Automated Export System (AES) Program

Attachment E

AESDirect

User Guide

Updated 11/3/15

The complete guide to file Electronic Export Information to the Automated Export System

About the Automated Export System (AES) and the Data

The AES is the primary instrument used for collecting export trade data, which are used by the Census Bureau for statistical purposes. The AES record provides the means for collecting data on U.S. exports. Public Law 107-228 of the Foreign Trade Relations Act of 2003 authorizes this collection. Title 13, U.S.C., Chapter 9, Sections 301-307, mandates the collection of these data. The data collected in the AES is confidential under Section 301(g), which prohibits public disclosure of export data collected by the Census Bureau unless the Secretary of Commerce determines that such exemption would be contrary to the national interest. The regulatory provisions detailing the mandatory reporting of these data are contained in the Foreign Trade Regulations (FTR), Title 15, Code of Federal Regulations (CFR), Part 30.

The official export statistics collected from these tools provide the basic component for the compilation of the U.S. position on merchandise trade. These data are an essential component of the monthly totals provided in the U.S. International Trade in Goods and Services (FT900) press release, a principal economic indicator and a primary component of the Gross Domestic Product.

In addition to developing the FT900, other federal agencies have used the data for export control purposes to detect and prevent the export of certain items by unauthorized parties or to unauthorized destinations or end users.

Burden Estimate

Public reporting burden for this collection of information is estimated to average approximately 3 minutes (.05 hour) per transaction for the Automated Export System, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to: ECON Survey Comments 0607-0152, U.S. Census Bureau, 4600 Silver Hill Road, Room EMD-6K064, Washington, DC 20233. You may e-mail comments to [email protected]. Be sure to use ECON Survey Comments 0607-0152 as the subject. This collection has been approved by the Office of Management and Budget (OMB).  The eight-digit OMB approval number is 0607-0152. Without this approval we could not conduct this survey.

Table of Contents

General Information on Shipments 4

Parties Involved in an Export Transaction 6

Getting Started with AESDirect 6

Create Export Filing 7

Step 1: Shipment…………………………………………………………………………………….………………………8

Step 2: Parties………………………………………………………………………………………………………………10

Step 3: Commodities………………………………………………………………………………………….…………17

Step 4: Transportation……………………………………………………………………………….…………………20

Template Manager 26

Party Profile Manager 31

AES Responses 34

AES Proof of Filing Citations 34

General Information on Shipments

Before learning to file Electronic Export Information (EEI) using AESDirect, here is some general information regarding EEI. We will refer to EEI as “Shipments” from this point forward.

Sections in each shipment

Transportation details

Shipment details

Parties related to the shipment

Goods being exported

Transportation

Shipment

Parties

Commodities

Transportation

Contains transportation details for the shipment, including carrier information.

(Required for all shipments.)

Commodities

Contains commodity information. (Required for all shipments.)

Parties

Contains information about the USPPI (the person or entity in the United States that receives the primary benefit, monetary or otherwise, from the export transaction), the Ultimate Consignee (the person or entity overseas who receives the product), and the Freight Forwarder and Intermediate Consignee (if applicable). (Required for all shipments.)

Shipment

Contains general shipment information. (Required for all shipments.)

Special Shipments

Routed export transactions - Transactions where the Foreign Principal Party in Interest (FPPI) authorizes a U.S. agent to facilitate export of items from the United States on its behalf and also prepare and file the shipment.

Shipments to Puerto Rico – The following is required:

• List a Port of Unlading

• Addresses should be listed with:

  • City – List municipality in Puerto Rico

  • State – Indicate Puerto Rico (PR)

  • Country – Indicate United States (U.S.)

  • Postal Code – Indicate a valid postal code in Puerto Rico

Shipments From Puerto Rico – The following is required:

• List a Port of Unlading

• Addresses should be listed with:

  • City – Indicate city of destination

  • Country – Indicate country of destination

Parties Involved in an Export Transaction

• Foreign Principal Party in Interest (FPPI)

The party abroad who purchases the goods for export or to whom final delivery or end-use of the goods will be made. This may be the ultimate consignee.

• Ultimate Consignee

The ultimate consignee is the person, party or designee that is located abroad and actually receives the export shipment. This may be the end-user or FPPI.

• U.S. Principal Party in Interest (USPPI)

The USPPI is the person or entity in the United States that receives the primary benefit, monetary or otherwise, from the export transaction.

Definitions of Parties in the AES

• Freight Forwarder – Authorized Agent

The person in the United States who is authorized by the principal party in interest to facilitate the movement of the cargo from the United States to the foreign destination and/or prepare and file the required documentation.

• Intermediate Consignee

The intermediate consignee is the person or entity in the foreign country that acts as an agent for the principal party in interest with the purpose of effecting delivery of items to the ultimate consignee.

Getting Started with AESDirect

AESDirect Interface

Colors and Symbols

• (1) RED asterisk indicates a mandatory field (Required)

• (2) RED asterisks indicates a conditional field (May be required)

• No asterisk indicates an optional field (Not required)

Help (i)

Available to the right of most sections to determine what is needed for each field and when fields are required.

Log in to Account

Step	Action
1	Go to https://ace.cbp.dhs.gov.
2	Enter Username and Password
3	Click Continue.

Create Export Filing

Step	Action
1	Log in to ACE account.
2	Navigate to Main Menu.
4	Click Create Export Filing.

The following sections provide instructions for completing each of the required sections, as well as definitions of all of the data fields for each section.

Step 1: Shipment

Step	Action
1	Select Step 1: Shipment
2	Complete all of the shipment details as required.

Explanation of Data Fields for this section

Are USPPI and Ultimate Consignee related?

When USPPI and/or Ultimate Consignee owns directly or indirectly 10 percent or more of either party.

Step 2: Parties

Step	Action
1	Select Step 2: Parties
2	Complete all of the information for the involved parties in this transaction. NOTE: You will need at least one USPPI and one Ultimate Consignee for each transaction.

USPPI (mandatory)

If you are the exporter, you will need to enter your information into the USPPI section.

Company Name - Provide the company’s name.

Required: names must have at least two letter; special characters are not allowed

IRS Number - If you select ‘DUNS’ as the ID Number Type, then the EIN would also be required.

Conditional: required if ID Number Type is DUNS

Explanation of Data Fields for this section

Required: address where the merchandise actually begins its journey to the port of export

Address Line 1 - Indicate address (no P.O. box number) of the location from which the merchandise actually began its journey to the port of export.

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 state where the merchandise is consolidated.

Required: telephone number

Phone Number - Provide the contact telephone number.

Ultimate Consignee (mandatory)

The Ultimate Consignee section is always required. Please complete each data field as required.

Explanation of Data Fields for this section

Phone Number – The contact person’s telephone number.

Optional

Optional

First and Last Name - The contact person’s name.

Optional

ID Number: Employer Identification Number (EIN), DUNS, or Foreign Entity ID (ex: passport number).

Intermediate Consignee Section (conditional)

The intermediate consignee is the person or entity in the foreign country that acts as an agent for the principal party in interest with the purpose of effecting delivery of items to the ultimate consignee. Please complete this section if applicable. See ‘Ultimate Consignee’ section for explanation of data fields.

Explanation of Data Fields for this section

Phone Number – The contact person’s telephone number

Required

Required: names must have at least two letter; special characters are not allowed

First and Last Name - Provide the contact person’s first and last name

Required

ID Number - Enter either Employer Identification Number (EIN) DUNS or Foreign Entity ID.

Freight Forwarder (conditional)

If you are the freight forwarder, you will need to enter your information into the Freight Forwarder section, and the exporter’s information into the USPPI section.

Step 3: Commodities

Step	Action
1	Select Step 3: Commodities
2	Select Add Line to open up a new commodity line.
	Complete all of the commodity details as required. Note: You may add multiple commodity lines by selecting Add Line.

Required: type of export

Export Information Code - Select the code that identifies the type or condition of the export transaction being made.

Explanation of Data Fields for this section

Conditional: Not required if Export Code is HH (personal and household effects and tools of the trade) is selected.

Schedule B or HTS Number – Report commodity classification codes. Some HTS Numbers are not valid for Export (see “Invalid HTS” ). Provide 10 digits without periods. If you do not have a Schedule B number, use the ’Schedule B Search Engine’ link to locate it.

Conditional: Not required if Export Code is HH.

Conditional: Not required if Export Code is HH (personal and household effects and tools of the trade) is selected.

1^st and 2^nd Quantity - Report the total quantity of the commodity being exported for each commodity code classification. Report in the unit of measure as required by the Schedule B or HTS Number.

Conditional: not required if Export Code is HH. If the origins vary for the same classification number, report foreign goods separately from domestic goods.

Origin of Goods - Select “domestic” if commodity is grown, produced or manufactured in the U.S. Select “foreign” for goods grown, produced or manufactured in foreign countries, but have not been changed in form or condition in the U.S.

1^st and 2^nd UOM- The Unit of Measure (UOM) is determined by the Schedule B or HTS number entered. When a valid Schedule B or Harmonized Tariff number is entered, the unit of measure required will automatically populate.

Required: selling price in whole numbers, no symbols. Only report $US dollars

Value of Goods - Report the value of the goods at the U.S. port of export. The value shall be the selling price of the goods including inland or domestic freight, insurance, and other charges to the U.S. For details, see Foreign Trade Regulations 30.6 (a)(17).

Required: weight in whole numbers, no symbols

Shipping Weight - Must be reported in kilograms. Include the weight of the commodity and weight of normal packaging. For details, see Foreign Trade Regulations 30.6(a)(16).

ECCN - This number is used to identify items on the Commerce Control List (CCL).

A complete listing of license codes and descriptions for the U.S. Department of Commerce, Office of Foreign Assets Control (OFAC), Nuclear Regulatory Commission, U.S. Department of State and other Partnership Agency licenses, can be found under Appendix F of the AES Trade Interface Requirements (AESTIR).

Conditional: Only required for certain commodities

Required: determines if other fields need to be reported

License Type Code/License Exemption Code - Select the appropriate license type for the commodity. You may be required to enter additional information based on the license type selected.

Required: indicate yes or no

Does the filing include used vehicles? - 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.” You will be required to complete additional information if you are reporting a used vehicle.

Required: indicate yes or no, complete additional fields as required.

Agriculture and Marketing Services (AMS) Permit Required - Does the filing require an Agriculture and Marketing Services (AMS) permit?

Required: indicate yes or no complete additional fields as required.

Environmental Protection Agency (EPA) Permit Required - Does the filing require an Environmental Protection Agency (EPA) Permit?

Step 4: Transportation

Commodity lines should be separated based on their commodity classification code, origin of goods, commodities valued at over $2500, or requiring an export license per commodity classification code. After saving the first commodity, select “Add Line” to open a new Commodity Line.

Adding more than one commodity

Step	Action
1	Select Step 4: Transportation
2	Complete all of the transportation details as required.

Conveyance Name/Carrier Name – Provide the vessel name for ocean shipments and the carrier name for air, truck, and rail.

You may not report UNKNOWN for the Conveyance Name.

Carrier SCAC/IATA – Carrier Code that identifies the transportation company. Contact your transportation company to obtain their carrier code.

Explanation of Data Fields in this section

Conditional: only required for Air, Vessel, Rail, and Truck shipments. Not required for USPS shipments.

Conditional: only required for Air, Vessel, Rail, and Truck shipments. Not required for USPS shipments.

Submit Shipment to AES

Step	Action
1	Click Submit Filing.
2	Observe your response from AES.

Retrieve and Amend/Edit a Shipment

From the Shipment Manager, you can search for previously filed shipments by entering your search criteria into the Search box.

Step	Action
1	Navigate to Shipment Manager
2	Enter your search criteria into the Search box
3	Once you have located your shipment, you can retrieve the filing by clicking the Amend or Edit link to the right.

Print a Shipment

Step	Action
1	Navigate to Shipment Manager
2	Enter your search criteria into the Search box
3	Once you have located your shipment, you can print the filing by clicking the Print link to the right.

Delete/Cancel EEI

Step	Action
1	Navigate to Shipment Manager
2	Enter your search criteria into the Search box
3	Once you have located your shipment, you can delete the filing by clicking the Delete or Cancel EEI link to the right.

Template Manager

This feature saves frequent shipment information. The only fields not stored in a template are:

• Shipment Reference Number

• Transportation Reference Number

• Origin State

• Departure Date

• 1^st and 2^nd Quantity

• Value

• Gross Weight

The Template Manager shows a preview of each template. The Create EEI, Edit or Delete options will allow you to manage your templates directly from this screen.

Open the Template Manager

Step	Action
1	Click Tools Menu at the top right
2	Select Template Manager

Once selected, the Template Manager will display, and you will have access to all of your templates.

Create EEI from Template

Step	Action
1	From the Template Manager, identify the template you would like to use for your new EEI
2	Click on the Create EEI option next to the template you want to use for your EEI.
3	A new filing session will open up with your template data pre-populated into the form.

Delete template

Step	Action
1	From the Template Manager, identify the template you would like to delete.
2	Click Delete
3	Confirm that you would like to delete this template.

Create New Template

At any point while filing your AES data, you can create a new template.

Step	Action
1	Open up a new EEI Filing and begin entering the information.
2	Once you have entered the desired information for your template, click Save as Template at the top right.
3	Enter a name and description for the template. When finished, click Save Template.

Load an Existing Template Step	Action
1	In the ‘Shipment Manager’ screen, click Create from Template
2	Locate the desired template.
3	Click the template name to load.
4	Complete the empty fields and submit the EEI.

Party Profile Manager

This feature saves company information for frequent USPPIs, Freight Forwarders and/or Ultimate Consignees.

Click the Tools menu from the Main Menu and select Party Profile Manager.

Open the Party Profile Manager

Step	Action
1	Click Tools Menu at the top right.
2	Select Party Profile Manager

Once selected, the Party Profile Manager will display, and you will have access to all of your profiles.

Create Party Profile

Step	Action
1	Create a new EEI Filing
2	Navigate to Step 2: Parties
3	Enter the information for the profile you would like to save
4	Once complete, select Save to Profile.

Loading Profiles

Step	Action
1	Create a new EEI Filing
2	Navigate to Step 2: Parties
3	Select Load from Profile.
4	In the Search box, enter the first few characters of the profile name.
5	Select your profile and click Load Profile.

Delete profile

Step	Action
1	From the Party Profile Manager, identify the profile you would like to delete.
2	Click Delete.
3	Confirm that you would like to delete this profile by selecting Delete Party Profile.

AES Responses

AES Proof of Filing Citations

Response E-mail

E-mails are sent to the address listed in the Shipment section. If the filing has been accepted, then the Response E-mail will have your ITN included. If the filing has been rejected, the Response E-mail will provide you with a rejection statement.

Once shipments are processed by the Automated Export System (AES), a response message will indicate the status of the shipment. You can access responses in your response e-mail or through the Shipment Manager.

The ITN (Internal Transaction Number) is a confirmation number that proves a shipment has been accepted by AES. This number is unique for every shipment and must be provided to the U.S. Customs and Border Protection (CBP) at the port of export.

Exporters must cite the ITN on the first page of the bill of lading, air waybill, and/or other commercial loading documents.

Postdeparture Citations:

• If an Authorized Agent files on behalf of an approved post-departure participant

  • AESPOST USPPI ID FILER ID Date of Export

  • Example: AESPOST 12345678900 987654321 10/01/2015

• If USPPI files shipments directly to AES

  • AESPOST USPPI ID – Date of Export

  • Example: AESPOST 23456789000 10/01/2015

Predeparture and Advanced Export Citations (AEI) Citations :

• AES ITN

  • Example: AES X20151002111111
    
    

Additional Resources

Under the “Related Sites” section on the Homepage, you can find useful links to Government Sites and Partner Agency Websites.

Government Websites

Census Bureau – International Trade Management Division (ITMD)

http://www.census.gov/trade

Provides information on Foreign Trade Statistics, Regulations, reference materials, and extensive details on the AES.

Department of State – Directorate of Defense Trade Controls (DDTC)

http://pmddtc.state.gov/

Provides information for registering with the DDTC and applying for a license to ship items on the U. S. Munitions List (USML). Includes a link to the International Traffic in Arms Regulations (ITAR).

Department of the Treasury – Office of Foreign Assets Control (OFAC)

http://www.ustreas.gov/offices/enforcement/ofac

Provides information regarding specially designated nationals (SDN), blocked persons lists, sanction programs and country summaries.

Customs and Border Protection (CBP)

http://www.cbp.gov/xp/cgov/trade/automated/aes

Provides access to the Customs Export section, including information on:

• AES

• Blocked, denied and debarred persons lists

• Export documents, licenses and requirements

Export.gov – U.S. Commercial Service, International Trade Administration

(ITA)

http://trade.gov/cs/

http://export.gov

Provides access to all export-related assistance and market information offered by the federal government.

Department of Commerce – Bureau of Industry and Security (BIS)

http://www.bis.doc.gov

Provides information on export control basics, export administration policies and regulations, compliance and enforcement, seminars and training, and links to

Export Administration Regulations (EAR), including the Commerce Control List.

ACE Support Help Desk

CONTACT US

Call the ACE Support Help Desk for help with:

• Account Registration help

• Username and Password issues

Toll Free: 1-866-530-4172

E-mail: [email protected]

Commodity Classifications

Toll Free: 800-549-0595- Option 2

Hours: M – F: 8 AM - 5:30 PM, EST

E-mail: [email protected]

• Schedule B Classification Assistance

• Commodity related reporting issues

• Parameter Change Requests

Automated Export System (AES)

Toll Free: 800-549-0595- Option 1

Hours: M – F: 7:30 AM - 5:30 PM, EST

E-mail: [email protected]

• AES Filing Problems

• AES Fatal Errors

• AES Monthly Reports

• Filing Post-Departure

U.S. Census Bureau

Trade Data

Toll Free: 800-549-0595- Option 4

Hours: M – F: 8 AM - 5:30 PM, EST

E-mail:

[email protected]

• Questions about U.S. International Trade Statistics

• Help with USA Trade Online

• Trade Data Products and Subscriptions

Regulations on Filing Export Data

Toll Free: 800-549-0595- Option 3

Hours: M – F: 7:30 AM - 6:30 PM, EST

E-mail: [email protected]

• Clarifying Regulations

• Responsibilities of the Parties in Export Transactions

Trade Outreach

Toll Free: 800-549-0595- Option 5

Hours: M – F: 7:30 AM - 6:00 PM, EST

E-mail: [email protected]

• AES Compliance Seminars

Licensing Issues

United States Munitions List (USML) & Commerce Control List (CCL)

U.S. Department of State Licenses

Directorate of Defense Trade Controls:

202-663-2700

Bureau of Industry and Security

Washington, DC: 202-482-4811

Western Regional Office: 949-660-0144

Assistance in Exporting Worldwide -U.S. Commercial Service: 1-800-USA-TRADE

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