Filing Your Export Shipments Through The Automated Export System (AES)

A SHIPPING SOLUTIONS WHITE PAPER
Filing Your Export Shipments

through the Automated
Export System (AES)
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Filing Your Export Shipments
through the Automated
Export System (AES)
What Is AES?
The Automated Export System (AES) is the primary instrument used by
the U.S. Census Bureau to collect data on U.S. exports, which becomes part
of the statistics used to compile the U.S. position on merchandise trade. In
other words, by reporting your exports to AES, your information is included
in the economic indicators and Gross Domestic Product (GDP) of our nation’s
economy. In addition, U.S. Customs & Border Protection (CBP) uses the
data to ensure compliance with U.S. export regulations so that our country’s
exports do not fall into the hands of unauthorized parties that may harm the
homeland or U.S. interests abroad.
So, reporting to AES is important!
While previously you could file this information on a Shipper’s Export

Declaration (SED) paper form, companies are now required to file
electronically using a system called AESDirect, which is accessed through the
Automated Commercial Environment (ACE). The information you file is called
Electronic Export Information (EEI).
According to the Census Bureau, electronic filing of the export information

improves the government’s ability to monitor and prevent exports of
critical goods and technologies that may threaten our national security and
significantly improves the quality and timeliness of export statistics.
When Do I Need to File with AES?

An AES filing is required for most exports of merchandise from the United
States to a foreign country if the merchandise is valued at $2,500 or more
by Schedule B number. However, the origin of the goods, either domestic
or foreign, is also considered. For example, if you have two items in your
shipment with the same Schedule B number valued at $2,000 each for a total
of $4,000, and both are of domestic origin or both of foreign origin, you do
need to file through AES. However, if half of it is of foreign origin and half
domestic origin, then you do not need to file because the items by Schedule B
number and by origin are only valued at $2,000 each.
An AES filing is also required for all exports that require an export license
from the U.S. Commerce or State Departments regardless of value. Goods
subject to ITAR but exempt from licensing requirements regardless of value or
destination must be filed through AES.
Exports from the U.S. to Canada don’t require an AES filing regardless of
the value of the merchandise unless the item is a self-propelled vehicle or an
export license or license exception is required. As a matter of fact, all used
self-propelled vehicles must be filed regardless of value or destination.
An AES filing is also required for rough diamonds (classified under HS

subheadings 7102.10, 7102.21 and 7102.31) regardless of value or destination.
In most cases, the filing must be done from 1 to 24 hours prior to the actual
export of the shipment depending on the method of transportation.
Civil and criminal penalties for failing to file through AES or for filing
incorrect information can be up to a maximum of $10,000 per violation. It
is the job of the Office of Export Enforcement within the U.S. Department of
Commerce and U.S. Customs and Border Protection within the Department of
Homeland Security to investigate and enforce these rules.
Who Does the AES Filing?
An AES filing is often submitted by the U.S. Principal Party in Interest
(USPPI), which is typically the U.S. exporter. It can also be submitted by an
authorized agent of the USPPI, such as a freight forwarder. A U.S. agent of
the Foreign Principal Party in Interest (FPPI), which is typically the ultimate
consignee, can also submit the EEI, such as when the buyer hires a U.S.-based
freight forwarder to arrange the export. The address reported for the USPPI in
the AES filing must be the address where the goods begin their journey to the
port of export.
If the exporter or the foreign buyer is relying on an agent or freight

forwarder to file a submission through AES, they must present this agent with
a written limited power of attorney or some other written authorization.
While the responsibility of filing with AES can be out-sourced, the liability
cannot. Be sure to request proof of filing if you authorize your freight
forwarder to do it for you.
How Do I File with AES?

The ACE portal can be accessed directly at https://ace.cbp.dhs.gov. Once you
have logged in you will have to type all your shipment information directly on
the AESDirect screens.
Another option is to access AESDirect through an export documentation

software such as Shipping Solutions. That way the same data you have
entered to complete your export documents is easily uploaded to AESDirect,
eliminating redundant data entry, which reduces mistakes and provides
a substantial cost savings. Some Shipping Solutions customers have said
they have recouped their investment in the software in less than 10 export
shipments.
In addition, by utilizing a software program, it allows companies to keep
the AES filing in-house since the exporter is responsible for the accuracy of the
data regardless of who they have file it.
The following section outlines the steps to follow in order to create an

AESDirect filing.
Get an ACE Account

In order to file with AESDirect you must first get an ACE User Name and
Password. If you are an importer as well as an exporter, you may already have
one. In that case, just make sure that it has the Exporter Account Type. To
check this, talk to your company’s Trade Account Owner, and if needed, get
the Exporter role added to your account. If you don’t have an ACE account,
the application is on the CBP website (https://ace.cbp.dhs.gov/acexpub/
acexpub_Apps/ExporterAccountApplication/expForm.php?eml=gd&utm_
medium=email&utm_source=govdelivery).
Logging Into ACE for the First Time

Once you have your ACE account, login to the CBP website (https://ace.
cbp.dhs.gov) to accept the AESDirect certification statements. You must use
Internet Explorer with the pop-up blocker turned off. You may be asked to
verify your account. If you see a screen like the one below, click the radio
button next to your company name and click Select and Continue. If your
company is not listed, contact the ACE Account Service Desk at (866) 530-4172,
option 1.
Account Verification Pop-up
You will then be taken to the main ACE screen. Click the Accounts tab.
The tabs on the ACE screen are located below the ACE Secure Data Portal
heading. Choose Exporter in the Account Type drop-down list and click Go.
Click the Submit AES Direct Filings task. This will take you to a screen that
contains eight AES Certification Statements. Read each statement, check the
box next to each statement, and click Accept. The statements are shown in
Appendix 1.
After clicking Accept you will be taken to the AESDirect Shipment Manager.
There is no logout button on this screen, so simply close the browser to exit.
Logout of the ACE portal screen by clicking the little door icon just below the
flag on the right side of the screen.
Filing through AESDirect

Starting in April 2016, all exporters were required to access AESDirect via the
ACE portal. There are two ways to login to ACE. You can login directly from
the CBP website, or you can use an export documentation and compliance
software, such as Shipping Solutions.
To login from the CBP website go to https://ace.cbp.dhs.gov. You must use

Internet Explorer V10 or higher, and you must disable your browser’s pop-up
blocker. The disadvantage of using this method is that once you are logged in
to ACE, you will have to type in all your shipment information manually into
AESDirect.
With a software program like Shipping Solutions, on the other hand, all the
information that you have already entered into the program to create your
export documents can quickly and easily be uploaded to AESDirect. Also,
Shipping Solutions does a preliminary check of your data to make sure you
aren’t missing any required information.
To login to ACE using Shipping Solutions, click the AES button at the top of
the EZ Start screen. Any missing items will be listed on the right side of the
AES screen along with the EZ Start screen where they should be entered in
Shipping Solutions. Close the AES screen and enter the missing items, and
then click the AES button again. When all data has been entered, the message
All AES data is complete will appear on the right side of the screen. Click the
Login tab and login to ACE.
The ACE Portal Login Screen
On the ACE Portal, click the Accounts tab. The tabs on the ACE screen are
located below the ACE Secure Data Portal heading. Choose Exporter in
the Account Type drop-down list and click Go. If you have more than one
account, choose one from the Account Selector list.
The Accounts Tab on the ACE Portal
Upload Your Data to AESDirect
If you are logged directly into the ACE portal, click the Submit AESDirect
Filings task. On the AESDirect screen, click the Create Export Filing button.
Enter your shipment information on the Shipment, Parties, Commodities
and Transportation screens.
If you are using Shipping Solutions, click the Shipment tab and then
click the Create Filing button. A Filing tab will open. After a few seconds
you will see your data pop into the Shipment, Parties, Commodities and
Transportation screens.
See below for an explanation of the fields on each of the four screens.
Once you are confident your data is complete, click the green Submit Filing
button. If there is any data that does not meet AESDirect standards, you will
get a Filing Contains Errors screen. Small red boxes will appear next to each
step in the filing identifying the errors. Read the messages in red identifying
what is wrong with the data, fix the data, and click the Submit Filing button
again. Continue fixing errors until your shipment is accepted.
When your filing is accepted you will get a pop-up message with a thumbs-
up icon. Closing the shipment will take you to the AESDirect Shipment
Manager screen. You will then see an ITN number listed next to your
shipment. You can copy and paste this number to the EZ Start-EEI screen in
Shipping Solutions or click the Get ITN number button, which will copy the
ITN number for you. It will then print on the appropriate export documents.
It will be sent to the email address or addresses entered on the Step 1:
Shipment tab.
The AESDirect Shipment Manager
Once you have the green “Accepted” status next to your shipment, you’re
done! Congratulations!
Data Fields on the Export Filing Screen
Each field on the four steps of the Export Filing Screen are described below.
Step 1: Shipment
Step 1: Shipment Tab
DATA FIELDS ON THE EXPORT FILING SCREEN: SHIPMENT
Field Description Requirements
Email Response Address The email address where the AES At least one email is required.
response containing the ITN number
will be sent. More than one email
address can be added if separated by
commas.
Shipment Reference Number This is a unique identification number A unique number is required to
(1-17 alphanumeric characters) used identify each shipment. A number
to identify each shipment. The reuse cannot be reused.
of a Shipment Reference Number is
prohibited. AESDirect recommends
that you establish a unique format to
create Shipment Reference Numbers
and maintain a log of those already
used.
Filing Option Filing Options include: This field is required. Most companies
will use Option 2.
2 – Pre Departure
3P – AEI Partial
3F – AEI Complete
4 – Post Departure
This field will default to Option

2. Post departure and Advanced
Export Information (AEI) filing is only
available with approved USPPI IDs and
for EEI that meet the requirements for
post departure (AEI) filing.
Mode of Transport (MOT) Report the method by which the Required

goods are exported from the U.S. For
shipments crossing through Canada
or Mexico to another destination,
report the mode of transportation for
the movement of the goods out of the
United States.
Port of Export Seaport or airport where the goods are Required

loaded on the exporting carrier that
is taking the goods out of the United
States or the port where the exports
(by overland transportation) cross the
U.S. border into a foreign country.
Port of Unlading The first port where the goods will be This field is required for vessel
removed from the exporting carrier. shipments. It is also required for air
shipments between the U.S. and
Puerto Rico.
Departure Date Report the date of export out of the Required

U.S.
Origin State Indicate where the goods begin their Required

journey to the port of export. If a
shipment is coming from more than
one warehouse located in different
states, provide the state with the
commodity of greatest value. If this
is unknown, provide the state where
the commodities are consolidated for
export.
Country of Destination Country where the goods will be Required

consumed, further processed, stored
or manufactured as known at the
time of export. For shipments with the
ultimate destination of Puerto Rico,
select ‘Puerto Rico’ from the drop-
down list.
Inbond Type The code indicating whether the Inbond shipments may not require an
shipment is being transported AES filing. Check FTR 30.2(d)(1).
under bond, and if so, the type of
withdrawal. If required, choices
include either warehouse or Foreign
Trade Zone (FTZ) withdrawals for
either Transportation and Exportation
(T and E) or Immediate Exportation
(IE).
Foreign Trade Zone (FTZ) Foreign Trade Zones (FTZ) are Only required if goods are removed
specially licensed commercial and from the FTZ and not entered for
industrial areas or areas near ports consumption.
of entry where foreign and domestic
goods may be brought in without
being subject to payment of Customs
duties. They are also referred to as
free trade zones or special economic
zones. Provide the alphanumeric
code assigned by the Foreign Trade
Zone Board, which are available at
the International Trade Commission
website.
Import Entry # If an Inbond Code is specified, report This field is only required if an Inbond
the import entry number. Code is reported.
Is this a Routed Transaction? A shipment is considered “routed” Indicate yes if routed or no if standard.
when the foreign principal party in
interest (FPPI) authorizes a U.S. freight
forwarder or U.S. agent to facilitate the
export of items, prepare the Electronic
Export Information (EEI) and file the
EEI on its behalf.
Are USPPI and Ultimate Consignee When the USPPI and/or the Ultimate Indicate yes or no.
companies related? Consignee owns directly or indirectly
10% or more of either party.
Does shipment contain hazardous Specify if there is any hazardous Indicate yes or no.
material? merchandise as defined by the
Department of Transportation.
DATA FIELDS ON THE EXPORT FILING SCREEN: PARTIES
Step 2: Parties
Step 2: Parties Tab
Section Field Description Requirements
USPPI ID Number Type Select either Employer Identification Required

Number (EIN), DUNS or Foreign Entity
ID (such as a passport number).
USPPI ID Number The number corresponding to the type Required

you chose above. If you have chosen
a Foreign Entity ID, the foreign party
must be in the U.S. when the goods
are obtained for export.
USPPI Company Name Enter the company’s name. Required
USPPI IRS Number If you selected DUNS as the ID Number Only required if ID Number Type is
Type you must also enter a tax ID DUNS.
number here.
USPPI First and Last Provide the first and last name of the Required
Name contact person. Names must have
at least two letters and cannot have
special characters such as accents or
punctuation.
USPPI Phone Number Provide a contact phone number. Required
USPPI Address Line 1 Indicate the address (no P.O. box Required
numbers) of the location from which
the merchandise actually begins its
journey to the port of export.
For example, goods loaded in a

truck at a warehouse in Georgia for
transport to Florida to then be loaded
on a vessel for export to a foreign
country must show the address of the
warehouse in Georgia.
For shipments of multiple cargo

origins, report the address from where
the commodity with the greatest
value begins its export journey. If
such information is not known, report
the address in the state where the
merchandise is consolidated.
USPPI Address Line 2 Enter the second line of the address. Optional
USPPI Postal Code, City Enter the postal (or zip) code, city and Required
and State state for the address.
Ultimate Sold En Route? If you do not know the ultimate Required

Consignee consignee because your cargo will be
sold while in transit, select ‘Yes’.
Input data as follows:
• Ultimate Consignee Name: SOLD

EN ROUTE
• Address 1: SEA
• City: City of First Port of Call
• Country: Country of First Port of

Call (2 digit ISO code)
Consignee information must

be updated within four days of
exportation or as soon as the
information is known.
Ultimate Consignee Type Select the consignee type based Required

Consignee on the business function from the
consignee that applies most often.
Direct Consumer - a non-government

institution, enterprise, or company
that will consume or use the exported
good as a consumable, for its own
internal processes, as an input to the
production.
Government Entity - a government-

owned or government-controlled
agency, institution, enterprise, or
company.
Reseller- a non-government reseller,

retailer, wholesaler, distributor,
distribution center or trading
company.
Other/Unknown - an entity not

previously indicated, as defined
above, or whose ultimate consignee
type is not known at the time of
export.
Ultimate ID Number Type Select either Employer Identification Optional

Consignee Number (EIN), DUNS or Foreign Entity
ID (such as a passport number).
Ultimate ID Number The number corresponding to the type Optional

Consignee you chose above.
Ultimate Company Name Enter the company’s name. If you Required

Consignee selected “Sold En Route” all consignee
information must be updated within
four calendar days from the departure
date or as soon as the information is
known.
Ultimate First Name, Last Enter the contact person’s name and Optional
Consignee Name and Phone phone number.
Number
Ultimate Address Line 1 Enter the first line of the address. Required
Consignee
Ultimate Address Line 2 Enter the second line of the address. Optional
Consignee
Ultimate Country Enter the country of ultimate Required

Consignee destination. Select United States
for shipments with the ultimate
destination of Puerto Rico.
Ultimate Postal Code Enter the postal (zip) code for the state Only required for shipments to Puerto
Consignee reported. Rico.
Ultimate City Enter the city of ultimate destination. Required

Consignee
Ultimate State A state is required for shipments to Required for shipments to Mexico and
Consignee Mexico and Puerto Rico. Use PR for Puerto Rico only.
Puerto Rico.
Intermediate All Fields The intermediate consignee is the If you have an Intermediate
Consignee person or entity in the foreign country Consignee, the same requirements
that acts as an agent for the USPPI that apply to each data field for the
with the purpose of effecting delivery Ultimate Consignee also apply here.
of items to the ultimate consignee.
An intermediate consignee is not
required.
Freight All Fields A freight forwarder is optional. If you have a freight forwarder, the
Forwarder same requirements that apply to each
data field for the USPPI apply here.
DATA FIELDS ON THE EXPORT FILING SCREEN: COMMODITIES
Step 3: Commodities
The following data items are entered for each line item in your shipment. Items should be separated
based on Commodity Classification Code (Schedule B code), Origin (whether Domestic or Foreign),
commodities valued over $2,500, and those requiring an export license. If you are using Shipping Solutions,
your line items will automatically be combined as they are uploaded to AESDirect.
Step 3: Commodities Tab
Export Information Code This is the type of export. See Required

Appendix 2 for a list of export types.
Schedule B or HTS Number Provide the 10-digit commodity Required except for Export
classification number. Do not include Information Code HH (personal and
any periods. Some HTS numbers are household effects and tools of the
not valid for export. Schedule B trade).
numbers can be found on the U.S.
Census Department website.
Commodity Description Report an appropriate description for Required

the item.
1st and 2nd Quantity Report the total quantity of the Required except for Export
commodity being exported for each Information Code HH (personal and
item. Report in the unit of measure household effects and tools of the
as required by the Schedule B or HTS trade).
number. Schedule B numbers and
their correct units of measure can be
found on the U.S. Census Department
website.
1st and 2nd Unit of Measure The unit of measure (UOM) is Required except for Export
determined by the Schedule B or HTS Information Code HH (personal and
number entered. You can find the household effects and tools of the
correct UOM listed with the Schedule trade).
B code on the U.S. Census Bureau
website.
Origin of Goods Select “domestic” if commodity is Required except for Export

grown, produced or manufactured Information Code HH (personal and
in the U.S. Select “foreign” for goods household effects and tools of the
grown, produced or manufactured in trade). If the origins vary for the same
foreign countries that have not been classification number, report foreign
changed in form or condition in the goods separately from domestic
U.S. Items of domestic and foreign goods.
origin under the same commodity
classification number (Schedule B
number) must be reported separately
and EEI filing is required when either is
over $2,500.
Value of Goods Report the value of the goods at the Required. Report in U.S. Dollars in
U.S. port of export. The value shall be whole dollars.
the selling price of the goods including
inland or domestic freight, insurance
and other charges to the U.S. port.
For details, see the Foreign Trade
Regulations 30.6(a)(17).
Shipping Weight Report the weight of the commodity Required. Report in whole kilograms.
and weight of normal packaging.
Report in kilograms. For details, see
the Foreign Trade Regulations 30.6(a)
(16).
ECCN This is the Export Classification Required for any item listed on the
Control Number (ECCN) and is used CCL.
to identify items on the Commerce
Control List (CCL). If your item appears
on the CCL, it may require an export
license depending on the country you
are shipping to. Many items do not
have an ECCN number.
License Type Code/License Exemption Enter the appropriate license type Required
Number for the commodity. Either a license
number or exemption code will also be
required. See Appendix 3 for a list of
license types and exemption codes.
Agriculture and Marketing Services Does the filing require an Agriculture Required
(AMS) Permit Required and Marketing Services (AMS) permit?
Indicate Yes or No. If yes, additional
fields will be required.
Environmental Protection Agency Does the filing require an Required

(EPA) Permit Required Environmental Protection Agency
(EPA) Permit? Indicate Yes or No. If yes,
additional fields will be required.
Does the filing include Used Vehicles? Is this a used vehicle? Indicate Yes or Required
No. If yes, you will need to enter the
Vehicle ID number, Vehicle Title, and
Vehicle Title State.
A used vehicle, according to Customs

and Border Protection CFR 192.2, is
defined as any self-propelled vehicle
the equitable or legal title to which has
been transferred by a manufacturer,
distributor, or dealer to an ultimate
purchaser.
DATA FIELDS ON THE EXPORT FILING SCREEN: TRANSPORTATION
Step 4: Transportation
Step 4: Transportation Tab
Carrier SCAC/IATA Enter the carrier code that identifies Required for Air, Vessel, Rail, and Truck
the transportation company. Contact shipments. Not required for shipments
your transportation company to via the US Postal Service.
obtain their carrier code.
Carrier codes are provided in Shipping

Solutions software.
Conveyance Name/Carrier Name Provide the vessel name for ocean Required for Air, Vessel, Rail, and Truck
shipments and the carrier name for shipments. Not required for shipments
air, truck, and rail shipments. You may via the US Postal Service.
report UNKNOWN.
DATA FIELDS ON THE EXPORT FILING SCREEN: TRANSPORTATION
Transportation Reference Number This is the reservation number or Required for vessel shipments.
booking number assigned by the Optional for air shipments.
ocean carrier to hold space on the
vessel for the cargo. This is optional
for air shipments, but if provided, it is
the air waybill number.
Equipment Number This is the identification number for This field is optional and can only be
shipping equipment, such as container entered for Air, Rail, Vessel or Truck
or igloo (Unit Load Device/ULD) shipments.
number, truck license number, or rail
car number.
Seal Number The security seal number placed on This field is optional and can only be
the equipment or container. entered for Air, Rail, Vessel or Truck
shipments.
When you close a shipment you will be returned to the AESDirect Shipment Manager
screen. There you will see a list of your filings from newest to oldest. The Shipment
Manager displays a green Accepted button if your filing was accepted and a red
Rejected button if your filing was rejected. If your filing was accepted, you will also see
the ITN number.
Draft Shipments
If you upload or enter a shipment but close it before submitting it to AESDirect, it
will be saved as a draft. Draft shipments are kept for 30 days and then deleted. Click
Edit under Shipment Actions to continue working on a shipment. If you can’t see the
Shipment Actions, click the plus sign next to the Shipment Reference Number. You
can click Delete to delete the draft or wait for it to be deleted after 30 days.
Searching for Shipments

If you want to search for a previous shipment, type your search criteria in the
Search box and click the Search button. You can type anything in the search box that
is shown on the AESDirect filing screen such as Shipment Reference Number, Last
Updated Date, Consignee or Destination.
To find a shipment that was filed using the old AESDirect legacy system, click the
Amend AES Filing button and search for it using the ITN number and Shipment
Reference Number.
Changing or Deleting a Previously Submitted
Shipment
To amend a previously submitted shipment, locate the shipment and click Amend.
To delete the shipment click Cancel EEI.
Logging Off
There is no logoff button on the AESDirect Shipment Manager screen. Simply close
your browser or the Shipping Solutions AES screen to exit.
Running Reports
From the ACE Portal it is possible to run reports of the EEI that has been submitted
by your company or submitted by someone else on your company’s behalf. These
reports provide easier access to your export data than the previous method of
submitting a request to Census. The reports can be created any time at no charge.
Data for the last five years plus the current year is available.
The reports are run by Employer Identification Number (EIN) and either an export
date range or a filing date range. The available reports include:
• The 201 Filer report – This report shows all shipments submitted by the filer
who is requesting the report for a given date range.
• The 202 USPPI report – This report shows all shipments submitted on behalf
of the USPPI who is requesting the report for a given date range. This option will
include shipments filed by the USPPI and shipments filed by others, such as a freight
forwarder.
• The 203 Routed report – This report provides a subset of data elements
for five previous years plus the current year for shipments flagged as routed export
transactions.
An ACE exporter account is required to access these reports, but that is not enough.
You also have to be authorized to run the reports. Some exporter accounts, if they
were added to an existing importer account, may already have report authorization.
You can check this by logging into ACE, clicking the Accounts tab, choosing Exporter
in the Account Type drop-down list and clicking Go. Then under accounts click the
name of your company, so it appears as the Exporter on the right side of the screen.
Then look for the Authorization for Reports account status. The status will tell you if
you are authorized for running reports or not.
If you are not authorized, click the button on the right side of the screen that says
Request EIN Reports Authorization. You will see a message that says you need to
provide additional information to get access to the report features.
Click the link to the Certification of Authority, complete the document, and send
it to exportreports@census.gov. You may have to answer additional questions from
Census before receiving reporting authorization.
Once you have authorization, you can access the reports by logging into ACE and
clicking the Accounts tab. Select Exporter in the Account Type drop-down list, click
Go, and then click Reports in the Select Task list. Click Launch Reports. You must use
Internet Explorer as your browser for the reports to launch.
Who to Call
• For questions about your ACE account, call the ACE Account Service Desk at
(866) 530-4172, option 1.
• General questions about EEI filings can be directed to the U.S. Census Bureau’s
Data Collection Branch at (800) 549-0595, option 1.
• If you have questions about Shipping Solutions, give us a call at (888) 890-7447
or (651) 905-1727.
APPENDIX 1
Appendix 1 – AES Certification Statements

Before you can file your EEI to AES, you must understand and agree to comply with
the following eight statements:
1. Shipments that require filing in AES include, but are not limited to:
• Goods valued over $2,500 per commodity (Schedule B or HTSUSA), sent from
one United States Principal Party in Interest (USPPI) to one consignee (in a single
country of destination), on a single conveyance, on the same day (except non-
licensed goods being exported to Canada).
• Goods requiring an export license regardless of value or destination.
• Goods subject to the ITAR but exempt from licensing requirements regardless
of value or destination.
• Used self-propelled vehicles regardless of value or destination.
• Rough diamonds (classified under HS subheadings 7102.10, 7102.21 and

7102.31) regardless of value or destination.
2. The Shipment Reference Number is a unique number created by the filer to

identify a specific shipment in AES. This number CANNOT be re-used for creating a
new shipment.
3. The address reported for the USPPI in the AES filing must be the address where
the goods begin their journey to the port of export.
4. If a shipment receives a Fatal Error or if shipment information changes after the

date of export, the shipment record must be retrieved, corrected and resubmitted
under the same Shipment Reference Number as soon as the error or updated
information is known to the filer.
5. The Internal Transaction Number (ITN) is received once a shipment is accepted

by the AES. The ITN, exemption or exclusion legend is required on the bill of lading, air
waybill, or other commercial documents as proof of filing.
APPENDIX 1
6. The Foreign Trade Regulations are located on the Census Bureau website: http://
www.census.gov/foreign-trade/regulations/index.html.
7. If the goods being shipped are subject to any other government/regulatory entity,
it is your responsibility to make this determination and comply accordingly.
8. I understand that civil and criminal penalties, including forfeiture and sale, may
be imposed for making false or fraudulent statements herein, failing to provide the
requested information, or for violation of U.S. laws on exportation (13 U.S.C. Sec. 305;
22 U.S.C. Sec 401; 18 U.S.C. Sec. 1001; 50 U.S.C. App. 2410).
APPENDIX 2
Appendix 2 - Export Information Codes

When filing your Electronic Export Information (EEI) with AES, you must select the
proper export code. The most common code is “OS—All other exports.” Here is a list
and description of all the export codes as they appear in the Foreign Trade Regulations
(15 CFR 30):
• TP—Temporary exports of domestic merchandise
• IP—Shipments of merchandise imported under a Temporary Import Bond for

further manufacturing or processing
• IR—Shipments of merchandise imported under a Temporary Import Bond for

repair
• CH—Shipments of goods donated for charity
• FS—Foreign Military Sales
• ZD—North American Free Trade Agreements (NAFTA) duty deferral shipments
• OS—All other exports
• HV—Shipments of personally owned vehicles
• HH—Household and personal effects
• TE—Temporary exports to be returned to the United States
• TL—Merchandise leased for less than a year
• IS—Shipments of merchandise imported under a Temporary Import Bond for

return in the same condition
APPENDIX 2
• CR—Shipments moving under a carnet
• GP—U.S. Government shipments
• MS—Shipments consigned to the U.S. Armed Forces
• GS—Shipments to U.S. Government agencies for their use
• UG—Gift parcels under Bureau of Industry and Security License Exception GFT
• DD—Other exemptions:
Currency
Airline tickets
Bank notes
Internal revenue stamps
State liquor stamps
Advertising literature
Shipments of temporary imports by foreign entities for their use
• IW—International water shipments
• CI—Impelled shipments of goods donated for relief or charity
• FI—Impelled Foreign Military Sales Program
• OI—All other exports (impelled) (For Manifest Use Only by AES Carriers)
APPENDIX 3
Appendix 3 – Export License Types and Exemption

Codes
Certain products require an export license before they can be exported to certain
countries. Here is a list of license types organized by agency as they appear in the
Foreign Trade Regulations (15 CFR 30). The License No./Exemption field indicates
whether a license number is required for each license type or whether an exemption
code must be submitted to AESDirect. For example, if you select License Type C30, you
must enter a license number for that item. If you enter License Type C35, you must
enter the exemption code LVS.
Licensing License License Description License No./

Agency Type Exemption
Dept. of C30 Licenses Issued by BIS Authorizing an Export, Re-Export, or Other License No.
Commerce, Regulated Activity
Bureau of
Industry & C31 Special Comprehensive License (SCL), Part 752 License No.
Security
C32 No License Required (NLR), Part 758 (Controlled for other than or NLR
in addition to Anti-Terrorism.)
C33 No License Required (NLR), Part 758 (All others, including Anti- NLR
Terrorism controls only.)
C35 Limited Value Shipments, Part 740.3 LVS
C36 Shipments To B Countries, Part 740.4 GBS
C37 Civil End Users, Part 740.5 CIV
C38 Restricted Technology and Software, Part 740.6 TSR
APPENDIX 3
Dept. of C40 Temporary Imports, Exports, and Re-Exports, Part 740.9 TMP
Commerce,
Bureau of C41 Servicing and Replacement of Parts and Equipment, Part 740.10 RPL
Industry &
Security
C42 Government and International Organizations, Part 740.11 GOV
C43 Gift Parcels and Humanitarian Donations, Part 740.12 GFT
C44 Technology and Software – Unrestricted, Part 740.13 TSU
C45 Baggage, Part 740.14 BAG
C46 Aircraft and Vessels, Part 740.15 AVS
C49 Trans-Alaska Pipeline Authorization Act, Part 754.2 TAPS
C50 Encryption Commodities and Software, Part 740.17 ENC
C51 License Exception Agricultural Commodities, Part 740.18 License No.
C53 Computers, Part 740.7 APP
C54 Short Supply Western Red Cedar, Part 754.4 SS-WRC
C55 Short Supply Crude Oil Samples, Part 754.2 SS-SAMPLE
C56 Short Supply Strategic Petroleum Reserves, Part 754.2 SS-SPR
C57 Authorization for Validated End-User VEU
C58 Consumer Communication Devices CCD
C59 Strategic Trade Authorizaton STA
C60 Exports that fall under “600 series” ECCNs with a paragraph “.y.” DY6
C62 Support for the Cuban People SCP
Nuclear N01 Nuclear Regulatory Commission (NRC) Form 250/250A License No.
Regulatory
Commission N02 NRC General Export License CFR Citation Number
APPENDIX 3
Dept. of SAG Agreements N/A

State,
Directorate SAU Australia ITAR Exemptions Community Member
of Defense No.
Trade
Controls SCA Canadian ITAR Exemption N/A
DDTC
SGB United Kingdom ITAR Exemptions Community Member

No.
S00 License Exemption Citation N/A
S05 DSP 5, Permanent export of unclassified defense articles and License No.
services
S61 DSP 61, Temporary import of unclassified articles License No.
S73 DSP 73, Temporary export of unclassified articles License No.
S85 DSP 85, Temporary or permanent import or export of classified License No.
articles
S94 DSP 94, Foreign Military Sales License No.
Dept. of T10 OFAC Specific License License No.

Treasury,
Office of T11 OFAC General Export License CFR Citation or
Foreign Federal Reg Citation
Assets or General License
Control Num
(OFAC)
T12 Kimberley Process Certificate Number KPC No.
Other License OPA Other Partnership Agency License License No. or OPA
Types
Dept. of E01 Atomic Energy Act Authorization/Licenses AEA

Energy,
National
Nuclear
Security
Voluntary Self VDC Commerce Department Voluntary Self-Disclosure N/A

Disclosures
VDS State Department Voluntary Disclosure N/A
VDO Other Partner Government Agency Voluntary Disclosure N/A
APPENDIX 4
Appendix 4 – Definitions
4-step Export Filing screen – This screen is within AESDirect, and it is the
screen you will be directed to after you have clicked the Create Filing button in
Shipping Solutions or when you click Create Export Filing from the AESDirect
Shipment Manager screen. Each of the four steps includes part of the data
you uploaded from Shipping Solutions or entered manually. The four steps
are Shipment, Parties, Commodities and Transportation. Review the data and
then click the green Submit Filing button to submit the data to AESDirect.
Accounts Tab – This tab is located in the ACE Portal. Once you are logged in,
click this tab to choose the Exporter Account Type and your Account (if your
company has more than one).
ACE Portal – The ACE Secure Data Portal is run by U.S. Customs and Border
Protection (CBP). It has long been used for reporting on U.S. imports. In 2016 it
was modified to allow for reporting of Electronic Export Information (EEI). You
must have a login to the ACE Portal in order to file your EEI whether you are
using Shipping Solutions or filing directly from the ACE Portal website.
AESDirect – AESDirect is run by the U.S. Census Bureau and is the system
through which your Electronic Export Information (EEI) is filed. It is accessed
through the ACE Portal. You will not see any reference to AESDirect on the ACE
Portal, however, until you login, click the Accounts tab, select the Exporter
Account Type, and click Go. You will then see a task called Submit AESDirect
Filings, which will take you to the AESDirect Shipment Manager.
AESDirect Legacy – This refers to the old system where Electronic Export
Information (EEI) was filed before AESDirect was refactored into the ACE
portal. The AESDirect Legacy system was decommissioned on April 30, 2016.
APPENDIX 4
AESDirect Shipment Manager – This screen is accessed through the ACE

Portal and shows you all your shipments whether they have been accepted,
rejected or are in draft form. You can edit or delete drafts, and you can amend
or cancel accepted shipments. You can also print a summary of the EEI that
you entered.
Create Filing button - This button is located on the Shipment tab of the
AES screen in Shipping Solutions. Once all your shipment data is entered in
Shipping Solutions, click this button to upload it to AESDirect. You must be
logged into the ACE Portal before clicking this button.
EEI – This stands for Electronic Export Information. It is the data that exporters
are required to file with the U.S. Census Bureau for most exports valued at
more than $2,500. The method for filing your EEI is through AESDirect via the
ACE Portal.
Filing Tab – This tab is located on the AES screen within Shipping Solutions.
It is the tab you will be directed to after you have clicked the Create Filing
button. The screen will show the 4-step Export Filing screen in AESDirect.
Login Tab – This tab is located on the AES screen within Shipping Solutions.
It links to the login page of the ACE Portal. You must login to the ACE Portal
before clicking the Create Filing button on the Shipment tab.
Shipment Tab – This tab is located on the AES screen within Shipping
Solutions. It shows the seven steps for filing your EEI through the ACE Portal. It
also provides a list of missing data so you can complete your shipment before
uploading it to AESDirect. The Create Filing button, which will upload your EEI
to AESDirect, is located on this tab.
Submit Filing button – This button is located on the 4-step Export Filing
screen for a particular shipment within AESDirect. Click this button to submit
your EEI information to AESDirect.
Want to Learn More About AES
and Shipping Solutions?
Thousands of successful exporters are

already using Shipping Solutions.
We’re so confident that you’ll agree that Shipping Solutions is the fastest,
easiest and most affordable way to produce your export documents and file
through AES that we back the software with a 60-day, no-questions-asked,
money-back guarantee.
Let us show you how Shipping Solutions can help your company.
Call us today at 888-890-7447, and we’ll arrange for a free, no-obligation

online demo of the software for you. Or download or request a free trial
version of Shipping Solutions at our website: http://shippingsolutions.com/
freetrial.
You’ll be glad you did.
Shipping Solutions®
A Division of InterMart®, Inc.
1400 Corporate Center Curve
Suite 110
Eagan, MN 55121
Phone: 651-905-1727
Toll Free: 888-890-7447

Filing Your Export Shipments Through The Automated Export System (AES)

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A SHIPPING SOLUTIONS WHITE PAPER

Filing Your Export Shipments

InterMart, Shipping Solutions, and the Shipping Solutions

So, reporting to AES is important!

While previously you could file this information on a Shipper’s Export

According to the Census Bureau, electronic filing of the export information

When Do I Need to File with AES?

An AES filing is also required for rough diamonds (classified under HS

If the exporter or the foreign buyer is relying on an agent or freight

How Do I File with AES?

Another option is to access AESDirect through an export documentation

The following section outlines the steps to follow in order to create an

Get an ACE Account

Logging Into ACE for the First Time

Account Verification Pop-up

Filing through AESDirect

To login from the CBP website go to https://ace.cbp.dhs.gov. You must use

The ACE Portal Login Screen

The Accounts Tab on the ACE Portal

The AESDirect Shipment Manager

Step 1: Shipment Tab

Field Description Requirements

This field will default to Option

Field Description Requirements

Mode of Transport (MOT) Report the method by which the Required

Port of Export Seaport or airport where the goods are Required

Departure Date Report the date of export out of the Required

Origin State Indicate where the goods begin their Required

Country of Destination Country where the goods will be Required

Field Description Requirements

Step 2: Parties Tab

Section Field Description Requirements

USPPI ID Number Type Select either Employer Identification Required

USPPI ID Number The number corresponding to the type Required

Section Field Description Requirements

USPPI Company Name Enter the company’s name. Required

USPPI Phone Number Provide a contact phone number. Required

For example, goods loaded in a

For shipments of multiple cargo

Section Field Description Requirements

Ultimate Sold En Route? If you do not know the ultimate Required

Input data as follows:

• Ultimate Consignee Name: SOLD

• City: City of First Port of Call

• Country: Country of First Port of

Consignee information must

Section Field Description Requirements

Ultimate Consignee Type Select the consignee type based Required

Direct Consumer - a non-government

Government Entity - a government-

Reseller- a non-government reseller,

Other/Unknown - an entity not

Ultimate ID Number Type Select either Employer Identification Optional

Ultimate ID Number The number corresponding to the type Optional

Ultimate Company Name Enter the company’s name. If you Required

Section Field Description Requirements

Ultimate Country Enter the country of ultimate Required

Ultimate City Enter the city of ultimate destination. Required

Step 3: Commodities Tab

Field Description Requirements

Export Information Code This is the type of export. See Required

Commodity Description Report an appropriate description for Required

Internal revenue stamps

State liquor stamps

Shipments of temporary imports by foreign entities for their use