AES Acronyms and Definitions

Automated Export System
Automated Export System Trade Interface Requirements
Bill of Lading
Bureau of Industry and Security, Department of Commerce
Border Targeting and Analysis, CBP, DHS
Customs and Border Protection, Department of Homeland Security
Code of Federal Regulations
Commerce Control List
Directorate of Defense Trade Controls, Department of State
Data Entry Center
Department of Homeland Security
Data Universal Numbering System (Duns & Bradstreet)
Export Administration Regulations
Export Control Classification Number (BIS, Commerce)
Electronic Data Interchange
Electronic Export Information
Export Information Code
Employer Identification Number
Foreign Trade Division, Bureau of the Census, Department of Commerce
Foreign Trade Regulations
Foreign Trade Zone
Hazardous Material
Hours (2digits) Minutes (2 digits) Seconds (2 digits)
Harmonized Tariff Schedule
International Air Transport Association
IRS Number
Internal Revenue Service Number
Internal Transaction Number (AES System generated confirmation number)
Letter of Intent
Maritime Administration, Department of Transportation
Method of Transportation
Month (2 digits) Day (2 digits) Year (2 digits)
No License Required
Non-Vessel Operating Common Carrier
Office of Foreign Assets Control, Department of Treasury
Other Government Agency
Partnership Government Agency
Product Identification Number
Port of Export
Standard Carrier Alpha Code
Shipment Reference Number
Social Security Number
Trade Resource Group
United States Munitions List
United States Principal Party in Interest (Exporter)
Value Added Network
Vehicle Identification Number
AES Term
The Automated Export System. AES is an export information gathering and
processing system developed through cooperative efforts between Customs
and Border Protection, Bureau of the Census, other government agencies and
the export trade community
Automated Export System Trade Interface Requirements. A document that
describes the operational usage of AES. The AESTIR presents record formats
and other reference materials used in AES.
A free Internet application supported by the Bureau of the Census that allows
USPPIs or their agents to file commodity data in AES via the Internet.
An application available from AESDirect that receives data from another
Internet application and facilitates the transmission of that data to AES via
AESDirect. (
Batch (in a Commodity
A batch in an AES commodity data filing consists of USPPI and Commodity
shipment information ‘enclosed’ in an envelope. The batch records specify
the filer and transmitter of the shipment enclosed within that batch. Each
batch begins with an A record and concludes with a Z record.
Block (in a Commodity
A block in an AES commodity filing consists of commodity shipment
transactions ‘enclosed’ in a envelope. The block records specify the USPPI
declared on the shipment enclosed within that block. Each block begins with
a B record and concludes with a Y record.
Bill of Lading
A Bill of Lading is a negotiable instrument that allows the carrier to transport
a cargo from a shipper to a consignee.
Bill of Lading Number
An alphanumeric code issued by a carrier that reference an individual cargo
shipment on a manifest.
Business Data (in a
Commodity Filing)
Those data elements that represent the export information required on an EEI
by the Census Bureau. Additionally includes export information required by
CBP and other licensing agencies.
Commodity Data
Information from the USPPI or the authorized agent that is commonly
reported on the Electronic Export Information that describe the goods being
exported, the parties of interest, etc.
Compliance Alert Condition
A potential reporting violation. A reporting condition found to violate Census
regulation or another agency reporting requirement.
The Person, party, or designee on the export license who is located abroad and
actually receives the export shipment.
To send or deliver goods to be sold.
Data Element
User-entered or system generated data that collectively make up a record or
Data Entry Center
An AES participant that has a signed agreement with the Census Bureau to
report commodity data in AES.
Downtime Policy
Standard guidelines for processing of automated export transactions during
downtime of AES and/or the AES participant’s computer system.
DUNS Number
Data Universal Numbering System. DUNS is a registered trademark of the
Dun & Bradstreet Corporation. It provides consistent/unique identification
scheme for business databases.
 Embassy Code
 The 2-position ISO country code followed by the word ‘EMBASSY” used to
identify an embassy as the USPPI if appropriate.
 Export Shipment
 A commodity shipment (EEI) on file in AES. An Export Shipment consists of
those attributes common to all reported commodity line items for a declared shipment.
Export Shipment
 That portion of a commodity shipment (EEI) on file in AES that represents the
information regarding a single line ‘item’.
 The person abroad that receives and ultimately uses the exported or reexported
items. The end-user is not a forwarding agent or intermediary, but may be the
purchaser or ultimate consignee.
 CBP inspection of a shipment and/or its documents.
Exemption Legend
A proper annotation on a bill or lading, air waybill, or other commercial
document used for presentation to CBP. The USPPI or their authorized agent
is responsible for annotating the proper exemption legend on the bill of lading,
air waybill or other commercial documentation for presentation to the carrier
prior to tendering the cargo to the exporting carrier. (See Appendix R of the
The person in the United States who has the authority of a principal party in
interest to determine and control the sending of items out of the United States.
Under the FTSR, the exporter is the U.S. principal party in interest.
Fatal Condition
A condition is generated and returned to the filer when AES identifies an error
in a data element during processing of a commodity or transportation filing.
AES will not accept a transaction with a fatal condition
Filing Options
AES provides 3 electronic filing options for reporting commodity data.
Predeparture is a one step filing option that requires complete pre-departure
filing of commodity data. Postdeparture is a one step filing option that
requires complete post-departure filing of commodity data within 5 calendar
days of export. Postdeparture is available to an approved USPPI only.
Advance Export Information (AEI) is a limited number of commodity data
elements are required prior to departure; requires complete commodity data
reporting within 5 calendar days after departure.
Final Disposition
An explicit statement by AES regarding the result of a requested commodity
shipment transaction action. The final disposition is unconditionally returned
as the trailing ES1 record in the response. The final disposition may include
the ‘status’ of a pre-existing condition.
Foreign Entity
A non-U.S. national who is under U.S. jurisdiction at the time of shipment,
shown as the exporter (USPPI) in AES. Since a foreign entity may not
possess an EIN, SSN or DUNS identification, the foreign entity may be
identified by their passport number, border crossing card number or other
official document number in AES.
Foreign Trade Zone
Secured areas legally outside of a nation’s customs territory.
Forwarding Agent
The person in the United States who is authorized by a principal party in
interest to perform the services required to facilitate the export of the goods
from the United States. This may include air couriers or carriers. In routed
export transactions, the forwarding agent and the exporter may be the same for
compliance purposes under the EAR
Harmonized Tariff
The 10-digit classification system used by the United States to classify goods
for import. The HTS is an international classification system up to the 6-digit
level. The seventh and eighth digits represent duty rates and the ninth and
tenth digits are for statistical breakouts on a national basis. AES accepts HTS commodity numbers with some exceptions. (See
Appendix V of the AESTIR for a list of the exceptions). The decision to
report in AES using HTS or Schedule B classifications is left solely to the
House Bill Number
An alphanumeric identifier that references an individual cargo shipment
consolidated under a master bill of lading.
The International Air Transport Association code used to identify the
exporting air carrier.
Information Condition
A non-critical notification (i.e., message) returned to the filer.
Intermediate Consignee
The person that acts as an agent for a principal party in interest for the purpose
of effecting delivery of items to the ultimate consignee. The intermediate
consignee may be a bank, forwarding agent, or other person who acts as an
agent for a principal party in interest.
ISO Code
A 2-position alphabetic International Organization for Standardization Code
for countries. (See Appendix C of the AESTIR).
Letter of Intent (LOI)
A written statement of a company’s desire to participate in AES. It sets forth
a commitment to develop, maintain, and adhere to CBP and Census
performance requirements and operational standards.
A legal permit to export specific commodities.
True listing of the cargo on a conveyance. Form and detail are specified by
Master Bill Number
Bill of lading number created by the consolidator or carrier (or share-charter)
which is passed to the ultimate carrier to protect the consolidator (or sharecharter)
from the need to give information on their individual clients to other
Message Control Data
Elements (in a
Commodity Filing)
 A data element that identifies a transaction component and conditionally
indicates, or clarifies, the action that is to be performed. In the SC1 record:
Shipment Reference Number, Shipment Filing Action Request Indicator, and
the Filing Option Indicator. In the CL1 record: Line Number and Line Item
Filing Action Request Indicator. In the N01 record: Party Type
Order Party
The person in the United States who conducts the direct negotiations or
correspondence with the foreign purchaser or ultimate consignee and who, as
a result of these negotiations, receives the order from the foreign purchaser or
ultimate consignee.
 Principal Parties in
Those persons in a transaction that receive the primary benefit, monetary or
otherwise, of the transaction. Generally, the principals in a transaction are the
seller and the buyer. In most cases, the forwarding or other agent is not the
principal party in interest.
Proof of Export Citation
 Items identified on the USML must meet the pre-departure reporting
requirements identified in the ITAR (22 CFR, Part 120-130) for the State
Department requirements concerning AES proof of filing citations and time
and place of filing.
 The person abroad who has entered into a transaction to purchase an item for
delivery to the ultimate consignee. In most cases, the purchaser is not a bank,
forwarding agent, or intermediary. The purchaser and ultimate consignee may
be the same entity.
Reminder Message
An electronic message sent to an AES filer as a reminder to timely correct
commodity data that was accepted by AES with ‘warnings’.
Routed Export
A transaction where the foreign principal party in interest authorizes a U.S.
forwarding agent to facilitate export of items from the United States.
Standard Carrier Alpha Code is an identifier issued by the National Motor
Freight Traffic Association. SCAC identifiers are issued to vessel, rail, and
truck carriers.
Schedule B
The 10-digit classification system used by the United States to classify
domestic or foreign goods for export. Schedule B is an international
classification system up to the 6-digit level. The seventh through tenth digits
represent statistical breakouts at the national level. AES accepts Schedule B
commodity numbers without exceptions. The decision to use Schedule B or
HTS classifications is left solely to the AES filer.(See Appendix Z of the AESTIR for Internet access to Schedule B or HTS)
Schedule K
Five-digit foreign port codes maintained by the U.S. Army Corps of Engineers
Electronic Export
Information (EEI)
Electronic Export Information is the U.S. Department of Commerce data
required by law that enables Census to compile export statistics and enables
other agencies to enforce U.S. export laws and regulations. It is a declaration
made by an USPPI or the USPPI’s filing agent covering merchandise moving
from ONE USPPI to ONE ultimate consignee, carried on ONE conveyance,
leaving ONE domestic port on ONE day, ultimately destined for ONE foreign
country to be unladed at ONE foreign port. Includes a description of the
quantities, monetary values, and licenses of the commodities being exported.
Service Bureau
An independent business concern that files electronic data on behalf of a
USPPI for a fee.
Shipment Reference
Unique identification number AES filers create in their system to identify
individual shipments reported in AES. This number must remain unique
Reference Number
A number referencing a transportation bill or booking.
Ultimate Consignee
The principal party in interest located abroad who receives the exported or reexported
items. The ultimate consignee is not a forwarding agent or other
intermediary, but may be the end-user.
United States Principal Party in Interest is the term used to identify the person
in the United States that receives the primary benefit, monetary or otherwise,
of the export transaction. Generally, that person is the U.S. seller,
manufacturer, order party, or foreign entity. The foreign entity must be listed
as the USPPI on the AES record if it is in the United States when the items are
purchased or obtained for export. In most cases, the forwarding or other agent
is not a principal party in interest. The USPPI replaces the term ‘exporter’ as
stated in Federal Register/Vol. 65, No. 132/July 10, 2000.
A Value Added Network that can be used to connect trade participant’s
computer to CBP mainframe.
Verification Condition
(in a Commodity Filing)
A condition in which a business data element conflicts with a pre-established
Census parameter regarding a commodity or another component of the
shipment or other established norm. The filer is informed of a verify
condition. The reported data may or may not be correct. The filer is requested
to verify the data and send a correction if needed.
Warning Condition (in a
Commodity Filing)
A warning condition is noted when certain incomplete and/or conflicting data
conditions are encountered. AES accepts the information as filed to facilitate
an expedient movement of cargo. The filer is informed of the warning
condition. The filer must correct shipments accepted with warnings within 4