As a filer to the Automated Export System (AES), it is important to review the information in your monthly AES Compliance Report that is emailed to the account administrator. Filers need to make sure that the company is maintaining a compliance rate as close to 100% as possible. So, what situations generate compliance alerts that go against a filer’s rate?

The most common compliance alert that filers receive is “Response Code 700 – Shipment Reported Late; Predeparture”. The alert is generated when a filer reports their shipment to the AES and receives an Internal Transaction Number (ITN) after the reported departure date. If you discover that your company has not filed a shipment, also referred to as Electronic Export Information (EEI), you are required to file it as soon as the discovery is made and you will receive a compliance alert.

Another common situation that generates this alert is when an incorrect date (or commonly an incorrect year) is entered for the departure date. We usually see an increase in compliance alerts at the beginning of a new year due to filers entering the previous year on the departure date. Make sure to be mindful of this common mistake at the beginning of each year.

If you are a postdeparture (Option 4) approved exporter or an authorized agent filing on behalf of an approved exporter, you may also receive the compliance alert “Response Code 701 – Shipment Reported Late; Postdeparture”. It is generated when a filer reports their shipment to the AES and receives an ITN after the allowable time frame for postdeparture shipments (currently 10 days but will be reduced to 5 days beginning October 2, 2014 per the recent update to the Foreign Trade Regulations (FTR) [PDF] and FTR Letter No. 8 [PDF]).

Other information on AES compliance alerts can be found in the blog titled “Understanding Your Compliance Report – Part 2”. Please ensure that your company’s shipments are filed in compliance with the FTR so that your compliance rating is not adversely affected.

For more information about these compliance alerts and other response messages, please review Appendix A of the AES Trade Interface Requirements or contact the AES Branch at the Foreign Trade Division Call Center at 1-800-549-0595, Option 1.