 700 - Shipment Reported Late; Opt 2
Response Code 701 - Shipment Reported Late; Opt 4
Response Code 702 - Line Activity Add Post Departure
Response Code 703 - Line Activity Delete Post Departure
Response Code 704 - License Type Change Post Departure
Response Code 705 - License Number Change Post Departure
Response Code 706 - Licensable Value Change Post Departure
Response Code 707 - Used Vehicle(s) Change Post Departure

Statistical Verification Conditions

Response Code 145 - Sanctioned Country
Response Code 605 - VIN Check Digit Failure
Response Code 606 - VIN Contains Invalid Characters
Response Code 607 - VIN Prefix Unknown
Response Code 608 - VIN Contains Invalid World Make ID
Response Code 609 - VIN is too Short
Response Code 610 - VIN is too Long
Response Code 611 - VIN Production Sequence Too Low
Response Code 612 - VIN Production Sequence Too High
Response Code 613 - VIN Contains Invalid Year
Response Code 625 - Schedule B/HTS Number Outdated-In Grace Period
Response Code 634 - Value of Goods Exceeds $249,999,999
Response Code: 8H1 - Value/Quantity 1 out of Range - High
Response Code: 8H2 - Value/Quantity 2 out of Range - High
Response Code: 8L1 - Value/Quantity 1 out of Range - Low
Response Code: 8L2 - Value/Quantity 2 out of Range - Low
Response Code: 8P1 - Improbable Commodity for Fixed Transport
Response Code: 8QR - Quantity Relationship out of Range
Response Code: 8SR - Shipping Wgt too High for Rail Shipment
Response Code: 8ST - Shipping Wgt too High for Truck Shipment
Response Code: 8VW - Value/Shipping wgt Out of Range
Response Code: 8W1 - Shipping wgt/Quantity 1 Out of Range
Response Code: 8W2 - Shipping wgt/Quantity 2 out of Range
Response Code: 808 - Improbable Destination for Commodity
Response Code: 821 - Shipping wgt too High for Vessel Shipment
Response Code: 826 - Shipping wgt too High for Air Shipment
Response Code: 835 - Value of Goods too High for Commodity
Response Code: 836 - Value of Goods too Low for Commodity
Response Code: 837 - Quantity 1 too High for Commodity
Response Code: 838 - Quantity 1 too Low for Commodity
Response Code: 839 - Quantity 2 too High for Commodity
Response Code: 840 - Quantity 2 too Low for Commodity
Response Code: 850 - Improbable Foreign/Domestic Origin
Response Code: 851 - Improbable Commodity for Air Shipment
Response Code: 853 - Improbable Destination for Military Goods
Response Code: 854 - Improbable Commodity for Mail Shipment
Response Code: 855 - Foreign Origin Versus In-Transit

Informational Conditions

Response Code: 176 - DDTC License Now Exhausted
Response Code: 177 - Original To Be Lodged With CBP
Response Code: 178 - Documents To Be Provided to CBP
Response Code: 591 - Available License Value = $ -Available Balance-
Response Code: 629 - Schedule B/HTS Requires 1st UOM Code
Response Code: 633 - Schedule B/HTS Requires 2nd UOM
Response Code: 645 - Quantity 2 Not Required By Schedule B/HTS

Commodity Parameter Change Request

Call 1-800-595-0595 select Menu Option 1 or e-mail [email protected]

Have available:

1. Five examples (XTNs or ITNs) which occurred within the "same month", with the "same Schedule B/HTS Number" -verified to be correct;
2. The classification description;
3. The corresponding Commercial Invoice for each;
4. The Response Condition Code received.

The review process will take approximately 1 month.