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AES Filing: Complete Guide for Efficient Shipping

AES Filing: Complete Guide for Efficient Shipping

July 11, 2023
Last Updated:
July 23, 2023
5 min read

Learn about the importance of AES filing, when it's required, & the process to ensure your exports are compliant with US regulations.

AES Filing: Complete Guide for Efficient Shipping

Table of Contents

Filing an AES (Automated Export System) entry is essential when exporting goods from the U.S., but knowing exactly what needs to be done can often seem overwhelming.

It’s one of the most important elements of this elaborate system, so if you want efficient shipping processes with minimum stress and delays, it’s time to get up close and personal with AES filing.

We’ll cover everything you need to know, including what it is, its purpose and benefits, and a step-by-step guide to filing your EEI through AES.

What is AES Filing?

AES filing stands for Automated Export System filing, a process allowing exporters to submit information electronically to U.S. Customs and Border Protection.

It has revolutionized the export industry by simplifying the documentation and record-keeping process. AES filing is a convenient, secure, and efficient way to comply with regulations while optimizing your exports.

With AES filing, businesses can easily report their export data, including the quantity and value of goods being shipped, the country of destination, and any other pertinent information.

Purpose and Benefits of AES Filing

AES has become essential to international shipping, ensuring compliance with U.S. regulations requiring EEI for high-value shipments or those requiring a license.

The AES filing serves several purposes:

  • Compliance with U.S. export regulations — ensures that businesses adhere to the legal requirements for exporting goods from the United States.
  • Accurate and timely data collection — facilitates the collection of comprehensive export data, which helps the U.S. government monitor trade activities and make informed policy decisions.
  • Tracking and control of sensitive exports — aids in preventing illegal exports of sensitive materials or technology, ensuring national security and compliance with export control regulations.
  • Facilitation of international trade — streamlines the export process by providing a standardized electronic system for submitting export information, reducing paperwork and errors.
purposes and benefits of AES filing

The benefits of utilizing AES filings are clear:

  • Faster clearance times — electronic submission of export data through AES can expedite the clearance process, resulting in reduced wait times at ports and improved efficiency in the export process.
  • Improved accuracy and data quality — AES filing minimizes manual data entry errors and promotes higher data accuracy, which is crucial for compliance with export regulations.
  • Cost savings — by reducing paperwork and manual processes, AES filing can lead to cost savings for businesses engaged in international trade.
  • Real-time tracking and reporting — AES allows businesses to track their shipments in real-time and access detailed reports on their export activities, enabling better decision-making and insights into their trade operations.
  • Enhanced security — AES filing helps ensure that sensitive goods are exported in compliance with export control regulations, reducing the risk of penalties and potential damage to a company's reputation.
  • Streamlined communication with government agencies — AES facilitates seamless communication between exporters and relevant government agencies, such as U.S. Customs and Border Protection, ensuring timely responses and updates regarding export requirements and regulations.

Who's in Charge of AES Filing?

Two parties are responsible for AES filing: the US Principal Party in Interest (USPPI) and the Authorized Agent.

US Principal Party in Interest (USPPI)

The USPPI is the person or entity that benefits the most from an export transaction. It could be a US seller, manufacturer, or even a foreign entity authorized by the US government.

Authorized Agent

An Authorized Agent is a person or company authorized by the USPPI to file EEI through AES on their behalf. This could be a freight forwarder, customs broker, or any knowledgeable individual.

Responsibilities and Liabilities

Both roles carry significant weight in terms of their responsibilities and potential liabilities. The USPPI is responsible for providing accurate and detailed information about the shipment to ensure successful AES filing.

The Authorized Agent, meanwhile, has the duty to input correct data into the AES system. They must ensure they adhere strictly to all applicable laws and regulations governing these transactions. This is not a responsibility to be taken lightly, as errors or omissions can lead to penalties.

Both the USPPI and the Authorized Agent may face penalties if there are inaccuracies or errors in the data submitted via the AES. Therefore, it is critical that both parties understand their roles and responsibilities thoroughly before embarking on an international shipping assignment. It's not just about executing their tasks correctly; it's also about maintaining compliance with the laws and regulations that govern these transactions.

How to File EEI through AES

Filing Electronic Export Information (EEI) through AES might seem a bit complicated, but it’s essential for staying on the right side of U.S. export regulations. Let's break it down into manageable steps:

#1 Register and Set Up

The first thing you'll want to do is to register an account on the U.S. Customs and Border Protection website. Once you've done that, you'll need to set up your exporter profile. You'll be asked for important business details, like your company name or DUNS number.

#2 AESDirect Filing Process

Once you're all set up, log into your account and navigate to the AESDirect system. This is where you'll file your EEI data for each shipment.

Make sure you enter accurate information, such as product descriptions, Schedule B numbers or HTS codes, quantities shipped, and the value of goods.

Accuracy is key here; mistakes could lead to penalties or shipping delays.

#3 Recordkeeping and Retention Requirements

Now that you've filed your EEI, don't forget about recordkeeping. You'll need to keep hold of all filed EEIs and supporting documents like commercial invoices and packing lists. U.S Federal Regulations 15 CFR Part 762 require you to retain these for five years from the date of exportation.

Achieving Success in AES Filing

AIS filing is an important part of shipping that can be overwhelming, with many facets to consider and paperwork to wade through. Ultimately, it is worth the effort to understand the regulations and processes surrounding AIS filings to maintain safety and compliance on the high seas.

Cargoflip can provide an easy way for shippers to keep track of their documentation and report any changes quickly and accurately — no waiting in line or hours spent sorting out paper forms. With just a few clicks, your data is taken care of.

If you’re feeling overwhelmed by AES filing, try Cargoflip for a hassle-free process.

AES Filing FAQ

When is AES filing required?

AES filing is generally required for all shipments from the United States where a single commodity's value exceeds $2,500. There are also other instances where AES filing is required regardless of the value, such as shipments of firearms or shipments to embargoed countries.

Can you correct an AES filing?

Yes, corrections can be made to an AES filing. If you discover an error in your EEI after filing it, you can submit corrections electronically through the AESDirect system.

What is the fine for not filing an AES?

The penalties for non-compliance with AES regulations can be severe. Civil penalties may range from $1,100 to $10,000 per violation for late filing, failure to file, false filing, etc. Criminal penalties requiring intentional violations can be up to $10,000 in fines and/or imprisonment for up to five years.

How to get an AES filing number?

Once you've successfully filed your EEI in the AESDirect system, you'll receive an Internal Transaction Number (ITN) as confirmation. This ITN serves as your AES filing number and should be noted on your shipping documents.

What are the exceptions or exemption codes to AES filing?

There are several exceptions to AES filing, each with its own exemption code. Some common examples include:

  • Code NOEEI 30.37(a): Goods valued at $2,500 or less per Schedule B number.
  • Code NOEEI 30.37(b): Tools of trade that will return to the U.S. within one year.
  • Code NOEEI 30.37(h): Most personal household effects.
  • Code NOEEI 30.39: Temporary exports for exhibitions and fairs, certain samples, and tools of trade.

You can refer to this list of the U.S. Census Bureau for a complete list of exceptions and their corresponding codes.

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