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Massachusetts Export Center Real-World AES Compliance Olga Kuznets Senior International Sales Support Rep, PMP, CGBP AGENDA ASPECT MEDICAL SYSTEMS, INC. Introduction AES Compliance Freight forwarder relationships AES Challenges and Tips 2 WHO WE ARE Aspect Medical Systems (NASDAQ: ASPM) was founded in 1987 and is recognized as a pioneer and global market leader in brain monitoring Bispectral Index (BIS) technology, to ultimately improve the quality and cost effectiveness of patient care. 3 AES COMPLIANCE AES Direct http://www.aesdirect.gov/ Set up process: “register new account” • Submit Registration Form • Review, Verify, and Confirm Information Submitted • Create Username and Password • Download User Guide/Sample Shipment http://download.aesdirect.gov/userguide/aesguide30809.pdf • Take Certification Quiz 4 AES Response messages Response Messages from the AES: • Acceptance, • Compliance Alert-can not be corrected • Verify • Warning • Fatal Error-will not return an ITN# Examples: Compliance Alert 700 Verify Message 8L1 Warning message “Response Message 341”– Fatal Error 649 Shipment Reported Late – Option 2 (Pre-departure) Value/Quantity1 out of range – Low “Ultimate Consignee Must be Reported in Four Days” for shipments flagged as “Sold En Route.” “Quantity 1” Cannot Exceed Shipping Weight 5 AES Compliance • AES Corrections and Compliance reports Questions regarding corrections should be directed to the Regulations, Outreach and Education Branch at 800-549-0595, Menu Option 3 or at [email protected]. • AES Downtime Policy (AESDOWN FilerID Example: AESDOWN 987654333) 6 Routed Export Transactions • A routed export transaction is a transaction in which the Foreign Principal Party of Interest authorizes a freight forwarder to prepare and file the Electronic Export Information. While the FPPI will select the U.S. agent, it may give authorization to the USPPI to file the EEI. 7 Routed Export Transactions Forwarder Letter of engagement: As a nominated forwarder for a routed export transaction we will not substitute or alter the information provided by “your company's name” without their authorization. We assume responsibility if there is a penalty for violating the regulations for failing to file Electronic Export Information with US census bureau in accordance with Instructions provided by “your company's name” on the on the Shipper’s Letter of Instructions. We will provide a copy of the following documents as soon as shipment departs from the United States: Air Way Bill copy/or Bill of Lading ( if transported by ground) EEI transaction record detailing items Schedule B#, values declared per each individual Schedule B#, weight Internal Transaction Number ( ITN#) provided by census bureau If any discrepancies in documentation are found by USPPI the corrections will be made within a reasonable time. Export will be performed in accordance with US Export Administration Regulations. 8 AES Compliance-Carrier data Elements Port of Export: required when self-filing your SED/EEI shipments with AESDirect. Depends on country of destination. 9 QUESTIONS? Thank you for your Time. 10