AES Compliance Rates to Include Unresolved Fatal Errors Soon
The Census Bureau's March 2012 AES Newsletter states that the calculation of AES compliance rates will include outstanding fatal errors beginning with the April 2012 AES Compliance Report. In addition, filers will receive additional information regarding these unresolved errors. A final notification of this change will be sent 2 weeks prior to the implementation date.
(Census states that this modification will provide AES filers a complete compliance rate that reflects their efforts to maintain compliance with the Foreign Trade Regulations. See ITT’s Online Archives 12012039 for summary of the AES Broadcast that served as the initial notification of this change to the AES Compliance Report.)
Compliance Report to Detail Unresolved Fatal Errors
The Compliance Report will contain the new compliance rate and detailed information about each shipment with unresolved fatal errors, including the Shipment Reference Numbers, AES Response Codes, and AES Response Narratives. A listing of the most frequent unresolved fatal error(s) and their associated reason and resolution will be provided.
Fatal Error Report to only be Issued Monthly as a Result
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 disseminated currently.
Filers with Increasing Number of Unresolved Fatal Errors to See Compliance Rate Plummet
As with the current calculation, the new rate will continue to take into account the number of monthly AES Compliance Alerts per shipment. However, the rate will include the number of unresolved fatal errors for the specified month.
Filers with few or no fatal errors will continue to see similar compliance rates under the new calculation. Filers with increasing numbers of unresolved fatal errors, with respect to their number of shipments filed, can expect significant decreases in their monthly compliance rates until these errors are addressed.
To Maintain a High Compliance Rate, Resolve Fatal Errors Quickly, Etc.
Census states that, to maintain a high compliance rate, filers should:
1. Make sure their AES Compliance and AES Fatal Error Reports are sent to the appropriate person in their company.
2. Minimize the total number of monthly AES Compliance Alerts.
3. Monitor and resolve outstanding fatal errors as soon as they are received.
4. Properly suppress or resubmit rejected shipments.
5. Familiarize themselves with the Appendix A— Commodity Filing Response Messages—to correct their AES Fatal Errors and to avoid future errors.
Regulations Require Correction of Fatal Errors
As a reminder, 15 CFR Part 30—Foreign Trade Regulations Section 30.9—states that fatal errors must be corrected and the Electronic Export Information (EEI) resubmitted prior to export for shipments filed pre-departure and as soon as possible for shipments filed post-departure, but not later than 10 calendar days after departure.