Understanding Your Compliance Report – Part 2

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By: Eric Gauthier

Last time I explained the importance of the Automated Export System (AES) Compliance Report to your company and what you need to do to address it. The AES Compliance Report includes your company’s Compliance Alerts for the last three statistical months. You may be wondering, what is defined as a compliance alert? Or, what actions can generate a compliance alert?

Well, a Compliance Alert is generated when the Electronic Export Information (EEI) is filed late and/or a change was made to certain data elements in a shipment after the date of export. The compliance alert is sent to your company by electronic notification along with the Internal Transaction Number (ITN).

Compliance Alert Response
What alerts can be generated and  when? 

There are many kinds of compliance alerts. It is important to be familiar with all the code types so that your company can develop best practices to prevent the alerts from being generated in the first place.

The Compliance Alert Conditions are:

Response Code 076 – USPPI Changed Post Departure
Response Code 700 – Shipment Reported Late; Predeparture
Response Code 701 – Shipment Reported Late; Postdeparture
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

Let’s take a look at some of the most common alerts. One of those is Response Code 700 – Shipment Reported Late; Predeparture. When creating a new EEI, it’s considered late if the date when the shipment is accepted is after the reported Date of Export. In addition, if you make an update to your EEI, it will be considered late and generate an alert if the Estimated Date of Export is changed to a date earlier than the original filing date.

Other compliance alerts, Response Code 702 – Line Activity Add Post Departure and Response Code 703 – Line Activity Delete Post Departure, are generated if a commodity is added or deleted from the shipment after the date of export.  This is because the number of commodity lines are considered critical data and should be known at the time of departure. It is not a good practice to add or delete commodity lines after the shipment is exported and such actions are monitored.

Another compliance alert is Response Code 076 – USPPI Changed Post Departure. This means the USPPI reported was changed in the EEI after the reported departure date. While AES will allow a change to the USPPI information, every effort should be made to ensure the correct USPPI information is reported prior to departure.

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.

 

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