AES Filings for Ship Agents: What to Submit + 9 Steps to File

Here’s a truth every vessel agent learns the hard way: nothing derails an export faster than a botched AES (Automated Export System) filing. One wrong detail, one missed deadline, and suddenly you’re fielding angry calls from your client, scrambling to fix the mess, and losing hours you’ll never get back. 

I’ve been there and I know it’s not just frustrating- it’s expensive. And the worst part? Most of these problems are 100% avoidable with the right know-how and a solid system.

In this post, I’m sharing exactly what you need to know about AES filings and CBP compliance. If you’ve ever lost sleep over missing paperwork or last-minute changes, this guide is for you. Let’s make sure the next shipment goes off without a hitch.

What Is an AES Filing?

The Automated Export System is the government’s digital platform for submitting Electronic Export Information (EEI). It makes sure that every export shipment leaving the U.S. meets foreign trade regulations. If your shipment is worth more than $2,500 or requires an export license, filing through AES isn’t optional—it’s mandatory. Missing a filing can lead to fines, delays, and clients questioning your reliability.

AES operates within the Automated Commercial Environment (ACE), which is CBP’s broader platform for managing and streamlining trade and customs processes. ACE serves as the central hub where vessel agents, exporters, and freight forwarders can manage export compliance alongside other trade-related activities like filing ACE Manifests and tracking import/export declarations.

What Role Does a Vessel Agent Play in AES Filings?

Here’s the deal: we’re often the ones holding everything together. Sure, the exporter might technically be responsible for the filing, but in reality, as ship agents, we’re the ones who actually file a lot of the time. We’re also the ones who answer to CBP, deal with port authorities, and work with other federal agencies if something goes wrong.

Not only do we need to file, but we also are responsible for making sure everything is accurate and complete. That’s why it’s essential to have a reliable and experienced vessel agent handling your AES filings.

Key Components of an AES Filing

While each export shipment may have unique requirements depending on the type of goods being shipped, there are some key components that are generally included in an AES filing:

Shipper and Receiver Information

The foundation of any AES filing starts with complete and accurate information about the shipper and receiver. This includes:

• Shipper (USPPI): The U.S. Principal Party in Interest, who owns or is responsible for the export. The exporter should provide this. It’s usually included in the initial booking request or export documentation they send to you.
• Receiver (Consignee): The foreign party receiving the goods. Check the commercial invoice or the shipper’s instructions. They should have provided a name, address, and contact information for the foreign consignee.

Make sure the contact details, addresses, and roles are clearly defined.

For more on how vessel agents document crucial details to protect their clients, check out our blog on Statements of Facts.

Commodity Information

What are you exporting? This section needs to paint a clear picture of the goods being shipped. Include:

• Description: A detailed explanation of the items. Avoid generic terms like “goods” or “products.”
• Value: The commercial value of the shipment, excluding freight and insurance costs.
• Quantity: Total number of units or weight, depending on the commodity.

This is typically listed on the commercial invoice or packing list provided by the shipper. If you’re working with a freight forwarder, they may have already confirmed this information for customs purposes.

Export Licenses and Regulatory Information

Certain shipments require special authorizations. If your shipment falls under defense trade controls or other restricted categories, include:

• Applicable export licenses issued by the appropriate agency.
• Documentation that complies with the Foreign Trade Regulations (FTR).
• Clear notation of exemptions, if applicable.

If an export license is required, the exporter is responsible for obtaining it. Ask the exporter or freight forwarder for a copy. Your exporter or the foreign trade division can clarify whether the shipment qualifies for exemptions.

Export Control Classification Number (ECCN)

For goods with dual-use purposes (both commercial and military applications), you’ll need the ECCN. This technical classification is crucial for determining whether an export license is required under arms regulations. If you’re unsure, consult with your client or a freight forwarder.

Schedule B Number

Every item being exported must be classified using a Schedule B number, provided by the Census Bureau. This ensures the item is categorized correctly for trade statistics. Look up these codes in the Foreign Trade Division database if you don’t have them on hand.

U.S. State of Origin Code

This two-letter code identifies the state where the goods originated. For multi-state shipments, choose the primary state where the majority of the goods were produced or sourced. This is determined by where the goods were produced or sourced. The shipper should know this, but it may also be on the packing list or bill of lading.

Carrier Identification (SCAC/IATA)

You’ll need to identify the carrier responsible for transporting the shipment. Use:

• SCAC (Standard Carrier Alpha Code): For ocean or trucking carriers.
• IATA (International Air Transport Association) Code: For air shipments.

The carrier handling the shipment will provide their SCAC or IATA code. If you booked the transport, this information should already be in your records or the booking confirmation.

Shipment Reference Number

Assign a unique identifier to the shipment. This number helps track the shipment throughout its lifecycle and is critical for resolving any disputes or delays. As the vessel agent, you’ll often create this yourself. It’s usually generated when setting up the shipment in your tracking or logistics system.

Shipment Filing Action Request Indicator

This indicates what action is being requested in the AES export filing, such as a new submission, a correction, or a cancellation. Ensuring this is accurate can save you from errors later in the process. You’ll determine this based on the nature of the filing.

Including all these details ensures your AES filing meets compliance standards while reducing the risk of errors that could delay the shipment or trigger penalties. Double-check every section—because when it comes to compliance, the details always matter.

9 Steps to Submitting the AES Filing Electronically

Submitting an AES filing electronically can feel complicated if you’re new to the process, but following these steps will make it clear and manageable. Here’s exactly how to get it done:

1. Access the ACE Portal

To start, you’ll need to log in to the ACE Secure Data Portal, which is managed by U.S. Customs and Border Protection. If you don’t already have an account, you’ll need to set one up through the CBP website.

• Visit the CBP website and navigate to the ACE account registration section.
• Complete the application process, including providing your company’s Employer Identification Number (EIN) and basic business details.
• Once your account is active, you can log in and access the tools for filing AES information.

Remember, the ACE Portal doesn’t just support AES filings. It also integrates with other systems like the Vessel Entrance & Clearance System (VECS), which ensures compliance for vessel operations. To learn more about VECS and how it fits into your workflow, check out our guide on the Vessel Entrance & Clearance System.

2. Choose Your Filing Method

Within the ACE Portal, you have two primary options for submitting the AES filing:

• AESDirect Shipment Manager: This is the free, online tool provided by CBP for submitting AES filings. It’s ideal for smaller-scale operations or companies without dedicated export software.
• Third-Party Software: If you’re using software purchased to manage exports, sometimes these systems can often integrate with the ACE Portal for a more streamlined process.

3. Select the “Create Export Filing” Option

Once inside AESDirect (or your integrated software), locate the “Create Export Filing” button. This will open a form where you’ll input all the required export shipment data.

4. Enter Shipment Details

You’ll now be prompted to input the shipment data. You should include all the information we mentioned above like:

• USPPI (Shipper) Information: Name, address, EIN, and contact information for the U.S. Principal Party in Interest.
• Consignee Information: Full name, address, and contact information for the foreign party receiving the goods.
• Commodity Details: Enter the Schedule B number, description, value, and quantity for each item being exported.
• Export License or ECCN: If the shipment requires an export license, input the license number or classification details here.
• Carrier ID (SCAC/IATA): Include the appropriate carrier identification code for the transporter.
• Shipment Reference Number: Assign a unique identifier for this shipment.
• U.S. State of Origin Code: Enter the two-letter code for the state where the goods originated.
• Shipment Filing Action Request Indicator: Specify whether this is a new filing, an amendment, or a cancellation.

Double-check all the information before proceeding to avoid errors or delays.

5. Review the Filing

Before submitting, the system will allow you to review all the entered details. Use this step to confirm:

• All mandatory fields are completed.
• The information matches the commercial invoice, packing list, and other export documentation.
• No typos or mismatched codes are present.

This is your chance to catch errors before they trigger an error message post-submission.

6. Submit the Filing

Once you’re confident the filing is complete, click Submit. AESDirect will process the information and generate an Internal Transaction Number (ITN) as proof of submission. Save this number—it’s your confirmation that the filing has been successfully completed and Customs requires you to store it for 7 years. You can upload this ITN to Base easily so that you can keep track of it for your teams and clients, while also complying with Customs regulations.

7. Distribute the ITN to Stakeholders

Share the ITN with the exporter, freight forwarder, or any other relevant party. The ITN is required for clearing customs and must be included on key documents like the Bill of Lading and airway bill.

8. Resolve Errors if Necessary

If your filing triggers an error, you’ll receive an alert detailing the issue. Common errors include:

• Missing or invalid Schedule B numbers.
• Mismatched ECCNs or license details.
• Typos in the USPPI or consignee information.

Log back into AESDirect, correct the errors, and resubmit the filing. Don’t wait—resolving errors quickly avoids shipment delays.

9. Save Records for Compliance

Download and save a copy of the completed filing, including the ITN and all supporting documents. Store these records in an organized system, like Base, for easy retrieval during audits or compliance checks.

Following these steps ensures your AES filing is accurate, complete, and compliant with all regulations. Over time, this process becomes easier, but having a clear system in place is the key to staying efficient and reliable as a vessel agent.

Best Practices for AES Filings and CBP Compliance

In addition to the steps outlined above, there are some best practices to keep in mind when it comes to AES filings and CBP compliance. These tips will help streamline your processes and minimize errors.

Start Early and Stay Organized

The sooner you gather all the necessary information, the fewer issues you’ll face during the filing process. Request key details—like the Schedule B number, ECCN, and export licenses—from the exporter or freight forwarder as early as possible. Then you can use a centralized system, like Base, to store these details and make them easy to access when it’s time to file.

Double-Check the Data

Mistakes in AES filings can lead to rejected submissions, shipment delays, or even fines. Common issues include typos, incorrect commodity classifications, or missing details like the U.S. State of Origin Code or Carrier ID. Always review the data carefully before hitting submit. If you’re working with a team, consider implementing a second-level review process to catch errors.

Communicate with Stakeholders

Keep everyone—exporters, freight forwarders, carriers, and other partners—in the loop. Clear communication makes sure all parties understand their responsibilities and timelines. For routed export transactions, establish clear agreements on who is responsible for filing the EEI to avoid last-minute confusion.

Use Technology to Your Advantage

Managing filings manually increases the risk of errors and missed details. Tools like Base can streamline the process by:

• Organizing all shipment-related details in one place.
• Automatically flagging missing or incomplete data.
• Simplifying communication with stakeholders.

If you’re using the ACE Portal, familiarize yourself with its features, such as the AESDirect Shipment Manager, to make filing faster and easier.

Stay Current on Regulations

The rules surrounding AES filings and CBP compliance can change frequently. Subscribe to updates from the CBP website and the Foreign Trade Division to stay informed. Industry associations and newsletters are also great resources for tracking changes in foreign trade regulations.

Maintain Accurate Records

CBP and other regulatory agencies may audit your filings at any time. To prepare:

• Keep a copy of every filing, including the Internal Transaction Number, for at least five years.
• Store supporting documents, like the commercial invoice, packing list, and any export licenses, in an easily accessible system.
• Regularly audit your records to ensure they’re complete and accurate.

Accurate recordkeeping doesn’t just apply to AES filings. For a broader look at managing documentation effectively, check out our cargo manifests blog for tips on staying on top of your paperwork.

Train Your Team

Compliance is a team effort, especially if multiple people are involved in the filing process. Provide regular training on:

• Filing requirements and best practices.
• Identifying and avoiding common errors.
• Using tools like the ACE Portal or Base effectively.

By keeping your team informed and up to date, you reduce the risk of mistakes and ensure smooth operations.

Prepare for the Unexpected

Sometimes, things go wrong—a carrier’s schedule changes, or a client provides incomplete information at the last minute. Have a contingency plan in place for handling emergencies, such as:

• A dedicated point of contact for resolving filing issues quickly.
• Predefined workflows for correcting and resubmitting filings.
• Access to all key documents and systems, even outside regular business hours.

Build Relationships with CBP and Other Agencies

Strong relationships with Customs and Border Protection and other regulatory bodies can make a big difference when issues arise. Proactive communication and a history of compliance can help you resolve disputes or errors more efficiently.

Learn from Mistakes

If a filing is rejected or flagged, treat it as a learning opportunity. Review what went wrong, update your processes to prevent the same issue in the future, and share the insights with your team. This will help improve the overall accuracy and efficiency of your filings.

Following these steps ensures your AES filing is accurate, complete, and compliant with all regulations. Before you know it this process becomes second nature, but having a clear system in place is the key to staying efficient and reliable as a vessel agent.

Final Thoughts on Automated Export System

AES filings are a critical part of being a vessel agent, but let’s be honest—they can also be a major pain. One small mistake or missed detail can derail an entire shipment, creating stress for you and frustration for your clients. The good news? Most of these problems are entirely preventable with the right approach and tools.

With clear processes, accurate data, and a system like Base to back you up, you can take the chaos out of compliance. Base gives you one place to manage your export data, track filings, and keep everything organized, so you’re never scrambling at the last minute or dealing with preventable errors.

Exporting is complicated enough. Let Base handle the heavy lifting so you can focus on what you do best: keeping shipments on track and your clients happy.

Key Takeaways

• Details matter: Every AES filing requires precision—missing or incorrect data can trigger delays, fines, or compliance issues.
• Be proactive: Gather all necessary shipment details early and communicate clearly with all stakeholders.
• Stay prepared: Keep thorough, organized records to handle audits or disputes without stress.
• Use the right tools: Platforms like Base help vessel agents manage compliance, track export data, and avoid costly mistakes.

Frequently Asked Questions