Automated Export System

Automated Export System: The Ultimate FAQ Guide

If you have any question about automated export system (AES), you will find the answer right here.

In fact, if you are in export business, then this is a must read guide for you.

Let’s dive right here.

What is Automated Export System?

Automated Export System (AES) is an electronic system set up by the US Census Bureau to collect export and trade data.

Exporters in the US use this system to provide information on whatever they are internationally exporting, whose value exceeds 2,500 USD.

The information you provide as an exporter is referred to as Electronic Export Information (EEI) and is useful to other agencies.

Such agencies include the Food and drugs Administration, the Directorate of Defense Trade Controls, and the Bureau of Industry and Security.

Before the electrical system, you filed your export declaration on a form known as the Shipper’s Export Declaration.

You submit your EEI to the Automated Commercial Environment (ACE), where you get an Internal Transaction Number (ITN) if successful.

Why is AES important?

You find the Automated Export System (AES) useful in several ways:

AES is useful as a Security and Compliance Measure

You provide a host of information related to your shipment intended for export when you file with the AES.

The information you provide is useful in ensuring the identification of any breaches of security protocols and dealt with.

For instance, where the destination of the cargo is blacklisted, the goods are seized before departure.

Furthermore, some goods are illegal in other countries, and the AES system prevents such exports.

Some of the information you provide when filing with the AES include:

  • The description of what you are exporting
  • Where the goods are from
  • The weight parameters of the items
  • Who is receiving payment for the shipment
  • Intended buyer(s) in case of intermediaries
  • Value of the cargo
  • Assigned HS Code
  • Ports of loading and lading
  • Country and city of arrival

AES is a Source of Useful Trade Statistics

When declaring your export goods, the information you provide is beneficial to the Census bureau when compiling trade export data.

The Census Bureau determines what goods are shipped, the quantity, and where they are shipped.

Consequently, you find the AES useful in determining the Gross Domestic Product (GDP) of the US.

Additionally, you use this information to provide forecasts and identify vital indications of the economic outlook.

What is AES Export Filing?

AES filing is the filing of export information electrically in the Automated Export System provided by the US Census Bureau.

When filing your exports electronically, you use the Automated Commercial Environment (ACE) portal on the Customs and Border Protection webpage.

You log in to the ACE portal to access AES Direct pages, which you duly fill with information relevant to your cargo.

You also have the option of using independent software with AES Direct access like Shipping Solutions.

Using independent software allows you to enter the information on your documents more efficiently with reduced errors.

Additionally, you omit unnecessary details while allowing you closer independent monitoring of the process.

Who needs to File AES?



You have to be the US Principal Party of Interest (USPPI), the exporter, to file the AES.

You can also authorize an agent such as a freight forwarder to file on your behalf as the USPPI.

A buyer, the Foreign Principal Party of Interest (FPPI), handling the customs responsibilities, can also file AES.

In this case, the buyer employs a US-based agent such as a freight forwarder.

You need to provide formal authorization to your agent or freight forwarder when they file AES on your behalf.

Such approval can be in the form of a letter, such as one offering limited attorney privilege.

However, when you use agents such as freight forwards to file AES on your behalf, you still bear liability.

Additionally, when reporting your address in the electronic system as a USPPI, it should be that of the goods’ origin.

When do you need to File with the Automated Export System (AES)?

You typically need to file with the AES when you are exporting cargo with a value of 2,500 USD or more.

Nonetheless, the source and destination of your goods influence the decision whether you file AES.

Your cargo is usually assigned a Schedule B number, which determines the categorization of freight.

For instance, say your shipment has two items with individual values lower than 2,500 USD but total values above it.

When both items are from the country or outside, you file with AES.

However, where the items have different origins, they are treated as separate items whose value is not subject to AES filing.

Other instances where filing for AES is mandatory include:

  • When exporting merchandise requiring an export license from an issuing authority such as a State department regardless of value and destination.
  • When exporting cargo of any value and destination with items requiring ITAR but excluded from licenses.
  • When exporting vehicles that are self-propelled of any value and destination.
  • You file with AES for rough-cut diamonds of the HS Codes 7102.10, 7102.21, and 7102.31 of any value and/or destination.

Usually, when exporting from the US to Canada, you must not file with AES save for a few exceptions.

Your window for filing is set against an item’s scheduled shipment and depends on the shipping method.

How do you get an AES Number during International Shipping?

You get an AES number for international shipping by logging into the Automated Commercial Environment (ACE) portal.

You can access the ACE system from the Custom and Border Protection web page or via unique software.

Using direct access requires you to fill in all the required information as per your documents manually.

However, using software allows you to easily upload your information to the AESDirect platform with reduced errors.

The following steps are useful in getting an AES number:

  • Upon successful login, select the tab for “Submit AESDirect Filings” and then the “Create Export Filing” on the resulting window.
  • You then provide information regarding your shipments, such as the parties involved, the nature of commodities, and the method of transportation.
  • Upon providing all the data required, submit by selecting the “Submit Filing” tab. Any errors or omissions you made are highlighted by a “Filing Contains Errors” pop up.
  • You have a thumbs-up upon successfully submitting EEI from whence you proceed to the “AESDirect Shipment Manager“ window. This window reveals your ITN number alongside your shipment.
  • You extract a copy of this number by selecting “Get ITN,” generating pages with the number on required documents. An “Accepted” notification indicates a successful application on the screen.

What is AES Exemption?

An AES exemption allows you not to file with AES.

Consequently, you can send your shipment without attaching an ITN while avoiding the exhaustive checks by customs.

An AES exemption reflects as a code that highlights why you are not obligated to present EEI.

You use this code as you would an ITN on your export documents.

The code identifies the specific section of the Foreign Trade Regulations that contains the exemption preceded with the initials NO EEI.

NO EEI stands for “No Electronic Export Information”.

What are AES Filing Exemptions?

You find several AES filing exemptions guiding general shipments, shipments intended for the US military, government agencies, and personnel.

Common AES filing exemptions include:

NO EEI 30.36

The exemption consists of cargo headed for Canada with no limit on the value save for automobiles.

You can use this exemption where you don’t need a permit or license for export.

However, you cannot use this exemption where the goods are under the scope of International Traffic in Arms Regulations (ITAR).

Additionally, cargo intended only for Canada’s storage purposes before being shipped to another country has no exemption.

NO EEI 30.37(a)

You use this exemption when you have goods whose value is less than 2,500 USD under the Schedule B categorization.

However, there are several instances where you cannot use this exemption.

That is when:

  • You require a special permit or export license for your shipment.
  • Shipment consists of a self-propelled vehicle.
  • Your shipment is under the scope of ITAR.
  • Shipment consists of rough diamonds regardless of value.
  • Your shipment destination is a blacklisted country such as North Korea, Iran, or Cuba.

NO EEI 30.37(b)

You invoke this exemption when the export cargo consists of trade tools intended for use by an exporting party’s extension.

An item is considered a trade tool when it is employed by company actors while enhancing the company’s value.

A guide for these tools is as follows:

  • Tools have to be owned by the company making the shipment.
  • Tools are with a representative of the company making the shipment.
  • Nature of the tools is for business.
  • Tools are not subject to sale.
  • Tools are returned to the US within 365 days since their export.
  • Shipment of the tools is not on an air waybill or bill of lading.

NO EEI 30.37(f)

With this exemption, you can export software and related technology not accompanied by a license authorizing export.

However, this limitation is inapplicable for software that you mass-market.

NO EEI 30.37(g)

You use this exemption when you ship items such as books, journals, charts, and other related items.

These articles find use in libraries, government-funded establishments, and research institutions.

NO EEI 30.37(h)

The exemption above covers shipments you present as gifts and donations intended for humanitarian purposes.

NO EEI 30.37(i)

When you are shipping diplomatic bags, both the bags and the contents require no filing with AES.

NO EEI 30.37(j)

Transporting of human cargo and related features such as the casket and flowers require no AES filing under this exemption.

NO EEI 30.37(l)

When shipping your pets as cargo, you use this exemption, whether you travel with the pet or not.

The exemption also applies when you leave the US or are a crew member of the ship or airplane.

NO EEI 30.37(s)

Monetary instruments such as legal tender and securities whose financial claim you can provide evidence for have exemptions under this code.

NO EEI 30.37(t)

You can ship documents such as airline tickets and internal revenue stamps out of the US without filing with AES.

You find this possible only if these documents facilitate the execution of international transactions.

Do you need an AES Exemption?

Shipping from by sea

Shipping from USA by sea

An AES exemption allows you to make a shipment without having to report to the Census Bureau.

You avoid the detailed process of providing a host of information associated with your package saving you time and money.

With an exemption, you can send gifts and donations of any value anywhere.

Moreover, you can contribute to developing ideas and research in various institutions by shipping learning material.

Failure to file AES, late filing, and/or erroneous filing attracts hefty penalties and fines.

With an AES exemption, you avoid getting caught in one of these predicaments, which you pay with time or money.

What is the AES Filing Fee?

Generally, you need to file with the Automated Export System when exporting goods valued at 2,500 USD or more.

The filing process involves filling a form with your shipment’s details electronically referred to as Electronic Export Information (EEI).

EAS Filing

EAS Filing

You submit your EEI via a web portal referred to as Automated Commercial Environment (ACE).

You can also use compliance software to submit, such as Shipping Solutions.

However, as an exporter, you can employ agents such as freight forwarders who make the AES filing on your behalf.

The agents charge you a fee for the service known as an AES filing fee.



What is EEI?

When filing with AES to the Census Bureau, the data you provide is the Electronic Export Information (EEI).

The data typically entails information regarding your shipment intended for export over the value of 2,500 USD.

Information submitted as the Electronic Export Information includes:

  • Details of the exporter such as name, identification, and physical address.
  • Details of the shipment such as value, quantity, and weight.
  • The country of destination.
  • The port of loading and lading.
  • The destination country.
  • Details of the receiver or buyer.
  • The classification of the products and required permits or licenses.

How do EEI and AES compare?

The Automated Export System (AES) is an electronic system set up to collect information on goods intended for export.

Goods filed in the AES system are those whose value exceeds 2,500 USD with an assigned Schedule number.

The Electronic Export Information (EEI) is the actual data on exports you file in the Automated Export System.

Besides, the EEI provides the data used by the Census Bureau to determine existing trade figures.

The CBP uses the AES system to monitor the export of goods, ensuring compliance with prevailing regulations.

Therefore, you find the EEI is the basic unit that makes up the AES.

What are AES Filing Rules andRequirements?

Before the EEI, you had to fill out a Shipper’s Export Declaration (SED) for your exports.

You provide the EEI of your exports in the AES system provided by the Census Bureau.

You find the following rules and requirements necessary when filing with AES:

  • You have to file EEI for exports with Schedule numbers whose value exceeds 2,500 USD. Goods whose destination is Canada face exemptions from this rule, save for self-propelled vehicles.
  • You have to file EEI for goods of any value with an export license or requiring a permit.
  • AES filing is needed when you are shipping rough diamonds of a defined range of HS codes.
  • Goods subject to International Traffic in Arms Regulations (ITAR) also require you to file with AES.
  • When you export packages containing household items or those of a personal nature valued over 2,500 USD, AES filing is required. An exemption is, however, made for such goods destined for Canada.
  • The burden of AES filing typically rests on the US Principal Party in Interest (USPPI). However, the USPPI can engage an agent such as a freight forwarder to make filings on their behalf.
  • The shipping methods determine the timelines within which you file your EEI in the AES system. Also crucial in the ultimatums is the type of goods you intend to export.
  • Failing to make AES filing or making such filings late in addition to making errors during filing attracts penalties and fines. Your goods can be seized and confiscated in such cases resulting in loos of time and money.
  • When filing with AES, you need to have the appropriate Schedule B number for your cargo in your EEI. The Schedule B number is employed for the identification of goods and also with tracking.

How do you File your Shipments with AES?

You use the following steps to file your shipments with AES:

  • First, you register an account with the Automated Commercial Environment (ACE) portal, which allows you access to the AES system.
  • Upon approval of your account, you use your sign up details to login into the ACE portal. You can log in directly via the CBP webpage or through compliant software.
  • Successful login leads you to pages with AESDirect fields requiring you to provide information about your shipment. For direct filing on the CBP website, you need to fill in your shipment details as provided manually.
  • When using compliant software for AESDirect filing, the information you provide for your EEI is easily uploaded. Consequently, you save time and effort with a reduced chance of omissions and/or errors.
  • When filing on AESDirect, the system will only allow you through until you fill all the required fields. Upon confirmation of your submission, the AESDirect will issue you an Internal Transaction Number (ITN) alongside your shipping details.
  • You use the ITN on your export papers, indicating your compliance with the AES filing requirement to the CBP.

Can you make Corrections to an AES Filing?

You can make corrections to an AES filing when you identify them to ensure your Electronic Export Information is accurate.

However, you can make corrections for specific fields without triggering a compliance alert.

The Automated Export System Trade Interface Requirements (AESTIR) provides you with a list of fields you can and cannot correct.

You can make corrections to your AES filing for the following areas without instigating a compliance alert:

  • State of origin of the shipment.
  • Reference number about transportation.
  • Port of export and that of lading.
  • Mode of shipment.
  • Details of the USPPI such as name and contacts.
  • Details regarding the consignee(s) and freight forwarders.
  • Value of the commodity if without a license.
  • Item details such as quantity, weight, classification number, and export code.

However, making corrections to the following fields will trigger a compliance alert:

  • Revision of the departure date to an earlier one.
  • Reference number for your shipment.
  • Identification number of the USPPI or FPPI.
  • Adding or deleting items in the commodity field.
  • Value of the item where it has an export license.
  • License type and number.

What is a Shipment Reference Number (SRN) in Export Filing?

When filling out your shipment’s reference details, you use a Shipment Reference Number (SRN) to identify your shipment.

You can present the SRN as an alphanumerical combination with many characters numbering up to thirty-five.

You can use an item’s purchase order number, the bill of lading number, and even the customer number as the SRN.

You can generate an SRN by using the information on an item’s bar code to identify the item uniquely.

You find the Shipment Reference Number (SRN) useful in tracking and identifying shipments.

Can you Reuse Shipment Reference Number during AES filing?

Reusing the Shipment Reference Number during an AES filing is not allowed according to the Foreign Trade Regulations.

You have to provide a new and unique SRN every time you file with AES for a new shipment.

When submitting your Electronic Export Information (EEI), the SRN is used to identify your item.

Consequently, using this number for another item results in deleting the previous article in the system.

Furthermore, you will not generate a new ITN with the previously filed item with the SRN number maintained.

Also, the AES can decline your EEI when you reuse the SRN as a unique identifier.

Can you use Multiple Invoices for the Same Customer to Create one Automated Export System (AES) record?

You can create one Automated Export System (AES) record from multiple invoices of a single customer under certain conditions.

  • When the invoices provided for the goods you are shipping are from one USPPI.
  • When you ship these goods to the same individual in a particular country.
  • When you ship these goods on the same day and vessel or plane.

What are the Filing Timeframes for EEI in the Automated Export System (AES)?

You are subject to timeframes when filing AES, dependent on the type of goods involved and the shipping mode.

However, you are exempted from the standard timeframes when shipping to Puerto Rico, where you can present your ITN o arrival.

Some of the typical timeframes are as follows:

United Airlines Cargo

United airlines cargo

  • When sending essential consumer goods, you have different timeframes set against the shipment method. When using mail, you need to make your AES filing two hours before export.
  • You also need to make your filing two hours before the aircraft’s departure time when using air mode.

When using road transport for your shipment, expect to successfully file with AES an hour before the border crossing.

  • Using rail transport dictates you submit EEI for your shipment two hours before the border crossing.

Conversely, when using a boat, you should do the filing at least twenty four hours before the ship is loaded.

  • When handling motorized shipments such as vehicles, you need to file with AES 72 hours before departure.

Is there Flexibility with the Current Filing Timeframes for AES filing?

The Federal Trade Regulations set the current timeframes for filing with AES, and they cannot be adjusted.

The timeframe provided for your shipment is subject to the item type and the method of transportation.

However, you are exempt from the timeframes provided for filing with AES when the country of destination is Puerto Rico.

You only have to show up with the ITN at the unlading port on your shipment arrival.

Who is a Principal Party in Interest (PPII) in an AES filling?

The Federal Trade Regulations provide the Principal Party in Interest (PPII) definition in an AES filling.

The PPII is the individual or enterprise that is the primary beneficiary of the award derived from an export process.

The PPII can be US based or foreign-based, and you refer to them as USPPI and FPPI, respectively. The USPPI could be a broker, manufacturer, order party, or seller located in the US.

The FPPI was a foreign entity when the goods were obtained or purchased for export was in the US.

You use the Employer Identification Number (EIN) as the USPPI’s identification number in the AES.

For an FPPI, you can use various personal numbers as identification in the AES, such as:

  • Passport number
  • Border crossing number
  • DUNS number
  • Any number provided by the CBP

Can you List a Customs Broker or Freight Forwarder as a Principal Party in Interest in an AES filing?

Freight forwarding

Freight forwarding

When making a filing in AES, you can list a customs broker or freight forwarder as a Principal Party in Interest.

You can record a customs broker as a PPI under the following conditions:

  • When you have a broker as the importer when goods brought into the US are for storage or immediate use. When you import the goods without any alterations.
  • When the US based customs broker brings in goods from outside as an agent of a foreigner listed as the importer.

When you ship these goods without any alterations.

You can have a freight forwarder as your PPI when making AES filing under the two conditions.

You can have the forwarder assume the role of order party in the US.

Alternatively, the forwarder acts as a customs broker described as the lead importer in the following scenarios where:

  • Overseas goods are brought into the country for storage or immediate use and later sees them exported without alterations.
  • Overseas importation and later the unchanged export on behalf of a foreign capacity.

What are the Ultimate Consignee Types in AES?

You are required to select a single consignee from the four ultimate consignee types available.

When making your selection, you base your choice on the most applied function of the business.

Where you have more than a single option for an often applied business function, you have to choose the most often.

The following are the four types of ultimate consignees:

1. Direct Consumer

You find this ultimate consignee encompasses non-governmental entities such as institutions or companies.

These entities utilize the exported items internally as a production factor with no plans of resale or redistribution.

2. Government Entity

A government entity is an institution, organization, or enterprise controlled by the government.

3. Reseller

A reseller is not affiliated with the government and can be a wholesaler, retailer, or distributor.


You find this ultimate consignee defined as neither being a direct consumer, or reseller, or known government entity.

How do you Determine which Ultimate Consignee Type of Reporting in the Automated Export System (AES)?

When determining which ultimate consignee you should report to in the AES, you evaluate the business function.

You select an ultimate consignee, keeping in mind which has the most applied business function.

You can have situations where two ultimate consignees suffice concerning your business function.

In such a scenario, you go with the ultimate consignee with most applications.

Can you list an NVOCC as a carrier in AES?



NVOCC is an abbreviation of Non-Vessel Operating Common Carrier.

NVOCCs make it easier for their customers to make exports and/or imports by handling all the necessary arrangements on their behalf.

As their name suggests, NVOCCs do not own maritime vessels, and neither do they operate them.

NVOCCs enter into agreements with vessel operators for customized Bill of lading called House Bill of lading.

You can list an NVOCC as a carrier when filing AES for shipments intended for sea freight.

You should, however, identify in the AES the Standard Carrier Alpha Code belonging to the NVOCC.

Is the Carrier Subject to AES Fines and Penalties?

Any party involved in an export transaction can be penalized and fined for several reasons.

As a carrier, you can be penalized or fined for failing to honor your responsibilities, falsifying EEI, or misusing the AES.

The penalties imposed on a carrier can be criminal or civil, depending on the offense’s severity.

Some of the violations that can result in criminal and civil penalties include:

  • Failure by the carrier to file with AES or presenting false information.
  • The conduction of illegal goings-on by carriers.
  • Failure to pay imposed fines and penalties.
  • Where a carrier makes filing violations and fails to report them.
  • Making filings later than the timelines allow.

Do you need to File Shipments of Empty Containers if the Value Exceeds $2500?

Containers are the basic unit you use to transport and deliver cargo in sea freight.

There are many container types that you can use, with each specially built to transport a specific type of shipment.

The filing of AES is for export goods, where there’s a USPPI getting some benefit from the sale and a consignee.

You do not need to file for an empty container not offered for sale or purchase by any part.

Who is Responsible for AES Filing?

Providing EEI during AES is a mandatory process for goods with export licenses and those with values exceeding 2,500 USD.

Goods heading to Canada save for self-propelled vehicles face exemptions from filing with AES.

You find filing with AES is a responsibility performed by three possible parties including:

  • The US Principal Party in Interest (USPPI) is the exporter based in the US.
  • An agent appointed by the USPPI, such as a freight forwarder
  • An agent authorized by the Foreign Principal Party in Interest (FPPI) who is the foreign-based buyer.

When using an agent such as a freight forwarder as a USPPI, you have to provide official authorization.

Such authorization includes a letter offering limited power of attorney to the agent presented as an instruction letter to the shipper.

The letter of instruction details what is required of the agent by the USPPI.

An FPPI also offers authorization to a forwarder or USPPI to act on his behalf when filing AES.

What are AES Filing Penalties?

AES filing penalties are consequences you face for failing to adhere to the filing requirements of AES.

Penalties can be civil or criminal depending on the gravity of the offense with the addition of fines.

Anyone involved in an export transaction such as the USPPI, the carrier, and the agent can be penalized.

The Foreign Trade Regulations (FTR) provides penalties for a host of violations.

What are AES Violations?

AES violations are contraventions of the guidelines provided by the Foreign Trade Regulations (FTR) regarding filing with AES.

You provide Electronic Export Information for your consignment when filing with AES.

Some common AES filing violations that result in penalties are:

i. Making Late Filings of EEI

You pay penalties when you make filings beyond the stipulated time frames.

When you make a filing that is past the prescribed date and time, you are liable to an imposed penalty.

When you make a late filing, you are subject to fines between 1,000 and 10,000 USD a day.

You can face imprisonment for no more than five years.

ii. Failure to File

You fail to file when you commit either one of the following violations:

  • When the CBP cannot find a filing record for your export and communicates with you before you make a filing.
  • You exceed the prescribed timeframe for filing by more than ten days, whether the CBP caught it or not.

iii. Committing Errors in Filing

You are liable to penalties when you make a host of errors during the filing process.

Errors can cost you up to 10,000 USD in fines when you fail to correct them and resend the AES files.

Common errors include:

  • Providing the wrong HS Code
  • Providing scant or flawed goods’ description
  • Providing inaccurate values
  • Presenting erroneous details of the consignee and the USPPI
  • Ignoring error correction when notified
  • Filing as an agent without authorization
  • Omitting a routed export transaction

iv. Failure to Keep Records

A USPPI, agent, or carrier, should keep records of exports for half a decade.

You violate the Foreign Trade Regulations (FTR) when you fail to keep your documents for this period.

The documents allow the Customs and Border Protection to carry out audits on exporters to determine their filings’ truthfulness.

What is the Penalty amount for Export Violations?

Usually, export violations attract a penalty of up to 10,000 USD depending on the gravity.

When penalized, you get a notice to which you are allowed sixty days to respond.

You can appeal to the Fines, Penalties, and Forfeitures personnel-in-charge of the CBP who imposes the penalties.

You can reduce your penalty due to the following factors:

  • It is your first offense.
  • It is your first attempt at filing AES.
  • The violation is an isolated event out of negligence or ill fate.
  • You came clean with the violation voluntarily.
  • You offer the CBP absolute cooperation.
  • You provide information to aid another investigation.

As an Exporter, What are your AES Responsibilities?

The AES is an electronic system in which you submit data related to your export known as Electronic Export Information.

When sending shipments out of the country, you have the following responsibilities regarding filing with AES.

  • You make AES filing when your shipment requires an export license or with a value of 2,500 USD or more.

Goods destined for Canada have exemptions from this requirement except for self-propelled vehicles.

  • You provide details of the USPPI, the direct beneficiary of the shipment, such as the seller or manufacturer.

Such details include the name, address, and Employer Identification Number (EIN).

  • You need to submit the ultimate consignee’s details, including the name and physical address.

The ultimate consignee is the party that receives the shipment.

  • It is expected you reveal the relationship between the ultimate consignee and USPPI if it does exist.

For instance, if either one party owns a tenth of the other, you are to mention.

  • AES filing requires you to name the state of origin and the country where the shipment is to terminate.

Consequently, it follows you mention the port of export.

  • Moreover, you need to mention the date of departure and the selected shipping method, i.e., air, sea, rail, or road.
  • When filing with AES, you have to disclose whether you have a routed export transaction. An FPPI sanctions the transaction by appointing an agent to make export arrangements on their behalf.
  • You are to reveal the nature of your shipment’s content, i.e., whether they are hazardous.

Can you Mitigate Penalties for AES Violations?

Yes, you can.

When penalized for violating AES filing requirements, you can appeal to the Fines, Penalties, and Forfeitures committee.

Usually, you reduce your penalties upon successful mitigation.

In your defense during mitigation, you can plead your case as a first offender or maiden attempt at filing with AES.

Moreover, you can point out the violation is an isolated case and that you voluntarily owned up to an infraction.

How can you Avoid AES Filing Penalties?

Avoiding AES filing penalties is essential to prevent you from paying thousands in fines and even serving time in prison.

Some of the ways you can avoid penalties when AES filing are:

  • Submit complete and truthful Electronic Export Information to the AES within the required timeframe.
  • Present the Internal Transaction Number (ITN) or exemption code to your shipper or carrier before the provided ultimatum.
  • You can also appoint an external agent approved by Customs and Border Protection to make your AES filing.

However, note that you are still liable as the exporter even when you outsource filing responsibility.

What is AES Citation?

An AES citation is an indication showing proof of filing with the AES.

You find the AES citation on the waybill for airfreight or shipping label for sea freight.

An AES citation identifies a shipment as having its EEI duly filed and recorded in the AES portal.

Furthermore, you are provided an ITN alongside the AES citation upon approval of the AES.

What is the AES ITN Number?

You file EEI via AES for any exports valued at 2,500 USD or more as per the Schedule B number.

You can use the Automated Commercial Environment (ACE) portal on the CBP website or compliant software to submit your EEI.

Upon successfully submitting your EEI on the AESDirect platform, you get a number confirming your record.

The number is the Internal Transaction Number (ITN), used to identify your shipment’s compliance with AES requirements in documents.

You find the ITN is important in the following ways:

The ITN confirms your compliance with the AES filing requirements as stipulated by the Foreign Trade Regulations.

You can use the ITN to confirm the filing accuracy when handling a routed export transaction.

Documents such as the bill of lading and the Shipper’s Letter of Instruction need to have the ITN.

The ITN ensures no seizure of your goods by customs or agents and shippers.

What is NOEEI 30.37(a)?

The NO EEI 30.37(a) is an exemption code for goods whose value is 2,500 USD or less.

The NO EEI represents No Electronic Export Information, while the 30.37(a) highlights the FTR section describing the exemption.

The exemption NO EEI 30.37(a) is according to the Schedule B number category.

In this category, the shipment is made from a solitary USPPI to a single consignee via one carrier.

Moreover, this exemption does not apply to a shipment requiring a license or permit for export regardless of value.

Other areas where this exemption is not applicable include:

  • Where the shipment is a self-propelled vehicle already used.
  • Where the shipment is under the scope of ITAR.
  • Where you have rough diamonds.
  • Where the shipping goods to embargoed countries such as Cuba, North Korea, and Iran.

How long is an AES ITN Number Valid?

You receive an ITN upon successful submission of Electronic Export Information in the Automated Export System.

You use an ITN to comply with the AS filing requirements as stipulated by the Foreign Trade Regulations (FTR).

You only use a single ITN for a specific shipment with no chance of reuse.

Therefore, your ITN is valid within the time frame provided before the ultimatum set for the departure of your shipment.

What does an AES ITN Exemption mean?



When shipping Schedule B number goods whose value exceeds 2,500 USD or licensed, you have to file with AES.

You get an ITN when you successfully file your EEI with AES.

However, certain goods destined for certain areas do not require you to file with AES.

Consequently, such goods have an AES ITN exemption using the exemption code to clear with customs.

For instance, goods headed to Canada of whatever value save for self-propelled vehicles, are exempted from AES filing.

Goods destined for any other country except Canada, whose value is less than 2,500 USD, are exempted as well.

You are thus not provided with an ITN for these goods since you are not required to file with AES.

However, to clear with the CBP, you need to indicate your AES ITN exemption code.

If you’re having problems in managing your import or export business, BanSar team is here to offer free advice.

Contact us now for free consultations.

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