An AES number for exports is the 14-character Internal Transaction Number (ITN) the Automated Export System returns after you electronically file Electronic Export Information (EEI) with the federal government. It’s your proof that the shipment was reported to the Census Bureau and Customs and Border Protection before the goods left the country. Most commercial exports valued above $2,500 per Schedule B commodity code need one, along with any shipment requiring an export license, any shipment to an embargoed destination, and a handful of other categories regardless of value.
When You Need an AES Number
The default trigger is value. If goods classified under a single Schedule B number, shipped from one U.S. exporter to one buyer via a single carrier on the same day, exceed $2,500, you must file EEI and obtain an ITN.1International Trade Administration. Electronic Export Information (EEI) The threshold applies per commodity code, not per shipment total. Two products under different Schedule B codes at $1,800 each don’t individually trigger the requirement. Two products under the same code totaling $3,600 do.
Shipments That Require Filing At Any Value
Several categories require an ITN even for a $5 shipment:2eCFR. 15 CFR 30.2 – General Requirements for Filing Electronic Export Information
- Anything requiring a license from the Bureau of Industry and Security, the Directorate of Defense Trade Controls, or the Drug Enforcement Administration.
- Defense articles and services subject to the International Traffic in Arms Regulations, even when licensing is exempt.
- Items classified under “600 series” Export Control Classification Numbers.
- Shipments to Cuba, Iran, North Korea, Sudan, or Syria.3International Trade Administration. Filing Your Export Shipments Through the Automated Export System (AES)
- Rough diamonds, at any value, to any destination.
- Used self-propelled vehicles, including a personal car being shipped overseas.4eCFR. 19 CFR Part 192 Subpart B – Filing of Export Information Through the Automated Export System (AES)
The used vehicle rule surprises people. Even a low-value car needs an AES filing, and the ITN has to reach the carrier at least 72 hours before export, which is much earlier than the deadlines that apply to other cargo.
When You Don’t Need One
Not every export requires a filing, but every exemption disappears the moment the shipment falls into one of the mandatory categories above.
Goods worth $2,500 or less under a single Schedule B code, shipped from one exporter to one buyer through one carrier, are exempt.5eCFR. 15 CFR 30.37 – Miscellaneous Exemptions A $500 component that needs a BIS license is not exempt.
Most exports to Canada are exempt.6eCFR. 15 CFR 30.36 – Exemption for Shipments Destined to Canada Goods sent to Canada for storage but ultimately headed elsewhere, and goods merely transiting Canada to a third country, still require filing.
Narrower exemptions cover tools of trade you personally carry abroad and bring back within a year, diplomatic pouches, human remains, transit shipments between U.S. points through Canada or Mexico (and vice versa), interplant correspondence between a U.S. company and its foreign affiliate, and technology or software that doesn’t require a license (mass-market software still requires filing).5eCFR. 15 CFR 30.37 – Miscellaneous Exemptions
When an exemption applies, you still have to annotate your shipping documents with the correct legend, such as “NO EEI 30.37(a)” for the low-value exemption.7eCFR. Appendix B to Part 30 – AES Filing Citation, Exemption, and Exclusion Legends Carriers will not move cargo without either an ITN or an exemption legend on the documents.
Who Has to File
Primary responsibility falls on the U.S. Principal Party in Interest (USPPI), which in most transactions is the U.S. seller or exporter. You can hire a freight forwarder or customs broker as your authorized agent to do the actual filing, but the obligation to supply complete and accurate data doesn’t transfer with the paperwork.8eCFR. 15 CFR 30.3 – Electronic Export Information Filer Requirements, Parties to Export Transactions, and Responsibilities of Parties to Export Transactions
Routed transactions work differently. When the foreign buyer (the Foreign Principal Party in Interest) controls the shipping, they can authorize a U.S. agent to prepare and file EEI. The USPPI still supplies the underlying export information, but the agent is on the hook for filing it correctly and on time, and needs a power of attorney or written authorization from the FPPI before doing so.
How to File and Receive Your ITN
The main filing tool is ACE AESDirect, a free web portal from Customs and Border Protection.9Census Bureau. ACE AESDirect You need an ACE account to use it. High-volume filers usually connect through approved software that talks to AES via electronic data interchange.
Each filing requires:
- Exporter name, address, and Employer Identification Number.
- Consignee and ultimate consignee, if the buyer and final recipient are different.
- Commodity description with the Schedule B or HTS classification code.
- Value of the goods.
- Any applicable export license number or license exception.
- Port of export and country of ultimate destination.
- Carrier and method of transport.
Once the system validates and accepts the submission, it returns the ITN. That’s your AES number.
Filing Deadlines by Mode of Transport
The regulations set specific cutoffs, and missing them is a distinct violation with its own penalty schedule:10eCFR. 15 CFR 30.4 – Electronic Export Information Filing Procedures, Deadlines, and Certification Statements
- Ocean vessel: at least 24 hours before cargo is loaded at the U.S. port.
- Air cargo: at least 2 hours before scheduled departure.
- Truck: at least 1 hour before arrival at the U.S. border.
- Rail: at least 2 hours before arrival at the U.S. border.
- Used self-propelled vehicles: at least 72 hours before export.4eCFR. 19 CFR Part 192 Subpart B – Filing of Export Information Through the Automated Export System (AES)
Putting the AES Number on Your Shipping Documents
After you receive the ITN, it must appear on the outbound shipping paperwork so carriers and CBP can confirm you filed. The required format is the letters “AES” followed by “X” and the 14-character ITN, for example: AES X20260115987654.7eCFR. Appendix B to Part 30 – AES Filing Citation, Exemption, and Exclusion Legends
The proof of filing citation has to be clearly visible on the first page of the bill of lading (ocean), the air waybill (air), or the equivalent commercial loading document. The USPPI or authorized agent provides the citation to the carrier, and the carrier annotates it on the outbound manifest.11eCFR. 15 CFR 30.7 – Annotating the Bill of Lading, Air Waybill, or Other Commercial Loading Documents With Proof of Filing Citations, and Exemption Legends Carriers will not load cargo without either the citation or an exemption legend, and mistakes here are one of the fastest ways to lose a departure window.
How Long to Keep Records
Every party to the export, including the USPPI, authorized agents, and carriers, has to keep all documents related to the shipment for five years from the export date.12eCFR. 15 CFR 30.10 – Retention of Export Information and the Authority to Require Production of Documents That covers invoices, packing lists, correspondence, the EEI filing itself, and supporting documentation. Census, CBP, and other agencies can demand production at any point in that window. If a different agency imposes a longer retention period for your particular goods, the longer period controls.
Penalties for Missing, Late, or False Filings
Civil penalties apply for negligent violations. Failure to file when required carries up to $10,000 per violation. Late filing can cost up to $1,100 for each day the filing is overdue, capped at $10,000 per violation. Filing inaccurate information also runs up to $10,000 per violation.13eCFR. 15 CFR 30.71 – False or Fraudulent Reporting on or Misuse of the Automated Export System These amounts are adjusted annually for inflation.
Knowingly failing to file, knowingly submitting false information, or using AES to further illegal activity can be prosecuted criminally, with fines up to $10,000 per violation, up to five years’ imprisonment, or both.14Office of the Law Revision Counsel. 13 USC 305 – Penalties for Unlawful Export Information Activities A criminal conviction can also trigger forfeiture of the goods, any property used in the export, and any proceeds. Honest mistakes generally stay in the civil column, but a pattern of careless filings can start looking intentional to investigators.