Industry News

Understanding AES and Exporter Responsibilities

Sarah Azar | M.E. Dey & Co.

As the United States continues to be a substantial player in international trade, it is important for U.S. based Exporters and Shippers to be aware of their responsibilities as the primary beneficiary of an export transaction. In this day and age of changing tariffs, duty rates, sanctions, embargos, and licensing, fines and penalties can be substantial if a US Exporter does not understand the implication of non-compliant behaviors.


What is AES?

The Automated Export System (AES) is the primary tool used by the United States Census Bureau to collect data and statistics on exports leaving the United States. The purpose of the AES filing is to monitor cargo leaving the U.S. and to ensure proper reporting and security is in place. US Customs and Broder Protection (CBP) also uses AES data to ensure compliance with export regulations. The primary goal is to ensure that U.S. made goods do not get to countries under sanctions or embargoes or to “end users” that we should not be engaging in trade with.

The exporter (or authorized agent) will file AES with Electronic Export Information (EEI) provided from the shipper and/or United States Principal Party of Interest (USPPI). The minimum data elements needed when filing AES are listed below;

  1. Name and Address of USPPI
  2. UPSSI’s Employer Identification Number (EIN)
  3. State of Origin
  4. Commercial description of commodities
  5. Origin of goods indicator: D (domestic) or F (foreign)
  6. Schedule B or HTS classification number/code
  7. Quantities/unites of measure
  8. Value
  9. Export Control Classification Number (ECCN) or EAR99


When is AES required?

AES Filings must be submitted 24 hours prior to the actual date of export and for all modes of transports leaving the United States.

  • When the value of the commodities by schedule B or HTS is over $2,500
  • All exports that have an Export License Required
  • Commodities subject to ITAR
  • All self-propelled vehicles

**Exports to Canada do NOT require AES filing, unless there is an export license or the shipment is a self-propelled vehicle.

When M.E. Dey handles your export transaction, we ensure that AES filings are compliant with export regulations and submitted timely. A completed shippers letter of instruction (SLI) from the exporter includes the necessary information for filing the AES. . As the exporter, it is important to audit the AES filings associated with your EIN number. Penalties can be assessed at a maximum of $10,000 dollars per violation (prison time??).

Please contact M.E. Dey for any questions regarding export compliance and trade regulations.