The Automated Export System

September 5, 2012

The ABCs of the AES
The U.S. Census Bureau measures the nation's 

People, Places, and our Economy

www.census.gov

#foreigntrade

Host: Jennifer Smits

Public Affairs and Media Events

Public Information Office

Presenter: Nidaal Jubran

AES Client Representative

Foreign Trade Division

Today’s Speakers
Created by the Foreign Trade Division of the U.S. 

Census Bureau, this in-depth webinar series 

provides the tools necessary for a strong 

foundation in the fundamentals of exporting. 

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Fundamentals of Exporting

Filing Export Information Electronically–

The ABCs of AES

The fifth webinar in the 8-part series

http://www.census.gov/newsroom/releases/archives/news_conferences/webinars_exporting.html
The Foreign Trade Division is the 

official source for U.S. export and 

import statistics and is responsible for 

issuing regulations governing the 

reporting of all export shipments from 

the United States.

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Foreign Trade Division
Today’s Topics

• Overview of the Automated Export System

• Before Filing the Shipment Data

• Filing Shipment Data and Avoiding Common 

Problems

• After Filing the Shipment Data

• AES Compliance and Fatal Error Reports

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• AES is the database that processes and 

stores all Shipment Data.

• AES Filers

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

• Authorized Agent

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Overview of the 

Automated Export System 
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AES Process Flow
AES Filing Methods

• Direct connection to the AES 

• Self-developed Software

• Certified Vendor Software

• Certified Service Center

• AESDirect

• AESPcLink

• Batch Filing (EDI Upload)

• AESWebLink

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Before Filing the Shipment Data

• Gather Export Information from involved parties

– Transportation Information

• Examples: Origin, Date of export, Carrier 

Information

– Parties Information

• Examples: USPPI, Ultimate Consignee

– Commodity Information

• Examples: Schedule B, Units of Measure, License 

Information

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• Decide who is filing the Shipment Data

– USPPI 

– Authorized U.S. Agent

• To avoid duplicate Shipment filings, only one 

party may file for each shipment

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Before Filing the Shipment Data
• Misreported Codes

– Carrier Codes

– Port of Export

– Schedule B

– License Numbers and ECCN Codes (if applicable)

• Research and Report all Required Information

– Transportation Information

– USPPI

– Ultimate Consignee

– Commodity Details

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Filing the Shipment Data and 

Avoiding Common Problems
After Filing the Shipment Data

• AES Response Messages

– Fatal

– Warning

– Compliance Alerts

– Verify

– Informational

• AES Reports

– AES Compliance Report

– AES Fatal Error Report (supplemental)

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AES Response Messages

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Shipment Rejected

No ITN Issued

Shipment Accepted

Internal Transaction 

Number (ITN) Issued

Verify

Compliance Alerts

Warning

Informational

Fatal
Fatal Error Response

Sample

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Fatal Error Response

Sample

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Response 

Code

Where’s the ITN? 

Answer: No ITN Issued!!

???

Response 

Type Response Message
Proper Actions for 

Fatal Error Responses

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• Filers are required to correct - FTR 30.9

• Must correct Fatal Errors prior to exportation to 

receive AES ITN

• Refer to Appendix A of the AES Trade Interface 

Requirements (AESTIR) 

* http://www.cbp.gov/xp/cgov/trade/automated/aes/tech_docs/aestir/june04_intro/appendices/
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• If a Fatal Error message was generated and it is 

resolvable:

1. Retrieve the rejected Shipment 

2. Correct the data which generated the Fatal Error 

3. Resubmit to receive the ITN

• Note: Do not enter a new Shipment Reference Number (SRN). 

Doing so will create a duplicate shipment.

Proper Actions for Fatal Error Responses

Correcting the Shipment Data
Proper Actions for Fatal Error Responses

Suppressing the Fatal Error

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• A Fatal Error may require suppression if:

– It cannot be corrected

– The shipment was unintentionally duplicated with another SRN

– The shipment never left the country for export

• To request suppression, send an email to:

– Ftd.aes.fatal.reports@census.gov

– Include the following

• The original SRN

• The new ITN (if applicable)
Proper Actions for Verify Responses

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• Please review data thoroughly

– If data is correct, no further action necessary

– If data is incorrect, correct and retransmit

• Please report repetitive Verify Responses

– Provide Shipment Reference Numbers

– Provide Schedule B or HTS Number

– Provide 5 or more examples within a one month period with 

the same verify response per Schedule B number 
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• Compliance Alerts cannot be corrected

• Common Causes:

– Late filing

– Changing critical shipment information after export date

• Document! Document! 

– If Compliance Alerts are generated frequently, please 

address internal business practices.

– Review AES Best Practices manual

Proper Actions for Compliance Alerts
• Warning Messages

– Sold En Route Shipments

– MUST be corrected within 4 days

• Informational Responses

– Non-critical notification to the filer

– Follow informational message instructions

Proper Actions for 

Warning and Informational Responses

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• When the AES is down

– You will be notified by an e-mail broadcast

– Use AES Downtime Proof of Filing Citation to move cargo

• When the AES filer’s system is down

– Transmit through AESDirect

– Select an Authorized U.S. Agent to report on your behalf

• Shipments subject to Directorate of Defense Trade 

Controls (DDTC), whether licensed or ITAR exempt, 

cannot be moved under AES Downtime

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AES Downtime Policy
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• If the AES is down, the Downtime Citation must be 

provided.

– Format for Citation:

– Example:

• Maintain a log of unreported shipments

• When the system is back online, transmit Shipment 

Data moved under the AES Downtime Policy.

AES Downtime Citation

AES DOWN FILER ID DATE OF EXPORT

AESDOWN 987654321 08/16/12
• Pre-departure ITN

– Format for Citation:

– Example:

• Common Exemptions 

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Proof of Filing Citations 

(FTR 30.7)

AES ITN (YYYYMMDD######)

AES X20120816999999

For Low-value shipments: Must be less than $2,500 per commodity, and not licensable.

For Shipments going to Canada: Must not be licensable.

NO EEI 30.37a

NO EEI 30.36a
• Post-departure ITN

If Authorized Agent files on behalf of USPPI

–Format: 

–Example:

If USPPI files directly to the AES

–Format:

–Example:

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Proof of Filing Citations 

(FTR 30.7)

AESPOST USPPI ID – Filer ID Date of Export

AESPOST 98765432100-123456789 08/06/2012

AESPOST USPPI ID Date of Export

AESPOST 98765432100 08/06/2012

 
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Ensuring Compliance with AES

• Shipments are monitored for quality and 

timeliness

• AES filers can be penalized for:

– Failure to file

– Late filing

– Providing false or 

 misleading information
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AES Compliance Reports

• AES Compliance Reports are 

issued monthly

• AES Compliance Alerts and 

unresolved Fatal Errors will 

affect compliance rate

• Outstanding fatal errors will be 

calculated into monthly 

compliance rate
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AES Compliance Reports

• Ultimate goal is a 100% Compliance Rate

• Shipments found out of compliance are 

subject to fines, penalties, and seizures.

• If the Compliance Rate falls below 100%

– Filers will need to address filing issues

– Review AES Best Practices

• Census follows up with companies with lower 

Compliance Rates
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AES Compliance Reports

• To maintain a high Compliance Rate, filers 

should:

– Ensure the AES Compliance and AES Fatal Error Reports 

are sent to the appropriate person in the company 

– Minimize the total number of monthly AES Compliance 

Alerts 

– Monitor and resolve outstanding Fatal Errors as soon as 

they are received 

– Properly suppress or resubmit rejected shipments 

– Become familiar with Appendix A – Commodity Filing 

Response Messages to correct Fatal Errors 
 Export Training Videos

 Webinars

 Global Reach Blog 

http://globalreach.blogs.census.gov

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Additional Training Tools
America’s Economy Mobile App

• www.census.gov/mobile

• 16 Key Economic 

Indicators, including 

International Trade

• Available for iPhone, 

iPad and Android 

devices
Questions?

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 Media Inquiries:

 Public Information Office: 301-763-3030

 FTD Call Center: 800-549-0595

 Option 1 – AES Assistance

 Option 2 – Commodity Classification Assistance

 Option 3 – Regulations Assistance

 Option 4 – Data Dissemination Branch

 Fax: 301-763-8835 (secure)

 E-mail:askaes@census.gov

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For More Information
For more information or to sign up for our next webinar go 

to: 

http://www.census.gov/newsroom/releases/archives/news_conferences/webinars_exporting.html

 Your Free Tools of Trade — AESDirect and AESPcLink: 

 September 19, 2012 (RSVP available Monday, September 10)

 Getting it Right the First Time — How to Avoid Common Penalties: 

October 3, 2012

 What is a Foreign Trade Zone and How Can It Help You?: 

 October 17, 2012

Upcoming Webinars

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